Improving the Waiver Process and Rules Governing Certain Disqualifications Under the Federal Securities Laws
SIFMA provided comments to the U.S. Securities and Exchange Commission (SEC) requesting that it take necessary steps to improve the…
Summary
Court:
Ford v. TD Ameritrade, et al.
U.S. Court of Appeals (Eight Circuit)
Amicus Issue:
Whether Fed.R.Civ.P. 23(b)(3)’s predominance and superiority requirements can be satisfied in a class action asserting best execution violations, given that individual, order-by-order inquiries are necessary to determine whether each individual customer actually sustained an economic loss.
Counsel of Record:
Fried, Frank, Harris, Shriver & Jacobson LLP
Michael C. Keats
Justin J. Santolli
Brian C. Stuart
Other Amici:
None
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FSOC Improvement Act 2025 (Joint Trades)
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