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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 & Real Estate  →  Security & Commodity Brokers  →  Security Brokers & Dealers  →  Security brokers & dealers §



301  Registrants
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  ·   List them ordered by how active they’ve been   ·   List only Registrants currently in this Industry



As Of     Filer / IssuerLatest Filings     SIC
 (Latest)
In ascending orderAs: Filer    Re: Issuer    
Active (in the Past Year, since 1/27/20) in Industry 6211:
1/7/21
 NY
 
Associated Capital Group, Inc. [ formerly Gabelli Securities Group, Inc. ]  8-K  3  6211
1/26/21
 NY
 
BlackRock Inc.  SC 13G/A
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  4  6211
12/29/20
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China Finance Online Co. Ltd  6-K  F-6 POS  6211
1/26/21
 NY
 
Citigroup Global Markets Holdings Inc.  424B2
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  FWP
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  6211
12/23/20
 PA
 
Cohen & Co Inc. [ formerly Institutional Financial Markets, Inc. ]  8-K  4  6211
1/26/21
 NY
 
Cowen Inc. [ formerly Cowen Group, Inc. ]  8-K
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  SC 13G/A New Filing in the Past Week!  6211
1/26/21
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Credit Suisse AG [ formerly Credit Suisse/FI ]  FWP
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  FWP
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  6211
1/8/21
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Credit Suisse Group AG [ formerly Credit Suisse Group ]  6-K  UPLOAD  6211
1/19/21
 UT
 
Freedom Holding Corp. [ formerly BMB Munai Inc ]  8-K  4  6211
12/28/20
 CO
 
Frontier Balanced Fund [ formerly Equinox Frontier Balanced Fund ]  8-K  UPLOAD OLD  6211
12/28/20
 CO
 
Frontier Diversified Fund [ formerly Equinox Frontier Diversified Fund ]  8-K  UPLOAD OLD  6211
11/13/20
 CO
 
Frontier Global Fund [ formerly Frontier Winton Fund ]  10-Q  UPLOAD OLD  6211
11/13/20
 CO
 
Frontier Heritage Fund [ formerly Equinox Frontier Heritage Fund ]  10-Q  UPLOAD OLD  6211
1/12/21
 CO
 
Frontier Long/Short Commodity Fund [ formerly Equinox Frontier Long/Short Commodity Fund ]  8-K  UPLOAD OLD  6211
11/13/20
 CO
 
Frontier Masters Fund [ formerly Equinox Frontier Masters Fund ]  10-Q  UPLOAD OLD  6211
11/13/20
 CO
 
Frontier Select Fund [ formerly Equinox Frontier Select Fund ]  10-Q  UPLOAD OLD  6211
1/5/21
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Futu Holdings Ltd  6-K  SC 13D/A  6211
1/26/21
 NY
 
Gamco Investors, Inc. et al [ formerly Gabelli Asset Management Inc ]  8-K New Filing in the Past Week!  4
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  6211
11/16/20
 NY
 
Global Arena Holding, Inc. [ formerly China Stationery & Office Supply, Inc. ]  10-Q  SC 13G/A OLD  6211
11/13/20
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Goldman Sachs Bank AG [ formerly Goldman Sachs & Co Bank ]  13F-NT  —  6211
More...  Please Sign In to list all of them. 
 



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 (RO) 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   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.
 

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