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 Earnings Feed.
Source: Earnings Feed research · Nov 23
Latest Filings
- 10-KLPL Financial Holdings Inc.$LPLA
LPL Financial Holdings Inc. 10-K
Feb 23, 4:48 PM ET103.6 MB - 144Marex Group plc$MRX
Marex Group plc 144
Feb 23, 4:36 PM ET8.1 KB - 10-KCboe Global Markets, Inc.$CBOE
Cboe Global Markets, Inc. 10-K
Feb 20, 8:20 AM ET23.1 MB - SCHEDULE 13G/AConcentra Group Holdings Parent, Inc.
Concentra Group Holdings Parent, Inc. SCHEDULE 13G/A
Feb 17, 10:26 AM ET9.5 KB - SCHEDULE 13G/AUPWORK, INC
UPWORK, INC SCHEDULE 13G/A
Feb 17, 10:26 AM ET7.8 KB - SCHEDULE 13GWARRIOR MET COAL, INC.
WARRIOR MET COAL, INC. SCHEDULE 13G
Feb 17, 10:26 AM ET7.5 KB - SCHEDULE 13G/ATechnipFMC plc
TechnipFMC plc SCHEDULE 13G/A
Feb 17, 10:26 AM ET7.8 KB - SCHEDULE 13G/ATechnipFMC plc
TechnipFMC plc SCHEDULE 13G/A
Feb 17, 10:26 AM ET7.8 KB - SCHEDULE 13GPebblebrook Hotel Trust
Pebblebrook Hotel Trust SCHEDULE 13G
Feb 17, 10:26 AM ET7.5 KB - SCHEDULE 13G/AKEYCORP /NEW/
KEYCORP /NEW/ SCHEDULE 13G/A
Feb 17, 10:26 AM ET7.6 KB - SCHEDULE 13GKESTRA MEDICAL TECHNOLOGIES, LTD.
KESTRA MEDICAL TECHNOLOGIES, LTD. SCHEDULE 13G
Feb 17, 10:26 AM ET7.6 KB - SCHEDULE 13GAtmus Filtration Technologies Inc.
Atmus Filtration Technologies Inc. SCHEDULE 13G
Feb 17, 10:26 AM ET7.6 KB - SCHEDULE 13G/AKenvue Inc.
Kenvue Inc. SCHEDULE 13G/A
Feb 17, 10:26 AM ET7.6 KB - SCHEDULE 13G/ACorebridge Financial, Inc.
Corebridge Financial, Inc. SCHEDULE 13G/A
Feb 17, 10:26 AM ET7.8 KB - SCHEDULE 13G/AESAB Corp
ESAB Corp SCHEDULE 13G/A
Feb 17, 10:26 AM ET7.6 KB - SCHEDULE 13G/AVera Therapeutics, Inc.
Vera Therapeutics, Inc. SCHEDULE 13G/A
Feb 17, 10:26 AM ET7.6 KB - SCHEDULE 13GShoals Technologies Group, Inc.
Shoals Technologies Group, Inc. SCHEDULE 13G
Feb 17, 10:26 AM ET7.4 KB - SCHEDULE 13G/AAvidity Biosciences, Inc.
Avidity Biosciences, Inc. SCHEDULE 13G/A
Feb 17, 10:26 AM ET7.9 KB - SCHEDULE 13G/ATradeweb Markets Inc.
Tradeweb Markets Inc. SCHEDULE 13G/A
Feb 17, 10:26 AM ET7.6 KB - SCHEDULE 13G/AGeneration Bio Co.
Generation Bio Co. SCHEDULE 13G/A
Feb 17, 10:26 AM ET7.5 KB - SCHEDULE 13G/AVERRA MOBILITY Corp
VERRA MOBILITY Corp SCHEDULE 13G/A
Feb 17, 10:26 AM ET7.6 KB - SCHEDULE 13G/ADayforce, Inc.
Dayforce, Inc. SCHEDULE 13G/A
Feb 17, 10:26 AM ET7.7 KB - SCHEDULE 13G/ASensata Technologies Holding plc
Sensata Technologies Holding plc SCHEDULE 13G/A
Feb 17, 10:26 AM ET8.1 KB - SCHEDULE 13G/ACARVANA CO.
CARVANA CO. SCHEDULE 13G/A
Feb 17, 10:26 AM ET7.5 KB - SCHEDULE 13GWARRIOR MET COAL, INC.
WARRIOR MET COAL, INC. SCHEDULE 13G
Feb 17, 10:26 AM ET7.5 KB - SCHEDULE 13G/AFloor & Decor Holdings, Inc.
Floor & Decor Holdings, Inc. SCHEDULE 13G/A
Feb 17, 10:26 AM ET7.8 KB - SCHEDULE 13G/ATechnipFMC plc
TechnipFMC plc SCHEDULE 13G/A
Feb 17, 10:26 AM ET7.8 KB - SCHEDULE 13G/ALamb Weston Holdings, Inc.
Lamb Weston Holdings, Inc. SCHEDULE 13G/A
Feb 17, 10:26 AM ET7.5 KB - SCHEDULE 13GFortive Corp
Fortive Corp SCHEDULE 13G
Feb 17, 10:26 AM ET7.5 KB - SCHEDULE 13G/AHUBSPOT INC
HUBSPOT INC SCHEDULE 13G/A
Feb 17, 10:26 AM ET7.5 KB - SCHEDULE 13GInstalled Building Products, Inc.
Installed Building Products, Inc. SCHEDULE 13G
Feb 17, 10:26 AM ET7.5 KB - SCHEDULE 13G/AMediWound Ltd.
MediWound Ltd. SCHEDULE 13G/A
Feb 17, 10:26 AM ET7.6 KB - SCHEDULE 13G/ANatera, Inc.
Natera, Inc. SCHEDULE 13G/A
Feb 17, 10:26 AM ET7.7 KB - SCHEDULE 13G/ACORPAY, INC.
CORPAY, INC. SCHEDULE 13G/A
Feb 17, 10:26 AM ET7.8 KB - SCHEDULE 13GPebblebrook Hotel Trust
Pebblebrook Hotel Trust SCHEDULE 13G
Feb 17, 10:26 AM ET7.5 KB - SCHEDULE 13G/ADESCARTES SYSTEMS GROUP INC
DESCARTES SYSTEMS GROUP INC SCHEDULE 13G/A
Feb 17, 10:26 AM ET7.5 KB - SCHEDULE 13G/AMOLINA HEALTHCARE, INC.
MOLINA HEALTHCARE, INC. SCHEDULE 13G/A
Feb 17, 10:26 AM ET7.7 KB - SCHEDULE 13G/AADVANCE AUTO PARTS INC
ADVANCE AUTO PARTS INC SCHEDULE 13G/A
Feb 17, 10:26 AM ET9.2 KB - SCHEDULE 13G/AMKS INC
MKS INC SCHEDULE 13G/A
Feb 17, 10:26 AM ET7.7 KB - SCHEDULE 13GBEL FUSE INC /NJ
BEL FUSE INC /NJ SCHEDULE 13G
Feb 17, 10:26 AM ET7.5 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