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
Cost
Rate : $$$
