Elliott R. Curzon

elliott-curzon

Elliott R. Curzon

Partner

Washington, D.C. | 1900 K Street, NW, Washington, DC, United States of America 20006-1110
+1 202 261 3341 | +1 202 261 3333

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Elliott R. Curzon advises broker-dealers on federal and state securities law issues, as well as the rules and policies of the Financial Industry Regulatory Authority (FINRA) and other financial services industry regulators.

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.

Mr. Curzon is listed in The Best Lawyers in America for securities/capital markets law, and he was “highly recommended” in the 2014 edition of the Legal 500 (US) in the area of mutual/registered funds. Prior to joining Dechert in 1999, he 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.

Education
  • San Diego State University, B.A., 1978
  • Pacific McGeorge School of Law, J.D., 1983
Admissions
  • District of Columbia
Speaking Engagements
  • Private Funds Nuts & Bolts: The Intersection of Capital Raising, Asset Management and Broker-Dealer Regulation — Dechert LLP, Webinar (May 8, 2019)
  • Hedge Funds Nuts & Bolts Webinar Series: Broker-Dealer Issues for Fund Managers — Dechert LLP, Webinar (June 14, 2017)
  • SEC Initiates Flash Boy Regulations – A Comprehensive Analysis — Presented by the Regulatory Compliance Association, Webinar (October 7, 2014)
  • Living with the Volcker Rule: Proprietary Trading — Dechert LLP, Webinar (January 23, 2014)
  • The Customer Relationship — Practising Law Institute's Fundamentals of Broker-Dealer Regulation, New York, NY (June 29, 2009)
  • Prime Brokerage and Short Selling Operational Issues —  Dechert LLP, Webinar (December 9, 2008)
  • The Fee-Based Brokerage Rule: What are the Implications of the Merrill Rule Repeal for Investment Advisers, Broker/Dealers and Client Accounts — National Regulatory Service Fall Compliance Conference, Huntington Beach, CA (October 26, 2007)
  • Mutual Fund Disclosure Reform — 40 Act Attorneys' Association of Connecticut, Hartford, CT (June 12, 2007)
  • High Net Worth Data Aggregation: Realizing the Profit Potential — McHenry Consulting Group, LLC Web Conference, Washington, DC (October 15, 2002)