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.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023079789501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Kelln B. Small (Respondent) Former Investment Company and Variable Contracts Products Representative CRD No. 4370485 Pursuant to FINRA Rule 9216, Respondent Kelln B. Small submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2023077597701 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Victor Alan Lessinger (Respondent) Former General Securities Representative CRD No. 830821 Pursuant to FINRA Rule 9216, Respondent Victor Alan Lessinger submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.