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| As Of | Filer / Issuer | Latest Filings | SIC (Latest) | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
 | As: Filer | Re: Issuer | ||||||||
| Active (in the Past Year, since 1/27/20) in Industry 6211: | ||||||||||
| 1/7/21 |
| Associated Capital Group, Inc. [ formerly Gabelli Securities Group, Inc. ] | 8-K | 3 | 6211 | |||||
| 1/26/21 |
| BlackRock Inc. | SC 13G/A
| 4 | 6211 | |||||
| 12/29/20 |
| China Finance Online Co. Ltd | 6-K | F-6 POS | 6211 | |||||
| 1/26/21 |
| Citigroup Global Markets Holdings Inc. | 424B2
| FWP
| 6211 | |||||
| 12/23/20 |
| Cohen & Co Inc. [ formerly Institutional Financial Markets, Inc. ] | 8-K | 4 | 6211 | |||||
| 1/26/21 |
| Cowen Inc. [ formerly Cowen Group, Inc. ] | 8-K
| SC 13G/A  | 6211 | |||||
| 1/26/21 |
| Credit Suisse AG [ formerly Credit Suisse/FI ] | FWP
| FWP
| 6211 | |||||
| 1/8/21 |
| Credit Suisse Group AG [ formerly Credit Suisse Group ] | 6-K | UPLOAD | 6211 | |||||
| 1/19/21 |
| Freedom Holding Corp. [ formerly BMB Munai Inc ] | 8-K | 4 | 6211 | |||||
| 12/28/20 |
| Frontier Balanced Fund [ formerly Equinox Frontier Balanced Fund ] | 8-K | UPLOAD OLD | 6211 | |||||
| 12/28/20 |
| Frontier Diversified Fund [ formerly Equinox Frontier Diversified Fund ] | 8-K | UPLOAD OLD | 6211 | |||||
| 11/13/20 |
| Frontier Global Fund [ formerly Frontier Winton Fund ] | 10-Q | UPLOAD OLD | 6211 | |||||
| 11/13/20 |
| Frontier Heritage Fund [ formerly Equinox Frontier Heritage Fund ] | 10-Q | UPLOAD OLD | 6211 | |||||
| 1/12/21 |
| Frontier Long/Short Commodity Fund [ formerly Equinox Frontier Long/Short Commodity Fund ] | 8-K | UPLOAD OLD | 6211 | |||||
| 11/13/20 |
| Frontier Masters Fund [ formerly Equinox Frontier Masters Fund ] | 10-Q | UPLOAD OLD | 6211 | |||||
| 11/13/20 |
| Frontier Select Fund [ formerly Equinox Frontier Select Fund ] | 10-Q | UPLOAD OLD | 6211 | |||||
| 1/5/21 |
| Futu Holdings Ltd | 6-K | SC 13D/A | 6211 | |||||
| 1/26/21 |
| Gamco Investors, Inc. et al [ formerly Gabelli Asset Management Inc ] | 8-K | 4
| 6211 | |||||
| 11/16/20 |
| Global Arena Holding, Inc. [ formerly China Stationery & Office Supply, Inc. ] | 10-Q | SC 13G/A OLD | 6211 | |||||
| 11/13/20 |
| Goldman Sachs Bank AG [ formerly Goldman Sachs & Co Bank ] | 13F-NT | — | 6211 | |||||
| More... Please Sign In to list all of them. | ||||||||||
|
| 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 Filings Review Office (RO) Assigned Filings-Review Responsibility OF – Office of Finance |
| NAICS Code | North American Industry | SIC Codes | |
|---|---|---|---|
| |||
| 523110 | Investment Banking and Securities Dealing | ⇒ | 6211 |
| 523120 | Securities Brokerage | ⇒ | 6211 |
| 523910 | Miscellaneous Intermediation | ⇒ | 6153, 6211, 6792, 6799 |
| 523999 | Miscellaneous Financial Investment Activities | ⇒ | 6211, 6289 |
| SIC [SEC] Industry 6211 | ⇒ | GICS [2018] Sector → Sub-Industry | |
↑ Assigned by the SEC
| ↓ Assigned by S&P Dow Jones Indices / MSCI |
| Sector # | → | Sub-Industry # |
|---|---|---|
| Financials 26 | Investment Banking & Brokerage 11 Asset Management & Custody Banks 4 Consumer Finance 1 Financial Exchanges & Data 1 Multi-Sector Holdings 1 |
| ____________ # of Major-Index Companies in both this SIC Industry and the GICS Sector / Sub-Industry. |
