Fined: Nomura Securities International, Inc. Fined by FINRA

Fined
12875

Nomura Securities International, Inc. Fined by FINRA

3 June 2019

An AWC was issued in which the firm was censured and fined $225,000. Without admitting or denying the findings, the firm consented to the sanctions and to the entry of findings that it failed to report and inaccurately reported reportable over-thecounter (OTC) options positions to the Large Options Position Reporting system (LOPR) and untimely reported options positions to the FINRA Trade Reporting Facility®.

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12875