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使用CAS操作实现乐观锁的完整指南

news 来源：原创 2025/5/14 7:53:38

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：

内存位置(V)
预期原值(A)
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

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