【作者】 李海超；

【导师】 支大林；

【作者基本信息】 东北师范大学 ， 区域经济学， 2013， 博士

【摘要】 近些年来，我国众多的资源型城市由于资源的演变规律以及缺乏统筹规划，面临资源枯竭、经济结构失衡、生态环境破坏严重、基础设施薄弱、投资吸引力差、接续替代产业和民营经济发展缓慢、失业和贫困人口较多等一系列社会经济问题。要很好地解决这些问题，根据我国近些年的实践探索和国外资源型城市的转型经验，则需要大量的资金投入。我国资源型城市转型工作起步较晚，转型资金也是在近年才开始投入且明显不足，资金瓶颈已成为经济转型的主要阻碍。在社会主义市场经济体制下，加大资金投入，实现资源型城市融资体制的完善与创新成为亟待解决的问题。本文通过综合运用区域经济学、金融学、投资学、财政学、计量经济学以及制度经济学等学科知识，并以理论联系实际的、动态的、历史的、制度的研究方法，分析我国资源型城市现行的融资体制对融资的作用，尝试建立研究我国资源型城市融资机制及其效应的框架和模型，检测和评价我国现行资源型城市转型融资机制的状况，从引入市场竞争方面提出建立和完善我国资源型城市融资体制的思路，提出如何提高我国资源型城市融资机制运行效率，改善运行效果，拓宽渠道，促进转型发展的具体建议和措施。本文从结构上分为七章，主要从以下几个方面进行论述：第一章：引言，概括了本文的研究背景，研究目的及意义，研究目标，研究框架与创新之处，并对资源型城市进行了界定和分类；第二章：基础理论，重点分析了资源型城市转型的可持续发展理论、经济增长理论、区域金融理论、公共财政理论和制度经济学理论，并简要介绍了国内外研究现状，为后续的研究奠定理论基础；第三章：我国资源型城市概况及转型面临的问题，描述了我国资源型城市的基本情况和基本特征，重点论述了资源型城市在转型中面临的主要问题；第四章：我国资源型城市转型资金需求和供给分析，以阜新为例，采用计量的方法对其“十二五”时期的转型资金需求、供给进行了预测，并分析了国家预算内资金、国内贷款、利用外资、股票、债券、自筹资金、其他资金等各个渠道资金供给情况，尤其对资源型城市转型资金供需缺口及原因进行了深入分析；第五章：我国资源型城市融资体制发展现状及对资金筹措的阻碍作用，总结了我国资源型城市融资体制历史演进，并以阜新为例重点研究了我国资源型城市融资体制运行效应，融资体制对资源型城市转型的作用机理，分析了我国资源型城市现行融资体制对资金筹措的阻碍作用；第六章：国外资源型城市融资政策借鉴，选取了有代表性的德、法、日、美四个国家的资源型城市（或地区）的转型融资典型，提出了一些共同的政策经验以及对我国的启示；第七章：完善我国资源型城市转型融资体制的思路及建议，通过前述定量及定性分析的结果，针对我国资源型城市转型融资模式进行设计，设计市场化的融资路径，探讨满足转型资金需求的融资模式问题，并依据阜新市转型过程中融资的特点和问题，从政府、投资主体角度提出完善我国资源型城市融资体制的政策建议。更多还原

【Abstract】 In the last decade, some resource-dependent cities in China have been suffering froma series of socio-economic problems including resource depletion, economicstructural imbalance, ecological contamination, weak infrastructure, losing attractionto investment, absence of alternative industries, stagnation of private enterprises,unemployment and poverty which are seemly destined by the resource curse and lackof overall development plan in the preliminary stage. The successful urbantransformation cases in foreign countries prove that fund-raising is the key to solvethe above-mentioned problems. In China, resource-dependent cities start late on urbantransformation with inadequate fund. Nowadays, lack of fund deteriorates into themajor bottleneck to further urban transformation. In the socialist market economysystem, it is crucial to develop the investment and fund-raising system to raiseadequate fund for urban transformation of resource-dependent cities in China.With the application of regional economics, finance, investment, fiscal science andeconometrics principles and employment of linking-theory-with-practice, dynamic,historical and institutional methodologies, this thesis, aiming to explore ways to raiseadequate fund for China resource-dependent cities’ transformation, analyzes andevaluates the current situations and effects of China resource-dependent cities’various fund-raising mechanism. On the basis of the above researches, this thesisattempts to establish and improve investment and fund-raising systems throughintroduction of market oriented competition and proposes specific measures tobroaden fund-raising sources and enhance fund-raising efficiency and effects toaccelerate China resource-dependent cities’ transformation.This thesis consists of seven chapters as follows.Chapter I is an introduction of the research background, purpose, significance,literature review, objectives, framework and innovation points.Chapter II reviews the fundamental theories including sustainable development theoryof resource-dependent cities’ urban transformation, public finance theory, financialdevelopment theory on regional development, and institutional economics theory,which sets theoretical foundation for the subsequent research. Chapter III outlines the current situation, characteristics and major problems of Chinaresource-dependent cities’ transformation.Chapter IV analyzes the fund demands and supplies of resource-dependent cities inChina. Furthermore this chapter turns to a case study of a typical resource-dependentcity, Fuxin city in Liaoning province, in which the funding requirements for economictransformation during12th five-year-plan period is estimated, analyzes various fundsupply channels for economic transformation including state budget funds, domesticloans, foreign investment, stocks, bonds, self-fund-raising, and dig into the gap offund supply and demand.Chapter V: the current situation，evolution and negative effects of the existinginvestment and fund-raising system for China resource-dependent cities’transformation. In this chapter, the author takes Fuxin city as an example to analyzethe effectiveness, function mechanism and negative effects of the investment andfund-raising system for China resource-dependent cities’ transformation.Chapter VI: Experiences of foreign fund raising policy. Common experiences andlessons are summarized though case studies of4typical foreign resource-dependentcities’ transformation in Germany, Japan, France, and the United States.Chapter VII: Proposals on improvement of resource-dependent cities’ transformationin China. On the basis of the above quantitative and qualitative analysis, the author,from the perspectives of government and investors, attempts to design amarket-oriented fund raising mechanism, explores a fund raising mechanism to meetthe gap, and propose several policy measures to improve the investment andfund-raising system with full consideration of the characteristics and major problemsin the Fuxin transformation.更多还原