Attached files
file | filename |
---|---|
EX-99 - EX-99 - HSBC USA INC /MD/ | a10-19063_1ex99.htm |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT
REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of
1934
Date of Report (Date of earliest event reported): October 7, 2010
HSBC USA INC.
(Exact name of
registrant as specified in its charter)
Commission File Number 1-7436
Maryland |
|
13-2764867 |
(State or other jurisdiction of incorporation) |
|
(IRS Employer Identification Number) |
|
|
|
452 Fifth Avenue |
|
10018 |
(Address of principal executive offices) |
|
(Zip Code) |
Registrants telephone number, including area code (212-525-5000)
Not Applicable
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended
to simultaneously satisfy the filing obligation of the registrant under any of
the following provisions:
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Item 8.01 Other Events.
On October 7, 2010, HSBC North America Holdings Inc. (HSBC North America) issued a press release announcing agreements to resolve certain U.S. regulatory actions involving HSBC North America and HSBC Bank USA, N.A., the primary banking subsidiary of HSBC USA Inc. A copy of the press release is attached as Exhibit 99 hereto and is incorporated herein by reference.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits
99 Press Release dated October 7, 2010
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
|
HSBC USA INC. |
|
|
|
|
|
By: |
/s/ Mick Forde |
|
|
Mick
Forde |
Dated: October 7, 2010