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This memorandum describes the approach of the U.S. Securities and Exchange Commission (the "SEC") in monitoring and, where appropriate, regulating the use of research reports by investment banking firms in connection with securities transactions. The memorandum addresses the historical system of regulation, which continues in large measure to apply. It also examines the new initiatives taken, following a number of prominent corporate, accounting and banking scandals and a significant decline in U.S. and international capital markets, to supplement the current system in what some have dubbed the "post-Enron era"

BLAST Autonomous Daytime Star Cameras

We have developed two redundant daytime star cameras to provide the fine pointing solution for the balloon-borne submillimeter telescope, BLAST. The cameras are capable of providing a reconstructed pointing solution with an absolute accuracy < 5 arcseconds. They are sensitive to stars down to magnitudes ~ 9 in daytime float conditions. Each camera combines a 1 megapixel CCD with a 200 mm f/2 lens to image a 2 degree x 2.5 degree field of the sky. The instruments are autonomous. An internal computer controls the temperature, adjusts the focus, and determines a real-time pointing solution at 1 Hz. The mechanical details and flight performance of these instruments are presented.Comment: 8 pages, 6 figures, 1 table. To be published in conference proceedings for the "Ground-based and Airborne Instrumentation for Astronomy" part of the SPIE Astronomical Telescopes and Instrumentation Symposium that will be held 24-31 May 2006 in Orlando, F

Mapping the CMB I: the first flight of the QMAP experiment

We report on the first flight of the balloon-borne QMAP experiment. The experiment is designed to make a map of the cosmic microwave background anisotropy on angular scales from 0.7 to several degrees. Using the map we determine the angular power spectrum of the anisotropy in multipole bands from l~40 to l~140. The results are consistent with the Saskatoon (SK) measurements. The frequency spectral index (measured at low l) is consistent with that of CMB and inconsistent with either Galactic synchrotron or free-free emission. The instrument, measurement, analysis of the angular power spectrum, and possible systematic errors are discussed.Comment: 4 pages, with 5 figures included. Submitted to ApJL. Window functions and color figures are available at http://pupgg.princeton.edu/~cmb/welcome.htm

Herschel and ALMA Observations of Massive SZE-selected Clusters

We present new Herschel observations of four massive, Sunyaev-Zel'dovich Effect (SZE)-selected clusters at $0.3 \leq z \leq 1.1$, two of which have also been observed with ALMA. We detect 19 Herschel/PACS counterparts to spectroscopically confirmed cluster members, five of which have redshifts determined via CO($4-3$) and [CI](${}^3P_1 - {}^3P_0$) lines. The mean [CI]/CO line ratio is $0.19 \pm 0.07$ in brightness temperature units, consistent with previous results for field samples. We do not detect significant stacked ALMA dust continuum or spectral line emission, implying upper limits on mean interstellar medium (H$_2$ + HI) and molecular gas masses. An apparent anticorrelation of $L_{IR}$ with clustercentric radius is driven by the tight relation between star formation rate and stellar mass. We find average specific star formation rate log(sSFR/yr$^{-1}$) = -10.36, which is below the SFR$-M_*$ correlation measured for field galaxies at similar redshifts. The fraction of infrared-bright galaxies (IRBGs; $\log (L_{IR}/L_\odot) > 10.6$) per cluster and average sSFR rise significantly with redshift. For CO detections, we find $f_{gas} \sim 0.2$, comparable to those of field galaxies, and gas depletion timescales of about 2 Gyr. We use radio observations to distinguish active galactic nuclei (AGNs) from star-forming galaxies. At least four of our 19 Herschel cluster members have $q_{IR} < 1.8$, implying an AGN fraction $f_{AGN} \gtrsim 0.2$ for our PACS-selected sample.Comment: Accepted in ApJ, 46 pages, 13 figure

POLOCALC: a Novel Method to Measure the Absolute Polarization Orientation of the Cosmic Microwave Background

We describe a novel method to measure the absolute orientation of the polarization plane of the CMB with arcsecond accuracy, enabling unprecedented measurements for cosmology and fundamental physics. Existing and planned CMB polarization instruments looking for primordial B-mode signals need an independent, experimental method for systematics control on the absolute polarization orientation. The lack of such a method limits the accuracy of the detection of inflationary gravitational waves, the constraining power on the neutrino sector through measurements of gravitational lensing of the CMB, the possibility of detecting Cosmic Birefringence, and the ability to measure primordial magnetic fields. Sky signals used for calibration and direct measurements of the detector orientation cannot provide an accuracy better than 1 deg. Self-calibration methods provide better accuracy, but may be affected by foreground signals and rely heavily on model assumptions. The POLarization Orientation CALibrator for Cosmology, POLOCALC, will dramatically improve instrumental accuracy by means of an artificial calibration source flying on balloons and aerial drones. A balloon-borne calibrator will provide far-field source for larger telescopes, while a drone will be used for tests and smaller polarimeters. POLOCALC will also allow a unique method to measure the telescopes' polarized beam. It will use microwave emitters between 40 and 150 GHz coupled to precise polarizing filters. The orientation of the source polarization plane will be registered to sky coordinates by star cameras and gyroscopes with arcsecond accuracy. This project can become a rung in the calibration ladder for the field: any existing or future CMB polarization experiment observing our polarization calibrator will enable measurements of the polarization angle for each detector with respect to absolute sky coordinates.Comment: 15 pages, 5 figures, Accepted by Journal of Astronomical Instrumentatio

Mapping the CMB III: combined analysis of QMAP flights

We present results from the QMAP balloon experiment, which maps the Cosmic Microwave Background (CMB) and probes its angular power spectrum on degree scales. In two separate flights, data were taken in six channels at two frequency bands between 26 to 46 GHz. We describe our method for mapmaking (removal of 1/f-noise and scan-synchronous offsets) and power spectrum estimation, as well as the results of a joint analysis of the data from both flights. This produces a 527 square degree map of the CMB around the North Celestial Pole, allowing a wide variety of systematic cross-checks. The frequency dependence of the fluctuations is consistent with CMB and inconsistent with Galactic foreground emission. The anisotropy is measured in three multipole bands from l~40 to l~200, and the angular power spectrum shows a distinct rise which is consistent with the Saskatoon results.Comment: 4 pages, with 3 figures included. Submitted to ApJL. Window functions are available at http://pupgg.princeton.edu/~cmb/welcome.html and color figures and links at http://www.sns.ias.edu/~angelica/skymap.html#qma

Mapping the CMB II: the second flight of the QMAP experiment

We report the results from the second flight of QMAP, an experiment to map the cosmic microwave background near the North Celestial Pole. We present maps of the sky at 31 and 42 GHz as well as a measurement of the angular power spectrum covering the l-range 40-200. Anisotropy is detected at about 20 sigma and is in agreement with previous results at these angular scales. We also report details of the data reduction and analysis techniques which were used for both flights of QMAP.Comment: 4 pages, with 5 figures included. Submitted to ApJL. Window functions and color figures are available at http://pupgg.princeton.edu/~cmb/welcome.htm

Galactic microwave emission at degree angular scales

We cross-correlate the Saskatoon Ka and Q-Band Cosmic Microwave Background (CMB) data with different maps to quantify possible foreground contamination. We detect a marginal correlation (2 sigma) with the Diffuse Infrared Background Experiment (DIRBE) 240, 140 and 100 microm maps, but we find no significant correlation with point sources, with the Haslam 408 MHz map or with the Reich and Reich 1420 MHz map. The rms amplitude of the component correlated with DIRBE is about 20% of the CMB signal. Interpreting this component as free-free emission, this normalization agrees with that of Kogut et al. (1996a; 1996b) and supports the hypothesis that the spatial correlation between dust and warm ionized gas observed on large angular scales persists to smaller angular scales. Subtracting this contribution from the CMB data reduces the normalization of the Saskatoon power spectrum by only a few percent.Comment: Minor revisions to match published version. 14 pages, with 2 figures included. Color figure and links at http://www.sns.ias.edu/~angelica/foreground.htm