Full text of NOMURA SECURITIES INTERNATIONAL, INC.'s X-17A-5 filed 2022-05-31 (period 2022-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### CONSOLIDATED STATEMENT OF FINANCIAL CONDITION Nomura Securities International, Inc. (A subsidiary of Nomura Holding America Inc.) March 31 , 2022 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** | 0MB APPROVAL | |--------------------------| | 0MB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response: 12 | | | | | ## **ANNUAL REPORTS FORM X-17A-5 PART** Ill | SEC FILE NUMBER | |-----------------| | 8-15255 | **FACING PAGE** **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** | Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | | | | | | |-------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|------------|----------------------------------------------------------------|--|--|--|--| | FILING FOR THE PERIOD BEGINNING | 1 __<br>___ 04<br>1<br>0_<br>2_<br>11_<br>_<br>_ | AND ENDING | 2 __<br>___ 0<br>3<br>13_1<br>2_<br>1<br>_<br>_<br>_<br>_<br>_ | | | | | | | MM/DD/VY | | MM/DD/VY | | | | | | | A. REGISTRANT IDENTIFICATION | | | | | | | | NAME OF FIRM: NOMURA SECURITIES INTERNATIONAL, INC. | | | | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>~ Broker-dealer<br>D Check here if respondent is also an OTC derivatives dealer | □ Security-based swap dealer | | □ Major security-based swap participant | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | | | | WORLDWIDE PLAZA, 309 WEST 49TH STREET | | | | | | | | | | (No. and Street) | | | | | | | | NEW YORK | NEW YORK | 10019-7316 | | | | | | | (City) | (State) | | | | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | | | Christy Schaffner | (212) 667-8903<br>christy.schaffner@nomura.com | | | | | | | | (Name) | (Area Code -Telephone Number) | | (Email Address) | | | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>Ernst & Young LLP | | | | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | 1 Manhattan West | New York | NY | 10001 | | | | | | (A…Read the full text as markdown