NOTICE OF DISCIPLINARY ACTION

FILE NO.:                   21-CH-2112

MEMBER FIRM:         Nomura Securities International, Inc.        

CBOT Rule:                980. REQUIRED RECORDS AND REPORTS

B. Each clearing member shall maintain an adequate accounting system, internal accounting controls, and procedures for safeguarding customer and firm assets. This includes, but is not limited to, the following:

3. Prevention of a material inadequacy as defined in CFTC Regulation 1.16(d)(2).                                                           

FINDING:                   Pursuant to an offer of settlement in which Nomura Securities International, Inc. neither admitted nor denied the rule violation upon which the penalty is based, on August 19, 2021, the Clearing House Risk Committee found that Nomura Securities International, Inc. violated CBOT Rule 980.B.3.

PENALTY:                  In accordance with the settlement offer, the Committee imposed a $50,000 fine.

EFFECTIVE DATE:    August 20, 2021