April 21, 2021

Volume XI, Number 111

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Gregory A. Uffner

Gregory Uffner, Financial Services Attorney, Katten Law Firm

Gregory A. Uffner
Katten
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212.940.6485
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katten.com
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Professional Biography:

Gregory Uffner is an associate in the Financial Services practice.

While in law school, Gregory was an associate editor for the Moot Court Board, a member of the Fordham Urban Law Journal and served as managing editor for the Fordham Sports Law Forum.

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Articles in the National Law Review database by Gregory A. Uffner

NFA Issues Notice Regarding Effective Date of NFA’s Swap Dealer Capital Requirements (Posted On Friday, April 2, 2021)
CFTC Staff Issues Guidance Regarding Risk Assessment of Customer Accounts for Futures Commission Merchants (Posted On Friday, April 2, 2021)
SEC Issued Order Permitting 30-Day Filing Extension for Broker-Dealers (Posted On Friday, February 26, 2021)
FINRA Provides Additional FINRA Exams Online (Posted On Friday, February 26, 2021)
2021 GASB Accounting Support Fee to Fund the GASB’s Annual Budget (Posted On Friday, February 26, 2021)
SEC and CFTC Chairman Issue Joint Letter Regarding CFTC Orders Implicating Regulations A and D (Posted On Friday, October 30, 2020)
CFTC’s Enforcement Division Issues Guidance on Recognition of Self-Reporting, Cooperation and Remediation & Chairman Statement on Use of Staff Letters & Guidance (Posted On Friday, October 30, 2020)
CFTC Announces Organizational Changes & Open Commission Meeting (Posted On Friday, October 30, 2020)
FINRA Requests Amendment Comments & Phishing Alert (Posted On Friday, October 9, 2020)
CFTC No-Action Letter 20-23: CFTC Provides Additional Relief to Market Participants Transitioning from LIBOR (Posted On Friday, September 4, 2020)
CFTC No-Action Letter 20-24: CFTC Provides Relief from the Trade Execution Requirement (Posted On Friday, September 4, 2020)
CFTC No-Action Letter 20-25: CFTC Provides Time-Limited Relief from the Swap Clearing Requirement (Posted On Friday, September 4, 2020)
CFTC Welcomes Standardized Approaches to Assessing Cybersecurity Preparedness (Posted On Friday, July 17, 2020)
SEC Amends CAT NMS Plan (Posted On Friday, May 29, 2020)
FINRA Updates COVID-19 FAQs (Posted On Friday, May 29, 2020)
FINRA Amends Rules Related to Membership Application Program to Promote Payment of Arbitration Awards and Issues Regulatory Notice on Sales Practice Obligations With Respect to Oil-Linked Exchange-Traded Products (Posted On Friday, May 29, 2020)
NFA Published Amendments to Its Advertising Rules (Posted On Friday, April 24, 2020)
CFTC Announces “Project Streetlamp” Competition (Posted On Friday, April 24, 2020)
CFTC Grants Relief to Address Net Capital Treatment of PPP Monies and FINRA Annual Assessments (Posted On Friday, April 24, 2020)
CFTC Grants Bitnomial Exchange, LLC Status as a Designated Contract Market (Posted On Friday, April 24, 2020)

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TRENDING LEGAL ANALYSIS

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Greenberg Traurig, LLP

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Proskauer Rose LLP

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Ogletree, Deakins, Nash, Smoak & Stewart, P.C.

IRS Establishes Office of Promoter Investigations with Emphasis on Conservation Easements and Micro-captive Insurance Arrangements

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Greenberg Traurig, LLP

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Upcoming Legal Education Events

False Claims Act: Strategies for Obtaining an Early Resolution

Wednesday, April 21, 2021

An In-Depth Review of the Stark Law and Anti-Kickback Statute Regulatory Sprint Changes: Part 2: A Detailed Review

Wednesday, April 21, 2021

Private Client Virtual Forum | Legislative Proposals For Taxing Wealth & Wealth Transfers

Wednesday, April 21, 2021

2021 Consumer Financial Services Symposium - Virtual Edition

Wednesday, April 21, 2021