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Security and Commodity Brokers, Dealers, Exchanges, and Services
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SIC Major Group 62

SIC [1987]  →  Finance, Insurance, and Real Estate  →  Security & Commodity Brokers §
 
SIC CodeU.S. Industry Group  Registrants
In ascending order   
620Security and Commodity Brokers, Dealers, Exchanges, and Services, et al.  § OF 177 ¹
621Security Brokers, Dealers, and Flotation Companies299 
622Commodity Contracts Brokers and Dealers313 
623Security and Commodity Exchanges– 
628Services Allied With the Exchange of Securities or Commodities195 
        Registrants in SIC Major Group 62:   984 
____________
 §  In the SIC [SEC] subset of SIC [1987] for assigning Filings-review to the SEC Filings-Review Offices:
          OF – Office of Finance
 




        

¹  177  Registrants Operate Across Multiple Industries Within Major Group 62:
   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 3/28/23) in Group 62’s Industries:
3/5/24
 NY
 
Baker Global Asset Management Inc.  BAKR  253G2  UPLOAD OLD  6200
4:28p ET
 NY
 
BGC Group, Inc. [ formerly BGC Partners, Inc. ]  BGC  8-K
New Filing in the Past 24 Hours! emoji
  SC 13G  6200
2/13/24
 NY
 
BGC Group, Inc.  424B3  SC 13G  6200
2:51p ET
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Canadian Derivatives Clearing Corp.  POS AM
New Filing in the Past 24 Hours! emoji
  UPLOAD OLD  6200
3/15/24
 IL
 
Cboe Global Markets, Inc.  CBOE  PRE 14A  4  6200
3/27/24
 IL
 
CME Group Inc.  CME  DEFA14A New Filing in the Past Week!  4 New Filing in the Past Week!  6200
6/16/23
 NY
 
Credit Suisse (USA) Inc.  EFFECT  UPLOAD OLD  6200
3/26/24
 CA
 
Forge Global Holdings, Inc. [ formerly Motive Capital Corp. ]  FRGE  10-K New Filing in the Past Week!  4  6200
7:26a ET
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Garden Stage Ltd.  GSIW  6-K
New Filing in the Past 24 Hours! emoji
  UPLOAD  6200
3/4/24
 GA
 
Intercontinental Exchange Holdings, Inc.  4  SC 13G OLD  6200
3/27/24
 GA
 
Intercontinental Exchange, Inc.  ICE  10-K/A New Filing in the Past Week!  4  6200
2/8/24
 NY
 
Investors Exchange LLC  1/A  —  6200
4:58p ET
 CA
 
LPL Financial Holdings Inc.  LPLA  ARS
New Filing in the Past 24 Hours! emoji
  4
New Filing in the Past 24 Hours! emoji
  6200
11/13/23
 CA
 
LPL Holdings, Inc.  424B5  FWP  6200
3/26/24
Flag of United Kingdom emoji
 
Marex Group plc  F-1 New Filing in the Past Week!  —  6200
1/12/24
 NY
 
Morgan Group Holding Co.  MGHL  15-15D  144  6200
12/21/23
 NY
 
Nasdaq Gemx, LLC  1/A  —  6200
3/22/24
 NY
 
Nasdaq, Inc.  NDAQ  8-K New Filing in the Past Week!  SC 13D/A New Filing in the Past Week!  6200
3/19/24
 IL
 
Options Clearing Corp.  D/A  —  6200
2/23/24
Flag of China emoji
 
Plutus Financial Group Ltd.  PLUT  F-1/A  —  6200
More...  Please Sign In to list all of them. 
________
   Market: Symbols source:  SEC
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Prices:  Nasdaq
Nasdaq Stock Market emoji
, NYSE
New York Stock Exchange / ICE emoji
 ,
OTC Markets (over-the-counter) emoji
  or  
Cboe Global Markets emoji
.

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


Description of SIC Major Group 62 — Security and Commodity Brokers, Dealers, Exchanges, and Services §
 
This major group includes establishments engaged in the underwriting, purchase, sale, or brokerage of securities and other financial contracts on their own account or for the account of others; and exchanges, exchange clearinghouses, and other services allied with the exchange of securities and commodities.


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


Global Industry Classification Standard    S&P DJI  /  MSCI 

SIC [SEC] Industry 6200            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   11  Financial Exchanges & Data   5
Diversified Capital Markets   2
Asset Management & Custody Banks   1
Investment Banking & Brokerage   1
 
____________
 # of Major-Index Companies in both this SIC Industry and the GICS Sector / Sub-Industry.
 

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