Mizuho Financial Group 6-K 2009
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
REPORT OF FOREIGN PRIVATE ISSUER
PURSUANT TO RULE 13a-16 OR 15d-16
UNDER THE SECURITIES EXCHANGE ACT OF 1934
For the month of December 2009.
Commission File Number 001-33098
Mizuho Financial Group, Inc.
(Translation of registrants name into English)
5-1, Marunouchi 2-chome
Chiyoda-ku, Tokyo 100-8333
(Address of principal executive office)
Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F.
Form 20-F x Form 40-F ¨
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1): ¨
Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7): ¨
Indicate by check mark whether the registrant by furnishing the information contained in this Form is also thereby furnishing the information to the Commission pursuant to Rule 12g3-2(b) under the Securities Exchange Act of 1934.
Yes ¨ No x
If Yes is marked, indicate below the file number assigned to the registrant in connection with Rule 12g3-2(b):82- .
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
December 18, 2009
To whom it may concern
Mizuho Securities Co., Ltd.
Tokyo District Courts Judgment Regarding Damages Lawsuit to be Appealed
Today, Mizuho Securities Co., Ltd. (the Company) has decided to file an appeal from the first instance judgment (the Judgment) pronounced by the Tokyo District Court on December 4, 2009 in the lawsuit (2006 (wa) No. 23958 Case Claiming Damages) filed by the Company for damages against the Tokyo Stock Exchange, Inc. (the TSE).
In the Judgment, with respect to the arguments made by the Company and the TSE, respectively, the court of first instance rendered a determination on each of the issues put before the court. The Company has scrutinized the substance of the Judgment with its counsel and carefully considered whether to appeal to the Tokyo High Court in light of the Companys position as a securities firm supporting the capital markets. As a result, the Company has concluded that the Judgment is not acceptable and that it is necessary to seek the decision of the Tokyo High Court by again asserting and proving the Companys position in the appellate instance. Today, the Company has thus determined that it is obliged to file an appeal from the Judgment.
The Company will continue, as a participant in the securities markets, to endeavor to rationalize and improve its internal systems for controlling order placement functions, including efforts to prevent the recurrence of wrong order placement.
(For your reference: Development of the case)