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

FINRA Seeks Comment on Proposed Amendments to Margin Rule Requirements and Diversity and Inclusion Initiatives (Posted On Friday, May 7, 2021)
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)

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Volume XII, Number 221

Gregory A. Uffner

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

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