Full text of NOMURA GLOBAL FINANCIAL PRODUCTS INC.'s X-17A-5 filed 2024-05-30 (period 2024-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ### STATEMENT O F FINANCIAL CONDITION Nomura Global Financial Products Inc. March 31, 2024 With Report of Independent Auditors {1}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS** SEC FILE NUMBER **FORM X-17A-5 26-00141 PART III** | | SEC FILE NUMBER | | |--|-----------------|--| | | 26-00141 | | **FACING PAGE** **Information Required Pursuant to Rules 17a-5,17a-12, and 18a-7 under the Securities Exchange Act of 1934** **04/01/28 08/81/24** FILING FOR THE PERIOD BEGINNING **u«+/u i/^o** AND ENDING **uo/o i/^fr** MM/DD/YY MM/DD/YY **A. REGISTRANT IDENTIFICATION** name of firm- Nomura Global Financial Products Inc. TYPE OF REGISTRANT (check all applicable boxes): Broker-dealer H Security-based swap dealer Major security-based swap participant H Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) # Worldwide Plaza, 309 West 49th Street | | (No. and Street) | | | | | |---------------------------------------------------------------------------|--------------------------------------------------------------|---------|------------------------------|--|--| | York<br>New | York<br>New | | 10019 | | | | (City) | (State) | | (Zip Code) | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Christy<br>Schaffner | (212)667-8903 | | christy.schaffner@nomura.com | | | | (Name) | (Area Code-Telephone Number) | | (Email Address) | | | | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports<br>Ernst<br>&<br>Young<br>LLP | are contained in this | filing* | | | | | | (Name -if<br>individual, state last, first, and middle name) | | | | | | 1 Manhattan<br>West | New York | NY | | | | | (Address) | (City) | | | | | | 10/20/2003 | 42 | | | | | (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) **FOR OFFICIAL USE ONLY** \* Claims for exemption from the requirement that the annual reports be covered by the 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)(l)(ii), if applicable. **Persons who are to respond to the collection of information contained in this fo…Read the full text as markdown