【作者】 徐洋；

【导师】 顾海良；

【作者基本信息】 武汉大学 ， 马克思主义发展史， 2013， 博士

【摘要】 《资本论》是马克思的最主要著作,是他毕生研究政治经济学取得的最终成果,是马克思主义哲学、政治经济学和社会主义学说的集大成。同时,《资本论》也是马克思和恩格斯两个人的著作,表现为一个庞大的文献群体,一个未完成的、开放的体系。研究这个体系的发生、发展、演变、“定型”,可以使我们更加深入地理解《资本论》的理论体系。本论文选取这个体系演变史中的一部分,即现行《资本论》第二卷(第二册)《资本的流通过程》的历史作为研究对象。本文把《资本论》第二册从马克思酝酿、写作,经过恩格斯编辑出版,直到马克思所有手稿和恩格斯的编辑稿按照原样发表的整个过程当做一个有机的、整体的历史来考察。本文立足于国内外学者的研究成果,特别是以《马克思恩格斯全集》历史考证版对马克思《资本论》第二册手稿和恩格斯《资本论》第二册编辑稿、刊印稿的发表和研究为基础,并结合后世对恩格斯所编《资本论》第二册刊印稿的再版和研究,考察马克思资本流通理论的产生和发展,马克思撰写《资本论》第二册各手稿的复杂历程,恩格斯整理编辑《资本论》第二册的艰难过程,大致勾勒《资本论》第二册的形成史,并就马克思的手稿、恩格斯的刊印稿的成败得失提出自己的初步见解,以期把国内对《资本论》第二册的研究从历史的角度推向深入。本文的结构为：最前面是导论,主体部分分为8章,最后是结论。导论部分阐述了本文的研究对象,介绍了国内国际的研究状况,交代了文章的写作思路。第1章“《资本论》第二册的创作史分期和对象、结构”的主要任务是确定本文研究对象的基本面貌,阐述《资本论》第二册在《资本论》创作史中的位置,在马克思经济学著作结构计划中的位置,《资本论》第二册的对象、三分结构的形成以及马克思对资本流通的认识的演变,并在最后论述了马克思的资本流通理论在《反思》手稿中的萌芽。本文第2—6章组成一个单元,考察马克思的资本流通理论的产生和发展以及《资本论》第二册各手稿的创作过程。这个单元又分为两个小单元。第一个小单元为第2、3章,主题为“《政治经济学批判》视野下的资本流通理论”。第2章考察1857—1858年手稿,第3章考察1861—1863年手稿。第二个小单元为第4、5、6章,主题为“《资本论》视野下的资本流通理论”,分别考察1863—1865年、1867—1870年和1876—1882年的《资本论》第二册手稿。马克思在1857—1858年手稿中,虽然不断构想自己的经济学著作的结构方案,并且先后提出五篇计划和六册计划的多个方案,但是1857—1858年手稿的主体部分“资本章”则大体上是按照资本的生产过程、资本的流通过程、资本和利润的三分结构(即后来《资本论》理论部分的三分结构)来撰写的。马克思在1857—1858年手稿阐述了对资本流通基本问题的见解,例如资本流通的实质和目的,流通同生产的辩证关系,流通时间和流通费用。但是从后来《资本的流通过程》的三分法来看,马克思只是重点论述了资本周转,特别是资本周转理论中的固定资本和流动资本理论；关于资本循环的零星见解是混杂在资本周转中论述的；关于社会资本再生产,则只是附带论述到。马克思在1861—1863年手稿中的某些章节,推进了对资本循环理论的论述,逐步制定了资本循环的公式,但资本循环仍然没有从“资本流通”这一概念中剥离出来。从篇章结构来看,1861—1863年手稿只有资本的生产过程和资本和利润,没有资本的流通过程。然而马克思在该手稿的主体部分即“剩余价值理论”中,通过批判资产阶级经济学家的观点,对社会资本再生产作了多次阐述,提出了两大部类的概念,初步制定了简单再生产实现的条件。马克思从1863年开始以《资本论》为正标题撰写自己的经济学巨著。1865年所写的第二册第Ⅰ稿的最大成就,是确立了《资本的流通过程》册的三分结构,即第一部分阐述单个资本的流通中的循环,第二部分阐述单个资本的流通中的周转,第三部分阐述社会资本的流通(再生产)。而这个进步的核心,在于把资本循环从资本周转中剥离出来,建立了从资本循环到资本周转的抽象—具体结构。此外,第Ⅰ稿对资本循环、资本周转和社会资本再生产的内部结构划分也作了初步设想,并在一些具体论点上取得进步。马克思在1867—1870年紧张地撰写《资本论》第二册和第三册,希望借着《资本论》第一卷的成功,也能够尽快出版这两册。马克思在此期间为第二册创作了大量手稿,其中最重要的是第Ⅱ稿和第Ⅳ稿。在这两稿的第一章,资本循环的基本结构被确定下来。第Ⅱ稿还在资本周转和社会资本再生产两部分取得显著成就。在第Ⅱ稿第二章,资本周转部分的阐述框架和理论要点基本成型。在第Ⅱ稿第三章,对社会资本再生产问题的研究对象、意义及其在《资本论》第二册三章结构中的地位作了明确阐述,确立了先简单规模的再生产、后扩大规模的再生产的阐述顺序(两者又分为没有货币流通的阐述和有货币流通的阐述两个步骤),并首次以“图式”(Schema)的方式说明社会两大部类的交换关系。在对第二册的创作中断了6年之后,马克思在1876—1882年再次为《资本论》第二册创作了大量手稿,主要有第Ⅴ、Ⅵ、Ⅶ、Ⅷ稿。马克思在第Ⅴ、Ⅵ、Ⅶ稿中,对资本的循环理论作了细致的阐述,使得这一部分基本定型。马克思在第Ⅷ稿填补了他的资本流通理论的最后一个大空白——社会资本的扩大再生产；第Ⅷ稿还改变了此前第Ⅰ、Ⅱ稿的阐述方式,全面纳入货币流通对简单再生产和扩大再生产作了系统阐述。第Ⅷ稿为第二册第三篇的定型提供了重要前提。通过第2—6章这一单元可以看出,尽管马克思在阐述资本流通理论和撰写《资本论》第二册的过程中取得巨大成就,但是他没有为《资本论》第二册留下一份可供编辑的完整手稿,也没有留下完整的编辑方案。本文第7—8章组成一个单元,考察恩格斯编辑出版《资本论》第二册的过程,并对恩格斯的编辑工作进行评价。第7章首先对马克思《资本论》第二册各手稿的成就和欠缺加以总结；然后从分析恩格斯的《资本论》第二册序言出发,概述了恩格斯编辑《资本论》第二册的大致经过；接着从文本和结构、文字和表述两个方面,举例说明恩格斯的改动情况；最后具体分析了第二册各篇的编辑过程和恩格斯采用马克思手稿的情况。第8章首先回顾了《资本论》第二册刊印稿发表以后历史上对恩格斯编辑工作的评价,特别是梁赞诺夫、考茨基和吕贝尔的评价；接着介绍了《马克思恩格斯全集》历史考证版(MEGA)对马克思手稿、恩格斯编辑稿的发表和对恩格斯编辑工作的总体评价,以及其他学者通过MEGA对恩格斯的编辑工作得出的评价；最后概括了恩格斯编辑出版《资本论》第二册的巨大贡献,评述了MEGA编者提出的恩格斯编辑工作在文本和结构方面可能存在的问题。这一单元可以看出,恩格斯编辑出版《资本论》第二册,为《资本论》理论大厦和马克思主义理论体系做出了卓越的贡献,但是恩格斯版的第二册可能也有若干可商榷之处。最后为“结论”,对本文所论述问题提出六个方面的思考。一是马克思创作《资本论》第二册并非直线上升,而是研究方法和叙述方法相交织。二是恩格斯审慎处理了作者和编者关系,完成了出版《资本论》第二册的历史使命。三是马克思手稿和恩格斯编辑稿的发表过程艰难曲折,学术因素和政治因素相交织。四是应当辩证地看待《资本论》第二册的手稿和刊印稿的未完成和完成。五是从学习版和历史考证版的版本性质出发历史地看待手稿和刊印稿之间的区别。六是《资本论》第二册形成史告诉我们,马克思的资本流通理论需要我们继承和发展,第二册形成史需要我们深入研究。更多还原

【Abstract】 The "Capital" is one of the most important works of Marx, is the ultimate achievement of his lifelong study of political economy, also the culmination of Marxian theory on Philosophy, Political Economy and Socialism. At the same time, the "Capital" is also the common work of Marx and Engels, and presents itself as a huge literature group, an unfinished, open system. The research on the process of the occurrence, development, evolution and "finalization" of this system can make us better understand the theoretical system of the "Capital". This dissertation selects a section of this evolution history, i.e. the history of the second volume (second book) of the "Capital"—"the Process of Circulation of Capital" as its research object.In this dissertation, the history of the second book of the "Capital" from its brewing, writing by Marx, through its editing and publishing by Engels, till the publishing of all the manuscripts of Marx and the redaction manuscript of Engels according to the original is regarded as an organic whole history to examine. Based on research results at home and abroad, especially on the publication and research results of the second book in the Historical Critical Version of the "Marx Engels Complete Works"(MEGA, Marx-Engels-Gesamtausgabe), and combined with the later reprint and research of the Engels’edition of the second book, this dissertation examines the emergence and development of Marx’s theory on circulation of capital, the complicated course of Marx’s writing of various manuscripts of the second book, the difficult process of Engels’arraying and editing of the second book of the "Capital", thus roughly sketches the contours of the formation history of the second book of the "Capital", and at the same time puts forward its own preliminary viewpoints on the achievements and possible defects of Marx’s manuscripts and Engels’print version, and thus hopes that the domestic research on the second book of the "Capital" would be deepened from the viewpoint of history.This dissertation is structured as follows:at first is the introduction, the following main part is divided into8chapters, and at the end is the conclusion.The introduction explains the research object of this dissertation, introduces the domestic and international research status, and explains the ideas of writing of this dissertation. The first chapter "the periodisation and the object, structure of the second book of the’Capital’" aims at determining the basic face of the research object in this dissertation, elaborates the location of the second book of the "Capital" in the history of the making of the "Capital", in Marx’s structure plans of his economic work, the objects and the formation of the three-sections-structure of the second book of the "Capital" and the evolution of Marx’s understanding about the circulation of capital, and finally discusses the sprout of Marx’s theory on circulation of capital in the manuscript "Reflection".The second, third, fourth, fifth and sixth chapters form an unite, which examines the emergence and development of Marx’s theory on circulation of capital and the writing history of Marx’s various manuscripts to the second book of the "Capital". This group is further divided into two groups. The first group consists of chapter2and3, and the theme of which is the theory of circulation of capital in the vision of "Critique of Political Economy". In chapter2the manuscript1857-1858and in chapter3the manuscript1861-1863will be respectively examined. The second group consists of chapter4,5, and6, the theme of which is the theory of circulation of capital in the vision of the "Capital", and Marx’s manuscripts to book II of the "Capital" in1863-1865,1867-1870and1876-1882will respectively be examined in each chapter.Although Marx continually conceives the structure of his own economic work in the manuscript1857-1858, and puts forward various schemata of "5-sections-plan" or "6-books-plan", but the main part-"the Chapter on Capital"-of the manuscript is largely written in accordance with the3-sections-sturcture of Process of Production of Capital, Process of Circulation of Capital, and Capital and Profit (i.e., the later3-sections-sturcture of the theoretical parts of the "Capital"). Marx expounds the basic problems of circulation of capital, such as essence and purpose of circulation of capital, the dialectical relations between circulation and production, and time of circulation and costs of circulation. But from the viewpoint of the later3-sections-struture of the "Process of Circulation of Capital", Marx focuses mainly on the turnover of capital, especially the theory of fixed and circulating capital; only sporadic insights about circuit of capital is discussed and mixed in the exposition on turnover of capital; the reproduction of social capital is mentioned just in passing.In several chapters of the manuscript1861-1863, Marx promotes his exposition on circuit of capital, and gradually formulates the formula of circuit of capital, but the category "circuit of capital" is still not peeled off out of the concept "circulation of capital". Looking from the viewpoint of structure, there are only "Process of Production of Capital" and "Capital and Profit", and no "Process of Circulation of Capital" in manuscript1861-1863. However, through the criticism of views of the bourgeois economists in the main part of the manuscript, i.e."Theories of Surplus Value", Marx discusses the reproduction of the social capital for many times, puts forward the concept of two departments of social production, and initially establishes the conditions for the realization of simple reproduction.From1863Marx begins to write his monumental economic work with the "Capital" as the main title. The greatest achievement in Manuscript Ⅰ to Book Ⅱ in1865is that the3-sections-structure of "Process of Circulation of Capital" has been established, namely the first part describes the circuit of the circulation of individual capital, the second part the turnover of the circulation of individual capital, and the third part the circulation of social capital (reproduction). At the core of this progress stands peeling off of the circuit of capital out of the turnover of capital, and thus the establishment of the abstract-concrete structure of presentation from circuit of capital to turnover of capital. In addition, in the Ms. I the internal structures of "Circuit of Capital", the "Turnover of Capital" and the "Reproduction of Social Capital" are also preliminarily conceived, and progresses are also made in some concrete points.Marx writes intensively the second and third book of the "Capital" during the time of1867-1870, hoping that the two books could be published also as fast as possible while taking the advantage of the favorable situation, namely the successful publication of the first volume (book). Marx writes a large number of manuscripts to book Ⅱ, of which the most important are the Manuscript Ⅱ and the Manuscript Ⅳ. In the two manuscripts the basic structure of "Circuit of Capital" is determined. The Ms. Ⅱ has also made remarkable achievements on "Turnover of Capital" and "Reproduction of Social Capital". In the second chapter of Ms. Ⅱ, the framework and main theoretical points of "Turnover of Capital" takes shape basically. In the third chapter of Ms. Ⅱ the research object and the significance of the "Reproduction of social Capital" and its location in book Ⅱ of the "Capital" are clearly explained, and the presenting sequence from simple reproduction to extended reproduction (both are respectively further divided in to two steps:exposition without money as intermediary agent and exposition with money as intermediary agent) is established, and for the first time the exchange relations between the two major departments of social production are explained with "schema".After the disruption of6years of writing on the second book, Marx writes once again a large number of manuscripts to book II of the "Capital" between1876and1882, the main of which are Manuscript V, VI, VII and VIII to book II. Marx elaborates carefully the circuit of capital in Ms. V, VI and VII, so that this part of book II is basically fixed. Marx fills the last gap in his theory on circulation of capital in Ms. VIII, i.e. the extended reproduction of social capital; in the Ms. VIII the presenting way is also changed, and the circulation of money is fully adopted into the systematical exposition of the simple reproduction and extended reproduction. Ms. VIII provides important premise for the figuration of the third part of the second book.From this unit of chapter2-6can be seen, on the one hand Marx makes great achievements on the expounding of the process of circulation of capital and on the writing of the second book of the "Capital", on the other hand he leaves neither a complete manuscript nor a program for the edition of the second book of the "Capital".The seventh and eighth chapters constitute another unite, which examines Engels’ editing and publishing process of the second book of the "Capital", and makes appraise of Engels’editing job. Chapter7summarize at first the achievements and defects of Marx’s manuscripts to book II of the "Capital"; then starting from the analyzing of Engels’Preface to book II, this chapter outlines the process of the editing process of Engels; then illustrates the changes made by Engels to the manuscripte of Marx with examples in two aspects, of which the one is about text and structure, the other is about word and expression; finally analyzes the concrete situation of the editing process and the adoption of Marx’s manuscripts by Engels in each parts of the second book. The eighth chapter reviews at first the comments on the editing work by Engels in the history after the publication of the second book of the "Capital", especially the comments of Rjazanov, Kautsky and Rubel; Then this chapter introduces the publication of Marx’s manuscripts and Engels’ redaction manuscript in the MEGA with its general evaluation on Engels editing work, and also introduces some other scholar’s views on the editing work of Engels based on MEGA; finally summarizes the great contribution of Engels to the editing and publishing of the second book of the "Capital", and makes a review on the possible problems in the structure and text arrangement proposed by the editors of MEGA. From this unit of chapter7and8can be seen, that Engels makes outstanding contributions to the theoretical building of the "capital" and the Marxist theoretical system, nevertheless there are maybe also some points in the Engels’version of the second book of the "Capital" that could be further discussed.At the end of this dissertation is the "conclusion", in which considerations on6aspects are put forward. Firstly, the writing process of the second book of Marx’s "Capital" is not straight up, but in which the methods of presentation and that of inquiry interweave. Secondly, Engels deals with the relationship between author and editor prudently, completes his historical mission of publishing the second book of the "Capital". Thirdly, publishing processes of Marx’s manuscripts and Engels’redactions manuscripts is full of arduousness and tortuousness, and the academic and political factors are mingled with each other. Fourthly, the relationship of Unfinished and Finished of the second book of the "Capital" should be viewed dialectically. Fifthly, the difference between the manuscripts and the print version should be viewed historically from the difference of nature between Study Version and Historical Critical Version. Sixthly, the formation history of the second book of the "Capital" tells us, that we should inherit and develop Marx’s theory of circulation of capital, should deep the research on the formation history of the second book of the "Capital".更多还原