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SIC Code | U.S. Industry Group | Registrants | ||||||
---|---|---|---|---|---|---|---|---|
620 | Security and Commodity Brokers, Dealers, Exchanges, and Services, et al. | 177 | ¹ | |||||
621 | Security Brokers, Dealers, and Flotation Companies | 299 | ||||||
622 | Commodity Contracts Brokers and Dealers | 313 | ||||||
623 | Security and Commodity Exchanges | – | ||||||
628 | Services Allied With the Exchange of Securities or Commodities | 195 | ||||||
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 | ||||||||
As Of | Filer / Issuer | Symbol† (Prices) | Latest Filings | SIC (Latest) | |||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|
As: Filer | Re: Issuer | ||||||||||||
Active in the Past Year (since 3/28/23) in Group 62’s Industries: | |||||||||||||
3/5/24 |
| Baker Global Asset Management Inc. | BAKR | 253G2 | UPLOAD OLD | 6200 | |||||||
4:28p ET |
| BGC Group, Inc. [ formerly BGC Partners, Inc. ] | BGC | 8-K | SC 13G | 6200 | |||||||
2/13/24 |
| BGC Group, Inc. | 424B3 | SC 13G | 6200 | ||||||||
2:51p ET | Canadian Derivatives Clearing Corp. | POS AM | UPLOAD OLD | 6200 | |||||||||
3/15/24 |
| Cboe Global Markets, Inc. | CBOE | PRE 14A | 4 | 6200 | |||||||
3/27/24 |
| CME Group Inc. | CME | DEFA14A | 4 | 6200 | |||||||
6/16/23 |
| Credit Suisse (USA) Inc. | EFFECT | UPLOAD OLD | 6200 | ||||||||
3/26/24 |
| Forge Global Holdings, Inc. [ formerly Motive Capital Corp. ] | FRGE | 10-K | 4 | 6200 | |||||||
7:26a ET | Garden Stage Ltd. | GSIW | 6-K | UPLOAD | 6200 | ||||||||
3/4/24 |
| Intercontinental Exchange Holdings, Inc. | 4 | SC 13G OLD | 6200 | ||||||||
3/27/24 |
| Intercontinental Exchange, Inc. | ICE | 10-K/A | 4 | 6200 | |||||||
2/8/24 |
| Investors Exchange LLC | 1/A | — | 6200 | ||||||||
4:58p ET |
| LPL Financial Holdings Inc. | LPLA | ARS | 4 | 6200 | |||||||
11/13/23 |
| LPL Holdings, Inc. | 424B5 | FWP | 6200 | ||||||||
3/26/24 | Marex Group plc | F-1 | — | 6200 | |||||||||
1/12/24 |
| Morgan Group Holding Co. | MGHL | 15-15D | 144 | 6200 | |||||||
12/21/23 |
| Nasdaq Gemx, LLC | 1/A | — | 6200 | ||||||||
3/22/24 |
| Nasdaq, Inc. | NDAQ | 8-K | SC 13D/A | 6200 | |||||||
3/19/24 |
| Options Clearing Corp. | D/A | — | 6200 | ||||||||
2/23/24 | Plutus Financial Group Ltd. | PLUT‡ | F-1/A | — | 6200 | ||||||||
More... Please Sign In to list all of them. | |||||||||||||
________ † Market: Symbols source: SEC ‡ 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 OF – Office of Finance |
SIC [SEC] Industry 6200 | ⇒ | GICS [2023] Sector → Sub-Industry | |
⇑ Assigned by the SEC | ⇓ 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. |