NAICS

Industries in the Securities, Commodity Contracts, and Other Financial Investments and Related Activities subsector group establishments that are primarily engaged in one of the following: (1) underwriting securities issues and/or making markets for securities and commodities; (2) acting as agents (i.e., brokers) between buyers and sellers of securities and commodities; (3) providing securities and commodity exchange services; and (4) providing other services, such as managing portfolios of assets; providing investment advice; and trust, fiduciary, and custody services.

This industry group comprises establishments primarily engaged in putting capital at risk in the process of underwriting securities issues or in making markets for securities and commodities; and those acting as agents and/or brokers between buyers and sellers of securities and commodities, usually charging a commission.

See industry description for 523110.

This industry comprises establishments primarily engaged in underwriting, originating, and/or maintaining markets for issues of securities. Investment bankers act as principals (i.e., investors who buy or sell on their own account) in firm commitment transactions or act as agents in best effort and standby commitments. This industry also includes establishments acting as principals in buying or selling securities generally on a spread basis, such as securities dealers or stock option dealers. Illustrative Examples: Bond dealing (i.e., acting as a principal in dealing securities to investors) Stock options dealing Securities underwriting Cross-References.

See industry description for 523120.

This industry comprises establishments primarily engaged in acting as agents (i.e., brokers) between buyers and sellers in buying or selling securities on a commission or transaction fee basis. Illustrative Examples: Mutual fund agencies (i.e., brokerages) Stock brokerages Securities brokerages Cross-References.

See industry description for 523130.

This industry comprises establishments primarily engaged in acting as principals (i.e., investors who buy or sell for their own account) in buying or selling spot or futures commodity contracts or options, such as precious metals, foreign currency, oil, or agricultural products, generally on a spread basis. Cross-References. Establishments primarily engaged in--

See industry description for 523140.

This industry comprises establishments primarily engaged in acting as agents (i.e., brokers) in buying or selling spot or futures commodity contracts or options on a commission or transaction fee basis. Illustrative Examples: Commodity contracts brokerages Financial futures brokerages Commodity futures brokerages Cross-References. Establishments primarily engaged in--

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See industry description for 523210.

This industry comprises establishments primarily engaged in furnishing physical or electronic marketplaces for the purpose of facilitating the buying and selling of stocks, stock options, bonds, or commodity contracts. Cross-References.

This industry group comprises establishments primarily engaged in one of the following: (1) acting as principals in buying or selling financial contracts (except investment bankers, securities dealers, and commodity contracts dealers); (2) acting as agents (i.e., brokers) (except securities brokerages and commodity contracts brokerages) in buying or selling financial contracts; or (3) providing other investment services (except securities and commodity exchanges), such as portfolio management; investment advice; and trust, fiduciary, and custody services.

See industry description for 523910.

This industry comprises establishments primarily engaged in acting as principals (except investment bankers, securities dealers, and commodity contracts dealers) in buying or selling financial contracts generally on a spread basis. Principals are investors that buy or sell for their own account. Illustrative Examples: Investment clubs Tax liens dealing (i.e., acting as a principal in dealing tax liens to investors) Mineral royalties or leases dealing (i.e., acting as a principal in dealing royalties or leases to investors) Venture capital companies Cross-References.

See industry description for 523920.

This industry comprises establishments primarily engaged in managing the portfolio assets (i.e., funds) of others on a fee or commission basis. Establishments in this industry have the authority to make investment decisions, and they derive fees based on the size and/or overall performance of the portfolio. Illustrative Examples: Managing trusts Pension fund managing Mutual fund managing Portfolio fund managing Cross-References.

See industry description for 523930.

This industry comprises establishments primarily engaged in providing customized investment advice to clients on a fee basis, but do not have the authority to execute trades. Primary activities performed by establishments in this industry are providing financial planning advice and investment counseling to meet the goals and needs of specific clients. Illustrative Examples: Financial investment advice services, customized, fees paid by client Investment advisory services, customized, fees paid by client Financial planning services, customized, fees paid by client Cross-References.