Full text of NOMURA SECURITIES INTERNATIONAL, INC.'s X-17A-5 filed 2023-05-30 (period 2023-03-31). 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, 2023 With Report of Independent Registered Public Accounting Firm {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 sec file number 8-69208 # ANNUAL REPORTS FORM X-17A-5 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 03/31/23 04/01/22 AND ENDING FILING FOR THE PERIOD BEGINNING MM/DD/YY A. REGISTRANT IDENTIFICATION MM/DD/YY NAME OFFIRM: Nomura Securities International, Inc. TYPE OF REGISTRANT (check all applicable boxes): ■ Broker-dealer □ Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant | (No. and Street) | | | |--------------------------------------------------|-----------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------| | | | 10019-7316 | | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | (212) 667-8903 | | christy.schaffner@nomura.com | | (Area Code - Telephone Number) | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | Ernst & Young LLP | | | | | | | | New York | NY | 10001 | | (City) | (State) | (Zip Code) | | | | | | | | | | (Date of Registration with PCAOB)(if applicable) | | (PCAOB Registration Number, if applicable) | | FOR OFFICIAL USE ONLY | | | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.)<br>Worldwide Plaza, 309 West 49th Street<br>New York<br>INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing*<br>(Name - if individual, state last, first, and middle name)<br>42 | \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form di…Read the full text as markdown