Legal/Order Routing

Disclosure of Order Routing Information For the Most Recent Quarter: In accordance with U.S. Securities and Exchange Commission (SEC) Rule 606, Dinosaur Financial Group, LLC (“DFG” the Firm) is publishing statistical information about our routing practices for non-directed orders in U.S. exchange-listed equity securities and options. The report is divided into four sections: one for securities listed on the New York Stock Exchange LLC; one for securities listed on The Nasdaq Stock Market LLC; one for securities listed on the NYSE MKT, LLC or regional exchanges; and one for exchange-listed options. For each section, this report identifies the venues most often selected by the Firm, sets forth the percentage of various types of orders routed to the venues, and discusses the material aspects of the Firm’s relationship with the venues Note regarding the Data You should note that, consistent with the requirements of Rule 606, the statistics above capture only a portion of the Firm’s order flow. This report is intended only to provide an overview of the Firm’s order routing practices. Accordingly, the data is not a reliable basis upon which to assess whether the Firm or any trading venue to which the Firm routes orders has satisfied its best execution obligation. Further, while we have taken care in preparing the data presented in this report, the data has not been audited and may contain errors. Any decision about whether to open an account or direct orders to the Firm should not be based solely on the information presented in this report, but on a broader evaluation of the full range of services and products we offer.

  1. Sungard Best Execution Order Routing
  2. For MSRB Disclosure: MSRB G-43
  3. 2018 606: 606 RBC 1st Quarter 606 Wedbush 1st Quarter 606 RAPTOR 1st Quarter 606 RAPTOR 2nd Quarter 606 Wedbush 2nd Quarter 606 RBC 2nd Quarter
  4. 2017 606: 606 RBC 1st Quarter 606 RAPTOR 1st Quarter 606 Wedbush 1st Quarter 606 Wedbush 2nd Quarter 606 RBC 2nd Quarter 606 RAPTOR 3rd Quarter 606 Wedbush 3rd Quarter 606 RBC 3rd Quarter 606 RBC 4th Quarter 606 Wedbush 4th Quarter 606 RAPTOR 4th Quarter

Tag Audit reports are available for review here References:

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