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| SIC Code | U.S. Industry Group | Registrants | ||||||
|---|---|---|---|---|---|---|---|---|
| ||||||||
| 620 | Security and Commodity Brokers, Dealers, Exchanges, and Services, et al. | 177 | ¹ | |||||
| 621 | Security Brokers, Dealers, and Flotation Companies | 299 | ||||||
| 622 | Commodity Contracts Brokers and Dealers | 315 | ||||||
| 623 | Security and Commodity Exchanges | – | ||||||
| 628 | Services Allied With the Exchange of Securities or Commodities | 195 | ||||||
| Registrants in SIC Major Group 62: | 986 | |||||||
| ____________ § In the SIC [SEC] subset of SIC [1987] for assigning Filings-review to the SEC Filings-Review Offices: OF – Office of Finance | ||||||||
| As Of | Filer / Issuer | Symbol† (Prices  ) | Latest Filings | SIC (Latest) | |||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| As: Filer | Re: Issuer | |||||||||||
| Active in the Past Year (since 4/19/23) in Group 62’s Industries: | |||||||||||||
| 3/5/24 |
| Baker Global Asset Management Inc. | BAKR | 253G2 | UPLOAD OLD | 6200 | |||||||
| 4/5/24 |
| BGC Group, Inc. [ formerly BGC Partners, Inc. ] | BGC | 8-K | SC 13G/A | 6200 | |||||||
| 4/10/24 |
| BGC Group, Inc. | 424B3 | SC 13G/A | 6200 | ||||||||
| 4/10/24 |
| Canadian Derivatives Clearing Corp. | 8-K | UPLOAD OLD | 6200 | ||||||||
| 4/15/24 |
| Cboe Global Markets, Inc. | CBOE | DEF 14A | PX14A6G  | 6200 | |||||||
| 4/3/24 |
| CME Group Inc. | CME | DEFA14A | 4/A | 6200 | |||||||
| 6/16/23 |
| Credit Suisse (USA) Inc. | EFFECT | UPLOAD OLD | 6200 | ||||||||
| 4/18/24 |
| Forge Global Holdings, Inc. [ formerly Motive Capital Corp. ] | FRGE | 10-K | 4
| 6200 | |||||||
| 4/5/24 |
| Garden Stage Ltd. | GSIW | 6-K | UPLOAD | 6200 | |||||||
| 3/4/24 |
| Intercontinental Exchange Holdings, Inc. | 4 | SC 13G OLD | 6200 | ||||||||
| 4/5/24 |
| Intercontinental Exchange, Inc. | ICE | ARS | 4 | 6200 | |||||||
| 2/8/24 |
| Investors Exchange LLC | 1/A | — | 6200 | ||||||||
| 3/28/24 |
| LPL Financial Holdings Inc. | LPLA | ARS | 4 | 6200 | |||||||
| 11/13/23 |
| LPL Holdings, Inc. | 424B5 | FWP | 6200 | ||||||||
| 4/16/24 |
| Marex Group plc | MRX‡ | 8-A12B | — | 6200 | |||||||
| 1/12/24 |
| Morgan Group Holding Co. | MGHL | 15-15D | 144 | 6200 | |||||||
| 12/21/23 |
| Nasdaq Gemx, LLC | 1/A | — | 6200 | ||||||||
| 4/15/24 |
| Nasdaq, Inc. | NDAQ | 8-K | 4/A | 6200 | |||||||
| 3/19/24 |
| Options Clearing Corp. | D/A | — | 6200 | ||||||||
| 2/23/24 |
| Plutus Financial Group Ltd. | PLUT‡ | F-1/A | — | 6200 | |||||||
| More... Please Sign In to list all of them. | |||||||||||||
| ________ † Market: Symbols source: SEC
: Nasdaq
‡ The SEC, in its latest Tickers update (4/4/24), did not publish the Markets where some Symbols are or will be active. | |||||||||||||
| Description of SIC Major Group 62 — Security and Commodity Brokers, Dealers, Exchanges, and Services § | |
| This major group includes establishments engaged in the underwriting, purchase, sale, or brokerage of securities and other financial contracts on their own account or for the account of others; and exchanges, exchange clearinghouses, and other services allied with the exchange of securities and commodities. | |
§ SEC Filings-Review Office (FRO) Assigned Filings-Review Responsibility OF – Office of Finance |
| SIC [SEC] Industry 6200 | ⇒ | GICS [2023] Sector → Sub-Industry | |
⇑ Assigned by the SEC
| ⇓ Assigned by S&P Dow Jones Indices / MSCI |
| Sector # | → | Sub-Industry # |
|---|---|---|
| Financials 11 | Financial Exchanges & Data 5 Diversified Capital Markets 2 Investment Banking & Brokerage 2 Asset Management & Custody Banks 1 |
| ____________ # of Major-Index Companies in both this SIC Industry and the GICS Sector / Sub-Industry. |
