二十世纪中叶，以毛泽东为代表的中国共产党人将马克思主义基本原理运用于中国社会主义革命实践，创造了一条具有中国特色的社会主义改造道路。社会主义改造的基本完成，社会主义制度的完全确立，是当代中国历史上一次最深刻、最伟大的社会变革。近代以来，上海以港兴商，以工商业市，从中国的地理划分区域来看，是近现代中国资本主义工商业相对聚集的地区。对上海资本主义工商业在过渡时期的社会主义改造展开研究，具有一定的典型意义。 长期以来，海外相关研究整体上受限于“西方中心”的研究视角，与此同时，国内相关著作的研究重点聚焦于宏观叙事，这就为本文的研究提供了突破口。本论文基于马克思主义中国化的历史视角，以新中国的过渡时期为研究背景，审视上海资本主义工商业的社会主义改造的历史进程，剖析上海资本主义工商业社会主义改造的理论渊源与历史缘由，重点探究上海对中央宏观政策的具化和实践，突出上海地区“承上启下”的重要功能，分析上海资本主义工商业社会主义改造的基本特点。期待能进一步加深对中国社会主义改造历史必然性的认识，深化对马克思主义中国化的丰富内涵和深刻外延的理解，对当代中国经济发展提供些许借鉴之处。 新中国建立后，中国共产党由革命党转变为执政党，工作的重心也由此发生了重大的转变。如何认识和处理资本主义、资产阶级，成为中国共产党必须认真面对并加以正确解答的一个历史性的课题。依据马克思主义的基本原理，汲取了苏联对资产阶级政策的若干经验与教训，中国共产党提出了对中国的资产阶级、资本主义的若干方针政策。这些方针政策的确立，为新中国建立之初上海社会的稳定与发展奠定了坚实的基础。 国民经济恢复时期，根据马克思主义区别对待资产阶级的基本观点，中国共产党结合中国实际逐步形成了关于区别对待资产阶级的理论和政策。依据中共中央的统一部署，上海市政府在接管在沪官僚资本主义工商业、改造在沪外国资本主义工商业的同时，通过对在沪民族资本主义工商业实行加工、订货、收购、统购、包销等初级形式的国家资本主义，使上海资本主义工商业经历了深刻的改组和发生了有利于国计民生的变化。这些变化的发生，为以后高级形式的国家资本主义发展奠定了基础。1951年底，公私合营这种高级形式国家资本主义最早就在上海得到了实践，给以后全国公私合营的社会主义改造提供了丰富的实践经验。 党在过渡时期总路线提出之后，上海资本主义工商业社会主义改造不断推进。上海在中央的统一部署下，相继出台了一系列政策，在加强对过渡时期总路线宣传的同时，积极推进在沪同业公会和在沪私营工商业企业的改造。在马克思主义关于“剥夺剥削者”的科学假设和苏联国家资本主义的理论和实践的基础上，中国共产党创造性提出了“和平赎买”的政策，这一阶段的公私合营是在“和平赎买”政策下开展的。上海资本主义工商业社会主义改造在“和平赎买”的政策实施过程中，形成的典型示范效应先行、以“和”为贵的理念、“赎买”形式多样化等若干特点，一定程度上保证了上海资本主义工商业改造的平稳推进。在“和平赎买”政策的推动下，上海资本主义工商业的社会主义改造得以顺利进行。上海资本主义工商业的社会主义改造是中国经济战线上的社会主义革命，是生产关系方面由私有制到公有制的一场伟大的变革，这场伟大的变革曾对20世纪50年代中国国民经济结构的嬗变产生过重大影响。 20世纪50年代，在中共中央的领导下，上海资本主义工商业的社会主义改造工作从过渡形式到具体步骤，以及它所代表的社会主义根本方向上，应当充分肯定。它丰富和发展了马克思主义的理论宝库，奠定了国民经济向社会主义过渡的经济基础，强化了社会主义建设的统一战线联盟，这些历史经验是马克思主义中国化的宝贵成果。然而，上海资本主义工商业的社会主义改造存在一定的时代局限性。在社会经济模式的选择和理解上，过于单一；在方法步骤上，“要求过急，工作过粗，改变过快，形式也过于简单划一”；在改造过程中，过早地追求基本上消灭个体生产和私人资本的目标，则是超越了社会主义初级阶段。 半个多世纪以来，如何认识和处理中国过渡时期社会经济中的资本主义因素，曾经是、现在仍然是中国共产党人所面对的一个十分重要的理论和实践问题。在当今社会主义改革不断深入推进的历史条件下，从马克思主义中国化的视角追溯过渡时期中国民族资本主义的发展历程，感受过渡时期中国社会主义改造与当下社会主义改革的历史关联性，它所带给后人的思考，仍不失为一份弥足珍贵的历史遗产。 关键词：过渡时期，上海，资本主义工商业，社会主义改造，马克思主义中国化

 In the middle of the 20th century, the Chinese communists represented by Mao Zedong applied the basic principles of Marxism to the practice of socialist revolution in China and created a road to socialist transformation with Chinese characteristics. The basic completion of socialist transformation and the establishment of the socialist system are the most profound and greatest social changes in contemporary Chinese history. Since modern times, Shanghai, bom as a prosperous seaport area, has developed into a city with flourishing trade and commerce. It is a region where capitalist industry and commerce are relatively concentrated within the geographical scope of China. Therefore, it is of great significance to carry out research on the socialist transformation of Shanghai's capitalist industry and commerce during the transition period. For a long period of time, overseas Chinese studies about socialist transformation is limited by their viewpoint of Western-centrism, while the viewpoint of domestic studies is focused on the macroscopic scale. This feature provides a breakthrough direction of the present dissertation. This dissertation takes the socialist transformation in the transitional period after the founding of the People's Republic of China (PRC) as the background, examines the process of socialist transformation of Shanghai's capitalist industry and commerce from the historical view based on the Sinicization of Marxism, and explores the theoretical and historical origins of socialist transformation of Shanghai's capitalist industry and commerce. This dissertation is then focused on the concretization and practical implementation of the macroscopic and general policies of Communist Party of China (CPC) Central Committee by CPC Shanghai Municipal Committee and the municipal government, in order to emphasize the important role of “a connecting link between the preceding and the following” played by CPC Shanghai Municipal Committee and the municipal government. Based on these investigations, this dissertation is dedicated to achieving, to some extent, a deeper understanding of the rich connotations and profound extensions of the Sinicization of Marxism. After the founding of the PRC, CPC became from a revolutionary party to a ruling party, and the focus of its work has undergone a major transformation. How to understand and deal with capitalism and the bourgeoisie then became a historic issue that the Chinese Communist Party must seriously face and correctly answer. According to the basic principles of Marxism and some lessons learned from the Soviet Union's policies on bourgeoisie, CPC proposed a number of principles and policies toward China's bourgeoisie and capitalism. The establishment of these principles and policies laid a solid foundation for the stability and development of Shanghai society at the beginning of the PRC. During the period of national economic recovery, according to the basic views of Marxism on the bourgeoisie and China's realistic conditions, CPC gradually formed a theory and relevant policies on the differential treatment of the bourgeoisie. According to the unified deployment of CPC Central Committee, the Shanghai Municipal Government took over the capitalist industry and commerce in Shanghai and transformed foreign capitalist industry and commerce in Shanghai. Moreover, it implemented the primary forms of state capitalism including “processing”, “ordering”, “acquisition”, “purchase” and “underwriting” in nationalist capitalist industry and commerce in Shanghai. These policies made Shanghai capitalist industry and commerce undergo a profound reorganization and changes that are beneficial to the national economy and people's livelihood. These changes laid the foundation for the later development of high-level forms of state capitalism. At the end of 1951, public-private partnership, a form of high-level state capitalism, was first practiced in Shanghai, providing rich practical experience for the socialist transformation of public-private partnerships in the whole country. After the introduction of general line of transitional period, the socialist transformation of Shanghai's capitalist industry and commerce continued to advance. Under the unified deployment of the central government, Shanghai has successively issued a series of policies. While strengthening the propaganda of the general line, Shanghai has actively promoted the transformation of the Shanghai's trade associations and private industrial and commercial enterprises in Shanghai. On the basis of Marxist scientific assumptions about “deprivation of deprivators” and the theory as well as the practice of Soviet Union's state capitalism, CPC creatively proposed a policy of “peaceful redemption”. The public-private partnership at this stage was carried out under the policy of “peaceful redemption”. In the process of "peaceful redemption" policy implementation, the socialist transformation of Shanghai's capitalist industry and commerce exhibited several features, including the typical demonstration effect, the emphasis on "harmony" and the diversification of "redemption" forms, which to some extent ensured the steady implementation of capitalist industrial and commercial transformation. Driven by the "peaceful redemption" policy, the socialist transformation of Shanghai's capitalist industry and commerce was carried out smoothly. The socialist transformation of Shanghai's capitalist industry and commerce is a socialist revolution on China's economic front, a great change in the relationship of production from private to public ownership. This great revolution had a major impact on the transformation of national economic structure in the 1950s. In the 1950s, under the leadership of the CPC Central Committee, the socialist transformation of Shanghai's capitalist industry and commerce should be fully affirmed, from the transitional form to the concrete steps and the fundamental direction of socialism it represents. It enriched and developed the theoretical treasure collections of Marxism, laid the economic foundation for the transition of the national economy to socialism, and strengthened the United Front of socialist construction. These historical experiences are the precious achievements of the Sinicization of Marxism. However, the socialist transformation of Shanghai's capitalist industry and commerce still has some certain historical limitations. In the choice and understanding of the socio-economic model, it is too singular; In the methods and steps, “the requirements were too urgent, the work was too rough, the change was too fast, and the form was too simple and uniform”; in the process of transformation, the premature pursuit of the goal of basically eliminating individual production and private capital was beyond the initial stage of socialism. For more than half a century, how to understand and deal with the capitalist factors in China's transitional socio-economy has been and remains to be a very important theoretical and practical issue faced by the Chinese Communists. Under the current conditions of the continuous deepening of socialist reform, it is still important to trace the development process of Chinese nationalist capitalism during the transition period from the perspective of Sinicization of Marxism and to figure out the historical correlations between the socialist transformation in transitional period and current socialist reform. The thinking it leads us to is still a precious historical legacy. KEY WORDS: transitional period, Shanghai, capitalist industry and commerce, socialist transformation, Sinicization of Marxism