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 606 RBC 2nd Quarter 606 RAPTOR 3rd Quarter 606 Wedbush 3rd Quarter

Tag Audit reports are available for review here

References:

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