Nomura Securities International Inc.

05/31/2022 | Press release | Distributed by Public on 05/31/2022 12:07

Information Required of Brokers and Dealers (Form X-17A-5)

Form X-17A-5 Filer Information UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL AUDITED REPORT
Form X-17A-5
Part III

FACING PAGE
Information Required of Brokers and Dealers Pursuant to Section 17 of the
Securities Exchange Act of 1934 and Rule 17a-5 Thereunder
OMB APPROVAL

FORM X-17A-5

OMB Number: 3235-0123

Estimated average burden hours per response: 12.00

X-17A-5: Filer Information

Filer CIK
0000072267
Filer CCC
XXXXXXXX
Is this a LIVE or TEST Filing? LIVE TEST
Would you like a Return Copy?
Is this an electronic copy of an official filing submitted in paper format?
Confirming Copy File Number

Submission Contact Information

Name
Phone
E-Mail Address
Notify via Filing Website only?

X-17A-5: Submission Information

Report for the Period Beginning
04-01-2021
and Ending
03-31-2022
Type of Registrant Broker-dealer
OTC derivatives dealer

Material Weakness

Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses? Yes No

X-17A-5: A. Registrant Identification

Name of Broker-dealer
NOMURA SECURITIES INTERNATIONAL, INC.

Address of Principal Place of Business (Do not use P.O. Box No.)

Address 1
WORLDWIDE PLAZA, 309 WEST 49TH STREET
City
NEW YORK
State/Country
NEW YORK
Mailing Zip/ Portal Code
10019

Name and Telephone Number of Person to Contact in Regard to this Report

Name
Christy Schaffner
Telephone Number
212-667-8903

X-17A-5: B. Accountant Identification

Independent Public Accountant

Name - if individual, state last, first, and middle name
Ernst & Young LLP
Address 1
1 Manhattan West
City
New York
State/Country
NEW YORK
Mailing Zip/ Postal Code
10001
Check One Certified Public Accountant
Certified Public Accountant not resident in United States or any of its possessions

X-17A-5: Signature

Oath or Affirmation

I, Eugene Chiulli and William Hughes, swear (or affirm) that, to the best of my knowledge and belief the accompanying financial statement and supporting schedules pertaining to the firm of NOMURA SECURITIES INTERNATIONAL, INC., as of 03-31-2022, are true and correct. I further swear (or affirm) that neither the company nor any partner, proprietor, principal officer or director has any proprietary interest in any account classified solely as that of a customer, except as follows:
Signature
Eugene Chiulli and William Hughes
Title
CFO and COO

Notary Public

Checking this box acknowledges that this oath or affirmation has been notarized.