新制度经济学 肖耿 西方经济学硕士课程 5页

北京大学深圳研究生院2005年秋季西方经济学硕士课程新制度经济学NewInstitutionalEconomics肖耿xiaog@szpku.edu.cnxiaogeng@hku.hkwww.econ.hku.hk/~xiaogeng1.产权与交易成本PropertyRightsandTransactionCost•张五常:经济解释卷一：科学说需求.¢科学的方法;¢从自私说起;¢缺乏与竞争;¢功用的理念;¢需求定律;¢小试牛刀;¢交易理论与市场需求；•张五常:经济解释卷二：供应的行为.¢利息理论；¢成本、租值与盈利；¢生产的成本；¢交易费用；¢市场概论；¢垄断与专利；¢觅价与价格分歧；¢捆绑销售的故事；¢讯息费用与讨价还价；•张五常:经济解释卷三：制度的选择.Ch.1-3¢高斯定律；¢产权结构与合约结构；¢租值消散与价格管制；•肖耿:制度经济学与中国的经济改革¢现代产权经济学与产权残缺理论¢合约经济的本质及对转型经济改革的启发•盛洪:现代制度经济学[上].Ch.1-4and6¢Coase:Theproblemofsocialcost¢Coase:Notesontheproblemofsocialcost¢Demsetz:Theexchangeandenforcementofpropertyrights¢Alchian:Someeconomicsofpropertyrights¢AlchianandDemsetz:Thepropertyrightsparadigm•Werin:Economicbehaviorandlegalinstitutions.Ch.3and5¢Efficiency;¢Twomajortheoremsonpropertyrights;•Barzel:Economicanalysisofpropertyrights.Ch.1-2¢Thepropertyrightsmodel;¢Thepublicdomain:Rationingbywaitingandpricecontrols;•Additionalarticles¢Coase,R.H.(1992)."TheInstitutionalStructureofProduction."AmericanEconomicReview82(4):713-719.¢Coase,R.(1998)."Thenewinstitutionaleconomics."AmericanEconomicReview88(2):72-74.1\n¢Alchian,A.A.“PropertyRights”inEatwell,J.,M.Milgate,etal.(1998).TheNewPalgrave:adictionaryofeconomics.London;NewYork,MacmillanPress.¢Demsetz,Harold.“PropertyRights”inNewman,P.R.(1998).TheNewPalgravedictionaryofeconomicsandthelaw.Londo,Macmillan.¢Williamson,Q.E.(2000)."Thenewinstitutionaleconomics:Takingstock,lookingahead."JournalofEconomicLiterature38(3):595-613.¢Cheung,StevenN.S.“OntheNewInstitutionalEconomics”inLarsWerinandHansWijkandered.(1992).Contracteconomics.Oxford,UK,BlackwellPublishers.•Optionalfurtherreading¢Furubotn,EirikGrundtvigandRudolfRichter(1997).Institutionsandeconomictheory:thecontributionofthenewinstitutionaleconomics.AnnArbor,UniversityofMichiganPress.¢Kasper,WolfgangandManfredE.Streit(1999).Institutionaleconomics:socialorderandpublicpolicy.Northampton,Mass.,EdwardElgarPub.[商务印书馆翻译《制度经济学：社会秩序与公共政策》].2.企业的法律与合约结构TheContractualandLegalStructureoftheFirm•张五常:经济解释卷三：制度的选择.Ch.4-5¢生产要素的合约安排；¢合约理论与公司性质；•盛洪:现代制度经济学[上].Ch.7-17¢Coase:Thenatureofthefirm¢AlchianandDemsetz:Production,informationcosts,andeconomicorganization¢Alchian:Corporatemanagementandpropertyrights¢JenshenandMeckling:Theoryofthefirm:managerialbehavior,agencycosts,andownershipstructure¢Fama:Agencyproblemsandthetheoryofthefirm¢Klein,Crawford,andAlchian:Verticleintegration,appropriablerents,andthecompetitivecontractingprocess¢Williamson:Corporategovernance¢AlchianandWoodward:Thefirmisdead;Longlivethefirm–AreviewofOliverE.Williamson’sTheeconomicinstitutionsofcapitalism¢Cheung:Thecontractualnatureofthefirm•肖耿:制度经济学与中国的经济改革¢财富分配、企业控制与中国国有企业改革¢中国工业企业承包制的制度分析¢所有制改革是中国工业企业制度变迁的必行之路¢现代公司治理结构与中国国有企业改革方向¢论中国企业物质奖励与道德风险的巧合¢中国私营企业的崛起-成就问题及政策•Werin:Economicbehaviorandlegalinstitutions:anintroductorysurvey.Ch.17-19¢Contracts:problemsandsolutions¢Thecontractualandlegalstructureoffirms¢Limitsoffreedomofcontract•Barzel:Economicanalysisofpropertyrights.Ch.3-5¢Contractchoice:Thetenancycontract¢Dividedownership¢Theoldfirmandtheneworganization•Additionalarticles¢DemsetzH.“Thetheoryoffirmrevisited.”InWilliamson,OliverE.,SidneyG.WinterandR.H.Coase,Eds.(1991).TheNatureofthefirm:origins,evolution,anddevelopment.NewYork,OxfordUniversityPress.¢Demsetz,H.(1997)."Thefirmineconomictheory:Aquietrevolution."AmericanEconomicReview87(2):426-429.¢Hansmann,H.andFraakeman,R.“WhatisCorporateLaw?”inKraakman,ReinierH.(2004).Theanatomyofcorporatelaw:acomparativeandfunctionalapproach.Oxford,OxfordUniversityPress.2\n¢Xiao,Geng(1998)."ReformingthegovernancestructureofChina'sstate-ownedenterprises."PublicAdministrationandDevelopment18(3):273-280.•Optionalfurtherreading¢Demsetz,Harold(1995).Theeconomicsofthebusinessfirm:sevencriticalcommentaries.Cambridge,CambridgeUniversityPress.[中国社会科学出版社翻译].¢Kraakman,ReinierH.(2004).Theanatomyofcorporatelaw:acomparativeandfunctionalapproach.Oxford,OxfordUniversityPress.3.国家体制作为市场经济的制度基础设施TheStateSystemastheInstitutionalInfrastructureoftheMarketEconomy•张五常:经济解释卷三：制度的选择.Ch.6¢从齐家到治国•盛洪:现代制度经济学[上].Ch.22-24¢Buchanan:Constitutionaleconomics¢Olson:“Foreword”toToddSandler’sCollectiveAction:TheoryandApplications¢Olson:Dictatorship,democracy,anddevelopment•Werin:Economicbehaviorandlegalinstitutions:anintroductorysurvey.Ch.1-2,4,and6-8¢Theeconomic-legalsystemandtheroleofpropertyrights:anintroduction¢Politically-basedversusjudge-madelaw¢Twobasicpropositions¢Coordinationandconstitutions¢Marketsandfirms¢Politicalprocesses•Barzel:Economicanalysisofpropertyrights.Ch.8-11¢Wealth-maximizingconstraintsonpropertyrights¢Propertyrightsandnon-marketallocation¢Additionalpropertyrightsapplications¢Thepropertyrightsmodel:Recapitlation•Additionalarticles¢Weingast,B.R.(1995)."TheEconomic-RoleofPolitical-Institutions-Market-PreservingFederalismandEconomic-Development."JournalofLawEconomics&Organization11(1):1-31.¢Cao,Y.Z.,Y.Y.QianandB.R.Weingast(1999)."Fromfederalism,Chinesestyletoprivatization,Chinesestyle."EconomicsofTransition7(1):103-131.¢Miller,G.J.(1997)."Theimpactofeconomicsoncontemporarypoliticalscience."JournalofEconomicLiterature35(3):1173-1204.•Optionalfurtherreading¢Olson,Mancur(2000).Powerandprosperity:outgrowingcommunistandcapitalistdictatorships.NewYork,BasicBooks.¢Barzel,Yoram(2002).Atheoryofthestate:economicrights,legalrights,andthescopeofthestate.Cambridge,CambridgeUniversityPress.4.法律体系作为市场经济的制度基础设施TheLegalSystemastheInstitutionalInfrastructureoftheMarketEconomy•盛洪:现代制度经济学[上].Ch.25¢Coase:LawandeconomicsatChicago•Werin:Economicbehaviorandlegalinstitutions:anintroductorysurvey.Ch.9-16¢Formalizedpropertyrights¢Injunctions¢Damagesorpunishment?¢Negligence:thesimplestcase¢Jointresponsibility¢Intent,strictliability,insurance¢Thestringencyofsanctions¢Thebehaviorofdisputantpartiesandcourts•Additionalarticles3\n¢沈联涛、肖耿、王沅(2004)."'原罪'的新制度经济学分析与产权基础设施建设."洪范评论2(1):181－206.¢中国金融改革中的产权基础设施与原罪问题-研讨会纪要¢公司治理资本市场与产权基础设施¢Hirshleifer,J.(1994)."TheDarkSideoftheForce-WesternEconomicAssociationInternational1993Presidential-Address."EconomicInquiry32(1):1-10.•Optionalfurtherreading¢Soto,Hernandode(2000).Themysteryofcapital:whycapitalismtriumphsintheWestandfailseverywhereelse.NewYork,BasicBooks.[台湾出版社翻译].¢Cooter,RobertandThomasUlen(2004).Lawandeconomics.Reading,Mass.,Addison-Wesley.¢Shavell,Steven(2004).Foundationsofeconomicanalysisoflaw.Cambridge,Mass.,BelknapPressofHarvardUniversityPress.5.制度变迁与经济发展InstitutionalChangeandEconomicDevelopment•张五常:经济解释卷三：制度的选择.Ch.7¢产权制度的转变•盛洪:现代制度经济学[上].Ch.5and18-20¢Demsetz:Towardsatheoryofpropertyrights¢North:Institutionalchangeandeconomicgrowth¢North:Aframeworkforanalyzingeconomicorganizationinhistory¢NorthandThomas:Theriseandfallofthemanorialsystem:atheoreticalmodel¢Myers:Customarylaw,markets,andresourcetransactionsinlateimperialChina•肖耿:制度经济学与中国的经济改革¢从新制度经济学角度看中国加入WTO面临的挑战与机会¢亚洲金融危机背景下的中国经济¢中国金融改革面临的选择¢中国需要更彻底明智的开放政策¢日本经济的通货紧缩对中国的启示¢中国股票市场发展-从香港和其他亚洲市场中获得教训¢香港的前途/香港在与内地经济整合过程中的定位¢中国经济改革政策评论•North:Understandingtheprocessofeconomicchange.Ch1-13¢Anoutlineoftheprocessofeconomicchange;¢Uncertaintyinanon-ergodicworld;¢Beliefsystems,culture,andcognitivescience;¢Consciousnessandhumanintentionality;¢Thescaffoldshumanserect;¢Takingstock;¢Theevolvinghumanenvironment;¢Thesourcesoforderanddisorder;¢Gettingitrightandgettingitwrong;¢Theriseofthewesternworld;¢TheriseandfalloftheSovietUnion;¢Improvingeconomicperformance;Wherearewegoing?•Barzel:Economicanalysisofpropertyrights.Ch.6-7¢Theformationofrights¢Slavery•Additionalarticles¢Demsetz,H.(2002)."TowardatheoryofpropertyrightsII:Thecompetitionbetweenprivateandcollectiveownership."JournalofLegalStudies31(2):S653-S672.¢Merrill,T.W.(2002)."Introduction:TheDemsetzthesisandtheevolutionofpropertyrights."JournalofLegalStudies31(2):S331-S338.¢Sachs,JeffreyD.(1999)."Twentieth-CenturyPoliticalEconomy:ABriefHistoryofGlobalCapitalism."OxfordReviewofEconomicPolicy15(4):90-101.4\n¢Maddison,Angus(2005).GrowthandIntergrationintheWorldEconomy:TheRootsofModernity.Washington,D.C.,TheAEIPress.•Optionalfurtherreading¢Libecap,GaryD.(1989).Contractingforpropertyrights.CambridgeEngland,CambridgeUniversityPress.¢Cheung,StevenN.S.(1986).WillChinago'capitalist'?aneconomicanalysisofpropertyrightsandinstitutionalchange.《中国的前途》London,InstituteofEconomicAffairs.¢JournalofLegalStudies31(2):SpecialIssueonEvolutionofPropertyRights.¢Yergin,DanielandJosephStanislaw(1999).Thecommandingheights:thebattlebetweengovernmentandthemarketplacethatisremakingthemodernworld.NewYork,N.Y.,Simon&Schuster.[http://www.pbs.org/wgbh/commandingheights/andsixhoursofDVD].¢Rajan,RaghuramandLuigiZingales(2003).Savingcapitalismfromthecapitalists:unleashingthepoweroffinancialmarketstocreatewealthandspreadopportunity.NewYork,CrownBusiness.[中信出版社翻译《把资本主义从资本家手中救出来》].¢Sachs,Jeffrey(2005).Theendofpoverty:economicpossibilitiesforourtime.NewYork,PenguinPress.教材Textbooks•Cheung,StevenN.S.张五常,(2001).经济解释[三卷].香港花千树.•Sheng,Hong盛洪,Eds.(2003).现代制度经济学[上券].北京大学出版社.•Xiao,Geng肖耿,制度经济学与中国的经济改革[论文选集].•Werin,Lars(2003).Economicbehaviorandlegalinstitutions:anintroductorysurvey.Singapore;HongKong,WorldScientific.•Barzel,Yoram(1997).Economicanalysisofpropertyrights.Cambridge;NewYork,CambridgeUniversityPress.•North,DouglassCecil(2005).Understandingtheprocessofeconomicchange.Princeton,N.J.,PrincetonUniversityPress.参考书References•Bouckaert,BoudewijnandGerritdeGeest,Eds.(2000).EncyclopediaoflawandeconomicsNorthampton,Ma.,EdwardElgarPublishing.[http://encyclo.findlaw.com/].•Eatwell,John,MurrayMilgate,PeterK.NewmanandRobertHarryInglisPalgrave(1998).TheNewPalgrave:adictionaryofeconomics.London;NewYork,MacmillanPress.•Ménard,Claude,Ed.(2004).Theinternationallibraryofthenewinstitutionaleconomics(7volumes).Theinternationallibraryofthenewinstitutionaleconomics.Cheltenham,EdwardElgar.[http://www.e-elgar.com/].•Newman,P.R.(1998).TheNewPalgravedictionaryofeconomicsandthelaw.London,MacmillanPress.•Putterman,LouisG.andRandyKroszner(1996).Theeconomicnatureofthefirm:areader.Cambridge,CambridgeUniversityPress.•Qian,Yingyi钱颖一(2003).现代经济学与中国经济改革.中国人民大学出版社.•Wu,Jinglian吴敬琏(2003).当代中国经济改革.上海,上海远东出版社.•Xiao,Geng肖耿(1997).产权与中国的经济改革.北京,中国社会科学出版社.•Zhou,Qiren周其仁(2003).收入是一连串事件.香港花千树.•Zhou,Qiren周其仁(2003).真实世界的经济学.香港花千树.•Zhou,Qiren周其仁(2004).产权与制度变迁：中国改革的经验研究.北京大学出版社.5