Bright Line, Substantial Participation, or Something Else: Who is a Primary Violator Under Rule 10b-5?

This Note analyzes the competing theories currently used by courts and commentators to determine when a secondary actor’s conduct arises to the level of a primary violation under section 10(b) of the Securities and Exchange Act of 1934 and Securities and Exchange Commission rule 10b-5 on a theory of aiding and abetting primary violators. This Note proposes a workable and logical standard that can be used to differentiate a primary violation from mere aiding and abetting. Part I of the Note discusses the decision in Central Bank of Denver and the resulting dilemma that faced the lower courts in determining when a secondary actor is a primary violator. Part II provides an analytical discussion of the emergence of two tests often used to determine whether a secondary actor is a primary violator: the “bright line” and “substantial participation” tests. Finally, Part III discusses the elements of a primary violation of section 10(b) and rule 10b-5 as they relate to a secondary actor and proposes a workable and logical test to determine when a secondary actor’s conduct rises to the level of a primary violation

Library Research Instruction for Doctor of Ministry Students: Outcomes of Instruction Provided by a Theological Librarian and by a Program Faculty Member

At some seminaries the question of who is more effective teaching library research is an open question. There are two camps of thought: (1) that the program faculty member is more effective in providing library research instruction as he or she is intimately engaged in the subject of the course(s), or 2) that the theological librarian is more effective in providing library research instruction as he or she is more familiar with the scope of resources that are available, as well as how to obtain “hard to get” resources

Existence and Spectral Theory for Weak Solutions of Neumann and Dirichlet Problems for Linear Degenerate Elliptic Operators with Rough Coefficients

In this paper we study existence and spectral properties for weak solutions of Neumann and Dirichlet problems associated to second order linear degenerate elliptic partial differential operators $X$, with rough coefficients of the form $$X=-\text{div}(P\nabla )+{\bf HR}+{\bf S^\prime G} +F$$ in a geometric homogeneous space setting where the $n\times n$ matrix function $P=P(x)$ is allowed to degenerate. We give a maximum principle for weak solutions of $Xu\leq 0$ and follow this with a result describing a relationship between compact projection of the degenerate Sobolev space $QH^{1,p}$ into $L^q$ and a Poincar\'e inequality with gain adapted to $Q$

Time-dependent Schr\"odinger equations having isomorphic symmetry algebras. II. Symmetry algebras, coherent and squeezed states

Using the transformations from paper I, we show that the Schr\"odinger equations for: (1)systems described by quadratic Hamiltonians, (2) systems with time-varying mass, and (3) time-dependent oscillators, all have isomorphic Lie space-time symmetry algebras. The generators of the symmetry algebras are obtained explicitly for each case and sets of number-operator states are constructed. The algebras and the states are used to compute displacement-operator coherent and squeezed states. Some properties of the coherent and squeezed states are calculated. The classical motion of these states is deomonstrated.Comment: LaTeX, 22 pages, new format, edited, with added discussion of the classical motio