NMR 20-F DEF-14A Report March 31, 2024 | Alphaminr

Effective Date August 11, 2021

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NOMURA HOLDINGS INC

20-Fs

20-F	Fiscal year ended March 31, 2024
20-F	Fiscal year ended March 31, 2023
20-F	Fiscal year ended March 31, 2022
20-F	Fiscal year ended March 31, 2021
20-F	Fiscal year ended March 31, 2020
20-F	Fiscal year ended March 31, 2019
20-F	Fiscal year ended March 31, 2018
20-F	Fiscal year ended March 31, 2017
20-F	Fiscal year ended March 31, 2016
20-F	Fiscal year ended March 31, 2015
20-F	Fiscal year ended March 31, 2014
20-F	Fiscal year ended March 31, 2013
20-F	Fiscal year ended March 31, 2012
20-F	Fiscal year ended March 31, 2011
20-F	Fiscal year ended March 31, 2010

TABLE OF CONTENTS

Part Iprint Item 1. Identity Of Directors, Senior Management and Advisersprint Item 2. Offer Statistics and Expected Timetableprint Item 3. Key Informationprint Item 4. Information on The Companyprint Item 4A. Unresolved Staff Commentsprint Item 5. Operating and Financial Review and Prospectsprint Note 2 Fair Value Measurementsprint Item 6. Directors, Senior Management and Employeesprint Item 7. Major Shareholders and Related Party Transactionsprint Item 8. Financial Informationprint Item 9. The Offer and Listingprint Item 10. Additional Informationprint Item 11. Quantitative and Qualitative Disclosures About Market, Credit and Other Riskprint Item 12. Description Of Securities Other Than Equity Securitiesprint Part IIprint Item 13. Defaults, Dividend Arrearages and Delinquenciesprint Item 14. Material Modifications To The Rights Of Security Holders and Use Of Proceedsprint Item 15. Controls and Proceduresprint Item 16A. Audit Committee Financial Expertprint Item 16B. Code Of Ethicsprint Item 16C. Principal Accountant Fees and Servicesprint Item 16D. Exemptions From The Listing Standards For Audit Committeesprint Item 16E. Purchases Of Equity Securities By The Issuer and Affiliated Purchasersprint Item 16F. Change in Registrant S Certifying Accountantprint Item 16G. Corporate Governanceprint Item 16H. Mine Safety Disclosureprint Item 16I. Disclosure Regarding Foreign Jurisdictions That Prevent Inspectionsprint Item 16J. Insider Trading Policiesprint Item 16K. Cybersecurityprint Part IIIprint Item 17. Financial Statementsprint Item 18. Financial Statementsprint Item 19. Exhibitsprint

Exhibits

1.1 Articles of Incorporation of Nomura Holdings, Inc. (English translation) (filed on June24, 2022 as an exhibit to the Annual Report on Form20-F(FileNo.001-15270)and incorporated herein by reference) 1.2 Share Handling Regulations of Nomura Holdings, Inc. (English translation) (filed on June28, 2023 as an exhibit to the Annual Report on Form20-F(FileNo.001-15270)and incorporated herein by reference) 1.3 Regulations of the Board of Directors of Nomura Holdings, Inc. (English translation) (filed on June24, 2022 as an exhibit to the Annual Report on Form20-F(FileNo.001-15270)and incorporated herein by reference) 1.4 Regulations of the Nomination Committee of Nomura Holdings, Inc. (English translation) (filed on June23, 2016 as an exhibit to the Annual Report on Form20-F(FileNo.001-15270)and incorporated herein by reference) 1.5 Regulations of the Audit Committee of Nomura Holdings, Inc. (English translation) (filed on June24, 2022 as an exhibit to the Annual Report on Form20-F(FileNo.001-15270)and incorporated herein by reference) 1.6 Regulations of the Compensation Committee of Nomura Holdings, Inc. (English translation) (filed on June27, 2012 as an exhibit to the Annual Report on Form20-F(FileNo.001-15270)and incorporated herein by reference) 2.1 Form of Deposit Agreement among Nomura Holdings, Inc., The Bank of New York Mellon as depositary and all owners and holders from time to time of American Depositary Receipts, including the form of American Depositary Receipt (filed on June 11, 2024 as an exhibit to the Registration Statement onFormF-6(FileNo.333-280111)and incorporated herein by reference) 2.2 Description of rights of each class of securities registered under Section12 of the Securities Exchange Act of 1934 (filed on June24, 2022 as an exhibit to the Annual Report on Form20-F(FileNo.001-15270)and incorporated herein by reference) 4.1 Form of Limitation of Liability Agreement(1) 11.1 Nomura Group Code of Conduct (English translation) 11.2 Nomura Group Code of Ethics for Financial Professionals (English translation) (filed on June30, 2020 as an exhibit to the Annual Report on Form20-F(FileNo.001-15270)and incorporated herein by reference) 11.3 Rules on Trading, etc. of Nomura Holdings Stocks, etc. by Nomura Groups Officers and Employees (English translation) 11.4 Nomura Group Personal Account Dealing Policy (English translation) 12.1 Certification of the principal executive officer required by 17 C.F.R. 240.13a-14(a) 12.2 Certification of the principal financial officer required by 17 C.F.R. 240.13a-14(a) 13.1 Certification of the chief executive officer required by 18 U.S.C. Section1350 13.2 Certification of the chief financial officer required by 18 U.S.C. Section1350 15.1 Consent of Ernst& Young ShinNihon LLC, an independent registered public accounting firm 17.1 Subsidiary Issuer of Registered Guaranteed Securities 97.1 Nomura Holdings, Inc. Compensation Recovery Policy

* THE VALUE IS THE MARKET VALUE AS OF THE LAST DAY OF THE QUARTER FOR WHICH THE 13F WAS FILED.

FUND	NUMBER OF SHARES	VALUE ($)	PUT OR CALL

DIRECTORS	AGE	BIO	OTHER DIRECTOR MEMBERSHIPS

Customers

Customer name	Ticker
Expeditors International of Washington, Inc.	EXPD
Terex Corporation	TEX

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