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HSBC Securities USA Inc

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Institutional News

HSBC to pay $25k fine for alleged violations of CME rules

Maria Nikolova CME fine, featured, HSBC, HSBC Securities USA Inc 0 Comments June 10, 2024

International derivatives marketplace CME Group has imposed a $25,000 fine on HSBC Securities (USA) Inc.

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Institutional News

HSBC Securities to pay $50k fine for alleged violations of CME rules

Maria Nikolova CME fine, HSBC Securities USA Inc 0 Comments November 13, 2023

In accordance with the settlement offer, the Clearing House Risk Committee imposed a $50,000 fine on HSBC Securities (USA) Inc.

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Institutional News

HSBC Securities gets a slap on the wrist for violating CME recordkeeping requirements

Maria Nikolova CME, HSBC, HSBC Securities USA Inc 0 Comments August 11, 2023

HSBC Securities (USA) Inc.’s Data Entry Errors exceeded the 10% threshold level mandated by Rule 536.F.

<img data-src="https://fxnewsgroup.com/wp-content/uploads/2021/02/hsbc-logo-1024x682-340x250.jpg" width="340" height="250" class="wp-post-image wp-image-5358 lazyload" title="hsbc-logo" alt="hsbc-logo" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" style="--smush-placeholder-width: 340px; --smush-placeholder-aspect-ratio: 340/250;"><noscript><img data-src="https://fxnewsgroup.com/wp-content/uploads/2021/02/hsbc-logo-1024x682-340x250.jpg" width="340" height="250" class="wp-post-image wp-image-5358 lazyload" title="hsbc-logo" alt="hsbc-logo" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" style="--smush-placeholder-width: 340px; --smush-placeholder-aspect-ratio: 340/250;"><noscript><img data-src="https://fxnewsgroup.com/wp-content/uploads/2021/02/hsbc-logo-1024x682-340x250.jpg" width="340" height="250" class="wp-post-image wp-image-5358 lazyload" title="hsbc-logo" alt="hsbc-logo" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" style="--smush-placeholder-width: 340px; --smush-placeholder-aspect-ratio: 340/250;"><noscript><img data-src="https://fxnewsgroup.com/wp-content/uploads/2021/02/hsbc-logo-1024x682-340x250.jpg" width="340" height="250" class="wp-post-image wp-image-5358 lazyload" title="hsbc-logo" alt="hsbc-logo" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" style="--smush-placeholder-width: 340px; --smush-placeholder-aspect-ratio: 340/250;"><noscript><img src="https://fxnewsgroup.com/wp-content/uploads/2021/02/hsbc-logo-1024x682-340x250.jpg" width="340" height="250" class="wp-post-image wp-image-5358" title="hsbc-logo" alt="hsbc-logo">

FINRA News/ Institutional News

FINRA fines HSBC for violating Regulation NMS

Maria Nikolova featured, HSBC, HSBC Securities USA Inc 0 Comments June 10, 2022

Between July 2017 and September 2020, HSBC failed to ensure that intermarket sweep orders it routed to certain market centers met the NMS requirements.

<img data-src="https://fxnewsgroup.com/wp-content/uploads/2021/02/hsbc-logo-1024x682-340x250.jpg" width="340" height="250" class="wp-post-image wp-image-5358 lazyload" title="hsbc-logo" alt="hsbc-logo" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" style="--smush-placeholder-width: 340px; --smush-placeholder-aspect-ratio: 340/250;"><noscript><img data-src="https://fxnewsgroup.com/wp-content/uploads/2021/02/hsbc-logo-1024x682-340x250.jpg" width="340" height="250" class="wp-post-image wp-image-5358 lazyload" title="hsbc-logo" alt="hsbc-logo" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" style="--smush-placeholder-width: 340px; --smush-placeholder-aspect-ratio: 340/250;"><noscript><img data-src="https://fxnewsgroup.com/wp-content/uploads/2021/02/hsbc-logo-1024x682-340x250.jpg" width="340" height="250" class="wp-post-image wp-image-5358 lazyload" title="hsbc-logo" alt="hsbc-logo" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" style="--smush-placeholder-width: 340px; --smush-placeholder-aspect-ratio: 340/250;"><noscript><img data-src="https://fxnewsgroup.com/wp-content/uploads/2021/02/hsbc-logo-1024x682-340x250.jpg" width="340" height="250" class="wp-post-image wp-image-5358 lazyload" title="hsbc-logo" alt="hsbc-logo" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" style="--smush-placeholder-width: 340px; --smush-placeholder-aspect-ratio: 340/250;"><noscript><img src="https://fxnewsgroup.com/wp-content/uploads/2021/02/hsbc-logo-1024x682-340x250.jpg" width="340" height="250" class="wp-post-image wp-image-5358" title="hsbc-logo" alt="hsbc-logo">

HSBC gets a slap on the wrist for violating CME rules

Maria Nikolova HSBC, HSBC fine, HSBC Securities USA Inc 0 Comments July 2, 2021

Between January 1, 2021 and March 31, 2021, HSBC Securities violated Rule 576 by failing to maintain accurate information in the Exchange Fee System.

<img data-src="https://fxnewsgroup.com/wp-content/uploads/2021/02/hsbc-logo-1024x682-340x250.jpg" width="340" height="250" class="wp-post-image wp-image-5358 lazyload" title="hsbc-logo" alt="hsbc-logo" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" style="--smush-placeholder-width: 340px; --smush-placeholder-aspect-ratio: 340/250;"><noscript><img data-src="https://fxnewsgroup.com/wp-content/uploads/2021/02/hsbc-logo-1024x682-340x250.jpg" width="340" height="250" class="wp-post-image wp-image-5358 lazyload" title="hsbc-logo" alt="hsbc-logo" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" style="--smush-placeholder-width: 340px; --smush-placeholder-aspect-ratio: 340/250;"><noscript><img data-src="https://fxnewsgroup.com/wp-content/uploads/2021/02/hsbc-logo-1024x682-340x250.jpg" width="340" height="250" class="wp-post-image wp-image-5358 lazyload" title="hsbc-logo" alt="hsbc-logo" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" style="--smush-placeholder-width: 340px; --smush-placeholder-aspect-ratio: 340/250;"><noscript><img data-src="https://fxnewsgroup.com/wp-content/uploads/2021/02/hsbc-logo-1024x682-340x250.jpg" width="340" height="250" class="wp-post-image wp-image-5358 lazyload" title="hsbc-logo" alt="hsbc-logo" src="data:image/gif;base64,R0lGODlhAQABAAAAACH5BAEKAAEALAAAAAABAAEAAAICTAEAOw==" style="--smush-placeholder-width: 340px; --smush-placeholder-aspect-ratio: 340/250;"><noscript><img src="https://fxnewsgroup.com/wp-content/uploads/2021/02/hsbc-logo-1024x682-340x250.jpg" width="340" height="250" class="wp-post-image wp-image-5358" title="hsbc-logo" alt="hsbc-logo">

FINRA News/ Regulatory News

FINRA fines HSBC for screening failures

Maria Nikolova HSBC, HSBC Securities USA Inc 0 Comments February 3, 2021

HSBC fingerprinted 2,191 non-registered associated persons but did not screen them for statutory disqualification.