Nomura Securities International, Inc. (CRD #4297, New York, New York) – An AWC (Accept, Waiver & Consent) was issued in which Nomura Securities International, Inc. was fined $300,000 and censured by FINRA. The firm consented to the sanctions without confirming or denying the findings. FINRA found that the firm underwent system-wide coding related issues that caused them to exclude certain foreign-listed securities from its short interest submissions to FINRA. Nomura Securities International, Inc. is also believed to have inaccurately reported the short interest positions that they did submit to FINRA.
Another issue was Nomura Securities International, Inc.’s alleged lack of supervisory oversight. The firm may not have established a proper supervisory system.
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