2011年11月份证券业从业资格考试《证券投资分析》真题

1、摘要作为人类智慧和创造力的结晶，幽默广泛地存在于人类社会的各个层面，在我们的日常生活中起着不可或缺的作用。对幽默的研究可以追溯到柏拉图和亚里士多德的年代。幽默，作为一种独具学术价值的交际方式，长久以来一直受到来自不同学科领域学者的广泛关注。近年来，更多的研究者开始了他们从语用学角度对幽默现象进行的探索，即研究在具体的语境下幽默的动态交际过程。顺应这一趋势，本文在顺应-关联模式这一理论框架下，对美国经典情景喜剧老友记中言语幽默的生成和理解机制进行分析研究，同时对这一模式的解释力和描写力进行进一步的验证。情景喜剧发源于美国，作为一种广受观众欢迎的喜剧表现形式，在很大程度上依赖于言语幽默作为其营造喜

2、剧效果的手段。众多经典作品的出现，也使美国情景喜剧成为了情景喜剧的代名词。在众多剧集中，老友记堪称在世界范围内最具影响力的美国情景喜剧的经典代表作,其中随处可见的诙谐幽默的对白也使它成为本文语料来源的首选。通过比较可以发现，关联理论和顺应理论具有各自的优缺点，并且在许多方面存在着极大的互补性。由此，本文提出融合两者成为统一整体的必要性和可能性，从而引入一个能够为言语交际行为提供系统而合理描述的理论框架,即顺应-关联模式。这一模式的主要观点有：第一，话语交际是一个以关联性为前提的过程。第二，交际者的关联假设决定其对于特定语言的选择。第三，顺应关联是语境成分和语言结构相互顺应的动态过程。第四，顺应

3、关联也是一个策略选择的过程。通过对选自老友记的幽默语料从以上四个方面进行分析，本文对美国情景喜剧中言语幽默的产生和理解过程进行了阐述，最终得出幽默交际是一个顺应关联过程的结论，即交际者顺应语境因素为实现最佳关联而不断做出语言选择的过程。顺应-关联模式吸收了关联理论和顺应理论的精髓并将之融为有机的整体，从而具有强大的描述力和解释力。这一模式涵盖了话语交际的生成和理解过程，为幽默研究提供了崭新的视角。本文从顺因关联这一前人较少涉及的角度对幽默行为进行分析，在某种程度上促进III了幽默研究的发展。目前，对顺应-关联模式这一极具潜力的理论框架的研究仍处在初级阶段。这一模式需要进一步的修正和完善，其合理

4、性和有效性也亟待从更多的应用中得到验证。本文通过将之尝试性地运用于美国情景喜剧中言语幽默的研究，丰富了现有的顺应-关联模式的相关研究， 并且再次证明了它对于不同语言现象的广泛适用性。关键词：顺应-关联模式，言语幽默，语境关系，相互顺应，老友记IVABSTRACTAs a reflection of human wisdom and creativity, humor pervades nearly every aspect ofhuman society, playing indispensable roles in our daily lives. Researches on humor c

5、an betraced back to the times of Plato and Aristotle. All through the years, it has always been a hotissue attracting scholars from various disciplines. Recently, more researchers have shiftedtheir attention to the pragmatic study of humor, namely to analyze this phenomenon in itsdynamic use under c

6、oncrete contexts.Following this direction, the current research is conducted to analyze the production andinterpretation mechanisms of verbal humor in the American sitcom Friends in the light ofAdaptation-Relevance Model as well as to find out whether the suggested model holds thesame adequate expla

7、natory and descriptive power as it does over other genres of linguisticphenomena. American sitcom, as a special type of comedy performance, largely counts onverbal humor to create the general effect of the play. Among others, Friends might be one ofthe most successful and well-known drama series all

8、 over the world. The humorous and wittydialogues which can be easily found all through the play make it an ideal source of data forthis research.Relevance Theory and Adaptation Theory, each possessing theoretical advantages anddemerits of their own, are complementary to each other in many aspects. B

9、ased on the twotheories, Adaptation-Relevance Model is proposed with the aim of constructing a unifiedmodel for the more comprehensive and rational account of any communicative event.Claims of the model can be reduced to the following dimensions along which analysis isconducted:First, communication

10、is a relevance-oriented process.ISecond, it is the presumption of relevance that determines the communicators choices ofparticular expressions.Third, adaptation-relevance in this model is a dynamic process of inter-adaptationbetween contextual correlates and linguistic choices.Fourth, the process of

11、 adaptation-relevance also entails strategy choosing.Based on the analysis of the selected data under the framework of Adaptation-RelevanceModel, conclusions can thus be drawn that the use of verbal humor is a process ofadaptation-relevance during which communicators linguistic and contextual choice

12、sconstantly inter-adapt with each other, with the ultimate goal of seeking for relevance. Byabsorbing the essence of Relevance Theory and Adaptation Theory, Adaptation-RelevanceModel acquires much more forceful descriptive and explanatory power. It offers a fairly newperspective for the analysis of

13、humor, covering both the production and interpretationprocesses of humorous communication.To some extent, this thesis promotes the systematic study on humor as a linguisticbehavior from an angle few has ever touched upon before. As a relatively new framework,Adaptation-Relevance Model deserves more

14、academic attention and is still in desperate needof further verification and revision. This tentative application of the model to the analysis ofverbal humor in American sitcoms enriches the existing studies of Adaptation-RelevanceModel and serves as a further proof of its general feasibility for th

15、e account of differentlinguistic phenomena.KEY WORDS: Adaptation-Relevance Model, verbal humor, contextual correlates,inter-adaptation, FriendsII关于学位论文独创声明和学术诚信承诺本人向河南大学提出硕士学位申请。本人郑重声明：所呈交的学位论文是本人在导师的指导下独立完成的，对所研究的课题有新的见解。据我所知，除文中特别加以说明、标注和致谢的地方外，论文中不包括其他人已经发表或撰写过的研究成果，也不包括其他人为获得任何教育、科研机构的学位或证书而使用过的

16、材料。与我一同工作的同事对本研究所做的任何贡献均已在论文中作了明确的说明并表示了谢意。在此本人郑重承诺：所呈交的学位论文不存在舞弊作伪行为，文责自负。学位申请人（学位论文作者）签名：201年月日关于学位论文著作权使用授权书本人经河南大学审核批准授予硕士学位。作为学位论文的作者，本人完全了解并同意河南大学有关保留、使用学位论文的要求，即河南大学有权向国家图书馆、科研信息机构、数据收集机构和本校图书馆等提供学位论文（纸质文本和电子文本）以供公众检索、查阅。本人授权河南大学出于宣扬、展览学校学术发展和进行学术交流等目的，可以采取影印、缩印、扫描和拷贝等复制手段保存、汇编学位论文（纸质文本和电子文本）

17、。（涉及保密内容的学位论文在解密后适用本授权书）学位获得者（学位论文作者）签名：201年月日学位论文指导教师签名：201年月日Chapter OneChapter OneIntroductionIntroduction1.1 Rationale of the StudyAs one of the most intriguing phenomena peculiar to human beings, humor has pervadednearly every aspect of human society and become an indispensable component for ou

18、r dailylives. It serves as the tool to make people laugh and keep in a good mood, to relieve severetension or pressure brought about by the quick pace of modern life, to facilitate interpersonalrelationships and even encourage people to take an optimistic view toward life. Lin Yutang(1996) once wrot

19、e that humor is one part of life, a state of mind or rather an outlook on life. Itis with humor that people can live together in a harmonious and friendly way.The significance of humor has been arousing the interest of many scholars all around theworld at all times. Researches on humor can be traced

20、 back to more than two thousand yearsago. All over the years, scholars from different disciplines, by applying the principles andmethodologies they have learned or felt interested in their own fields, have contributedabundant resources of literature to the study of humor. Recently, along with the de

21、velopmentof linguistics, humor has been of great concern to linguists. This is a very natural trend, forany joke (including other humorous genres), by its very nature of verbalization, necessarilyplays upon language. (Chiaro, 1992:15)As Apte (1985:178-179) once wrote, humor and language are interdep

22、endent in twoways. Firstly, language itself can be the reliable source of humor. Its constituent elements likephonology, morphology, syntax and semantics as well as their interrelationships may well beemployed in creating humor. Secondly, the development and appreciation of humor depends,to a great

23、extent, on the varied uses and functions of language in society and on the different1An Adaptation-Relevance Approach to Verbal Humor in American Sitcomscultural values or attitudes accompanied with it.In the early linguistic studies, humor seemed to have been approached in abstract termsin terms of

24、 phonology, figure of speech, etc. More recent researches have begun to shift to thepragmatic perspective, to study humor in its dynamic use in different contexts rather than inthe static humorous discourses. The influential Cooperative Principle and other pragmatictheories like Speech Act Theory, P

25、oliteness Principle, etc. were once widely adopted inhumorous studies.All the above efforts, in one way or another, have promoted the linguistic comprehensiontowards humor and inspired the present study; however, none of them has seen an overallpicture of humor in terms of its operating mechanisms y

26、et. The past few decades havewitnessed the considerable development of linguistics in which concepts have undergonerevolution in nearly every field of the discipline. This advancement of linguistics appeals forfresh analysis of humor which takes in the latest achievements.With the claim that utteran

27、ce production and interpretation are the themes of pragmaticresearches (He Ziran & Ran Yongping，2001：31), a pragmatic study on humor needs to coverthe whole communicative process of humor including how it is produced and how it issuccessfully perceived.Therefore, taking into consideration the fruitf

28、ul findings contributed by the previousresearchers, the current study will be conducted to analyze humor in terms of both theproduction and interpretation processes in the light of Adaptation-Relevance Model, which isa recently-proposed framework attempting to integrate the two influential theories

29、Relevance Theory proposed by Sperber &Wilson and Adaptation Theory put forward byVerschueren.This model combines the essence of the two theories into an organic whole and henceestablishes a more systematic framework for the analysis of humor by viewing the production2Chapter OneIntroductionand inter

30、pretation processes with equal status and regarding them as a whole rather thanpaying attention to only one side of the communication, which is a fairly common practice formost recent researches on humor. With the help of Adaptation-Relevance Model, we are ableto present a whole picture of humor in

31、terms of its communicative process which can givesatisfactory answers not only to how it is humorous but also to why it is humorous anddisclose the mechanisms of this phenomenon better.Whats more, this model approaches humor from the linguistic perspective as well as thepsychological and social pers

32、pectives simultaneously; therefore, it follows the nowadaycommonly-accepted recognition that the fundamental questions concerning humor cannot beanswered without a comprehensive interdisciplinary perspective. (Palmer, 1994:3)1.2 Research ObjectivesThough having undergone a long history of research,

33、humor is such a broad concept withamazingly pervasive power that up to now, people still cannot reach general agreement onfundamental questions related to it. Classification of humor has always been one of thesecontroversial issues.Since humor can be found in nearly every aspect of human activities

34、and every existingsemiotic system, it has long been noticed and summarized that the carriers for humor can beverbal, non-verbal or synthetic. Judging from this criterion, according to Nash (1985), humorcan be divided into two different types: verbal humor and non-verbal humor. As the namesuggests, v

35、erbal humor adopts language, both in written and spoken forms, as the carrier orconstructor of itself.Humorous phenomenon in sitcoms is a combination of humor from different kinds ofsources including visual, physical, verbal or situational. Integrative attempts to study humorin sitcoms from all the

36、above aspects are unmanageable and impractical. Since this thesis is3An Adaptation-Relevance Approach to Verbal Humor in American Sitcomswritten as a linguistic study, verbal humor will of course be chosen as the major concern here.To be more specific, this study concentrates on humor verbally expre

37、ssed in the Americansitcom Friends, which is world-famous not only for its amazingly long-lasting popularity overa time-span as long as ten years, but also for its abundant instances of humorousconversations in authentic up-to-date American English. For the sake of convenience, in therest part of th

38、e thesis, humor and verbal humor are used interchangeably unless otherwisespecified.Therefore, the ultimate goal of this study is to explore the production and interpretationmechanisms of verbal humor in American sitcoms under the framework of Adaptation-Relevance Model, taking into account the inte

39、ractions of the linguistic and contextual factorsthroughout the communication process.The objectives also include briefly going over some of the previous theories of humorfrom the angles of linguistics, psychology, sociology, and probing into psychological, socialand linguistic dimensions of verbal

40、humor.The advantage of the present study over the previous ones, as can be observed, resides inthe choice of Adaptation- Relevance Model as the general theoretical guidance for theanalysis of humor due to the fact that it is endowed with much stronger power in terms ofboth description and explanatio

41、n which Relevance Theory and Adaptation Theory are short ofrespectively.However, any new approach, at the initial stage, is in need of verification and revision;Adaptation- Relevance Model is no exception. As a relatively new proposal, the model needsfurther proof for its feasibility. Considering th

42、at, repetitive confirmations may be the bestcounter-attacks to cease all challenges. It is also in the course of seeking for confirmationsthat the model can be revised and developed continuously. As a case study, the currentresearch aims to provide further proof to verify the applicability and plaus

43、ibility of4Chapter OneIntroductionAdaptation- Relevance Model as a promising framework by applying it to sufficient datacollected from the American sitcom Friends.Theoretical analysis is bound to offer guidance to some degree in practice. Byinvestigating the cognitive processes that the communicator

44、s undergo in producing andinterpreting humor, this study wishes to facilitate peoples appreciation of humor. Moreover, itchooses to analyze verbal humor in American sitcoms in the hope of serving as a medium tohelp the Chinese audience to better understand this particular type of artistic form and t

45、oknow more about the western cultures.1.3 Structure of the ThesisThis thesis is composed of five chapters.Chapter one serves as the introduction to the rationale, objectives of the current researchand the structure of this thesis.Chapter two is a literature review which presents an overview of the p

46、revious studies onhumor. It introduces the definitions and nature of humor as well as the major approaches to it.Chapter three lays the theoretical foundation of the thesis. Relevance Theory andAdaptation Theory are discussed one by one in the first place, with the explicit introduction ofthe key no

47、tions and the comment on their respective merits and demerits. Then,Adaptation-Relevance Model is proposed by combining the essence of the two theories,which is thought to be a more powerful model under which the following analysis isconducted.Chapter four is mainly devoted to the application of Ada

48、ptation-Relevance Model to theanalysis of verbal humor in the classical American sitcom Friends. In this part, researchmethodology is discussed first with the introduction of data source, collection and analysis.Next is the detailed analysis of the selected samples in line with the central claims of

49、 the5An Adaptation-Relevance Approach to Verbal Humor in American Sitcomsmodel.The last chapter is the concluding part which summarizes the major findings andlimitations of the current research. Then, some suggestions are proposed for future studies inthis direction.6Chapter TwoAn Overview of Humor

50、and Its ResearchChapter TwoAn Overview of Humor and Its ResearchThis chapter aims to present an overview of humor by exploring the phenomenon ofhumor in general and briefly reviewing the previous studies carried out on the subject.2.1 Definitions of HumorAlthough humor is of such an indispensable at

51、tribute to mans lives and researchestowards such a pervasive phenomenon may have existed as long as the literary history ofhuman, an exact and convincing definition of it which scholars in different fields generallyagree on could hardly be achieved due to the extreme complexity of humor itself. Sinc

52、e adefinition can be seen as the most in-depth exploration into a matter, a survey of some of theattempts at defining humor may be conducive to a deeper insight into the concept.Etymologically, the English word “humor” originated from the Latin word meaning“fluid” or “liquid”. (Attardo, 1994: 6)In t

53、he eyes of the ancient Western physiologists,humor was regarded as one of the four fluids of the human body which together determinedthe physical and mental qualities as well as the dispositions in different persons.As the centuries went by, the term had gradually lost its original sense. Contempora

54、rily,it began to refer to the specific quality or mood to express, understand and enjoy what makespeople laugh. All through the years, the attempt to put forward a generally agreed definitionof humor has never ceased which endows us with abundant literature on it.Humor has been defined in various wa

55、ys from different perspectives. Studies on humorfrom the perspective of cognition try to make clear what makes things funny. Kants definitionfor humor, also the pioneering and most representative one among the cognitive studies, statesthat production of humor is an all action which arises from a str

56、ained expectation being7An Adaptation-Relevance Approach to Verbal Humor in American Sitcomsabruptly reduced to nothing. (Kant, 1911: 199) From this view, humorous effects take placedue to the sharp contrast produced by two contradictory stages. In the first place, thesuperficial and literal meaning

57、 of actions or words is observed; then with the help of a secondthought or specific situations and contexts, an originally hidden and unexpected interpretationis obtained. The initial and the following understandings are incompatible; as a consequence,funny effects take place. This cognitive proposa

58、l for definition of humor will, to some extent,be conducive to the following analysis in this thesis.For Freud (1976), a spokesman for the psychological study on humor, the generation ofhumor is a process of acquiring delight despite the distressing affects interfering with it.Therefore, humor serve

59、s as a medium for the release of depressed tendencies in humanbehavior.From the physiological point of view, humor is taken as a form of communication inwhich a complex mental stimulus predictably elicits a stereotyped response: laughter reflex.Spontaneous laughter involves the contraction of facial

60、 muscles in a coordinated yetstereotyped pattern together with the alternations of breath. (Koestler, 1993: 682)Thismight be the least controversial definition of humor yet.McGhee (1979: 6) maintains that humor is something only in our mind and should not beseen as a characteristic of certain events, or emo