|
Experience and Background
Elliott R. Curzon advises broker-dealers on issues regarding the Securities Exchange Act of 1934, the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the New York Stock Exchange, and state and other SRO rules. These matters include registration, compliance, supervision, licensing, sales practices, suitability, trading, clearance, settlement, net capital, transfer agent, operations, commissions, compensation, contractual relationships, and advertising, as well as SEC and FINRA examinations and enforcement actions.
Mr. Curzon also advises non-U.S. financial services companies on selling securities or providing services to investors in the United States.
Prior to joining Dechert in 1999, Mr. Curzon spent 12 years at FINRA, where he served as Assistant General Counsel in the Regulatory Practice Group of the FINRA Office of General Counsel, advising the boards, committees, and departments of FINRA on regulatory policy issues, participating in securities industry regulatory initiatives, and serving on securities industry policy committees.
Bar Admission
- Member, District of Columbia Bar
Education
San Diego State University, B.A., 1978
University of the Pacific McGeorge School of Law, J.D., 1983
Publications and Lectures
|
