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As Of | Filer / Issuer | Symbol† (Prices) | Latest Filings | SIC (Latest) | |||||||||
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As: Filer | Re: Issuer | ||||||||||||
Active in the Past Year (since 3/29/23) in Industry 6211: | |||||||||||||
2/7/24 | Agf Management Ltd. | 13F-HR | — | 6211 | |||||||||
3/21/24 |
| Associated Capital Group, Inc. | AC | 10-K | SC 13G/A | 6211 | |||||||
3/28/24 |
| BlackRock Inc. | BLK | DEFA14A | FWP | 6211 | |||||||
3/22/24 | Broad Capital Acquisition Ltd. [ formerly Broad Capital Acquisition Pty Ltd. ] | OMG‡ | S-4/A | — | 6211 | ||||||||
3/28/24 |
| Charles Schwab Corp. | SCHW | 10-K | 4 | 6211 | |||||||
3/28/24 |
| Citigroup Global Markets Holdings Inc. | 424B2 | FWP | 6211 | ||||||||
3/6/24 |
| Cohen & Co. Inc. | COHN | 10-K | 4 | 6211 | |||||||
3/15/24 |
| Cowen Holdings, Inc. | 4 | SC 13G OLD | 6211 | ||||||||
3/15/24 |
| Cowen Inc. | 4 | SC 13D/A OLD | 6211 | ||||||||
3/28/24 | Credit Suisse AG | GLDI | IRANNOTICE | 25-NSE | 6211 | ||||||||
6/22/23 | Credit Suisse Group AG | 15-12G | 25-NSE | 6211 | |||||||||
12/28/23 |
| Dominari Holdings Inc. [ formerly AIkido Pharma Inc. ] | DOMH | 8-K | SC 13D | 6211 | |||||||
3/6/24 |
| Freedom Holding Corp. | FRHC | 8-K | 4 | 6211 | |||||||
3/14/24 | Futu Holdings Ltd. | FUTU | 6-K | SC 13G/A | 6211 | ||||||||
12/22/23 |
| Galaxy Digital Inc. [ formerly Galaxy Digital Pubco Inc. ] | S-4/A | — | 6211 | ||||||||
2/13/24 |
| Gamco Investors, Inc. et al | GAMI | 15-15D OLD | SC 13G/A | 6211 | |||||||
3/6/24 |
| Global Gas Corp. [ formerly Dune Acquisition Corp. ] | HGAS | 8-K | SC 13D/A | 2810 | |||||||
2/13/24 | Goldman Sachs Bank AG | 13F-NT | — | 6211 | |||||||||
3/28/24 |
| Goldman Sachs Group Inc. | GS | 424B2 | FWP | 6211 | |||||||
2/7/24 |
| Greenhill & Co. Inc. | 15-12G | SCH 13G | 6211 | ||||||||
More... Please Sign In to list all of them. | |||||||||||||
________ † Market: Symbols source: SEC ‡ The SEC, in its latest Tickers update (Tuesday), did not publish the Markets where some Symbols are or will be active. | |||||||||||||
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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 (FRO) 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 [2023] Sector → Sub-Industry | |
⇑ Assigned by the SEC | ⇓ Assigned by S&P Dow Jones Indices / MSCI |
____________ # of Major-Index Companies in both this SIC Industry and the GICS Sector / Sub-Industry. |