Gregory A. Uffner
Effective Date for Amendments to NFA’s Promotional Material Rules and Interpretive Notices
Corporate & Financial Weekly Digest ·
FINRA Warns Investors of Potential Stock Fraud in Wake of Hurricane Dorian
Corporate & Financial Weekly Digest ·
CBOE Proposes Amendments to Rule 6.49A Concerning Off-Floor Position Transfers Including RWA Transfers
Corporate & Financial Weekly Digest ·
CFTC Division of Enforcement Issues Public Enforcement Manual
Corporate & Financial Weekly Digest ·
FINRA Requests Comment on Proposed Pilot Program to Study Changes to Corporate Bond Block Trade Dissemination
Corporate & Financial Weekly Digest ·