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报酬递增思想何以中断
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摘要
报酬递增思想可以追溯到古希腊的柏拉图、亚里士多德、色诺芬,在斯密、穆勒等古典经济学家的体系中,以及在马歇尔的体系中,它都扮演着重要的角色。然而在新古典经济学中,报酬递增思想在很长一段时间内是缺失的。直到二十世纪80年代,伴随着新增长理论、新贸易理论等理论的兴起,报酬递增思想才重新回到主流经济学的视野中。因此从二十世纪初期到二十世纪80年代这段时期可以视为是报酬递增思想的“中断时期”,为何会产生这一中断?此即本文研究的主旨所在。
     以“马歇尔为中心”,来展开对报酬递增思想中断原因的分析,可以视为是本文的创新点。笔者以“马歇尔为中心”作为落脚点,是基于这样两方面的考虑:
     第一、从字面上来看,“报酬递增思想何以中断”中的“中断”一词含有两层含义:一方面它意味着报酬递增思想的一个从有到无的过程,另一方面还包含着一个从无到有的复兴过程。从有到无必然存在一个转折,从无到有也必然存在一个转折。对中断原因的解释必然离不开对转折点的考察,而这两个个转折点都与马歇尔密切相关。本文所重点研究的是第一个转折。
     第二、理解这一转折的关键在于区分两种不同的语境,即马歇尔的语境和新古典的语境。这可以视为是本文研究的一个创新点。立足于思想史发展的视角,动态地审视报酬递增和竞争之间的关系,可以避免站在成熟的新古典范式上来看待马歇尔思想这种“后视之见”。很多人以为,既然马歇尔是新古典经济学的开创者,那么马歇尔的经济思想和研究方法就与新古典经济学是等价的,这其实是对马歇尔的误读。这种误读主要体现在两个方面:一方面,是对马歇尔的具体经济思想存在的误读,如对报酬递增、竞争的解释。另一方面,是对马歇尔研究经济学的方法的误读。提到马歇尔的研究方法,人们几乎条件反射式地会想到其静态的局部均衡分析法,然而这却是马歇尔非常谨慎使用的方法,在他的研究中时刻保持着对现实的关注,他一直认为“经济学家的麦加在于经济生物学”。马歇尔研究方法中的现实性、动态性在今天的主流经济学中很少被提及。
     正是以如上视角作为切入点,本文的研究才对报酬递增思想中断的原因作出了富有启发性的解释,并得出了如下结论:
     报酬递增和竞争之间的关系融洽与否,是考察报酬递增思想在经济学中立足与否的一条重要线索。为保持两者的融洽性,马歇尔试图从两个方面来达到这一目的:一、对竞争的特殊理解;二、试图通过构建动态学的分析范式来解释、容纳报酬递增思想。在马歇尔的体系中,“市场的不完美性”与第一方面相对应。“具有外部经济特征的报酬递增”、“企业生命周期理论”与第二方面相对应。报酬递增思想的中断与新古典经济学对马歇尔思想的这两个方面的背离有重大的关系。新古典经济学对马歇尔经济学实现了“两大背离”,即对马歇尔的竞争理论的背离和方法论的背离。“两大背离”的原因在很大程度上是经济学的科学化所必需。因为科学化要求精确化,精确化一般要求形式化,而在有限的数学工具的约束下,形式化又必须对现实作出极强的简化。正是这“两大背离”构成了报酬递增思想被新古典经济学抛弃的原因。具体而言:
     第一、从对竞争理论的背离来看:
     马歇尔对竞争的理解是现实层面的,古典经济学意义上的。因为在马歇尔的竞争理论中,消费者的需求并非是完全有弹性的,这样来自需求的限制就构成了对企业层面的报酬递增的抑制。当企业的内部规模经济不能导致垄断时,报酬递增和竞争均衡的共存就成为了可能。
     在马歇尔的时代,伴随着边际革命的产生,竞争理论正经历着从古典意义上的竞争向新古典经济学中的完全竞争理论的转变。在竞争理论的演变过程中,完全竞争理论确立了其在新古典经济学中的主导地位,它去除了古典经济学以及马歇尔经济学中竞争的现实性、动态性特征,而退化为一种抽象的、静态的研究假设。报酬递增与完全竞争的冲突,以及完全竞争对于证明边际分配理论的不可或缺性,使得报酬递增思想被排除在了主流经济学之外。而生产函数规模报酬不变的良好性质与完全竞争的完美结合,则为证明边际分配理论的合法性起了重要的作用,这也被广泛地认为是市场经济合法性的证明。在竞争理论的这一转变过程中,古老的报酬递增思想就因与完全竞争的冲突而被驱逐出了新古典经济学的研究视野。此即报酬递增思想中断的原因之一。
     第二、从对方法论的背离来看:
     马歇尔在《经济学原理》中反复强调,静态的局部均衡分析是难以处理报酬递增问题的。为了避免得出报酬递增会导致垄断这一与现实不符的结论,即马歇尔所提及的“古诺错误”,他转向了从生物学寻求帮助,从而避免了纯粹演绎法的方法论层面的不足。马歇尔在《经济学原理》中一直试图构建一种动态的理论,以容纳报酬递增等动态性的问题。他所构建的“具有外部经济特征的报酬递增”、“企业生命周期理论”,其背后隐含的就是其动态的分析范式,这在某种程度上可以视为是在进行构建“经济生物学”的尝试。在《经济学原理》中,事实上包含了静态分析(经济力学)和动态分析(经济生物学)两种不同的分析范式。因此,马歇尔的方法论呈现出明显的二元性。局部均衡分析属于前一种范式,而对报酬递增的分析属于后一种范式。马歇尔体系中的动态学是报酬递增与竞争能够相容的一个关键所在。对马歇尔的这一方法论特征的挖掘,尤其是对他的经济生物学的研究,可以视为是本文研究的一个创新点。事实上,马歇尔对动态学的强调和其现实主义关怀密切相关。了解马歇尔的现实关怀,对于理解马歇尔研究经济学的初衷、职业历程、对经济学的整体看法、研究经济学的基本方法、以及对具体经济问题的看法是非常有帮助的。马歇尔的世界观指引了他的现实关怀,他的现实关怀指引了他研究经济学的方法,对这些问题的探究使笔者对他所论述的报酬递增与竞争的关系的相容性有了更深刻的理解。
     不幸的是,在马歇尔之后,一方面,由于欧美社会科学中产生了反对使用生物学知识的源自意识形态层面的运动,另一方面,由于二十世纪二、三十年代围绕着报酬递增的大争论,使得经济学的发展走向了一条“去经济生物学”的进路。作为在大争论中扮演重要角色的人物,斯拉法、庇古、罗宾斯等人无疑使得新古典经济学走向了一条“去经济生物学,近经济力学”的道路。这使得主流经济学抛弃了马歇尔在动态分析范式上的尝试,并在完全竞争、规模报酬不变等基本假定的基础上,优先发展了马歇尔的静态学分析范式。而报酬递增问题属于动态学研究的范畴,在静态分析范式下,它是没有立足之地的。方法论的这一转变使得马歇尔对报酬递增与竞争进行调和的种种努力付之一炬。大多数新古典经济学家都放弃了构建动态经济学的尝试,即便有个别的经济学家(如克拉克、希克斯、奈特、熊彼特等人)承诺要构建动态经济学,不过这些学者的承诺或者是仅停留在了口头上,或者是做了一些不完美的尝试,但他们基本都没有涉及对报酬递增问题的分析。所以,在新古典经济学形式化大发展的时期,静态范式是占主导地位的,其中的动态学分析是非常薄弱的。在新古典经济学抛弃马歇尔的动态学、经济生物学,转向静态学分析范式的过程中,报酬递增思想就在主流经济学中消失了。因此,对马歇尔的方法论上的这一背离是报酬递增思想中断的另一重要原因。
     鉴于报酬递增问题在新经济时代是如此重要,而报酬递增思想又有其古老的传统,因此本文的研究是具有现实意义和理论意义的。
     现实意义:一方面,可以加深人们对报酬递增思想,尤其是马歇尔的报酬递增思想的理解,从而在一定程度上化解在新经济时代人们对报酬递增现象的一些困惑。另一方面,对报酬递增问题的深入理解,可以为制定相关的政策提供一定的现实指导。
     理论意义:首先,本文的研究可以使我们理清报酬递增思想演进的脉路,并对报酬递增思想的复兴提供一些启示。其次,本文的研究可以对经济学的发展提供一些启发。现代主流经济学所面临的形式化困境,使得重读马歇尔的思想遗产成为必要。经济学发展的高级阶段究竟路在何方,本文对报酬递增思想中断原因的解释,或许会对提供一些间接性的启发。
The idea of increasing returns could be traced back to Plato, Aristotle, Xenophon in ancient Greece, and it could also be found in the works of classical economists, such as Smith, Mill, and it plays an important role in Marshall's system. However, in neoclassical economics, the idea of increasing returns lost. It's not until the 1980s that the thought of increasing returns came back to mainstream economics in New Growth and New Trade theory. Therefore, it could be concluded that the period between the beginning of the twentieth century and the 1980s can be called "The suspension period" of the idea of increasing returns. Why this suspension happens? That is the question to be answered in this paper.
     In explaining why the idea of increasing returns disappears, the "Marshall-centered" approach can be viewed as an innovation in this paper. Two points make the "'Marshall-centered" approach necessary:
     Firstly, the word "suspension" has two meanings:on one hand, it means a process that the thought of increasing returns continued for a long time and then disappeared. On the other hand, it means a process of recovery. There is a turning point in each process. The turning point should be invested, and Marshall is the exact turning point.
     Secondly, the key is to the turning point is the distinction between two different contexts:the context of Marshallian economics and neoclassical economics. This could be seen as an innovation point of this paper. This research is based on the development of intellectual history, and by examining the relationship between increasing returns and competition dynamically:an improper view is to look at Marshall backward from the standpoint of neoclassical economics. Many authors hold that since Marshall is the founder of neo-classical economics, then neoclassical economics and the Marshallian economics is the same, while in fact it's a misreading of Marshall. This misunderstanding is mainly reflected in two aspects:on one hand, many authors misunderstood some key words of Marshall, such as increasing returns and competing. On the other hand, many economists misunderstood Marshall's methods. The static partial equilibrium analysis is commonly known to be Marshall's distinguishable method, but Marshall was very cautious to this approach, and he paid more attention to reality in his whole life. He insisted that has been that "the Mecca of the economist is economic biology". Reality and dynamics, the distinguishing features of Marshall's method is rarely mentioned in modern mainstream economics.
     Based on this point, this paper reached the following conclusions:whether increasing returns and competition is harmonious is an important clue to examine whether increasing returns could exist in economics. Marshall tried two ways to accomplish this harmony:First, a special interpretation of competition; Second, trying to establish dynamic analysis paradigm to accommodate increasing returns in his system. In Marshall's system, "market imperfections" corresponds to the first; "'increasing returns with external economies" and the "life cycle theory of firm" correspond to the second. The interruption of the thought of increasing returns is closely related to the departure from these two aspects. Compared to Marshallian economics, neoclassical economics experienced "two deviations":the change in the theory of competition and methodology. The "two deviations" are necessary in order to make economics more scientific. Science requires precision, and precision requires formalization, and under the constraints of limited mathematical tools, formalization must leads to abstract of reality. It is exactly the "two deviations" make the idea of increasing returns abandoned by the neoclassical economics. To be specific:
     First, the deviation from Marshall's competition theory:
     Marshall thought competition is a kind of reality, and his interpretation is the same with classical economics. In Marshall's theory of competition, consumer demand is not fully flexible, so that the restrictions from the demand constitute suppressions to internal economies. When internal economies of scale do not lead to monopoly, it is possible for increasing returns and competition to coexist.
     In Marshall's time, accompanied by marginal revolution, competition theory was undergoing a change, that is, a change from the competition of classical economics to the theory of perfect competition in neoclassical economics. The theory of perfect competition established its dominant position in neo-classical economics; it's different from the competition in Marshall's economics. In Marshall's economics, competition is realistic and dynamical, while the competition in neo-classical economics is just an abstract and static assumption. The confliction between increasing returns and competition, and the necessity that perfect competition provide for the marginal distribution theory, made the idea of increasing returns abandon by the mainstream economics. The perfect combination between the good nature of the production function of constant returns to scale and perfect competition is necessary to prove the legitimacy of the marginal distribution theory, which was widely seen as proof of the legality of the market economy. During the change of competition theory, the old idea of increasing returns was expelled from the neo-classical economics for its confliction with perfect competition.. Namely, this is one reason why the idea of increasing returns is abandoned.
     Second, the deviation from Marshall's methodology:
     Marshall repeatedly emphasized in his Principles of Economics that static partial equilibrium analysis is difficult to deal with the problem of increasing returns, that's his character of methodology. In order to avoid the unrealistic conclusion of monopoly deduced from increasing returns, which Marshall named "Cournot dilemma", he turned to seek help from Biology, and then he avoided the defect of purely deductive methodology. In Marshall's Principles of Economics, in order to accommodate the dynamical problems such as increasing returns, he tried to establish a dynamic theory. The "increasing returns with external economies" and "life cycle theory of firm" correspond to his dynamic analysis paradigm and economic biology. Therefore, Marshall's methodology has obvious binary features. The exploration of Marshall's methodology, especially his economic biology can be seen as another innovation of this paper. In his Principles of Economics, in fact, contains both static analysis (economic mechanics) and dynamic analysis (economic biology). The partial equilibrium analysis belongs to the former, the analysis of increasing returns belong to the latter. The dynamics in Marshall's system is a key that makes increasing returns and competition compatible. In fact, Marshall's emphasis on dynamics is closely related to his realism care. To understand Marshall's realism care is helpful to understand the original intention of his economics study, his vocational course, the overall view of economics, the basic economic method, as well as his views on specific economic issues. Marshall's view of the world guides his realism care, and his realism care guides his methodology. Based on this point, a more profound understanding of the compatibility between increasing returns and competition could be realized.
     Unfortunately, after the Marshall, economics witnessed a development far from "economic biology". On the one hand, in the social sciences of Europe and the United States, an ideological movement against the use of biological knowledge happened. On the other hand, during the 1920s-1930s. a controversy about increasing returns happened. Sraffa, Pigou and Robbins. as important participants in the controversy, leaded neo-classical economics go to way close to economic mechanics and far from economic biology. This made mainstream economics abandon Marshall's attempt to establish dynamic analysis paradigm. Under the assumptions of perfect competition and constant returns to scale, mainstream economics gives priority to Marshall's static analysis paradigm. Increasing returns belongs to the scope of the dynamics, and static analysis paradigm could not deal with it. The methodological shift made Marshall's efforts of reconciling increasing returns and competitive vanished. Most neoclassical economists abandoned the attempt to build a dynamic economics, though some economists (e.g., Clarke, Hicks, Knight, Schumpeter, and others) committed to building dynamic economics, but they didn't succeed, and they didn't involve the analysis of increasing returns. Therefore, in neo-classical economics to formal period of great development, static paradigm is dominant; the dynamic analysis is very poor. After neoclassical economics abandoned Marshall's dynamics (economic biology), and changed to static analysis paradigm, increasing returns thinking disappeared in mainstream economics. Thus, methodological shift is another important reason for the interruption of the idea of increasing returns.
     Since the problem of increasing returns is an important phenomenon in new era, and the idea of increasing returns has its ancient tradition, this paper must has both practical and theoretical significance:
     The practical significance is that:on the one hand, it may deepen the thinking of increasing returns, especially Marshall's idea of increasing returns, and can resolve some confusion in new era. On the other hand, it may provide some practical guidance to the relevant policy.
     As to the theoretical significance:Firstly, this study allows us to understand how the idea of increasing returns evolves, and it could provide some inspiration to the revival of the idea of increasing returns. Secondly, this paper may provide some inspiration for the development of the economics. The formal predicament faced by modern mainstream economics made it necessary to revisit Marshall's intellectual legacy. Where is economics going in the future? The explanation to the interruption of the idea of increasing returns may perhaps provide some indirect inspiration.
引文
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    1 纳尔逊.最近关于经济变迁的演化理论[A].转载于库尔特多普菲编.贾根良等译.演化经济学纲领与范围[C].北京:高等教育出版社,2004:151。
    1 纳尔逊.最近关于经济变迁的演化理论[A]转载于库尔特多普菲编.贾根良等译.演化经济学纲领与范围[C].北京:高等教育出版社,2004:155。
    1 邓翔.收益递增与劳动分工理论回顾[J].四川工业学院学报,增刊-0093-03,2003:94。
    3另有说法认为马歇尔冲突指的是规模经济与“完全竞争”之间的冲突关系,究竟马歇尔冲突中所涉及的“竞争”指的是“完全竞争”还是含义比较广泛的“竞争”概念,对于我们了解这一命题的由来是非常关
    键的。后文对对此作出回应。
    1 刘涤源.阿·马歇尔经济学说提要[M].上海:上海人民出版社,1986:1。
    2刘涤源.阿·马歇尔经济学说提要M].上海:上海人民出版社,1986:51。
    3刘涤源.阿·马歇尔经济学说提要M].上海:上海人民出版社,1986:166。
    4刘涤源.阿·马歇尔经济学说提要M].上海:上海人民出版社,1986:16。
    1亚当·斯密.国民财富的性质和原因研究[M].北京:商务印书馆,2009:15。
    1 约翰·穆勒.政治经济学原理[M].北京:商务印书馆,2009:150。2约翰·穆勒.政治经济学原理[Ml.北京:商务印书馆,2009:152。
    3约翰·穆勒.政治经济学原理[M].北京:商务印书馆,2009:167。
    1 当然,笔者并非认为斯密没有提及“合”,而是没有明确地提出。笔者猜测,斯密定理中所提到的“市场范围”在很大程度上可以视为“合”。
    2马克思.资本论第1卷[M].北京:人民出版社,1975:362。
    3马克思.资本论第1卷[M].北京:人民出版社,1975:362。
    1马歇尔.经济学原理(上册)[M].北京:商务印书馆,2009:372。
    2马歇尔.经济学原理(上册)[M].北京:商务印书馆,2009:315。
    3马歇尔.经济学原理(上册)fMl.北京:商务印书馆,2009:371。
    4马歇尔.经济学原理(上册)[M].北京:商务印书馆,2009:371。
    1马歇尔.经济学原理(上册)[M].北京:商务印书馆,2009:303。
    2马歇尔.经济学原理(上册)[M].北京:商务印书馆,2009:315。
    1马歇尔.经济学原理(上册)[M].北京:商务印书馆,2009:320。
    2马歇尔.经济学原理(上册)[M].北京:商务印书馆,2009:321。
    1杨格.报酬递增与经济进步[A].罗卫东主编.经济学基础文献选读[C].杭州:浙江大学出版社,2007:274。
    2杨格.报酬递增与经济进步[A].罗卫东主编.经济学基础文献选读[C].杭州:浙江大学出版社,2007:273,275,277。
    3 Currie (1997)在“从杨格宏观报酬递增的视角看索罗主义和新增长理论”一文中也持这一观点。贾根良(1999)认为研究报酬递增问题的两条思路中,以杨格为代表的结构主义思路是整体主义的方法。
    4杨格.报酬递增与经济进步[A].罗卫东主编.经济学基础文献选读[C].杭州:浙江大学出版社,2007:280。
    1沃尔德·罗普.复杂——诞生于秩序与混沌边缘的科学[M].北京:三联书店,1997:37-38.
    2汪丁丁,罗卫东,叶航.历史视角的经济学:是否必要?如何可能?[J].浙江社会科学,2003(9):36.
    1 对于这一点的深入探讨,可以参见wolfe(1954),Moss(1984)的贡献.
    2约翰·伊特维尔编.新帕尔格雷夫经济学大辞典(第1卷)[C].北京:经济科学出版社,1996:583。
    3穆勒.政治经济学原理(下册)[M].北京:商务印书馆,2009:365。
    1 熊彼特.资本主义、社会主义与民主[Ml.北京:商务印书馆,2000:140。
    2马歇尔.经济学原理(下册)[M].北京:商务印书馆,2009:235。
    3马歇尔.经济学原理(下册)[Ml.北京:商务印书馆,2009:235。
    4 Brian J. Loasby,The Mind and Method of the Economist:A Critical Appraisal of Major Economists in the 20th Century[M]. Edward Elgar,1989:55.
    4马歇尔.经济学原理(下册)[M].北京:商务印书馆,2009:147。
    1转引自晏智杰.边际革命和新古典经济学[A].北京:北京大学出版社,2003:368。
    2 Alfred Marshall. Industry and Trade[M]. Macmillan,1923:257.
    3约翰·伊特维尔编.新帕尔格雷夫经济学大辞典(第3卷)[C].北京:经济科学出版社,1996:383。4马歇尔.经济学原理(上册)[M].北京:商务印书馆,2009:338。
    1马歇尔.经济学原理(上册)fMl.北京:商务印书馆,2009:8。
    2斯宾塞.社会静力学[M].北京:商务印书馆,2009:43。
    1古诺.财富理论的数学原理研究[M].北京:商务印书馆,2005:56-57。
    2转引自约瑟夫·熊彼特.经济分析史(第3卷)[c].北京:商务印书馆,1996:326。
    3瓦尔拉斯.纯粹经济学要义[M].北京:商务印书馆,1997:16。
    1转引自约瑟夫·熊彼特.经济分析史(第3卷)[C].北京:商务印书馆,1996:327。
    2转引自约瑟夫·熊彼特.经济分析史(第3卷)[C].北京:商务印书馆,1996:328。
    3约翰·伊特维尔编.新帕尔格雷夫经济学大辞典(第1卷)[C].北京:经济科学出版社,1996:579。4克拉克.财富的分配[Ml.北京:人民日报出版社,2010,40。
    5转引自约翰·伊特维尔编.新帕尔格雷夫经济学大辞典(第1卷)[C].北京:经济科学出版社,1996:580。
    6奈特.风险、不确定性和利润[M].北京:中国人民大学出版社,2005:56-57。
    1 希克斯.价值与资本[M].北京:商务印书馆,1982:76。
    1希克斯.价值与资本[M].北京:商务印书馆,1982:77。
    2希克斯.价值与资本[M].北京:商务印书馆,1982:77。
    1张伯伦.垄断竞争理论[Ml.北京:华夏出版社,2009:20。
    2他极力强调纯粹竞争与完全竞争是不同的。他以纯粹竞争为分析的起点,然而正如很多人所指出的,他的纯粹竞争与完全竞争是相同的。
    3张伯伦.垄断竞争理论[M].北京:华夏出版社,2009:197-198。
    1琼罗宾逊.不完全竞争经济学[M].北京:商务印书馆,1961:3。
    2琼罗宾逊.不完全竞争经济学[M].北京:商务印书馆,1961:3。
    3琼罗宾逊.不完全竞争经济学[M].北京:商务印书馆,1961:3-4。
    1琼罗宾逊.不完全竞争经济学[M].北京:商务印书馆,1961:12。
    2琼罗宾逊.不完全竞争经济学[M].北京:商务印书馆,1961:19。
    3琼罗宾逊.不完全竞争经济学[M].北京:商务印书馆,1961:257。
    1本·塞利格曼.现代经济学主要流派[A].北京:华夏出版社,2010:551。
    1 Wicksteed.Philip Henry. An essay on the co-ordination of the laws of distribution[J]. Bristol Selected
    Pamphlets,1894:35.
    1张旭昆.论威克斯蒂德收入分配理论的历史地位[A].载于经济思想史评论,第四辑[Cl.北京:经济科学出版社,2009:81-82。
    2转引自施蒂格勒.生产和分配理论[A].北京:华夏出版社,2008:286。
    3转引自施蒂格勒.生产和分配理论[A].北京:华夏出版社,2008:321。
    1转引自施蒂格勒.生产和分配理论[A].北京:华夏出版社,2008:323。
    2张伯伦.垄断竞争理论[M].北京:华夏出版社,2009:181。
    3张伯伦.垄断竞争理论[M].北京:华夏出版社,2009:183。
    1生产函数的一次齐次性和平均成本不随着产品的投入产出的比例变化而变化(或平均成本不变)的关系证明如下q=f(K,L), f(aK,aL)=bq设要素投入由初始的k,L变为aK,aL, K,L的价格分别为PK,PL且保持不变,则AC0=(KPK+L PL)/q, AC,=a (KPK+L PL)/bq要满足AC0=AC1则a/b=1,则f(aK,aL)=aq。所以在均衡点要求平均成本不变,规模报酬不变。
    2这与熊彼特在《经济分析史》(第三卷,第406页)和萨缪尔森在《经济分析基础》中所认为的耗尽定理是个均衡命题,而不是在每一点都成立的观点是一致的。
    3本图转引自张伯伦.垄断竞争理论[M].上海:三联书店,1958:168。
    1熊彼特.经济分析史(第3卷)M].北京:商务印书馆,1994:408。
    2萨缪尔森.经济分析基础[M].沈阳:东北财经大学出版社,2006:51。
    3萨缪尔森.经济分析基础[M].沈阳:东北财经大学出版社,2006:51。
    1萨缪尔森.经济分析基础fMl.沈阳:东北财经大学出版社,2006:52。
    2熊彼特.经济分析史(第3卷)[M].北京:商务印书馆,1994:416。
    3萨缪尔森.经济分析基础[M].沈阳:东北财经大学出版社,2006:52。
    4科尔奈(1971)注意到斯密对于资本主义经济“看不见的手”的描述是真实的。但是经过100多年,当
    1 马歇尔.经济学原理(下册)[M].北京:商务印书馆,2009:60。
    2马歇尔.经济学原理(下册)[M].北京:商务印书馆,2009:61。
    3马歇尔.经济学原理(下册)fMl.北京:商务印书馆,2009:133。
    4马歇尔.经济学原理(下册)[M].北京:商务印书馆,2009:49。
    1 马歇尔.经济学原理(下册)[M].北京:商务印书馆,2009:546。
    2马歇尔.经济学原理(下册)[M].北京:商务印书馆,2009:542-543。
    3当然,马歇尔对报酬递增的分析中所体现的古典特色也是不容忽视的,不过此处不讨论这一问题。
    1马歇尔.经济学原理(上册)[M].北京:商务印书馆,2009:3。
    2 Alfred Marshall, Distribution and Exchange[J]. The Economic Journal. Vol.8, No.29, Mar.,1898:49-50.
    1代表性企业(representitive firm)这一概念明确地出现在《经济学原理》的第二版,而不是第一版中,罗宾斯(1928)以此为依据,说明代表性企业这一概念因为是后来加上的,所以在马歇尔的整个理论体系中不具有重要性。而这种批评是不合理的。Guillebaud研究了马歇尔的《原理》的八个版本之间的变化,并于1961年出版了《原理》的集注版,对这些变化做了详细的记录。正如他的研究(1942,1961)表明,在《原理》第一版论述报酬递增条件下寻求正常供给价格时马歇尔就已提到了“我们必须选择能够具有正常能力以便于获得产业组织的内部经济和外部经济的平均份额的有代表性的企业(representitive business)”,可见罗宾斯的批评是不成立的。
    2 A.C.Pigou. Memorials of Alfred Marshall[A]. London:Macmillan,1925:406-407.
    3 Peter Groenewegen. A soaring eagle:Alfred Marshall 1842-1924[M]. Edward Elgar Publishing Limited. 1995:634.
    4 Giacoma Becattini. The return of the 'white elephant'[A]. in Richard Arena, Michel Quere. The economics of Alfred Marshall:revisiting Marshall's legacy[C]. Palgrave Macmilan,2003:21.
    1 梅纳德·凯恩斯.精英的聚会[M].南京:江苏人民出版社,1998:207-208。
    2转引自Peter Groenewegen. A soaring eagle:Alfred Marshall 1842-1924[A]. Edward Elgar Publishing Limited. 1995:315。
    3转引自Peter Groenewegen. A soaring eagle:Alfred Marshall 1842-1924[A]. Edward Elgar Publishing Limited. 1995:314。
    4转引自Peter Groenewegen, A soaring eagle:Alfred Marshall 1842-1924[A]. Edward Elgar Publishing Limited. 1995:314。
    1转引自Peter Groenewegen. A soaring eagle:Alfred Marshall 1842-1924[A]. Edward Elgar Publishing Limited. 1995:271。
    2梅纳德·凯恩斯.精英的聚会[M],南京:江苏人民出版社,1998:22。
    1收录于A.C.Pigou. Memorials of Alfred Marshall[M]. London:Macmillan.1925:359-360.
    2其实,第四章提到的马歇尔的竞争理论也可以放在其动态学的背景下来理解。
    1不过,熊彼特在《经济发展理论》和《经济分析史》中都提到,穆勒的静态和动态的分法可能引自孔德,而孔德是从动物学家德·布兰维尔那里借用来的。这样看来,穆勒的静态和动态分析法与生物学有很大的关系,而近一个半世纪之后,马歇尔又重申了经济学的高级阶段与生物学的密切关系。
    2约翰·穆勒.政治经济学原理(下册)[M].北京:商务印书馆,2009:259-260。
    3约翰·穆勒.政治经济学原理(下册)[M].北京:商务印书馆,2009:319。
    4约翰·穆勒.政治经济学原理(下册)[M].北京:商务印书馆,2009:319。
    1 Alfred Marshall. "Principles of economics", ninth(variorum) edition, C.W. Guillebaud, Volume 2, London: Macmillan,1961:40.
    2马歇尔.经济学原理(上册)[M].北京:商务印书馆,2009:9。事实上"economic dynamics"应译为“经济动力学”,而不是“经济力学”。笔者下文会详细说明理由。
    3布劳格.经济理论的回顾[M].北京:中国人民大学出版社,2009:327。
    1马歇尔在最初写作《经济学原理》的时候,计划将全书写为两卷,后来他放弃了这一计划。2转引自阿莱桑德罗 隆卡吉里亚.皮埃罗斯拉法传[Al.北京:华夏出版社,2009:11。
    3托德·G巴克霍尔兹.已故西方经济学家思想的新解读——现代经济思想导论[M].北京:中国社会科学出版社,2004:143-146。
    1 Alfred Marshall. Distribution and Exchange[J]. The Economic Journal. Vol.8, No.29. Mar.,1898:37.
    2 Alfred Marshall. Distribution and Exchange[J]. The Economic Journal. Vol.8, No.29 Mar.,1898:39.
    1 Alfred Marshall. Distribution and Exchange[J]. The Economic Journal, Vol.8, No.29 Mar.,1898:39.
    2 Alfred Marshall. Distribution and Exchange[J]. The Economic Journal, Vol.8, No.29 Mar.,1898:39.
    3 Alfred Marshall. Distribution and Exchange[J]. The Economic Journal. Vol.8, No.29 Mar.,1898:39.
    4所以商务版将" The Mecca of the economist is economic biology rather than economic dynamics"中的economic dynamics翻译为“经济力学”误解了马歇尔的本意。
    5 Alfred Marshall. Distribution and Exchange[J]. The Economic Journal. Vol.8, No.29 Mar.,1898:39.
    6 Alfred Marshall. Distribution and Exchange[J]. The Economic Journal, Vol.8, No,29 Mar.,1898:42.
    7 Alfred Marshall. Distribution and Exchange[J]. The Economic Journal, Vol.8, No.29 Mar.,1898:43.
    1 内维尔·凯恩斯.政治经济学的范围与方法[M].北京:华夏出版社,2001:93。
    2 Hutter (1994)说明了这种有机隐喻的德国根源可以追溯到18世纪甚至更早。大量的德国社会科学家在生物有机体和社会有机体之间进行了广泛的比较。随着德国历史学派的出现,产生了极度依赖有机隐喻的现象。详见J·M·Hodgson.演化与制度:论演化经济学和经济学的演化[M].北京:中国人民大学出版社,2007:90。
    3 Alfred Marshall. Distribution and Exchange[J]. The Economic Journal, Vol.8, No.29 Mar.,1898:43. 4 Alfred Marshall. Distribution and Exchange[J]. The Economic Journal. Vol.8, No.29 Mar.,1898:44.
    5《经济学原理》总共出版了八版,前四版出版的年份分别是1890,1891,1895,1898年。
    1马歇尔.经济学原理(上册)[M].北京:商务印书馆,2009:8-9。
    1马歇尔.经济学原理(上册)[M].北京:商务印书馆,2009:2。事实上,“自然界没有飞跃”这一名言出现在《原理》的八个版本的封面上,可见他自始至终都强调连续性。
    2马歇尔.经济学原理(上册)[Ml.北京:商务印书馆,2009:1。
    3马歇尔.经济学原理(上册)[M].北京:商务印书馆,2009:2。
    4马歇尔.经济学原理(上册)fM].北京:商务印书馆,2009:3。
    5马歇尔.经济学原理(上册)[M].北京:商务印书馆,2009:5。
    6马歇尔.经济学原理(上册)[M].北京:商务印书馆,2009:5。
    1马歇尔.经济学原理(上册)[M].北京:商务印书馆,2009:10。
    2马歇尔.经济学原理(上册)[M].北京:商务印书馆,2009:3。
    3收录于A.C.Pigou. Memorials of Alfred Marshall[A]. London:Macmillan.1925:490.
    4需指出,这种列举是不全面的,仅仅是依据从字面上来看比较明显的一些例证。而对于一些在含义层面上,经济学与生物学的相似性的例证,限于篇幅,此处没有列举,但并不表明这些例证不存在。如马歇尔自己所指明的,第六篇第十二章就是其动态分析的一种尝试。
    1马歇尔.经济学原理(上册)[Ml.北京:商务印书馆,2009:288
    2马歇尔.经济学原理(上册)[M].北京:商务印书馆,2009:288
    1 马歇尔.经济学原理(上册)[M].北京:商务印书馆,2009:288
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    2 J.K.Whitaker.The Early Economic Writings of Alfred Marshall[C]. New York:The Free Press,1975:151.
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    2详见第四章的分析。
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    4马歇尔.经济学原理(上册)M].北京:商务印书馆,2009:372。
    5马歇尔.经济学原理(上册)[M].北京:商务印书馆,2009:372。
    1 内维尔·凯恩斯,政治经济学的范围与方法[Ml.北京:华夏出版社,2001:93。
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    4马歇尔.经济学原理(下册)[M].北京:商务印书馆,2009:484。
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    6马歇尔.经济学原理(下册)[M].北京:商务印书馆,2009:485。
    1 Alfred Marshall, The Old Generation of Economists and the New[J]. The Quarterly Journal of Economics, Vol. 11. No.2, Jan.,1897:119.
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    1在斯拉法这篇文章的语境中,完全竞争(只出现一次)、自由竞争(出现了三次)、完全市场(只出现一次)基本上是同义语。
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    1转引自Neil Hart. Marshall's Dilemma [Al.Journal of Economic Issues, Vol.37, No.4,2003:1139.
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    2克拉克认为在经济社会发展过程中,有五种变动在不断地发生:1.人口持续增长;2.人们不断产生新的欲望;3.资本不断增加;4.生产组织形式不断变化,效率低的工厂被淘汰,效率高的仍存在;5.生产方法不断改善。在静态的假设下,上述五种变化被假定是完全静止的。
    3转引自施蒂格勒,生产和分配理论[A].北京:华夏出版社,2008:255。
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    2另外,罗宾斯1930年的文章On a certain ambiguity in the conception of stationary equilibrium,也注意到了这一点。
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    1 正如克拉克所言,在静态中没有利润,利润是进步的结果,利润理论属于动态理论。
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