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®.
