NAICS 5231 - Securities and Commodity Contracts Intermediation and Brokerage
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Related NAICS Codes for NAICS 5231
Click on any NAICS code to explore that specific industry within NAICS 5231
| NAICS Code | Industry Title |
|---|---|
| 52315 | Investment Banking and Securities Intermediation |
| 52316 | Commodity Contracts Intermediation |
| NAICS Code | Industry Title |
|---|---|
| 523150 | Investment Banking and Securities Intermediation |
| 523160 | Commodity Contracts Intermediation |
What is NAICS 5231
NAICS code 5231 covers the Securities and Commodity Contracts Intermediation and Brokerage industry group, which includes establishments primarily engaged in underwriting securities issues and making markets for securities and commodities. This sector also comprises firms acting as agents or brokers between buyers and sellers of securities and commodities, typically earning commissions for their services. Businesses in this sector play a critical role in capital markets by facilitating the flow of capital, providing liquidity, and enabling price discovery. These functions support both private sector investment and public sector financial management. Government agencies contract these services to manage public funds, assist in the issuance of government securities, and obtain market intelligence for informed financial decision-making.
Industry Classification for NAICS 5231
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.
Breakdown for NAICS 5231
- Includes firms underwriting securities and making markets in securities and commodities.
- Encompasses brokerage services acting as intermediaries between buyers and sellers.
- Typically involves commission-based revenue models for transactional services.
- Applies to businesses facilitating government and private sector capital flows.
- Subject to regulatory oversight by bodies such as the SEC and CFTC.
- Small to large firms engaged in securities issuance and market-making activities.
Included Activities for NAICS 5231
- Underwriting new securities issues for government and private entities.
- Acting as brokers to facilitate buying and selling of securities and commodities.
- Providing market making services to ensure liquidity in financial markets.
- Advising government agencies on capital market transactions and strategies.
- Managing portfolios of government securities and investment instruments.
- Conducting market analysis and regulatory compliance support.
- Executing electronic trading and transaction settlement services.
- Charging commissions for brokerage and intermediation services.
Business Types for NAICS 5231
- Securities underwriting firms
- Commodity brokerage companies
- Investment banks engaged in market making
- Registered broker-dealers
- Financial advisory firms specialized in government securities
- Market intermediaries licensed by regulatory authorities
Government Buyers for NAICS 5231
Federal agencies such as the Department of the Treasury, the Securities and Exchange Commission, and state and local government finance departments typically purchase services under NAICS 5231. These agencies require brokerage and intermediation services to facilitate the issuance and trading of government bonds, manage financial portfolios, and ensure compliance with regulatory standards. Additionally, government pension funds and public investment boards contract these services to maximize returns and manage investment risks effectively. The expertise provided helps government entities navigate complex financial markets and optimize fiscal operations.
Contract Types & Procurement for NAICS 5231
Common contract types for NAICS 5231 include fixed-price agreements for underwriting and brokerage services, as well as time-and-materials contracts for advisory and market analysis services. Procurement methods often involve competitive bidding, Requests for Proposals (RFPs), and negotiated contracts due to the specialized expertise required. Contract values vary widely depending on the scale of the securities issuance or the volume of transactions, ranging from several hundred thousand dollars for advisory contracts to multimillion-dollar agreements for underwriting large bond issues. Long-term contracts are not uncommon, reflecting ongoing brokerage and market-making needs.
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