【作者】 明旭；

【导师】 周生春；

【作者基本信息】 浙江大学 ， 政治经济学， 2012， 博士

【摘要】 本文的主要贡献在于,在明代徽商“贾而好儒”问题上以经济演化分析取代长时段的结构主义分析。“贾而好儒”是明代嘉靖、万历间社会经济变迁过程中出现的一种独特的社会文化现象,不是明代徽商的固有特征。其最终形成是在低水平供给公共品的政府、人格化交易、倭乱与海禁政策、等级化的商业网络等多种因素复杂作用下的结果,反映了明代徽州商人形成更大规模关系网络、节省人格化交易中交易成本的一种努力。具体而言,本文在史实判定与理论解释上有如下创新。第一,对几组概念的成词时间进行了考证。通过对“徽商”、“歙商”等地域性商人称号考察,为王振忠关于“徽商”最早成词于正德间,而不是以往所认为的成化、弘治间的观点提供了两则新史料。“歙贾”与“徽商”的成词时间接近,其余各县商人称号成词稍后且时间不一。同时,对“帮”(限明代)、“商帮”“徽帮”称号的成词时间进行了考证。“商帮”一词出现于明末福建文献中,盐业商帮(或海帮)的组织可追溯至嘉靖四十三年(1564)；“徽帮”一词出现于清末民初。对明代徽商的组织化程度似乎不宜作过高估计。第二,徽州田价是徽商资本流动的风向标。以往关于明代徽州田价趋势的“倒U形增长说”和“直线增长说”均值得商榷。其原因有二：天启前的徽州田价因忽视田税推割延迟而被高估；同时,忽视了亩的标准不一、亩价数据的高离散度对平均亩价有效性与代表性的影响。利用田价年租比曲线分析,明代徽州田价既不呈“倒U形”增长,也不呈“直线”增长,而呈“N形增长”。这是徽商资本在嘉靖“严肃海禁”后大量从土地流向盐业、典业,又在万历商业环境恶化后持续回流土地的结果。第三,绘制了1370-1826年间徽州六县中进士人数与中举人数的趋势图,指出明中期以后徽州六县儒业出现清晰的分化。休宁的中进士人数与中举人数逐渐向歙县趋同；在宋和明中前期“儒风”很盛的婺源、祁门县在明后期儒业出现大幅衰落；而黟县、绩溪则始终处于低位,改变不大。“儒风”不是“贾而好儒”的充分条件。第四,讨论了关系网络中徽商的“游道”及其开展的主要方式,对“客纲”“客纪”、“客长”、“商纲”等概念进行了釐清。客纲、客纪,亦即客长,最早出现于成化间,是盐业中设立的联引盐商与政府的职位。嘉靖三十五年海洋贸易中亦见“客纲”、“客纪”,是指客商首领,不是运纲组织。木业中有“商纲”,专指商人首领。明末文学作品中“客长”也被用于尊称一般旅客,并不专指商人。随着客长、祭酒等职务的权力和影响力的增大,明代中后期商人网络呈现明显等级化的趋势。第五,对文人润笔中出现“廉贾”、“隐贾”、“诗贾”、“儒贾”等商人类别的成词时间和内容做了考证和归纳,并从认同经济学的角度考察了明代文人润笔与明代徽商的奢侈消费行为,指出文人润笔是一个创造社会类别、节约交易成本的机制,而奢侈消费行为很大程度上可视为一个增加认同投入的“经济”行为。更多还原

【Abstract】 The main contribution of this thesis is to explain the phenomenon of Hui merchants’Confucianization with the view of economic evolution instead of long-term structuralism analysis. The phenomenon of Hui merchants’Confucianization is an unique social and cultural process, as a part of social and economic evolution during Jiajing & Wanli era in the Ming dynasty. Low-level public services provided by government, inpersonized transactions, Wo Luan(倭乱)and ban policy on maritime trade, hierarchy merchant network and other factors complicatedly affected the process, which is motivated by reducing transaction cost and organizing a larger network by Hui merchants.In detail, there are five new findings.1. Clarifying the formation of several concepts. Through the analysis of territorial merchant terms such as Hui Shang(徽商),Hui Gu(徽贾),She Shang(歙商),She Gu(歙贾)etc., it is find out that there are two new evidences may reinforce Wang Zhenzong’si(王振忠)assertion that Hui Shang(徽商)terms were shaping in Zhengde era not in Cheng Hua and Hong Zhi era. The term of She Gu(歙贾)appeared almost at the same time as Hui Shang(徽商),while the others are quite late and not chronicle. Through the analysis of the term Bang(帮),Shang Bang(商帮),Hui Bang(徽帮), it is find out that the term of Shang Ban(商帮)appears in an article wrote in Fujian during late Ming, Shang Bang(商帮)organization may be traced to Jiajing 43(1564),and the term of Hui Bang(徽帮)come to use during late Qing and early Minguo. It seems that the extent to which Hui merchants was organized is over-estimated.2. Huizhou farmland prices indicate Hui merchants’ capital flow. The trend of Huizhou farmland prices during Ming dynasty, as discussed in former scholarships, was an ’inverted-U’ or ’straight-line’ curve. Both interpretations are wrong for two reasons. First, Huizhou farmland price data before Tianqi era were over-estimated by neglecting the effect of tax delay on farmland property transactions (TDFPT). Second, the explanation efficiency of average Mu price widely used in Huizhou studies is deteriorated by the evolving differences between Mu and Tax mu, and also strictly constricted by the high-degree variation of Mu Price. Considering the TDFPT factor, we replace Mu price with’the Ratio of Price to Annual Rent’which exhibits an ’N-shape’ growth, rather than an ’inverted-U’ or a ’straight-line’. The N-shape curve is the result of Hui merchants’ capital influx into salt industry and pawn broking from farmland during Jiajing era, and the reverse flow during Wanli era.3. Depicting the number of Jinshi(进士)and Juren(举人)tendency curve of six counties in Huizhou in 1370-1826, it is find out that the gaps between the six counties are quite obvious. The numbers of Jinshi(进士)and Juren(举人)in Xiunin(休宁)re more and more close to Shexian(歙县).The numbers of Jinsh进士)and Jure(举人)in Wuyuan(婺源)and Qimen(祁门)shrinks from early Ming to late Ming and Qing, while the numbers of Jinshi(进士)and Juren(举人)in Yi(黟)and Jixi(绩溪)stay put. It shows that a better performance in Keju(科举)before commercialization does not necessarily come to merchants’Confucianization.4. Discussing the You Dao(游道)of Hui merchants in the network and clearfying the concepts of Ke Gang(客纲),Ke Ji(客纪),Ke Zhang(客长),and Shang Gangi(商纲).Ke Gangi(客纲)and Ke Jil(客纪),also named Ke Zhang(客长)in Chenghuai(成化)era, was a position between salt merchants and government. Ke Gang(客纲)Ke Ji(客纪)in foreign trade is a leading position of guest merchants, not a transport organization. Shang Gang(商纲)in wood trade, also refers to merchant leader. In late Ming literature, Ke Zhangi(客长)is used to respect common travellers, not only merchants. With the influence and power of Ke zhang(客长)increased, the merchants network became more like a hierarchy.5. Discussing the emerging concepts of several merchant categories such as Lian Gu(廉贾),Yin Gu(隐贾),Shi Gu(诗贾),Ru Gu(儒贾)in the remuneration literatures during the Ming dynasty. Through the view of identity economics, the economy of remuneration and Hui merchants’ luxurious spent are also examined. Remuneration(润笔)is a mechanism of creating social categories and reducing transanction cost, while luxurious spent may be viewed as an "economic" behavior as to increasing identity investment.更多还原