November 13, 2019

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Gregory A. Uffner

Gregory Uffner, Financial Services Attorney, Katten Law Firm

Gregory A. Uffner
Katten Muchin Rosenman LLP
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 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)

LATEST LEGAL NEWS & ANALYSIS

Clinton’s Impeachment Compared to the Trump Proceedings: Conversation with Sol Wisenberg, former Deputy Independent Counsel during the Starr Investigation

By

The National Law Review / The National Law Forum LLC

International Tax Policy: Newest Developments

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Squire Patton Boggs (US) LLP

Employers to be Impacted By Proposed Changes to the Registration Process and Fees for Next Year’s H-1B Visa Lottery System

By

Barnes & Thornburg LLP

New York Enacts New Limitations Period for Water Supplier Contamination Claims

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Beveridge & Diamond PC

Who’s the Boss? The CFIUS “Control” Definition for Global Venture Capital Funds

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Sheppard, Mullin, Richter & Hampton LLP

California Court Rules That Mandatory Service Charges May Be Gratuities

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Epstein Becker & Green, P.C.

Who is the Audience for an Internal Investigation Report?

By

Jackson Lewis P.C.

Questions of Fact Abound: WDNY Magistrate Recommends Denying Pre-Discovery Motion for Summary Judgment on TCPA Claims

By

Squire Patton Boggs (US) LLP

Is the Country Where a Product is Assembled Considered the Country of Origin?

By

Keller and Heckman LLP

Virtual Marking: Guidance on Doing It Right

By

Brinks Gilson & Lione

ABA Forum on Construction Law’s Fall Meeting Explores Inclusion, Diversity, and Professionalism in the Construction and Legal Industries

By

Pierce Atwood LLP

Miscellaneous Tariff Bill (MTB) Petition Process

By

Greenberg Traurig, LLP

Three Important Opportunities for Businesses in the Midst of the Tariff War

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EPA Proposes Big Changes to the EAB Permit Appeals Process

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Beveridge & Diamond PC

DACA: Updates and Options for Dreamers

By

TRENDING LEGAL ANALYSIS

Clinton’s Impeachment Compared to the Trump Proceedings: Conversation with Sol Wisenberg, former Deputy Independent Counsel during the Starr Investigation

By

The National Law Review / The National Law Forum LLC

International Tax Policy: Newest Developments

By

Squire Patton Boggs (US) LLP

Employers to be Impacted By Proposed Changes to the Registration Process and Fees for Next Year’s H-1B Visa Lottery System

By

Barnes & Thornburg LLP

New York Enacts New Limitations Period for Water Supplier Contamination Claims

By

Beveridge & Diamond PC

Who’s the Boss? The CFIUS “Control” Definition for Global Venture Capital Funds

By

Sheppard, Mullin, Richter & Hampton LLP

California Court Rules That Mandatory Service Charges May Be Gratuities

By

Epstein Becker & Green, P.C.

Who is the Audience for an Internal Investigation Report?

By

Jackson Lewis P.C.

Questions of Fact Abound: WDNY Magistrate Recommends Denying Pre-Discovery Motion for Summary Judgment on TCPA Claims

By

Squire Patton Boggs (US) LLP

Is the Country Where a Product is Assembled Considered the Country of Origin?

By

Keller and Heckman LLP

Virtual Marking: Guidance on Doing It Right

By

Brinks Gilson & Lione

ABA Forum on Construction Law’s Fall Meeting Explores Inclusion, Diversity, and Professionalism in the Construction and Legal Industries

By

Pierce Atwood LLP

Miscellaneous Tariff Bill (MTB) Petition Process

By

Greenberg Traurig, LLP

Three Important Opportunities for Businesses in the Midst of the Tariff War

By

EPA Proposes Big Changes to the EAB Permit Appeals Process

By

Beveridge & Diamond PC

DACA: Updates and Options for Dreamers

By

What Regulations Impact a Box that Holds Wine Bottles?

By

Keller and Heckman LLP

Safety Grades Released for Pennsylvania Hospitals

By

CISA Releases “Cyber Essentials” to Assist Small Businesses

By

Sheppard, Mullin, Richter & Hampton LLP

Class Certification Denied In ERISA Health Coverage Lawsuit

By

McDermott Will & Emery

Employer May Have FEHA Liability If It Exercised Direction/Control Over Temp Worker

By

Proskauer Rose LLP

Upcoming Legal Education Events

Countdown To CCPA: An Interactive Compliance Workshop - Philadelphia

Wednesday, November 13, 2019

AI and IoT: Apps, Bots, and Body Area Networks

Wednesday, November 13, 2019

Value Chain Communications Required under TSCA Consent Orders and SNURs: How to Formulate Them and Optimize Their Value

Wednesday, November 13, 2019

TSCA 30/30 – November 13, 2019

Wednesday, November 13, 2019

Understanding Proposed Technical Changes to Stark Law Rule

Wednesday, November 13, 2019

REACH 30/30 - November 13, 2019

Wednesday, November 13, 2019

Countdown To CCPA: An Interactive Compliance Workshop - Washington DC

Thursday, November 14, 2019

Independent Contractors Under Dynamex and A.B. 5

Thursday, November 14, 2019

Crowdfunding and the Law: A Guide to a Successful Crowdfunding Campaign

Thursday, November 14, 2019

Reasonable Security – Proactive Defense Against CCPA’s Private Right of Action

Tuesday, November 19, 2019

Regulatory Sprint to Coordinated Care: Value-Based Arrangements and Patient Incentives

Tuesday, November 19, 2019

Countdown To CCPA: An Interactive Compliance Workshop - San Jose

Wednesday, November 20, 2019

OSHA 30/30 - November 20, 2019

Wednesday, November 20, 2019

Countdown To CCPA: An Interactive Compliance Workshop - Orange County

Thursday, November 21, 2019

The Moving Target of Affirmative Action Compliance 2019

Thursday, November 21, 2019

Regulatory Sprint to Coordinated Care: Stark – Did CMS Reduce Burden?

Thursday, November 21, 2019

Countdown To CCPA: An Interactive Compliance Workshop - Los Angeles

Friday, November 22, 2019

Countdown To CCPA: An Interactive Compliance Workshop - Seattle

Tuesday, December 3, 2019

The Wild, Wild West – Navigating Through the New California Employment Laws For 2020

Tuesday, December 3, 2019

Countdown To CCPA: An Interactive Compliance Workshop - San Francisco

Wednesday, December 4, 2019

AI, Blockchain & Smart Contacts in Health Care

Wednesday, December 4, 2019

Countdown To CCPA: An Interactive Compliance Workshop - San Jose #2

Thursday, December 5, 2019

Regulatory Sprint to Coordinated Care: AKS Changes + Cybersecurity and EMR

Thursday, December 5, 2019

Are You Ready for CCPA? New Amendments and Preparing for Jan. 1

Tuesday, December 10, 2019

Federal Policy for AI in Health Care

Wednesday, December 11, 2019