Financial Statement | HSBC

 

HSBC Securities (USA) Inc.

Statement of Financial Condition

In accordance with SEC regulation 17a-5(c), please click below to access the Statement of Financial Condition for HSBC Securities (USA) Inc., an indirect wholly owned subsidiary of HSBC Holdings plc. For further information or assistance, please contact our Brokerage Customer Service Department at 1-800-662-3343.

December 2013 Financial Statements*
June 2014 Financial Statements*

SEC Rule 606 Order Disclosure - Retail

The U.S. Securities and Exchange Commission's client disclosure rule, SEC Rule 606, requires all broker-dealers that route orders in equity and options securities to make available quarterly reports that present a general overview of their routing practices. The reports must identify the significant venues to which the client orders were routed for execution during the applicable quarter and disclose the material aspects of the broker/dealer's relationship with such venues. HSBC Securities (USA) Inc. ("HSBC") routes 100% of its retail SEC 606 covered securities to its clearing broker, Pershing LLC, for routing and execution. HSBC does not receive compensation for directing order flow to Pershing LLC. Pershing LLC receives compensation for directing a portion of the order flow. Pershing LLC may act as principal when an order is routed to its market making desk.

To view the SEC 606 Order Disclosure reports for HSBC Securities (USA) Inc., please click on the link below. Once you are in the website, click on the SEARCH tab at the top, then enter HSBC Securities (USA) Inc., click DISPLAY, then click on the HSBC Securities (USA) Inc. name within the Search Results.

SEC Order Routing and Execution Reports

You may visit the SEC Website for more information on the Disclosure of SEC-Required Order Execution and Routing Practices.


SEC Rule 606 Order Disclosure - Institutional (Non-Retail)

The U.S. Securities and Exchange Commission's client disclosure rule, SEC Rule 606, requires all broker-dealers that route orders in equity and options securities to make available quarterly reports that present a general overview of their routing practices. The reports must identify the significant venues to which the client orders were routed for execution during the applicable quarter and disclose the material aspects of the broker/dealer's relationship with such venues.

Pursuant to SEC Rules 606, HSBC Securities (USA) Inc.'s order routing statistics for its Institutional (Non-Retail) orders are available by clicking the link below.

SEC Order Route Disclosure


Business Contingency Plan Disclosure

HSBC Securities (USA) Inc. has prepared the following disclosure in accordance with FINRA Conduct Rule 4370.

Business Contingency Plan Disclosure*

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