1、THEFIRMR.H.CoaseTheFirmtheMarketandtheLawTheFirmtheMarketandtheLawR.H.Coasew)TheUniversityofChicagoPressChicagoandLondonThelfniversit)olChicagoPress.Chicago60637IIk-IniversitjofChicagoPress,Ltd.,London1988byTheUniversit)ofChicagoAllrightsreserved.Published1988Paperbackedition1990PrimedintheUnitedSta
2、tesofAmerica1312II10090807060504910II1213LibraryofCongressCataloging-in-PublicationDataCoase,R.H.(RonaldHarry)Thefirm,themarket,andthelaw/R.H.Coase.Includesindex.ISBN0-226-11101-6(paper)I.Industrialorganization(Economictheory)2.Externalities(Economics)3.Capitalism.I.Title.HD2326.C61988338.5142dcl987
3、-24193ThepaperusedinthispublicationmeetstheminimumrequirementsoftheAmericanNationalStandardforInformationSciencesPermanenceofPaperforPrintedLibraryMaterials.ANSIZ39.48-1992.ContentsPrefaceviiONETheFirm,theMarket,andtheLaw1TWOTheNatureoftheFirm33THREEIndustrialOrganization:AProposalforResearch57FOURT
4、heMarginalCostControversy75FIVETheProblemofSocialCost95SIXNotesontheProblemofSocialCost157SEVENTheLighthouseinEconomics187Index215DigitizedbytheInternetArchivein2011http:/www.archive.org/details/firmmarketlawOOcoasPrefaceThepurposeofthisbookistopersuademyfelloweconomiststochangethewaytheyanalyzeanum
5、berofimportantques-tionsinmicro-economics.Mostofthebookconsistsofreprintsofpreviouslypublishedarticles,butIhaveattemptedinanintroductoryessayandinapaperentitledNotesontheProb-lemofSocialCosttomakeclearerthecharacterofthear-gumentinthesearticlesandtorespondtosomeofthemaincriticismswhichhavebeenmadeof
6、them.Nochangeshavebeenmadeinthearticlesreprintedexcepttocorrectmisprintsandtoremovesomeeccentricitiesinmyspellingandgrammar.IhavetothankGaryBecker,GerhardCasper,AaronDirector,andGeorgeStigler,allofwhomreadmyintroductoryessayandNotesontheProblemofSocialCostandmadesuggestionswhichhaveresultedinmanyimp
7、rovements,al-thoughnotasmanyastheywouldhavewished.ONETheFirm,theMarket,andtheLawI.TheAimoftheBookThecoreofthisbookconsistsofthreepapers,TheNatureoftheFirm(1937),TheMarginalCostControversy(1946),andTheProblemofSocialCost(1960).Otherpaperswhichextend,illustrate,orexplaintheargumentsinthesethreepa-pers
8、arealsoincluded.Aswillbecomeapparent,theseessaysallembodyessentiallythesamepointofview.Mypointofviewhasnotingeneralcommandedassent,norhasmyargument,forthemostpart,beenunderstood.Nodoubtinadequaciesinmyexpositionhavebeenpartlyrespon-sibleforthisandIamhopefulthatthisintroductoryessay,whichdealswithsom
9、eofthemainpointsraisedbycommen-tatorsandrestatesmyargument,willhelptomakemypositionmoreunderstandable.ButIdonotbelievethatafailureofexpositionisthemainreasonwhyeconomistshavefoundmyargumentsodifficulttoassimilate.Astheargumentinthesepapersis,Ibelieve,simple,sosimpleindeedasalmosttomaketheirpropositi
10、onsfallintothecategoryoftruthswhichcanbedeemedself-evident,theirrejectionorapparentincomprehen-sibilitywouldseemtoimplythatmosteconomistshaveadif-ferentwayoflookingateconomicproblemsanddonotsharemyconceptionofthenatureofoursubject.ThisIbelievetobetrue.Atthepresenttimethedominantviewofthenatureofecon
11、omicsisthatexpressedinRobbinsdefinition:Econom-icsisthesciencewhichstudieshumanbehaviourasarela-tionshipbetweenendsandscarcemeanswhichhavealternativeTheFirm,theMarket,andtheLawuses.1Thismakeseconomicsthescienceofhumanchoice.Inpractice,mosteconomists,includingRobbins.restricttheirworktoamuchnarrowers
12、etofchoicesthanthisdefinitionwouldsuggest.Recently,however,BeckerhasarguedthatRobbinswayoflookingateconomicsneednotbesocon-strainedandthattheeconomicapproach,ashetermsit,canandshould beappliedmoregenerallythroughoutthesocialsciences.Thattheeconomicapproachcanbeappliedsuc-cessfullyintheothersocialsci
13、encesisdemonstratedbyBeck-ersownwork.2Itsverysuccess,however,posesthequestion.Whyhavetheeconomiststoolsoftradeprovedtobesoversatile?Myparticularinteresthasbeeninthatpartofeconomictheorywhichdealswithfirms,industries,andmarkets,whichusedtobecalledValueandDistributionandisnowusuallytermedpricetheoryor
14、micro-economics.Itisanintricatestruc-tureofhighintellectualqualityandhasproducedvaluablein-sights.Economistsstudyhowthechoiceofconsumers,inde-cidingwhichgoodsandservicestopurchase,isdeterminedbytheirincomesandthe pricesatwhichgoodsandservicescanbebought.Theyalsostudyhowproducersdecidewhatfactorsofpr
15、oductiontouseandwhatproductsandservicestomakeandsellandinwhatquantities,giventhepricesofthefactors,thedemandforthefinalproduct,andtherelationbetweenoutputandtheamountsoffactorsemployed.Theanalysisisheldtogetherbytheassumptionthatconsumersmaximizeutil-ity(anonexistententitywhichplaysapartsimilar.Isus
16、pect,tothatofetherintheoldphysics)andbytheassumptionthatproducershaveastheiraimtomaximizeprofitornetincome(forwhichthereisagooddealmoreevidence).Thedecisionsofconsumersandproducersarebroughtintoharmonybythetheoryofexchange.Theelaborationoftheanalysisshouldnothidefromusitsessentialcharacter:itisanana
17、lysisofchoice.Itisthiswhichgivesthetheoryitsversatility.Beckerpointsoutthatwhat1.LionelRobbins.AnEssayontheNatureandSignificanceofEconomicScience,2nded.(London:Macmillun&Co.,1935),16.2.SeethevariousstudiesinGaryS.Becker,TheEconomicApproachtoHumanBehaviorChicago:Universit)ofChicagoPress.1976)TheFirm,
18、theMarket,andtheLawmostdistinguisheseconomicsasadisciplinefromotherdis-ciplinesinthesocialsciencesisnotitssubjectmatterbutitsapproach.3Ifthetheorieswhichhavebeendevelopedineco-nomics(oratanyrateinmicro-economics)constituteforthemostpartawayofanalyzingthedeterminantsofchoice(andIthinkthisistrue),itis
19、easytoseethattheyshouldbeap-plicabletootherhumanchoicessuchasthosethataremadeinlaworpolitics.Inthissenseeconomistshavenosubjectmatter.Whathasbeendevelopedisanapproachdivorced(orwhichcanbedivorced)fromsubjectmatter.Indeed,sincemanisnottheonlyanimalthatchooses,itistobeexpectedthatthesameapproachcanbea
20、ppliedtotherat,cat,andoctopus,allofwhomarenodoubtengagedinmaximizingtheirutilitiesinmuchthesamewayasdoesman.Itisthereforenoaccidentthatpricetheoryhasbeenshowntobeapplicabletoanimalbehaviour.4Thispreoccupationofeconomistswiththelogicofchoice,whileitmayultimatelyrejuvenatethestudyoflaw,politicalscienc
21、e,andsociology,hasnonethelesshad,inmyview,se-riousadverseeffectsoneconomicsitself.Oneresultofthisdivorceofthetheoryfromitssubjectmatterhasbeenthattheentitieswhosedecisionseconomistsareengagedinanalyzinghavenotbeenmadethesubjectofstudyandinconsequencelackanysubstance.Theconsumerisnotahumanbeingbutaco
22、nsistentsetofpreferences.Thefirmtoaneconomist,asSlaterhassaid,kkiseffectivelydefinedasacostcurveandademandcurve,andthetheoryissimplythelogicofoptimalpricingandinputcombination.5Exchangetakes placewithoutanyspecificationofitsinstitutionalsetting.Wehaveconsumerswithouthumanity,firmswithoutorganization
23、,andevenex-changewithoutmarkets.TherationalutilitymaximizerofeconomictheorybearsnoresemblancetothemanontheClaphambusor,indeed,to3.Ibid.,5.4.See,forexample,JohnH.Kagel.RaymondC.Battalio.HowardRachlin.andLeonardGreen,DemandCurvesforAnimalConsumers/1Quar-terlyJournalofEconomics96,no.1(Februaryis,xi):1-
24、14.5MartinSlater,ForewordtoEdithT.Penrose./;TheoryojtheGrowthojtheFirm,2nded.(WhitePlains,N.Y.:M.E.Sharpe,1980).ix.TheFirm,theMarket,andtheLawanyman(orwoman)on anybus.Thereisnoreasontosupposethatmosthumanbeingsareengagedinmaximizinganythingunlessitbeunhappiness,andeventhiswithincompletesuc-cess.Knig
25、hthasexpressedthethoughtverywell:il.theargumentofeconomists.thatmenworkandthinktogetthemselvesoutoftroubleisatleasthalfaninversionofthefacts.Thethingsweworkforareannoyersasoftenassatis-fies/wespendasmuchingenuityingettingintotroubleasingettingout,andinanycaseenoughtokeepineffectively.Amanwhohasnothi
26、ngtoworryaboutimmediatelybusieshimselfincreatingsomething,getsintosomeabsorbinggame,fallsinlove,preparestoconquersomeenemy,orhuntlionsortheNorthPoleorwhatnot.6Ibelievethathumanpreferencescametobewhattheyareinthosemillionsofyearsinwhichourancestors(whetherornottheycanbeclassifiedashuman)livedinhuntin
27、gbandsandwerethosepreferenceswhich,insuchconditions,werecon-ducivetosurvival.Itmaybe,therefore,thatultimatelytheworkofsociobiologists(andtheircritics)willenableustoconstructapictureofhumannatureinsuchdetailthatwecanderivethesetofpreferenceswithwhicheconomistsstart.Andifthisresultisachieved,itwillena
28、bleustorefineouranalysisofconsumerdemandandofother kindsofbehaviourintheeconomicsphere.Inthemeantime,however,whatevermakesmenchooseastheydo,wemustbecontentwiththeknowledgethatforgroupsofhumanbeings,inalmostallcircumstances,ahigher(relative)priceforanythingwillleadtoareductionintheamountdemanded.This
29、doesnotonlyrefertoamoneypricebuttopriceinitswidestsense.Whethermenarerationalornotindecidingtowalkacrossadangerousthoroughfaretoreachacertainrestaurant,wecanbesurethatfewerwilldosothemoredangerousitbecomes.Andweneednotdoubtthattheavailabilityofalessdangerousalternative,say,ape-destrianbridge,willnor
30、mallyreducethenumberofthosecrossingthethoroughfare,northat,aswhatisgainedbycross-ingbecomesmoreattractive,thenumberofpeoplecrossing6.FrankH.Knight,TheEthicsofCompetition,2nded.(NewYork:Harper&Bros.1936).32.TheFirm,theMarket,andtheLawwillincrease.Thegeneralizationofsuchknowledgeconstitutespricetheory
31、.Itdoesnotseemtometorequireustoassumethatmenarerationalutilitymaximizers.Ontheotherhand,itdoesnottelluswhypeoplechooseastheydo.Whyamanwilltakeariskofbeingkilledinordertoobtainasandwichishiddenfromuseventhoughweknowthat,iftheriskisin-creasedsufficiently,hewillforegoseekingthatpleasure.Noneoftheessays
32、inthisbookdealswiththecharacterofhumanpreferences,nor,asIhavesaid,doIbelievethateconomistswillbeabletomakemuchheadwayuntilagreatdealmoreworkhasbeendonebysociobiologistsandothernoneconomists.Buttheacceptancebyeconomistsofaviewofhumannaturesolackingincontentisofapiecewiththeirtreatmentofinstitutionswh
33、icharecentraltotheirwork.Theseinstitutionsarethefirmandthemarketwhichtogethermakeuptheinstitutionalstructureoftheeconomicsystem.Inmain-streameconomictheory,thefirmandthemarketare,forthemostpart,assumedtoexistandarenotthemselvesthesubjectofinvestigation.Oneresulthasbeenthatthecrucialroleofthelawindeterminingtheactivitiescarriedoutbythefirmandinthemarkethasbeenlargelyignored.Whatdifferentiatestheess
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