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

Tag Audit reports are available for review here

References:

  1. FINRA
  2. SIPC
  3. finra.brokercheck.com
  4. www.nfa.futures.org