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2018059528401 HSBC Securities (USA) Inc. CRD 19585 AWC jlg (2021-1614990001492).pdf
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.
SR-FINRA-2020-034
Rule Filing Status: Approved
Rule change to modify Trade Reporting and Compliance Engine (“TRACE”) dissemination protocols regarding Agency Pass-Through Mortgage-Backed Securities or Small Business Administration (SBA)-Backed Asset-Backed Securities traded in Specified Pool Transactions.