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| As Of | Filer / Issuer | Symbol† (Prices  ) | Latest Filings | SIC (Latest) | |||||||||
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
 | As: Filer | Re: Issuer | |||||||||||
| Active in the Past Year (since 6/6/22) in Industry 6211: | |||||||||||||
| 5/3/23 |
| Agf Management Ltd. | 13F-HR | — | 6211 | ||||||||
| 6/5/23 |
| Associated Capital Group, Inc. | AC | 8-K
| 4/A | 6211 | |||||||
| 6/2/23 |
| BlackRock Inc. | BLK | 8-K | 4  | 6211 | |||||||
| 5/24/23 |
| Charles Schwab Corp. | SCHW | 8-K | 4 | 6211 | |||||||
| 6/5/23 |
| Citigroup Global Markets Holdings Inc. | 424B2
| FWP
| 6211 | ||||||||
| 5/5/23 |
| Cohen & Co. Inc. | COHN | 10-Q | 4 | 6211 | |||||||
| 5/15/23 |
| Cowen Holdings, Inc. | 4 | SC 13G OLD | 6211 | ||||||||
| 5/15/23 |
| Cowen Inc. | 4 | SC 13D/A | 6211 | ||||||||
| 6/5/23 |
| Credit Suisse AG | GLDI | 6-K
| UPLOAD | 6211 | |||||||
| 5/31/23 |
| Credit Suisse Group AG | CS | 6-K | UPLOAD | 6211 | |||||||
| 6/5/23 |
| Dune Acquisition Corp. | DUNE | PREM14A
| SC 13G | 6211 | |||||||
| 2/14/23 |
| Enterprise Diversified, Inc. [ formerly Sitestar Corp. ] | 15-12G | SC 13G/A | 6211 | ||||||||
| 10/31/22 |
| eToro Group Ltd. | D | — | 6211 | ||||||||
| 5/31/23 |
| Freedom Holding Corp. | FRHC | NT 10-K | 4 | 6211 | |||||||
| 5/15/23 |
| Frontier Balanced Fund | 10-Q | UPLOAD OLD | 6221 | ||||||||
| 5/15/23 |
| Frontier Diversified Fund | 10-Q | UPLOAD OLD | 6221 | ||||||||
| 5/15/23 |
| Frontier Global Fund [ formerly Frontier Winton Fund ] | 10-Q | UPLOAD OLD | 6221 | ||||||||
| 5/15/23 |
| Frontier Heritage Fund | 10-Q | UPLOAD OLD | 6221 | ||||||||
| 5/15/23 |
| Frontier Long/Short Commodity Fund | 10-Q | UPLOAD OLD | 6221 | ||||||||
| 5/15/23 |
| Frontier Masters Fund | 10-Q | UPLOAD OLD | 6221 | ||||||||
| More... Please Sign In to list all of them. | |||||||||||||
| ________ † Market: Symbols source: SEC
: Nasdaq
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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 [2018] Sector → Sub-Industry | |
⇑ Assigned by the SEC
| ⇓ Assigned by S&P Dow Jones Indices / MSCI |
| Sector # | → | Sub-Industry # |
|---|---|---|
| Financials 25 | Investment Banking & Brokerage 8 Asset Management & Custody Banks 3 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. |
