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Predictability and Transaction Costs: The Impact on Rebalancing Rules and Behavior

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Author Info
Anthony W. Lynch
Pierluigi Balduzzi

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Abstract

We consider the impact of transaction costs on the portfolio decisions of a long-lived agent with isoelastic preferences. In particular, we focus on how portfolio choice, rebalancing frequency and average cost incurred change over the lifecycle are affected by return predictability. Two types of costs are evaluated: proportional to the change in the holding of the risky asset and a fixed fraction of portfolio value. We find that realistic transaction costs can materially affect rebalancing behavior, creating no-trade regions that widen near the investor's terminal date. At the same time, realistic proportional and fixed costs have little effect on the midpoint of the no-trade region, unless liquidation costs differ across assets. Return predictability calibrated to U.S. stock returns is found to have large effects on rebalancing behavior relative to independent and identically distributed (i.i.d.) returns with the same unconditional distribution. For example, return predictability causes rebalancing frequency to increase, and cost incurred to increase by an order of magnitude, at all points in the investor's life. No-trade regions early in life are wider when returns are predictable than when they are not. Finally, we find that the nature of the return predictability, including the presence or not of return heteroscedasticity, can have large effects on rebalancing behavior.

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Publisher Info
Paper provided by New York University, Leonard N. Stern School of Business- in its series New York University, Leonard N. Stern School Finance Department Working Paper Seires with number 98-049.

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Date of creation: 22 Oct 1998
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Handle: RePEc:fth:nystfi:98-049

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Postal: U.S.A.; New York University, Leonard N. Stern School of Business, Department of Economics . 44 West 4th Street. New York, New York 10012-1126
Web page: http://w4.stern.nyu.edu/finance/
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  1. Nicholas S. Souleles, . "Household Securities Purchases, Transactions Costs, and Hedging Motives," Rodney L. White Center for Financial Research Working Papers 24-99, Wharton School Rodney L. White Center for Financial Research. [Downloadable!]
  2. Chacko, George & Viceira, Luis M, 2005. "Dynamic Consumption and Portfolio Choice with Stochastic Volatility in Incomplete Markets," CEPR Discussion Papers 4913, C.E.P.R. Discussion Papers. [Downloadable!] (restricted)
    Other versions:
  3. Nicolae B. Garleanu & Lasse H. Pedersen, 2009. "Dynamic Trading with Predictable Returns and Transaction Costs," NBER Working Papers 15205, National Bureau of Economic Research, Inc. [Downloadable!] (restricted)
  4. Frank Milne & Edwin Neave, 2003. "A General Equilibrium Financial Asset Economy with Transaction Costs and Trading Constraints," Working Papers 1082, Queen's University, Department of Economics. [Downloadable!]
  5. Julie Agnew & Pierluigi Balduzzi & Annika SundÈn, 2002. "Portfolio Choice, Trading, And Returns In A Large 401(K) Plan," Working Papers, Center for Retirement Research at Boston College 2000-06, Center for Retirement Research. [Downloadable!]
  6. Ronald J. Balvers & Yangru Wu, 2005. "Optimal Transaction Filters Under Transitory Trading Opportunities: Theory and Empirical Illustration," Working Papers 022005, Hong Kong Institute for Monetary Research. [Downloadable!]
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  7. Yihong Xia, 2000. "Learning About Predictability: The Effects of Parameter Uncertainty on Dynamic Asset Allocation," University of California at Los Angeles, Anderson Graduate School of Management 1057, Anderson Graduate School of Management, UCLA. [Downloadable!]
  8. A.B. Berkelaar & R. Kouwenberg, 1999. "Retirement saving with contribution payments and labor income as a benchmark for investments," Econometric Institute Report 181, Erasmus University Rotterdam, Econometric Institute. [Downloadable!]
    Other versions:
  9. Frank Milne, 2008. "Credit Crises, Risk Management Systems and Liquidity Modelling," Working Papers 1, John Deutsch Institute for the Study of Economic Policy. [Downloadable!]
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