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On the Optimal Taxation of Capital Income in the Open Economy

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Author Info
David G. Hartman
Abstract

The optimal taxation of foreign and domestic investors' incomes is examined with a simple overlapping-generations model. Even when tax rates are allowed to discriminate between these groups,the optimal tax rates on both domestic and foreign investors' incomes in the small open economy are identical and equal to the optimal rate of tax in the closed economy. In light of the emphasis in the literature on the extent to which the elasticity of international flows might lower optimal capital income taxes, this conclusion is quite a surprise. In the large open economy, the optimal tax rate on foreign investors'income alone is a weighted average of one and the small economy tax rate. The optimal tax rate on domestic income is, again, unaffected by the openness ofthe economy. When a uniform tax rate must be set in the large open economy, it is generally higher than the optimal tax rate for a closed economy, a conclusion contrary to the conventional wisdom. However, a higher elasticity of international capital flows is associated with a lower tax rate, as expected, butthe rate remains above the closed-economy rate. In summary, openness matters for optimal tax policy, primarily in the case of the large economy. The reason is mainly the ability to burden foreign investors with a tax liability.

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Paper provided by National Bureau of Economic Research, Inc in its series NBER Working Papers with number 1550.

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Date of creation: Jan 1985
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Handle: RePEc:nbr:nberwo:1550

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Please report citation or reference errors to , or , if you are the registered author of the cited work, log in to your RePEc Author Service profile, click on "citations" and make appropriate adjustments.:
  1. Dutton, John, 1982. "The Optimal Taxation of International Investment Income: A Comment," The Quarterly Journal of Economics, MIT Press, vol. 97(2), pages 373-80, May. [Downloadable!] (restricted)
  2. Martin Feldstein, 1984. "On the Theory of Optimal Taxation in a Growing Economy," NBER Working Papers 1435, National Bureau of Economic Research, Inc. [Downloadable!] (restricted)
  3. Martin Feldstein & Charles Horioka, 1980. "Domestic Savings and International Capital Flows," NBER Working Papers 0310, National Bureau of Economic Research, Inc. [Downloadable!] (restricted)
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  4. Martin Feldstein, 1982. "Domestic Saving and International Capital Movements in the Long Run and the Short Run," NBER Working Papers 0947, National Bureau of Economic Research, Inc. [Downloadable!] (restricted)
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  5. Summers, Lawrence H, 1981. "Capital Taxation and Accumulation in a Life Cycle Growth Model," American Economic Review, American Economic Association, vol. 71(4), pages 533-44, September. [Downloadable!] (restricted)
  6. Alan J. Auerbach & Laurence J. Kotlikoff, 1983. "National Savings, Economic Welfare, and the Structure of Taxation," NBER Chapters, in: Behavioral Simulation Methods in Tax Policy Analysis, pages 459-498 National Bureau of Economic Research, Inc. [Downloadable!]
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  7. Kotlikoff, Laurence J, 1984. "Taxation and Savings: A Neoclassical Perspective," Journal of Economic Literature, American Economic Association, vol. 22(4), pages 1576-1629, December. [Downloadable!] (restricted)
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  8. David G. Hartman, 1985. "The Welfare Effects of a Capital Income Tax in an Open Economy," NBER Working Papers 1551, National Bureau of Economic Research, Inc. [Downloadable!] (restricted)
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  1. Roger H. Gordon, 1987. "Taxation of Investment and Savings in a World Economy: The Certainty Case," NBER Working Papers 1723, National Bureau of Economic Research, Inc. [Downloadable!] (restricted)
  2. Joel Slemrod & Carl Hansen & Roger Procter, 1994. "The Seesaw Principle in International Tax Policy," NBER Working Papers 4867, National Bureau of Economic Research, Inc. [Downloadable!] (restricted)
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