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Security Brokers, Dealers, and Flotation Companies
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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
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  ·   List them ordered by how active they’ve been   ·   List only Registrants currently in this Industry


        
As Of     Filer / IssuerSymbol
  (Prices)  
Latest Filings     SIC
 (Latest)
In ascending orderAs: Filer    Re: Issuer    
Active in the Past Year (since 3/29/23) in Industry 6211:
2/7/24
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Agf Management Ltd.  13F-HR  —  6211
3/21/24
 CT
 
Associated Capital Group, Inc.  AC  10-K  SC 13G/A  6211
3/28/24
 NY
 
BlackRock Inc.  BLK  DEFA14A
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  FWP  6211
3/22/24
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Broad Capital Acquisition Ltd. [ formerly Broad Capital Acquisition Pty Ltd. ]  OMG  S-4/A New Filing in the Past Week!  —  6211
3/28/24
 TX
 
Charles Schwab Corp.  SCHW  10-K  4
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  6211
3/28/24
 NY
 
Citigroup Global Markets Holdings Inc.  424B2
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  FWP
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  6211
3/6/24
 PA
 
Cohen & Co. Inc.  COHN  10-K  4  6211
3/15/24
 NY
 
Cowen Holdings, Inc.  4  SC 13G OLD  6211
3/15/24
 NY
 
Cowen Inc.  4  SC 13D/A OLD  6211
3/28/24
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Credit Suisse AG  GLDI  IRANNOTICE
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  25-NSE  6211
6/22/23
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Credit Suisse Group AG  15-12G  25-NSE  6211
12/28/23
 NY
 
Dominari Holdings Inc. [ formerly AIkido Pharma Inc. ]  DOMH  8-K  SC 13D  6211
3/6/24
 NY
 
Freedom Holding Corp.  FRHC  8-K  4  6211
3/14/24
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Futu Holdings Ltd.  FUTU  6-K  SC 13G/A  6211
12/22/23
 NY
 
Galaxy Digital Inc. [ formerly Galaxy Digital Pubco Inc. ]  S-4/A  —  6211
2/13/24
 CT
 
Gamco Investors, Inc. et al  GAMI  15-15D OLD  SC 13G/A  6211
3/6/24
 NY
 
Global Gas Corp. [ formerly Dune Acquisition Corp. ]  HGAS  8-K  SC 13D/A  2810
2/13/24
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Goldman Sachs Bank AG  13F-NT  —  6211
3/28/24
 NY
 
Goldman Sachs Group Inc.  GS  424B2
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  FWP
New Filing in the Past 24 Hours! emoji
  6211
2/7/24
 NY
 
Greenhill & Co. Inc.  15-12G  SCH 13G  6211
More...  Please Sign In to list all of them. 
________
   Market: Symbols source:  SEC
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Prices:  Nasdaq
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, NYSE
New York Stock Exchange / ICE emoji
 ,
OTC Markets (over-the-counter) emoji
  or  
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.

   The SEC, in its latest Tickers update (Tuesday), did not publish the Markets where some Symbols are or will be active.
 



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 Filings-Review Office (FRO) Assigned Filings-Review Responsibility
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OF – Office of Finance


²  North American Industry Classification System (NAICS)

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

NAICS Code  North American Industry    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
 

Global Industry Classification Standard    S&P DJI  /  MSCI 

SIC [SEC] Industry 6211            GICS [2023] Sector  →  Sub-Industry  
Assigned by the SEC
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Assigned by S&P Dow Jones Indices / MSCI

  Sector   #    →    Sub-Industry   #        
 
Financials   25  Investment Banking & Brokerage   8
Asset Management & Custody Banks   7
Diversified Capital Markets   2
Financial Exchanges & Data   2
Consumer Finance   1
Diversified Financial Services   1
Multi-Sector Holdings   1
Health Care   1  
 
____________
 # of Major-Index Companies in both this SIC Industry and the GICS Sector / Sub-Industry.
 

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