February 18, 2020

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Gregory A. Uffner

Gregory Uffner, Financial Services Attorney, Katten Law Firm

Gregory A. Uffner
Katten
Associate
212.940.6485
Website
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.

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

CFTC Issues No-Action Letter Supplementing Relief to SEFs and DCMs (Posted On Friday, January 10, 2020)
NFA’s Swaps Proficiency Requirements Become Effective on January 31 (Posted On Friday, January 10, 2020)
Effective Date for Amendments to NFA’s Promotional Material Rules and Interpretive Notices (Posted On Friday, November 15, 2019)
CFTC Proposes Rule to Amend Regulation 160.30 (Posted On Friday, November 15, 2019)
FINRA Warns Investors of Potential Stock Fraud in Wake of Hurricane Dorian (Posted On Friday, September 6, 2019)
CBOE Proposes Amendments to Rule 6.49A Concerning Off-Floor Position Transfers Including RWA Transfers (Posted On Saturday, July 27, 2019)
CFTC Division of Enforcement Issues Public Enforcement Manual (Posted On Friday, May 10, 2019)
SEC Approves FINRA Rule Change to Permit the Use of Electronic Signatures for Discretionary Accounts (Posted On Friday, April 19, 2019)
FINRA Requests Comment on Proposed Pilot Program to Study Changes to Corporate Bond Block Trade Dissemination (Posted On Friday, April 19, 2019)
FINRA Issues Report on Examination Findings (Posted On Friday, December 14, 2018)
CFTC Takes Action on Rules Relating to Swaps and Swap Execution Facilities (Posted On Saturday, November 10, 2018)
NFA Releases Notice Regarding Swap Valuation Dispute Filing Process (Posted On Friday, September 7, 2018)
FINRA Seeks Comment on Proposed Amendments to the Membership Application Program Rules & Fintech Innovation in Broker-Dealer Industry (Posted On Saturday, August 4, 2018)
FINRA Proposes Rule Change Regarding ATS Reporting of Transactions to TRACE (Posted On Saturday, June 9, 2018)
Nasdaq Has Proposed a New Rule Change To Modify Its System of Volume-Based Credits (Posted On Sunday, April 15, 2018)
FINRA Proposed a Rule Change With Respect to the Establishment of a Second Trade Reporting Facility (Posted On Friday, April 13, 2018)
CFTC’s Market Risk Advisory Committee Releases Agenda for Upcoming Public Meeting (Posted On Friday, January 26, 2018)
CFTC Provides No-Action Relief From Commission Regulation 4.7(b)(2) Reporting Requirements (Posted On Friday, September 22, 2017)
CFTC Provides No-Action Relief From CPO and CTA Registration to a Private University (Posted On Friday, September 22, 2017)
SEC Issues Risk Alert in Response to WannaCry Ransomware Attack (Posted On Friday, May 19, 2017)

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Upcoming Legal Education Events

Webinar – Arbitration, Forum-Selection, and Jury-Waiver Clauses in Trust and Will Disputes

Tuesday, February 18, 2020

Software Audits – Real-World Strategies for Positive Outcomes

Tuesday, February 18, 2020

OSHA 30/30 - February 19, 2020

Wednesday, February 19, 2020

The New Australian Industrial Chemicals Introduction Scheme: Complimentary Webinar

Tuesday, February 25, 2020

Privacy Regulations: The New Litigation Battleground

Tuesday, February 25, 2020

2020 IP Developments Webinar - Section 101: Is the Silence Deafening?

Wednesday, February 26, 2020

Managing CBD Oils in the Workplace – Legally

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Something Wicked This Way Comes - How to Survive an SEC Investigation and Enforcement Action

Tuesday, March 17, 2020

Regional Labor & Employment Seminar

Thursday, March 26, 2020

Vedder Works Employment Law Series Chicago (O'Hare) 2020

Thursday, April 2, 2020

Vedder Works Employment Law Series Chicago (Downtown) 2020

Thursday, April 30, 2020

Vedder Works Employment Law Series UK Roundtable - June 2020

Wednesday, June 17, 2020

Vedder Works Employment Law Series New York - June 2020

Thursday, June 25, 2020