Nomura Holdings Inc. Files Amended 20-F Report

TL;DR

<b>Nomura Holdings Inc. has filed an amended 20-F report for the fiscal year ending March 31, 2023.</b>

AI Summary

NOMURA HOLDINGS INC (NRSCF) filed a Amended Foreign Annual Report (20-F/A) with the SEC on April 12, 2024. Filing is an amendment (20-F/A) to a previous report. Report pertains to the fiscal year ending March 31, 2023. Company is Nomura Holdings Inc., a security broker and dealer. Primary business address is in Chuo-ku, Tokyo, Japan. Filed as of April 12, 2024.

Why It Matters

For investors and stakeholders tracking NOMURA HOLDINGS INC, this filing contains several important signals. This amended filing may contain updated or corrected information crucial for investors assessing the company's financial health and operations. As a 20-F filing, it provides a comprehensive overview of Nomura's business, financial condition, and risks to international investors.

Risk Assessment

Risk Level: low — NOMURA HOLDINGS INC shows low risk based on this filing. The filing is an amendment to a previous report, indicating potential corrections or updates rather than new material events.

Analyst Insight

Review the specific changes and additions in this amended 20-F filing to understand any updated disclosures or financial information.

Key Numbers

• 2023-03-31 — Fiscal Year End (Conformed period of report)
• 2024-04-12 — Filing Date (Filed as of date)
• 20-F/A — Form Type (Conformed submission type)
• 001-15270 — SEC File Number (SEC file number)

Key Players & Entities

• NOMURA HOLDINGS INC (company) — Filer name
• 0001163653 (company) — Central Index Key
• 6211 (company) — Standard Industrial Classification
• 2024-04-12 (date) — Filing date
• 2023-03-31 (date) — Fiscal year end
• 81-3-5255-1000 (company) — Business phone
• 1-13-1 NIHONBASHI (company) — Business address street
• CHUO-KU (company) — Business address city

FAQ

Industry Context

Nomura Holdings Inc. operates in the financial services sector, specifically as a security broker and dealer.

Regulatory Implications

As a foreign private issuer, Nomura Holdings Inc. files annual reports on Form 20-F with the SEC, which are subject to US securities regulations.

What Investors Should Do

1. Review the specific amendments made in this 20-F/A filing.
2. Analyze Nomura Holdings Inc.'s financial performance and risk factors disclosed in the report.
3. Compare this filing with previous reports to identify trends and changes.

Key Dates

• 2024-04-12: Filing of Amended 20-F Report — Indicates updated or corrected information for the fiscal year ending March 31, 2023.

Year-Over-Year Comparison

This is an amended filing (20-F/A), indicating it updates or corrects information previously submitted in a 20-F report.

Filing Documents

• d761934d20fa.htm (20-F/A) — 11733KB
• d761934dex121.htm (EX-12.1) — 7KB
• d761934dex122.htm (EX-12.2) — 7KB
• d761934dex131.htm (EX-13.1) — 3KB
• d761934dex132.htm (EX-13.2) — 2KB
• d761934dex151.htm (EX-15.1) — 3KB
• d761934dex971.htm (EX-97.1) — 23KB
• g761934g00d01.jpg (GRAPHIC) — 125KB
• g761934g01a00.jpg (GRAPHIC) — 55KB
• g761934g16f01.jpg (GRAPHIC) — 161KB
• g761934g16f02.jpg (GRAPHIC) — 87KB
• g761934g70v01.jpg (GRAPHIC) — 123KB
• g761934g70v02.jpg (GRAPHIC) — 127KB
• 0001193125-24-093838.txt (&nbsp;) — 50741KB
• nmr-20230331.xsd (EX-101.SCH) — 215KB
• nmr-20230331_cal.xml (EX-101.CAL) — 168KB
• nmr-20230331_def.xml (EX-101.DEF) — 901KB
• nmr-20230331_lab.xml (EX-101.LAB) — 1425KB
• nmr-20230331_pre.xml (EX-101.PRE) — 1277KB
• d761934d20fa_htm.xml (XML) — 14810KB

Quantitative and Qualitative Disclosures about Market, Credit and Other Risk

Quantitative and Qualitative Disclosures about Market, Credit and Other Risk 132 Item 12.

Description of Securities Other Than Equity Securities

Description of Securities Other Than Equity Securities 151 PART II Item 13. Defaults, Dividend Arrearages and Delinquencies 153 Item 14. Material Modifications to the Rights of Security Holders and Use of Proceeds 153 Item 15.

Controls and Procedures

Controls and Procedures 153 Item 16A. Audit Committee Financial Expert 154 Item 16B. Code of Ethics 154 Item 16C. Principal Accountant Fees and Services 155 Item 16D. Exemptions from the Listing Standards for Audit Committees 156 Item 16E. Purchases of Equity Securities by the Issuer and Affiliated Purchasers 156 Item 16F. Change in Registrant's Certifying Accountant 157 Item 16G. Corporate Governance 157 Item 16H. Mine Safety Disclosure 158 Item 16I. Disclosure Regarding Foreign Jurisdictions that Prevent Inspections 158 PART III Item 17.

Financial Statements

Financial Statements 159 Item 18.

Financial Statements

Financial Statements 159 Item 19. Exhibits 159 Index to the Consolidated Financial Statements F-1 1 Table of Contents As used in this annual report, references to th e "Company" , " Nomura " , the " Nomura Group " , " we " , " us " and "our " are to Nomura Holdings, Inc. and, except as the context otherwise requires, its consolidated subsidiaries. As part of certain line items in Nomura's financial statements and information included in this annual report, references to "NHI" are to Nomura Holdings, Inc. As used in this annual report, "yen" or "" means the lawful currency of Japan, "dollar" or "$" means the lawful currency of the United States of America ("U.S."), and "EUR" means the lawful currency of the member states of the European Monetary Union. As used in this annual report, "ADS" means an American Depositary Share, currently representing one share of the Company's common stock, and "ADR" means an American Depositary Receipt evidencing one or more ADSs. As used in this annual report, except as the context otherwise requires, the "Companies Act" means the Companies Act of Japan and the "FSA" means the Financial Services Agency of Japan. Amounts shown in this annual report have been rounded to the nearest indicated digit unless otherwise specified. In tables and graphs with rounded figures, sums may not add up due to rounding. PART I Item1. Identity of Directors, Senior Management and Advisers Not applicable. Item2. Offer Statistics and Expected Timetable Not applicable. Item3. Key Information A. Selected Financial Data See Item 5. "Operating and Financial Review—A. Operating Results—Other operating results—Selected Financial Data." B. Capitalization and Indebtedness. Not applicable. C. Reasons for the Offer and Use of Proceeds. Not applicable. 2 Table of Contents D. Risk Factors.

Risk Factors

Risk Factors You should carefully consider the risks described below before making an investment decision. If any of the risks described below actually occurs, our business, financial condition, results of operations or cash flows could be adversely affected. In that event, the trading prices of our shares could decline, and you may lose all or part of your investment. In addition to the risks listed below, risks not currently known to us or that we now deem immaterial may also harm us and affect your investment. INDEX Risks Relating to the Business Environment 1 Our business may be materially affected by financial markets, economic conditions and market fluctuations in Japan and elsewhere around the world (1) Governmental fiscal and monetary policy changes in Japan, or in any other countries or regions where we conduct business may affect our business, financial condition and results of operations (2) Extended market declines and decreases in market participants can reduce liquidity and lead to material losses (3) Natural disaster, terrorism, military dispute and infectious disease could adversely affect our business (4) The COVID-19 pandemic may affect our business (5) Transition from U.S. Dollar LIBOR to alternative rate indices may adversely affect our business 2 The financial services industry faces intense competition (1) Competition with other financial firms and financial services by non-financial companies is increasing (2) Increased consolidation, business alliance and cooperation in the financial services industry mean increased competition for us (3) Our global business continues to face intense competition and may require further revisions to its business model 3 Event risk may cause losses in our trading and investment assets as well as market and liquidity risk 4 Environmental, Social and Governance ("ESG") factors including climate change and broader associated policy changes in each jurisdiction could advers

View Full Filing

View this 20-F/A filing on SEC EDGAR