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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 §



296  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 6/6/22) in Industry 6211:
5/3/23
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Agf Management Ltd.  13F-HR  —  6211
6/5/23
 CT
 
Associated Capital Group, Inc.  AC  8-K
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  4/A  6211
6/2/23
 NY
 
BlackRock Inc.  BLK  8-K  4 New Filing in the Past Week!  6211
5/24/23
 TX
 
Charles Schwab Corp.  SCHW  8-K  4  6211
6/5/23
 NY
 
Citigroup Global Markets Holdings Inc.  424B2
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  FWP
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  6211
5/5/23
 PA
 
Cohen & Co. Inc.  COHN  10-Q  4  6211
5/15/23
 NY
 
Cowen Holdings, Inc.  4  SC 13G OLD  6211
5/15/23
 NY
 
Cowen Inc.  4  SC 13D/A  6211
6/5/23
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Credit Suisse AG  GLDI  6-K
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  UPLOAD  6211
5/31/23
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Credit Suisse Group AG  CS  6-K New Filing in the Past Week!  UPLOAD  6211
6/5/23
 FL
 
Dune Acquisition Corp.  DUNE  PREM14A
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  SC 13G  6211
2/14/23
 VA
 
Enterprise Diversified, Inc. [ formerly Sitestar Corp. ]  15-12G  SC 13G/A  6211
10/31/22
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eToro Group Ltd.  D  —  6211
5/31/23
 NY
 
Freedom Holding Corp.  FRHC  NT 10-K New Filing in the Past Week!  4  6211
5/15/23
 CO
 
Frontier Balanced Fund  10-Q  UPLOAD OLD  6221
5/15/23
 CO
 
Frontier Diversified Fund  10-Q  UPLOAD OLD  6221
5/15/23
 CO
 
Frontier Global Fund [ formerly Frontier Winton Fund ]  10-Q  UPLOAD OLD  6221
5/15/23
 CO
 
Frontier Heritage Fund  10-Q  UPLOAD OLD  6221
5/15/23
 CO
 
Frontier Long/Short Commodity Fund  10-Q  UPLOAD OLD  6221
5/15/23
 CO
 
Frontier Masters Fund  10-Q  UPLOAD OLD  6221
More...  Please Sign In to list all of them. 
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   Market: Symbols source:  SEC
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Prices:  Nasdaq
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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 [2018] 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   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.
 

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