Legal/Order Routing

The SEC has recently adopted Rule 11Ac1-6, which requires all broker-dealer firms to make publicly available their order routing practices. The Dinosaur Financial Group’s order routing is done through

  1. Sungard Best Execution Order Routing
  2. For MSRB Disclosure: MSRB G-43
  3. 2017 606: 606 RBC 1st Quarter 606 RAPTOR 1st Quarter 606 Wedbush 1st Quarter 606 Wedbush 2nd Quarter

Tag Audit reports are available for review here

References:

  1. FINRA
  2. SIPC
  3. www.nfa.futures.org