上述土地和人口的流动,显然离不开巨额的资本予以支持,尤其是需要吸引东部的资本,加快流向西部城镇的进程。在当时自由放任的历史时期,联邦政府无力、更无法直接投入资本,开发与建设西部城镇。于是,代表民间的一种游资,土地投机集团的资本投入就显得具有独特的经济意义。他们的努力有力地推动了资本的合理而又有效的流动,促进了西部城市的原始积累,为西部的全面发展提供了强大的后劲。
在1850年代,一家新英格兰移民救助公司(The New England Emigrant Aid Company)在堪萨斯的城镇和楼房建筑上,投资了64,029美元,[62]有助于推动城市草创时期所必须的基本建设。另外,在1868年,城市投机者在堪萨斯州的Wichita建立了一个小城镇,虽然这一小镇的先天条件很差,远离铁路线八十英里,而且并没有特别优越的自然条件。但是,在一批土地投机者的努力之下,该镇发行了200,000美元的社区债券,尤其是游说The Atchison, Topeka, and Santa Fe铁路公司,建造一条专门的铁路支线,连接Wichita镇,并说服堪萨斯畜牧市场工业的老板,将其生意从Abilene移到Wichita,导致Wichita在短短几年内,迅速成为充满生机的牛镇。随后,在土地投机者的推动下,Wichita又发展了面粉厂、农场机械制造厂、炼油厂和飞机工业等。[63]
同时,早在1830年代,数百个东部投机者就开始投资远在伊利诺斯州的大草原,其中33名投机商共投资开发了近65万英亩的土地。[64]他们还在内战后,先后建筑了韦贝绪运河、伊利诺斯和密西根运河,以及福克斯和威斯康星运河,并兴建了戴斯.莫伊内斯河航运开发公司,有力地推动了西部城镇之间和城乡之间的交通运输。[65]而且,一批土地投机者在所投机的土地上,也进行了各种类型的资本投资,包括支付土地抵押贷款的利息、雇佣律师选择合适的地产、创建新的行政区、建立城镇用户所必需的水电设施、雇佣城镇规划师和建筑师、以及设计和制作街道和人行道的地图等。类似投资既是城镇建设初期的必需,又是耗费巨大的投资,尤其是在此投资过程中,土地投机者不得不经历巨大的投资风险,包括雇员罢工、建筑材料短缺、甚至无法成功地出售已经完成了投资以后的地产,并不得不继续支付贷款利息等。[66]
必须提到,在推动资本流向西部城镇的过程中,当数铁路公司的贡献最大。铁路公司的投机活动有力地推动了州际和横跨东西两岸铁路的建设,导致铁路公司的大亨直接介入了城镇的发展事务,[67]因为正如著名的美国西部城市史学家John Reps所指出,"早期西部铁路的创办人很快意识到,城镇发展和铁路公司的利润能够相辅相成、互相促进"。[68]一位学者曾指出,如果美国中部各州的发展轨迹是农场-城镇-铁路,那么美国西部的发展顺序则正好相反,即是由铁路打先锋,然后开发了城镇,最后发展出农场。[69]所以,"在某种程度上,最终几乎所有西部的城镇都成了铁路镇"。[70]很显然,铁路为农村人口流向城市提供了交通方面的便利与保证,推动了城乡商品经济的发展。铁路的发展更加强了东西部的联系,促进了中西部邻近大河的城镇,如Buffalo, Cleveland, Detroit, Milwaukee等地的商业发展,而且东部大投机集团不仅财政资助了铁路建设跨过依阿华、密苏里、威斯康星和明尼苏达各州,还帮助这些城市成为市场和交易的中心。[71]
另外,土地投机集团通过交纳税收,为西部的建设贡献了巨额的原始资本,有力地促进了西部城市的建设和投资。以1830-1890年的Peninsula草原为例,大批土地投机者在出售他们的房地产之前,往往缴纳地产税,有助于西部城镇和社区在草创时期原始资本的积累、公共收入的增长、以及社区民众基本服务的提供。[72]同时,根据1821-1832年期间伊利诺斯州的税收数据显示,那些非西部居民的土地投机者所支付的地产税占当地全部税收的90\%以上,由此表明,州政府的财政收入主要是来自非西部居民财产的税收。[73]在十九世纪的依阿华州,土地投机集团也通过出售公共土地,促使西部边疆城镇和社区的税收基数迅速广大,有助于联邦政府将这巨大的土地资源转化为国家岁入。[74]必须指出,在缴纳地产税方面,许多非西部的土地投机者遭到了很不公平的待遇,因为他们不得不缴付比当地居民更多的地产税,在依阿华州的四个县,有关部门在评估不居住在西部的土地投机者之地产税时,施行了不同程度的歧视性措施,由此既表明这些投机者为西部社区的发展作出了牺牲,但也因此而为西部城市化作出了贡献。[75]
最后,土地投机集团所贡献的地产抵押贷款也是一种巨额的投资,有助于城市经济的发展。以十九世纪伊利诺斯各州的抵押贷款为例,土地投机者的83%以上的抵押贷款,都用于房地产的购置和维护,在依阿华的四个县也有高达68%-89%的抵押贷款,用于城镇地产的开发和建设,所以"大多数的抵押贷款反映了房地产的开发和其他生产性的企业建设。"[76]
[1]参见Zhaohui Hong, Changing Reputations of Land Speculation in Western Development (New York: Mellen University Press,1995),chapters one & two.
[2] Benjamin Hibbard, A History of the Public Land Policies (New York: The Macmillan Company, 1924),pp.219,361;Paul Gates, "The Role of the Land Speculator in Western Development, "Pennsylvania Magazine of History and Biography 66 (July 1942):314;Gates,History of Public Land Law Development (Washington, D.C.: Government Printing Office,1968),pp.59-74;Fred Shannon, "The Homestead Act and the Labor Surplus, "American Historical Review 41 (July 1936):637-651;Thomas LeDuc, "Public Policy, Private Investment, and Land Use in American Agriculture,1825-1875,"Agricultural History 37 (January 1963):3-9; Yasuo Okada, Public Lands and Pioneer Farmers: Gage County,Nebraska,1850-1900 (Tokyo: The Keio Economic Society, Keio University, 1971),pp.161,166.
[3] Frederick A. Cleveland and Dred Wilbur Powell, Railroad Promotion and Capitalization in the United States (New York: Longmans, Green, and Co., 1909), pp. 135-36.
[4] Richard Ely and Edward Morehouse, Elements of Land Economics (New York: The Macmillan Company, 1924), pp. 92-94.
[5] Paul Gates, "The Homestead Law in an Incongruous Land System," American Historical Review 41 (1936):652 and Note 2.
[6] Robert Swierenga, Pioneers and Profits: Land Speculation on the Iowa Frontier (Ames: Iowa State University Press, 1968), p. 5.
[7] Zhaohui Hong, Changing Reputations of Land Speculation in Western Development, pp. 191-92.
[8] J. John Palen, The Urban World (New York: McGraw-Hill Book Company, 1987), p. 9.
[9] Paul Meadows and Ephraim Mizruchi, Urbanism, Urbanization, and Change: Comparative Perspectives (Reading, Mass.: Addison-Wesley, 1969), p. 4.
[10] Leo Schnore, "Urbanization and Economic Development, The Demographic Contribution," American Journal of Economics and Sociology 23 (1964): 37-48.
[11]高佩义,《中外城市化比较研究》,南开大学1991年版,第2页。
[12] R.F. Martin, National Income in the United States, 1799-1938 (Washington,D.C.,1939),table 17.
[13] U.S.Bureau of the Census,Number of Inhabitants,1970 (Washington,D.C.,1970),table 7.
[14] U.S. Bureau of Economic Analysis, Long-Term Economic Growth,1860-1970 (Washington, D.C., 1973), pp. 260-263.
[15] O. Baker, A Graphic Summary of the Number, Size, and Type of Farm and Value of Products (Washington, D.C., The United States Department of Agriculture, 1937), p. 68.
[16]洪朝辉,《社会经济变迁的主题--美国现代化进程新论》,杭州大学1994年版,第8-12页。
[17] U.S. Bureau of Economic Analysis, Long-Term Economic Growth, 1860-1970, pp. 260-263.
[18] George Mowry and Blaine Brownell, The Urban Nation, 1920-1980 (New York: Hill and Wang, 1981), p. 3.
[19] U.S. Bureau of the Census, Historical Statistics of the United States, Colonial Times to 1970 (Washington, D.C., 1975), part one, pp. 105-106.
[20] Richard Easterlin, Population, Labor Force, and Long Swings in Economic Growth: The American Experience (New York, 1968), p. 189.
[21] U.S. Bureau of the Census, Historical Statistic of the United States, Colonial Times to 1970, pp. 105-106.
[22] Easterlin, Population, Labor Force, and Long Swings in Economic Growth, p. 189.
[23] Douglass C. North, Growth and Welfare in the American Past: New Economic History (Englewood Cliffs, N.J.: Prentice-Hall, Inc., 1966), p. 132.
[24] Paul Gates, History of Public Land Law Development, pp. 59-74.
[25] Paul Gates, "The Homestead Law in an Incongruous Land System," p. 681.
[26] Paul Gates, "American Land Policy and the Taylor Grazing Act," U.S. Resettlement Administration, Land Policy Circular (October 1935): 27, 37.
[27] 1785-1920年期间,美国西部的空间概念分广义和狭义两种。广义的西部是指阿巴拉契亚以西的所有土地,即除传统十三州外的全美各州;狭义的西部则主要是指东经102度以西的美国十一州,包括蒙太拿、爱达荷、怀俄明、科罗拉多、犹他、内华达、亚利桑那、新墨西哥、华盛顿、俄勒冈和加利福尼亚。本文所指的西部主要是广义的西部,但对有些取自于狭义西部的数据,将会专门标明。
[28]美国的第一个城市是建立于1609年的Santa Fe。参见A.E.J. Morris, History of Urban Form-Before the Industrial Revolutions (New York: John Wiley & Sons, 1979), p. 255.
[29] David Ward, Cities and Immigrants, A Geography of Change in Nineteenth-Century America (New York: Oxford University Press, 1971), p. 7.
[30] Richard Lingeman, Small Town America, A Narrative History, 1620-The Present (New York: G.P. Putnam's Sons, 1980), p. 99.
[31] Gilbert Fite, The Farmers' Frontier, 1865-1900 (New York: Holt, Rinehart, and Winston, 1966), p. 19.
[32] A.E.J. Morris, History of Urban Form, p. 286.
[33] U.S. Bureau of Land Management, Public Land Statistics (Washington, D.C., 1974), p. 6, table 3.
[34] Paul Gates, Fifty Million Acres: Conflicts over Kansas Land Policy, 1854-1890 (New York: Atherton Press, 1966), p. 251, table 21.
[35] Paul Gates, Fifty Million Acres, p. 115.
[36] Richard Lingeman, Small Town America, pp. 107-108.
[37] Richard Lingeman, Small Town America, pp. 111-112.
[38] Howard Jay Graham, Everyman's Constitution: Essays on the Fourteenth Amendment (Madison: State Historical Society of Wisconsin, 1969), pp. 499-500.
[39] Edward H. Rastatter, "The Economic Impact of the Speculator on the Distribution of the Public Lands of the United States: Ohio, 1820 to 1840" (Ph.D. Dissertation, University of Virginia, 1965), pp. 32,120.
[40] Robert Swierenga, Pioneers and Profits: Land Speculation on the Iowa Frontier (Ames: Iowa State University Press,1968),table 2.5,p.35.
[41] John W. Reps, Cities of the American West: A History of Frontier Urban Planning (Princeton: Princeton University Press,1979), p.525.
[42] John Reps, Cities of the American West, p. 565.
[43] Bruno Fritzsche, "San Francisco, 1846-1858: The Coming of the Land Speculation," California Historical Society Quarterly 51 (Spring 1972): 18.
[44] Richard Lingeman, Small Town America, p. 108.
[45] Richard Lingeman, Small Town America, pp. 109-110.
[46] Robert Swierenga, Pioneers and Profits, p. xxviii.
[47] Bernard C. Peters, "The Fever Period of Land speculation in Kalamazoo County: 1835-1837," Michigan Academician 8 (Winter 1976): 300-301.
[48] James Hedges, "The Colonization Work of the Northern Pacific Railroad," Mississippi Valley Historical Review 13 (1926): 330.
[49] David Ward, Cities and Immigrants, p. 65.
[50] David Ward, Cities and Immigrants, p. 60.
[51] U.S. Bureau of the Census, Statistical Abstract of the U.S. (Washington, D.C., 1914), pp. 116-121.
[52] Paul Gates, Landlords and Tenants on the Prairie Frontier (Ithaca, New York: Cornell University Press, 1972), 145.
[53] Allan Bogue, Money at Interest (Ithaca, New York: Cornell University Press, 1955), p. 11.
[54] Edward Kirkland, A History of American Economic Life (New York: Appleton-Century-Crofts, 1969), p. 397.
[55] New York Tribune, February 7, 1860.
[56] Allan Bogue, Money at Interest, p. 73.
[57] G.E. Wilson, Autobiography (Kingsly, 1947), p. 27.
[58] Mary Hargraves, Dry Farming in the Northern Great Plains, 1900-1925 (Cambridge, 1957), p.380.
[59] Paul Gates, "The Role of the Land Speculator in Western Development," p. 327.
[60] Fred A. Shannon, Farmer's Last Frontier: Agriculture, 1860-1897 (New York: M.E. Sharp, 1945), pp. 418, 146.
[61] Fred Shannon, "The Status of the Midwestern Farmer in 1900," Mississippi Valley Historical Review 37 (December 1950): 504.
[62] Paul Gates, Fifty Million Acres, p. 51.
[63] Charles Glaab, "Historical Perspective on Urban Development Schemes." Urban Research and Policy Planning. Edited by Leo Schnore and Henry Fagin (California: Sage Publications, Inc., 1967), pp. 206-207.
[64] Paul Gates, Landlords and Tenants on the Prairie Frontier (Ithaca, New York: Cornell University Press, 1973), p. 151.
[65] Paul Gates, "Role of the Land Speculation in Western Development," Pennsylvania Magazine of History and Biography 66 (1942): 328.
[66] Harold L. Oppenheimer, Land Speculation, An Evaluation and Analysis (Illinois: The Interstate Printers and Publishers, Inc., 1972), pp. 349-350.
[67] A.E.J. Morris, History of Urban Form, p. 285.
[68]转引自A.E.J. Morris, History of Urban Form, p. 286.
[69] Wallace Farnham, "Railroads in Western History: The View From the Union Pacific." The American West: A Reorientation. Edited by Gene M. Gressley. (Wyoming: University of Wyoming Publications, 1966), p.102.
[70] Wallace Farnham, "Railroads in Western History," p. 102.
[71] David Ward, Cities and Immigrants, pp. 36-37.
[72] Allan Bogue, "Farming in the Prairie Peninsula, 1830-1890," Journal of Economic History 23 (1963): 25.
[73] Theodore L. Carlson, The Illinois Military Tract, A Study of Land Occupation, Utilization, and Tenant (Urbana: University of Illinois Press, 1951), p. 47.
[74] Robert Swierenga, Pioneers and Profits, pp. 227.
[75] Robert Swierenga, "Land Speculation and Frontier Tax Assessments," Agriculture History 40 (July 1970): 266.
[76] Allan Bogue, From Prairie to Corn Belt (Chicago: The University of Chicago Press, 1963), pp. 179-180.
[77] R.J.R. Kirkby, Urbanization in China: Town and Country in a Developing Economy 1949-2000 AD (New York: Columbia University Press, 1985), pp. 1-21.
[78] Tiejun Chen, "Household Registration (Hukou) System in China: Retrospect and Prospect," China Report 2 (October 1991): 2.
[79] 高佩义,《中外城市化比较研究》,第90页。
[80] Kirkby, Urbanization in China, p. 10.
[81] Kam Wing Chan, Cities with Invisible Walls: Reinterpreting Urbanization in Post-1949 China (Hong Kong: Oxford University Press, 1994), p. 143.
[82]林毅夫、蔡肪、李周,《中国的奇迹:发展战略与经济改革》,上海人民出版社1994年版,第3-4页。
[83]国家统计局,《中国统计年鉴(1992)》,北京中国统计出版社1992年版,第149、158页;国家统计局固定资产投资统计司编,《中国固定资产投资统计资料(1950-1985)》,北京中国统计出版社1987年版,第97页。
[84]国家统计局,《中国统计年鉴(1992)》,第35页。
[85] Chan, Cties with Invisible Walls, p. 146, 表格5.1。
[86] Chan, Cities with Invisible Walls, p. 143.
[87]高佩义,《中外城市化比较研究》,第34-36页。
[88] Y.C.Wang, Chinese Intellectuals and the West, 1872-1949 (Chapel Hill: University of North Carolina Press, 1966), pp. vii-xiv.
[89] Chan, Cities with Invisible Walls, p. 99.
[90]根据《中国统计年鉴》1983年第103页和1989年第87页计算所得。
[91] Chan, Cities with Invisible Walls, pp. 99-109.
[92] Chan, Cities with Invisible Walls, pp. 61,表格3.2。
[93]**研究杂志社,《**年报,1995》,台北1995年版,第11篇,第191页。
[94] 《**年报》,第11篇,第192页。
[95]林凡,"中国房地产市场的危机,"《中国时报周刊》,1992年第8期,第52页。
[96] 《**年报》,第11篇,第200页。
[97] 《**年报》,第11篇,第125页。
[98] 谢金虎、张持坚, "浦东新区重视规划开发土地,"《人民日报.海外版》, 1996年, 6月11日, 第2版。
[99] 《**年报》, 第7篇, 第51-52页。