The Blindsided Insider: Insider Trading Liability for Supervising a Rogue Trader

In the past few years, federal prosecutors and the Securities and Exchange Commission (SEC) have engaged in the widest-ranging and most successful probe of insider trading ever, focusing in particular on investment professionals. However, the government has failed to charge anyone on the basis of supervisory liability, essentially an accusation of failing to notice and stop illicit trading done under one’s supervision. This Article discusses all of the potential ways in which prosecutors could bring such a charge, ranging from SEC administrative liability to civil and criminal charges. Through the lens of a theoretical situation in which an “innocent bystander” manager has failed to stop a “rogue trader” from trading on the basis of material non-public information, it proposes answers for some of the unanswered questions in this area of the law, and assesses the practical potential for the government bringing any of the above charges against such a manager

The Blindsided Insider: Insider Trading Liability for Supervising a Rogue Trader

In the past few years, federal prosecutors and the Securities and Exchange Commission (SEC) have engaged in the widest-ranging and most successful probe of insider trading ever, focusing in particular on investment professionals. However, the government has failed to charge anyone on the basis of supervisory liability, essentially an accusation of failing to notice and stop illicit trading done under one’s supervision. This Article discusses all of the potential ways in which prosecutors could bring such a charge, ranging from SEC administrative liability to civil and criminal charges. Through the lens of a theoretical situation in which an “innocent bystander” manager has failed to stop a “rogue trader” from trading on the basis of material non-public information, it proposes answers for some of the unanswered questions in this area of the law, and assesses the practical potential for the government bringing any of the above charges against such a manager

Student engagement within the use of graphic novels

Student engagement in novels is a key factor in whether or not a student can be successful in reading. The purpose of this study was to analyze student engagement with graphic novels and traditional novels, and to describe any preferences students had when selecting novels to read independently. The study was centered around two questions: How does the reading of graphic novels impact the level of reading engagement? Do students prefer the use of graphic novels over traditional novels within their own independent reading? The study consisted of interviewing eleven sixth grade students about a graphic novel that they picked to read over the course of four weeks. The intent of this study was to see how graphic novels compared to traditional novels, in terms of reading engagement and student preference. It was found that participants preferred reading graphic novels over traditional novels, and that participants could remember overall plot details of their graphic novels, but could not remember specific character details

Experiments to investigate particulate materials in reduced gravity fields

Study investigates agglomeration and macroscopic behavior in reduced gravity fields of particles of known properties by measuring and correlating thermal and acoustical properties of particulate materials. Experiment evaluations provide a basis for a particle behavior theory and measure bulk properties of particulate materials in reduced gravity