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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 §



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



As OfNameLatest Filings SIC
(Latest)
In ascending orderAs Filer As Issuer
Active (in the Past Year, since 1/28/19) in Industry 6211:
1/27/20
NY
Associated Capital Group, Inc. [formerly Gabelli Securities Group, Inc.] 4 New Filing this Past Week! 4 New Filing this Past Week!6211
1/27/20
NY
BlackRock Inc. 8-K New Filing this Past Week! 4 New Filing this Past Week!6211
8/14/19
ND
Capital Financial Holdings, Inc [formerly Integrity Mutual Funds Inc] NT 10-Q 3 OLD6211
1/22/20
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China Finance Online Co. Ltd 6-K New Filing this Past Week! F-6 POS6211
5:05pET
NY
Citigroup Global Markets Holdings Inc. 424B2 New Filing this Past Week! FWP New Filing this Past Week!6211
1/6/20
PA
Cohen & Co Inc. [formerly Institutional Financial Markets, Inc.] 8-K SC 13D/A6211
10/21/19
NY
Cowen Holdings, Inc. [formerly Cowen Group, Inc.] 4 SC 13G OLD6211
1/24/20
NY
Cowen Inc. [formerly Cowen Group, Inc.] 8-K New Filing this Past Week! SC 13G/A6211
5:30pET
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Credit Suisse AG [formerly Credit Suisse/FI] 424B2 New Filing this Past Week! FWP New Filing this Past Week!6211
12/20/19
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Credit Suisse Group AG [formerly Credit Suisse Group] 6-K SC 13G/A OLD6211
12/20/19
UT
Freedom Holding Corp. [formerly BMB Munai Inc] 10-Q 46211
11/13/19
CO
Frontier Balanced Fund [formerly Equinox Frontier Balanced Fund] 10-Q UPLOAD OLD6211
12/20/19
CO
Frontier Diversified Fund [formerly Equinox Frontier Diversified Fund] 424B3 UPLOAD OLD6211
11/13/19
CO
Frontier Global Fund [formerly Frontier Winton Fund] 10-Q UPLOAD OLD6211
11/13/19
CO
Frontier Heritage Fund [formerly Equinox Frontier Heritage Fund] 10-Q UPLOAD OLD6211
12/20/19
CO
Frontier Long/Short Commodity Fund [formerly Equinox Frontier Long/Short Commodity Fund] 424B3 UPLOAD OLD6211
12/20/19
CO
Frontier Masters Fund [formerly Equinox Frontier Masters Fund] 424B3 UPLOAD OLD6211
11/13/19
CO
Frontier Select Fund [formerly Equinox Frontier Select Fund] 10-Q UPLOAD OLD6211
11/22/19
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Futu Holdings Ltd 6-K SC 13D/A6211
1/2/20
NY
Gamco Investors, Inc. et al [formerly Gabelli Asset Management Inc] 8-K 46211
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 – OfficeofFinance


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 Dealing6211
523120Securities Brokerage6211
523910Miscellaneous Intermediation6153, 6211, 6792, 6799
523999Miscellaneous Financial Investment Activities6211, 6289
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