ఈ పరిశ్రమలో ఈ క్రింది సంస్థలు ఉన్నాయి:
1. Underwrite securities issues and/or make markets for securities and commodities;
2. Act as brokers between buyers and sellers of securities and commodities;
3. Provide securities and commodity exchange services; and
4. Manage portfolios of assets, provide investment advice, and provide and trust, fiduciary, and custody services.