Security & Commodity Brokers, Dealers, Exchanges & Services
94 tracked issuers filing with the SEC under this industry classification.
Issuers
94
Filings
40
SIC Code
6200
Industry Overview
Security & Commodity Brokers, Dealers, Exchanges & Services
The Security & Commodity Brokers, Dealers, Exchanges & Services industry (SIC 6200) connects investors to global capital and derivatives markets through trade execution, market making, research, clearing, custody, and prime brokerage. Firms span full‑service investment banks, online brokerages, proprietary trading shops, exchanges, and clearinghouses serving retail investors, hedge funds, asset managers, corporates, and governments. Core offerings include equities and options trading, fixed-income and FX dealing, futures and commodity contracts, margin lending, and structured products. Key risks center on market volatility, liquidity squeezes, counterparty defaults, operational failures, and cyberattacks, managed under intensive oversight from the SEC, CFTC, FINRA, and global prudential standards. In 2024–2025, the sector is shaped by T+1 settlement, AI-enhanced trading and surveillance, digital asset experimentation, consolidation among platforms, and heightened focus on compliance, transparency, and best execution. To track how these dynamics affect individual firms in real time, view live SEC filings and disclosures on EarningsFeed.
Source: Earnings Feed research · 11/23/2025
Latest Filings
- 8-KCANADIAN DERIVATIVES CLEARING CORP
CANADIAN DERIVATIVES CLEARING CORP 8-K
Jan 8, 4:20 PM ET279.5 KB - SCHEDULE 13G/ASmartStop Self Storage REIT, Inc.
SmartStop Self Storage REIT, Inc. SCHEDULE 13G/A
Jan 8, 12:14 PM ET7.6 KB - SCHEDULE 13G/AIvanhoe Electric Inc.
Ivanhoe Electric Inc. SCHEDULE 13G/A
Jan 8, 12:14 PM ET7.6 KB - SCHEDULE 13GFabrinet
Fabrinet SCHEDULE 13G
Jan 8, 12:14 PM ET7.6 KB - 8-KLPL Financial Holdings Inc.$LPLA
LPL Financial Holdings Inc. 8-K
Jan 8, 9:08 AM ET166.6 KB - 144Marex Group plc$MRX
Marex Group plc 144
Jan 7, 4:37 PM ET11.1 KB - 8-KTradeweb Markets Inc.$TW
Tradeweb Markets Inc. 8-K
Jan 6, 4:17 PM ET165.3 KB - 6-KPlutus Financial Group Ltd$PLUT
Plutus Financial Group Ltd 6-K
Dec 30, 6:28 PM ET49.9 KB - 6-KPlutus Financial Group Ltd$PLUT
Plutus Financial Group Ltd 6-K
Dec 30, 12:23 PM ET98.6 KB - 8-KForge Global Holdings, Inc.$FRGE
Forge Global Holdings, Inc. 8-K
Dec 29, 4:15 PM ET182.7 KB - 8-KBGC Group, Inc.$BGC
BGC Group, Inc. 8-K
Dec 29, 8:03 AM ET232.6 KB - 8-KNASDAQ, INC.$NDAQ
NASDAQ, INC. 8-K
Dec 15, 4:18 PM ET266.7 KB - 144/AMarex Group plc$MRX
Marex Group plc 144/A
Dec 8, 6:22 PM ET10.5 KB - 4Intercontinental Exchange Holdings, Inc.
Intercontinental Exchange Holdings, Inc. 4
Dec 5, 6:19 PM ET13.9 KB - 4/AIntercontinental Exchange Holdings, Inc.
Intercontinental Exchange Holdings, Inc. 4/A
Dec 5, 6:12 PM ET23.9 KB - SCHEDULE 13G/AMIDDLEBY Corp
MIDDLEBY Corp SCHEDULE 13G/A
Dec 5, 12:52 PM ET7.6 KB - SCHEDULE 13G/ADayforce, Inc.
Dayforce, Inc. SCHEDULE 13G/A
Dec 5, 12:52 PM ET7.6 KB - SCHEDULE 13G/AiQIYI, Inc.
iQIYI, Inc. SCHEDULE 13G/A
Dec 5, 12:52 PM ET8.0 KB - SCHEDULE 13G/ASmartStop Self Storage REIT, Inc.
SmartStop Self Storage REIT, Inc. SCHEDULE 13G/A
Dec 5, 12:52 PM ET7.6 KB - 6-KGarden Stage Ltd$GSIW
Garden Stage Ltd 6-K
Dec 2, 4:05 PM ET19.3 KB - 8-KCANADIAN DERIVATIVES CLEARING CORP
CANADIAN DERIVATIVES CLEARING CORP 8-K
Dec 2, 6:26 AM ET277.2 KB - 8-KNASDAQ, INC.$NDAQ
NASDAQ, INC. 8-K
Dec 1, 4:17 PM ET240.0 KB - 10-KStoneX Group Inc.$SNEX
StoneX Group Inc. 10-K
Nov 28, 5:27 PM ET26.3 MB - 8-KStoneX Group Inc.$SNEX
StoneX Group Inc. 8-K
Nov 24, 4:32 PM ET1.2 MB - 8-KIntercontinental Exchange, Inc.$ICE
Intercontinental Exchange, Inc. 8-K
Nov 17, 4:20 PM ET528.5 KB - 13F-HRStoneX Group Inc.$SNEX
StoneX Group Inc. 13F-HR
Nov 14, 4:36 PM ET471.5 KB - SCHEDULE 13GKEYCORP /NEW/
KEYCORP /NEW/ SCHEDULE 13G
Nov 14, 12:19 PM ET7.4 KB - SCHEDULE 13G/AEXPAND ENERGY Corp
EXPAND ENERGY Corp SCHEDULE 13G/A
Nov 14, 12:19 PM ET7.7 KB - SCHEDULE 13G/ATIDEWATER INC
TIDEWATER INC SCHEDULE 13G/A
Nov 14, 12:19 PM ET7.8 KB - SCHEDULE 13G/ARENAISSANCERE HOLDINGS LTD
RENAISSANCERE HOLDINGS LTD SCHEDULE 13G/A
Nov 14, 12:19 PM ET7.6 KB - SCHEDULE 13G/ABIO-TECHNE Corp
BIO-TECHNE Corp SCHEDULE 13G/A
Nov 14, 12:19 PM ET7.7 KB - SCHEDULE 13G/ASTANLEY BLACK & DECKER, INC.
STANLEY BLACK & DECKER, INC. SCHEDULE 13G/A
Nov 14, 12:19 PM ET7.7 KB - SCHEDULE 13G/ALATTICE SEMICONDUCTOR CORP
LATTICE SEMICONDUCTOR CORP SCHEDULE 13G/A
Nov 14, 12:19 PM ET7.5 KB - SCHEDULE 13G/AMIDDLEBY Corp
MIDDLEBY Corp SCHEDULE 13G/A
Nov 14, 12:19 PM ET7.6 KB - SCHEDULE 13G/ACelldex Therapeutics, Inc.
Celldex Therapeutics, Inc. SCHEDULE 13G/A
Nov 14, 12:19 PM ET7.9 KB - SCHEDULE 13G/AXCEL ENERGY INC
XCEL ENERGY INC SCHEDULE 13G/A
Nov 14, 12:19 PM ET7.7 KB - SCHEDULE 13GHEXCEL CORP /DE/
HEXCEL CORP /DE/ SCHEDULE 13G
Nov 14, 12:19 PM ET7.6 KB - SCHEDULE 13GViper Energy, Inc.
Viper Energy, Inc. SCHEDULE 13G
Nov 14, 12:19 PM ET7.6 KB - SCHEDULE 13GTalon Capital Corp.
Talon Capital Corp. SCHEDULE 13G
Nov 14, 12:19 PM ET7.6 KB - SCHEDULE 13G/AConcentra Group Holdings Parent, Inc.
Concentra Group Holdings Parent, Inc. SCHEDULE 13G/A
Nov 14, 12:19 PM ET9.5 KB
Featured Issuers
12ACA Capital Holdings Inc
CIK 0001304623
Allies Ltd
CIK 0001471099
ARCHIPELAGO HOLDINGS INC
CIK 0001107389
AZAZ Capital Corp.
CIK 0001500768
Bats Global Markets, Inc.
CIK 0001659228
BATS Global Markets, Inc.
CIK 0001519917
BELCREST CAPITAL FUND LLC
CIK 0001070495
BELMAR CAPITAL FUND LLC
CIK 0001108991
BELPORT CAPITAL FUND LLC
CIK 0001138602
BELROSE CAPITAL FUND LLC
CIK 0001170304
- $BGC
BGC Group, Inc.
CIK 0001094831
BGC Group, Inc.
CIK 0001950475
Classification
- SIC Code
- 6200
- Total Issuers
- 94
- Recent Filings
- 40