Senate Banking, Housing and Urban Affairs Committee

Subcommittee on Financial Institutions and Regulatory Relief

Subcommittee on Housing Opportunity and Community Development


Hearing on the Real Estate Settlement Procedures Act (RESPA),
the Truth in Lending Act (TILA) and problems surrounding the
mortgage origination process.

10:00 a.m., Wednesday, July 9, 1997



Prepared Testimony of Margot Saunders
Managing Attorney
National Consumer Law Center



Mr. Chairman and Members of the Subcommittee, on behalf of our low-income clients, the National Consumer Law Center thanks the committee for inviting us to testify today regarding the rewrite of the Truth in Lending Act and the Real Estate Settlement Procedures Act. We agree with the premise of these hearings that these two laws are not perfect and could be improved, and to that end we have been participating in the meetings among industry groups and consumer representatives to discuss how these improvements might take place. At this point in time, we cannot even speculate as to the success of these meetings in creating a resolution in which all interested parties will agree.

When considering a rewrite of the basic federal laws governing the home mortgage process, we should first consider what protections and disclosures consumers really need the government to ensure that lenders provide. Despite the considerable amount of resources devoted to enabling Americans to obtain homeownership, an amazingly inconsequential amount of resources are provided to ensuring that people maintain that homeownership. One of the results of this lopsided approach to encouraging homeownership is the high rate of foreclosures, especially among low income and minority homeowners. Between the years 1980 and 1995, the number of foreclosures executed each year rose from 150,000 to over 450,000. (See Table 1.) It does not help Americans to tantalize them with the dream of homeownership without providing the support to allow them to maintain that homeownership. A tripling of the foreclosure rate in 15 years is an indication that the mortgage marketplace is working against the maintenance of homeownership. Something is wrong. The mortgage industry may want regulatory reform, but homeowners need help as well.

A federal legal structure which would significantly assist people in maintaining homeownership, without diluting the strength of the home finance industry would include the following elements:

Along with appendices, this testimony has several parts:

Part I. The Role of the Marketplace -- which describes the role the marketplace plays in regulating as well as failing to protect against abuses. This section also discusses the alarming increase in the rate of home foreclosure in the United States.

Part II. Our Proposal on Amending RESPA and TILA Disclosures - describing our specific recommendations for changing the format for disclosures required under these two important statutes.

Part III. Rationale explaining the reasoning behind the proposed format for RESPA and TILA disclosures.

Part IV. Proposed Substantive Protections to be Included in any Mortgage Reform Legislation -- explaining our recommendations for three types of substantive protections which must accompany the major changes contemplated to RESPA and TILA.

Part V. Lender-paid Mortgage Broker Fees and Implementation of the Employee Compensation Rule under RESPA explaining why we oppose any moratoria on class action suits regarding lender paid mortgage broker fees and on HUD's employee compensation rule.

I. The Role of the Marketplace.

The single most expensive, complicated, and important investment most Americans make in their lifetime is thinly regulated in this nation. There are no federal or state laws that govern the maximum rates or fees that lenders can charge for loans used to purchase or refinance a home. Also, states cannot set limits on the terms lenders can impose on these loans. Other than prohibitions against discrimination in the granting of credit, the Truth in Lending Act and the Real Estate Settlement Procedures Act are the only federal or state laws that apply to these loans. These two laws are thus the only significant way in which Congress has ensured that the needs of homeowners are protected and balanced against the interests of the lending industry. As a result, it is crucial that any changes to these laws -- even recognizing their current imperfect condition -- should be made only after extremely careful consideration.

Many homeowners go through the home purchase, financing and refinancing process without any problem. Many others, however, find themselves confused, feel deceived, or worse: lose their home as a result of abusive or improper loan terms. This latter group is much larger then it should be. Indeed, according to the mortgage industry's own analysis, 39-40% of all mortgage borrowers were confused by the process. Moreover, while we do not have explicit statistics, we know that the number of homeowners who are exploited in refinancing transactions is far too high. These abusive loans are an indication of a failure in the marketplace; competition and self regulation do not stop bad loans from being made. The message is, therefore, that the efforts by industry to further deregulate the home mortgage transaction will only hurt consumers. Reform of the mortgage transaction on a federal level should mean improvement for consumers, not simply repeal of current laws.

The marketplace does work to keep interest rates down and loan terms fairly even handed for the majority of middle class borrowers who qualify for "A" credit. It is clearly not working, however, for too many American homeowners who do not qualify for the best credit rating; all too often these homeowners are elderly, or minority. Nationally, 39% of households with incomes below the federal poverty level own their own homes. (See Table 2.) More dramatically, 58% of older Americans who are below the federal poverty guidelines own homes. Too many of these low-income, elderly homeowners have lost equity in their homes, or their homes altogether as a result of abusive lending.

Abusive home equity lending, in particular, is a longstanding problem that exploded in the early 1990's. Vulnerable homeowners who could not access mainstream forms of credit were the focus of these abusive practices. Many were forced to rely on equity loans with high rates of interest in order to finance home repairs, credit consolidation or other crucial credit needs. Refinancing low rate purchase money first mortgages with high rate first mortgage loans has become a serious problem in the low income community leading to the escalating loss of homeownership. The terms of these high rate loans are not necessary to protect the lenders against loss; indeed the terms are generally so onerous that they precipitate default and foreclosure. With these equity based loans, even foreclosure does not pose actual risk of loss to the lender. The Home Ownership Equity Protection Act passed by Congress in 1994 to address these abuses, while helpful, has not significantly reduced the abuses faced by many low-income, minority and elderly homeowners.

Mortgage Crisis for Low-Income Homeowners. A number of factors coalesced in recent years to create an ongoing mortgage crisis for low-income homeowners: