1. V. I. Lenin, Polnoe sobranie sochinenii, 5th ed., 55 vols. (Moscow, 1958-65) (hereafter cited as Lenin, PSS ,) 36:176-178 (emphasis in the original).

2. Ibid., 36:158-159, 179.

3. Ibid., 36:311. See also 36:305, 310.

4. For additional examples of Lenin's arguments on this need for the bourgeoisie (from his pamphlets and speeches during the next two years), see ibid., 38:54, 58; 39:314; 40:218.

5. The Marx-Engels Reader, ed. Robert C. Tucker (New York, 1972), p. 339.

6. Lenin, PSS, 11:37.

7. Ibid., 11:43-44.

8. Ibid., 31:151.

9. Ibid., 32:233.

10. Ibid., 34:155.

11. E. H. Carr, The Bolshevik Revolution, 3 vols. (London, 1950-53; reprint, Harmondsworth, 1973), 2:14, n. 7.

12. Lenin, PSS, 37:417-418. For similar remarks (in a speech and an article) in 1919 and 1920, see ibid., 39:121; 41:108. On occasion Lenin demanded that "speculators" be apprehended and shot on the spot. See ibid., 35:311-312.

13. See, for example, speeches, articles, and pamphlets in ibid., 37:415-416; 38:61-62; 39:168-169; 39:407.

14. See speeches, articles, and pamphlets in ibid., 38:64-65; 39:170; 39:315; 39:357-358; 39:408.

15. Ibid., 38:374.

16. Ibid., 39:122-123 (speech at a Moscow conference of representatives from factory committees, trade unions, and a cooperative in July 1919); 39:154 (a letter in Pravada and Izvestiia, August 28, 1919).

17. Ibid., 39:153.

18. Sobranie uzakonenii i rasporiazhenii. 1917-1949 (Moscow, 1920-50) (hereafter cited as SU ), 1917-1918, No. 5, art. 73; SU, 1917-1918, No. 10, art. 150; SU, 1917-1918, No. 29, art. 385; Maurice Dobb, Soviet Economic Development Since 1917 (New York-London, 1966), p. 84.

19. SU, 1917-1918, No. 47, art. 559.

20. Carr, Bolshevik Revolution, 2:103-104.

21. SU, 1920, No. 93, art. 512.

22. V. M. Selunskaia, ed., Izmeneniia sotsial'noi struktury sovetskogo obshchestva. oktiabr' 1917-1920 (Moscow, 1976), p. 259; I. Ia. Trifonov, Klassy i klassovaia bor'ba v SSSR v nachale nepa, Vol. 2, Podgotovka ekonomicheskogo nastupleniia na novuiu burzhuaziiu (Leningrad, 1969), p. 44; and Alec Nove, An Economic History of the U.S.S.R. (London, 1969; reprint, Harmondsworth, 1972), pp. 69-70. For more on the state's inability to control artisans, see Thomas F. Remington, "Democracy and Development in Bolshevik Socialism, 1917-1921" (Ph.D. diss., Yale University, 1978), pp. 282-285.

23. Lenin, PSS, 36:505, 510.

24. SU, 1917-1918, No. 83, art. 879.

25. SU, 1917-1918, No. 84, art. 884; Na novykh putiakh. Itogi novoi ekonomicheskoi politiki 1921-1922 g.g. (Moscow, 1923), vypusk I, p. 385.

26. Victor Serge, Memoirs of a Revolutionary 1901-1941 (London, 1967; reprint, 1975), pp. 79, 115 (emphasis in the original). See also Philip Gibbs, Since Then (London, 1930), p. 335; Pitirim A. Sorokin, Hunger as a Factor in Human Affairs (Gainesville, Fla., 1975), p. xxxiv. Thomas Remington reports that a witticism of the day was "The nationalization of trade means that the whole nation is trading." Remington, "Democracy and Development," p. 278.

27. Planovoe khoziaistvo, 1927, No. 11, pp. 95-96; M. M. Zhirmunskii, Chastnyi torgovyi kapital v narodnom khoziaistve SSSR (Moscow, 1927), p. 39; Trifonov, Klassy, 2:45; and L. N. Kritsman, "Geroicheskii period velikoi russkoi revoliutsii (opyt analiza t. n. voennogo kommunizma)," Vestnik kommunisticheskoi akademii, 1924, No. 9, p. 118.

28. Serge, Memoirs, p. 74; Carr, Bolshevik Revolution, 2:242, 245; Selunskaia, Izmeneniia, p. 255; and Kritsman, "Geroicheskii period," p. 119. On the Moscow Soviet's grudging acceptance of some private trade in November 1920, see Remington, "Democracy and Development," p. 281.

29. Mestnoe khoziaistvo (Kiev), 1925, No. 3 (December), p. 71; Carr, Bolshevik Revolution, 2:242; and Kritsman, "Geroicheskii period," p. 121.

30. Serge, Memoirs, pp. 115-116.

31. V.P. Dmitrenko, Torgovaia politika sovetskogo gosudarstva posle perekhoda k NEPu 1921-1924 gg. (Moscow, 1971), p. 142; Ilya Ehrenburg, First Years of Revolution, 1918-21 (London, 1962), p. 143; and Carr, Bolshevik Revolution, 2:243-244.

32. M. M. Zhirmunskii, Chastnyi kapital v tovarooborote (Moscow, 1924), pp. 3-4.

33. Serge, Memoirs, p. 71.

34. Dela i dni, 1920, kniga pervaia, p. 495; Sorokin, Hunger, p. 196.

35. Dela i dni, 1920, kniga pervaia, p. 495; Patrick G. Friel, "Theater and Revolution: The Struggle for Theatrical Autonomy in Soviet Russia (1917-1920)" (Ph.D. diss., University of North Carolina at Chapel Hill, 1977), p. 135; and Sorokin, Hunger, pp. 111-112, 140, 230-231.

36. Quoted in Friel, "Theater and Revolution," p. 196.

37. Ibid., pp. 190-191.

38. Angelica Balabanoff, My Life as a Rebel (New York, 1938), p. 204. After three years of such privation, Ilya Ehrenburg and his wife had difficulty adjusting at once to the relative abundance of food in Latvia when they left Russia briefly at the beginning of 1921. "I do not know whether the portions [in a restaurant in Riga] were so large or whether we had become unused to eating, but I could not manage even half my beefsteak. I felt rather sad: here was the piece of meat I had dreamt of for so long, and I could not eat it." Ehrenburg, First Years of Revolution, p. 181.

39. Murray Feshbach, "The Soviet Union: Population Trends and Dilemmas," Population Bulletin 37 (August 1982): 6-7; Dela i dni, 1920, kniga pervaia, p. 496.

40. Seth Singleton, "The Tambov Revolt (1920-1921)," Slavic Review 25 (September 1966): 498-499; Ehrenburg, First Years of Revolution, p. 176.

41. Lenin, PSS, 44:159.

42. Ibid., 44:415. In an article published in Pravda on November 6-7, 1921, Lenin wrote that Russia, "one of the most backward capitalist countries, tried in one stroke to organize and put into practice the new link [direct commodity exchange orchestrated by the state] between industry and agriculture, but could not accomplish this by 'direct assault' [during War Communism] and now [during NEP] must accomplish it with slow, gradual, careful 'siege' operations." Ibid., 44:226-227.

43. Ibid., 44:203-204.

44. "We had no alternative besides total and rapid monopoly, going as far as seizing all surplus stocks without any compensation. We could not handle this task in any other way." Ibid., 43:79.

45. "We overdid nationalization of trade and industry and shutting down local exchange. Was this a mistake? Without doubt. In this respect we have done much that was simply wrong." Lenin added that the civil war forced the party to take certain wartime economic measures. "But it should not be concealed in our agitation and propaganda that we went farther than was theoretically and politically necessary." Ibid., 43:63-64. For a discussion of the views of some Western scholars, see Paul C. Roberts, "'War Communism': A Re-examination," Slavic Review 29 (June 1970): 238-261.

46. Nove, Economic History, pp. 79-80.

1. F. I. Dan, Dva goda skitanii (Berlin, 1922), p. 253; Alexander Berkman, The Bolshevik Myth (Diary 1920-1922) (New York, 1925), pp. 304-305.

2. Alexandre Barmine, One Who Survived: The Life Story of a Russian Under the Soviets (New York, 1945), p. 125; V. A. Arkhipov and L. F. Morozov, Bor'ba protiv kapitalisticheskikh elementov v promyshlennosti i torgovle. 20-3—nachalo 30-kh godov (Moscow, 1978), p. 61; Iu. S. Kondurushkin, Chastnyi kapital pered sovetskim sudom (Moscow-Leningrad, 1927), p. 26; Anton Karlgren, Bolshevist Russia (London, 1927), p. 126; and Victor Serge, Memoirs of a Revolutionary 1901-1941 (London, 1967; reprint, 1975), pp. 147, 196.

3. V. I. Lenin, Polnoe sobranie sochinenii, 5th ed., 55 vols. (Moscow, 1958-65) (hereafter cited as Lenin, PSS ), 44:220.

4. Desiatyi s" ezd RKP(b). Mart 1921 goda: stenograficheskii otchet (Moscow, 1963), p. 406; Lenin, PSS, 43:64, 70; 44:310.

5. V. P. Dmitrenko, Torgovaia politika sovetskogo gosudarstva posle perekhoda k NEPu 1921-1924 gg. (Moscow, 1971), p. 31; Lenin, PSS, 43:62-63, 147-148.

6. L. N. Kritsman, Tri goda novoi ekonomicheskoi politiki (Moscow, 1924), p. 27; V. A. Tsybul'skii, "Tovaroobmen mezhdu gorodom i derevnei v pervye mesiatsy nepa," Istoriia SSSR, 1968, No. 4, pp. 31-41; Arkhipov and Morozov, Bor'ba, p. 26; I. Ia. Trifonov, Klassy i klassovaia bor'ba v SSSR v nachale nepa, Vol. 2, Podgotovka ekonomicheskogo nastupleniia na novuiu burzhuaziiu (Leningrad, 1969), p. 194; and Pravda, August 16, 1921, p. 1.

7. Lenin, PSS, 44:207-208, 214-215.

8. Ibid., 43:229; 44:161.

9. Ibid., 43:233, 354. See also pp. 220-221, 270-271, and 309.

10. Ibid., 45:82, 98.

11. Ibid., 43:232 (emphasis in the original).

12. Ibid., 44:167.

13. KPSS v rezoliutsiiakh i resheniiakh s"ezdov, konferentsii i plenumov TsK, 8th ed. (Moscow, 1970-) (hereafter cited as KPSS ), 2:257; Resheniia partii i pravitel'stva po khoziaistvennym voprosam (Moscow, 1967-), 1:212-214. A decree from the Council of People's Commissars (Sovnarkom) on March 28 set the 1921/22 grain tax at somewhat over half the previously established requisition target, in part to ensure the peasants a surplus to trade. Sobranie uzakonenii i rasporiazhenii. 1917-1949 (Moscow, 1920-50) (hereafter cited as SU ), 1921, No. 26, art. 148. For similar decrees concerning other agricultural products, see SU, 1921, No. 38, art. 204; SU, 1921, No. 48, art. 235 and art. 239. Sovnarkom issued another decree on March 28 ( SU, 1921, No. 26, art. 149) calling for the rapid implementation of VTsIK's decree of March 21 and providing some details on how and in what regions this was to be done.

14. Resheniia partii i pravitel'stva po khoziaistvennym voprosam, 1:233-234; SU, 1921, No. 57, art. 356. During 1922, decrees were issued throughout the land by local officials specifying the hours that trade could be conducted, when the lunch break was to be, what types of trade could be conducted on holidays, what places would be designated for markets and bazaars, what sanitation measures were to be observed, and so on. Na novykh putiakh. Itogi novoi ekonomicheskoi politiki 1921-1922 g.g. (Moscow, 1923), vypusk I, p. 416.

15. SU, 1921, No. 59, art. 403; Pravda, August 12, 1921, p. 1.

16. SU, 1921, No. 60, art. 410; Zakony o chastnom kapitale. Sbornik zakonov, instruktsii, prikazov i raz" iasnenii, comp. B. S. Mal'tsman and B. E. Ratner (Moscow, 1928), pp. 247-248. Another decree indicates that private individuals were publishing books in the late summer of 1921, without interference from the authorities. SU, 1921, No. 61, art. 430.

17. Ekonomicheskaia zhizn' SSSR. Khronika sobytii i faktov 1917-1965, 2 vols. (Moscow, 1967), 1:103; SU, 1922, No. 6, art. 58; SU, 1922, No. 12, art. 110; SU, 1922, No. 28, art. 318; SU, 1922, No. 34, art. 399; SU, 1922, No. 41, art. 488; SU, 1922, No. 71, art. 905; and Torgovo-promyshlennaia gazeta (hereafter cited as TPG ), 1922, No. 69 (June 2), p. 2. See also Resheniia partii i pravitel'stva po khoziaistvennym voprosam, 1:313-315; Na novykh putiakh, vypusk I, p. 402.

18. Resheniia partii i pravitel'stva po khoziaistvennym voprosam, 1:232-233; SU, 1921, No. 48, art. 240; SU, 1921, No. 53, art. 313; Zakony o chastnom kapitale, pp. 182-183; and KPSS, 2:269. Sovnarkom announced that producers' cooperatives would be given privileged treatment with regard to state orders, supplies, and credit in order to encourage independent artisans to join. Most artisans, however, remained outside these cooperatives throughout NEP. See Zakony o chastnom kapitale, pp. 186-187 for a decree of December 10, 1921, that affirmed the May 17 denationalization decree.

19. KPSS, 2:305; SU, 1921, No. 63, art. 458; SU, 1921, No. 68, art. 527; and SU, 1921, No. 72, art. 576 and art. 577.

20. Zakony o chastnom kapitale, pp. 6-7, 19-20. The entire Civil Code may be found in SU, 1922, No. 71, art. 904. Similar codes were adopted by the other republics. Nepmen renting or leasing a state-owned factory were required to insure it fully, keep it repaired, and get production up to the level agreed upon in the lease. If the lease did not specify production level and a time limit by which it was to be reached, the lease was invalid. Zakony o chastnom kapitale, p. 22. For more on the number of workers permitted in private factories, see Ekonomicheskoe obozrenie, 1926, August, p. 119; Zakony o chastnom kapitale, pp. 183, 253; Finansy i narodnoe khoziaistvo, 1927, No. 19, pp. 29-30; TPG, 1923, No. 140 (June 26), p. 1; and Torgovo-promyshlennyi vestnik, 1923, No. 7-8, p. 3.

21. Lenin, PSS, 43:159.

22. Ibid., 43:277. See also 43:160, 313-314; 45:266.

23. Ibid., 43:25; 44:163.

24. Ibid., 45:387-388. See also 44:160, 164; 45:77-78, 81.

25. Ibid., 44:160; 45:86.

26. Ibid., 43:27, 329. In the same vein, Lenin told the Third All-Russian Food Conference in June 1921: "I would like to remind you of the decision of the last [Tenth] Party Conference that dealt specifically with the question of the New Economic Policy. The party Conference was urgently convened in order to convince all comrades completely that this policy, as was noted at the Conference, has been adopted seriously and for a long time, and to prevent any wavering on this score in the future." Ibid., 43:353-354.

27. Ibid., 43:330. On another occasion at the Tenth Party Conference Lenin stated that NEP had been adopted for "a long period, measured in years." The following month he guessed that it would take "at least ten years" to restore the country's industrial base. Ibid., 43:333, 357. By the end of 1921, Lenin appeared to think that NEP could very well last twenty-five years or more. "Either you learn to work at a different tempo," he lectured the Ninth All-Russian Congress of Soviets in December, "reckoning the task in terms of decades, not months, and relying on the masses that are worn out and cannot perform their daily work at a revolutionary-heroic tempo—either you learn this or you should be called geese." In one of his last works, titled "On Cooperation" and written in January 1923, Lenin again seemed to be thinking in terms of more than one decade. In order to reach socialism, he wrote, the population would have to understand the advantages of the cooperatives and want to participate. For this, a "whole historical epoch," lasting "one or two decades," would be needed. Without this epoch of ''cultural development," he stressed, "we will not achieve our goal.'' Presumably, then, Lenin anticipated that private trade would exist for "one or two decades," until consumers were convinced of the superiority of the cooperative system. Ibid., 44:325; 45:372.

28. Ibid., 45:8, 83-84 (emphasis in the original). For more on NEP as a retreat, see ibid., 44:206-208, 229; 45:87, 92, 302.

29. Ibid., 44:311.

30. I. V. Stalin, Sochineniia, 13 vols. (Moscow, 1946-52), 12:171.

31. Lenin, PSS, 44:159-160; Desiatyi s"ezd, p. 407.

32. Lenin, PSS, 45:117-118.

33. "State capitalism," Lenin declared at the Eleventh Party Congress, "is capitalism which we will be able to restrict, for which we can set up limits." Or, as he proclaimed on another occasion, the state must try "to control the capitalists with an appropriate bridle, in order to direct capitalism into the state channel and create a capitalism subordinate to the state and serving it." Ibid., 44:161; 45:85. See also 43:221-223.

34. The best source for Lenin's concept of state capitalism in 1918 is his essay "'Left-Wing' Childishness and the Petty Bourgeois Mentality" in ibid., 36:283-314.

35. Zakony o chastnom kapitale, pp. 7, 165-166, 168, 187-190; SU, 1923, No. 24, art. 285; Direktivy KPSS i sovetskogo pravitel'stva po khoziaistvennym voprosam. 1917-1957 gody, 4 vols. (Moscow, 1957-58), 1:371-372; Ekonomicheskaia zhizn' SSSR, 1:115; and J. Leyda, Kino. A History of the Russian and Soviet Film (London, 1960), p. 167. A decree of July 10, 1923, added more teeth to some of the statutes in the Criminal Code concerning economic activity. According to the revised version of article 137, for example, "malicious" ( zlostnyi ) raising of prices by buying up goods or withholding them from the market was punished with imprisonment for not less than six months and loss of part of one's property if only one person was involved. If a number of people worked together in this way to raise prices, the punishment was imprisonment for not less than two years, confiscation of all property, and loss of the right to trade. SU, 1923, No. 48, art. 479.

36. SU, 1921, No. 56, art. 354; SU, 1922, No. 16, art. 162; Dmitrenko, Torgovaia politika, p. 156; Torgovaia gazeta, 1922, No. 8 (February 9), p. 3; and Trifonov, Klassy, 2:188.

37. SU, 1921, No. 56, art. 354. Small cooperatives and cartels were exempt from this tax. The others were given a number of tax breaks during NEP as the state tried to entice producers, traders, and consumers out of the private sector. In July 1922, for example, Sovnarkom reduced the business tax on cooperatives by 50 percent if they sold to members only, and by 25 percent if they sold to the general public. SU, 1922, No. 45, art. 559.

38. SU, 1922, No. 17, art. 180; SU, 1923, No. 5, art. 88 and 89; V. P. D'iachenko, Istoriia finansov SSSR (1917-1950 gg.) (Moscow, 1978), pp. 117-119; and Dmitrenko, Torgovaia politika, p. 160.

39. SU, 1922, No. 76, art. 940; Dmitrenko, Torgovaia politika, p. 158; and D'iachenko, Istoriia finansov, pp. 119-120.

40. SU, 1921, No. 80, art. 693; SU, 1923, No. 4, art. 77; Dmitrenko, Torgovaia politika, pp. 158, 160-162; I. Ia. Trifonov, Likvidatsiia ekspluatatorskikh klassov v SSSR (Moscow, 1975), p. 204; and E. H. Carr, The Bolshevik Revolution, 3 vols. (London, 1950-53; reprint, Harmondsworth, 1973), 2:354 (text and footnote).

41. Trifonov, Klassy, 2:177-178; Dmitrenko, Torgovaia politika, p. 157.

42. SU, 1922, No. 22, art. 244; SU, 1922, No. 34, art. 400; and SU, 1923, No. 100, art. 998; Trifonov, Klassy, 2:82, 176-177; and Dmitrenko, Torgovaia politika, pp. 94-95.

43. Lenin, PSS, 44:322-323, 328-329, 337, 397.

44. Ibid., 44:337.

45. See, for example, TPG, 1922, No. 69 (June 2), p. 1; 1922, No. 119 (August 2), p. 1; Ekonomicheskoe stroitel'stvo, 1923, No. 6-7, p. 83.

46. TPG, 1923, No. 113 (May 24), p. 2. For more complaints from Nepmen concerning the state's unclear and unstable policy toward the private sector, see Torgovye izvestiia, 1925, No. 87 (November 10), p. 2; 1926, No. 98 (September 9), p. 2; TPG, 1923, No. 86 (April 20), p. 2; 1923, No. 113 (May 24), p. 2; and G. P. Paduchev, Chastnyi torgovets pri novoi ekonomicheskoi politike (po dannym biudzhetnogo obsledovaniia) (Voronezh, 1926), p. 63.

47. Lenin, PSS, 43:237; SU, 1921, No. 55, art. 346.

48. Ilya Ehrenburg, Memoirs: 1921-1941 (New York, 1966), p. 68.

49. Lenin, PSS, 52:217-218; Dmitrenko, Torgovaia politika, pp. 58-59; and Izvestiia, May 17, 1921, p. 2.

50. SU, 1921, No. 49, art. 256; Dmitrenko, Torgovaia politika, pp. 151-153. An article in Ekonomicheskaia zhizn' warned local officials not to be too eager to ban private trade during campaigns to collect the tax in kind. Ekonomicheskaia zhizn', 1922, No. 196 (September 2), p. 1. Another article in the same paper pointed out that bans on private trade had been ordered in various regions in 1921 but had not proven effective. Ekonomicheskaia zhizn', 1922, No. 186 (August 19), p. 1.

51. Dmitrenko, Torgovaia politika, p. 155.

52. TPG, 1923, No. 70 (March 29), p. 4; Dmitrenko, Torgovaia politika, pp. 153-154.

53. Torgovaia gazeta, 1922, No. 31 (March 30), p. 4; 1922, No. 42 (April 27), p. 2.

54. Ekonomicheskaia zhizn', 1922, No. 205 (September 13), p. 2; Torgovaia gazeta, 1922, No. 42 (April 27), p. 2; and Na novykh putiakh, vypusk I, p. 417.

55. Torgovaia gazeta, 1922, No. 42 (April 27), p. 2; Paduchev, Chastnyi torgovets, p. 53.

56. Ekonomicheskoe obozrenie, 1926, March, pp. 150, 153.

57. Torgovaia gazeta, 1922, No. 35 (April 6), p. 3; Na novykh putiakh, vypusk , I, pp. 414-415.

58. Frank Alfred Golder and Lincoln Hutchinson, On the Trail of the Russian Famine (Stanford, 1927), pp. 227-228.

59. Dmitrenko, Torgovaia politika, pp. 151, 153; A. M. Ginzburg, ed., Chastnyi kapital v narodnom khoziaistve SSSR. Materialy kommissii VSNKh SSSR (Moscow-Leningrad, 1927), p. 294; Zakony o chastnoi promyshlennosti, comp. A. E. Vorms and S. V. Mints (Moscow, 1924), pp. 26-27; SU, 1921, No. 79, art. 684; D. I. Mishanin, "Arenda gosudarstvennykh predpriiatii chastnymi predprinimateliami, kak odna iz form gosudarstvennogo kapitalizma v ekonomike perekhodnogo perioda ot kapitalizma k sotsializmu v SSSR," in E. A. Messerle and D. I. Mishanin, Metodicheskoe posobie po politekonomii (Alma-Ata, 1961), p. 64; and Carr, Bolshevik Revolution, 2:300.

1. Torgovye izvestiia, 1926, No. 98 (September 9), p. 2. There is a similar complaint on this page from another private firm.

2. Ibid., 1925, No. 87 (November 10), p. 2. For additional reports on the Nepmen's unhappiness with fluctuating state policies (generally in the realm of taxation and the supply of goods), see Torgovo-promyshlennaia gazeta (hereafter cited as TPG ), 1923, No. 86 (April 20), p. 2; 1923, No. 113 (May 24), p. 2; G. P. Paduchev, Chastnyi torgovets pri novoi ekonomicheskoi politike (po dannym biudzhetnogo obsledovaniia) (Voronezh, 1926), p. 63.

3. A. M. Ginzburg, ed., Chastnyi kapital v narodnom khoziaistve SSSR. Materialy kommissii VSNKh SSSR (Moscow-Leningrad, 1927), p. 112. The author of an article on private credit institutions wrote: "The position of these institutions and the [state's] policy concerning them have been extremely unsteady for the last five years of their postrevolutionary existence, reflecting the frequent change of the Soviet government's entire policy toward private capital." F. Lifshits, "Osnovnye linii kredita i kreditnoi politiki za 1917-1927 gg," in Finansovaia politika sovetskoi vlasti za 10 let. Sbornik statei (Moscow, 1928), p. 82. See also Ts. M. Kron, Chastnaia torgovlia v SSSR (Moscow, 1926), p. 4.

4. Paul Scheffer, Seven Years in Soviet Russia (New York, 1932), p. 174. Scheffer's figure of 300,000 may be too high (depending on what he means by "private enterprises"), but his general characterization of the period is reliable.

5. William Reswick, I Dreamt Revolution (Chicago, 1952), pp. 58-59, 61.

6. Walter Duranty, I Write as I Please (New York, 1935), pp. 210-211; Walter Duranty, Duranty Reports Russia (New York, 1934), pp. 152-153; Anton Karlgren, Bolshevist Russia (London, 1927), pp. 144-145. David Dallin labeled this policy change "a new course and partial abolition of NEP." Sotsialisticheskii vestnik (Berlin), 1924, No. 10, pp. 6-7. See also 1924, No. 2, pp. 6-7; 1924, No. 19, p. 12.

7. Ginzburg, Chastnyi kapital, pp. 171-172.

8. S. O. Zagorskii, K sotsializmu ili k kapitalizmu? (Paris, 1927), pp. 125-126; I. V. Stalin, Sochineniia, 13 vols. (Moscow, 1946-52), 6:244.

9. Duranty, I Write, pp. 145-147; Duranty, Duranty Reports, p. 108; Reswick, I Dreamt, pp. 53, 56; F. A. Mackenzie, Russia Before Dawn (London, 1923), p. 212; Anna Louise Strong, The First Time in History (New York, 1924), pp. 23, 33; Edwin W. Hullinger, The Reforging of Russia (New York, 1925), pp. 65, 69, 278, 326-327, 334-335; Richard Eaton, Under the Red Flag (New York, 1924), p. 39; Markoosha Fischer, My Lives in Russia (New York, 1944), p. 10; Pitirim A. Sorokin, Leaves from a Russian Diary—and Thirty Years After (Boston, 1950), p. 271; Allan Monkhouse, Moscow, 1911-1933 (Boston, 1934), pp. 134-135; Iu. S. Kondurushkin, Chastnyi kapital pered sovetskim sudom (Moscow-Leningrad, 1927), p. 40; and Torgovo-promyshlennyi vestnik, 1923, No. 4 (June 9), p. 9. For some photographs of the annual " Derbi " (for trotters) in Moscow, see Illiustrirovannaia Rossiia (Paris), 1926, No. 33, p. 4; 1927, No. 33, p. 5; 1928, No. 33, p. 9. For a description of a wild party thrown by a wealthy Nepman, see Reswick, I Dreamt, pp. 54-56. "He [the Nepman] and his beautiful mistress, the daughter of a former governor general of Petrograd, had purchased from the government a well-preserved mansion and were entertaining on a scale reminiscent of Tsarist days." NEP's night life figured prominently in many literary works of the period. For a sampling, see Valentin Kataev, Embezzlers (Ann Arbor, 1975), pp. 166-167, 171, 194-196; Vladimir Lidin, The Price of Life (Westport, Conn., 1973), pp. 119-122, 191-194, 212-215, 219-226; Anatoly Marienhoff, Cynics (Westport, Conn., 1973), pp. 146, 174-180; and Boris Lavrenyov, ''The Heavenly Cap," in The Fatal Eggs and Other Soviet Satire (New York, 1965; reprint, 1968), p. 175.

10. Duranty, I Write, pp. 145-146.

11. Frank Alfred Golder and Lincoln Hutchinson, On the Trail of the Russian Famine (Stanford, 1927), p. 159.

12. Duranty, I Write, p. 209; Sotsialisticheskii vestnik (Berlin), 1924, No. 2, p. 7.

13. Alexander Berkman, The Bolshevik Myth (Diary 1920-1922) (New York, 1925), pp. 304-305.

14. Victor Serge, Memoirs of a Revolutionary 1901-1941 (London, 1967; reprint, 1975), pp. 198-199.

15. Reswick, I Dreamt, pp. 59, 61.

16. L. N. Kritsman, Tri goda novoi ekonomicheskoi politiki (Moscow, 1924), p. 34. During the summer of 1924, Torgovo-promyshlennaia gazeta ran numerous articles on the campaign to eliminate private wholesalers.

17. Ginzburg, Chastnyi kapital, pp. 171-172; I. Ia. Trifonov, Klassy i klassovaia bor'ba v SSSR v nachale nepa, Vol. 2, Podgotovka ekonomicheskogo nastupleniia na novuiu burzhuaziiu (Leningrad, 1969), pp. 160-162; Ekonomicheskoe obozrenie, 1925, March, pp. 278-279, and April, p. 198; and S. L. Fridman, Chastnyi kapital na denezhnom rynke (Moscow, 1925), pp. 30, 32, 33, 46.

18. I. Mingulin, Puti razvitiia chastnogo kapitala (Moscow-Leningrad, 1927), pp. 59-61; Kron, Chastnaia torgovlia, p. 120; M. M. Zhirmunskii, Chastnyi kapital v tovarooborote (Moscow, 1924), p. 166; Ekonomicheskoe obozrenie, 1926, March, p. 142; 1926, August, p. 93; TPG, 1924, No. 112 (May 20), p. 3; 1924, No. 126 (June 5), p. 2; 1924, No. 156 (July 12), p. 1; and Paduchev, Chastnyi torgovets, p. 66.

19. Trifonov, Klassy, 2:191; Fridman, Chastnyi kapital na denezhnom rynke, p. 95; Duranty, I Write, p. 236; Kron, Chastnaia torgovlia, p. 108; Mestnoe khoziaistvo (Kiev), 1925, No. 3 (December), p. 74; and Ginzburg, Chastnyi kapital, pp. 192-193. For the tax decrees themselves see, for example, Sobranie zakonov i rasporiazhenii rabochekrest'ianskogo pravitel'stva SSSR. 1924-1949 (Moscow, 1925-50) (hereafter cited as SZ ), 1924, No. 20, art. 196 (new income tax decree); SZ, 1924, No. 8, art. 82 (an additional tax on the trade of luxury goods); and Sobranie uzakonenii i rasporiazhenii. 1917-1949 (Moscow, 1920-50) (hereafter cited as SU ), 1924, No. 63, art. 636 (an additional tax on the living space of "nonlabor elements," a category made up largely of private entrepreneurs).

20. Komvnutorg (which became Narkomvnutorg in the spring of 1924) was given the power to set price ceilings for certain goods in private as well as state and cooperative shops, and all traders were required to post price lists of goods designated by Komvnutorg. SU, 1924, No. 35, art. 332 and art. 338; Direktivy KPSS i sovetskogo pravitel'stva po khoziaistvennym voprosam. 1917-1957 gody, 4 vols. (Moscow, 1957-58), 1:451-458; Khoziaistvo Sev.-Zap. kraia, 1924, No. 8 (November), p. 148; and KPSS v rezoliutsiiakh i resheniiakh s"ezdov, konferentsii i plenumov TsK, 8th ed. (Moscow, 1970-) (hereafter cited as KPSS ), 2:531.

21. Sotsialisticheskii vestnik (Berlin), 1924, No. 19, p. 12; Torgovye izvestiia, 1925, No. 14 (May 9), p. 2.

22. Sotsialisticheskii vestnik (Berlin), 1924, No. 2, p. 8.

23. Ekonomicheskoe obozrenie, 1926, August, p. 89; Ginzburg, Chastnyi kapital, pp. 111-112; I. A. Bialyi and A. I. Litvin, Chastnyi kapital v g. Irkutske (Irkutsk, 1929), pp. 29-30; and Torgovye izvestiia, 1925, No. 41 (July 25), p. 6.

24. For more on Bukharin's rise to power, see Stephen S. Cohen, Bukharin and the Bolshevik Revolution: A Political Biography 1888-1938 (New York, 1973; reprint, 1975).

25. See, for example, Alexander Erlich, The Soviet Industrialization Debate, 1924-1928 (Cambridge, Mass., 1960); Alec Nove, An Economic History of the U.S.S.R. (London, 1969; reprint, Harmondsworth, 1972); Cohen, Bukharin; Nicholas Spulber, ed., Foundations of Soviet Strategy for Economic Growth: Selected Soviet Essays, 1924-1930 (Bloomington, 1964); Nicholas Spulber, Soviet Strategy for Economic Growth (Bloomington, 1964); and Moshe Lewin, Political Undercurrents in Soviet Economic Debates (Princeton, 1974).

26. N. I. Bukharin, Put' k sotsializmu i raboche-krest'ianskii soiuz, 2d ed. (Moscow-Leningrad, 1925), pp. 54-55, 64; N. I. Bukharin, Tekushchii moment i osnovy nashei politiki (Moscow, 1925), pp. 13, 16.

27. Cohen, Bukharin, pp. 179-180.

28. N. Valentinov, Doktrina pravogo kommunizma, 1924-1926 gody v istorii sovetskogo gosudarstva (Munich, 1962), p. 23; Krasnaia nov', 1925, No. 4, p. 266; and Bukharin, Put' k sotsializmu, pp. 51-52. In 1924 Bukharin wrote: "Earlier [during the years of revolution and War Communism] the class struggle had for us, in the first place, a military-political shock character; now it has a peaceful-economic-organic [ mirnokhoziaistvenno-organicheskaia ] physiognomy." Bol'shevik, 1924, No. 2, p. 6. For Bukharin's "enrich yourself" slogan, see Bol'shevik, 1925, No. 9-10, p. 5.

29. Bukharin, Put' k sotsializmu, pp. 52-53; N. I. Bukharin, "Lenin kak marksist," in Put' k sotsializmu v Rossii. Izbrannye proizvedeniia N. I. Bukharina, ed. Sidney Heitman (New York, 1967), pp. 238-239.

30. Bukharin, Put' k sotsializmu, pp. 25-27, 65; Cohen, Bukharin, p. 199. Bukharin expressed confidence that the "socialist" sector of the economy would eventually leave consumers no doubt that it was superior to the private sector.

31. Cohen, Bukharin, p. 215.

32. Stalin, Sochineniia, 7:359.

33. XIV s"ezd vsesoiuznoi kommunisticheskoi partii (b). 18-31 dekabria 1925 g.: stenograficheskii otchet (Moscow, 1926), pp. 41, 47-48, 958-959.

34. The first important party meeting in 1925 was a Central Committee Plenum in April, whose resolution on rural economic policy called for a "decisive elimination of the survivals of 'War Communism' in the countryside—for example, the cessation of struggle by administrative means against private trade, the kulaks, etc.—[measures that were] contradictory to the development of market relations permitted under NEP." A few pages later the Plenum announced "the lightening of the present tax burden [on rural private trade] and the removal of administrative obstacles to private trade in the countryside in order, by proper and exclusively economic measures, to include its work in the general chain of Soviet trade." Similar sentiments appeared in resolutions adopted by Fourteenth Party Conference in April, the Third All-Union Congress of Soviets in May, and the Fourteenth Party Congress at the end of the year. The Congress of Soviets, for example, warned against the adoption of "any sort of administrative measures" in the countryside and shortly thereafter declared that taxes on private traders ''must be set at a level that will not cause a reduction in the volume of trade.'' KPSS , 3:160, 166, 174-175, 191; S"ezdy sovetov soiuza SSR, soiuznykh i avtonomnykh sovetskikh sotsialisticheskikh respublik. Sbornik dokumentov v semi tomakh, 1917-1937 g.g. , 7 vols. (Moscow, 1959-65), 3:83, 87; Resheniia partii i pravitel'stva po khoziaistvennym voprosam (Moscow, 1967-), 1:483; and XIV s"ezd , p. 962.

35. The title of the lead article in Sotsialisticheskii vestnik (Berlin), 1925, No. 10, is "Neo-NEP." The phrase novaia torgovaia praktika was employed frequently in Soviet newspapers such as Torgovye izvestiia and Ekonomicheskaia zhizn' during the spring and summer of 1925.

36. See, for example, Torgovlia, promyshlennost' i finansy , 1925, No. 7-8, pp. 190, 196-198; Ekonomicheskii vestnik Zakavkaz'ia (Tiflis), 1925, No. 1, pp. 15-16; and Ekonomicheskaia zhizn' , 1925, No. 1 (January 1), p. 2.

37. Torgovlia, promyshlennost' i finansy , 1925, No. 7-8, pp. 190-191, 198, 205; Torgovye izvestiia , 1925, No. 4 (April 9), p. 3; 1925, No. 41 (July 25), p. 6; Severo-Kavkazskii krai (Rostov-on-the-Don), 1925, No. 4-5, pp. 110-112; Viatsko-Vetluzhskii krai (Viatka), 1926, No. 1, pp. 52-54; and Ekonomicheskii vestnik Zakavkaz'ia (Tiflis), 1926, No. 6, pp. 34-35. Foreigners in Russia, including John Maynard Keynes, noted this policy change in 1925. See, for example, J. M. Keynes, A Short View of Russia (London, 1925), p. 18; Karlgren, Bolshevist Russia , pp. 145-146.

38. Quoted in Karlgren, Bolshevist Russia , p. 146.

39. TPG , 1925, No. 5 (January 7), p. 2.

40. Torgovye izvestiia , 1925, No. 1 (April 2), p. 1. Naturally, Sheinman's opinions were evident in various Narkomvnutorg reports in 1925, one of which stated: "The struggle to eliminate private trading capital from rural trade must be carried out on a purely economic basis. Administrative action, especially tax pressure, should not be used in any circumstances." Trifonov, Klassy , 2:215. For views of other state officials along these lines, see Torgovlia, promyshlennost' i finansy , 1925, No. 7-8, p. 197; 1925, No. 9, p. 221; Torgovye izvestiia , 1925, No. 6 (April 14), p. 2; TPG , 1925, No. 5 (January 7), p. 2; and F. E. Dzerzhinskii, Izbrannye stat'i i rechi (Moscow, 1947), p. 191. Several chairmen of provincial branches of VSNKh, responding to a survey distributed by the newspaper Ekonomicheskaia zhizn' at the end of 1924, favored a larger role for Nepmen in trade in order to free more state funds for industrial development. Ekonomicheskaia zhizn' , 1924, No. 354 (December 7), p. 3.

41. Torgovye izvestiia , 1925, No. 2 (April 4), p. 6; Judah Zelitch, Soviet Administration of Criminal Law (Philadelphia, 1931), pp. 365-366. See also Torgovye izvestiia , 1925, No. 38 (July 18), p. 6.

42. Ia. M. Gol'bert, ed., Novaia torgovaia praktika (Moscow, 1925), p. 54.

43. Torgovye izvestiia , 1925, No. 11 (April 30), p. 3; 1925, No. 12 (May 5), p. 3; 1925, No. 14 (May 9), p. 2; 1925, No. 15 (May 12), p. 3. Similar meetings between Nepmen and state officials were held in other locations as well. See, for example, Sotsialisticheskii vestnik (Berlin), 1925, No. 22, p. 1; 1926, No. 6, p. 1; Ekonomicheskaia zhizn' , 1924, No. 353 (December 6), p. 4. When given an opportunity to express their views in the press, private traders called most often for the same reforms. See the six articles in Ekonomicheskaia zhizn' , 1925, No. 47 (February 26), p. 3; 1925, No. 49 (February 28), p. 3.

44. Torgovye izvestiia , 1925, No. 9 (April 25), pp. 1, 6; 1925, No. 27 (June 13), p. 4; 1925, No. 76 (October 15), p. 6; Ginzburg, Chastnyi kapital , pp. 185, 193; and Kron, Chastnaia torgovlia , p. 108.

45. SZ , 1925, No. 16, art. 122; SZ , 1925, No. 25, art. 168; SZ , 1925, No. 32, art. 213; SZ , 1925, No. 38, art. 285; SZ , 1925, No. 65, art. 481; SZ , 1926, No. 3, art. 16; SZ , 1926, No. 6, arts. 37, 38, 39, 42; SU , 1926, No. 10, art. 73; Ekonomicheskoe obozrenie , 1927, May, p. 177; and V. A. Arkhipov and L. F. Morozov, Bor'ba protiv kapitalisticheskikh elementov v promyshlennosti i torgovle. 20 e—nachalo 30-kh godov (Moscow, 1978), p. 124. There were some new taxes during this period, such as a special levy on the amount of living space occupied by urban Nepmen who were subject to the income tax (in order to raise money for workers' housing). SZ , 1925, No. 26, art. 178. But for nearly all Nepmen the tax reductions mentioned above more than offset the new taxes.

46. Iu. Larin, Chastnyi kapital v SSSR (Moscow-Leningrad, 1927), pp. 273-274; Vasil'kov, Chastnyi kapital v khoziaistve orlovskoi gubernii. (Issledovatel'skaia rabota Gubplana pod rukovodstvom i redaktsiei Vasil'kova) (Orel, 1928), p. 93.

47. Larin, Chastnyi kapital , p. 279.

48. Ekonomicheskoe obozrenie , 1926, August, p. 109; and Arkhipov and Morozov, Bor'ba , p. 193. See also V.P. D'iachenko, Istoriia finansov SSSR (1917-1950 gg.) (Moscow, 1978), p. 187.

49. Mingulin, Puti razvitiia , pp. 59-61; Ekonomicheskoe obozrenie , 1926, March, p. 143; Torgovye izvestiia , 1925, No. 12 (May 5), p. 3; 1925, No. 27 (June 13), p. 6; and Narodnoe khoziaistvo Srednei Azii (Tashkent), 1927, No. 5, p. 59.

50. Societies of Mutual Credit were lending institutions with varying combinations of state and private capital. Some were managed by private individuals, some by state officials, and others by state and private financiers together. The bulk of the Nepmen's credit (over 75 percent) came directly from state banks, not through Societies of Mutual Credit. More information on these organizations is provided in chapter 7. On the flow of state credit to the private sector, see Ginzburg, Chastnyi kapital , p. 172; Mingulin, Puti razvitiia , p. 63; Ekonomicheskoe obozrenie , 1927, March, pp. 132-133; A. Zalkind, ed., Chastnaia torgovlia Soiuza SSR (Moscow, 1927), p. 100; Torgovlia, promyshlennost' i finansy , 1925, No. 9, p. 221; and Torgovye izvestiia , 1925, No. 27 (June 13), p. 6; 1925, No. 53 (August 22), p. 2; 1925, No. 76 (October 15), p. 6.

51. For instance, there were numerous reports from local markets of tax reductions in 1925 arresting the decline of private trade. See, for example, Mestnoe khoziaistvo (Kiev), 1925, No. 3 (December), pp. 74-75; Torgovye izvestiia , 1925, No. 28 (June 25), p. 5; 1925, No. 34 (July 9), p. 6; 1925, No. 82 (October 29), p. 4. The revival of private trade in 1925 will be examined more closely in Part II.

1. XIV s"ezd vsesoiuznoi kommunisticheskoi partii(b). 18-31 dekabria 1925 g.: stenograficheskii otchet (Moscow, 1926), p. 252.

2. The Challenge of the Left Opposition (1926-27) , ed. Naomi Allen and George Saunders (New York, 1980), pp. 307-308, 379. See also pp. 79, 96, 103-104, 134, 230, 234-235, 302-304, 341-342.

3. KPSS v rezoliutsiiakh i resheniiakh s"ezdov, konferentsii i plenumov TsK , 8th ed. (Moscow, 1970-) (hereafter cited as KPSS ), 3:442 (emphasis in the original); S"ezdy sovetov soiuza SSR, soiuznykh i avtonomnykh sovetskikh sotsialisticheskikh respublik. Sbornik dokumentov v semi tomakh, 1917-1937 g.g. (Moscow, 1959-65), 4 (part 1): 95.

4. S"ezdy sovetov , 4 (part 1): 92. That summer, a Joint Plenum of the Party Central Committee (CC) and Central Control Commission (CCC) rejected the Left Opposition's call for "the supertaxation of private trade, which would lead to its rapid liquidation before state and cooperative trade would be ready to control the whole market. The CC and CCC consider that these suggestions [of the Left Opposition] are aimed, in essence, at the abolition of the New Economic Policy, established by the party under the leadership of Lenin." KPSS , 3:485-486. Ironically, as the CC and CCC issued this resolution, the party was on the eve of adopting just such a taxation policy.

5. Stephen S. Cohen, Bukharin and the Bolshevik Revolution: A Political Biography 1888-1938 (New York, 1973; reprint, 1975), pp. 243-247.

6. KPSS , 3:379, 442-443.

7. Challenge , ed. Allen and Saunders, pp. 464-465.

8. KPSS , 3:509, 516; 4:18, 35, 43.

9. Piatnadtsatyi s"ezd VKP(b). Dekabr' 1927 goda: stenograficheskii otchet , 2 vols. (Moscow, 1961), 1:66.

10. See, for example, Robert C. Tucker, Stalin as Revolutionary, 1879-1929 (New York, 1974); Moshe Lewin, Russian Peasants and Soviet Power: A Study of Collectivization (London, 1968; reprint, New York, 1975); Cohen, Bukharin; and Alec Nove, An Economic History of the U.S.S.R. (London, 1969; reprint, Harmondsworth, 1972).

11. Victor Kravchenko, I Chose Freedom (New York, 1946), p. 50.

12. Piatnadtsatyi s"ezd , 1:70; I. V. Stalin, Sochineniia , 13 vols. (Moscow, 1946-52), 11:46, 170-172.

13. Stalin, Sochineniia , 12:15, 37; 13:207-208.

14. KPSS , 4:32, 108-109, 249. See also S"ezdy sovetov , 3:155, 4 (part 1): 114-115; Shestnadtsataia konferentsiia VKP(b). Aprel' 1929 goda: stenograficheskii otchet (Moscow, 1962), pp. 193, 195-196; and KPSS , 4:412.

15. Stalin, Sochineniia , 11:167, 231. See also pp. 226, 270.

16. Ibid., 11:231.

17. Ibid., 11:318-319.

18. Ibid., 12:44-45. Stalin's charges were reiterated by his supporters at party meetings and approved in numerous party resolutions. See, for example, Shestnadtsataia konferentsiia , pp. 70, 171, 197, 232, 399; XVI s"ezd vsesoiuznoi kommunisticheskoi partii(b): stenograficheskii otchet (Moscow-Leningrad, 1931), pp. 155-156, 257; and KPSS , 4:183, 189, 197, 410, 447.

19. Cohen, Bukharin , pp. 147-148, 159.

20. Stalin, Sochineniia , 12:29-30, 32.

21. Ibid., 12:32, 35. See also p. 305.

22. Cohen, Bukharin , pp. 334-335. At the Sixteenth Party Congress in the summer of 1930, Rykov again "confessed" that the Right Opposition had been wrong and that its policies "objectively aided, not the attack on the petty bourgeoisie, but the opposite." XVI s"ezd , pp. 148-151.

23. Torgovo-promyshlennaia gazeta (hereafter cited as TPG ), 1927, No. 174 (August 3), p. 2; 1927, No. 249 (October 30), p. 3; 1927, No. 276 (December 2), p. 5; 1928, No. 192 (August 19), p. 4; 1928, No. 293 (December 18), p. 4; Ekonomicheskaia zhizn' , 1927, No. 236 (October 15), p. 3.

24. I. Ia. Trifonov, Ocherki istorii klassovoi bor'by v SSSR v gody NEPa (1921-1937) (Moscow, 1960), p. 84; Mestnoe khoziaistvo (Kiev), 1925, No. 3 (December), p. 86; and Torgovye izvestiia , 1925, No. 1 (April 2), p. 5; 1925, No. 9 (April 25), p. 1; 1925, No. 20 (May 23), p. 1; 1925, No. 27 (June 13), p. 4.

25. Finansy i narodnoe khoziaistvo , 1929, No. 3, p. 16.

26. Materialy po istorii SSSR. VII. Dokumenty po istorii sovetskogo obshchestva (Moscow, 1959), p. 110; Vasil'kov, Chastnyi kapital v khoziaistve orlovskoi gubernii. (Issledovatel'skaia rabota Gubplana pod rukovodstvom i redaktsiei Vasi'kova) (Orel, 1928), pp. 93, 95.

27. Sobranie zakonov i rasporiazhenii raboche-krest'ianskogo pravitel'stva SSR. 1924-1949 (Moscow, 1925-50) (hereafter cited as SZ ), 1926, No. 42, art. 307; SZ , 1927, No. 25, art. 273; Zakony o chastnom kapitale. Sbornik zakonov, instruktsii, prikazov i raz"iasnenii , comp. B. S. Mal'tsman and B. E. Ratner (Moscow, 1928), pp. 316-323; L. F. Morozov, Reshaiushchii etap bor'by s nepmanskoi burzhuaziei (1926-1929) (Moscow, 1960), p. 44; and Materialy. VII. , p. 111. Approximately 90 percent of the total superprofit tax revenue was paid by private traders (as opposed to private manufacturers), because the tax was only levied on those branches of industry (leather and wool products, vegetable oil, and flour) where, in Narkomfin's opinion, Nepmen played a harmful, speculative role. Morozov, Reshaiushchii etap , pp. 44-45.

28. SZ , 1926, No. 63, art. 474; SZ , 1926, No. 64, art. 484; Finansy i narodnoe khoziaistvo , 1927, No. 37, pp. 22-23; 1929, No. 3, p. 16; Morozov, Reshaiushchii etap , pp. 43-45; and I. Mingulin, Puti razvitiia chastnogo kapitala (Moscow-Leningrad, 1927), pp. 125-126.

29. Finansy i narodnoe khoziaistvo , 1927, No. 37, pp. 22-23; V. P. D'iachenko, Istoriia finansov SSSR (1917-1950 gg.) (Moscow, 1978), p. 187.

30. Zakony o chastnom kapitale , p. 324; SZ , 1926, No. 44, art. 312; SZ , 1927, No. 6, art. 57; SZ , 1927, No. 16, art. 172; Morozov, Reshaiushchii etap , p. 45; and F. S. Pavlov, "Oktiabr'skaia revoliutsiia i istoricheskii opyt KPSS v likvidatsii srednei i melkoi promyshlennoi i torgovoi burzhuazii v perekhodnyi period k sotsializmu," in Velikaia oktiabr'skaia sotsialisticheskaia revoliutsiia i stroitel'stvo kommunizma (Dnepropetrovsk, 1967), p. 72.

31. Morozov, Reshaiushchii etap , p. 73; I. Ia. Trifonov, Likvidatsiia ekspluatatorskikh klassov v SSSR (Moscow, 1975), pp. 216, 234; TPG , 1927, No. 191 (August 24), p. 4; Torgovye izvestiia , 1926, No. 47 (April 29), p. 2; Zakony o chastnom kapitale , pp. 10, 144-145, 156-157; and N. Riauzov, Vytesnenie chastnogo posrednika iz tovarooborota (Moscow, 1930), pp. 35-36.

32. Trifonov, Likvidatsiia , pp. 216, 231; Morozov, Reshaiushchii etap , pp. 42, 73; TPG , 1927, No. 20 (January 26), p. 2; and Materialy. VII. , pp. 23, 34-35.

33. Ekonomicheskaia zhizn' , 1927, No. 9 (January 12), p. 2; Pravda , September 1, 1926, p. 4; Vasil'kov, Chastnyi kapital , pp. 29, 31; A. M. Ginzburg, ed., Chastnyi kapital v narodnom khoziaistve SSSR. Materialy kommissii VSNKh SSSR (Moscow-Leningrad, 1927), pp. 265-266; Morozov, Reshaiushchii etap , p. 61; Sovetskaia torgovlia , 1927, No. 5, p. 14; and S. F. Kuchurin, Zheleznodorozhnye gruzovye tarify (Moscow, 1950), p. 25. Some local officials harassed private grain traders in 1925, even though this was not yet official policy. See, for example, Torgovye izvestiia , 1925, No. 2 (April 4), p. 5.

34. Sovetskaia torgovlia , 1927, No. 5, p. 14; 1927, No. 7, pp. 8, 15; V. A. Arkhipov and L. F. Morozov, Bor'ba protiv kapitalisticheskikh elementov v promyshlennosti i torgovle. 20-e—nachalo 30-kh godov (Moscow, 1978), pp. 136, 190; A. Zalkind, ed., Chastnaia torgovlia Soiuza SSR (Moscow, 1927), p. 67; Severo-Kavkazskii krai (Rostov-on-the-Don), 1926, No. 3, pp. 61-63; TPG , 1927, No. 121 (May 31), p. 6; and Torgovye izvestiia , 1926, No. 111 (October 9), p. 2. Though the new railway regulations were aimed primarily at private grain trade, they also applied to private shipments of other products. Here, too, the effect of these measures is hard to gauge with much precision.

35. Paul Scheffer, Seven Years in Soviet Russia (New York, 1932), pp. 55, 208. Theodore Dreiser, who spent eleven weeks in the Soviet Union during the winter of 1927-28 (including stays in Moscow, Leningrad, Rostov-on-the-Don, Odessa, Sevastopol', and Baku), was struck by the number of private traders he saw arrested "all over Russia." Theodore Dreiser, Dreiser Looks at Russia (New York, 1928), p. 233.

36. H. J. Greenwall, Mirrors of Moscow (London, 1929), p. 112. See also Arkhipov and Morozov, Bor'ba , pp. 195, 207; Arthur Feiler, The Russian Experiment (New York, 1930), p. 61; William C. White, These Russians (New York, 1931), p. 68; and E. Ashmead-Bartlett, The Riddle of Russia (London, 1929), pp. 159, 173-174.

37. Maurice Hindus, Humanity Uprooted (New York, 1929), p. 59; TPG , 1928, No. 15 (January 18), p. 5; 1928, No. 27 (February 1), p. 4; 1928, No. 166 (July 19), p. 2; and SZ , 1929, No. 4, art. 31.

38. Lewin, Russian Peasants , pp. 225, 389; Walter Duranty, Duranty Reports Russia (New York, 1934), p. 156; White, These Russians , p. 325; Ekonomicheskoe obozrenie , 1928, No. 4, p. 171; Sotsialisticheskii vestnik (Berlin), 1928, No. 8-9, p. 31; and Eugene Lyons, Assignment in Utopia (New York, 1937), p. 99. Railway freight rates for private shipments were raised yet again in 1930. In June 1929 the Commissariat of Transportation (NKPS) was granted the right to "forbid and restrict" private shipments via rail and water of goods specified by the Council of Labor and Defense (STO). A decree of February 1930 permitted NKPS to "forbid and restrict" the transportation of any kind of private freight via the railways or waterways. This decree was abolished a month later by a third decree that transferred the decision concerning such prohibitions to STO. Kuchurin, Zheleznodorozhnye gruzovye tarify , p. 25; SZ , 1929, No. 39, art. 350; SZ , 1930, No. 14, art. 150; and SZ , 1930, No. 21, art. 236.

39. Eugene Lyons, Moscow Carrousel (New York, 1935), p. 327; Lyons, Assignment , pp. 81-82; Sotsialisticheskii vestnik (Berlin), 1930, No. 1, p. 14; Aleksandr I. Solzhenitsyn, The Gulag Archipelago 1918-1956: An Experiment in Literary Investigation , 3 vols. (New York, 1974-78), 1:52; Duranty, Duranty Reports , p. 384; White, These Russians , pp. 67, 75; TPG , 1928, No. 246 (October 21), p. 6; E. H. Carr and R. W. Davies, Foundations of a Planned Economy, 1926-1929 , 2 vols. (London, 1969), 1 (part 2): 671; and Finansy i narodnoe khoziaistvo , 1930, No. 1, p. 20.

40. Concerning the income tax, see SZ , 1928, No. 1, art. 2; SZ , 1928, No. 58, art. 515; SZ , 1928, No. 58, art. 520; SZ , 1929, No. 48, art. 435; SZ , 1929, No. 68, art. 639; SZ , 1929, No. 71, art. 678; SZ , 1930, No. 46, art. 482; and Morozov, Reshaiushchii etap , p. 72. Concerning the business tax, see SZ , 1928, No. 50, art. 443; SZ , 1930, No. 3, art. 32; SZ , 1930, No. 5, art. 53; SZ , 1930, No. 46, art. 481; D'iachenko, Istoriia finansov , pp. 188-189; and Finansy i narodnoe khoziaistvo , 1929, No. 12, pp. 11-12.

The old inheritance-tax decree of January 1926 was replaced in February 1929 by a law that approximately doubled the tax for Nepmen on gifts or inheritances up to 100,000 rubles. SZ , 1929, No. 8, art. 78.

41. Finansy i narodnoe khoziaistvo , 1930, No. 27, p. 25. For additional data on the Nepmen's growing tax burden during these years, see Finansy i narodnoe khoziaistvo , 1928, No. 39, p. 3; 1929, No. 28, p. 26; 1930, No. 1, pp. 20-21; 1930, No. 27, p. 24; and D'iachenko, Istoriia finansov , pp. 185-186.

42. Walter Duranty, I Write as I Please (New York, 1935), pp. 275-277.

43. Istoriia sovetskoi konstitutsii (v dokumentakh) 1917-1956 (Moscow, 1957), p. 155. Other people not permitted to vote included monks and priests, former tsarist police officials, and the mentally ill or retarded.

44. Ibid., pp. 296-297, 331, 355-356, 526, 543-544, 585, 602, 651-652.

45. I. Ia. Trifonov, Klassy i klassovaia bor'ba v SSSR v nachale nepa , Vol. 2, Podgotovka ekonomicheskogo nastupleniia na novuiu burzhuaziiu (Leningrad, 1969), pp. 75-76; White, These Russians , pp. 66-68, 78; William H. Chamberlin, Soviet Russia: A Living Record and a History (Boston, 1931), pp. 108-109; Ekonomicheskoe obozrenie , 1927, May, p. 172; John Johnson, Russia in the Grip of Bolshevism (New York, 1931), pp. 104-105; Carr and Davies, Foundations , 1 (part 2): 701; Lyons, Assignment , pp. 175-76; Theodor Seibert, Red Russia (London, 1932), p. 315; Sotsialisticheskii vestnik (Berlin), 1930, No. 1, p. 14; SZ , 1929, No. 3, art. 23; and Illiustrirovannaia Rossiia (Paris), 1929, No. 9, p. 5.

46. Morozov, Reshaiushchii etap , pp. 98-99; White, These Russians , pp. 75-76; Sotsialisticheskii vestnik (Berlin), 1930, No. 1, p. 14; Seiber, Red Russia , pp. 314-315; Negley Farson, Black Bread and Red Coffins (New York, 1930), pp. 14-15; Duranty, Duranty Reports , p. 385; and Lyons, Assignment , p. 176.

47. Ekonomicheskoe obozrenie , 1927, May, p. 172; Anton Karlgren, Bolshevist Russia (London, 1927), p. 308; Sobranie uzakonenii i rasporiazhenii. 1917-1949 (Moscow, 1920-50) (hereafter cited as SU ), 1927, No. 13, art. 88; Biulleten' tverskogo okruzhnogo ispolnitel'nogo komiteta (Tver'), 1929, No. 15, pp. 10-12; Spektator [M. I. Nachimson], Russkii "Termidor" (Kharbin, 1927), p. 100; White, These Russians , pp. 23, 50; Sotsialisticheskii vestnik (Berlin), 1929, No. 4, p. 13; and Markoosha Fischer, My Lives in Russia (New York, 1944), p. 38.

48. Sotsialisticheskii vestnik (Berlin), 1930, No. 2, p. 16; Hindus, Humanity Uprooted , pp. 61-62. The daily papers carried many announcements of the following sort: "I, Ivan Ivanovich Ivanov, of (age) and (address) hereby sever all relations with my parents of (address)." Lyons, Moscow Carrousel , p. 86; Fischer, My Lives , p. 38.

49. Finansy i narodnoe khoziaistvo , 1930, No. 12, pp. 4-5; 1930, No. 14, p. 22; 1930, No. 17, p. 26; Seibert, Red Russia , p. 363; Sotsialisticheskii vestnik (Berlin), 1929, No. 21, p. 7; 1930, No. 4, pp. 12-13; and Calvin B. Hoover, The Economic Life of Soviet Russia (New York, 1931), p. 209.

50. Solzhenitsyn, Gulag , 1:52-53; Alexandre Barmine, One Who Survived: The Life Story of a Russian Under the Soviets (New York, 1945), p. 174; and Lyons, Assignment , pp. 455-457. For details on the methods used by the GPU to extort gold, see Vladimir V. Tchernavin, I Speak for the Silent (Boston-New York, 1935), pp. 200-209.

51. Lyons, Assignment , p. 286.

52. Hoover, Economic Life , p. 151; Eve Garrette Grady, Seeing Red: Behind the Scenes in Russia Today (New York, 1931), pp. 159, 171-172.

53. Walter A. Rukeyser, Working for the Soviets: An American Engineer in Russia (New York, 1932), p. 217; Calvin B. Hoover, "The Fate of the New Economic Policy of the Soviet Union," Economic Journal 40 (June 1930): 186-187. Maurice Hindus recorded similar impressions of Moscow in June 1930: "I made the rounds of the restaurants. The socialist offensive of the previous winter had swept the private ones out of existence. All were now under Soviet cooperative control. On the much-abbreviated menus which I scanned, I found that everything smacking of luxury had been removed." Until recently, he added, there had been many private food peddlers in the streets. "Now, save for an occasional man or woman offering questionable sausage, stale bread or dried fish, these food vendors have vanished.'' Maurice Hindus, Red Bread (New York, 1931), pp. 72, 74.

54. Hoover, "The Fate," pp. 187-188; Arkhipov and Morozov, Bor'ba , p. 217; SZ , 1930, No. 10, art. 120; SZ , 1930, No. 18, art. 209; and Seibert, Red Russia , pp. 268-269.

55. Finansy i narodnoe khoziaistvo , 1929, No. 7, p. 16; KPSS , 4:203; Andrei Fabrichnyi, Chastnyi kapital na poroge piatiletki (Moscow, 1930), pp. 24, 27; and Tverskoi krai (Tver'), 1928, No. 4-5, pp. 85-88.

56. For some examples, see TPG , 1928, No. 177 (August 1), p. 4; 1928, No. 267 (November 17), p. 4; 1928, No. 269 (November 20), p. 4.

57. KPSS , 4:396-397; Hoover, "The Fate," p. 191. For other eyewitness descriptions of private trade (almost exclusively by peasants) after 1930, see J. G. Lockhart, Babel Visited: A Churchman in Soviet Russia (Milwaukee, 1933), p. 114; George A. Burrell, An American Engineer Looks at Russia (Boston, 1932), pp. 103-104; Ella Winter, Red Virtue: Human Relationships in the New Russia (New York, 1933), p. 14; and Fischer, My Lives , p. 105.

58. Stalin, Sochineniia , 12:43, 306-307.

59. Resheniia partii i pravitel'stva po khoziaistvennym voprosam (Moscow, 1967-), 2:388-389; SZ , 1934, No. 3, art. 22; SZ , 1934, No. 3, art. 23; SZ , 1934, No. 3, art. 24; SZ , 1935, No. 1, art. 3; and SZ , 1935, No. 4, art. 29. For references to small-scale private traders and handicraftsmen in tax decrees of the 1930s, see, for example, SZ , 1933, No. 5, art. 31; SZ 1934, No. 5, art. 38; SZ , 1934, No. 27, art. 211b; SZ , 1935, No. 4, art. 31; and SZ , 1936, No. 2, art. 18.

60. SZ , 1932, No. 65, art. 375; SU , 1932, No. 87, art. 385. Speaking at a Plenum of the CC and CCC in January 1933, Stalin declared: "In the most recent period we have been able to throw private traders, merchants, and middlemen of all sorts completely out of trade. Of course this does not exclude the possibility that private traders and speculators may again appear in trade according to the law of atavism, taking advantage of an especially favorable field for them—collective farm trade. Furthermore, the collective farmers themselves are not adverse to engaging in speculation, which of course does them no honor. But to combat these unhealthy developments the Soviet government has recently issued measures for the suppression of speculation and the punishment of speculators. You know, of course, that this law does not suffer from softness. You understand, of course, that such a law did not and could not exist during the first stage of NEP." Stalin, Sochineniia , 13:204.

61. Stalin, Sochineniia , 13:220-221.

62. It is interesting to note that Trotsky, then in exile, regarded free collective-farm trade as necessary and observed its partial resemblance to NEP: "All-round collectivization . . . extraordinarily lowered the labour incentives available to the peasantry. . . . The answer to this threat was the legalization of trade. In other words . . . it was necessary partially to restore the NEP, or the free market, which was abolished too soon and too definitively." Quoted in Richard B. Day, Leon Trotsky and the Politics of Economic Isolation (Cambridge, 1973), p. 182.

1. V.I. Lenin, Polnoe sobranie sochinenii , 5th ed., 55 vols. (Moscow, 1958-65), 44:207-208, 214-215.

2. Armand Hammer, The Quest of the Romanoff Treasure (New York, 1932), pp. 55-56.

3. Walter Duranty, Duranty Reports Russia (New York, 1934), pp. 88-89.

4. F.A. Mackenzie, Russia Before Dawn (London, 1923), p. 207. For other accounts of the revival of private trade, see Edwin Ware Hullinger, The Reforging of Russia (New York, 1925), pp. 70-71; Michael S. Farbman, Bolshevism in Retreat (London, 1923), pp. 295-296; Walter Duranty, I Write as I Please (New York, 1935), pp. 139-140; Pitirim A. Sorokin, Leaves from a Russian Diary—and Thirty Years After (Boston, 1950), p. 270; Paul Scheffer, Seven Years in Soviet Russia (New York, 1932), p. 3; Mackenzie, Russia Before Dawn , pp. 24, 54, 57; Emma Goldman, My Further Disillusionment in Russia (Garden City, N.Y., 1924), pp. 78-79; Victor Serge, Memoirs of a Revolutionary 1901-1941 (London, 1967; reprint, 1975), p. 147; Ilya Ehrenburg, Memoirs: 1921-1941 (New York, 1966), p. 66; and I. Ia. Trifonov, Klassy i klassovaia bor'ba v SSSR v nachale nepa , Vol. 2, Podgotovka ekonomicheskogo nastupleniia na novuiu burzhuaziiu (Leningrad, 1969), p. 49.

5. A. M. Ginzburg, ed., Chastnyi kapital v narodnom khoziaistve SSSR. Materialy kommissii VSNKh SSSR (Moscow-Leningrad, 1927), pp. 41, 69; V. M. Selunskaia, ed., Izmeneniia sotsial'noi struktury sovetskogo obshchestva. 1921-seredina 30-kh godov (Moscow, 1979), p. 114; Spektator [Miron Isaakovich Nachimson], Russkii "Termidor" (Kharbin, 1927), pp. 106-107; E. H. Carr and R. W. Davies, Foundations of a Planned Economy, 1926-1929 , 2 vols. (London, 1969), 1 (part 2): 663; Trifonov, Klassy , 2:49, 68; Torgovo-promyshlennaia gazeta (hereafter cited as TPG ), 1922, No. 215 (November 25), p. 5; and I. Mingulin, Puti razvitiia chastnogo kapitala (Moscow-Leningrad, 1927), p. 86. Many people, especially small-scale artisans, engaged in both manufacturing and trade.

6. M. M. Zhirmunskii, Chastnyi kapital v tovarooborote (Moscow, 1924), pp. 7, 133; N. Riauzov, Vytesnenie chastnogo posrednika iz tovarooborota (Moscow, 1930), p. 30; Materialy po istorii SSSR. VII. Dokumenty po istorii sovetskogo obshchestva (Moscow, 1959), pp. 146-149; Alexander Wicksteed, Life Under the Soviets (London, 1928), p. 2; Scheffer, Seven Years , p. 4; K. Borisov, 75 dnei v SSSR. Vpechatleniia (Berlin, 1924), p. 13; Nash krai (Astrakhan'), 1926, No. 8, p. 27; TPG , 1923, No. 261 (November 18), p. 4; 1924, No. 13 (January 16), p. 5; 1924, No. 102 (May 8), p. 4; Torgovye izvestiia , 1925, No. 19 (May 21), p. 6; 1925, No. 25 (June 6), p. 4; and F.I. Dan, Dva goda skitanii (Berlin, 1922), p. 255.

7. Sobranie uzakonenii i rasporiazhenii. 1917-1949 (Moscow, 1920-50) (hereafter cited as SU ), 1921, No. 56, art. 354; SU , 1922, No. 17, art. 180; SU , 1923, No. 5, art. 89; and Sobranie zakonov i rasporiazhenii raboche-krest'ianskogo pravitel'stva SSSR. 1924-1949 (Moscow, 1925-50) (hereafter cited as SZ ), 1926, No. 63, art. 474.

8. A tax decree of September 2, 1930, aimed at private businesses, defined a new set of categories devoted primarily to small-scale activity, undoubtedly because virtually all large-scale private entrepreneurs had been driven out of business by this time. SZ , 1930, No. 46, art. 481.

9. Na novykh putiakh. Itogi novoi ekonomicheskoi politiki 1921-1922 g.g. (Moscow, 1923), vypusk I, p. 175; Ekonomicheskaia zhizn' , 1921, No. 287 (December 21), p. 2; 1922, No. 92 (April 27), p. 4; I. A. Gladkov, ed., Sovetskoe narodnoe khoziaistvo v 1921-1925 gg. (Moscow, 1960), p. 449; Ekonomicheskoe obozrenie , 1925, April, p. 190; P.C. Hiebert and Orie O. Miller, Feeding the Hungry: Russian Famine 1919-1925 (Scottdale, Pa., 1929), p. 114; Mackenzie, Russia Before Dawn , p. 18; and Ts. M. Kron, Chastnaia torgovlia v SSSR (Moscow, 1926), p. 10.

10. Promyshlennost' i torgovlia , 1922, No. 3, pp. 24-25; Nashe khoziaistvo (Vladimir), 1923, No. 7-9, pp. 42-43; V.P. Dmitrenko, Torgovaia politika sovetskogo gosudarstva posle perekhoda k NEPu 1921-1924 gg. (Moscow, 1971), pp. 143, 145; V. A. Arkhipov and L. F. Morozov, Bor'ba protiv kapitalisticheskikh elementov v promyshlennosti i torgovle. 20-e—nachalo 30-kh godov (Moscow, 1978), p. 39; Ekonomicheskaia zhizn' , 1921, No. 287 (December 21), p. 2; and Mesiachnye obzory narodnogo khoziaistva , 1922, March, p. 68; 1922, April, p. 60. For photographs of "primitive" traders (including some children) in 1921, see Mackenzie, Russia Before Dawn , picture facing p. 82; Anthony Cash, The Russian Revolution (London, 1967), p. 112.

11. Hiebert and Miller, Feeding the Hungry , p. 207.

12. Mackenzie, Russia Before Dawn , p. 192.

13. Dmitrenko, Torgovaia politika , pp. 57-58; Trifonov, Klassy , 2:47; and Arkhipov and Morozov, Bor'ba , p. 27.

14. Izvestiia , May 17, 1921, p. 2.

15. Frank Alfred Golder and Lincoln Hutchinson, On the Trail of the Russian Famine (Stanford, 1927), p. 204. See also p. 83.

16. William C. White, These Russians (New York, 1931), p. 32; Victor Kravchenko, I Chose Freedom (New York, 1946), pp. 31-32. For more on bagging, see Hiebert and Miller, Feeding the Hungry , p. 115; Duranty, Duranty Reports , p. 39.

17. Mackenzie, Russia Before Dawn , pp. 228-229. See also Golder and Hutchinson, On the Trail , p. 163.

18. Finansy i narodnoe khoziaistvo , 1926, No. 2, p. 25. See also TPG , 1922, No. 93 (July 2), p. 5; Torgovaia gazeta , 1922, No. 7, p. 4; and Farbman, Bolshevism , p. 283.

19. TPG , 1924, No. 120 (May 29), p. 4; Zhirmunskii, Chastnyi kapital , p. 7; A. Zalkind, ed., Chastnaia torgovlia Soiuza SSR (Moscow, 1927), p. 157; Mackenzie, Russia Before Dawn , p. 22; and Golder and Hutchinson, On the Trail , p. 227.

20. Iu. S. Kondurushkin, Chastnyi kapital pered sovetskim sudom (Moscow-Leningrad, 1927), p. 59; Mestnoe khoziaistvo (Kiev), 1924, No. 6 (March), pp. 18-19; TPG , 1923, No. 45 (February 27), p. 2; 1923, No. 261 (November 18), p. 4; Na novykh putiakh, vypusk I, p. 183; and Scheffer, Seven Years , p. 4. For photographs of permanent shops, see E. M. Newman, Seeing Russia (New York, 1928), pp. 200, 202.

21. Na novykh putiakh, vypusk I, pp. 187, 236.

22. Zhirmunskii, Chastnyi kapital , p. 36; Na novykh putiakh, vypusk I, p. 179; and TPG , 1922, No. 122 (August 5), p. 3; 1922, No. 244 (December 28), p. 6.

23. S. O. Zagorskii, K sotsializmu ili k kapitalizmu? (Paris, 1927), p. 127. For additional data illustrating these trends, see Ekonomicheskoe obozrenie , 1925, May, p. 68; Nashe khoziaistvo (Vladimir), 1923, No. 7-9, pp. 42-43, 51; Na novykh putiakh, vypusk I, pp. 178-179, 184; and Gladkov, Sovetskoe narodnoe khoziaistvo , pp. 451-452.

24. Trifonov, Klassy , 2:51; Torgovaia gazeta , 1922, No. 7, p. 4; and TPG , 1922, No. 58 (May 19), p. 3; 1922, No. 67 (May 31), p. 3; 1922, No. 144 (September 2), p. 5; 1922, No. 172 (October 5), p. 4.

25. Ekonomicheskaia zhizn' , 1922, No. 92 (April 27), p. 4; Dmitrenko, Torgovaia politika , pp. 147-148; TPG , 1922, No. 198 (November 4), p. 4; G. P. Paduchev, Chastnyi torgovets pri novoi ekonomicheskoi politike (po dannym biudzhetnogo obsledovaniia) (Voronezh, 1926), pp. 96-97, 99; and Voprosy torgovli , 1929, No. 15, p. 71.

26. V. Ia. Laverychev, Krupnaia burzhuaziia v poreformennoi Rossii (1861-1900 gg.) (Moscow, 1974), p. 71.

27. Kondurushkin, Chastnyi kapital , p. 70; Serge, Memoirs , p. 201.

28. Trifonov, Klassy , 2:71; Torgovye izvestiia , 1925, No. 19 (May 21), p. 6; 1925, No. 45 (August 4), p. 6; TPG , 1924, No. 78 (April 5), p. 1; Mestnoe khoziaistvo (Kiev), 1924, No. 6 (March), p. 70.

29. Ekonomicheskoe obozrenie , 1924, No. 6, pp. 46-47; 1925, October, pp. 162-164; Ginzburg, Chastnyi kapital , pp. 120-121, 200; and Zalkind, Chastnaia torgovlia , pp. 9, 11, 160. Figures for Moscow and a number of the provinces concerning the distribution of private traders in the five trade ranks may be found in Na novykh putiakh, vypusk I, p. 184; Finansy i narodnoe khoziaistvo , 1928, No. 21, p. 26; Severo-Kavkazskii krai (Rostov-on-the-Don), 1925, No. 4-5, p. 107; 1925, No. 10, p. 54; Ekonomicheskii vestnik Zakavkaz'ia (Tiflis), 1926, No. 6, p. 22; Nashe khoziaistvo (Riazan'), 1924, No. 1, p. 38; and Khoziaistvo Urala (Sverdlovsk), 1925, No. 2 (July), p. 55.

30. It should be noted that the number of large shops (primarily businesses in ranks IV and V) was smaller than the number of Nepmen who operated them. As a general rule, the larger an enterprise, the more likely it was to have more than one owner. This was in part because of the need for considerable quantities of capital in the upper ranks but also because of the Nepmen's desire to avoid hired labor (the presence of which often meant additional taxes and regulation). Finansy i narodnoe khoziaistvo , 1927, No. 4, p. 10; Torgovye izvestiia , 1925, No. 45 (August 4), p. 6; 1926, No. 1 (January 5), p. 5; 1926, No. 59 (June 1), p. 4; Mestnoe khoziaistvo (Kiev), 1924, No. 6 (March), p. 70; and Mestnoe khoziaistvo Ekaterinoslavshchiny (Ekaterinoslav), 1924, No. 1 (October-December), p. 34.

31. Ginzburg, Chastnyi kapital , p. 203; Zalkind, Chastnaia torgovlia , p. 18; and Materialy. VII. , p. 90.

32. Zalkind, Chastnaia torgovlia , p. 129.

33. Ibid., pp. 31, 36; Ginzburg, Chastnyi kapital , p. 125; and Materialy. VII. , pp. 124-125. See also Ekonomicheskoe stroitel'stvo , 1926, No. 9, p. 19; Nashe khoziaistvo (Vladimir), 1923, No. 4-5, p. 63.

34. Wicksteed, Life Under the Soviets , pp. 1-2; Hullinger, Reforging Russia , p. 253; Torgovye izvestiia , 1925, No. 8 (April 23), p. 5; Torgovo-promyshlennyi vestnik , 1923, No. 1, p. 9; and Mestnoe khoziaistvo (Kiev), 1925, No. 3 (December), p. 77. For photographs of markets in several cities, see Illiustrirovannaia Rossiia (Paris), 1924, No. 5, p. 11; 1926, No. 7, p. 1; 1926, No. 11, p. 4; 1926, No. 45, p. 9; 1926, No. 46, p. 4; 1926, No. 50, p. 1; 1927, No. 39, p. 9; 1929, No. 27, p. 5; Newman, Seeing Russia , pp. 16, 214, 314; and Cash, Russian Revolution , p. 116. For photographs of petty street trade, see Illiustrirovannaia Rossiia (Paris), 1927, No. 10, p. 1; 1927, No. 26, p. 20; 1927, No. 37, p. 20; 1928, No. 3, p. 2; Newman, Seeing Russia , p. 124.

35. Torgovye izvestiia , 1925, No. 66 (September 22), p. 2.

36. Borisov, 75 dnei , pp. 44-46.

37. Negley Farson, Black Bread and Red Coffins (New York, 1930), pp. 240-241. See also Newman, Seeing Russia , p. 329.

38. TPG , 1923, No. 194 (August 30), p. 3; 1923, No. 195 (August 31), p. 3; 1923, No. 196 (September 1), p. 3; 1923, No. 197 (September 2), p. 5; 1923, No. 208 (September 15), p. 3; Torgovye izvestiia , 1925, No. 28 (June 25), p. 5; 1925, No. 88 (November 12), p. 5; and Mestnoe khoziaistvo (Kiev), 1925, No. 3 (December), p. 73.

39. TPG , 1923, No. 194 (August 30), p. 3. See also TPG , 1923, No. 196 (September 1), p. 3; 1923, No. 197 (September 2), p. 5; 1923, No. 208 (September 15), p. 3; and Torgovye izvestiia , 1925, No. 28 (June 25), p. 5.

40. Torgovye izvestiia , 1925, No. 8 (April 23), p. 5; Mestnoe khoziaistvo (Kiev), 1925, No. 3 (December), p. 77; TPG , 1923, No. 194 (August 30), p. 3; and Torgovopromyshlennyi vestnik , 1923, No. 15, pp. 11-12; 1923, No. 16, pp. 9-10.

41. Torgovye izvestiia , 1925, No. 1 (April 2), p. 2; 1925, No. 107 (December 29), p. 5.

42. TPG , 1922, No. 122 (August 5), p. 3; 1924, No. 13 (January 16), p. 5; and Narodnoe khoziaistvo Srednei Azii (Tashkent), 1927, No. 5, pp. 43-45; 1927, No. 6-7, pp. 104-105.

43. Karl Borders, Village Life Under the Soviets (New York, 1927), p. 93.

44. White, These Russians , pp. 271-272.

45. Maurice Hindus, Broken Earth (New York, 1926), pp. 121-122. For a photograph of a local fair, see Illiustrirovannaia Rossiia (Paris), 1928, No. 45, p. 7.

46. Na novykh putiakh, vypusk I, pp. 272, 279; Obshchestvennoe dvizhenie v Rossii v nachale XX-go veka , ed. L. Martov, P. Maslov, and A. Potresov, 4 vols. (St. Petersburg, 1909-14), 1:124; TPG , 1922, No. 118 (August 1), p. 1; 1924, No. 13 (January 16), p. 5; Torgovye izvestiia , 1926, No. 18 (February 16), p. 4; and Khoziaistvo Urala (Sverdlovsk), 1925, No. 1 (June), pp. 135-136, 138.

47. Dmitrenko, Torgovaia politika , pp. 138-139, 148; Zalkind, Chastnaia torgovlia , p. 35; Zhirmunskii, Chastnyi kapital , p. 35; Kron, Chastnaia torgovlia , p. 11; Ekonomicheskoe obozrenie , 1924, No. 6, p. 47; Nashe khoziaistvo (Riazan'), 1924, No. 1, p. 38; Severo-Kavkazskii krai (Rostov-on-the-Don), 1925, No. 4-5, pp. 96-98; and Ekonomicheskii vestnik Zakavkaz'ia (Tiflis), 1926, No. 6, p. 27. Although peasants were more self-sufficient than city dwellers, it would be wrong to suggest that trade was uncommon in the countryside. The comparatively small number of licensed rural traders was joined, as we have seen, by numerous peasants and other people operating beyond the reach of the state's statistical net.

48. Zalkind, Chastnaia torgovlia , p. 127. The average rural private trader in rank II had 73 percent of the capital of the average urban private trader in rank II. For rank I the figure was 96 percent.

49. Sovetskaia torgovlia , 1926, No. 8, p. 6; Ekonomicheskoe obozrenie , 1925, May, p. 69; Viatsko-Vetluzhskii krai (Viatka), 1925, No. 2, pp. 65-66; and Severo-Kavkazskii krai (Rostov-on-the-Don), 1925, No. 4-5, table between pp. 92 and 93; 1926, No. 4, p. 93.

50. The Commissariat of Finance estimated in 1923 that only about 3 percent of private wholesale trade took place outside the cities, and data for the last quarter of 1922 show that 70 percent of all private wholesale trading was conducted in Moscow alone. L. N. Kritsman, Tri goda novoi ekonomicheskoi politiki (Moscow, 1924), p. 23; Zhirmunskii, Chastnyi kapital , pp. 107-108; Kron, Chastnaia torgovlia , p. 13; TPG , 1923, No. 45 (February 27), p. 2; Torgovye izvestiia , 1925, No. 76 (October 15), p. 6; and Vnutrenniaia torgovlia soiuza SSR za X let (Moscow, 1928), p. 259.

51. Riauzov, Vytesnenie , p. 33. Similar figures for rural trade alone in 1925/26 and 1926/27 are available in Materialy. VII. , p. 153. As one would expect, over 80 percent of all private traders were located in the RSFSR and the Ukraine in 1926/27. Voprosy torgovli , 1929, No. 15, p. 61; Materialy. VII. , pp. 80, 126-127. Of the private traders in Central Asia, roughly 80 percent worked in the Uzbek Republic. Narodnoe khoziaistvo Srednei Azii (Tashkent), 1927, No. 5, p. 46.

52. Zalkind, Chastnaia torgovlia , p. 8; Riauzov, Vytesnenie , p. 33. Similar information for rural trade in 1925/26 and 1926/27 is available in Materialy. VII. , pp. 123-124, 154-155. Other data for rural trade indicate that private sales per capita were highest in Central Asia (though higher in the Ukraine than in Transcaucasia) and that the largest numbers of private traders per 10,000 citizens were in Central Asia and Transcaucasia. Materialy. VII. , pp. 122, 152.

53. Lionel Kochan, ed., The Jews in Soviet Russia Since 1917 , 3d ed. (Oxford, 1978), pp. 92, 139.

54. Zvi Y. Gitelman, Jewish Nationality and Soviet Politics: The Jewish Sections of the CPSU, 1917-1930 (Princeton, 1972), pp. 19-20.

55. Voprosy torgovli , 1929, No. 15, p. 61. The figures for Transcaucasia and Central Asia were 57 and 32 percent, respectively.

56. Gitelman, Jewish Nationality , p. 381.

57. For more on disfranchisement, see the preceding chapter.

58. By October 1927 this figure had fallen to 29 percent. The drop was primarily the result of government efforts to recruit Jews for special agricultural colonies in the Ukraine and the Crimea. Disfranchised Jews who agreed to participate regained their voting rights. Salo W. Baron, The Russian Jew Under Tsars and Soviets (New York, 1964), pp. 226-227; Gitelman, Jewish Nationality , p. 354. For more on attempts to relocate Jews in agricultural colonies, see Anthony C. Sutton, Western Technology and Soviet Economic Development 1917 to 1930 (Stanford, 1968), pp. 129-131; Gitelman, Jewish Nationality , pp. 384-388, 430, 439-440; Markoosha Fischer, My Lives in Russia (New York, 1944), pp. 19, 24; Baron, The Russian Jew , pp. 264, 266; Iu. Larin, Chastnyi kapital v SSSR (Moscow-Leningrad, 1927), pp. 23-24; and, for numerous photographs of these colonies, Newman, Seeing Russia , pp. 6, 23, 31, 34, 53, 86, 128, 130, 349-354.

59. Maurice Hindus, Humanity Uprooted (New York, 1929), p. 272. See also Anna Louise Strong, The First Time in History (New York, 1924), pp. 183-185; Dorothy Thompson, The New Russia (New York, 1928), p. 47.

60. Baron, The Russian Jew , p. 250. See also Isaac Deutscher, Stalin: A Political Biography , 2d ed. (London, 1966; reprint, New York, 1969), pp. 604-605.

61. Soviet newspaper correspondents, frequently employing the phrase "sales crisis" ( krizis sbyta ), filed numerous reports from around the country on the problems plaguing trade in 1923. TPG , 1923, No. 67 (March 25), p. 4; 1923, No. 80 (April 13), p. 4; 1923, No. 90 (April 25), p. 4; 1923, No. 105 (May 13), p. 5; 1923, No. 207 (September 14), p. 4; 1923, No. 224 (October 4), p. 3; 1923, No. 227 (October 7), p. 6.

62. Ginzburg, Chastnyi kapital , p. 200. These figures do not include the free licenses (roughly 25,000) issued to very small-scale traders.

63. Ibid., p. 192.

64. Gladkov, Sovetskoe narodnoe khoziaistvo , p. 456.

65. Sovetskaia torgovlia , 1926, No. 8, p. 5; Zalkind, Chastnaia torgovlia , p. 18; and Ekonomicheskaia zhizn ', 1926, No. 158 (July 13), p. 2.

66. Finansy i narodnoe khoziaistvo , 1927, No. 25, p. 28; Mingulin, Puti razvitiia , p. 133. The data in these and other sources vary somewhat as the result of differences in the number of regions surveyed, the inclusion (or exclusion) of figures concerning free trade licenses for certain categories of artisans and petty traders, and other factors.

67. Torgovye izvestiia , 1925, No. 25 (June 6), p. 4.

68. Zalkind, Chastnaia torgovlia , p. 13; Ginzburg, Chastnyi kapital , p. 200.

69. Finansy i narodnoe khoziaistvo , 1927, No. 25, p. 28. These figures include both regular and free licenses.

70. Gladkov, Sovetskoe narodnoe khoziaistvo , p. 456. These figures have been adjusted for inflation.

71. Finansy i narodnoe khoziaistvo , 1928, No. 4, p. 27. For figures on the waning of private trade in other regions in 1926/27, see L. F. Morozov, Reshaiushchii etap bor'by s nepmanskoi burzhuaziei (1926-1929) (Moscow, 1960), pp. 46-47; Finansy i narodnoe khoziaistvo , 1927, No. 35, p. 15.

72. 40 let sovetskoi torgovli (Moscow, 1957), p. 6.

73. Riauzov, Vytesnenie , p. 17.

74. TPG , 1928, No. 293 (December 18), p. 4; and Morozov, Reshaiushchii etap , pp. 73, 76. For additional statistics and reports on the decline of trade in a number of cities and regions, see Sotsialisticheskii vestnik (Berlin), 1928, No. 20, p. 13; TPG , 1928, No. 261 (November 10), p. 4; 1928, No. 267 (November 17), p. 4; Finansy i narodnoe khoziaistvo , 1929, No. 7, p. 16; 1929, No. 17, p. 24; Morozov, Reshaiushchii etap , p. 46; Arkhipov and Morozov, Bor'ba , p. 216; and Ekonomicheskaia zhizn ', 1928, No. 67 (March 20), p. 5; 1928, No. 113 (May 17), p. 5.

75. Wicksteed, Life Under the Soviets , pp. 3-4.

76. Eugene Lyons, Assignment in Utopia (New York, 1937), p. 86.

77. Finansy i narodnoe khoziaistvo , 1928, No. 39, pp. 2-3; 1929, No. 7, p. 16; G. A. Dikhtiar, Sovetskaia torgovlia v period postroeniia sotsializma (Moscow, 1961), p. 335.

78. TPG , 1927, No. 277 (December 3), p. 2.

79. Ginzburg, Chastnyi kapital , pp. 120-121, 200; and Zalkind, Chastnaia torgovlia , pp. 9, 160.

80. In some sources the figures differ slightly. Trifonov, Klassy , 2:251; Carr and Davies, Foundations , 1 (part 2): 962; Ekonomicheskaia zhizn' SSSR. Khronika sobytii i faktov 1917-1965 , 2 vols. (Moscow, 1967), 1:163, 176, 189, 206, 221; and Riauzov, Vytesnenie , pp. 18, 21. Not surprisingly, Nepmen were far less important in wholesale trade. In 1926, the best year for private wholesale trade, retail sales represented approximately 80 percent of all private trade, and the percentage was even higher at the beginning and end of NEP. Less than 5 percent of private rural trade was wholesale. Materialy. VII. , pp. 103, 150; Kritsman, Tri goda , p. 23; and Vnutrenniaia torgovlia soiuza SSR , p. 259. Nepmen accounted for roughly 20 percent of all (state, cooperative, and private) wholesale trade in 1923/24, 10 percent in 1924/25, 9 percent in 1925/26, 5 percent in 1926/27, 2 percent in 1927/28, and 0.4 percent in 1928/29. Carr and Davies, Foundations , 1 (part 2): 961; Trifonov, Klassy , 2:50, 248; and Riauzov, Vytesnenie , p. 18.

Although the private share of retail sales fell throughout the decade, as indicated in the table, this was for years the result of the growing number of state and cooperative stores, not of a decline in the volume of private retail trade. With the exception of 1924 (which, we have seen, was marked by heightened pressure on the Nepmen), private retail sales increased every year through 1926. The Nepmen's share of the total number of trade licenses (figures presented earlier in the chapter) was greater than their share of sales, because state and cooperative stores were larger operations than those of the average private entrepreneur.

81. Finansy i narodnoe khoziaistvo , 1929, No. 7, p. 16.

82. See, for example, TPG , 1928, No. 266 (November 16), p. 6; 1928, No. 293 (December 18), p. 4.

83. For a sampling of reports filed by TPG 's correspondents in Saratov, Tver', Poltava, Kiev, Sverdlovsk, Smolensk, and Penza, see ibid., 1927, No. 122 (June 1), p. 4; 1928, No. 225 (September 27), p. 4; 1928, No. 266 (November 16), p. 6; 1928, No. 267 (November 17), p. 4; and 1928, No. 269 (November 20), p. 4. See also Ekonomicheskaia zhizn ', 1928, No. 53 (March 2), p. 4; 1928, No. 113 (May 17), p. 5.

84. TPG , 1928, No. 177 (August 1), p. 4; 1928, No. 269 (November 20), p. 4.

85. Lyons, Assignment , p. 97.

86. Riauzov, Vytesnenie , p. 24; Morozov, Reshaiushchii etap , pp. 47-48; TPG , 1928, No. 177 (August 1), p. 4; 1928, No. 218 (September 19), p. 4; 1928, No. 293 (December 18), p. 4; and Finansy i narodnoe khoziaistvo , 1928, No. 39, p. 3.

87. White, These Russians , p. 62. See also H. J. Greenwall, Mirrors of Moscow (London, 1929), p. 35; Albert Muldavin, The Red Fog Lifts (New York, 1931), p. 50.

88. Riauzov, Vytesnenie , p. 45.

89. Sotsialisticheskii vestnik (Berlin), 1928, No. 8-9, p. 31; 1929, No. 10-11, p. 10; 1929, No. 21, p. 5; TPG , 1928, No. 209 (September 8), p. 5; 1928, No. 285 (December 8), p. 4; 1928, No. 293 (December 18), p. 4. The supply of manufactured goods rarely satisfied demand fully during NEP. For numerous articles on a tovarnyi golod in 1925, for example, see November and December issues of Torgovye izvestiia . The problem at the end of the decade was more severe, however, in part because there were serious shortages of food as well as manufactured products.

90. Freda Utley, The Dream We Lost (New York, 1940), p. 86.

91. Anne O'Hare McCormick, The Hammer and the Scythe (New York, 1928), p. 24; Calvin B. Hoover, The Economic Life of Soviet Russia (New York, 1931), pp. 150-151. A longtime British resident of the Soviet Union wrote that by 1928, ''as the licence for street selling costs a good deal and the profits are very meagre, very few of these traders take them out, with the consequence that every now and then you see them flying like the leaves before the wind. If on these occasions you look round carefully you will see in the middle distance a militiaman (i.e., street policeman) from whom they are flying." Wicksteed, Life Under the Soviets , p. 17. See also Muldavin, Red Fog , pp. 50, 112-113; Sotsialisticheskii vestnik (Berlin), 1929, No. 21, p. 7; Greenwall, Mirrors , pp. 38-39; and Bernard Edelhertz, The Russian Paradox: A First-Hand Study of Life Under the Soviets (New York, 1930), p. 9.

92. Eve Garrette Grady, Seeing Red: Behind the Scenes in Russia Today (New York, 1931), pp. 176-177. See also White, These Russians , p. 75; TPG , 1929, No. 103 (May 9), p. 4; and Materialy. VII. p. 125.

93. Julian Huxley, A Scientist Among the Soviets (New York, 1932), pp. 46-48.

94. George A. Burrell, An American Engineer Looks at Russia (Boston, 1932), pp. 98, 103. For more on the continuation of private trade after NEP, see Sotsialisticheskii vestnik (Berlin), 1930, No. 10, p. 15; 1931, No. 1, p. 14; 1931, No. 17, p. 15; John Scott, Behind the Urals: An American Worker in Russia's City of Steel (Bloomington, 1973), pp. 39, 241; Utley, The Dream We Lost , p. 79; Maurice Hindus, Red Bread (New York, 1931), p. 72; Fischer, My Lives , p. 105; Ella Winter, Red Virtue: Human Relationships in the New Russia (New York, 1933), p. 14; J. G. Lockhart, Babel Visited: A Churchman in Soviet Russia (Milwaukee, 1933), p. 114; and Illiustrirovannaia Rossiia (Paris), 1930, No. 23, p. 6. Many observers were struck by the extremely high prices in the markets (prices that reflected the acute shortages of nearly all commodities).

95. Waldo Frank, Dawn in Russia: The Record of a Journey (New York, 1932), pp. 12, 79; Fischer, My Lives , pp. 128-129.

1. Armand Hammer, The Quest of the Romanoff Treasure (New York, 1932), p. 199.

2. S. O. Zagorskii, K sotsializmu ili k kapitalizmu? (Paris, 1927), p. 120; Iu. Larin, Chastnyi kapital v SSSR (Moscow-Leningrad, 1927), pp. 7, 12, 25-26; E. H. Carr, The Bolshevik Revolution , 3 vols. (London, 1950-53; reprint, Harmondsworth, 1973), 2:312; M. M. Zhirmunskii, Chastnyi kapital v tovarooborote (Moscow, 1924), pp. 10-11, 23; A. Zalkind, ed., Chastnaia torgovlia Soiuza SSR (Moscow, 1927), p. 157; Ts. M. Kron, Chastnaia torgovlia v SSSR (Moscow, 1926), pp. 14, 113; Iugo-Vostok (Rostov-on-the-Don), 1922, No. 2, p. 164; and Torgovo-promyshlennaia gazeta (hereafter cited as TPG ), 1922, No. 150 (September 9), p. 1.

3. Iu. S. Kondurushkin, Chastnyi kapital pered sovetskim sudom (Moscow-Leningrad, 1927), pp. 43-44; and Larin, Chastnyi kapital , p. 26.

4. Na novykh putiakh. Itogi novoi ekonomicheskoi politiki 1921-1922 g.g. (Moscow, 1923), vypusk I, pp. 116-118, 237, 317; Ekonomicheskoe obozrenie , 1925, April, p. 192; and TPG , 1922, No. 150 (September 9), p. 1.

5. Spektator [Miron Isaakovich Nachimson], Russkii "Termidor" (Kharbin, 1927), p. 132; Zhirmunskii, Chastnyi kapital , pp. 22, 86; A. M. Ginzburg, ed., Chastnyi kapital v narodnom khoziaistve SSSR. Materialy kommissii VSNKh SSSR (Moscow-Leningrad, 1927), pp. 18, 20; TPG , 1922, No. 124 (August 8), p. 4; 1922, No. 132 (August 17), p. 3; 1924, No. 79 (April 6), p. 1; Iugo-Vostok (Rostov-on-the-Don), 1924, No. 4, p. 64; Na novykh putiakh, vypusk I, p. 111; and Sobranie uzakonenii i rasporiazhenii. 1917-1949 (Moscow, 1920-50) (hereafter cited as SU ), 1923, No. 29, art. 336.

6. Zhirmunskii, Chastnyi kapital , p. 24; Ginzburg, Chastnyi kapital , p. 19; Kron, Chastnaia togovlia , p. 16; Torgovye izvestiia , 1925, No. 76 (October 15), p. 5; Ekonomicheskii vestnik Zakavkaz'ia (Tiflis), 1926, No. 2, p. 54; Severo-Kavkazskii krai (Rostov-on-the-Don), 1925, No. 4-5, p. 101; and Ekonomicheskoe obozrenie , 1925, April, p. 194.

7. Maurice Dobb, Soviet Economic Development Since 1917 (London-New York, 1966), p. 143; G. A. Dikhtiar, Sovetskaia torgovlia v period postroeniia sotsializma (Moscow, 1961), p. 210; V. A. Arkhipov and L. F. Morozov, Bor'ba protiv kapitalisticheskikh elementov v promyshlennosti i torgovle. 20-e—nachalo 30-kh godov (Moscow, 1978), p. 65; and Ginzburg, Chastnyi kapital , pp. 10, 127-128, 130.

8. Zhirmunskii, Chastnyi kapital , pp. 19, 77; Dikhtiar, Sovetskaia torgovlia , p. 208.

9. Kron, Chastnaia torgovlia , p. 31; Torgovye izvestiia , 1925, No. 65 (September 19), p. 1.

10. Kondurushkin, Chastnyi kapital , pp. 30-33, 58-59; Ekonomicheskoe obozrenie , 1925, April, p. 192; and Zagorskii, K sotsializmu , p. 121.

11. Kondurushkin, Chastnyi kapital , pp. 42, 100; Arkhipov and Morozov, Bor'ba , p. 78.

12. Kondurushkin, Chastnyi kapital , pp. 56, 59-60, 186.

13. TPG , 1922, No. 70 (June 3), p. 2; 1922, No. 127 (August 11), p. 1; and SU , 1923, No. 1, art. 8. Some state officials secretly owned private businesses even at the end of NEP. Finansy i narodnoe khoziaistvo , 1929, No. 22, p. 17.

14. Kondurushkin, Chastnyi kapital , pp. 3, 53-54, 158-160; Frank Alfred Golder and Lincoln Hutchinson, On the Trail of the Russian Famine (Stanford, 1927), pp. 202-203; Larin, Chastnyi kapital , p. 10; Ekonomicheskoe obozrenie , 1925, April, p. 199; Ilya Ehrenburg, Memoris: 1921-1941 (New York, 1966), p. 68; Edwin W. Hullinger, The Reforging of Russia (New York, 1925), p. 235; Richard Eaton, Under the Red Flag (New York, 1924), p. 116; and I. Ia. Trifonov, Klassy i klassovaia bor'ba v SSSR v nachale nepa , Vol. 2, Podgotovka ekonomicheskogo nastupleniia na novuiu burzhuaziiu (Leningrad, 1969), pp. 60-61, 164.

15. Walter Duranty, I Write as I Please (New York, 1935), pp. 140-144.

16. I. Ia. Trifonov, Ocherki istorii klassovoi bor'by v SSSR v gody NEPa (1921-1937) (Moscow, 1960), pp. 78-79; Kondurushkin, Chastnyi kapital , pp. 65, 191; and Zakony o chastnom kapitale. Shornik zakonov, instruktsii, prikazov i raz"iasnenii , comp. B. S. Mal'tsman and B. E. Ratner (Moscow, 1928), pp. 143-144.

17. Kondurushkin, Chastnyi kapital , pp. 94, 153.

18. Torgovye izvestiia , 1925, No. 93 (November 24), p. 5; Trifonov, Ocherki, p. 80. See also Ia. Grinval'd, I. Khankin, and I. Chilim, Klass protiv klassa. Ekonomicheskaia kontrrevoliutsiia v Astrakhani (Saratov, 1930), pp. 113-117; Torgovye izvestiia , 1926, No. 44 (April 22), p. 4.

19. Torgovye izvestiia , 1925, No. 69 (September 29), p. 2; 1926, No. 52 (May 15), p. 4; Zagorskii, K sotsializmu , p. 155; and Ekonomicheskaia zhizn ', 1925, No. 246 (October 27), p. 4.

20. Andrei Fabrichnyi, Chastnyi kapital na poroge piatiletki (Moscow, 1930), pp. 31, 37; Zagorskii, K sotsializmu , p. 152; Trifonov, Klassy , 2:218, 240; Kondurushkin, Chastnyi kapital , p. 146; Zhirmunskii, Chastnyi kapital , p. 167; Zakony o chastnom kapitale , pp. 143-144, 153; L. Kolesnikov, Litso klassovogo vraga (Moscow-Leningrad, 1928), pp. 32-33; I. Mingulin, Puti razvitiia chastnogo kapitala (Moscow-Leningrad, 1927), p. 66; TPG , 1926, No. 225 (October 1), p. 6; 1927, No. 21 (January 27), p. 3; 1928, No. 106 (May 9), p. 6; 1929, No. 97 (April 27), p. 6; Torgovye izvestiia , 1926, No. 99 (September 11), p. 4; Finansy i narodnoe khoziaistvo , 1930, No. 3, p. 19; and Ekonomicheskaia zhizn ', 1922, No. 250 (November 4), p. 2; 1924, No. 237 (July 19), p. 4; 1925, No. 252 (November 3), p. 4; 1926, No. 173 (July 30), p. 4.

21. L. F. Morozov, Reshaiushchii etap bor'by s nepmanskoi burzhuaziei (1926-1929) (Moscow, 1960), pp. 74-75; Arkhipov and Morozov, Bor'ba , p. 191; Torgovye izvestiia , 1926, No. 32 (March 25), p. 3; and Ekonomicheskaia zhizn ', 1925, No. 257 (November 11), p. 3.

22. Trifonov, Klassy , 2:219.

23. Kron, Chastnaia torgovlia , p. 119; Morozov, Reshaiushchii etap , p. 51; Zagorskii, K sotsializmu , pp. 149, 154; Larin, Chastnyi kapital , p. 32; and N. Riauzov, Vytesnenie chastnogo posrednika iz tovarooborota (Moscow, 1930), p. 35.

24. TPG , 1927, No. 210 (September 15), p. 6; Torgovye izvestiia , 1925, No. 90 (November 17), p. 2; 1926, No. 32 (March 25), p. 4.

25. TPG , 1928, No. 55 (March 4), p. 6; 1928, No. 267 (November 17), p. 4; Theodor Seibert, Red Russia (London, 1932), p. 339; and William C. White, These Russians (New York, 1931), p. 76.

26. Kondurushkin, Chastnyi kapital , pp. 123-124; Ginzburg, Chastnyi kapital , p. 14; and Victor Serge, Memoris of a Revolutionary 1901-1941 (London, 1967; reprint, 1975), p. 200.

27. Kondurushkin, Chastnyi kapital , p. 132; Larin, Chastnyi kapital , p. 116.

28. Ginzburg, Chastnyi kapital , p. 14.

29. Riauzov, Vytesnenie , p. 35. See also Mestnoe khoziaistvo (Kiev), 1924, No. 6 (March), p. 72.

30. Kooperativnoe stroitel'stvo , 1926, No. 14, p. 47; Zhirmunskii, Chastnyi kapital , p. 100; TPG , 1922, No. 127 (August 11), p. 2; 1923, No. 190 (August 25), p. 4; 1928, No. 225 (September 27), p. 4; Kron, Chastnaia torgovlia , p. 34; and Materialy po istorii SSSR. VII. Dokumenty po istorii sovetskogo obshchestva (Moscow, 1959), p. 150.

31. Zalkind, Chastnaia torgovlia , pp. 66-67, 147; Ginzburg, Chastnyi kapital , p. 30; Zhirmunskii, Chastnyi kapital , p. 96; Spektator, Russkii "Termidor" , pp. 133-134; Bernard Edlhertz, The Russian Paradox: A First-Hand Study of Life Under the Soviets (New York, 1930), p. 9; White, These Russians , pp. 68, 324, 337; Paul Scheffer, Seven Years in Soviet Russia (New York, 1932), p. 55; Karl Borders, Village Life Under the Soviets (New York, 1927), pp. 102-103; and Ekonomicheskaia zhizn ', 1924, No. 306 (October 10), p. 4.

32. Kron, Chastnaia torgovlia , pp. 79-80. See also Na novykh putiakh, vypusk I, p. 186; Torgovye izvestiia , 1925, No. 91 (November 19), p. 2; 1925, No. 92 (November 21), p. 5; and Zagorskii, K sotsializmu , p. 151.

33. Ginzburg, Chastnyi kapital , p. 240; Fabrichnyi, Chastnyi kapital , p. 35; Zagorskii, K sotsializmu , p. 243; and TPG , 1929, No. 8 (January 10), p. 4.

34. Spektator, Russkii "Termidor" , p. 130; E. H. Carr and R. W. Davies, Foundations of a Planned Economy, 1926-1929 , 2 vols. (London, 1969), 1 (part 2): 670; Ekonomicheskoe obozrenie , 1926, August, p. 96; TPG , 1927, No. 276 (December 2), p. 5; and Torgovye izvestiia , 1926, No. 6 (January 16), p. 5.

35. I A. Bialyi and A. I. Litvin, Chastnyi kapital v g. Irkutske (Irkutsk, 1929), pp. 31-34, 36-37.

36. TPG , 1928, No. 267 (November 17), p. 4. See also Riauzov, Vytesnenie , p. 31; Mingulin, Puti razvitiia , p. 116; and TPG , 1927, No. 31 (February 8), p. 2; 1927, No. 147 (July 2), p. 4.

37. Torgovye izvestiia , 1925, No. 85 (November 5), p. 5; TPG , 1924, No. 91 (April 20), p. 5; Severo-Kavkazskii krai (Rostov-on-the-Don), 1925, No. 1, p. 99; Ekonomicheskii vestnik Zakavkaz'ia (Tiflis), 1926, No. 6, p. 29; and Larin, Chastnyi kapital , p. 41. Victor Kravchenko served in a Red Army unit assigned to combat smuggling along the Soviet Union's border with Persia. His account creates the impression that smugglers found the border something less than airtight. Victor Kravchenko, I Chose Freedom (New York, 1946), pp. 47-49.

Most contraband was imported, not exported. Among the items that were smuggled out , foreign currencies and precious metals and stones predominated, followed by commodities such as flax, wool, and furs. Sovetskaia torgovlia , 1927, No. 7, pp. 15-16; Na novykh putiakh, vypusk I, pp. 220, 223; Ekonomicheskoe obozrenie , 1925, November, p. 188; and V. P. Dmitrenko, Torgovaia politika sovetskogo gosudarstva posle perekhoda k NEPu 1921-1924 gg . (Moscow, 1971), p. 85.

38. For various estimates on the volume of contraband, see Ginzburg, Chastnyi kapital , p. 16; Kondurushkin, Chastnyi kapital , p. 133; Fabrichnyi, Chastnyi kapital , p. 34; and Larin, Chastnyi kapital , p. 36.

39. Torgovaia gazeta , 1922, No. 37 (April 11), p. 4; TPG , 1922, No. 126 (August 10), p. 5; and Dmitrenko, Torgovaia politika , p. 85.

40. TPG , 1924, No. 75 (April 2), p. 1.

41. Dmitrenko, Torgovaia politika , p. 85.

42. TPG , 1922, No. 150 (September 9), p. 1; 1923, No. 194 (August 30), p. 2; 1924, No. 75 (April 2), p. 1; 1924, No. 91 (April 20), p. 5; Sovetskaia torgovlia , 1927, No. 7, p. 16; Ekonomicheskoe obozrenie , 1925, November, p. 187; Ekonomicheskaia zhizn ', 1928, No. 68 (March 21), p. 3; Kondurushkin, Chastnyi kapital , pp. 135-136; and Larin, Chastnyi kapital , pp. 36-37.

43. Torgovye izvestiia , 1925, No. 85 (November 5), p. 5; Ekonomicheskoe obozrenie , 1925, November, pp. 186, 190-191; Kondurushkin, Chastnyi kapital , p. 135; and Larin, Chastnyi kapital , p. 37. For descriptions of tricks used by smugglers to conceal their goods, see TPG , 1924, No. 25 (February 1), p. 5; Torgovye izvestiia , 1925, No. 85 (November 5), p. 5.

44. TPG , 1923, No. 294 (December 30), p. 2; 1924, No. 113 (May 21), p. 3; Larin, Chastnyi kapital , p. 39; Zagorskii, K sotsializmu p. 161; Kondurushkin, Chastnyi kapital , p. 45; and Arkhipov and Morozov, Bor'ba , pp. 191-192.

45. Kondurushkin, Chastnyi kapital , pp. 136-137; Torgovaia gazeta , 1922, No. 15, p. 5; and Torgovye izvestiia , 1925, No. 85 (November 5), p. 5; 1926, No. 10 (January 28), p. 4; 1926, No. 20 (February 20), p. 6; 1926, No. 26 (March 9), p. 4; 1926, No. 27 (March 11), p. 4; 1926, No. 28 (March 16), p. 4.

46. P.C. Hiebert and Orie O. Miller, Feeding the Hungry: Russian Famine 1919-1925 (Scottdale, Pa., 1929), pp. 161, 209, 267, 278-282; F. A. Mackenzie, Russia Before Dawn (London, 1923), p. 157.

47. The food package contained 49 pounds of white flour, 25 pounds of rice, 15 pounds of sugar, 10 pounds of lard or bacon, 3 pounds of tea, and 20 tins of condensed milk. The clothing package contained four and two-thirds yards of wool fabric, four yards of lining for the wool fabric, sixteen yards of muslin, and eight yards of flannelette, as well as buttons and thread.

48. Duranty, I Write , p. 149.

49. Kondurushkin, Chastnyi kapital , p. 137; Torogvye izvestiia , 1926, No. 33 (March 27), p. 4; 1926, No. 87 (August 10), p. 2; Sovetskaia torgovlia , 1927, No. 7, p. 17; and Illiustrirovannaia Rossiia (Paris), 1926, No. 26, p. 11.

50. E. Ashmead-Bartlett, The Riddle of Russia (London, 1929), pp. 207-208.

51. Torgovye izvestiia , 1925, No. 5 (April 11), p. 4; Dorothy Thompson, The New Russia (New York, 1928), p. 33; Duranty, I Write , p. 146; Walter Duranty, Duranty Reports Russia (New York, 1934), p. 38; Philip Gibbs, Since Then (London, 1930), pp. 335-336, 338; White, These Russians , p. 63; Henri Béraud, The Truth About Moscow (London, 1926), pp. 47, 121; Kravchenko, I Chose Freedom , pp. 66-67; H. J. Greenwall, Mirrors of Moscow (London, 1929), p. 39; Hullinger, Reforging Russia , pp. 71, 208; and Anne O'Hare McCormick, The Hammer and the Scythe (New York, 1928), pp. 34-35. Photographs of ''former people" selling their personal possessions may be found in Illiustrirovannaia Rossiia (Paris), 1927, No. 44, p. 7; 1929, No. 52, pp. 4-5; 1930, No. 42, p. 5; Thompson, The New Russia , page facing p. 32.

52. Thompson, The New Russia , p. 34.

1. Mestnoe khoziaistvo (Kiev), 1924, No. 6 (March), pp. 78-79; Markoosha Fischer, My Lives in Russia (New York, 1944), p. 39; Walter Duranty, Duranty Reports Russia (New York, 1934), p. 107; and Eugene Lyons, Assignment in Utopia (New York, 1937), p. 85.

2. V. I. Lenin, Polnoe sobranie sochinenii , 5th ed., 55 vols. (Moscow, 1958-65), 45:265.

3. On private manufacturers engaged in trade, see Promyshlennost' i torgovlia , 1923, No. 1, p. 14; Salo W. Baron, The Russian Jew Under Tsars and Soviets (New York, 1964), p. 251; and Iu. Larin, Chastnyi kapital v SSSR (Moscow-Leningrad, 1927), p. 242.

4. Numerous decrees throughout the decade attempted to entice private capital, generally with tax incentives, into several branches of production where the "socialist" sector alone could not meet the country's needs. These activities included mining many different kinds of minerals, pumping oil, producing various construction materials, and constructing housing, as well as producing various consumer goods. See, for example, Zakony o chastnom kapitale. Sbornik zakonov, instruktsii, prikazov i raz"iasnenii , comp. B. S. Mal'tsman and B. E. Ratner (Moscow, 1928), pp. 240-241, 246, 268-270, 272-273; Sobranie zakonov i rasporiazhenii raboche-krest'ianskogo pravitel'stva SSSR. 1924-1949 (Moscow, 1925-50) (hereafter cited as SZ ), 1927, No. 5, art. 46; SZ , 1928, No. 6, art. 49; SZ , 1929, No. 9, arts. 85, 89; V. A. Arkhipov and L. F. Morozov, Bor'ba protiv kapitalisticheskikh elementov v promyshlennosti i torgovle. 20-e—nachalo 30-kh godov (Moscow, 1978), p. 49; and Torgovo-promyshlennaia gazeta (hereafter cited as TPG ), 1928, No. 254 (October 31), p. 2. These decrees were not strikingly effective, but they do illustrate the party's desire to utilize private manufacturing, even at the end of NEP. Another decree issued in May 1928 stressed the need to increase handicraft production of consumer goods to ease the "goods famine." The state's ultimate goal was not to "liquidate" these private manufacturers but to organize them into producers' cooperatives. SZ , 1928, No. 30, art. 267.

5. Resheniia partii i pravitel'stva po khoziaistvennym voprosam (Moscow, 1967-), 1:232.

6. Sobranie uzakonenii i rasporiazhenii. 1917-1949 (Moscow, 1920-50) (hereafter cited as SU ), 1921, No. 53, art. 323.

7. SU , 1921, No. 48, art. 240. For the decree of November 29, 1920, see SU , 1920, No. 93, art. 512.

8. A. M. Ginzburg, ed., Chastnyi kapital v narodnom khoziaistve SSSR. Materialy kommissii VSNKh SSSR (Moscow-Leningrad, 1927), p. 294; Zakony o chastnoi promyshlennosti , comp. A. E. Vorms and S. V. Mints (Moscow, 1924), pp. 26-27; and SU , 1921, No. 79, art. 684. See SU , 1921, No. 72, art. 583, for yet another restatement by VTsIK of the main point of the May 17 decree. Official interpretations and explanations of these denationalization decrees continued to appear for a number of years after 1921. See, for example, Zakony o chastnom kapitale , p. 187.

9. E. H. Carr, The Bolshevik Revolution , 3 vols. (London, 1950-53; reprint, Harmondsworth, 1973), 2:300; V. M. Kopalkin, Chastnaia promyshlennost' SSSR (Moscow-Leningrad, 1927), p. 13; I. Ia. Trifonov, Klassy i klassovaia bor'ba v SSSR v nachale nepa , Vol. 2, Podgotovka ekonomicheskogo nastupleniia na novuiu burzhuaziiu (Leningrad, 1969), p. 72; and Torgovaia gazeta , 1922, No. 8, p. 3.

10. Carr, Bolshevik Revolution , 2:300; SU , 1921, No. 53, art. 313; and Zakony o chastnom kapitale , pp. 196-201. Private leaseholders were also permitted to import raw materials and equipment for "their" factories. Torgovaia gazeta , 1992, No. 37, p. 2. Very few engaged in such sophisticated and costly activity, however. For an announcement that a cement factory is available for lease, see Ekonomicheskaia zhizn' , 1925, No. 200 (September 3), p. 6.

11. Ekonomicheskoe obozrenie , 1923, No. 2, p. 13; D. I. Mishanin, "Arenda gosudarstvennykh predpriiatii chastnymi predprinimateliami, kak odna iz form gosudarstevennogo kapitalizma v ekonomike perekhodnogo perioda ot kapitalizma k sotsializmu v SSSR," in E. A. Messerle and D. I. Mishanin, Metodicheskoe posobie po politekonomii (Alma-Ata, 1961), pp. 26, 38, 45.

12. Ekonomicheskoe obozrenie , 1923, No. 2, pp. 13-14, 24.

13. Estimates for 1921, 1922, and 1923 may be found in Mishanin, "Arenda," pp. 26, 44; Na novykh putiakh. Itogi novoi ekonomicheskoi politiki 1921-1922 g.g. (Moscow, 1923), vypusk III, pp. 74-75; Kopalkin, Chastnaia promyshlennost' , pp. 15-16; and Trifonov, Klassy , 2:69.

14. Ekonomicheskoe stroitel'stvo , 1925, No. 1, pp. 93-94; Promyshlennost' Ukrainy (Khar'kov), 1924, No. 19, pp. 53-54; lugo-Vostok (Rostov-on-the-Don), 1924, No. 1-2, p. 142; and TPG , 1922, No. 221 (December 2), p. 6. For additional reports from the provinces, as well as from Moscow and Petrograd, see Promyshlennost' i torgovlia , 1922, No. 1, p. 30; Nashe khoziaistvo (Vladimir), 1927, No. 4-5, p. 23; Torgovaia gazeta , 1922, No. 7, p. 4; Trifonov, Klassy , 2:72; TPG , 1922, No. 82 (June 18), p. 4; 1922, No. 96 (July 6), p. 4; 1922, No. 153 (September 13), p. 4; 1922, No. 209 (November 18), p. 4.

15. Iu. S. Kondurushkin, Chastnyi kapital pered sovetskim sudom (Moscow-Leningrad, 1927), p. 64; Trifonov, Klassy , 2:73; and Mishanin, "Arenda," p. 26.

16. Kopalkin, Chastnaia promyshlennost' , pp. 15-16; Arkhipov and Morozov, Bor'ba , pp. 49, 125; and Mishanin, "Arenda," p. 45. Although most privately leased factories were small, this was not always the case. Local officials in Vladimir, for example, leased an embroidery factory with more than three hundred workers to a private entrepreneur. Nashe khoziaistvo (Vladimir), 1927, No. 4-5, p. 23.

17. Na novykh putiakh, vypusk III, pp. 71-72; Mishanin, "Arenda," pp. 26, 56-57; and Ekonomicheskoe obozrenie , 1923, No. 2, pp. 17-18.

18. Mishanin, "Arenda," pp. 30-31, 33-36, 58-59; Kopalkin, Chastnaia promyshlennost' , pp. 17-18. In 1921 the state recommended that the only factories leased be those requiring repairs before they could be operated. This stipulation was widely ignored, however, which is evident from the fact that fully three fourths of all factories leased by the end of 1922 were ready for production. Ekonomicheskoe obozrenie , 1923, No. 2, pp. 16-17.

19. Na novykh putiakh, vypusk III, p. 76; Iugo-Vostok (Rostov-on-the-Don), 1924, No. 1-2, p. 142; Ekonomicheskoe obozrenie , 1923, No. 2, pp. 20, 22-23, 25; Mishanin, "Arenda," pp. 34-35; and Kopalkin, Chastnaia promyshlennost' , pp. 17-18.

20. Ginzburg, Chastnyi kapital , p. 290; Ekonomicheskoe obozrenie , 1923, No. 2, p. 24; Mishanin, "Arenda," pp. 61, 63; and TPG , 1922, No. 118 (August 1), p. 5.

21. Ekonomicheskoe obozrenie , 1923, No. 2, p. 19; Iugo-Vostok (Rostov-on-the-Don), 1924, No. 1-2, p. 142; and Mishanin, "Arenda," pp. 32, 64.

22. SU , 1921, No. 56, art. 354.

23. See, for example, SU , 1922, No. 16, art. 162; SU , 1922, No. 17, art. 180; SU , 1923, No. 5, art. 89; Torgovo-promyshlennyi vestnik , 1923, No. 16, p. 14; and SZ , 1926, No. 63, art. 474.

24. Definitions of census factories differ slightly. See Ginzburg, Chastnyi kapital , p. 70; Larin, Chastnyi kapital , p. 111. There were some exceptions to any definition. For example, operations of the following types, regardless of the number of workers they employed, were considered to be in the census category: sugar beet refining; wine, mead, and beer making; cigarette making; yeast processing; oil refining; leather-processing enterprises with over ten tanning vats; brick works with continuous-action kilns; and grain mills with at least five grinding units. For these and other exceptions, see Ginzburg, Chastnyi kapital , p. 70.

25. Kopalkin, Chastnaia promyshlennost' , p. 16; Ginzburg, Chastnyi kapital , p. 38; I. Mingulin, Puti razvitiia chastnogo kapitala (Moscow-Leningrad, 1927), p. 102; and I. Ia. Trifonov, Likvidatsiia ekspluatatorskikh klassov v SSSR (Moscow, 1975), p. 214.

26. Ekonomicheskoe obozrenie , 1926, March, p. 122. See also Mingulin, Puti razvitiia , p. 98.

27. These figures can be calculated from the data in Ginzburg, Chastnyi kapital , p. 40. See also Vasil'kov, Chastnyi kapital v khoziaistve orlovskoi gubernii. (Issledovatel'skaia rabota Gubplana pod rukovodstvom i redaktsiei Vasil'kova ) (Orel, 1928), p. 47; Mingulin, Puti razvitiia , p. 113; and Ginzburg, Chastnyi kapital , p. 23. Cooperative census operations were much closer in size to those in the private sector than to state factories.

28. For more on the legal uncertainty, see Zakony o chastnoi promyshlennosti , pp. 13, 22-23; Ginzburg, Chastnyi kapital , p. 295. For references to private factories with over twenty workers, see Nashe khoziaistvo (Vladimir), 1927, No. 4-5, p. 23; Vasil'kov, Chastnyi kapital , pp. 47-48; TPG , 1923, No. 78 (April 11), p. 3; and Trifonov, Klassy , 2:52-53, 68, 74. Some of these factories were privately owned (i.e., not leased).

29. Ginzburg, Chastnyi kapital , p. 40; Kopalkin, Chastnaia promyshlennost' , p. 23; and Mishanin, "Arenda," p. 64.

30. Trifonov, Klassy , 2:52; Ekonomicheskoe obozrenie , 1926, March, p. 122; 1926, August, p. 92; E. H. Carr and R. W. Davies, Foundations of a Planned Economy, 1926-1929 , 2 vols. (London, 1969), 1 (part 2): 950; Ginzburg, Chastnyi kapital , pp. 22, 40; and Kopalkin, Chastnaia promyshlennost' , p. 23.

31. Ginzburg, Chastnyi kapital , p. 40. There are slightly different figures in Kopalkin, Chastnaia promyshlennost' , p. 23.

32. When examining statistics on private census production, care should be taken to identify those figures that include the output of a handful of factories (called "concession" factories) leased to foreigners. Ekonomicheskoe obozrenie , 1926, March, p. 122; Carr and Davies, Foundations , 1 (part 2): 950; and Mingulin, Puti razvitiia , pp. 89-90, 98, 114.

33. For reasons that are unclear, the rank I share of licenses dropped to about 60 percent during the first three quarters of 1923, before recovering to approximately 80 percent by the end of the year and remaining at this percentage until the summer of 1925. Ginzburg, Chastnyi kapital , p. 201; G. Belkin, Rabochii vopros v chastnoi promyshlennosti (Moscow, 1926), p. 108; Trifonov, Klassy , 2:68; and Ekonomicheskoe obozrenie , 1924, No. 6, p. 44. The definitions of the industrial ranks differed slightly in the various business-tax decress issued during NEP. A law of February 10, 1922, for example, set the upper limit on rank I operations at four workers. SU , 1922, No. 17, art. 180. But most editions of the business-tax table put the limit at three. See SU , 1921, No. 56, art. 354; SU , 1923, No. 5, art. 89; and SZ , 1926, No. 63, art. 474.

34. Finansy i narodnoe khoziaistvo , 1927, No. 25, p. 28; 1927, No. 52, p. 26; Ginzburg, Chastnyi kapital , p. 201. One source puts the rank I share of licenses at 22 percent for the first half of 1925/26: Finansy i narodnoe khoziaistvo , 1927, No. 8, p. 26. This is far out of line with all the other sources. The reason for the disagreement is not apparent.

35. Ginzburg, Chastnyi kapital , p. 201; Ekonomicheskoe obozrenie , 1924, No. 6, p. 45; Trifonov, Klassy , 2:52; and Arkhipov and Morozov, Bor'ba , p. 43. If craftsmen without business-tax licenses were included in the statistics, the rural share of private manufacturers would be even more predominant. More information about these people will be presented later in this chapter.

36. Finansy i narodnoe khoziaistvo , 1927, No. 46, p. 23; 1927, No. 50, p. 25; 1927, No. 52, p. 26; Ginzburg, Chastnyi kapital , p. 201; Ekonomicheskii Zakavkaz'ia (Tiflis), 1926, No. 6, p. 25; TPG , 1924, No. 58 (March 11), p. 2; and Ekonomicheskoe obozrenie , 1924, No. 6, p. 44. Ranks I and II were defined according to the table in SU , 1921, No. 56, art. 354. This definition changed slightly in subsequent decrees. The table in SZ , 1926, No. 63, art. 474, was used for rank V in 1927.

37. Ekonomicheskaia zhizn' , 1922, No. 209 (September 17), p. 4; Arkhipov and Morozov, Bor'ba , p. 43; Ekonomicheskoe obozrenie , 1924, No. 6, p. 44; Ginzburg, Chastnyi kapital , p. 201 (the figures here do not include Transcaucasia and Uzbekistan); Belkin, Rabochii vopros , p. 108; Finansy i narodnoe khoziaistvo , 1927, No. 8, p. 26; 1927, No. 25, p. 28; SZ , 1925, No. 25, art. 168; SZ , 1925, No. 32, art. 213; and SZ , 1925, No. 38, art. 285.

38. On the effect of the tax reforms on people in rank I, see Ginzburg, Chastnyi kapital , p. 201.

39. In some sources the term kustari includes craftsmen in the lowest business-tax "industrial" ranks, but in this work we will understand kustari to be only those small-scale producers without business-tax licenses.

40. For some photographs of kustari and their workshops, see D. Shapiro, Kustarnaia promyshlennost' i narodnoe khoziaistvo SSSR (Moscow-Leningrad, 1928).

41. Ekonomicheskoe obozrenie , 1926, August, pp. 92, 96; 1927, June, pp. 119-120; S. O. Zagorskii, K sotsializmu ili k kapitalizmu? (Paris, 1927), pp. 226, 229, 231; Mingulin, Puti razvitiia , p. 102; Ginzburg, Chastnyi kapital , p. 72; Carr and Davies, Foundations , 1 (part 1): 390; and I. A. Gladkov, ed., Sovetskoe narodnoe khoziaistvo v 1921-1925 gg. (Moscow, 1960), p. 196.

42. Direktivy KPSS i sovetskogo pravitel'stva po khoziaistvennym voprosam. 1917-1957 gody , 4 vols. (Moscow, 1957-58 ), 1:311-314; V. M. Selunskaia, ed., Izmeneniia sotsial'noi struktury sovetskogo obshchestva. 1921-seredina 30-kh godov (Moscow, 1979), p. 134; Ginzburg, Chastnyi kapital , pp. 12, 84-85, 89; Mingulin, Puti razvitiia , pp. 90, 104; Zagorskii, K sotsializmu , p. 235; Ekonomicheskaia zhizn' , 1925, No. 61 (March 15), p. 2; Arkhipov and Morozov, Bor'ba , pp. 50, 205; Trudy tsentral'nogo statisticheskogo upravleniia , Vol. 33, vypusk I, pp. 86-115; Vol. 33, vypusk II, pp. 118-153; Shapiro, Kustarnaia promyshlennost' , p. 12; Ekonomicheskoe obozrenie , 1926, August, p. 96; and Trifonov, Likvidatsiia , p. 222. For statistics from various localities confirming the dominance of the private sector in petty industry see Tverskoi krai (Tver'), 1926, No. 1, p. 29; TPG , 1924, No. 56 (March 8), p. 1; 1927, No. 276 (December 2), p. 5; 1928, No. 29 (February 3), p. 6; 1928, No. 39 (February 15), p. 3; I. A. Bialyi and A. I. Litvin, Chastnyi kapital v g. Irkutske (Irkutsk, 1929), p. 23; A. S. Moskovskii, "Melkaia i kustarno-remeslennaia promyshlennost' Sibiri v kontse vosstanovitel'nogo perioda," in Bakhrushinskie chteniia (Novosibirsk, 1974), p. 23; and Narodnoe khoziaistvo Srednei Azii (Tashkent), 1927, No. 8-9, p. 78.

43. Mingulin, Puti razvitiia , p. 91; Zagorskii, K sotsializmu , p. 228; Trifonov, Klassy , 2:53, 69; and A. Zolotarev, Regulirovanie tovarooborota (Khar'kov, 1926), p. 24.

44. Ekonomicheskoe obozrenie , 1924, No. 6, p. 45.

45. Ekonomicheskoe obozrenie , 1927, June, p. 117; Mingulin, Puti razvitiia , p. 90; XIV s"ezd vsesoiuznoi kommunisticheskoi partii(b). 18-31 dekabria 1925 g.: stenograficheskii otchet (Moscow, 1926), p. 33; L. F. Morozov, Reshaiushchii etap bor'by s nepmanskoi burzhuaziei (1926-1929) (Moscow, 1960), pp. 12-13; Larin, Chastnyi kapital , pp. 118, 121, 127.

46. There were a fair number of private enterprises that produced construction materials such as bricks and nails. But even some of these items were destined for individual consumers, most often peasants.

47. Promyshlennost' Ukrainy (Khar'kov), 1924, No. 19, pp. 50-51; Bialyi and Litvin, Chastnyi kapital , pp. 5, 58-60; TPG , 1922, No. 128 (August 12), p. 3; Promyshlennost' i torgovlia , 1923, No. 1, p. 12; Ekonomicheskoe stroitel'stvo , 1925, No. 1, p. 95; Mestnoe khoziaistvo (Kiev), 1923, No. 3 (December), pp. 55, 58; Vasil'kov, Chastnyi kapital , pp. 47, 78; Severo-Kavkazskii krai (Rostov-on-the-Don), 1927, No. 10, p. 101; Ginzburg, Chastnyi kapital , p. 24; Nashe khoziaistvo (Riazan'), 1923, No. 9, pp. 17-18; Ekonomicheskii vestnik Armenii (Erevan), 1926, No. 4, p. 126; and Ekonomicheskii vestnik Zakavkaz'ia (Tiflis), 1926, No. 6, p. 31. Other types of industry that were fairly important in some regions include brick and glass making, "chemicals" (usually soap and candles), printing, paper making, jewelry, rope making, and mining of various minerals.

48. Khoziaistvo Urala (Sverdlovsk), 1925, No. 2, p. 84. The New York Times' s correspondent recorded a similar impression in Samara at the beginning of NEP: "Thus in the market at Samara I have seen peasants buying nails, sandals, metal utensils, sheepskin coats, baskets, etc., which are obviously the work of a single artisan or small group. Even in the famine-stricken villages there was a sale of shoes plaited by cottagers from slips of osier." Duranty, Duranty Reports , p. 87.

49. Gladkov, Sovetskoe narodnoe khoziaistvo , p. 199. These figures are for petty industry, roughly 80 percent of which was private. The contribution from private census industry may be found in Mingulin, Puti razvitiia , p. 101. Some figures for 1923/24 are available in Ginzburg, Chastnyi kapital , p. 94.

50. TPG , 1923, No. 291 (December 23), p. 3.

51. Torgovye izvestiia , 1926, No. 99 (September 11), p. 2; Morozov, Reshaiushchii etap , p. 63; Sovetskaia torgovlia , 1926, No. 9, p. 9; Trifonov, Likvidatsiia , p. 220.

52. Ginzburg, Chastnyi kapital , pp. 24-25, 46; Gladkov, Sovetskoe narodnoe khoziaistvo , p. 199; and TPG , 1923, No. 291 (December 23), p. 3. For some figures on census industry, see Vestnik statistiki , 1927, No. 1, pp. 86, 92-95.

53. Morozov, Reshaiushchii etap , p. 15; TPG , 1923, No. 291 (December 23), p. 3; Mestnoe khoziaistvo (Kiev), 1923, No. 3 (December), p. 55; Kopalkin, Chastnaia promyshlennost' , p. 26; Torgovye izvestiia , 1926, No. 29 (March 18), p. 3; Gladkov, Sovetskoe narodnoe khoziaistvo , p. 199; Vasil'kov, Chastnyi kapital , pp. 79-80; and Severo-Kavkazskii krai (Rostov-on-the-Don), 1926, No. 5, p. 155.

54. Zagorskii, K sotsializmu , p. 230; Ekonomicheskoe obozrenie , 1927, June, p. 118.

55. TPG , 1927, No. 31 (February 8), p. 2; Materialy po istorii SSSR. VII. Dokumenty po istorii sovetskogo obshchestva (Moscow, 1959), p. 166; Sovetskaia torgovlia , 1927, No. 7, p. 15; 1927, No. 20, p. 8; I. Ia. Trifonov, Ocherki istorii klassovoi bor'by v SSSR v gody NEPa (1921-1937) (Moscow, 1960), p. 131; and Ekonomicheskoe stroitel'stvo , 1926, No. 9, p. 21.

56. Mingulin, Puti razvitiia , pp. 106-107; Shapiro, Kustarnaia promyshlennost' , p. 18; Baron, The Russian Jew , p. 252; Ginzburg, Chastnyi kapital , p. 31; and Finansovye problemy planovogo khoziaistva , 1930, No. 7-8, p. 97.

57. Belkin, Rabochii vopros , pp. 16-19; Ginzburg, Chastnyi kapital , pp. 220-221; and Trifonov, Klassy , 2:90, 132.

58. Arkhipov and Morozov, Bor'ba , pp. 205-206; Ginzburg, Chastnyi kapital , pp. 12, 191, 243; Bialyi and Litvin, Chastnyi kapital , pp. 5-6, 17-18; Trifonov, Ocherki , p. 127; and Ekonomicheskoe obozrenie , 1927, June, pp. 114-115.

59. Ginzburg, Chastnyi kapital , pp. 226, 229, 232, 236, 244-245; Belkin, Rabochii vopros , pp. 24-27, 101; Trifonov, Klassy , 2:69; and Morozov, Reshaiushchii etap , p. 84.

60. For some of the decrees that granted tax privileges to producers' cooperatives, see Zakony o chastnoi promyshlennosti , pp. 72-74; SZ , 1924, No. 26, art. 219; and SZ , 1924, No. 28, art. 238.

61. TPG , 1927, No. 147 (July 2), p. 4.

62. Ekonomicheskoe obozrenie , 1927, June, p. 112. For other examples of false arteli , see Andrei Fabrichnyi, Chastnyi kapital na poroge piatiletki (Moscow, 1930), p. 39; Larin, Chastnyi kapital , p. 115; and Ekonomicheskoe obozrenie , 1927, June, p. 111.

63. Kooperativnoe stroitel'stvo , 1926, No. 14, pp. 22-23; Finansy i narodnoe khoziaistvo , 1927, No. 12, p. 15.

64. Trifonov, Ocherki , p. 128; Bialyi and Litvin, Chastnyi kapital , p. 17; and Ekonomicheskoe obozrenie , 1927, June, pp. 111, 113-114. For more on the numerous false arteli at the beginning of NEP, see Belkin, Rabochii vopros , pp. 19-20; Ginzburg, Chastnyi kapital , pp. 220-222.

65. Trifonov, Likvidatsiia , p. 217; Morozov, Reshaiushchii etap , pp. 80-81.

66. Trifonov, Likvidatsiia , pp. 218-219; Morozov, Reshaiushchii etap , p. 80; Mishanin, "Arenda," p. 66; and Arkhipov and Morozov, Bor'ba , p. 215. On January 27, 1928, Sovnarkom ordered that leather-processing factories be leased only to state trusts and cooperatives. No new factories of this sort could be built without official permission (generally given only to state agencies). Zakony o chastnom kapitale, p. 266; Morozov, Reshaiushchii etap, p. 60.

67. SZ, 1928, No. 30, art. 267; SZ, 1929, No. 3, art. 28; Fabrichnyi, Chastnyi kapital, p. 39; Moshe Lewin, Russian Peasants and Soviet Power: A Study of Collectivization (London, 1968; reprint, New York, 1975), p. 280; Trifonov, Ocherki, p. 129; and Morozov, Reshaiushchii etap, pp. 82-83, 85.

68. TPG, 1928, No. 25 (January 29), p. 4.

69. Morozov, Reshaiushchii etap, p. 84.

70. For some of these tax decrees, see SZ, 1931, No. 31, art. 237; SZ, 1931, No. 40, art. 279; and SZ, 1932, No. 75, art. 459.

71. Trifonov, Ocherki, p. 130.

72. See, for example, Finansy i narodnoe khoziaistvo, 1927, No. 19, p. 26; Ekonomicheskoe obozrenie, 1926, August, pp. 112-114.

1. Sobranie uzakonenii i rasporiazhenii. 1917-1949 (Moscow, 1920-50) (hereafter cited as SU ), 1923, No. 5, art. 89, prilozhenie 2; A. M. Ginzburg, ed., Chastnyi kapital v narodnom khoziaistve SSSR. Materialy kommissii VSNKh SSSR (Moscow-Leningrad, 1927), pp. 268-269 (information on private shipping); Anthony C. Sutton, Western Technology and Soviet Economic Development 1917 to 1930 (Stanford, 1968), p. 256 (private airline); and Anna Louise Strong, The First Time in History (New York, 1924), pp. 135-137, 140-141, 148-149 (private landlords).

2. Sheila Fitzpatrick, The Commissariat of Enlightenment: Soviet Organization of Education and the Arts Under Lunacharsky, October 1917-1921 (Cambridge, 1970), p. 271.

3. See, for example, Sobranie zakonov i rasporiazhenii raboche-krest'ianskogo pravitel'stva SSSR. 1924-1949 (Moscow, 1925-50) (hereafter cited as SZ ), 1924, No. 20, art. 196.

4. S. A. Fediukin, Bor'ba s burzhuaznoi ideologiei v usloviiakh perekhoda k nepu (Moscow, 1977), pp. 70-71; A. I. Nazarov, Oktiabr'i kniga (Moscow, 1968), p. 249.

5. Fitzpatrick, Commissariat of Enlightenment, p. 263.

6. Zakony o chastnom kapitale. Sbornik zakonov, instruktsii, prikazov i raz"iasnenii, comp. B. S. Mal'tsman and B. E. Ratner (Moscow, 1928), pp. 247-248.

7. Pechat' i revoliutsiia, 1922, kniga 6, pp. 130-131; Fediukin, Bor'ba, p. 73; and Nazarov, Oktiabr', p. 254.

8. Pechat' i revoliutsiia, 1992, kniga 6, pp. 131-132.

9. Nazarov, Oktiabr', p. 255.

10. E. I. Shamurin, Sovetskaia kniga za 15 let v tsifrakh (Moscow, 1933), p. 27.

11. On the literary circles, see Fediukin, bor'ba, p. 75.

12. I. Ia. Trifonov, Klassy i klassovaia bor'ba v SSSR v nachale nepa, Vol. 2, Podgotovka ekonomicheskogo nastupleniia na novuiu burzhuaziiu (Leningrad, 1969), p. 58. See also Ts. M. Kron, Chastnaia torgovlia v SSSR (Moscow, 1926), p. 15.

13. Ekonomicheskoe obozrenie, 1925, October, pp. 115-125; G. A. Dikhtiar, Sovetskaia torgovlia v period postroeniia sotsializma (Moscow, 1961), pp. 207-208.

14. Na novykh putiakh. Itogi novoi ekonomicheskoi politiki 1921-1922 g.g. (Moscow, 1923), vypusk I, p. 186; Iu. S. Kondurushkin, Chastnyi kapital pered sovetskim sudom (Moscow-Leningrad, 1927), pp. 29-30, 105, 114.

15. V. P. Dmitrenko, Torgovaia politika sovetskogo gosudarstva posle perekhoda k NEPu 1921-1924 gg. (Moscow, 1971), p. 185; Torgovo-promyshlennaia gazeta (hereafter cited as TPG ), 1923, No. 1 (January 1), p. 2; and Na novykh putiakh, vypusk I, p. 235.

16. M. M. Zhirmunskii, Chastnyi kapital v tovarooborote (Moscow, 1924), pp. 135-136, 138; Trifonov, Klassy, 2:223.

17. Iugo-Vostok (Rostov-on-the-Don), 1922, No. 1, p. 55; 1923, No. 2-3, p. 81; Ekonomicheskoe stroitel'stvo, 1923, No. 6-7, p. 89; Zhirmunskii, Chastnyi kapital, p. 15; and Kondurushkin, Chastnyi kapital, p. 61.

18. Finansy i promyshlennost', 1922, No. 3-4, p. 68; Kondurushkin, Chastnyi kapital, p. 107. For other examples, see Trifonov, Klassy, 2: 58, 64.

19. I. Mingulin, Puti razvitiia chastnogo kapitala (Moscow-Leningrad, 1927), p. 55; Kondurushkin, Chastnyi kapital, p. 46; and Trifonov, Klassy, 2: 73.

20. See, for example, Promyshlennost' i torgovlia, 1923, No. 2, pp. 3-4; TPG, 1922, No. 176 (October 10), p. 1; 1922, No. 191 (October 27), p. 3; 1922, No. 192 (October 28), p. 1; 1922, No. 195 (November 1), p. 2. There are similar articles in other issues of TPG published in this period.

21. TPG, 1922, No. 133 (August 18), p. 4; 1922, No. 190 (October 26), p. 3.

22. Ibid., 1922, No. 228 (December 10), p. 4.

23. Izvestiia, March 8, 1923, p. 6. As we will see, Nepmen continued to work legally as middlemen between the ''socialist" and private sectors. For additional decrees regulating this activity, see SZ, 1925, No. 76, art. 569; Zakony o chastnom kapitale, pp. 292-293.

24. KPSS v rezoliutsiiakh i resheniiakh s"ezdov, konferentsii i plenumov TsK, 8th ed. (Moscow, 1970-), 4: 32.

25. TPG, 1923, No. 285 (December 16), p. 2; 1928, No. 220 (September 21), p. 5; Zakony o chastnom kapitale, p. 30; and Trifonov, Klassy, 2: 159.

26. See, for example, Krokodil, 1981, No. 29, p. 5.

27. Ekonomicheskoe stroitel'stvo, 1923, No. 6-7, p. 90.

28. Iugo-Vostok (Rostov-on-the-Don), 1922, No. 1 (November), p. 56. Additional expressions of official distaste for private middlemen may be found in TPG, 1922, No. 191 (October 27), p. 3; I. Ia. Trifonov, Likvidatsiia ekspluatatorskikh klassov v SSSR (Moscow, 1975), p. 190.

29. TPG, 1922, No. 191 (October 27), p. 3; Ekonomicheskoe obozrenie, 1925, April, p. 190; Iugo-Vostok (Rostov-on-the-Don), 1922, No. 1 (November), p. 55; and I. A. Bialyi and A. I. Litvin, Chastnyi kapital v g. Irkutske (Irkutsk, 1929), p. 39.

30. Na novykh putiakh, vypusk I, pp. 207-208; Kron, Chastnaia torgovlia, pp. 16-17; TPG, 1923, No. 231 (October 12), p. 3; and Trud i khoziaistvo (Kazan'), 1927, No. 1, p. 84.

31. Estimates differ considerably. See, for example, Ekonomicheskoe obozrenie, 1926, August, p. 101; 1928, No. 9, p. 27; TPG, 1924, No. 126 (June 5), p. 2; and S. O. Zagorskii, K sotsializmu ili k kapitalizmu? (Paris, 1927), p. 150.

32. Khoziaistvo Sev.-Zap. kraia (Leningrad), 1924, No. 8, p. 51; Kron, Chastnaia torgovlia, p. 37; Torgovye izvestiia, 1925, No. 74 (October 10), p. 5; 1926, No. 108 (October 2), p. 4; and Ginzburg, Chastnyi kapital, p. 11.

33. TPG, 1927, No. 31 (February 8), p. 3; 1928, No. 283 (December 6), p. 4; Ekonomicheskoe obozrenie, 1928, No. 4, p. 161; and Sovetskaia torgovlia, 1926, No. 10, p. 3; 1927, No. 7, pp. 6-7. For more on the zagotovka of various products in different regions, see Trud i khoziaistvo (Kazan'), 1927, No. 1, pp. 88-89, 94; TPG, 1928, No. 229 (October 2), p. 5; 1928, No. 246 (October 21), p. 6; Vasil'kov, Chastnyi kapital v khoziaistve orlovskoi gubernii. (Issledovatel'skaia rabota Gubplana pod rukovodstvom i redaktsiei Vasil'kova ) (Orel, 1928), p. 33; A. Zlobin, Gosudarstvennyi, kooperativnyi i chastnyi kapital v tovarooborote sibirskogo kraia (Novosibirsk, 1927), p. 16; Tverskoi krai (Tver'), 1926, No. 7-8, p. 17; and Finansy i narodnoe khoziaistvo, 1926, No. 6, p. 27.

34. Materialy po istorii SSSR. VII. Dokumenty po istorii sovetskogo obschchestva (Moscow, 1959), p. 150.

35. Torgovye izvestiia, 1925, No. 72 (October 6), p. 5.

36. Sovetskaia torgovlia, 1926, No. 9, p. 9; 1927, No. 7, p. 7. See also Na novykh putiakh, vypusk I, p. 220; Zagorskii, K sotsializmu, pp. 123-124, 150.

37. This advantage (along with others) of the private zagotovka system has been pointed out in chapter 5. For additional documentation on this point, see Sovetskaia torgovlia, 1927, No. 7, pp. 8, 15; TPG, 1924, No. 187 (August 20), p. 3; 1928, No. 15 (January 18), p. 5; 1928, No. 206 (September 5), p. 5; Ekonomicheskoe obozrenie, 1926, August, p. 118; and Sotsialisticheskii vestnik (Berlin), 1929, No. 10-11, p. 11.

38. See, for example, late-summer issues of Torgovye izvestiia and Pravda .

39. Dikhtiar, Sovetskaia torgovlia, p. 271; Moshe Lewin, Russian Peasants and Soviet Power: A Study of Collectivization (London, 1968; reprint, New York, 1975), p. 389. A correspondent reported from the Ukraine that free-market grain prices, far above official prices, were severely hampering the state's efforts to buy grain. TPG, 1928, No. 209 (September 8), p. 5. The Poltava correspondent sent a similar report concerning the zagotovka of hides. TPG, 1928, No. 257 (November 3), p. 4.

40. Measures taken against free grain trade have been described in chapter 3. The state also issued decrees banning the private zagotovka of furs in many regions. See Zakony o chastnom kapitale, pp. 159-160; SU, 1927, No. 77, art. 525; SU, 1927, No. 87, art. 579; SU, 1928, No. 99, art. 626; and SU, 1928, No. 101, art, 638. For more on efforts to reduce the private zagotovka of hides, see TPG, 1928, No. 283 (December 6), p. 4. Private zagotovka activity in general was undercut indirectly by the drastic reduction in the number of private retail traders in 1928 and 1929, which left private middlemen with few customers. See (concerning eggs and butter) Ekonomicheskoe obozrenie, 1928, No. 4, p. 164.

41. For detailed legal provisions concerning the formation and operation of joint-stock companies, see Zakony o chastnom kapitale, pp. 37-57.

42. Ekonomicheskaia zhizn', 1922, No. 145 (July 2), p. 3; Severo-Kavkazskii krai (Rostov-on-the-Don), 1925, No. 11-12, pp. 126-127. For other examples, see Torgovye izvestiia, 1925, No. 48 (August 11), p. 2; TPG, 1923, No. 38 (February 18), p. 2; and Torgovlia, promyshlennost' i finansy, 1925, No. 9, p. 232.

43. Khoziaistvo i upravlenie, 1927, No. 6, pp. 83, 86. One disadvantage of private joint-stock companies was that they were more prominently in the view of state regulatory and tax agencies than were most ordinary private enterprises.

44. TPG, 1928, No. 255 (November 1), p. 4.

45. Ibid., 1922, No. 102 (July 13), p. 3; 1922, No. 120 (August 3), p. 4; 1923, No. 197 (September 2), p. 5.

46. Torgovye izvestiia, 1926, No. 76 (July 13), p. 1.

47. Dikhtiar, Sovetskaia torgovlia, p. 197; TPG, 1927, No. 29 (February 5), p. 2.

48. Khoziaistvo i upravlenie, 1927, No. 6, pp. 84, 86; Materialy. VII., p. 36.

49. Materialy. VII., p. 45.

50. Khoziaistvo i upravlenie, 1927, No. 6, p. 84; Torgovye izvestiia, 1926, No. 76 (July 13), p. 1; and Materialy. VII., pp. 39-40.

51. Sovetskaia torgovlia, 1927, No. 15, p. 13; Materialy. VII., p. 37; and Khoziaistvo i upravlenie, 1927, No. 6, p. 88.

52. Materialy. VII., p. 36.

53. Torgovye izvestiia, 1926, No. 76 (July 13), p. 1; I. A. Gladkov, ed., Sovetskoe narodnoe khoziaistvo v 1921-1925 gg. (Moscow, 1960), p. 427.

54. Khoziaistvo i upravlenie, 1927, No. 6, p. 87. At least some (and perhaps much) of the private capital invested in joint-stock operations came from foreigners, thus rendering the Nepmen's contribution even less significant. Ekonomicheskoe stroitel'stvo, 1925, No. 3, p. 114.

55. SU, 1922, No. 12, art. 110; S. L. Fridman, Chastnyi kapital na denezhnom rynke (Moscow, 1925), pp. 9-11. There were also a few private banks (operating with some state capital and supervision), the first of which was formed in Rostov-on-the-Don in April.

56. Nashe khoziaistvo (Vladimir), 1923, No. 6, p. 65; Trifonov, Klassy, 2: 55; and Fridman, Chastnyi kapital, p. 70.

57. Mingulin, Puti razvitiia, p. 120; Fridman, Chastnyi kapital, p. 69; Zagorskii, K sotsializmu, p. 254; and Ekonomicheskoe obozrenie, 1926, February, pp. 161-162. Data in some sources differ slightly.

58. Finansy i narodnoe khoziaistvo, 1927, No. 41, pp. 16-17; 1929, No. 8, p. 18; Materialy. VII., pp. 30, 35; and SZ, 1929, No. 72, art. 690. During the period from October 1, 1926, to October 1, 1927, the state cut its loans to OVKs by 77 percent.

59. Ekonomicheskoe obozrenie, 1924, No. 22, p. 46. See also V. V. Ivanovskii, Chastnyi torgovyi kapital na rynke Saratovskoi gubernii (Saratov, 1927), p. 55.

60. See, for example, the results of a survey of private traders in Voronezh: G. P. Paduchev, Chastnyi torgovets pri novoi ekonomicheskoi politike (po dannym biudzhetnogo obsledovaniia) (Voronezh, 1926), p. 100.

61. Ekonomicheskoe obozrenie, 1926, February, p. 163.

62. Ibid., 1926, August, p. 106; A. Zalkind, ed., Chastnaia torgovlia Soiuza SSR (Moscow, 1927), pp. 90, 92; and Ivanovskii, Chastnyi torgovyi kapital, p. 54.

63. Ekonomicheskoe obozrenie, 1926, February, pp. 161-162; 1927, March, pp. 132-133.

64. For data with which to make these estimates, see Ginzburg, Chastnyi kapital, pp. 171-173; Ekonomicheskoe obozrenie, 1926, February, pp. 161-162; 1927, March, pp. 132-133; and Mingulin, Puti razvitiia, pp. 63, 122. Concerning just the Ukraine, see Finansy i narodnoe khoziaistvo, 1927, No. 2, p. 18.

65. The percentages of OVK loans to Nepmen made with funds borrowed from state banks are as follows: October 1, 1924, 23 percent; January 1, 1925, 31 percent; April 1, 1925, 29 percent; July 1, 1925, 34 percent; October 1, 1925, 38 percent; January 1, 1926, 46 percent; April 1, 1926, 33 percent; July 1, 1926, 32 percent; October 1, 1926, 30 percent. These figures can be derived from data in Ekonomicheskoe obozrenie, 1927, March, pp. 132-133. Viewed from a different angle, state banks made one fifth of their loans to Nepmen via OVKs in 1925 and one quarter in 1926. Zalkind, Chastnaia torgovlia, p. 100.

66. Torgovye izvestiia, 1925, No. 21 (May 26), p. 6; 1925, No. 27 (June 13), p. 4; Mestnoe khoziaistvo (Kiev), 1924, No. 6 (March), pp. 74-75; Paduchev, Chastnyi torgovets, pp. 74-75, 77; and Fridman, Chastnyi kapital, p. 73.

67. Finansy i narodnoe khoziaistvo, 1926, No. 3, p. 18; 1926, No. 8, p. 21; 1927, No. 45, p. 19; Vasil'kov, Chastnyi kapital, p. 84; Mestnoe khoziaistvo (Kiev), 1924, No. 6 (March), p. 75; and Zagorskii, K sotsializmu, pp. 256-257.

68. V. A. Arkhipov and L. F. Morozov, Bor'ba protiv kapitalisticheskikh elementov v promyshlennosti i torgovle. 20-e—nachalo 30-kh godov (Moscow, 1978), p. 82; V. Ia. Laverychev, Krupnaia burzhuaziia v poreformennoi Rossii (1861-1900 gg.) (Moscow, 1974), p. 20.

1. Only a handful of Nepmen emigrated, a venture undoubtedly beyond the means of most petty entrepreneurs (the majority of Nepmen), even assuming that such a course of action appealed to them. Morozov reports two instances of emigration, one in which traders left Turkestan for Iran, and the second involving the journey of a few Nepmen from Kiev to Mexico. L. F. Morozov, Reshaiushchii etap bor'by s nepmanskoi burzhuaziei (1926-1929) (Moscow, 1960), p. 97.

2. Sotsialisticheskii vestnik (Berlin), 1930, No. 19, pp. 13-14; William Reswick, I Dreamt Revolution (Chicago, 1952), pp. 166-167. See also Sotsialisticheskii vestnik (Berlin), 1931, No. 12-13, p. 22; Reswick, I Dreamt, pp. 171-174, 217-218; Paul Scheffer, Seven Years in Soviet Russia (New York, 1932), p. 208; Calvin B. Hoover, "The Fate of the New Economic Policy of the Soviet Union," Economic Journal 40 (June 1930): 191; Walter Duranty, Duranty Reports Russia (New York, 1934), p. 211; William H. Chamberlin, Soviet Russia: A Living Record and a History (Boston, 1931), p. 196; and Eugene Lyons, Assignment in Utopia (New York, 1937), p. 149.

3. Finansy i narodnoe khoziaistvo, 1929, No. 26, p. 15; Morozov, Reshaiushchii etap, pp. 95-96. See also V. M. Selunskaia, ed., Izmeneniia sotsial'noi struktury sovetskogo obshchestva. 1921-seredina 30-kh godov (Moscow, 1979), p. 130.

4. Finansy i narodnoe khoziaistvo, 1928, No. 26, p. 17; 1929, No. 26, p. 15; Morozov, Reshaiushchii etap, pp. 95-96; and Salo W. Baron, The Russian Jew Under Tsars and Soviets (New York, 1964), p. 264. For more on the move of many Nepmen into handicraft work at the end of the decade, see Finansovye problemy planovogo khoziaistva, 1930, No. 7-8, p. 97; Finansy i narodnoe khoziaistvo, 1930, No. 9, p. 13; Torgovopromyshlennaia gazeta (hereafter cited as TPG ), 1927, No. 249 (October 30), p. 3; Ekonomicheskaia zhizn', 1928, No. 53 (March 2), p. 4; Morozov, Reshaiushchii etap, p. 73; and William C. White, These Russians (New York, 1931), p. 78. For more on former Nepmen finding work in state trade and industrial operations, see TPG, 1929, No. 20 (January 25), p. 4; Morozov, Reshaiushchii etap, p. 98; Alexander Wicksteed, Life Under the Soviets (London, 1928), p. 7; and Eugene Lyons, Moscow Carrousel (New York, 1935), pp. 62-64.

5. Finansy i narodnoe khoziaistvo, 1928, No. 39, p. 4; 1929, No. 22, p. 17; 1929, No. 34, p. 18; 1930, No. 7, p. 22; 1930, No. 9, pp. 12-13; TPG, 1927, No. 249 (October 30), p. 3; 1928, No. 182 (August 8), p. 5; 1928, No. 246 (October 21), p. 6; and Finansovye problemy planovogo khoziaistva, 1930, No. 7-8, p. 97.

6. For the results of additional surveys, see Finansy i narodnoe khoziaistvo, 1928, No. 26, p. 17; 1929, No. 36, p. 16; 1930, No. 7, p. 22.

7. Finansovye problemy planovogo khoziaistva, 1930, No. 7-8, p. 97.

8. TPG, 1928, No. 95 (April 24), p. 4; 1928, No. 293 (December 18), p. 4; 1929, No. 8 (January 10), p. 4; Ekonomicheskaia zhizn', 1928, No. 67 (March 20), p. 5; 1928, No. 68 (March 21), p. 3; and Finansy i narodnoe khoziaistvo, 1928, No. 39, p. 17; 1929, No. 31, p. 17.

9. Gregory Grossman, "The 'Second Economy' of the USSR," Problems of Communism, September-October 1977, pp. 25-40; New York Times, September 2, 1982; and Konstantin M. Simis, USSR: The Corrupt Society (New York, 1982).

10. TPG, 1924, No. 296 (December 31), p. 1.

11. Ekonomicheskoe stroitel'stvo, 1926, No. 1, p. 31.

12. Ekonomicheskoe obozrenie, 1927, May, p. 160; 1929, No. 1, p. 66; Finansy i narodnoe khoziaistvo, 1930, No. 10, p. 19. Other studies of workers' budgets in various regions yielded similar findings. See, for example, A. Zlobin, Gosudarstvennyi, kooperativnyi i chastnyi kapital v tovarooborote sibirskogo kraia (Novosibirsk, 1927), p. 10; Ekonomicheskaia zhizn', 1927, No. 236 (October 15), p. 3.

13. TPG, 1924, No. 56 (March 8), p. 2; 1927, No. 249 (October 30), p. 3; 1928, No. 266 (November 16), p. 6; 1928, No. 269 (November 20), p. 4; Tverskoi krai (Tver'), 1926, No. 6, p. 39; Sovetskaia torgovlia, 1927, No. 7, p. 15; Trud i khoziaistvo (Kazan'), 1927, No. 1, p. 90; Selunskaia, Izmeneniia sotsial'noi struktury, p. 118; A. M. Lezhava, Vnutrenniaia torgovlia 1923 g. (Moscow, 1924), p. 12; Kooperativnoe stroitel'stvo, 1926, No. 9, pp. 54, 56; Torgovye izvestiia, 1925, No. 27 (June 13), p. 6; 1925, No. 34 (July 9), p. 6; Nash krai (Astrakhan'), 1926, No. 8, p. 27; and A. Kaktyn', O podkhode k chastnomu torgovomu kapitalu (Moscow, 1924), p. 10.

14. Narodnoe khoziaistvo Srednei Azii (Tashkent), 1927, No. 5, p. 53; Torgovye izvestiia, 1925, No. 34 (July 9), p. 6; TPG, 1928, No. 218 (September 19), p. 4; Nash krai (Astrakhan'), 1926, No. 8, p. 27; Kooperativnoe stroitel'stvo, 1926, No. 14, p. 54; and Kaktyn', O podkhode, p. 10.

15. Torgovlia, promyshlennost' i finansy, 1925, No. 5-6, p. 161; Vasil'kov, Chastnyi kapital v khoziaistve orlovskoi gubernii. (Issledovatel'skaia rabota Gubplana pod rukovodstvom i redaktsiei Vasil'kova ) (Orel, 1928), p. 19; and Ekonomicheskoe obozrenie, 1927, May, p. 160.

16. Maurice Hindus, Red Bread (New York, 1931), p. 80; Jay Leyda, Kino: A History of the Russian and Soviet Film (London, 1960), p. 256; A. Ruth Fry, Three Visits to Russia 1922-25 (London, 1942), p. 21; Andrée Viollis, A Girl in Soviet Russia (New York, 1929), p. 22; and Anna Louise Strong, The First Time in History (New York, 1924), p. 240. The Nepmen were also frequent targets in the Soviet satirical journal Krokodil .

At a meeting of young Pioneers in the Ukraine, a hat containing written questions was passed among the children. One question read: "What class does a Pioneer never help?" The lad who drew the question had clearly learned his lessons well, for he had no difficulty producing a suitable answer: "Those who exploit the toil of others—rich, bandits, and nepmen." Albert Rhys Williams, The Russian Land (New York, 1927), pp. 157-158. For more on children, education, and the Nepmen, see I. Ia. Trifonov, Klassy i klassovaia bor'ba v SSSR v nachale nepa, Vol. 2, Podgotovka ekonomicheskogo nastupleniia na novuiu burzhuaziiu (Leningrad, 1969), p. 212; Albert Muldavin, The Red Fog Lifts (New York, 1931), pp. 40-41, 205; Ella Winter, Red Virtue: Human Relations in the New Russia (New York, 1933), pp. 12-13; Illiustrirovannaia Rossiia (Paris), 1926, No. 36, p. 11; Dorothy Thompson, The New Russia (New York, 1928), p. 231; Anton Karlgren, Bolshevist Russia (London, 1927), p. 283; and Lyons, Moscow Carrousel, pp. 69-71.

17. Markoosha Fischer, My Lives in Russia (New York, 1944), p. 21; Maurice Hindus, Humanity Uprooted (New York, 1929), p. 63; Reswick, I Dreamt, pp. 105-106; Mestnoe khoziaistvo (Kiev), 1924, No. 6 (March), pp. 78-79; Muldavin, Red Fog, pp. 82-83; and Duranty, Duranty Reports, p. 107. It was not uncommon in these years to encounter repugnant Jewish Nepmen slinking through the pages of Russian belles-lettres. Lionel Kochan, ed., The Jews in Soviet Russia Since 1917, 3d ed. (Oxford, 1978), p. 205.

Some foreigners and émigré publications also offered negative characterizations of Nepmen. For example, Theodore Dreiser included a Nepman when describing the types of customers he observed in a Moscow restaurant: ''And then next, a really portly Russian, of perhaps the trader or bloodsucker type-fat, red-cheeked, double-chinned, puffy-necked, a really beastlike type. And with him two attractive and yet semi-obese girls or women of not over twenty-six or seven, with a heavy, meaty sensuality radiating from every pore. The white flabby double chins and crinkled necks. The small and yet fat and even puffy hands. The little, shrewd, greedy eyes, half concealed by fat lids." Theodore Dreiser, Dreiser Looks at Russia (New York, 1928), p. 225; Frank A. Golder and Lincoln Hutchinson, On the Trail of the Russian Famine (Stanford, 1927), p. 150; John Dos Passos, In All Countries (New York, 1934), pp. 33, 54; and Illiustrirovannaia Rossiia (Paris), 1926, No. 19, p. 9; 1926, No. 29, p. 5.

18. Lyons, Assignment, p. 85.

19. TPG, 1928, No. 266 (November 16), p. 6.

20. These points are made repeatedly in Soviet periodicals of the 1920s. For a sampling, see TPG, 1923, No. 74 (April 3), p. 3; 1923, No. 194 (August 30), p. 3; 1924, No. 37 (February 15), p. 6; 1924, No. 44 (February 23), p. 4; 1924, No. 296 (December 31), p. 1; 1927, No. 180 (August 10), p. 4; 1927, No. 186 (August 18), p. 4; 1927, No. 209 (September 14), p. 4; 1928, No. 269 (November 20), p. 4; Torgovye izvestiia, 1925, No. 34 (July 9), p. 6; 1925, No. 36 (July 14), p. 6; 1925, No. 85 (November 5), p. 1; 1926, No. 65 (June 15), p. 4; 1926, No. 103 (September 21), p. 3; 1926, No. 109 (October 5), p. 3; Severo-Kavkazskii krai (Rostov-on-the-Don), 1925, No. 4-5, p. 100; Mestnoe khoziaistvo (Kiev), 1924, No. 6 (March), p. 73; Lezhava, Vnutrenniaia torgovlia 1923, p. 11; Narodnoe khoziaistvo Srednei Azii (Tashkent), 1927, No. 6-7, pp. 104-105; Sovetskaia torgovlia, 1926, No. 10, p. 4; and Ekonomicheskii vestnik Zakavkaz'ia (Tiflis), 1926, No. 3, pp. 78-84.

21. TPG, 1923, No. 168 (July 28), p. 3; 1924, No. 44 (February 23), p. 4; 1928, No. 266 (November 16), p. 6; 1929, No. 97 (April 27), p. 6; Torgovye izvestiia, 1925, No. 88 (November 12), p. 6; 1926, No. 59 (June 1), p. 4; Lezhava, Vnutrenniaia torgovlia 1923, p. 25; Mestnoe khoziaistvo (Kiev), 1924, No. 6 (March), p. 73; Iugo-Vostok (Rostov-on-the-Don), 1924, No. 5, prilozhenie, pp. 17-18; Severo-Kavkazskii krai (Rostov-on-the-Don), 1925, No. 4-5, p. 101; Ekonomicheskaia zhizn', 1925, No. 257 (November 11), p. 3; Trifonov, Klassy, 2:159-160, 220; and S. O. Zagorskii, K sotsializmu ili k kapitalizmu? (Paris, 1927), p. 156.

22. TPG, 1928, No. 267 (November 17), p. 4; 1928, No. 283 (December 6), p. 5; 1929, No. 97 (April 27), p. 6; Torgovye izvestiia, 1925, No. 80 (October 24), p. 1; Lezhava, Vnutrenniaia torgovlia 1923, pp. 25-26; Karlgren, Bolshevist Russia, pp. 135-136; Iu. S. Kondurushkin, Chastnyi kapital pered sovetskim sudom (Moscow-Leningrad, 1927), p. 144; and Iugo-Vostok (Rostov-on-the-Don), 1924, No. 3, pp. 109-112.

Of course state suppliers could also force compulsory assortments on Nepmen. See Torgovye izvestiia, 1925, No. 82 (October 29), p. 4; 1925, No. 87 (November 10), p. 2; 1925, No. 98 (December 5), p. 4; G. P. Paduchev, Chastnyi torgovets pri novoi ekonomicheskoi politike (po dannym biudzhetnogo obsledovaniia) (Voronezh, 1926), p. 66. But private traders were generally less vulnerable than cooperative and state stores, because they were more resourceful than the officials in the latter concerns and less dependent on state suppliers.

23. Kooperativnoe stroitel'stvo, 1926, No. 11, p. 33; Karlgren, Bolshevist Russia, pp. 136-137. See also Karl Borders. Village Life Under the Soviets (New York, 1927), pp. 95, 100, 106; Ekonomicheskaia zhizn', 1924, No. 123 (February 28), p. 3; Trifonov, Klassy, 2:199; Karlgren, Bolshevist Russia, pp. 132-134; and the cartoon in Pravda, January 4, 1928, p. 2.

One of the participants at the October 1926 Plenum of the Leningrad Guberniia Party Committee remarked: "Simply drop into a private store to buy something, and then into one of our cooperatives, and what a difference you will notice. Without stretching the point at all, it may be said that the salesman in a private store is equivalent in courtesy, initiative, and sales know-how to two of our cooperative clerks, perhaps even three." V. A. Arkhipov and L. F. Morozov, Bor'ba protiv kapitalisticheskikh elementov v promyshlennosti i torgovle. 20-e—nachalo 30-kh godov (Moscow, 1978), p. 186.

24. TPG, 1923, No. 262 (November 20), pp. 1-2; 1924, No. 99 (May 4), p. 3; 1928, No. 266 (November 16), p. 6; 1928, No. 267 (November 17), p. 4; 1929, No. 70 (March 27), p. 6; Torgovye izvestiia, 1925, No. 34 (July 9), p. 6; Tverskoi krai (Tver'), 1925, No. 2, p. 57; Borders, Village Life, p. 95; Severo-Kavkazskii krai (Rostov-on-the-Don), 1925, No. 4-5, p. 101; Narodnoe khoziaistvo Srednei Azii (Tashkent), 1927, No. 6-7, p. 103; and Iugo-Vostok (Rostov-on-the-Don), 1923, No. 4, p. 42.

25. Trifonov, Klassy, 2:253. See also I. Ia. Trifonov, Likvidatsiia ekspluatatorskikh klassov v SSSR (Moscow, 1975), p. 394; Morozov, Reshaiushchii etap, p. 100; Arkhipov and Morozov, Bor'ba, pp. 229-230; Selunskaia, Izmeneniia sotsial'noi struktury, pp. 123-124, 131; and I. A. Gladkov, ed., Sovetskoe narodnoe khoziaistvo v 1921-1925 gg . (Moscow, 1960), p. 459.

26. For reports from various cities and regions on the success of some state and cooperative stores, see TPG, 1923, No. 156 (July 14), p. 5; 1923, No. 203 (September 9), p. 5; 1924, No. 103 (May 9), p. 4; 1924, No. 131 (June 12), p. 4; 1924, No. 135 (June 18), p. 3; 1924, No. 170 (July 29), p. 4; 1924, No. 176 (August 5), p. 2; 1927, No. 78 (April 7), p. 2; Iugo-Vostok (Rostov-on-the-Don), 1924, No. 5, p. 112; and Khoziaistvo Sev.-Zap. kraia (Leningrad), 1924, No. 7, p. 51.

27. Mao Tse-Tung, Selected Works, 5 vols. (New York, 1954-62), 5:421. The term national bourgeoisie, recalling the party's united-front strategy during its years at Yenan, came to mean in practice those private entrepreneurs not linked to Chiang Kai-shek or foreign companies and those not overtly hostile to the Communists for other reasons. Thus the "national bourgeoisie" included most of China's medium-scale and petty "capitalists."

As early as 1945, Mao wrote in "On Coalition Government": "The task of our New Democratic system is . . . to promote the free development of a private capitalist economy that benefits instead of controlling the people's livelihood, and to protect all honestly acquired private property." Quoted in T. J. Hughes and D. E. T. Luard, The Economic Development of Communist China 1949-1960 (London, 1961), p. 89. In June 1950 Mao told the Party Central Committee: "We should introduce suitable readjustments in industry and commerce and in taxation to improve our relations with the national bourgeoisie rather than aggravate these relations. . . . The national bourgeoisie will eventually cease to exist, but at this stage we should rally them around us and not push them away. We should struggle against them on the one hand and unite with them on the other.'' Mao Tse-tung, Selected Works of Mao Tsetung, 1st ed. (Peking, 1961-), 5:34-35.

28. In the first years after 1949 the Chinese Communist party not only left most private entrepreneurs unmolested but even encouraged them to expand their businesses. As a result, the private sector played a major role in the Chinese economy. In 1950, for example, private merchants conducted 85 percent of China's retail trade and three quarters of its wholesale trade. During this year private factories accounted for well over a third of total industrial output, excluding handicrafts. If artisan production were included in the calculations, the private share of industrial output would be considerably higher, since virtually all handicraftsmen remained outside cooperatives until the middle of the decade. Jan S. Prybyla, The Chinese Economy: Problems and Policies (Columbia, S.C., 1978), p. 168; Alexander Eckstein, China's Economic Revolution (Cambridge, 1977), pp. 74, 76; and Maurice Meisner, Mao's China: A History of the People's Republic (New York, 1977), pp. 92-93.

Just as in the Soviet Union during NEP, the Chinese Communists labeled their mixed economy "state capitalism," a system in which the state hoped to channel and limit private initiative. For roughly two years the state relied mainly on wage and price ceilings and its role as supplier of raw materials and purchaser of finished products to control the activities of private entrepreneurs. Then, unexpectedly, at the end of 1951 the party launched the "Five Antis" campaign against bribery, tax evasion, theft of state property, fraud, and theft of state economic secrets. This movement (which reached peak intensity in mid-1952) was directed mainly at the "bourgeoisie" and resulted in the investigation of over 450,000 enterprises by early 1953. Employees were called on to denounce employers for the abuses listed above, and mass meetings around the country pilloried the "capitalist" class. Although some businesses were nationalized outright and their owners imprisoned (reports of suicides also reached the West), most of the pressure on the private sector took the form of aggressive tax collecting, heavy fines, and similar financial measures. This pressure forced many private enterprises to reorganize as ''joint state-private" undertakings, putting them under de facto state control. Prybyla, Chinese Economy, p. 80; Hughes and Luard, Economic Development, pp. 90-91; and Meisner, Mao's China, p. 96.

By the summer of 1956 virtually all private businesses of any consequence had been reconstituted as "joint state-private" operations, and shortly thereafter most artisans and petty traders were drawn "voluntarily" into cooperatives. Hughes and Luard, Economic Development, pp. 95, 97-98; Meisner, Mao's China, p. 94; and William G. Rosenberg and Marilyn B. Young, Transforming Russia and China: Revolutionary Struggle in the Twentieth Century (New York-Oxford, 1982), p. 233. In 1952-53 former owners (who often stayed on as managers) of the newly transformed "state-private" firms received one quarter of the enterprises' profits. After 1956 this method of compensation was replaced by a fixed annual dividend of 5 percent (later reduced to 3.5 percent) on what the government calculated the former owner's capital investment to have been. These payments, though permitting a comparatively comfortable standard of living in the cities, would not be continued for one's heirs and, in any case, were discontinued during the Cultural Revolution in the latter part of the 1960s. Hughes and Luard, Economic Development, pp. 94-95; Eckstein, China's Economic Revolution, p. 76; Meisner, Mao's China, pp. 93-94; and Prybyla, Chinese Economy, p. 81.

29. New York Times, September 15, 1984; August 4, 1985.

30. New Republic, October 21, 1981, p. 14. Of course there are still "second economies," including black markets, in the Eastern European countries (not to mention the West). New York Times, November 2, 1979.

31. New York Times, November 2, 1979. "Some old-line Hungarian communists worry that the economic reforms have created a new bourgeoisie." But the concerns of such party members are not determining Hungarian domestic policy at present. Newsweek, November 9, 1981, p. 55.

32. Morozov, Reshaiushchii etap, p. 81.

33. Moscow News, 1989, No. 41, p. 7.

34. Ibid., 1989, No. 39, p. 5.

35. Ibid., 1989, No. 33, p. 7.