Christian J. Mixter

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Washington, D.C.: 1111 Pennsylvania Ave., NW
Washington, DC 20004-2541
Phone: 202.739.5575
Fax: 202.739.3001

31 Publications Found

Date	Title	Publication
03/05/1203/05/12	Consumer Financial Protection Bureau: What It Is, What to Expect, BNA's Daily Report for Executives View Article	Article
01/19/12January 2012	The Consumer Financial Protection Bureau (CFPB): What It Is and What to Expect View White Paper	White Paper
09/20/1109/20/11	Issues for Broker-Dealers acting as APs or LMMs for ETFs, presented for Morgan Lewis's ETF Breakfast Roundtable, Session I View Presentation	Speech
09/16/1109/16/11	Recent SEC Accounting and Auditing Enforcement Releases, presented at the ALI-ABA Investment Company Accountants' Liability Conference, Washington, D.C. View Outline	Speech
07/22/1107/22/11	SEC, SRO, and Private Litigation Developments Affecting Mutual Funds, Hedge Funds, and Investment Advisors (2010-2011), presented at the ALI-ABA Investment Company Regulation and Compliance Conference, Boston View Outline	Speech
03/23/1103/23/11	U.S. Supreme Court: Manufacturer Can Be Sued for Failing to Disclose Adverse Reports View LawFlash	Securities LawFlash
01/26/11January 2011	2010 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers View Publication	White Paper
12/22/1012/22/10	SEC Enters Into First Nonprosecution Agreement as Part of Its New Cooperation Initiative View LawFlash	Securities LawFlash
07/08/1007/08/10	The SEC and the Profession, presented at the 22nd Annual ALI-ABA Course of Study on Accountants' Liability: Litigation and Issues in the Financial Crisis, Boston	Speech
06/01/10June 2010	"Everything Old Is New Again": Supreme Court Affirms Gartenberg Standard in Unanimous Decision in Jones v. Harris Associates L.P., The Investment Lawyer, Vol. 17, No. 6 View Article	Article
03/31/1003/31/10	Supreme Court Affirms Gartenberg Standard in Unanimous Decision in Jones v. Harris Associates L.P. View LawFlash	Investment Management FYI
01/26/10January 2010	The Securities and Exchange Commission Announces New Cooperation Initiative View the White Paper	White Paper
09/24/0909/24/09	Current SEC Enforcement Proceedings and Civil Securities Litigation Against Accountants: SEC Valuation Cases, Tellabs, Stoneridge, Sen. Specter, and Aiding and Abetting Liability View Presentation	Webinar
03/10/0903/10/09	Supreme Court Grants Certiorari in Jones v. Harris Associates L.P. View LawFlash	Investment Management FYI
10/27/0810/27/08	The War on Rumors at the SEC and CFTC, Securities Regulation and Law, Vol. 40, No. 42 View Article	Article
10/17/0810/17/08	Defending an SEC Administrative Proceeding, presented at the ALI-ABA Webcast on SEC and State Enforcement and Litigation View Presentation	Speech
10/17/0810/17/08	SEC Administrative Enforcement Litigation in FY 2008, presented at the ALI-ABA Webcast on SEC and State Enforcement and Litigation View Presentation	Speech
10/15/0810/15/08	SEC Lifts the Veil on Its Enforcement Process by Publishing Enforcement Manual View LawFlash	Securities LawFlash
05/15/0805/15/08	Trends in Penalties in SEC Enforcement Cases Brought Against Public Companies, presented at the 20th Annual ALI-ABA Course of Study – Accountants' Liability, San Diego View Presentation	Speech
05/01/0805/01/08	SEC Enforcement Litigation in FY 2007, presented at the ALI-ABA Course Of Study Securities Litigation Planning And Strategies Program, Boston View Presentation	Speech
04/01/07April 2007	The Securities and Exchange Commission’s New Course on Penalties, BNA Securities Regulation E Law Report View Article	Article
03/31/0703/31/07	Defending an SEC Administrative Proceeding, presented at the 2007 ALI-ABA Securities Litigation Program, Boston View Presentation	Speech
03/01/07March 2007	When Accountants Litigate: Decisions in Contested Rule 102(e) Proceedings, 2000-2006, presented at the 19th Annual ALI-ABA Course of Study – Accountants’ Liability, Boston View Presentation	Speech
08/01/06August 2006	Anti-Money Laundering Compliance Programs: Time to Reevaluate Risks, The Investment Lawyer, Vol. 13, No. 8 View Article	Article
12/19/0512/19/05	Option Backdating: What to Do Before the SEC Comes Calling View Presentation	Webinar
10/12/05October 2005	The New York Stock Exchange and Cooperation — Another Precinct Heard From View White Paper	White Paper
12/01/02December 2002	The SEC’s First Enforcement Actions Under Regulation FD: Lessons Learned, Questions Remaining View White Paper	White Paper
11/01/01November 2001	The SEC's New Cooperation Guidelines: Progress, and Some Possible Pitfalls View White Paper	White Paper
03/22/0103/22/01	Key Issues Facing Boards of Directors: Investor Relations and the SEC in the Electronic Age, presented at the Directors Roundtable, Philadelphia	Speech
03/14/01March 2001	Web-Based Investment Advisors and Commodity Trading Advisors, Review of Securities and Commodities Regulation, Vol. 34, No. 5, 47	Article
11/30/0011/30/00	A Client's Eye-View of Outcome in the SEC's Administrative Adjudication System, Insights	Article

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Christian J. Mixter