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Gun Control: Political Fears Trump Crime Control 枪支管制:政治恐惧胜过犯罪控制
Pub Date : 2008-02-20 DOI: 10.2139/SSRN.1083528
Clayton E. Cramer, J. Olson
As the debate over the 1976 District of Columbia gun ban demonstrates, "gun control" often covers for a hidden agenda. British Cabinet papers declassified in 1969-70 demonstrate that contrary to claims made in Parliamentary debates, the intent of the Firearms Act 1920 was not to reduce or prevent crime, but to prevent a feared Bolshevik revolution in Britain. Direct statements by members of the Cabinet demonstrate an intent to mislead the public about their objectives.
正如1976年哥伦比亚特区枪支禁令的辩论所表明的那样,“枪支管制”往往掩盖着一个隐藏的议程。1969年至1970年解密的英国内阁文件表明,与议会辩论中的说法相反,1920年《枪支法案》的目的不是减少或防止犯罪,而是防止英国发生令人担忧的布尔什维克革命。内阁成员的直接声明表明,他们有意误导公众对其目标的认识。
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引用次数: 0
Congress, Treasury, and the Accountability of Exchange Rate Policy: How the 1988 Trade Act Should Be Reformed 国会、财政部和汇率政策的责任:1988年的贸易法案应该如何改革
Pub Date : 2007-09-01 DOI: 10.2139/SSRN.1012640
C. Henning
The controversy within the United States over Chinese exchange rate policy has generated a series of legislative proposals to restrict the discretion of the Treasury Department in determining currency manipulation and to reform the department's accountability to Congress. This paper reviews Treasury's reports to Congress on exchange rate policy—introduced by the 1988 Trade Act—and Congress's treatment of them. It finds that the accountability process has often not worked well in practice: The reports provide only a partial basis for effective congressional oversight. For its part, Congress held hearings on less than half of the reports and overlooked some important substantive issues. Several recommendations can improve guidance to the Treasury, standards for assessment, and congressional oversight. These include (1) refining the criteria used to determine currency manipulation and writing them into law, (2) explicitly harnessing US decisions on manipulation to the International Monetary Fund's rules on exchange rates, (3) clarifying the general objectives of US exchange rate policy, (4) reaffirming the mandate to seek international macroeconomic and currency cooperation, (5) requiring Treasury to lead an executivewide policy review, and (6) institutionalizing multicommittee oversight of exchange rate policy by Congress. Legislators should strengthen reporting and oversight of broader exchange rate policy in addition to strengthening the provisions targeting manipulation.
美国国内对中国汇率政策的争议引发了一系列立法提案,以限制财政部在确定汇率操纵方面的自由裁量权,并改革财政部对国会的问责制。本文回顾了财政部向国会提交的关于1988年《贸易法》引入的汇率政策的报告,以及国会对这些报告的处理。报告发现,问责程序在实践中往往效果不佳:报告仅为有效的国会监督提供了部分依据。国会就不到一半的报告举行了听证会,并忽视了一些重要的实质性问题。一些建议可以改善对财政部的指导、评估标准和国会监督。这些措施包括:(1)完善用于确定货币操纵的标准并将其写入法律;(2)明确利用美国关于操纵的决定来操纵国际货币基金组织的汇率规则;(3)澄清美国汇率政策的总体目标;(4)重申寻求国际宏观经济和货币合作的授权;(5)要求财政部领导一次行政范围的政策审查;(6)使国会对汇率政策的多委员会监督制度化。除了加强针对汇率操纵的条款外,立法者还应加强对更广泛汇率政策的报告和监督。
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引用次数: 9
Providing Financial Services 'Efficiently, Honestly and Fairly' “高效、诚实、公平”地提供金融服务
Pub Date : 2006-09-01 DOI: 10.2139/SSRN.1326181
P. Latimer
Australia's national securities commission - the Australian Securities and Investments Commission (ASIC) - sees the stockbroker's or investment adviser's obligation to act efficiently, honestly and fairly in s 912A(1)(a) of Australia's Corporations Act as both a stand-alone obligation that a broker or adviser (an Australian Financial Services (AFS) licensee) must satisfy, and an obligation that encompasses other obligations under their AFS license. A licensee may be in breach of its statutory obligation to provide services efficiently, honestly and fairly even if it is complying with all of its other specified obligations. This general obligation includes personal competencies, and imposes continuing obligations on the licensee and its representatives when providing financial services from the beginning of the relationship to its end. Included in the licensee's obligations are its duties as an employer to its employees, even if intermingled with other obligations regarding financial services. The obligation of acting efficiently, honestly and fairly parallels legal action under other sections in the Corporations Act. The importance of the test is that it triggers ASIC's administrative procedure of suspending, canceling or banning an offender for breach of the obligation to act efficiently, honesty and fairly. This can present potential problems because it allows ASIC to bypass specific provisions in the Corporations Act, avoid the decision whether to pursue civil or criminal proceedings, avoid briefing prosecutors and allows it to deal with the matter by means of the administrative process of suspending, canceling or banning a licensee for breach of the obligation to act efficiently, honestly and fairly. Even criminal activity such as false transfers, false entries, illegal trading and manipulation - which ASIC may classify as gross misconduct - can be dealt with administratively for failure to provide financial services efficiently, honestly and fairly. The test of whether financial services are provided efficiently, honestly and fairly is written in plain English. It is not encumbered with existing interpretations and its scope is not fixed, so it cannot become obsolete, and like the evolution of Trade Practices Act 1974 (Cth) s 52, the expected standard of the financial services licensee of efficiency, honesty and fairness will continue to evolve to meet new situations in the marketplace for financial services.
澳大利亚国家证券委员会-澳大利亚证券和投资委员会(ASIC) -认为股票经纪人或投资顾问在澳大利亚公司法第912A(1)(a)条中高效,诚实和公平行事的义务既是经纪人或顾问(澳大利亚金融服务(AFS)持牌人)必须履行的独立义务,也是包含其AFS许可证下其他义务的义务。持牌人即使遵守了所有其他指明的义务,也可能违反了有效、诚实和公平地提供服务的法定义务。这一一般义务包括个人能力,并对持牌人及其代表施加了从关系开始至结束期间提供金融服务的持续义务。被许可人的义务包括其作为雇主对其雇员的义务,即使与有关金融服务的其他义务混合在一起。有效、诚实和公平行事的义务与《公司法》其他章节规定的法律行动相同。该测试的重要性在于,它触发了ASIC的行政程序,暂停、取消或禁止违反有效、诚实和公平行事义务的违法者。这可能会带来潜在的问题,因为它允许ASIC绕过公司法的具体规定,避免决定是否进行民事或刑事诉讼,避免向检察官通报情况,并允许它通过暂停、取消或禁止违反有效、诚实和公平行动义务的被许可人的行政程序来处理此事。即使是虚假转账、虚假录入、非法交易和操纵等犯罪活动(ASIC可能将其归类为严重不当行为),也可以因未能有效、诚实和公平地提供金融服务而受到行政处理。检验金融服务提供是否有效、诚实和公平的标准是用通俗易懂的英语写的。它不受现有解释的阻碍,其范围也不是固定的,因此它不会过时,就像1974年《贸易惯例法》(Cth)第52条的演变一样,金融服务持牌人对效率、诚实和公平的预期标准将继续发展,以适应金融服务市场的新情况。
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引用次数: 3
Do Campaign Contributions and Lobbying Corrupt? Evidence from Public Finance 竞选捐款和游说腐败吗?来自公共财政的证据
Pub Date : 2006-08-01 DOI: 10.2139/ssrn.1003890
Gajan Retnasaba
Private interests expend great amounts of resources attempting to influence government decisions using tools such as campaign contributions and lobbying. Yet, little is known about whether they use means fair or foul to achieve their goals. A better understanding of how private interests influence government, specifically whether they use corruption, is vital for informing debate on how such activities should be regulated. This paper presents two empirical attempts to measure the presence of corruption in state public finance. In the first it investigates whether campaign contributions caused corruption in the public finance industry of the early 1990s using an event study methodology. In the second it investigates the current controversy surrounding the use of lobbyists in public finance and whether their use is linked to corruption using a methodology that exploits state heterogeneity in the supply of corrupt decision makers. In both cases it finds strong evidence of corruption.
私人利益集团花费大量资源,试图利用竞选捐款和游说等工具影响政府决策。然而,他们是否使用了正当或不正当的手段来达到他们的目的却鲜为人知。更好地了解私人利益如何影响政府,特别是他们是否利用腐败,对于就如何监管此类活动进行辩论至关重要。本文提出了两个实证尝试来衡量国家公共财政中腐败的存在。在第一部分中,它使用事件研究方法调查了20世纪90年代初的竞选捐款是否导致了公共财政行业的腐败。在第二部分中,它调查了目前围绕在公共财政中使用游说者的争议,以及他们的使用是否与腐败有关,使用的方法是利用腐败决策者供应中的国家异质性。在这两个案例中,它都找到了腐败的有力证据。
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引用次数: 3
Butterflies, Cave Spiders, Milk-Vetch, Bunchgrass, Sedges, Lilies, Checker-Mallows and Why the Prohibition Against Judicial Balancing of Harm Under the Endangered Species Act is a Good Idea 蝴蝶,洞穴蜘蛛,野豌豆,束草,莎草,百合花,西洋花,以及为什么根据濒危物种法案禁止司法平衡伤害是一个好主意
Pub Date : 1997-12-10 DOI: 10.2139/SSRN.2536565
Federico Cheever
Since 1978, at least, it has been the received wisdom that the Endangered Species Act of 1973' prohibits courts from balancing the value of protected species against the value of the economic activities their protection might displace. In this article, I argue that the orthodoxy makes sense. The Endangered Species Act, as currently administered, cannot tolerate judicial balancing of species harm and economic dislocation while still honoring the purpose of the statute - the preservation and recovery of protected species and the ecosystems on which they depend. The inadvisability of a balancing approach to species preservation under the Act is not the function of a value judgment exalting animals over humans. Rather, it is the direct result of the administrative and judicial application of the Act's listing process. The agencies charged with making the administrative determinations as to what constitutes an endangered species have interpreted the statutory definition to cover only species dramatically reduced in distribution and numbers and, generally, subject to multiple threats. It is a bad idea to balance the value of most endangered species against the economic cost of their protection because their circumstances are so precarious. Once a species is perched on the brink of extinction, compromise becomes unacceptably dangerous; what may look like "reasonable" accommodation may lead to annihilation. If we really intend to protect species from extinction, the allowable minimum level of regulatory prohibition and active management is that level necessary to insure a good chance of species survival in the long term (however defined). Because we only list species in dire need of protection and assistance, this "minimum level of protection" generally requires, at least, the level of regulatory prohibition the Endangered Species Act provides.
至少自1978年以来,人们普遍认为1973年的《濒危物种法》禁止法院权衡受保护物种的价值和它们的保护可能取代的经济活动的价值。在本文中,我认为正统观点是有道理的。目前执行的《濒危物种法》不能容忍物种损害和经济混乱之间的司法平衡,同时仍然尊重法规的目的- -保护和恢复受保护物种及其所依赖的生态系统。在该法案下采取平衡方法来保护物种是不可取的,这并不是价值判断将动物置于人类之上的功能。相反,它是《法案》列明程序的行政和司法适用的直接结果。负责对什么是濒危物种作出行政决定的机构将法定定义解释为只包括分布和数量急剧减少并且通常受到多重威胁的物种。平衡大多数濒危物种的价值和保护它们的经济成本是一个坏主意,因为它们的环境是如此不稳定。一旦一个物种濒临灭绝,妥协就变得危险得令人无法接受;看似“合理”的迁就可能导致毁灭。如果我们真的打算保护物种免于灭绝,允许的最低水平的监管禁令和积极管理是确保物种长期生存的良好机会所必需的水平(无论如何定义)。因为我们只列出了迫切需要保护和援助的物种,所以这种“最低保护水平”通常至少需要《濒危物种法》规定的监管禁止水平。
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引用次数: 2
Legal Realism and the Canons’ Revival 法律现实主义与教规的复兴
Pub Date : 1900-01-01 DOI: 10.2139/ssrn.2852116
J. Manning
In the middle of the twentieth century, legal realist Karl Llewellyn largely persuaded the legal community that the canons of construction are indeterminate, and judges use them to justify reasoning by other means. Toward the end of the twentieth century, however, the canons enjoyed a strong revival, both with the federal judiciary and across a surprisingly broad range of legal academies. This essay offers a hypothesis about the canons’ revival. Llewellyn is justly regarded as a lion of the realist movement, and his critique of the canons is one of the most influential realist works of the last century. But the early success of his critique may, in fact, relate to the declining post-World War II fortunes of legal realism in statutory interpretation theory. In the same period in which he made his critique of the canons, most judges and legal scholars came to the view judges could meaningfully resolve textual ambiguity by consulting the legislature's intent or purpose, to be derived in no small part from legislative history. Conversely, the impact of Llewellyn’s critique of the canons impact began to wane in the 1980s, when influential textualist and pragmatist scholars revived (for quite different reasons) broader realist claims about the inaccessibility and unreliability of legislative intent or purpose as organizing principles in statutory construction. In economists' terms, canons of construction and intent or purpose may be substitutes, rather than complements, in determining statutory meaning. On that view, the canons' revival may simply be the flip side of the growing perception that the early realists were correct in arguing that it is hard to get inside “Congress's mind.” The essay elaborates on this point and then briefly suggests preliminary implications of this conclusion.
20世纪中叶,法律现实主义者卡尔·卢埃林(Karl Llewellyn)在很大程度上说服了法律界,认为建构的规范是不确定的,法官用它们来为其他方式的推理辩护。然而,到了20世纪末,这些信条在联邦司法部门和令人惊讶的广泛的法律学院中都得到了强有力的复兴。本文对经典的复兴提出了一个假设。卢埃林被认为是现实主义运动的雄狮,他对经典的批判是上个世纪最有影响力的现实主义作品之一。但事实上,他的批判的早期成功可能与二战后法律现实主义在法律解释理论中的衰落有关。在他对法典进行批判的同一时期,大多数法官和法律学者认为,法官可以通过咨询立法机关的意图或目的来有意义地解决文本歧义,这在很大程度上源于立法史。相反,卢埃林对教规影响的批判的影响在20世纪80年代开始减弱,当时有影响力的文本主义者和实用主义者学者(出于完全不同的原因)重新提出了更广泛的现实主义主张,即立法意图或目的作为法律构建中的组织原则的不可接近性和不可靠性。用经济学家的话来说,在确定法律意义时,结构规范和意图或目的可能是替代的,而不是补充的。从这个角度来看,经典的复兴可能只是人们日益认识到的另一面,即早期现实主义者的观点是正确的,他们认为很难进入“国会的思想”。本文对这一点进行了阐述,然后简要地提出了这一结论的初步含义。
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引用次数: 2
The Rise and Permanence of Quasi-Legislative Independent Commissions 准立法独立委员会的兴起和持久
Pub Date : 1900-01-01 DOI: 10.2139/SSRN.1942573
S. Ross, Raphael Prober, G. Gillett
This article explores Congress’s recent trend of creating quasi-legislative independent commissions to augment its own investigations, and determines what factors may enhance the chance that a commission will prove successful. Although Congress has never been the lone forum for investigations, since 2001 the legislature has been empanelling entities of outside experts to investigate the most significant economic and national security issues. This Article begins with a history of governmental investigations in America, highlighting activity by Congress, independent agencies, and presidential commissions. Next, it describes the modern political, communications, and scheduling strains on Congress that have created an opportunity for new types of investigations, and offers case studies of three quasi-legislative independent commissions – the Commission on Terrorist Attacks Upon the United States, the Commission on Wartime Contracting in Iraq and Afghanistan, and the Financial Crisis Inquiry Commission. Then, this Article scrutinizes these case studies and concludes that a quasi-legislative independent commission is most likely to be successful where it has a limited scope and investigative flexibility, features members seen as free from political pressures, uses discretion in compelling information, and ties its mission to larger legislative reform. Finally, this Article concludes by offering advice to practitioners on how to best represent clients before quasi-legislative independent commissions.
本文探讨了国会最近建立准立法独立委员会以扩大其自身调查的趋势,并确定了哪些因素可能会增加委员会成功的机会。尽管国会从来不是进行调查的唯一机构,但自2001年以来,国会一直在聘用外部专家组成的实体来调查最重大的经济和国家安全问题。本文从美国政府调查的历史开始,重点介绍了国会、独立机构和总统委员会的调查活动。接下来,它描述了现代政治、沟通和日程安排对国会的压力,这些压力为新型调查创造了机会,并提供了三个准立法独立委员会的案例研究——美国恐怖袭击委员会、伊拉克和阿富汗战时合同委员会和金融危机调查委员会。然后,本文仔细研究了这些案例研究,并得出结论,准立法独立委员会最有可能取得成功的地方是,它的范围有限,调查灵活性强,其成员被视为不受政治压力的影响,在令人信服的信息中使用自由裁量权,并将其使命与更大的立法改革联系起来。最后,本文就如何在准立法独立委员会面前最好地代表客户提供建议。
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引用次数: 0
Getting Paid in the Naked Economy 在赤裸裸的经济中获得报酬
Pub Date : 1900-01-01 DOI: 10.2139/SSRN.2495087
Meredith R. Miller
“It’s the end of work as we know it,” reports consulting firm Accenture in a paper about the “rise of the extended workforce.” (Gartside, Silverstone, Farley & Cantrell, Trends Reshaping the Future of HR: The Rise of the Extended Workforce, at 3 (Accenture 2013). The report predicts that, “[i]n the future, organizations’ competitive success will hinge on...workers who aren’t employees at all.” The legal nature of employment is changing and has been changing for quite some time; fewer and fewer workers are “employees.” It is not new or novel to recognize that, from a legal perspective, there are many benefits to employers who hire independent contractors rather than employees. There have long existed incentives for employers to characterize workers as independent. What is shifting, however, is the workers’ narrative about independence. At least for creative and highly skilled workers, the changing narrative is one of free agency: ditch the man and chart your own course, which writers and entrepreneurs Ryan Coonerty and Jeremy Neuner have dubbed the “naked economy.” (Coonerty & JNeuner, The Rise of the Naked Economy: How to Benefit from the Changing Workplace (Palgrave MacMillan 2013)).Why is this economy “naked”? While acknowledging vulnerability, the reference to nudity appears to emphasize freedom: “stripping work bare” to reinvent it with the essentials required for productivity and satisfaction. This frame of mind places high value on control and flexibility. It eschews the rigid 9-5 workday, with its commute and face time. It emphasizes work-life balance, changes in technology that allow for flexibility and the dream of charting one’s own destiny. All of these factors are coalescing to push people (at least, creative and highly skilled people) to choose independence.Independent work, however, has its drawbacks. One of the significant problems in the independent workforce is nonpayment of invoices. 40% of respondents to a Freelancers Union survey reported trouble collecting unpaid fees from clients. (Freelancers Union, Independent, Innovative, and Unprotected: How the Old Safety Net Is Failing America’s New Workforce (2010). Of those respondents, 83% reported getting paid late; 33% reported never getting paid; and 28% reported getting paid less than billed.This short paper addresses independent workers’ very specific and all-too-common difficulties in getting paid. It is written for a mixed audience; it is intended to be both practical and accessible. There is hope that it will further the academic conversation, but it is also written for attorneys, policymakers and independent workers. Part I defines the naked economy and tracks the rise in independent work. Part II discusses the problem of nonpayment. Parts III, IV and V, respectively, provide an overview of the contractual tools, legislative reforms and market responses that are evolving to minimize the risk of nonpayment. The paper concludes that technology and private enterprise are evolv
咨询公司埃森哲(Accenture)在一篇关于“扩展劳动力的崛起”的论文中写道:“这是我们所知道的工作的终结。”(Gartside, Silverstone, Farley & Cantrell,《重塑人力资源未来的趋势:扩展劳动力的崛起》,埃森哲2013年第3期)。该报告预测,“在未来,组织的竞争成功将取决于……那些根本就不是员工的工人。”就业的法律性质正在变化,而且已经变化了相当长一段时间;越来越少的工人是“雇员”。从法律的角度来看,雇佣独立承包商而不是雇员的雇主有很多好处,这一点并不新鲜或新奇。长期以来,雇主一直有动机将员工描述为独立的。然而,正在发生变化的是工人们对独立的看法。至少对于有创造力和高技能的工人来说,不断变化的叙事是一种自由代理:抛弃男人,规划自己的路线,作家和企业家瑞安·库纳蒂(Ryan Coonerty)和杰里米·纽纳(Jeremy Neuner)将这种情况称为“裸经济”。(Coonerty & JNeuner,《裸经济的崛起:如何从不断变化的工作场所中受益》(Palgrave MacMillan 2013))。为什么这个经济是“赤裸裸的”?在承认脆弱性的同时,对裸体的提及似乎强调了自由:“把工作剥光”,用生产力和满足感所需的必需品来重塑它。这种心态高度重视控制和灵活性。它避开了严格的朝九晚五的工作日,通勤和面对面的时间。它强调工作与生活的平衡、允许灵活性的技术变革以及规划自己命运的梦想。所有这些因素结合在一起,促使人们(至少是有创造力和高技能的人)选择独立。然而,独立工作也有其缺点。独立劳动力的一个重要问题是不支付发票。在自由职业者联盟的一项调查中,40%的受访者表示在向客户收取未付费用方面遇到了麻烦。自由职业者联盟,独立,创新,无保护:旧的安全网是如何辜负美国的新劳动力(2010)。在这些受访者中,有83%的人表示拖欠工资;33%的人表示从未拿到工资;28%的人表示他们的收入低于账单。这篇短文讨论了独立工人在获得报酬方面非常具体和非常普遍的困难。它是为各种各样的观众写的;它的目的是既实用又方便。这本书有望推动学术对话,但它也是写给律师、政策制定者和独立工作者的。第一部分定义了裸经济,并追踪了独立工作的增长。第二部分讨论了拒付问题。第三、第四和第五部分分别概述了为尽量减少不付款风险而正在形成的合同工具、立法改革和市场反应。本文的结论是,技术和私营企业正在不断发展,以迎接独立劳动力的挑战;然而,还必须建立合同规范和法律结构,以解决自由代理的脆弱性。
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引用次数: 3
Restraining the Hand of Law: A Conceptual Framework to Shrink the Size of Law 约束法律之手:缩小法律规模的概念框架
Pub Date : 1900-01-01 DOI: 10.2139/ssrn.2499286
Bryan H. Druzin
There is a fierce ideological struggle between two warring camps: those who rally against expansive government and those who support it. Clearly, the correct balance must be struck between the extremes of legislative over-invasiveness and the frightening total absence of legal structure. This paper articulates a framework that allows for legislative parsimony — a way to scale back state law in a way that avoids lurching to unnecessary extremes. I assume the libertarian premise that law should strive to encroach as minimally as possible upon social order, yet I argue that we must do this in a highly selective fashion, employing a range of legislative techniques. I call this approach legislative minimalism. The strength of legislative minimalism is its pragmatic flexibility: different situations will allow for different degrees of minimalism. The paper creates a taxonomy of legislative strategies, outlining five distinct strategies. This taxonomy provides a conceptual foundation to help guide policymakers faced with the question of how best to legislate — or more accurately, how much to legislate.
两个敌对阵营之间存在着激烈的意识形态斗争:反对扩张政府的阵营和支持扩张政府的阵营。显然,必须在立法过度侵入和法律结构完全缺失这两个极端之间取得正确的平衡。本文阐明了一个允许立法节俭的框架——一种以避免陷入不必要的极端的方式缩减州法律的方法。我假设自由意志主义的前提是,法律应该努力尽可能少地侵犯社会秩序,但我认为,我们必须以高度选择性的方式,采用一系列立法技巧来做到这一点。我把这种方法称为立法极简主义。立法极简主义的优势在于它的实用灵活性:不同的情况将允许不同程度的极简主义。本文创建了立法策略的分类,概述了五种不同的策略。这种分类法提供了一个概念基础,帮助指导决策者面对如何最好地立法的问题,或者更准确地说,应该立法多少。
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引用次数: 0
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