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 below.
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 option dealing Securities underwriting
Cross-References. Establishments primarily engaged in--
Go to: | No change 2002 to 2007 | No change 1997 to 2002 | 2002 Economic Census and other data sources |
2007 NAICS | 2002 NAICS | 1997 NAICS |
Corresponding Index Entries |
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523110 | 523110 | 523110 | Banking, investment |
523110 | 523110 | 523110 | Bond dealing (i.e., acting as a principal in dealing securities to investors) |
523110 | 523110 | 523110 | Commercial paper dealing (i.e., acting as a principal in dealing securities to investors) |
523110 | 523110 | 523110 | Investment banking |
523110 | 523110 | 523110 | Making markets for securities |
523110 | 523110 | 523110 | Market making for securities |
523110 | 523110 | 523110 | Paper, dealing of commercial (i.e., acting as principal in dealing securities to investors) |
523110 | 523110 | 523110 | Securities dealers (i.e., acting as a principal in dealing securities to investors) |
523110 | 523110 | 523110 | Securities dealing (i.e., acting as a principal in dealing securities to investors) |
523110 | 523110 | 523110 | Securities distributing (i.e., acting as a principal in dealing securities to investors) |
523110 | 523110 | 523110 | Securities floor traders (i.e., acting as a principal in dealing securities to investors) |
523110 | 523110 | 523110 | Securities flotation companies |
523110 | 523110 | 523110 | Securities originating (i.e., acting as a principal in dealing securities to investors) |
523110 | 523110 | 523110 | Securities trading (i.e., acting as a principal in dealing securities to investors) |
523110 | 523110 | 523110 | Securities underwriting |
523110 | 523110 | 523110 | Stock options dealing (i.e., acting as a principal in dealing securities to investors) |
523110 | 523110 | 523110 | Trading securities (i.e., acting as a principal in dealing securities to investors) |
523110 | 523110 | 523110 | Underwriting securities |
See industry description for 523120 below.
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. Establishments primarily engaged in investment banking and securities dealing (i.e., buying or selling securities on their own account) are classified in Industry 523110, Investment Banking and Securities Dealing.
Go to: | No change 2002 to 2007 | No change 1997 to 2002 | 2002 Economic Census and other data sources |
2007 NAICS | 2002 NAICS | 1997 NAICS |
Corresponding Index Entries |
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523120 | 523120 | 523120 | Bond brokerages |
523120 | 523120 | 523120 | Brokerages, securities |
523120 | 523120 | 523120 | Certificate of deposit (CD) brokers' offices |
523120 | 523120 | 523120 | Commercial note brokers' offices |
523120 | 523120 | 523120 | Mutual fund agencies (i.e., brokerages) |
523120 | 523120 | 523120 | Mutual fund agents' (i.e., brokers') offices |
523120 | 523120 | 523120 | Securities brokerages |
523120 | 523120 | 523120 | Securities brokers' offices |
523120 | 523120 | 523120 | Securities floor brokers |
523120 | 523120 | 523120 | Stock brokerages |
523120 | 523120 | 523120 | Stock brokers' offices |
523120 | 523120 | 523120 | Stock options brokerages |
See industry description for 523130 below.
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--
Go to: | No change 2002 to 2007 | No change 1997 to 2002 | 2002 Economic Census and other data sources |
2007 NAICS | 2002 NAICS | 1997 NAICS |
Corresponding Index Entries |
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523130 | 523130 | 523130 | Commodity contract trading companies |
523130 | 523130 | 523130 | Commodity contracts dealing (i.e., acting as a principal in dealing commodities to investors) |
523130 | 523130 | 523130 | Commodity contracts floor traders (i.e., acting as a principal in dealing commodities to investors) |
523130 | 523130 | 523130 | Commodity contracts floor trading (i.e., acting as a principal in dealing commodities to investors) |
523130 | 523130 | 523130 | Commodity contracts options dealing (i.e., acting as a principal in dealing commodities to investors) |
523130 | 523130 | 523130 | Commodity contracts traders (i.e., acting as a principal in dealing commodities to investors) |
523130 | 523130 | 523130 | Foreign currency exchange dealing (i.e., acting as a principal in dealing commodities to investors) |
523130 | 523130 | 523130 | Foreign currency exchange services (i.e., selling to the public) |
523130 | 523130 | 523130 | Futures commodity contracts dealing (i.e., acting as a principal in dealing commodities to investors) |
523130 | 523130 | 523130 | Trading companies, commodity contracts |
See industry description for 523140 below.
This industry comprises establishments primarily engaged in acting as agents (i.e., brokers) in buying or selling spot or future 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--
Go to: | No change 2002 to 2007 | No change 1997 to 2002 | 2002 Economic Census and other data sources |
2007 NAICS | 2002 NAICS | 1997 NAICS |
Corresponding Index Entries |
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523140 | 523140 | 523140 | Brokerages, commodity contracts |
523140 | 523140 | 523140 | Commodity contracts brokerages |
523140 | 523140 | 523140 | Commodity contracts brokers' offices |
523140 | 523140 | 523140 | Commodity contracts floor brokers |
523140 | 523140 | 523140 | Commodity contracts options brokerages |
523140 | 523140 | 523140 | Commodity futures brokerages |
523140 | 523140 | 523140 | Financial futures brokerages |
523140 | 523140 | 523140 | Futures commodity contracts brokerages |
523140 | 523140 | 523140 | Futures commodity contracts brokers' offices |
See industry description for 523210 below.
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. Establishments primarily engaged in investment banking, and securities dealing, securities brokering, commodity contracts dealing, or commodity contracts brokering are classified in Industry Group 5231, Securities and Commodity Contracts Intermediation and Brokerage.
Go to: | No change 2002 to 2007 | No change 1997 to 2002 | 2002 Economic Census and other data sources |
2007 NAICS | 2002 NAICS | 1997 NAICS |
Corresponding Index Entries |
---|---|---|---|
523210 | 523210 | 523210 | Commodity contracts exchanges |
523210 | 523210 | 523210 | Exchanges, commodity contracts |
523210 | 523210 | 523210 | Exchanges, securities |
523210 | 523210 | 523210 | Futures commodity contracts exchanges |
523210 | 523210 | 523210 | Securities exchanges |
523210 | 523210 | 523210 | Stock exchanges |
523210 | 523210 | 523210 | Stock or commodity options exchanges |
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 below.
This industry comprises establishments primarily engaged in acting as principals (except investment bankers, securities dealers, and commodity contracts dealers) in buying or selling of 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. Establishments primarily engaged in investment banking, securities dealing, securities brokering, commodity contracts dealing, or commodity contracts brokering are classified in Industry Group 5231, Securities and Commodity Contracts Intermediation and Brokerage.
Go to: | No change 2002 to 2007 | No change 1997 to 2002 | 2002 Economic Census and other data sources |
2007 NAICS | 2002 NAICS | 1997 NAICS |
Corresponding Index Entries |
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523910 | 523910 | 523910 | Individuals investing in financial contracts on own account |
523910 | 523910 | 523910 | Investment clubs |
523910 | 523910 | 523910 | Mineral royalties or leases dealing (i.e., acting as a principal in dealing royalties or leases to investors) |
523910 | 523910 | 523910 | Oil royalty dealing (i.e., acting as a principal in dealing royalties to investors) |
523910 | 523910 | 523910 | Tax liens dealing (i.e., acting as a principal in dealing tax liens to investors) |
523910 | 523910 | 523910 | Venture capital companies |
523910 | 523910 | 523910 | Viatical settlement companies |
See industry description for 523920 below.
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. Establishments primarily engaged in investment banking, securities dealing, securities brokering, commodity contracts dealing, or commodity contracts brokering are classified in Industry Group 5231, Securities and Commodity Contracts Intermediation and Brokerage.
Go to: | No change 2002 to 2007 | No change 1997 to 2002 | 2002 Economic Census and other data sources |
2007 NAICS | 2002 NAICS | 1997 NAICS |
Corresponding Index Entries |
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523920 | 523920 | 523920 | Investment management |
523920 | 523920 | 523920 | Managing investment funds |
523920 | 523920 | 523920 | Managing mutual funds |
523920 | 523920 | 523920 | Managing personal investment trusts |
523920 | 523920 | 523920 | Managing trusts |
523920 | 523920 | 523920 | Mutual fund managing |
523920 | 523920 | 523920 | Pension fund managing |
523920 | 523920 | 523920 | Personal investments trusts, managing |
523920 | 523920 | 523920 | Portfolio fund managing |
See industry description for 523930 below.
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. Establishments primarily engaged in--
Go to: | No change 2002 to 2007 | No change 1997 to 2002 | 2002 Economic Census and other data sources |
2007 NAICS | 2002 NAICS | 1997 NAICS |
Corresponding Index Entries |
---|---|---|---|
523930 | 523930 | 523930 | Certified financial planners, customized, fees paid by client |
523930 | 523930 | 523930 | Financial investment advice services, customized, fees paid by client |
523930 | 523930 | 523930 | Financial planning services, customized, fees paid by client |
523930 | 523930 | 523930 | Investment advice consulting services, customized, fees paid by client |
523930 | 523930 | 523930 | Investment advice counseling services, customized, fees paid by client |
523930 | 523930 | 523930 | Investment advisory services, customized, fees paid by client |
This industry comprises establishments primarily engaged in acting as agents or brokers (except securities brokerages and commodity contracts brokerages) in buying and selling financial contracts providing financial investment activities (except securities and commodity exchanges, portfolio management, and investment advice).
Illustrative Examples:
Bank trust offices Fiduciary agencies (except real estate) Escrow agencies (except real estate) Stock quotation services
Cross-References. Establishments primarily engaged in--
This U.S. industry comprises establishments primarily engaged in providing trust, fiduciary, and custody services to others, as instructed, on a fee or contract basis, such as bank trust offices and escrow agencies (except real estate).
Cross-References. Establishments primarily engaged in--
Go to: | No change 2002 to 2007 | No change 1997 to 2002 | 2002 Economic Census and other data sources |
2007 NAICS | 2002 NAICS | 1997 NAICS |
Corresponding Index Entries |
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523991 | 523991 | 523991 | Administrators of private estates |
523991 | 523991 | 523991 | Bank trust offices |
523991 | 523991 | 523991 | Escrow agencies (except real estate) |
523991 | 523991 | 523991 | Fiduciary agencies (except real estate) |
523991 | 523991 | 523991 | Personal investments trust administration |
523991 | 523991 | 523991 | Securities custodians |
523991 | 523991 | 523991 | Trust administration, personal investment |
523991 | 523991 | 523991 | Trust companies, nondepository |
This U.S. industry comprises establishments primarily engaged in acting as agents and/or brokers (except securities brokerages and commodity contracts brokerages) in buying or selling financial contracts and those providing financial investment services (except securities and commodity exchanges; portfolio management; investment advice; and trust, fiduciary, and custody services) on a fee or commission basis.
Illustrative Examples:
Exchange clearinghouses, commodities or securities Stock quotation services Gas lease brokers' offices
Cross-References. Establishments primarily engaged in--
Go to: | No change 2002 to 2007 | No change 1997 to 2002 | 2002 Economic Census and other data sources |
2007 NAICS | 2002 NAICS | 1997 NAICS |
Corresponding Index Entries |
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523999 | 523999 | 523999 | Clearinghouses, commodity exchange or securities exchange |
523999 | 523999 | 523999 | Deposit brokers |
523999 | 523999 | 523999 | Exchange clearinghouses, commodities or securities |
523999 | 523999 | 523999 | Gas lease brokers' offices |
523999 | 523999 | 523999 | Oil lease brokers' offices |
523999 | 523999 | 523999 | Protective committees, security holders |
523999 | 523999 | 523999 | Quotation services, securities |
523999 | 523999 | 523999 | Quotation services, stock |
523999 | 523999 | 523999 | Securities holders' protective services |
523999 | 523999 | 523999 | Securities transfer agencies |
523999 | 523999 | 523999 | Stock quotation services |
523999 | 523999 | 523999 | Stock transfer agencies |
523999 | 523999 | 523999 | Transfer agencies, securities |