FacultyFaculty/Author Profile

Elliott R. Curzon

Dechert LLP

Washington, DC, USA

Elliott R. Curzon is counsel in the financial services group of Dechert LLP. He concentrates his practice in broker-dealer regulation. Prior to his arrival at Dechert in 1999, Mr. Curzon spent twelve years at the National Association of Securities Dealers, where he served as assistant general counsel in the Regulatory Practice Group of the Office of General Counsel. He provided policy and legal advice to the boards, committees, and departments of the NASD in general securities law and broker-dealer regulation, including SEC, NASD, and exchange rules. He also developed rules and legal positions and provided interpretive advice in most areas of NASD broker-dealer regulatory activities, and he represented the NASD on securities industry committees, developing industry responses to regulatory issues, including clearing firm responsibilities, day trading, microcap fraud, clearance and settlement of transactions, and margin and other financial responsibility issues. He has spoken extensively on broker-dealer regulation issues, and is a graduate of San Diego State University (B.A., 1978) and the University of the Pacific McGeorge School of Law (J.D., 1983).

Elliott R. Curzon is associated with the following items:
Treatise Chapters  Treatise Chapters Financial Obligations—Net Capital, Customer Protection, and Financial Reporting - Broker-Dealer Regulation (Second Edition), Monday, September 24, 2018
Margin and Extensions of Credit: An Overview - Broker-Dealer Regulation (Second Edition), Monday, September 24, 2018

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