Nomura Holdings Inc 6-K, filed Oct 31, 2024
Nomura Holdings Inc (NMR)
About this 6-K
Nomura Holdings Inc filed this 6-K on October 31, 2024.
FORM 6-K
U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Report of Foreign Private Issuer
Pursuant to Rule 13a-16 or 15d-16 of
the Securities Exchange Act of 1934
Commission File Number: 1-15270
For the month of October 2024
NOMURA HOLDINGS, INC.
(Translation of registrant’s name into English)
13-1, Nihonbashi 1-chome
Chuo-ku, Tokyo 103-8645
Japan
(Address of principal executive offices)
Indicate by check mark whether the registrant files or will file annual reports under cover Form 20-F or Form 40-F.
Form 20-F X Form 40-F
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1):
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7):
Information furnished on this form:
EXHIBIT
Exhibit Number
| 1. | Statement on Administrative Action by Japan’s Financial Services Agency |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| NOMURA HOLDINGS, INC. | ||||||
| Date: October 31, 2024 | By: | /s/ Yoshifumi Kishida | ||||
| Yoshifumi Kishida | ||||||
| Senior Managing Director | ||||||
Statement on Administrative Action by Japan’s Financial Services Agency
Tokyo, October 31, 2024—Following a recommendation1 issued on September 25, 2024, by Japan’s Securities and Exchange Surveillance Commission, yesterday Japan’s Financial Services Agency issued an administrative monetary penalty payment order of 21.76 million yen against Nomura Securities Co., Ltd. for Japanese government bond futures transactions conducted in March 2021. Nomura Securities paid the monetary penalty today.
We apologize to our clients and all other concerned parties for the trouble this has caused.
We take this matter very seriously. We will continue to further enhance our compliance framework and internal controls to prevent similar incidents occurring in the future and to regain trust.
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For further information please contact:
| Name |
Company |
Telephone | ||
| Kenji Yamashita | Nomura Holdings, Inc. Group Corporate Communications Dept. |
81-3-3278-0591 |
Nomura
Nomura is a global financial services group with an integrated network spanning approximately 30 countries and regions. By connecting markets East & West, Nomura services the needs of individuals, institutions, corporates and governments through its three business divisions: Wealth Management, Investment Management, and Wholesale (Global Markets and Investment Banking). Founded in 1925, the firm is built on a tradition of disciplined entrepreneurship, serving clients with creative solutions and considered thought leadership. For further information about Nomura, visit www.nomura.com.
| 1 | See news release titled “Statement on Recommendation Issued by Japan’s Securities and Exchange Surveillance Commission” issued on September 25, 2024. |
https://www.nomuraholdings.com/news/nr/nsc/20240925/20240925.pdf