使用CAS操作实现乐观锁的完整指南

乐观锁是一种高效的并发控制机制，而CAS(Compare-And-Swap)是实现乐观锁的核心技术。下面我将详细介绍如何通过CAS操作实现乐观锁。

一、CAS操作原理

CAS(Compare-And-Swap)是一种原子操作，包含三个操作数：

1. 内存位置(V)
2. 预期原值(A)
3. 新值(B)

当且仅当V的值等于A时，CAS才会将V的值更新为B，否则不做任何操作。无论是否更新成功，CAS都会返回V的当前值。

二、Java中的CAS支持

Java通过java.util.concurrent.atomic包提供了CAS支持：

// AtomicInteger的CAS实现示例
public final boolean compareAndSet(int expect, int update) {
    return unsafe.compareAndSwapInt(this, valueOffset, expect, update);
}

三、基于CAS实现乐观锁

1. 简单计数器实现

public class OptimisticLockCounter {
    private AtomicInteger count = new AtomicInteger(0);
    
    public void increment() {
        int oldValue;
        int newValue;
        do {
            oldValue = count.get();      // 读取当前值
            newValue = oldValue + 1;     // 计算新值
        } while (!count.compareAndSet(oldValue, newValue)); // CAS更新
    }
    
    public int getCount() {
        return count.get();
    }
}

2. 通用对象乐观锁实现

public class OptimisticLock<T> {
    private AtomicReference<T> valueRef;
    private AtomicInteger version = new AtomicInteger(0);
    
    public OptimisticLock(T initialValue) {
        this.valueRef = new AtomicReference<>(initialValue);
    }
    
    public void update(UnaryOperator<T> updateFunction) {
        T oldValue;
        T newValue;
        int oldVersion;
        int newVersion;
        do {
            oldValue = valueRef.get();
            oldVersion = version.get();
            newValue = updateFunction.apply(oldValue);
            newVersion = oldVersion + 1;
        } while (!(valueRef.compareAndSet(oldValue, newValue) && 
                  version.compareAndSet(oldVersion, newVersion)));
    }
    
    public T getValue() {
        return valueRef.get();
    }
}

四、CAS乐观锁的典型应用

1. 无锁栈实现

public class ConcurrentStack<E> {
    private AtomicReference<Node<E>> top = new AtomicReference<>();
    
    public void push(E item) {
        Node<E> newHead = new Node<>(item);
        Node<E> oldHead;
        do {
            oldHead = top.get();
            newHead.next = oldHead;
        } while (!top.compareAndSet(oldHead, newHead));
    }
    
    public E pop() {
        Node<E> oldHead;
        Node<E> newHead;
        do {
            oldHead = top.get();
            if (oldHead == null) {
                return null;
            }
            newHead = oldHead.next;
        } while (!top.compareAndSet(oldHead, newHead));
        return oldHead.item;
    }
    
    private static class Node<E> {
        final E item;
        Node<E> next;
        
        Node(E item) {
            this.item = item;
        }
    }
}

2. 账户余额安全更新

public class BankAccount {
    private AtomicInteger balance;
    private AtomicInteger version = new AtomicInteger(0);
    
    public BankAccount(int initialBalance) {
        this.balance = new AtomicInteger(initialBalance);
    }
    
    public boolean transfer(int amount) {
        int currentBalance;
        int newBalance;
        int currentVersion;
        int newVersion;
        do {
            currentBalance = balance.get();
            currentVersion = version.get();
            if (currentBalance + amount < 0) { // 余额不足检查
                return false;
            }
            newBalance = currentBalance + amount;
            newVersion = currentVersion + 1;
        } while (!(balance.compareAndSet(currentBalance, newBalance) && 
                  version.compareAndSet(currentVersion, newVersion)));
        return true;
    }
    
    public int getBalance() {
        return balance.get();
    }
}

五、CAS乐观锁的优化技巧

1. 指数退避策略：减少高竞争下的CPU消耗

public boolean transferWithBackoff(int amount) {
    int retries = 0;
    final int MAX_RETRIES = 10;
    final long BASE_DELAY_MS = 10;
    
    while (retries < MAX_RETRIES) {
        int currentBalance = balance.get();
        int currentVersion = version.get();
        
        if (currentBalance + amount < 0) {
            return false;
        }
        
        if (balance.compareAndSet(currentBalance, currentBalance + amount) &&
            version.compareAndSet(currentVersion, currentVersion + 1)) {
            return true;
        }
        
        // 指数退避
        try {
            long delay = (long) (BASE_DELAY_MS * Math.pow(2, retries));
            Thread.sleep(delay);
        } catch (InterruptedException e) {
            Thread.currentThread().interrupt();
            return false;
        }
        
        retries++;
    }
    return false;
}

2. 版本号压缩：将版本号和值打包到一个long中

public class CompactOptimisticLock {
    private static final int VERSION_BITS = 32;
    private AtomicLong state;
    
    public CompactOptimisticLock(int initialValue) {
        this.state = new AtomicLong(((long)initialValue << VERSION_BITS) | 0L);
    }
    
    public void update(UnaryOperator<Integer> updateFunction) {
        long oldState;
        long newState;
        int oldValue;
        int newValue;
        int oldVersion;
        int newVersion;
        
        do {
            oldState = state.get();
            oldValue = (int)(oldState >>> VERSION_BITS);
            oldVersion = (int)(oldState & 0xFFFFFFFFL);
            newValue = updateFunction.apply(oldValue);
            newVersion = oldVersion + 1;
            newState = ((long)newValue << VERSION_BITS) | newVersion;
        } while (!state.compareAndSet(oldState, newState));
    }
    
    public int getValue() {
        return (int)(state.get() >>> VERSION_BITS);
    }
}

六、CAS乐观锁的局限性及解决方案

1. ABA问题
   • 问题描述：值从A变为B又变回A，CAS无法检测到中间变化

   • 解决方案：使用AtomicStampedReference或AtomicMarkableReference

// 使用AtomicStampedReference解决ABA问题
public class ABASafeStack<E> {
    private AtomicStampedReference<Node<E>> top = 
        new AtomicStampedReference<>(null, 0);
    
    public void push(E item) {
        Node<E> newHead = new Node<>(item);
        int[] stampHolder = new int[1];
        Node<E> oldHead;
        int oldStamp;
        do {
            oldHead = top.get(stampHolder);
            oldStamp = stampHolder[0];
            newHead.next = oldHead;
        } while (!top.compareAndSet(oldHead, newHead, oldStamp, oldStamp + 1));
    }
    
    public E pop() {
        int[] stampHolder = new int[1];
        Node<E> oldHead;
        Node<E> newHead;
        int oldStamp;
        do {
            oldHead = top.get(stampHolder);
            oldStamp = stampHolder[0];
            if (oldHead == null) {
                return null;
            }
            newHead = oldHead.next;
        } while (!top.compareAndSet(oldHead, newHead, oldStamp, oldStamp + 1));
        return oldHead.item;
    }
}

2. 循环时间长开销大

• 问题描述：高竞争下CAS可能长时间自旋

• 解决方案：结合线程让步或系统调度

public boolean transferWithYield(int amount) {
    int currentBalance;
    int newBalance;
    int currentVersion;
    int newVersion;
    int spins = 0;
    final int YIELD_THRESHOLD = 10;
    
    do {
        if (spins++ > YIELD_THRESHOLD) {
            Thread.yield(); // 让出CPU时间片
            spins = 0;
        }
        
        currentBalance = balance.get();
        currentVersion = version.get();
        
        if (currentBalance + amount < 0) {
            return false;
        }
        
        newBalance = currentBalance + amount;
        newVersion = currentVersion + 1;
    } while (!(balance.compareAndSet(currentBalance, newBalance) && 
              version.compareAndSet(currentVersion, newVersion)));
    
    return true;
}

七、CAS乐观锁与数据库乐观锁对比

特性	CAS乐观锁	数据库乐观锁
作用范围	单个JVM进程内	跨进程、分布式环境
实现复杂度	相对简单	需要数据库支持
性能	极高(纳秒级)	较高(微秒级)
持久性	不持久	持久
ABA问题	存在	不存在
适用场景	内存数据结构、高并发计数器	分布式系统、数据库并发控制

八、总结

CAS操作是实现乐观锁的高效方式，具有以下特点：

1. 无锁：避免线程阻塞和上下文切换
2. 高性能：适合高并发场景
3. 可扩展：可用于构建各种并发数据结构

在实际应用中，需要根据具体场景：
• 处理ABA问题

• 优化自旋策略

• 结合版本控制

• 必要时退化为悲观锁

通过合理使用CAS乐观锁，可以显著提高Java应用的并发性能和吞吐量。