HSBC Securities USA Inc.

06/10/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019063432006 TO: Department of Enforcement Financial Industry Regulatory Authority RE: HSBC Securities (USA) Inc. Member Firm CRD No. 19585 Pursuant to FINRA Rule 9216, Respondent HSBC Securities (USA) Inc. submits this Letter of Acceptance, Waiver, and Consent for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2019063432006data-portal.finra.orgfinra.org

03/18/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130359634-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: HSBC Securities (USA) Inc., Respondent Broker-Dealer CRD No. 19585 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, HSBC Securities (USA) Inc. (the "firm'' or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2013035963401data-portal.finra.orgfinra.org

04/22/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008013863801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: HSBC Securities (USA) Inc., Respondent Member Firm BD No. 19585 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,

Reference 2008013863801data-portal.finra.orgfinra.org

04/20/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.2005002337401 TO: Department of Enforcement NASD RE: HSBC Brokerage (USA), Inc. (BD No. 6956) now known as HSBC Securities (USA), Inc. (BD No. 19585) Pursuant to Rule 9216 of NASD Code of Procedure, HSBC Brokerage (HBI, Respondent or the Firm) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted,

Reference 2005002337401data-portal.finra.orgfinra.org

05/07/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100251413-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: HSBC Securities (USA) Inc., Respondent Broker-Dealer CRD No. 19585 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, HSBC Securities (USA) Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

Reference 2010025141301data-portal.finra.orgfinra.org

06/03/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120330877-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: HSBC Securities (USA) Inc., Respondent Broker-Dealer CRD No. 19585 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, HSBC Securities (USA) Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged

Reference 2012033087701data-portal.finra.orgfinra.org

01/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080127719-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: HSBC Securities (USA) Inc., Respondent Broker-Dealer CRD No. 19585 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, HSBC Securities (USA) Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

Reference 2008012771901finra.orgdata-portal.finra.org

06/10/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110275412-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: HSBC Securities (USA) Inc., Respondent Broker-Dealer CRD No. 19585 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, HSBC Securities (USA) Inc. (the "firm”) submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2011027541201data-portal.finra.orgfinra.org

03/19/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060059732-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: HSBC Securities (USA) Inc., Respondent Broker-Dealer CRD No. 19585 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, HSBC Securities (USA) Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2006005973201data-portal.finra.orgfinra.org

02/02/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018059528401 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: HSBC Securities (USA) Inc. (Respondent) Member Firm CRD No. 19585 Pursuant to FINRA Rule 9216, Respondent HSBC Securities (USA) Inc. (HSBC or the Firm) submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2018059528401data-portal.finra.orgfinra.org

01/15/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100215554-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: HSBC Securities (USA) Inc., Respondent Broker-Dealer CRD No. 19585 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, HSBC Securities (USA) Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

Reference 2010021555401data-portal.finra.orgfinra.org

06/12/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20060055677-01 TO: Department of Market Regulation NASD RE: HSBC Securities (USA) Inc. BD No. 19585 Pursuant to Rule 9216 of the NASD Code of Procedure, HSBC Securities (USA) Inc. (the "firm" or "HSBC") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions

Reference 2006005567701data-portal.finra.orgfinra.org

06/10/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007010582702 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: HSBC Securities (USA) Inc. CRD No. 19585. Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent, HSBC Securities (USA) Inc. (''HSI" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2007010582702finra.orgdata-portal.finra.org

01/19/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2013035716601 TO: Department of Market Regulation Financial lndustry Regulatory Authority ("FINRA") RE: HSBC Sectirities (USA) Inc. Respondent Broker-Dealer CRD No. 19585 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure. HSBC Securities (USA) Inc. (the "firm" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2013035716601data-portal.finra.orgfinra.org

04/30/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007011232101 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: HSBC Securities (USA) Inc., Respondent Broker-Dealer CRD No. 19585 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, HSBC Securities (USA) Inc. (the "firm") submits this

Reference 2007011232101finra.orgdata-portal.finra.org

05/14/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2007009471401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: HSBC Securities (USA), Inc. (BD No. 19585), as successor-in-interest to HSBC Brokerage (USA) Inc. Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, HSBC Securities (USA), Inc., as successor-in-interest to HSBC Brokerage (USA) Inc. member organization ("HSBC Securities," "Respondent" or the "Firm") submits this Letter

Reference 2007009471401finra.orgdata-portal.finra.org

01/17/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050001900 TO: Department of Market Regulation NASD RE: HSBC Securities (USA) lnc. f/k/a HSBC Brokerage (USA) Inc. BD No. 19585 Pursuant to Rule 9216 of the NASD Code of Procedure, HSBC Securities (USA) Inc. (the "firm" or "HSBC") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not

Reference 2005000190002data-portal.finra.orgfinra.org

08/19/2010: FINANCIAL INDUSTRY REGULATORY AUTHORIY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080152601-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA'') RE: HSBC Securities (USA) Inc., Respondent Broker-dealer CRD No. 19585 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, HSBC Securities (USA) Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2008015260101data-portal.finra.orgfinra.org

09/20/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20100241398-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: HSBC Securities (USA) Inc., Respondent Broker-Dealer CRD No. 19585 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, HSBC Securities (USA) Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

Reference 2010024139801finra.orgdata-portal.finra.org

10/29/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071423301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: HSBC Securities (USA) Inc. (Respondent) Member Firm CRD No. 19585 Pursuant to FINRA Rule 9216, Respondent HSBC Securities (USA) Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2021071423301finra.orgdata-portal.finra.org

02/20/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050023706-01 TO: Department of Market Regulation NASD RE: HSBC Securities (USA) Inc. BD No. 19585 Pursuant to Rule 9215 of the NASD Code of Procedure, HSBC Securities (USA) Inc. (the "firm" or "HSBC") submits this Acceptance, Waiver and Consent ("AWC") for the purpose of proposing the a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future actions against

Reference 2005002370601data-portal.finra.orgfinra.org

05/28/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110273612-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: HSBC Securities (USA) Inc., Respondent Broker-Dealer CRD No. 19585 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, HSBC Securities (USA) Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

Reference 2011027361201finra.orgdata-portal.finra.org

01/09/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT Case#: 2006004337101 TO: Department of Market Regulation NASD RE: HSBC Securities (USA) Inc. BD No. 19585 Pursuant to Rule 9216 of the NASD Code of Procedure, HSBC Securities (USA) Inc. (the "firm" or "HSBC") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any future

Reference 2006004337101data-portal.finra.orgfinra.org

06/01/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080154363-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: HSBC Securities (USA) Inc., Respondent Broker Dealer CRD No. 19585 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, HSBC Securities (USA) Inc. (the "firm" or "Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations

Reference 2008015436301data-portal.finra.orgfinra.org

06/30/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017053137201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: HSBC Securities (USA), Inc., Respondent CRD No. 19585 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, HSBC Securities (USA), Inc. ("HSI," the "Firm" or "Respondent"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2017053137201data-portal.finra.orgfinra.org

12/20/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090191873-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: HSBC Securities (USA) Inc., Respondent Broker-Dealer CRD No. 19585 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, HSBC Securities (USA) Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This

Reference 2009019187301finra.orgdata-portal.finra.org

01/07/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2011027202401 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: HSBC Securities (USA), Inc. ("HSI" or the "Firm"), Respondent CRD No. 19585 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the

Reference 2011027202401data-portal.finra.orgfinra.org

06/03/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 201203381175-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: HSBC Securities (USA) Inc., Respondent Broker-Dealer CRD No. 19585 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, HSBC Securities (USA) Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2012033847501data-portal.finra.orgfinra.org

10/09/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021073545201 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: HSBC Securities (USA) Inc. (Respondent) Member Firm CRD No. 19585 Pursuant to FINRA Rule 9216, Respondent HSBC Securities (USA) Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2021073545201data-portal.finra.orgfinra.org

09/06/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20090205651-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: HSBC Securities (USA) Inc., Respondent Broker-Dealer CRD No. 19585 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, HSBC Securities (USA) Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

Reference 2009020565101data-portal.finra.orgfinra.org