Située à l’articulation de la sociologie de l’économie, de l’histoire de la finance et de la sociologie de la connaissance, cette thèse présente donc une analyse du rôle de la notation du crédit dans la régulation financière, et plus largement, du rôle de l’incertitude et de l’incomplétude juridiques sur les anticipations économiques des acteurs financiers. Le cadre d’analyse de la recherche se résume en quatre points : Premièrement, la thèse rompt avec une lecture strictement intellectualiste de l’action publique et présente une approche de la régulation financière par ses instruments, empruntant ainsi l’approche pragmatiste développée par les social studies of finance et par la nouvelle sociologie économique d’inspiration américaine. Deuxièmement, l’hypothèse centrale de la recherche est que les instruments réglementaires sont à la fois des techniques de connaissance et des outils juridiques. Aussi, ce sont les frictions qu’occasionnent les deux activités parfois contradictoires de calculer et de gouverner qui donnent au changement réglementaire sa dynamique historique. Troisièmement, prenant l’exemple de l’usage de la notation dans la supervision financière comme dispositif de calcul et technique de gouvernement, la thèse propose une histoire de longue durée (1865-2010) de l’activité réglementaire sur les marchés financiers aux Etats-Unis et en Europe au travers de cinq régimes de régulation (régime statutaire, d’appel, disciplinaire, fictionnel et contractuel). Quatrièmement, l’originalité de la recherche est de combiner une approche macroscopique du changement réglementaire avec une approche méticuleuse de plusieurs courtes séquences historiques durant lesquelles d’importantes innovations réglementaires ont vu le jour, notamment le New Deal aux Etats-Unis et la crise de la dette souveraine en Europe. Ainsi, en plus de définir les contours de cinq régimes réglementaires, la thèse analyse la façon dont les régulateurs se sont saisis de la notation financière comme « mécanisme d’embrayage » afin d’opérationnaliser la transition d’un régime à un autre. / Located at the intersection of economic sociology, financial history, and the sociology of knowledge, this dissertation examines the role of credit ratings in financial regulation, and more broadly, the role of financial uncertainties and legal incompleteness on financial actors’ anticipatory decisions. The framework set forth in this study can be summarized as follows. First, this study breaks with an intellectualist approach of public action to analyze financial regulation from the perspective of its instruments. As such, this research draws on a pragmatist agenda developed in social studies of finance and recent work in economic sociology. Second, the main hypothesis of this dissertation is to approach regulatory instruments as technologies of knowing and tools of government. From this double viewpoint, I hypothesize that the frictions generated by the two competing activities of calculating and governing impart the regulatory activity with both its structural features and historical dynamics. Third, using the example of regulatory reliance on ratings, I propose a longue durée historical analysis (1865-2010) of the regulatory activity in the U.S. and Europe through the examination of five regulatory regimes (statutory, appeal, disciplinary, fictional, and contractual). Four, one original feature of this dissertation is to combine a macroscopic analysis of regulatory change with a meticulous approach of several short historical sequences during which important regulatory innovations came into being, notably the New Deal in the U.S. and the European sovereign debt crisis. Thus, in addition to setting the contours of five regulatory frameworks, this dissertation analyses the ways in which regulators used ratings as “clutching” devices to operationalize the legal transition from one regime to another.

Na literatura nacional e internacional sobre a transformação contemporânea das universidades, são muitos os estudos que enfatizam o impacto do conhecimento gerencial sobre a reorganização dos procedimentos de decisão, controle e coordenação do trabalho acadêmico. Partindo dessas análises, a presente pesquisa buscou interrogar o papel do discurso gerencial na redefinição do governo acadêmico das universidades brasileiras enfatizando a sua relação com a estrutura social, que se expressa, no interior da universidade, pela hierarquização política, social e acadêmica das suas diferentes unidades. Para tanto, esta tese baseia-se em um estudo de caso sobre a Universidade de São Paulo uma das maiores, mais importantes e mais antigas universidades de pesquisa do país que sofreu diretamente o impacto dos saberes gerenciais na redefinição das suas estruturas internas de governo a partir dos anos 1960. Em termos gerais, a tese essencial deste trabalho é de que o discurso gerencial conseguiu se impor na USP pela ação do seu polo dominante, formado pelas unidades profissionais tradicionais que conseguiram, justamente pela sua posição na estrutura social, impor sua visão de universidade e de governo acadêmico / Among the national and international literature upon the contemporary transformation of the universities, many studies underline the impact of the management knowledge on the reorganization of the procedures related to the decision, accountability and coordination of the academic work. Departing from these analysis, the present research intend to interrogate the role of the management discourse in the redefinition of the academic government of Brazilian university, emphasizing the relation with its social structure, expressed through the political, social and academic hierarchisation of university faculties. In that sense, this thesis is based on a case study about the São Paulo University one of the biggest, oldest, and most important research university of Brazil that suffered directly the impact of the management knowledge in the redefinition of its intern structure of government from the 1960 onwards. In general terms, the essential argument of this work is that the management discourse could impose itself in the São Paulo University through the action of the dominant pole, composed by the traditional-professional faculties that, due to its position in the social structure, achieved to impose its conception of university and academic government

Na literatura nacional e internacional sobre a transformação contemporânea das universidades, são muitos os estudos que enfatizam o impacto do conhecimento gerencial sobre a reorganização dos procedimentos de decisão, controle e coordenação do trabalho acadêmico. Partindo dessas análises, a presente pesquisa buscou interrogar o papel do discurso gerencial na redefinição do governo acadêmico das universidades brasileiras enfatizando a sua relação com a estrutura social, que se expressa, no interior da universidade, pela hierarquização política, social e acadêmica das suas diferentes unidades. Para tanto, esta tese baseia-se em um estudo de caso sobre a Universidade de São Paulo uma das maiores, mais importantes e mais antigas universidades de pesquisa do país que sofreu diretamente o impacto dos saberes gerenciais na redefinição das suas estruturas internas de governo a partir dos anos 1960. Em termos gerais, a tese essencial deste trabalho é de que o discurso gerencial conseguiu se impor na USP pela ação do seu polo dominante, formado pelas unidades profissionais tradicionais que conseguiram, justamente pela sua posição na estrutura social, impor sua visão de universidade e de governo acadêmico / Among the national and international literature upon the contemporary transformation of the universities, many studies underline the impact of the management knowledge on the reorganization of the procedures related to the decision, accountability and coordination of the academic work. Departing from these analysis, the present research intend to interrogate the role of the management discourse in the redefinition of the academic government of Brazilian university, emphasizing the relation with its social structure, expressed through the political, social and academic hierarchisation of university faculties. In that sense, this thesis is based on a case study about the São Paulo University one of the biggest, oldest, and most important research university of Brazil that suffered directly the impact of the management knowledge in the redefinition of its intern structure of government from the 1960 onwards. In general terms, the essential argument of this work is that the management discourse could impose itself in the São Paulo University through the action of the dominant pole, composed by the traditional-professional faculties that, due to its position in the social structure, achieved to impose its conception of university and academic government

La prolifération contemporaine des techniques de surveillance tend à affirmer l’idée répandue que la nécessité institutionnelle de cumuler du savoir sur les populations serait un phénomène contemporain, ce que le recourt à la démarche socio-historique permet de déconstruire. La recherche menée dans les fonds préfectoraux des Archives Départementales de la Seine-Maritime, complétée par la consultation du « fonds de Moscou » a permis d’inscrire cette recherche au sein d’une étape constructiviste de l’analyse des sociétés de surveillance. Le corpus constitué majoritairement des fichiers de la police spéciale durant l’entre-deux-guerres interroge l’interdépendance entre la notion foucaldienne d’espace de sécurité et celle d’espace public, ou plutôt d’espaces publics. Résultat d’une forme de gouvernement de l’opinion, la veille proactive des espaces publics se développant en marge de l’espace public bourgeois était une nécessité afin de maintenir l’ordre républicain en cas de conflits entre ces espaces – comme ce fut le cas entre les militants des ligues d’extrême droite et de ceux qui se sont ralliés derrière la bannière de l’antifascisme. Un aspect de cette démarche est la régulation d’une parole prolétarienne, instrumentalisée par les acteurs principaux des institutions communistes et syndicales. Des individus suivis en fonction de leur influence sur les masses, de leurs actes, discours et propagandes dont la résultante en termes de jugement policier se fait en fonction de la préservation de la communauté nationale, par la désignation d’un ennemi de l’intérieur, étranger au sein du corps social et susceptible de propager une parole illégitime au sein de la population. / The contemporary proliferation of monitoring techniques in people's everyday lives tends to assert the widespread belief that the institutional necessity of accumulating knowledge about populations is a contemporary phenomenon. This pre-notion can be quickly deconstructed by recourse of the historical study, the work carried out during this thesis in the Prefecture funds of the Archives départementales de Seine-Maritime, supplemented by the consultation of the "fonds de Moscou" enables me to register this research within a constructivist step of the analysis of the surveillance societies. The corpus, mainly composed of police spéciale files during the inter-war period, enables us to question the interdependence between the Foucaldian concept of a security space and public sphere, or rather of public spheres. As a result of a form of government of opinion, the proactive observation of public spheres which have developed on the margins of the bourgeois public sphere was a necessity in order to maintain the republican order in case of conflicts between these spheres – as was the case between the militants of the extreme right leagues and those who rallied behind the banner of anti-fascism. Another of the main aspects of this approach is the regulation of a public speech from the proletariat, instrumentalized by the main actors of the communist and trade union institutions. Individuals who are tracked according to their influence on the masses, their acts, speeches and propaganda whose resultd in terms of police judgment is to the preservation of the national community, by the designation of interior enemy, a stranger within society and likely to spread an illegitimate speech within the population.