Elliott R. Curzon
Senior Counsel | Washington, D.C.
Elliott R. Curzon

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.

  • 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, D.C. (October 15, 2002)