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Security Brokers, Dealers, and Flotation Companies

SIC Industry 6211   —   NAICS² Industries  523110,  523120,  523910  &  523999

SIC [1987]  →  Finance, Insurance, and Real Estate  →  Security & Commodity Brokers  →  Security Brokers & Dealers  →  Security brokers & dealers §



300  Registrants  ·  List them ordered by how Active they have been



As Of     NameLatest Filings     SIC
 (Latest)
In ascending orderAs Filer    As Issuer    
Active (in the Past Year, since 7/11/19) in Industry 6211:
6/15/20
 NY
 
Associated Capital Group, Inc. [ formerly Gabelli Securities Group, Inc. ]  8-K  4  6211
7/10/20
 NY
 
BlackRock Inc.  SC 13G/A New Filing this Past Week!  4  6211
8/14/19
 ND
 
Capital Financial Holdings, Inc [ formerly Integrity Mutual Funds Inc ]  NT 10-Q  3 OLD  6211
7/1/20
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China Finance Online Co. Ltd  6-K  F-6 POS  6211
7/10/20
 NY
 
Citigroup Global Markets Holdings Inc.  424B2 New Filing this Past Week!  FWP New Filing this Past Week!  6211
7/1/20
 PA
 
Cohen & Co Inc. [ formerly Institutional Financial Markets, Inc. ]  8-K  SC 13D/A  6211
10/21/19
 NY
 
Cowen Holdings, Inc. [ formerly Cowen Group, Inc. ]  4  SC 13G OLD  6211
6/30/20
 NY
 
Cowen Inc. [ formerly Cowen Group, Inc. ]  3  SC 13G/A  6211
7/10/20
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Credit Suisse AG [ formerly Credit Suisse/FI ]  424B2 New Filing this Past Week!  FWP  6211
6/19/20
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Credit Suisse Group AG [ formerly Credit Suisse Group ]  EFFECT  F-N  6211
6/12/20
 UT
 
Freedom Holding Corp. [ formerly BMB Munai Inc ]  8-K  4  6211
5/15/20
 CO
 
Frontier Balanced Fund [ formerly Equinox Frontier Balanced Fund ]  10-Q  UPLOAD OLD  6211
5/15/20
 CO
 
Frontier Diversified Fund [ formerly Equinox Frontier Diversified Fund ]  10-Q  UPLOAD OLD  6211
5/15/20
 CO
 
Frontier Global Fund [ formerly Frontier Winton Fund ]  10-Q  UPLOAD OLD  6211
5/15/20
 CO
 
Frontier Heritage Fund [ formerly Equinox Frontier Heritage Fund ]  10-Q  UPLOAD OLD  6211
5/15/20
 CO
 
Frontier Long/Short Commodity Fund [ formerly Equinox Frontier Long/Short Commodity Fund ]  10-Q  UPLOAD OLD  6211
5/15/20
 CO
 
Frontier Masters Fund [ formerly Equinox Frontier Masters Fund ]  10-Q  UPLOAD OLD  6211
5/15/20
 CO
 
Frontier Select Fund [ formerly Equinox Frontier Select Fund ]  10-Q  UPLOAD OLD  6211
5/14/20
Flag of China emoji
 
Futu Holdings Ltd  6-K  SC 13G  6211
7/1/20
 NY
 
Gamco Investors, Inc. et al [ formerly Gabelli Asset Management Inc ]  8-K  144  6211
More...  Please Sign In to list all of them. 
 



Businesses & Products of SIC Industry 6211
  • Agents for mutual funds
  • Bond dealers and brokers
  • Distributors, security
  • Floor traders, security
  • Investment bankers
  • Investment certificates, sale of
  • Investment firm – general brokerage
  • Mineral leases, dealers in
  • Mineral royalties, dealers in
  • Mortgages, buying and selling (rediscounting)
  • Mutual fund agents
  • Mutual funds, selling by independent salesperson
  • Note brokers
  • Oil and gas lease brokers
  • Oil royalties, dealers in
  • Option dealers, stock
  • Sale of partnership shares in real estate syndicates
  • Security brokers
  • Security dealers
  • Security flotation companies
  • Security traders
  • Security underwriters
  • Stock brokers and dealers
  • Tax certificate dealers


Description of SIC Industry 6211 — Security Brokers, Dealers, and Flotation Companies §
 
Establishments primarily engaged in the purchase, sale, and brokerage of securities; and those, generally known as investment bankers, primarily engaged in originating, underwriting, and distributing issues of securities.  Establishments primarily engaged in issuing shares of mutual and money market funds, unit investment trusts, and face amount certificates are classified in Industry Group 672.  Establishments primarily engaged in providing investment advice on a contract or fee basis to establishments which deal in financial contracts are classified in Industry 6282.


§  SEC Review Office (RO) Assigned Filings-Review Responsibility

OF – Office of Finance


²  North American Industry Classification System (NAICS)

SIC [1987] Industry 6211     ⇒     NAICS [2012] Industry Codes

NAICS Code  N.A. Industry  [2012]    SIC Codes
In ascending order
523110Investment Banking and Securities Dealing  ⇒  6211
523120Securities Brokerage  ⇒  6211
523910Miscellaneous Intermediation  ⇒  6153,  6211,  67926799
523999Miscellaneous Financial Investment Activities  ⇒  6211,  6289
 
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