日 录 一、古典学派对垄断、竞争及其影响的观点… 二、新古典经济学的完全竞争理论… 7 三、新古典经济学对垄断及其效率的分析 四、新古典经济学的垄断竞争理论 10 第二章寡头垄断市场结构与资源配置效率 .3 第一节新古典经济学的资源配置效率标准及其缺陷 13 第三章寡头垄断市场结构的技术创新效率.…1门 第一节市场结构与技术创新关系的一般理论分析. 一、技术创新的涵义与过程 17 二、市场结构与技术创新关系：理论与实证的分析… 三、寡头垄断市场结构对企业技术创新的影响 ....21 第四章寡头垄断市场结构的企业组织及其效率… 25 第一节企业组织与市场结构效率的关系 25 第五章西方国家寡头垄断市场结构的形成与发展。 .29 第一节西方发达国家赛头垄断市场结构的形成 29 一、自由竞争：西方资本主义国家发展初期市场结构的基本形态 20 二、西方国家寡头垄断市场结构的形成 31 第六章 中国工业市场结构的演变及存在问题 35 第一节中国市场结构的历史演变 一、改革之前工业市场结构演变的基本轨迹 二、改革开放以来中国工业市场结构变动的实证分析 36 三、中国工业市场结构发展的趋势展望 ...42 第七章中国目标市场结构的选择及其实现机制 .45 第一节中国目标市场结构的选择 45 ,、市场结构目标的洗择标准 45 二、以寡头垄断市场结构为主导：中国目标市场结构的选择 47 三、我国目标市场结构与西方国家市场结构的差别… 第八章中国市场集中过程中的企业价格竞争与垄断… 55 第一节企业降价竞争行为… 55 一、近年来发生于我国市场上的企业的价格战… 55 二、我国企业价格战的性质与成因… 56 三、政府对企业价格战的干预及其效果评析 62 参考书目」 65
第一章 垄断、竞争及其效率的一般分析………………………………………………… 第一节 古典学派与新古典学派关于垄断、竞争效率的观点 ...................................................5 一、古典学派对垄断、竞争及其影响的观点...............................................................5 二、新古典经济学的完全竞争理论...............................................................................7 三、新古典经济学对垄断及其效率的分析...................................................................8 四、新古典经济学的垄断竞争理论.............................................................................10 第二章 寡头垄断市场结构与资源配置效率 .......................................................13 第一节 新古典经济学的资源配置效率标准及其缺陷.............................................................13 第三章 寡头垄断市场结构的技术创新效率 .......................................................17 第一节 市场结构与技术创新关系的一般理论分析 .................................................................17 一、技术创新的涵义与过程.........................................................................................17 二、市场结构与技术创新关系：理论与实证的分析.................................................18 三、寡头垄断市场结构对企业技术创新的影响.........................................................21 第四章 寡头垄断市场结构的企业组织及其效率 ...............................................25 第一节 企业组织与市场结构效率的关系 .................................................................................25 第五章 西方国家寡头垄断市场结构的形成与发展...........................................29 第一节 西方发达国家寡头垄断市场结构的形成 .....................................................................29 一、自由竞争：西方资本主义国家发展初期市场结构的基本形态.........................29 二、西方国家寡头垄断市场结构的形成.....................................................................31 第六章 中国工业市场结构的演变及存在问题 ...................................................35 第一节 中国市场结构的历史演变 .............................................................................................35 一、改革之前工业市场结构演变的基本轨迹.............................................................35 二、改革开放以来中国工业市场结构变动的实证分析.............................................36 三、中国工业市场结构发展的趋势展望.....................................................................42 第七章 中国目标市场结构的选择及其实现机制 ...............................................45 第一节 中国目标市场结构的选择 .............................................................................................45 一、市场结构目标的选择标准.....................................................................................45 二、以寡头垄断市场结构为主导：中国目标市场结构的选择.................................47 三、我国目标市场结构与西方国家市场结构的差别.................................................52 第八章 中国市场集中过程中的企业价格竞争与垄断.........................................55 第一节 企业降价竞争行为 .........................................................................................................55 一、近年来发生于我国市场上的企业的价格战.........................................................55 二、我国企业价格战的性质与成因.............................................................................56 三、政府对企业价格战的干预及其效果评析.............................................................62 参考书目 .....................................................................................................................65 目 录
ABSTRACT For a long time,many monopolistic theory that include Marxism economics link the monopolistic market and low efficiency of allocation of resources together.In fact, both of monopoly and competition have multi economic sense.Concerning the monopoly,from the market structure point of view,it can be divided into monopolistic market ad market ctivity.The low of monopoly that people often say is referring to low efficiency of monopolistic firm's market activity.It restrain the normal adjustment function of market mechanism,reduce the welfare level of consumer,and it easily lead to the firm to weaken the motive of technical innovation and management.But the oligopolistic market structure is the result of market competition development.Itsef does not vity,so there is no necessary relation to low efficiency of econmy.o we should distinguish the monopolisti market structure and monopolistic market activity.Anti monopoly is mainly referring to anti monopolistic market activity.Regarding monopolistic market structure,we must analysis into detail.not all should be denied. Oligopolistic market structure has shown many kind of.There are mainly micro and macro,static and dynamic eff ciency.The micro includes allocation resources efficiency,technical innovation efficiency and firm organization efficiency,etc..The macro efficiency includes economy growth efficiency.industrial structure optimization and upgrading efficiency and macro adjustment efficiency,ete..Traditional economics often only analysis micro and static efficiency,and ignore the macro and dynamic.In fact,dynamic is the basic characteristic of market competiti on and market str realiza Dynamic efficiency is the efficiency formation with practical significance of the oligopolistic market structure. The micro efficiency of oligopolistic market structure is the basic of macro efficiency.The allocation of resources efficiency is shown as follow:it is beneficial to realize economics of scale Acerin eve ofenry harier is bnefia to redcerke competition,raise allocation of resources efficiency.The positive relation be concentration rate and industrial efficiency is the main result of firm has rather higher operation efficiency.The technical innovation efficiency of oligopolistic market structure is shown that big firms have rather strong technical innovation strength.They are more advantageous to undertake important techical with higher risk.The in the oligopolistic market weakend.Buto-ricemeitonis furthe There realisticand potential competition pressure in the oligopolistic market,so it made the firms keep strong echnical innovation motive. Firm organization efficiency is the main part ofoligopolistic market structure efficiency.New classical economics consider firm as a "black box"that without internal structure.So it can't reveal market objectively.The dominating firm in the modem oligopolistic market is the complex firm with big scale and complicated structure.It shows strong work division and cooperation efficiency and transaction cost saving efficiency.Many new characteristics occur of market structure formation and firm organization structure,such as firm strategic alliance,dummy firm ete.has shown clear advantages of
ABSTRACT For a long time, many monopolistic theory that include Marxism economics link the monopolistic market and low efficiency of allocation of resources together. In fact, both of monopoly and competition have multi economic sense. Concerning the monopoly, from the market structure point of view, it can be divided into monopolistic market structure and monopolistic market activity. The low efficiency of monopoly that people often say is referring to low efficiency of monopolistic firm’s market activity. It restrain the normal adjustment function of market mechanism, reduce the welfare level of consumer, and it easily lead to the firm to weaken the motive of technical innovation and management . But the oligopolistic market structure is the result of market competition development. Itself does not necessarily lead to firm’s monopolistic market activity, so there is no necessary relation to low efficiency of economy. So we should distinguish the monopolistic market structure and monopolistic market activity. Anti monopoly is mainly referring to anti monopolistic market activity. Regarding monopolistic market structure, we must analysis into detail, not all should be denied. Oligopolistic market structure has shown many kind of efficiency. There are mainly micro and macro efficiency, static and dynamic efficiency. The micro efficiency includes allocation of resources efficiency, technical innovation efficiency and firm organization efficiency, etc.. The macro efficiency includes economy growth efficiency, industrial structure optimization and upgrading efficiency and macro adjustment efficiency, etc.. Traditional economics often only analysis micro efficiency and static efficiency, and ignore the macro and dynamic efficiency. In fact, dynamic is the basic characteristic of market competition and market structure realization. Dynamic efficiency is the efficiency formation with practical significance of the oligopolistic market structure. The micro efficiency of oligopolistic market structure is the basic of macro efficiency. The allocation of resources efficiency is shown as follow: it is beneficial to realize economics of scale and scope. A certain level of industrial entry barrier is beneficial to reduce market disperse competition, raise allocation of resources efficiency. The positive relation between market concentration rate and industrial efficiency is the main result of firm has rather higher operation efficiency. The technical innovation efficiency of oligopolistic market structure is shown that big firms have rather strong technical innovation strength. They are more advantageous to undertake important technical innovation with higher risk. The price competition in the oligopolistic market is weakened. But non-price competition is strengthened further. There is still strong realistic and potential competition pressure in the oligopolistic market, so it made the firms keep strong technical innovation motive. Firm organization efficiency is the main part of oligopolistic market structure efficiency. New classical economics consider firm as a “black box”that without internal structure. So it can’t reveal oligopolistic market structure efficiency objectively. The dominating firm organization in the modern oligopolistic market is the complex firm with big scale and complicated internal structure. It shows strong work division and cooperation efficiency and transaction cost saving efficiency. Many new characteristics occur of market structure formation and firm organization structure, such as firm strategic alliance, dummy firm etc. has shown clear advantages of
transaction cost saving.mutual advantage compensation and co-resistance of market risk.In the that the firm competition changed from pursuing tocooperativecompetitiondirection Oligopolistic market structure of advanced country was formatted at the beginning of 20th century.Till now,oligopolistic market is still the dominating market structure formation.Market competition is the basic motive of promoting the formation and development of oligopolistic market structure.Modern firm institution is the micro organization carrier of the formation and development of market structure.Firm merger is the strong leverage that moves the force of pushing the formation and development of oligopolistic market structure.Anti-monopoly policy is the guide that the government posed on oligopolistic market structure development. Since the 1990s.accompany with the globalization speeding up.the 5th firm merger wave developed rapidly.also with the oosen of goverment anti monopoly policy.it push the firm scale Th econcentration rate of advanced country t raised further.The tendency of domestic oligopoly become international oligopoly also occurred After 1990s.China economy entered a new development period.Structure adjustment has become the focus of economy development.Market structure is one of the main items.At present China's market structure with disp rsecompetition and administrative moopoly character cation eriously and restrict the raise of fmm technical innovation ability.It also hindered the industry optimization and upgrading reduced the international competitive power of industry and firm.Speed up the market structure adjustment is imperative now.The objective of the adjustment is to form the new market structure system that the oligopolistic market structure is the main body,other market structure formation(quasi-perfect monopoly and quasi-free competition)is the pplement.The realization of China market structure adjustment goal,onone hand we should fully use the basic adjustment functionof market mechanism,through the competition of firms,to realize the assets optimal combinatior and firm scale expansion.Due to in-perfect mechanism of market economy,series factors that restrict market competition function existing.So.market structure adjustment requires government use its push power.The main function of the government is to create a beneficial extemal maintain good market mpetition n order,but not to hinder even instead of market mechanism function. At present,during China market concentration process,price struggle broke out among firms Price alliance among firms also occurred.Specific and thorough analysis is required to the multi factor causes and possible economic result of the new market activities.Administrative monopoly is the main monopolistic form at China present economy system.It severely reduced the brought about many unhealthy be the focus of anti monopoly.Regarding the economic monopoly during the market concentration, monopoly structure and monopoly activity should be separated.For monopoly activity,it needs to be restrained by defining anti monopoly law.And for the monopoly market structure,support and promotion is required
transaction cost saving, mutual advantage compensation and co-resistance of market risk. In the meanwhile, it also declares that the firm competition concept changed from pursuing competition to cooperative competition direction. Oligopolistic market structure of advanced country was formatted at the beginning of 20th century. Till now, oligopolistic market is still the dominating market structure formation. Market competition is the basic motive of promoting the formation and development of oligopolistic market structure. Modern firm institution is the micro organization carrier of the formation and development of oligopolistic market structure. Firm merger is the strong leverage that moves the formation and development of oligopolistic market structure. Technical innovation is the main force of pushing the formation and development of oligopolistic market structure. Anti-monopoly policy is the guide that the government posed on oligopolistic market structure development. Since the 1990s, accompany with the globalization speeding up, the 5th firm merger wave developed rapidly, also with the loosen of government anti monopoly policy, it push the firm scale expansion further. The concentration rate of advanced country’s oligopolistic market raised further. The tendency of domestic oligopoly become international oligopoly also occurred. After 1990s, China economy entered a new development period. Structure adjustment has become the focus of economy development. Market structure is one of the main items. At present China’s market structure with disperse competition and administrative monopoly character reduced the allocation of resources efficiency seriously and restrict the raise of firm technical innovation ability. It also hindered the industry optimization and upgrading reduced the international competitive power of industry and firm. Speed up the market structure adjustment is imperative now. The objective of the adjustment is to form the new market structure system that the oligopolistic market structure is the main body, other market structure formation (quasi-perfect monopoly and quasi-free competition) is the supplement. The realization of China market structure adjustment goal, on one hand we should fully use the basic adjustment function of market mechanism, through the competition of firms, to realize the assets optimal combination and firm scale expansion. Due to in-perfect mechanism of market economy, series factors that restrict market competition function existing. So, market structure adjustment requires government use its push power. The main function of the government is to create a beneficial external condition for firm assets re-combination and maintain good market competition order, but not to hinder even instead of market mechanism function. At present, during China market concentration process, price struggle broke out among firms. Price alliance among firms also occurred. Specific and thorough analysis is required to the multi factor causes and possible economic result of the new market activities. Administrative monopoly is the main monopolistic form at China’s present economy system. It severely reduced the efficiency of economy operation efficiency and brought about many unhealthy effects. It should be the focus of anti monopoly. Regarding the economic monopoly during the market concentration, monopoly structure and monopoly activity should be separated. For monopoly activity, it needs to be restrained by defining anti monopoly law. And for the monopoly market structure, support and promotion is required
第一章垄断、竞争及其效率的一般分析 市场结构的核心问题是垄断与竞争的关系问题。对市场结构效率的认识，很 大程度上与对垄断、竞争效率的认识有关。就寡头垄断市场结构而言，长期以来， 人们将其与其他垄断市场一并与资源配置的低效率联系在一起。产生这种片面认 识的一个很重要的原因是受到现有垄断、竞争理论的影响。因此，要全面、客观 地认识寡头垄断市场结构的效率，首先需要对垄断、竞争效率的有关理论进行梳 理和评析，并在此基础上提出对垄断市场结构效率的新认识。 第一节古典学派与新古典学派关于垄断、竞争效率的观点 一、古典学派对垄断、竞争及其影响的观点 严格地说，古典学派并不存在真正意义上的垄断理论，只存在一些关于垄断 及其影响的零碎的观点。这一学派关于竞争及其效率的理论则十分丰富，其中， 最具代表性的是亚当·斯密的竞争理论。 古典学派的竞争理论是在与当时占主导地位的重商主义学说及其政策主张 的论战中形成的。重商主义把国家的富足与统治者的财富、权利和威望等同起来， 把金银视为一国真正的财富，认为只有自由贸易才是财富的真正来源；主张政府 应通过各种干预措施，如立法手段、行会制度、外贸特许权以及优惠制等，把私 人经活动置于政府统一的监督和控制之下，以扩大对外贸易。 针对重商主义提出的限制私人自由经济活动的主张，亚当·斯密提出了以自 由竞争为主要特征的竞争理论。有关于他的自由竞争理论的论述已很多，这里仅 就与本文主题有关的观点进行评述。首先，斯密的竞争理论是建立在“自然秩序” 认识论基础上的。这种自然秩序是一个人在国家面前具有充分自由的、自我组织 协调的秩序。自然秩序的合理性来自于人的利已主义本性，以及个人利益与社会 利益的和谐一致。在他看来，只有自由竞争才最符合自然秩序的要求，并与最佳 经济效果相对应；任何妨碍自由竞争的因素包括垄断等都是违背自然秩序要求
第一章 垄断、竞争及其效率的一般分析 市场结构的核心问题是垄断与竞争的关系问题。对市场结构效率的认识，很 大程度上与对垄断、竞争效率的认识有关。就寡头垄断市场结构而言，长期以来， 人们将其与其他垄断市场一并与资源配置的低效率联系在一起。产生这种片面认 识的一个很重要的原因是受到现有垄断、竞争理论的影响。因此，要全面、客观 地认识寡头垄断市场结构的效率，首先需要对垄断、竞争效率的有关理论进行梳 理和评析，并在此基础上提出对垄断市场结构效率的新认识。 第一节 古典学派与新古典学派关于垄断、竞争效率的观点 一、古典学派对垄断、竞争及其影响的观点 严格地说，古典学派并不存在真正意义上的垄断理论，只存在一些关于垄断 及其影响的零碎的观点。这一学派关于竞争及其效率的理论则十分丰富，其中， 最具代表性的是亚当•斯密的竞争理论。 古典学派的竞争理论是在与当时占主导地位的重商主义学说及其政策主张 的论战中形成的。重商主义把国家的富足与统治者的财富、权利和威望等同起来， 把金银视为一国真正的财富，认为只有自由贸易才是财富的真正来源；主张政府 应通过各种干预措施，如立法手段、行会制度、外贸特许权以及优惠制等，把私 人经活动置于政府统一的监督和控制之下，以扩大对外贸易。 针对重商主义提出的限制私人自由经济活动的主张，亚当•斯密提出了以自 由竞争为主要特征的竞争理论。有关于他的自由竞争理论的论述已很多，这里仅 就与本文主题有关的观点进行评述。首先，斯密的竞争理论是建立在“自然秩序” 认识论基础上的。这种自然秩序是一个人在国家面前具有充分自由的、自我组织 协调的秩序。自然秩序的合理性来自于人的利已主义本性，以及个人利益与社会 利益的和谐一致。在他看来，只有自由竞争才最符合自然秩序的要求，并与最佳 经济效果相对应；任何妨碍自由竞争的因素包括垄断等都是违背自然秩序要求
的，因而都是应当被禁止的。其次，在斯密看来，竞争是最具有效率的调节经济 运行的机制。斯密认为，市场竞争自发地调节着整个经济的运行，使人们在追求 自身利益的同时，也带来了整个社会财富的增加。据此，斯密主张实行自由放任 的经济政策，取消国家对私人经济活动的各种限制和干预。再次，就市场而言， 斯密竞争理论所论及的是一种自由竞争市场。当时，资本主义市场经济尚处于发 展初期，参与市场竞争的主体基本上是一些规模较小、结构单一的原子式企业。 在斯密看来，市场竞争的激烈程度与参与竞争的人数有关，参与竞争的人数越多， 市场竞争越激烈。 虽然斯密在当时尚没有提出市场结构概念，但他提出的这种自由竞争最具效 率的观点，对其后各派经济理论包括产业组织理论等，都具有重要而深远的影响。 在斯密和其他古典经济学家的著作中，对垄断的关注普遍较少。'从他们仅 有的关于垄断的论述中，可以发现，古典经济学家将自由竞争与垄断看作是相互 排斥、对立的两极。斯密就视垄断为不能容忍的对个人自由的一种限制和干预。 它限制自由竞争，阻碍经济增长，损害社会福利。 斯密所说的垄断实际上是一种带有封建专制色彩的行业垄断或政府干预。如 国家通过立法和政策措施给予某一阶层或经济组织以长期特权地位。从一定意义 上说，“他对整个重商主义体系的判定就是垄断性的。在他看来，这种或那种的 垄断，看来就是重商主义的唯一手段。”他还认为，君主就某一商品的制造、进 口或销售而赐予的专营权等，也是垄断。并指出，这种特权地位是不公平和不正 当的，不公平是因为垄断地位与“君主公正且平等地对待其所有不同阶层的臣民 的原则”是相左的：不正当是因为受控制的商品的售价是在“各个时期都可能获 得的最高价格。”3 关于这种垄断的后果，斯密指出，“给个人或商业公司以垄断权，其作用与 商业或制造业中保守秘密相同。垄断者使市场存货经常不足，从而使有效需求永 物在政流醉字D中电大时物的会食见剪位争的济、江 《新帕尔格雷夫 大辞典 民济科学 年版2年版：第576页 亚当·斯密：《国富论》，商务印书馆，1981年版，第56页
的，因而都是应当被禁止的。其次，在斯密看来，竞争是最具有效率的调节经济 运行的机制。斯密认为，市场竞争自发地调节着整个经济的运行，使人们在追求 自身利益的同时，也带来了整个社会财富的增加。据此，斯密主张实行自由放任 的经济政策，取消国家对私人经济活动的各种限制和干预。再次，就市场而言， 斯密竞争理论所论及的是一种自由竞争市场。当时，资本主义市场经济尚处于发 展初期，参与市场竞争的主体基本上是一些规模较小、结构单一的原子式企业。 在斯密看来，市场竞争的激烈程度与参与竞争的人数有关，参与竞争的人数越多， 市场竞争越激烈。 虽然斯密在当时尚没有提出市场结构概念，但他提出的这种自由竞争最具效 率的观点，对其后各派经济理论包括产业组织理论等，都具有重要而深远的影响。 在斯密和其他古典经济学家的著作中，对垄断的关注普遍较少。1 从他们仅 有的关于垄断的论述中，可以发现，古典经济学家将自由竞争与垄断看作是相互 排斥、对立的两极。斯密就视垄断为不能容忍的对个人自由的一种限制和干预。 它限制自由竞争，阻碍经济增长，损害社会福利。 斯密所说的垄断实际上是一种带有封建专制色彩的行业垄断或政府干预。如 国家通过立法和政策措施给予某一阶层或经济组织以长期特权地位。从一定意义 上说，“他对整个重商主义体系的判定就是垄断性的。在他看来，这种或那种的 垄断，看来就是重商主义的唯一手段。”2 他还认为，君主就某一商品的制造、进 口或销售而赐予的专营权等，也是垄断。并指出，这种特权地位是不公平和不正 当的，不公平是因为垄断地位与“君主公正且平等地对待其所有不同阶层的臣民 的原则”是相左的；不正当是因为受控制的商品的售价是在“各个时期都可能获 得的最高价格。”3 关于这种垄断的后果，斯密指出，“给个人或商业公司以垄断权，其作用与 商业或制造业中保守秘密相同。垄断者使市场存货经常不足，从而使有效需求永 1 根据德姆塞茨教授提供的材料，关于垄断，亚当• 斯密在《国富论》中提到 903 次，但专门的讨论仅 10 页；大卫·李嘉图在《政治经济学及赋税原理》中提到 292 次，但专门的讨论仅 5 页；约翰•斯图尔特 • 穆勒在《政治经济学原理》中提到 1004 次，但专门的讨论仅 2 页。见德姆塞茨：《竞争的经济、法律和政 治维度》，上海三联书店，上海人民出版社，1991 年版，第 3 页。 2 《新帕尔格雷夫经济学大辞典》，经济科学出版社，1992 年版，第 576 页。 3 亚当 ·斯密：《国富论》，商务印书馆，1981 年版，第 56 页