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Taxation and Transaction Costs in a General Equilibrium Asset Economy

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Author Info
Frank Milne () (Queen's University)
Xing Jin () (University of Warwick)

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Abstract

Most financial asset pricing models assume frictionless, competitive markets that imply the absence of arbitrage opportunities. Given the absence of arbitrage opportunities and complete asset markets, there exists a unique martingale measure that implies martingale pricing formulae and replicating asset portfolios. In incomplete markets, or markets with transaction costs, these results must be modified to admit non-unique measures and the possibility of imperfectly replicating portfolios. Similar difficulties arise in markets with taxation. Some theoretical research has argued that some taxation functions will imply arbitrage opportunities and the non-existence of a competitive asset economy. In this paper, we construct a multi-period, discrete time/state general equilibrium model of asset markets with transaction costs and taxes. The transaction cost technology and the tax system are quite general, so that we can include most discrete time/state models with transaction costs and taxation. We show that a competitive equilibrium exists. Our results require careful modeling of the government budget constraints to rule out tax arbitrage possibilities.

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File URL: http://www.econ.queensu.ca/working_papers/papers/qed_wp_1111.pdf
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Publisher Info
Paper provided by Queen's University, Department of Economics in its series Working Papers with number 1111.

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Length: 24 pages
Date of creation: Oct 2006
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Handle: RePEc:qed:wpaper:1111

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Related research
Keywords: Taxation Transaction Costs General Equilibrium Asset Economy

Find related papers by JEL classification:
D52 - Microeconomics - - General Equilibrium and Disequilibrium - - - Incomplete Markets
G38 - Financial Economics - - Corporate Finance and Governance - - - Government Policy and Regulation
G12 - Financial Economics - - General Financial Markets - - - Asset Pricing

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References listed on IDEAS
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. Constantinides, George M, 1983. "Capital Market Equilibrium with Personal Tax," Econometrica, Econometric Society, vol. 51(3), pages 611-36, May. [Downloadable!] (restricted)
    Other versions:
  2. Detemple, Jerome & Murthy, Shashidhar, 1997. "Equilibrium Asset Prices and No-Arbitrage with Portfolio Constraints," Review of Financial Studies, Oxford University Press for Society for Financial Studies, vol. 10(4), pages 1133-74.
  3. Ross, Stephen A, 1987. "Arbitrage and Martingales with Taxation," Journal of Political Economy, University of Chicago Press, vol. 95(2), pages 371-93, April. [Downloadable!] (restricted)
  4. Zechner, Josef, 1990. "Tax Clienteles and Optimal Capital Structure under Uncertainty," Journal of Business, University of Chicago Press, vol. 63(4), pages 465-91, October. [Downloadable!] (restricted)
  5. Jérôme B. Detemple & Shashidhar Murthy, 1997. "Equilibrium Asset Prices and No-Arbitrage with Portfolio Constraints," CIRANO Working Papers 97s-12, CIRANO. [Downloadable!]
  6. Duffie, Darrell, 1987. "Stochastic equilibria with incomplete financial markets," Journal of Economic Theory, Elsevier, vol. 41(2), pages 405-416, April. [Downloadable!] (restricted)
  7. Dammon, Robert M & Green, Richard C, 1987. " Tax Arbitrage and the Existence of Equilibrium Prices for Financial Assets," Journal of Finance, American Finance Association, vol. 42(5), pages 1143-66, December. [Downloadable!] (restricted)
  8. 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!]
  9. Green, Richard C, 1993. "A Simple Model of the Taxable and Tax-Exempt Yield Curves," Review of Financial Studies, Oxford University Press for Society for Financial Studies, vol. 6(2), pages 233-64. [Downloadable!] (restricted)
  10. Xing Jin & Frank Milne, 1999. "The Existence of Equilibrium in a Financial Market with Transaction Costs," Working Papers 1084, Queen's University, Department of Economics. [Downloadable!]
    Other versions:
  11. Dybvig, Philip H & Ross, Stephen A, 1986. " Tax Clienteles and Asset Pricing," Journal of Finance, American Finance Association, vol. 41(3), pages 751-62, July. [Downloadable!] (restricted)
  12. Kelsey, David & Milne, Frank, 1996. "The existence of equilibrium in incomplete markets and the objective function of the firm," Journal of Mathematical Economics, Elsevier, vol. 25(2), pages 229-245. [Downloadable!] (restricted)
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