featured, FINRA, HSBC Securities USA Inc
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HSBC Securities (USA) Inc has agreed to pay a fine of $125,000 as a part of a settlement with FINRA.
CME fine, featured, HSBC, HSBC Securities USA Inc
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International derivatives marketplace CME Group has imposed a $25,000 fine on HSBC Securities (USA) Inc.
CME fine, HSBC Securities USA Inc
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In accordance with the settlement offer, the Clearing House Risk Committee imposed a $50,000 fine on HSBC Securities (USA) Inc.
CME, HSBC, HSBC Securities USA Inc
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HSBC Securities (USA) Inc.’s Data Entry Errors exceeded the 10% threshold level mandated by Rule 536.F.
featured, HSBC, HSBC Securities USA Inc
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Between July 2017 and September 2020, HSBC failed to ensure that intermarket sweep orders it routed to certain market centers met the NMS requirements.
HSBC, HSBC fine, HSBC Securities USA Inc
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Between January 1, 2021 and March 31, 2021, HSBC Securities violated Rule 576 by failing to maintain accurate information in the Exchange Fee System.
HSBC, HSBC Securities USA Inc
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HSBC fingerprinted 2,191 non-registered associated persons but did not screen them for statutory disqualification.
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