NMR 20-F DEF-14A Report March 31, 2021 | Alphaminr
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NMR 20-F Report ended March 31, 2021

Balance Sheet
Cash Flow
Income Statement
Debt
TABLE OF CONTENTS
Part IItem 1. Identity Of Directors, Senior Management and AdvisersItem 2. Offer Statistics and Expected TimetableItem 3. Key InformationItem 4. Information on The CompanyItem 4A. Unresolved Staff CommentsItem 5. Operating and Financial Review and ProspectsNote 2 Fair Value MeasurementsNote 21 Commitments, Contingencies and GuaranteesItem 6. Directors, Senior Management and EmployeesItem 7. Major Shareholders and Related Party TransactionsItem 8. Financial InformationItem 9. The Offer and ListingItem 10. Additional InformationItem 11. Quantitative and Qualitative Disclosures About Market, Credit and Other RiskItem 12. Description Of Securities Other Than Equity SecuritiesPart IIItem 13. Defaults, Dividend Arrearages and DelinquenciesItem 14. Material Modifications To The Rights Of Security Holders and Use Of ProceedsItem 15. Controls and ProceduresItem 16A. Audit Committee Financial ExpertItem 16B. Code Of EthicsItem 16C. Principal Accountant Fees and ServicesItem 16D. Exemptions From The Listing Standards For Audit CommitteesItem 16E. Purchases Of Equity Securities By The Issuer and Affiliated PurchasersItem 16F. Change in Registrant S Certifying AccountantItem 16G. Corporate GovernanceItem 16H. Mine Safety DisclosurePart IIIItem 17. Financial StatementsItem 18. Financial StatementsItem 19. Exhibits

Exhibits

1.1 Articles of Incorporation of Nomura Holdings, Inc. (English translation) (filed on June25, 2015 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 June25, 2015 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) 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) 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 April28, 2010 as an exhibit to the Registration Statement onFormF-6(FileNo.333-166346)and incorporated herein by reference) 2.2 Description of rights of each class of securities registered under Section12 of the Securities Exchange Act of1934 (filed on June25, 2019 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 2021 (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) 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 with respect to its report on the audit of the financial statements included in this annual report 17.1 Subsidiary Issuer of Registered Guaranteed Securities