FINRA Fines HSBC for Breach of Regulation

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HSBC Securities (USA) Inc has agreed to pay a certain amount to settle a dispute with the Financial Industry Regulatory Authority (FINRA). Between 2017 and 2020, HSBC failed to take reasonable steps to ensure that some orders redirected to certain market centers met regulatory requirements. In addition, HSBC has failed to establish and maintain an appropriate supervisory system.

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