05/31/2022 | Press release | Distributed by Public on 05/31/2022 12:07
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 |
Filer CIK |
0000072267
|
Filer CCC |
XXXXXXXX
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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? |
Report for the Period Beginning |
04-01-2021
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and Ending |
03-31-2022
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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 |
Name of Broker-dealer |
NOMURA SECURITIES INTERNATIONAL, INC.
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Address 1 |
WORLDWIDE PLAZA, 309 WEST 49TH STREET
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City |
NEW YORK
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State/Country |
NEW YORK
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Mailing Zip/ Portal Code |
10019
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Name |
Christy Schaffner
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Telephone Number |
212-667-8903
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Name - if individual, state last, first, and middle name |
Ernst & Young LLP
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Address 1 |
1 Manhattan West
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City |
New York
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State/Country |
NEW YORK
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Mailing Zip/ Postal Code |
10001
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Check One |
Certified Public Accountant Certified Public Accountant not resident in United States or any of its possessions |
Signature |
Eugene Chiulli and William Hughes
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Title |
CFO and COO
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Checking this box acknowledges that this oath or affirmation has been notarized. |