8-K 1 a-edg8k.txt CONFORMED 1. SECURITIES AND EXCHANGE COMMMISSION 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: November 4, 2002 (Date of earliest event reported) HSBC USA INC. (Exact name of registrant as specified in its charter) Maryland Corporation (State or other jurisdiction of incorporation or organization) 1-7436 (Commission file number) 13-2764867 (I.R.S. Employer Identification No.) 452 Fifth Avenue, New York, New York 10018 (Address of principal executive offices) (212) 525-3735 Registrant's telephone number, including area code Not applicable (Former name or former address, if changed since last report) 2. Item 9. Regulation FD Disclosure On November 4, 2002, HSBC USA Inc. submitted the certification required pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 in connection with its Form 10-Q for the quarterly period ended September 30, 2002, filed earlier today with the Securities and Exchange Commission. 3. 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, thereunto duly authorized. HSBC USA Inc. (REGISTRANT) /s/ Gerald A. Ronning NAME: GERALD A. RONNING TITLE: EXECUTIVE VICE PRESIDENT & CONTROLLER Date: November 4, 2002