宋代士人经商研究

【作者】 王朝阳；

【导师】 袁林；

【作者基本信息】 陕西师范大学 ， 专门史， 2011， 博士

【摘要】 两宋是中国历史上一个重要的变革期,从政治体制到经济形态,从社会结构到制度文化,宋与之前均表现出了一定的差异。作为当时复杂社会现象之一的士人经商活动,在宋代也出现了新的变化,时代的嬗变绝非一种偶然或者巧合,其背后隐藏着深刻的历史根源与社会因素。士人经商更不是一种孤立、单一的社会现象,它在一定程度上反映了宋代社会多样性。正是在这个意义上,本文选取宋代士人经商作为研究对象,具体考察士人的经商活动、范围、模式及特点,在此基础上探讨宋代士人经商的缘由及其影响,试图勾勒出宋代士人经商的整体图景。本文的研究主要从以下几个方面展开：第一章：宋之前士人经商的历史回溯。士人经商是有历史延续性的,本章通过考察自先秦以来士人经商的起源及发展演变,勾勒出宋之前士人经商的大致脉络,进而把握各阶段士人经商的连续性与差异性,为进一步研究宋代士人经商做好铺垫。第二章：宋代士人经商活动之考察。在全面梳理与分析相关史料的基础上,从整体上对宋代士人经商状况进行考察,根据士人的不同分层加以把握,透视宋代士人在商品经济大潮中的具体表现,并做出一般性的分析。基于此,对两宋期间士人经商的发展趋势作一梳理,认为士人经商的整体趋势为：北宋初期尚处于半遮半掩的状态；北宋中晚期已成为普遍现象；到了南宋时期士人经商迅速蔓延,并成为一种潮流。第三章：宋代士人经商的范围。通过考察上层士人(分高级官僚、巾下级官员两种类型)与下层士人的经营情况,来剖析两者在商业经营范围方面的异同,在此基础上指出宋代上层士人的经商范围是极其广泛的,涵盖了社会生活的方方面面；而下层士人的经商范围多局限在传统的民生商品及小型店铺上。两者经商范围的共同点是对民生商品的经营,他们最大的不同点在于上层士人能凭借权势进行禁榷商品的经营,而下层士人则难以厕身其间。第四章：宋代士人经商的模式与特点。通过对材料的整理和分析,将宋代士人的经商模式分为独资经营、租赁经营、联合经营及委托经营四种,并分析了每种经营模式的具体情况及适用范围。宋代士人的经营模式,无论是广度还是深度,都较前代大有拓展和提升。关于士人的经商特点则从上层士人、下层士人分开叙述,基于两者权势的有无,而使双方特点存在着诸多差异,前者大多依靠权力而大行其道,后者则以辛勤经营为特色。第五章：士人贫困与士人经商。本章尝试着从士人相对贫困的事实、贫困原因及脱困途径为线索,来揭示士人相对贫困与士人经商之间的关系,认为宋代存在着大量相对贫困的士人,并从俸禄、官员的守选与待阙、科举、奢靡之风及聚族而居等方面探讨了宋代士人相对贫困的原因,在此基础上探讨士人阶层贫困乃至经商的原因。第六章：士人经商之制度经济学探因。宋代士人经商的原因有政治、经济、法制、思想等诸多原因,本章引进制度经济学的理论,把士人营商的诸多因素放在一个有机的理论框架内,从内在制度的促成和外在制度的诱使分析了宋代士人经商的动因。指出宋代士人经商之所以大行其道,是有深层次的制度原因的：是制约士人阶层经商的制度供给不足；二是制度的有效性较低。第七章：宋代士人经商行为的影响。历史地看,士人营商行为给宋代社会甚至明清时期都带来了深远影响。从整体上说,士大夫营商对宋代的政府财政、国家吏治、社会风气及商人与商业都带来了负面影响。但从另一方面讲,士人经商又有其积极性,这主要表现在：一些士大夫为公经商,在一定程度上缓解了政府财政压力；在一定程度上冲击了传统的重农轻商的观念,商人的地位得到一定程度的提升,进一步推动了商品经济的发展；同时,经商活动无疑有助于改善了士人的生活状况。结语：总括论文论证的主要思路,在全文的基础上对各章节的重要问题加以总结与阐发。并就士大夫对商人的矛盾心态、高薪能否养廉、从博弈的角度看宋代士大夫经商屡禁不止的原因等三个方面作一些延伸思考。更多还原

【Abstract】 Song Dynasty was an important transformation period,and it had displayed certain difference in political system,economic structure, social structure, institution system, culture and so on. Scholars in joining business activities,as the complex social phenomenon,also presented the new change in Song Dynasty. The phenomenon was not ne kind accidental or the coincidence,but had the historical roots and social factors. Scholars in business was not an isolated, a single social phenomenon,and it had reflected the diversity of society in a certain extent. This essay aims at the Scholars’doing business activity, the scope and mode and characteristics, as well as its political and social influences in the Song Dynasty. Meanwhile the history of that period would be further understood through the study on Scholars the article research mainly launches from the following several aspects:The first chapter:the historical recollection of Scholars’ bussiness before Song Dynasty.Doing bussiness had he history continuously,the article draw the outline of the continuity which and the difference various stages through the inspection from pre-Qin.The second chapter:the troops in commercial activities of the investigation. The article analysis the Scholars on the basis of the relevant sources on the overall from he philistine fielding in the economy of the concrete manifestations. Based on this,the article draw the overall trend:Scholars’ business activities was in hidded circumstances in the early Northern Song Dynasty;then had become a common phenomenon in the late stage; scholar business spread rapidly and become a trend in the Southern Song Dynasty.The third chapter:the type and scope of scholars’business. In this chapter, it mainly discusses similarities and differences of commercial activities by examining the upper scholars (sub-senior bureaucrats, the two types of lower-level officials) and the lower scholars, on the basis that the upper scholars’ activities is extremely widespread, has covered the social life aspects; and the lower range of scholars in the business was limited in the traditional livelihood of many goods and small shops. Both business areas have in common is the business of goods to people’s livelihood, their biggest difference is with the top scholars can be Prohibiting power management products, and lower scholars are difficult to be.The fourth chapter:the pattern and characteristic of scholars in Song Dynasty.Their commercial activities would be devided into the sole ownership management, to rent the management, the join management and entrusts to manage by the collation and analysis of the material.The article has analyzed each kind of business model special details and the applicable scope, and regarded the scholars’activities had the promotion than the previous generation in the breadth or the depth. The business features of scholars had many difference between the upper and the lower, the former mostly relyed on the power and popularity,however, the latter take the industrious management as a characteristic.The fifth chapter:the relationship between the poverty and the doing business. This chapter attempted to revealed the relationship of scholars’poverty and the business through the relatively impoverished fact, the impoverished reason and the out of poverty. On the basement that,the paper argued that there were the massive relatively impoverished in Song Dynasty, and from the salary, the official’Shouxuan and Daique, the imperial civil service examination, the luxury together as ethnic group in one community and so on,to discussed the reasons of the scholars’poverty.Then draw a conclusion that the impoverished was the the cause of doing business.The sixth chapter:The Probing of scholars doing business from Institutional Economics. Their commecial due to a political, economic, legal, ideological, and many other reasons, the chapter introducing the theory of institutional economics, analysised the incentives from internal institutions and external institutions. The paper considerde there would be deep institution reasons:First, restricting of the system is inadequately supplied; Second, system’s validity is low.The seventh chapter:The influence of scholars’business behavior in Song Dynasty. Historically, scholars’business behavior broader negative impact to contemporary society, such as business finances, the state officialdom, social trends, and business and commerce. On the other hand, the behavior had its positive impact,this mainly displays in:a number of scholar-officials for the public business, to a certain extent, eased the pressure on government finances; attacked the tradition to stress agriculture and the light business idea, further promoted merchant’s status; Meanwhile, improved the living conditions of scholars.Conclusion:Sumed up main ideas of the paper,and demonstrated in full text on the basis of the important probloms.then made some extensions thinking on the scholars’ ambivalence on the business, whether the high salary to raise clean,looking scholars’ commercial behavior from the gambing angle ect.更多还原