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Prospect News home > News index > List of issuers C > Headlines for Calendar > News item

Published on 11/9/2011 in the Prospect News Structured Products Daily.

Structured Products Calendar

BANK OF AMERICA CORP.

• Callable range accrual notes due Nov. 21, 2026 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing Nov. 16; Cusip: 06048WJN1

• Callable non-inversion CMS notes due Nov. 21, 2031; via Bank of America Merrill Lynch; settling Nov. 21; Cusip: 06048WJJ0

• Callable capped notes due Nov. 21, 2031 linked to the two-year and 30-year Constant Maturity Swap Rates; via Bank of America Merrill Lynch; settlement Nov. 21; Cusip: 06048WJH4

• Step-up callable notes due Nov. 23, 2026 with 6% initial rate; via Bank of America Merrill Lynch; settlement Nov. 23; Cusip: 06048WJG6

• Coupon-bearing notes due December 2012 linked to the common stock of Deere & Co.; via Bank of America Merrill Lynch; pricing in November

• 0% Market Index Target-Term Securities due November 2013 linked to the Dow Jones industrial average; via Bank of America Merrill Lynch; pricing in November

• 0% market-linked step-up notes due November 2013 linked to the Dow Jones Global Titans 50 index; via Bank of America Merrill Lynch; pricing in November

• 11% STEP Income Securities due November 2012 linked to Ford Motor Co. shares; via Bank of America Merrill Lynch; pricing in November

• 8.5% coupon-bearing notes due November 2012 linked to the common stock of General Electric Co.; via Bank of America Merrill Lynch; pricing in November

• 0% Market Index Target-Term Securities due December 2015 linked to the gold spot price; via Bank of America Merrill Lynch; pricing in November

• 0% bear Accelerated Return Notes due January 2013 linked to the Hang Seng China Enterprises index; via Bank of America Merrill Lynch; pricing in November

• 0% Market Index Target-Term Securities due November 2013 linked to Indonesian rupiah, Indian rupee and the Chinese renminbi; via Bank of America Merrill Lynch; pricing in November

• Market-linked step-up notes due December 2013 linked to the MSCI EAFE index; via Bank of America Merrill Lynch; pricing in November

• Capped leveraged index return notes due November 2013 linked to the MSCI Emerging Markets index; 90% trigger; via Bank of America Merrill Lynch; pricing in November

• 0% lock-in notes due December 2014 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in November; Cusip: 06048WJN1

• 0% Strategic Accelerated Redemption Securities due December 2012 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in November

• Market-linked step-up notes due December 2012 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in November

• Market-linked step-up notes due November 2013 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in November

• 0% autocallable enhanced market-linked step-up notes with buffer due December 2013 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in November

• Callable range accrual notes due November 2026 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in November

BANK OF MONTREAL

• 13% annualized reverse exchangeable notes due Feb. 16, 2012 linked to Alcoa Inc. shares; 75% trigger; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06366QD46

• 11% annualized reverse exchangeable notes due Feb. 16, 2012 linked to Citigroup Inc. shares; 65% trigger; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06366QD53

• 17.5% reverse exchangeable notes due Feb. 16, 2012 linked to Cliffs Natural Resources Inc.; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06366QD61

• 12.6%-15.6% annualized reverse exchangeable notes due May 16, 2012 linked to Coach Inc. shares; 60% trigger; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06366QC47

• 10% annualized reverse exchangeable notes due Feb. 16, 2012 linked to Dell Inc. shares; 80% trigger; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06366QF28

• 12% reverse exchangeable notes due Feb. 16, 2012 linked to Delta Air Lines, Inc.; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06366QD87

• 12% annualized reverse exchangeable notes due Feb. 16, 2012 linked to Delta Air Lines, Inc. shares; 80% trigger; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06366QF51

• 10.5% annualized reverse exchangeable notes due Feb. 16, 2012 linked to eBay Inc. shares; 80% trigger; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06366QE94

• 13% reverse exchangeable notes due Feb. 16, 2012 linked to Freeport-McMoRan Copper & Gold Inc.; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06366QD95

• 14% annualized reverse exchangeable notes due Feb. 16, 2012 linked to Freeport-McMoRan Copper & Gold Inc. shares; 80% trigger; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06366QF69

• 14% annualized reverse exchangeable notes due Feb. 16, 2012 linked to Halliburton Co. shares; 70% trigger; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06366QE60

• 0% buffered bullish enhanced return notes due May 16, 2013 linked to the iShares MSCI EAFE index fund; 85% trigger; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06366QC88

• 14%-17% annualized reverse exchangeable notes due May 16, 2012 linked to JPMorgan Chase & Co. shares; 60% trigger; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06366QC54

• 14% reverse exchangeable notes due Feb. 16, 2012 linked to lululemon athletic inc.; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06366QE37

• 14.5%-17.5% annualized reverse exchangeable notes due May 16, 2012 linked to Macy's Inc. shares; 65% trigger; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06366QC70

• 19% annualized reverse exchangeable notes due Feb. 16, 2012 linked to Netflix Inc. shares; 70% trigger; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06366QF77

• 15% annualized reverse exchangeable notes due Feb. 16, 2012 linked to Prudential Financial, Inc. shares; 75% trigger; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06366QF36

• 13.2%-16.2% annualized reverse exchangeable notes due May 16, 2012 linked to Rio Tinto plc shares; 60% trigger; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06366QC62

• 11.5% reverse exchangeable notes due Feb. 16, 2012 linked to Salesforce.com, Inc.; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06366QD79

• 20.5% annualized reverse exchangeable notes due Feb. 16, 2012 linked to Sears Holdings Corp. shares; 65% trigger; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06366QE45

• 11% annualized reverse exchangeable notes due Feb. 16, 2012 linked to Tiffany & Co. shares; 75% trigger; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06366QE86

• 16.5% annualized reverse exchangeable notes due Feb. 16, 2012 linked to United States Steel Corp. shares; 65% trigger; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06366QE52

• 13% annualized reverse exchangeable notes due Feb. 16, 2012 linked to Whirlpool Corp. shares; 80% trigger; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06366QF44

• 11.5% annualized reverse exchangeable notes due Feb. 16, 2012 linked to Wynn Resorts Ltd. shares; 75% trigger; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06366QF85

• 10.3% reverse exchangeable notes due Nov. 28, 2012 linked to JPMorgan Chase & Co. shares; 65% trigger; via BMO Capital Markets Corp.; pricing Nov. 23; Cusip: 06366QG76

• 0% buffered bullish digital return notes due May 29, 2013 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Nov. 23; Cusip: 06366QG35

• 22.7% reverse exchangeable notes due Nov. 28, 2012 linked to United States Steel Corp. shares; 65% trigger; via BMO Capital Markets Corp.; pricing Nov. 23; Cusip: 06366QG68

BANK OF NOVA SCOTIA

• Callable step-up rate notes due Nov. 16, 2026 with 3% initial rate; via Scotia Capital (USA) Inc.; pricing Nov. 10; Cusip: 064159G27

• Callable step-up rate notes due Nov. 16, 2026 with 3% initial rate; via Scotia Capital (USA) Inc.; pricing Nov. 10; Cusip: 064159AH9

BANK OF THE WEST

• Contingent variable income market-linked certificates of deposit due Nov. 28, 2017 linked to a basket of commodity indexes including S&P GSCI Cocoa Dynamic Roll Index Excess Return, the S&P GSCI Corn Dynamic Roll Index Excess Return, the S&P GSCI Cotton Dynamic Roll Index Excess Return, the S&P GSCI Lead Dynamic Roll Index Excess Return, the S&P GSCI Natural Gas Dynamic Roll Index Excess Return, the S&P GSCI Nickel Dynamic Roll Index Excess Return, the S&P GSCI Silver Dynamic Roll Index Excess Return, the S&P GSCI Sugar Dynamic Roll Index Excess Return, the S&P GSCI Wheat Dynamic Roll Index Excess Return and S&P GSCI Zinc Dynamic Roll Index Excess Return; via BNP Paribas Securities Corp. as agent and Advisors Asset Management, Inc. as distributor; pricing Nov. 22; Cusip: 06426XCH1

BARCLAYS BANK DELAWARE

• Certificates of deposit due Nov. 28, 2018 linked the S&P GSCI Aluminum Index Excess Return, the S&P GSCI Cocoa Index Excess Return, the S&P GSCI Corn Index Excess Return, the S&P GSCI Cotton Index Excess Return, the S&P GSCI Gold Index Excess Return, the S&P GSCI Live Cattle Index Excess Return, the S&P GSCI Natural Gas Index Excess Return, the S&P GSCI Nickel Index Excess Return, the S&P GSCI Sugar Index Excess Return and the S&P GSCI Zinc Index Excess Return; via Barclays Capital Inc. and distributor Advisors Asset Management, Inc.; pricing Nov. 23; Cusip: 06740AQZ5

• 0.3%-1% certificates of deposit due Nov. 29, 2017 linked to the S&P 500 index; via Barclays Capital Inc. and distributor Advisors Asset Management, Inc.; pricing Nov. 23; Cusip: 06740AQX0

• Certificates of deposit due Nov. 28, 2018 linked to the common stocks of Alpha Natural Resources, Inc., Bank of America Corp., CenturyLink, Inc., Freeport-McMoRan Copper & Gold Inc., H&R Block, Inc., Lexmark International, Inc., Netflix, Inc., Nvidia Corp., Verizon Communications, Inc. and Wynn Resorts, Ltd.; via Barclays Capital Inc. and distributor Advisors Asset Management, Inc.; pricing Nov. 23; Cusip: 06740AQV4

• Certificates of deposit due Nov. 28, 2018 linked to the common stocks of AK Steel Holding Corp., Gannett Co., Inc., Hewlett-Packard Co., Kimco Realty Corp., Lexmark International, Inc., MetroPCS Communications, Inc., Netflix, Inc., Nvidia Corp., QEP Resources, Inc. and Staples, Inc.; via Barclays Capital Inc. and distributor Advisors Asset Management, Inc.; pricing Nov. 23; Cusip: 06740AQW2

• Certificates of deposit due Nov. 29, 2017 linked to the common stocks of AK Steel Holding Corp., Best Buy Co., Inc., Computer Sciences Corp., Freeport-McMoRan Copper & Gold Inc., Hewlett-Packard Co., J.C. Penney Co., Inc., Micron Technology, Inc., Netflix, Inc., Safeway Inc. and Staples, Inc.; via Barclays Capital Inc. and distributor Advisors Asset Management, Inc.; pricing Nov. 23; Cusip: 06740AQY8

BARCLAYS BANK PLC

• 0% buffered Super Track notes due May 15, 2013 linked to the iShares Russell 2000 index fund; via Barclays Capital Inc.; pricing Nov. 10; Cusip: 06738KYF2

• 8.75%-11.75% autocallable yield notes due Nov. 21, 2012 linked to the S&P 500 index and the Russell 2000 index; via Barclays Capital Inc.; pricing Nov. 17; Cusip: 06738KYQ8

• Notes due Nov. 25, 2015 linked to the S&P GSCI Sugar Index Excess Return, the S&P GSCI Cocoa Index Excess Return, the S&P GSCI Corn Index Excess Return, the S&P GSCI Cotton Index Excess Return, the S&P GSCI Coffee Index Excess Return, the S&P GSCI Gold Index Excess Return, the S&P GSCI Natural Gas Index Excess Return, the S&P GSCI Aluminum Index Excess Return, the S&P GSCI Nickel Index Excess Return and the S&P GSCI Zinc Index Excess Return; via Barclays Capital Inc.; pricing Nov. 22; Cusip: 06738KYJ4

• 9.5% reverse convertible notes due Nov. 28, 2012 linked to Amazon.com, Inc. stock; via Barclays Capital; pricing Nov. 23; Cusip: 06741JPS2

• 15.5% reverse convertible notes due May 31, 2012 linked to Bank of America Corp. stock; via Barclays Capital; pricing Nov. 23; Cusip: 06741JPL7

• 11% reverse convertible notes due Nov. 28, 2012 linked to Citigroup Inc. stock; via Barclays Capital; pricing Nov. 23; Cusip: 06741JPQ6

• 14.5%-17.25% reverse convertible notes due May 31, 2012 linked to the common stock of Cummins Inc.; via Barclays Capital Inc.; pricing Nov. 23; Cusip: 06741JPT0

• 14% reverse convertible notes due May 31, 2012 linked to Freeport-McMoRan Copper & Gold Inc. stock; via Barclays Capital; pricing Nov. 23; Cusip: 06741JPM5

• 10.5% reverse convertible notes due Feb. 29, 2012 linked to Goldman Sachs Group Inc stock; via Barclays Capital; pricing Nov. 23; Cusip: 06741JPH6

• 8.5% reverse convertible notes due Nov. 28, 2012 linked to Google Inc. class A common stock; via Barclays Capital; pricing Nov. 23; Cusip: 06741JPD5

• 12% reverse convertible notes due May 31, 2012 linked to Halliburton Co. stock; via Barclays Capital; pricing Nov. 23; Cusip: 06741JPN3

• 11% reverse convertible notes due Nov. 28, 2012 linked to Hewlett-Packard Co. stock; via Barclays Capital; pricing Nov. 23; Cusip: 06741JPE3

• 9% reverse convertible notes due May 31, 2012 linked to JPMorgan Chase & Co. stock; via Barclays Capital; pricing Nov. 23; Cusip: 06741JPP8

• 8% reverse convertible notes due Feb. 29, 2012 linked to MetLife, Inc stock; via Barclays Capital; pricing Nov. 23; Cusip: 06741JPJ2

• 12.5% reverse convertible notes due Nov. 28, 2012 linked to Morgan Stanley stock; via Barclays Capital; pricing Nov. 23; Cusip: 06741JPR4

• 9.5% reverse convertible notes due Feb. 29, 2012 linked to Schlumberger N.V. (Schlumberger Ltd.) stock; via Barclays Capital; pricing Nov. 23; Cusip: 06741JPK9

• Notes due Nov. 29, 2017 linked to the S&P BRIC 40 index; via Barclays Capital Inc.; pricing Nov. 23; Cusip: 06738KYK1

• 0% notes due Nov. 26, 2014 linked to the performance of the Singapore dollar, the Chinese renmimbi, the Polish zloty, the Turkish lira, the Brazilian real and the Mexican peso relative to the euro; via Barclays Capital Inc.; pricing Nov. 27; Cusip: 06738KYT2

• 0% buffered Super Track digital notes due Nov. 29, 2013 linked to the S&P 500 index; 80% trigger; via Barclays Capital Inc.; pricing Nov. 28; Cusip: 06738KYR6

• Annual reset coupon buffered notes due Nov. 28, 2014 linked to the S&P 500 index; via Barclays Capital Inc.; pricing Nov. 28; Cusip: 06738KYL9

• Annual reset coupon buffered notes due Nov. 30, 2016 linked to the S&P 500 index; via Barclays Capital Inc.; pricing Nov. 28; Cusip: 06738KYM7

• 0% Strategic Accelerated Redemption Securities due November 2012 linked to the common stock of Apple Inc.; via Bank of America Merrill Lynch; pricing in November

• 0% enhanced market-linked step-up notes with buffer due November 2014 linked to the Dow Jones industrial average; via Bank of America Merrill Lynch; pricing in November

• 0% Accelerated Return Notes due December 2012 linked to the NYSE Arca Gold Miners index; via Bank of America Merrill Lynch; pricing in November

• 0% Accelerated Return Notes due January 2013 linked to the PHLX Oil Service Sector index; via Bank of America Merrill Lynch; pricing in November

• 0% Accelerated Return Notes due January 2013 linked to the Russell 2000 index; via Bank of America Merrill Lynch; pricing in November

• 0% Accelerated Return Notes due January 2013 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in November

• 0% market-linked step-up notes due November 2013 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in November

• 0% Barclays Perpetual Rolling Open Structure Protecting Equity Returns exchange-traded fund notes due Dec. 1, 2016 linked to the Barclays Prosper ETF portfolio; via Barclays Capital Inc.; settlement Dec. 1; Cusip: 06738KYG0

BMO HARRIS BANK NA

• Annual digital yield generator certificates of deposit due Nov. 30, 2016 linked to the common stocks Altria Group Inc., Archer-Daniels-Midland Co., AT&T Inc., Bank of America Corp., Barrick Gold Corp., Caterpillar Inc., Eli Lilly & Co., Ford Motor Co., Lockheed Martin Corp. and Merck & Co. Inc.; via BMO Capital Markets Corp. and distributor Incapital LLC; pricing Nov. 23; Cusip: 05573JDC5

• Annual digital yield generator certificates of deposit due Nov. 30, 2017 linked to the common stocks Altria Group Inc., Archer-Daniels-Midland Co., AT&T Inc., Bank of America Corp., Barrick Gold Corp., Caterpillar Inc., Eli Lilly & Co., Ford Motor Co., Lockheed Martin Corp. and Merck & Co. Inc.; via BMO Capital Markets Corp. and distributor Incapital LLC; pricing Nov. 23; Cusip: 05573JCU6

• Annual digital yield generator certificates of deposit due Nov. 30, 2018 linked to the common stocks Altria Group Inc., Archer-Daniels-Midland Co., AT&T Inc., Bank of America Corp., Barrick Gold Corp., Caterpillar Inc., Eli Lilly & Co., Ford Motor Co., Lockheed Martin Corp. and Merck & Co. Inc.; via BMO Capital Markets Corp. and distributor Incapital LLC; pricing Nov. 23; Cusip: 05573JDB7

• Semiannual digital yield generator certificates of deposit due Nov. 30, 2017 linked to the common stocks Altria Group Inc., Archer-Daniels-Midland Co., AT&T Inc., Bank of America Corp., Barrick Gold Corp., Caterpillar Inc., Eli Lilly & Co., Ford Motor Co., Lockheed Martin Corp. and Merck & Co. Inc.; via BMO Capital Markets Corp. and distributor Incapital LLC; pricing Nov. 23; Cusip: 05573JCV4

• Semiannual digital yield generator certificates of deposit due Nov. 30, 2018 linked to the common stocks Altria Group Inc., Archer-Daniels-Midland Co., AT&T Inc., Bank of America Corp., Barrick Gold Corp., Caterpillar Inc., Eli Lilly & Co., Ford Motor Co., Lockheed Martin Corp. and Merck & Co. Inc.; via BMO Capital Markets Corp. and distributor Incapital LLC; pricing Nov. 23; Cusip: 05573JCW2

BNP PARIBAS

• 0% notes due May 28, 2014 based on the performance of the S&P 500 index; via BNP Paribas Securities as agent and Advisors Asset Management, Inc. as distributor; pricing Nov. 22; Cusip: 05567L3N5

CITIBANK, NA

• Callable leveraged fixed-to-inverse floating-rate market-linked certificates of deposit due in 2031; via Citigroup Global Markets Inc.; Cusip: 172986FN6

• Callable fixed-to-inverse floating-rate market-linked certificates of deposit due 2031 linked to six-month Libor; via Citigroup Global Markets Inc.; Cusip: 172986FU0

CITIGROUP FUNDING INC.

• Callable step-up notes due Nov. 16, 2026; via Citigroup Global Markets Inc.; pricing Nov. 10; Cusip: 1730T0PW3

• 0% buffered return optimization securities due Nov. 21, 2013 linked to the iShares FTSE China 25 index fund; 90% trigger; via Citigroup Global Markets Inc. and UBS Financial Services Inc.; pricing Nov. 15; Cusip: 17317U477

• 0% buffered return optimization securities due May 21, 2013 linked to the S&P 500 index; via Citigroup Global Markets Inc. with UBS Financial Services Inc. as dealer; pricing Nov. 15; Cusip: 17317U493

• 0% buffered return optimization securities due Nov. 21, 2013 linked to the iShares MSCI Emerging Markets index fund; 90% trigger; via Citigroup Global Markets Inc. and UBS Financial Services Inc.; pricing Nov. 15; Cusip: 17317U485

• 1.1% market-linked notes due Nov. 21, 2016 linked to the Brent blend crude oil futures contract; via Citigroup Global Markets Inc.; pricing Nov. 16; Cusip: 1730T0PY9

• Noncallable fixed-to-floating notes due Nov. 28, 2014; via Citigroup Global Markets Inc.; pricing Nov. 22; Cusip: 1730T0PX1

• 0.5% market-linked notes due Nov. 28, 2017 linked to the Dow Jones industrial average; via Citigroup Global Markets Inc.; pricing Nov. 22; Cusip: 1730T0QC6

• 7.5%-9.5% annualized Equity LinKed Securities due May 23, 2012 linked to Ford Motor Co.; via Citigroup Global Markets Inc.; pricing Nov. 22; Cusip: 17317U519

• 8%-10% annualized Equity LinKed Securities due May 23, 2012 linked to Schlumberger NV shares; 80% trigger; via Citigroup Global Markets Inc.; pricing Nov. 22; Cusip: 17317U535

• 0% buffered Performance Leveraged Upside Securities due May 2013 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Nov. 22; Cusip: 17317U527

• 0% buffered digital plus notes due Nov. 29, 2016 linked to the Brent blend crude oil futures contract; via Citigroup Global Markets Inc.; pricing Nov. 23; Cusip: 1730T0QH5

• Annual observation coupon notes due November 2016 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Nov. 28; Cusip: 1730T0PU7

• Annual observation coupon notes due November 2014 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Nov. 28; Cusip: 1730T0PT0

• 0% buffered digital plus notes due May 27, 2015 linked to the Dow Jones industrial average; 90% trigger; via Citigroup Global Markets Inc.; pricing in November; Cusip: 1730T0PV5

CREDIT SUISSE AG, NASSAU BRANCH

• 9.5%-11.5% callable yield notes due Nov. 15, 2012 linked to the S&P 500 index, the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 10; Cusip: 22546TGQ8

• High/low coupon callable yield notes due Nov. 19, 2012 linked to the S&P 500 index, the Russell 2000 index and the United States Oil Fund, LP; via Credit Suisse Securities (USA) LLC; pricing Nov. 14; Cusip: 22546TGY1

• 0% digital-plus barrier notes due Nov. 23, 2015 linked to the Dow Jones industrial average; via Credit Suisse Securities (USA) LLC; pricing Nov. 17; Cusip: 22546TGN5

• 0% digital-plus barrier notes due Nov. 23, 2015 linked to the Dow Jones industrial average; via Credit Suisse Securities (USA) LLC; pricing Nov. 17; Cusip: 22546TGP0

• 0% digital barrier notes due Dec. 24, 2012 linked to the S&P 500 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 17; Cusip: 22546TGL9

• 0% digital barrier notes due Dec. 24, 2012 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 17; Cusip: 22546TGM7

• 0% digital-plus barrier notes due Nov. 22, 2013 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 17; Cusip: 22546TGJ4

• 0% digital-plus barrier notes due Nov. 30, 2015 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 18; Cusip: 22546TGH8

• 9.5% to 11.5% callable yield notes due Nov. 23, 2012 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 18; Cusip: 22546TGT2

• 12% to 14% callable yield notes due Nov. 23, 2012 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 18; Cusip: 22546TGU9

• 9%-11% callable yield notes due Nov. 28, 2012 linked to S&P 500 index and the Russell 2000 index; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 18; Cusip: 22546TFX4

• 0% digital barrier notes due Dec. 28, 2012 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 18; Cusip: 22546TFW6

• High/low coupon callable yield notes due Nov. 23, 2012 linked to the S&P 500 index and the Russell 2000 index; 65% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 18; Cusip: 22546TGV7

• High/low coupon callable yield notes due Nov. 28, 2012 linked to the S&P 500 index and the Russell 2000 index; 60% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 18; Cusip: 22546TGW5

• 0% buffered return equity securities due Nov. 30, 2015 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip: 22546TGS4

• High/low coupon callable yield notes due Nov. 28, 2012 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip: 22546TGR6

DEUTSCHE BANK AG, LONDON BRANCH

• 0% enhanced participation securities due Feb. 13, 2015 linked to the S&P 500 index; 60% trigger; via Deutsche Bank Securities Inc.; pricing Nov. 10; Cusip: 2515A1DR9

• 0% capped knock-out notes due Nov. 28, 2012 linked to the common stocks of Apple Inc., Broadcom Corp., Priceline.com Inc., EMC Corp., Intel Corp., Linear Technology Corp., Marvell Technology Group Ltd., NetApp, Inc., Qualcomm Inc., Riverbed Technology, Inc., SanDisk Corp., Google Inc., International Business Machines Corp., Oracle Corp. and Symantec Corp.; via JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC; pricing Nov. 11; Cusip: 2515A1EJ6

• 0% review notes due Nov. 21, 2012 linked to the Brent crude oil futures contract; via JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC; pricing Nov. 11; Cusip: 2515A1EG1

• 0% buffered return enhanced notes due Nov. 18, 2012 linked to the Hang Seng China Enterprises index, Hang Seng index, Korea Stock Price Index 200, MSCI Singapore index and MSCI Taiwan index, each converted into dollars; via J.P. Morgan Securities LLC as dealer; pricing Nov. 11; Cusip: 2515A1EH0

• 0% securities due Nov. 21, 2016 linked to the Deutsche Bank Fed Funds Total Return index and the Deutsche Bank Haven Plus Excess Return index; via Deutsche Bank Securities Inc. and Deutsche Bank Trust Co. Americas; pricing Nov. 16; Cusip: 2515A1E31

• 0% rebalancing tracker notes due Nov. 21, 2016 linked to the Deutsche Bank Fed Funds Total Return index, Deutsche Bank Commodity Booster-Dow Jones-UBS Excess Return After Cost TV 14 index, Deutsche Bank Liquid Commodity Momentum index, the Deutsche Bank Commodity Harvest-10 USD ERAC index, Deutsche Bank Trends x12 Excess Return index, Deutsche Bank Equity Mean Reversion Alpha index, Deutsche Bank US Volatility Harvest Excess Return index, Deutsche Bank Haven Plus Excess Return index and Deutsche Bank X-Alpha USD Excess Return index; pricing Nov. 16; via Deutsche Bank Securities Inc. and Deutsche Bank Trust Co. Americas; Cusip: 2515A1E49

EKSPORTFINANS ASA

• Zero-coupon Capped Leveraged Index Return Notes due February 2013 linked to the price of gold; 95% trigger; via Bank of America Merrill Lynch; pricing in November

• Zero-coupon Capped Leveraged Index Return Notes due January 2013 linked to front month palladium futures contract; 90% trigger; via Bank of America Merrill Lynch; pricing in November

• 0% Strategic Accelerated Redemption Securities due December 2012 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in November

• 18- to 21-month 0% leveraged buffered index-linked notes tied to the MSCI EAFE index; via Goldman, Sachs & Co.

• 14- to 16-month 0% buffered index-linked notes tied to the S&P 500 index; via Goldman Sachs & Co.

GOLDMAN SACHS GROUP, INC.

• Fixed-to-floating notes due Nov. 14, 2014; via Goldman Sachs & Co.; settlement Nov. 14; Cusip: 38143UZL8

• 0% commodity-linked notes due Nov. 19, 2012 tied to the price of gold; via Goldman Sachs & Co. with J.P. Morgan Securities LLC as distributor; settlement Nov. 14; Cusip: 38143UZK0

• 0% buffered equity index-linked notes due Dec. 4, 2013 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 28; Cusip: 38143UYX3

• Callable step-up fixed-rate notes due November 2014; via Goldman Sachs & Co. and Incapital LLC; settlement in November; Cusip: 38143UYPO

• Callable step-up fixed-rate notes due November 2016; via Goldman Sachs & Co. and Incapital LLC; pricing in November; Cusip: 38143UZU8

• Callable step-up fixed-rate notes due November 2020; via Goldman Sachs & Co. and Incapital LLC; settlement in November; Cusip: 38143UZH7

• Callable step-up fixed-rate notes due November 2023; via Goldman Sachs & Co. and Incapital LLC; pricing in November; Cusip: 38143UZG9

• Six-year 0% equity index-linked notes tied to the Dow Jones industrial average; via Goldman Sachs & Co.; Cusip: 38143UZJ3

• Callable quarterly accrual notes linked to Libor; via Goldman Sachs & Co.; Cusip: 38143UZM6

• 18- to 21-month 0% leveraged buffered index-linked notes tied to the S&P 500 index; via Goldman Sachs & Co.

• 0% buffered equity index-linked notes due in 13 to 15 months linked to the S&P 500 index; via Goldman Sachs & Co.

• Three-year buffered annual reset coupon equity index-linked notes linked to the S&P 500 index; 80% trigger; via Goldman Sachs & Co.; Cusip: 38143UYV7

• Five-year buffered annual reset coupon equity index-linked notes linked to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 38143UYW5

• Callable quarterly index-linked range accrual notes due in 15 years linked to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 38146R477

• 15-year callable quarterly range accrual notes linked to the S&P 500 index and Libor; via Goldman Sachs & Co.; Cusip: 38143UZF1

• 18- to 21-month 0% equity index-linked notes tied to the Topix index; via Goldman Sachs & Co.

HSBC BANK USA, NA

• Annual income opportunity certificates of deposit with auto cap feature due Nov. 26, 2018 linked to the stocks of Aluminum Corp. of China Ltd., Baidu, Inc., China Unicom, Chunghwa Telecom Co., Ltd., Cnooc Ltd., Icici Bank Ltd., Infosys Technologies Ltd., LG Display Co. Ltd., SK Telecom Co., Ltd. and Tata Motors Ltd.; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40431GC23

• 0% Far East opportunity certificates of deposit due Nov. 28, 2018 linked to the Hang Seng index, the TWSE index, the MSCI Singapore Free index and the Kospi 200 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40431GB24

• Head-start annual income opportunity certificates of deposit with auto cap due Nov. 28, 2018 linked to the common stocks of Altria Group, Inc., Amazon.com, Inc., Amgen Inc., Archer-Daniels-Midland Co., AT&T Inc., Barrick Gold Corp., General Mills, Inc., Halliburton Co., Intel Corp. and Mattel, Inc.; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 40431GA74

• Annual income opportunity certificates of deposit with auto cap feature due Nov. 28, 2016 linked to the common stocks of Altria Group Inc., Bank of Montreal, CME Group Inc., eBay Inc., Eli Lilly & Co., Exelon Corp., Maxim Integrated Products, Inc., Monsanto Co., St. Jude Medical Inc. and Sysco Corp.; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 40431GA25

• Annual income opportunity certificates of deposit with auto cap feature due Nov. 28, 2018 linked to the common stocks of Altria Group Inc., Bank of Montreal, CME Group Inc., eBay Inc., Eli Lilly & Co., Exelon Corp., Maxim Integrated Products, Inc., Monsanto Co., St. Jude Medical Inc. and Sysco Corp.; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 40431GB65

• Income plus certificates of deposit due Nov. 28, 2018 linked to the common stocks of Altria Group, Inc., Eli Lilly & Co., Lockheed Martin Corp., Johnson & Johnson and Procter & Gamble Co.; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 40431GZX0

• Annual income opportunity CDs with auto cap due Nov. 29, 2016 linked to Altria Group, Inc., Amazon.com, Inc., Amgen Inc., Archer-Daniels Midland Co., AT&T Inc., Barrick Gold Corp., General Mills, Inc., Halliburton Co., Intel Corp. and Mattel, Inc.; via HSBC Securities (USA) Inc.; pricing Nov. 23; Cusip: 40431GA66

• Annual income opportunity CDs with auto cap due Nov. 29, 2017 linked to Altria Group, Inc., Amazon.com, Inc., Amgen Inc., Archer-Daniels Midland Co., AT&T Inc., Barrick Gold Corp., General Mills, Inc., Halliburton Co., Intel Corp. and Mattel, Inc.; via HSBC Securities (USA) Inc.; pricing Nov. 23; Cusip: 40431GB81

HSBC USA INC.

• Trigger phoenix autocallable optimization securities due Nov. 16, 2012 linked to Caterpillar Inc. common stock; via HSBC Securities (USA) Inc. is the underwriter with UBS Financial Services Inc.; pricing Nov. 11; Cusip: 40433C148

• Trigger phoenix autocallable optimization securities due Nov. 16, 2012 linked to General Electric Co. common stock; via HSBC Securities (USA) Inc. is the underwriter with UBS Financial Services Inc.; pricing Nov. 11; Cusip: 40433C130

• Trigger phoenix autocallable optimization securities due Nov. 16, 2012 linked to iShares Russell 2000 index fund common stock; via HSBC Securities (USA) Inc. is the underwriter with UBS Financial Services Inc.; pricing Nov. 11; Cusip: 40433C163

• Trigger phoenix autocallable optimization securities due Nov. 16, 2012 linked to Potash Corp. of Saskatchewan Inc. common stock; via HSBC Securities (USA) Inc. is the underwriter with UBS Financial Services Inc.; pricing Nov. 11; Cusip: 40433C155

• Fixed-to-floating notes due Nov. 16, 2015; via HSBC Securities (USA) Inc.; settlement Nov. 16; Cusip: 4042K1RC9

• 0% buffered Accelerated Market Participation Securities due Nov. 25, 2014 linked to S&P 500 index, the Russell 2000 index and the iShares MSCI EAFE index fund; 80% trigger; via HSBC Securities (USA) Inc.; pricing Nov. 18; Cusip: 4042K1SE4

• 0% trigger market participation securities due Nov. 24, 2014 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 18; Cusip: 4042K1SL8

• 0% buffered performance plus securities due Nov. 26, 2014 linked to the Dow Jones industrial average; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 4042K1RU9

• 0% buffered performance plus securities due Nov. 27, 2015 linked to the Dow Jones industrial average; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 4042K1RV7

• 0% buffered Accelerated Market Participation Securities due May 24, 2013 linked to the iShares MSCI Emerging Markets index fund; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 4042K1SA2

• 0% buffered Accelerated Market Participation Securities due May 24, 2013 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 4042K1SC8

• 0% buffered Accelerated Market Participation Securities due May 24, 2013 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 4042K1RZ8

• 9%-12% autocallable yield notes due Nov. 27, 2012 linked to the S&P 500 index and the Russell 2000 index via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 4042K1RL9

• 12%-15% autocallable yield notes due Nov. 27, 2012 linked to the S&P 500 index and the Russell 2000 index via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 4042K1RM7

• 0% buffered Accelerated Market Participation Securities due May 24, 2013 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 4042K1RY1

• 0% buffered Accelerated Market Participation Securities due May 24, 2013 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 4042K1SB0

• 8.5%-11.5% autocallable yield notes due Nov. 27, 2012 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 4042K1RL9

• 11.5%-14.5% autocallable yield notes due Nov. 27, 2012 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 4042K1RM7

• Contingent income autocallable securities due Nov. 28, 2012 linked to the common stock of JPMorgan Chase & Co.; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 40433C197

• 0% autocallable notes due Nov. 27, 2013 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 4042K1SJ3

• 0% trigger performance securities due Nov. 30, 2016 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 23; Cusip: 40433C221

• 0% trigger performance securities due Nov. 30, 2021 linked to the S&P 500 index; via HSBC Securities (USA) Inc. with UBS Financial Services Inc.; pricing Nov. 23; Cusip: 40433C213

• 0% trigger performance securities due Nov. 28, 2014 linked to the S&P 500 index; via HSBC Securities (USA) Inc. with UBS Financial Services Inc.; pricing Nov. 23; Cusip: 40433C239

• Head-start annual income opportunity notes with auto cap due Nov. 28, 2018 linked to Altria Group, Inc., Amazon.com, Inc., Amgen Inc., Archer-Daniels-Midland Co., AT&T Inc., Barrick Gold Corp., General Mills, Inc., Halliburton Co., Intel Corp. and Mattel, Inc.; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 4042K1RF2

• 0% buffered uncapped market participation securities due Nov. 28, 2014 linked to the Dow Jones industrial average; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 4042K1RW5

• Annual income opportunity notes with auto cap due Dec. 1, 2014 linked to Altria Group, Inc., Amazon.com, Inc., Amgen Inc., Archer-Daniels-Midland Co., AT&T Inc., Barrick Gold Corp., General Mills, Inc., Halliburton Co., Intel Corp. and Mattel, Inc.; via HSBC Securities (USA) Inc.; pricing Nov. 23; Cusip: 4042K1RJ4

• Annual income opportunity notes with auto cap due Nov. 30, 2015 linked to the stocks Altria Group, Inc., Amazon.com, Inc., Amgen Inc., Archer-Daniels-Midland Co., AT&T Inc., Barrick Gold Corp., General Mills, Inc., Halliburton Co., Intel Corp. and Mattel, Inc.; via HSBC Securities (USA) Inc.; pricing Nov. 23; Cusip: 4042K1RG0

• 0% Currency Accelerated Return Securities due November 2013 linked to a basket of currencies; via HSBC Securities (USA) Inc.; pricing in November; Cusip: 4042K1RB1

• Return optimization securities due 2013 linked to the iShares FTSE/Xinhua China 25 index fund; via UBS Financial Services Inc. and HSBC Securities (USA) Inc.; Cusip: 40433C494

JPMORGAN CHASE BANK, NA

• Callable variable-rate range accrual CDs linked to six-month Libor and S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 10; Cusip: 48123YW93

• Digital contingent coupon certificates of deposit due Nov. 30, 2016 linked to the stocks of Apple, Inc., Amazon.com, Inc., Clorox Co., Goldman Sachs Group, Inc., Lockheed Martin Corp., Lowe's Cos., Inc., Newmont Mining Corp., Pfizer Inc., Philip Morris International Inc. and AT&T, Inc.; via J.P. Morgan Securities LLC as agent and Incapital LLC as distributor; pricing Nov. 22; Cusip: 48123YZ58

• Digital contingent coupon certificates of deposit due Nov. 30, 2017 linked to the stocks of Apple, Inc., Amazon.com, Inc., Clorox Co., Goldman Sachs Group, Inc., Lockheed Martin Corp., Lowe's Cos., Inc., Newmont Mining Corp., Pfizer Inc., Philip Morris International Inc. and AT&T, Inc.; via J.P. Morgan Securities LLC as agent and Incapital LLC as distributor; pricing Nov. 22; Cusip: 48123YZ66

• Digital contingent coupon certificates of deposit due Nov. 30, 2018 linked to the stocks of Apple, Inc., Amazon.com, Inc., Clorox Co., Goldman Sachs Group, Inc., Lockheed Martin Corp., Lowe's Cos., Inc., Newmont Mining Corp., Pfizer Inc., Philip Morris International Inc. and AT&T, Inc.; via J.P. Morgan Securities LLC as agent and Incapital LLC as distributor; pricing Nov. 22; Cusip: 48123Y2D7

• Contingent coupon certificates of deposit due Nov. 30, 2018 linked to the stocks of Apple, Inc., Amazon.com, Inc., Clorox Co., Goldman Sachs Group, Inc., Lockheed Martin Corp., Lowe's Cos., Inc., Newmont Mining Corp., Pfizer Inc., Philip Morris International Inc. and AT&T, Inc.); via J.P. Morgan Securities LLC as agent and Incapital LLC as distributor; pricing Nov. 22; Cusip: 48123YZ74

• Contingent coupon market-linked certificates of deposit due Nov. 28, 2017 linked to Brent crude oil, silver, corn, copper, gold, nickel, gasoline RBOB, palladium, sugar and the S&P GSCI Livestock Index Excess Return; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 48123YX27

• Certificates of deposit due Nov. 28, 2017 linked to the J.P. Morgan Alternative Index Multi-Strategy 5 (USD); via J.P. Morgan Securities LLC and Incapital LLC; pricing Nov. 22; Cusip: 48123YY59

• Certificates of deposit due Nov. 28, 2017 linked to the JPMorgan Asia-Pacific Equity Rotator 5 index; via J.P. Morgan Securities LLC and Incapital LLC; pricing Nov. 22; Cusip: 48123YZ33

• Certificates of deposit due Nov. 28, 2017 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC and Incapital LLC; pricing Nov. 22; Cusip: 48123YX35

• Index annual income certificates of deposit due Nov. 28, 2018 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC and distributor Incapital LLC; pricing Nov. 22; Cusip: 48123YY91

• Certificates of deposit due Nov. 28, 2017 linked to the JPMorgan Optimax Market-Neutral index; via J.P. Morgan Securities LLC and Incapital LLC; pricing Nov. 22; Cusip: 48123YX50

• Contingent coupon certificates of deposit due Nov. 30, 2018 linked to the stocks of China Mobile Ltd., Nippon Telegraph and Telephone Corp., Perusahaan Perseroan (Persero) PT Telekomunikasi Indonesia Tbk., ICICI Bank Ltd. (ADSs), Hitachi Ltd., HSBC Holdings plc, Toyota Motor Corp., Baidu, Inc. (ADSs), Taiwan Semiconductor Manufacturing Co. Ltd. and Yum! Brands, Inc.0; via J.P. Morgan Securities LLC as agent and Incapital LLC as distributor; pricing Nov. 23; Cusip: 48123YX76

JPMORGAN CHASE & CO.

• Fixed-to-floating notes due Nov. 16, 2018; via J.P. Morgan Securities LLC: pricing Nov. 10; Cusip: 48125VCB4

• 8%-10.5% trigger yield optimization notes due Nov. 16, 2012 linked to the common stock of Johnson Controls, Inc.; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Nov. 11; Cusip: 46636T168

• 7.85%-10.35% trigger yield optimization notes due Nov. 16, 2012 linked to the common stock of Occidental Petroleum Corp.; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Nov. 11; Cusip: 46636T176

• 8.65%-11.15% trigger yield optimization notes due Nov. 16, 2012 linked to the common stock of SanDisk Corp.; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Nov. 11; Cusip: 46636T184

• 10% upside autocallable single observation reverse exchangeable notes due Nov. 16, 2012 linked to the common stock of Halliburton Co.; via J.P. Morgan Securities LLC; pricing Nov. 14; Cusip: 48125VCW8

• 18% upside autocallable single observation reverse exchangeable notes due May 18, 2012 linked to the common stock of Bank of America Corp.; via J.P. Morgan Securities LLC; pricing Nov. 15; Cusip: 48125VBB5

• 12% upside autocallable single observation reverse exchangeable notes due Nov. 16, 2012 linked to the common stock of Caterpillar Inc.; via J.P. Morgan Securities LLC; pricing Nov. 15; Cusip: 48125VBF6

• 11% upside autocallable single observation reverse exchangeable notes due May 18, 2012 linked to the common stock of Ford Motor Co.; via J.P. Morgan Securities LLC; pricing Nov. 15; Cusip: 48125VBD1

• 13.25% upside autocallable single observation reverse exchangeable notes due May 18, 2012 linked to the common stock of Freeport-McMoRan Copper & Gold Inc.; via J.P. Morgan Securities LLC; pricing Nov. 15; Cusip: 48125VBC3

• 12% upside autocallable single observation reverse exchangeable notes due Nov. 16, 2012 linked to the common stock of Wells Fargo Co.; via J.P. Morgan Securities LLC; pricing Nov. 15; Cusip: 48125VBE9

• Fixed-to-floating notes due Nov. 16, 2018 with 4% initial rate; via J.P. Morgan Securities LLC; settlement Nov. 16; Cusip: 48125VBZ2

• 0% dual directional knock-out buffered equity notes due May 21, 2013 linked to the iShares MSCI Emerging Markets index fund; via J.P. Morgan Securities LLC; pricing Nov. 16; Cusip: 48125VCS7

• 9% autocallable yield notes due May 22, 2012 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 17; Cusip: 48125VAX8

• 13.5% reverse convertible notes due May 31, 2012 linked to Amazon.com, Inc. stock; via JPMorgan; pricing Nov. 22; Cusip: 48125VCL2

• 16.5% reverse convertible notes due May 31, 2012 linked to Baidu, Inc. (ADS) stock; via JPMorgan; pricing Nov. 22; Cusip: 48125VCN8

• 17.5% reverse convertible notes due Feb. 29, 2012 linked to Bank of America Corp. stock; via JPMorgan; pricing Nov. 22; Cusip: 48125VCK4

• 13.25% reverse convertible notes due May 31, 2012 linked to Caterpillar Inc. stock; via JPMorgan; pricing Nov. 22; Cusip: 48125VCP3

• 0% notes due Nov. 28, 2017 linked to the Dow Jones industrial average, the Dow Jones - UBS Commodity index, the iShares MSCI EAFE index fund and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 48125VAT7

• 12.25% reverse convertible notes due May 31, 2012 linked to Ford Motor Co. stock; via JPMorgan; pricing Nov. 22; Cusip: 48125VCR9

• 15% reverse convertible notes due Feb. 29, 2012 linked to Freeport-McMoRan Copper & Gold Inc. stock; via JPMorgan; pricing Nov. 22; Cusip: 48125VCH1

• 12.5% reverse convertible notes due May 31, 2012 linked to International Paper Co. stock; via JPMorgan; pricing Nov. 22; Cusip: 48125VCM0

• 0% buffered return enhanced notes due May 28, 2013 linked to the iShares MSCI EAFE index fund; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 48125VAM2

• Annual income notes due Nov. 28, 2016 contingent on the performance of the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 48125VAQ

• 0% return notes due Feb. 27, 2013 linked to the J.P. Morgan Strategic Volatility index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 48125VAR1

• 0% return notes due Feb. 27, 2013 linked to the J.P. Morgan Strategic Volatility index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 48125VAS9

• 14% reverse convertible notes due Feb. 29, 2012 linked to Las Vegas Sands Corp. stock; via JPMorgan; pricing Nov. 22; Cusip: 48125VCC2

• 17.25% reverse convertible notes due Feb. 29, 2012 linked to MGM Resorts International stock; via JPMorgan; pricing Nov. 22; Cusip: 48125VCD0

• 12.5% reverse convertible notes due Feb. 29, 2012 linked to Peabody Energy Corp. stock; via JPMorgan; pricing Nov. 22; Cusip: 48125VCF5

• 0% buffered return enhanced notes due May 28, 2013 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 48125VAL4

• 0% buffered return enhanced notes due May 28, 2013 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 48125VAN0

• 0% buffered return enhanced notes due Nov. 27, 2013 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 48125VAP5

• 0% Performance Leveraged Upside Securities due May 25, 2012 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46636T275

• 0% Performance Leveraged Upside Securities due December 2012 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61760T181

• 0% notes due Nov. 30, 2016 linked to S&P 500 index, Dow Jones industrial average, Dow Jones-UBS Commodity index and iShares MSCI EAFE index fund; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 48125VBA7

• 13.5% reverse convertible notes due May 31, 2012 linked to Schlumberger N.V. (Schlumberger Ltd.) stock; via JPMorgan; pricing Nov. 22; Cusip: 48125VCQ1

• 14.25% reverse convertible notes due Feb. 29, 2012 linked to Silver Wheaton Corp. stock; via JPMorgan; pricing Nov. 22; Cusip: 48125VCE8

• 19.5% reverse convertible notes due Feb. 29, 2012 linked to United States Steel Corp. stock; via JPMorgan; pricing Nov. 22; Cusip: 48125VCG3

• 13.75% reverse convertible notes due Feb. 29, 2012 linked to Wells Fargo & Co. stock; via JPMorgan; pricing Nov. 22; Cusip: 48125VCJ7

MORGAN STANLEY

• Contingent coupon autocallable notes due Nov. 17, 2026 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 14; Cusip: 617482D92

• 1% market-linked notes due Nov. 21, 2017 linked to the Dow Jones industrial average; via Morgan Stanley & Co. LLC is the agent, and UBS Financial Services Inc.; pricing Nov. 15; Cusip: 61760T199

• Fixed-to-floating notes due Nov. 17, 2015; via Morgan Stanley & Co. LLC; settlement Nov. 17; Cusip: 61745EX71

• Fixed-to-floating notes due Nov. 17, 2017; via Morgan Stanley & Co. LLC; settlement Nov. 17; Cusip: 61745EW98

• 0% trigger jump securities due Nov. 21, 2013 linked to the Brazilian real, the Russian ruble, the Indian rupee and the Chinese renminbi; via Morgan Stanley & Co. LLC; pricing Nov. 22; Cusip: 617482SG0

• 0% jump securities due Nov. 27, 2015 linked to Brent blend crude oil; via Morgan Stanley & Co. LLC; pricing Nov. 22; Cusip: 617482K78

• 0% commodity-linked notes due Nov. 28, 2016 linked to gold; via Morgan Stanley & Co. LLC; pricing Nov. 22; Cusip: 617482K60

• Contingent coupon range accrual notes due Nov. 28, 2018 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 22; Cusip: 617482E26

• 0% trigger Performance Leveraged Upside Securities due Nov. 27, 2015 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 22; Cusip: 617482D68

• 0% buffered jump securities due Nov. 27, 2015 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 22; Cusip: 617482D50

• 0% equity-linked notes due Nov. 28, 2017 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 22; Cusip: 617482D76

• CMS curve and Russell 2000 index-linked range accrual notes due Nov. 23, 2019; via Morgan Stanley & Co. LLC; settlement Nov. 23; Cusip: 61745EZ38

• CMS curve and S&P 500 index-linked range accrual notes due Nov. 18, 2019; via Morgan Stanley & Co. LLC; settlement Nov. 18; Cusip: 61745EY54

• 0% trigger jump securities due November 2014 linked to the iShares MSCI Emerging Markets index fund; 65% trigger; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61760T157

• 0% equity-linked notes due November 2017 linked to the S&P 500 index; via Morgan Stanley & co. LLC; pricing in November; Cusip: 61760T173

• Contingent coupon range accrual notes due November 2017 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 617482D84

• 0% trigger jump securities due November 2014 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61760T165

ROYAL BANK OF CANADA

• 0% buffered bullish enhanced return notes due May 15, 2013 linked to the iShares MSCI Emerging Markets index fund; 85% trigger; via RBC Capital Markets, LLC; pricing Nov. 10; Cusip: 78008TA20

• 0% buffered bullish enhanced return notes due May 15, 2013 linked to the S&P 500 index; via RBC Capital Markets, LLC; pricing Nov. 10; Cusip: 48125VBX7

• 7%-9% annualized airbag yield optimization notes due May 17, 2012 linked to the common stock of Hansen Natural Corp; via UBS Financial Services Inc. and RBC Capital Markets, LLC ; pricing Nov. 11; Cusip: 78010W566

• 7.5%-10% annualized airbag yield optimization notes due May 17, 2012 linked to the common stock of JPMorgan Chase & Co.; via UBS Financial Services Inc. and RBC Capital Markets, LLC ; pricing Nov. 11; Cusip: 78010W574

• 9.5%-12% annualized airbag yield optimization notes due May 17, 2012 linked to the common stock of MetLife, Inc.; via UBS Financial Services Inc. and RBC Capital Markets, LLC ; pricing Nov. 11; Cusip: 78010W582

• 9.3%-11.8% annualized airbag yield optimization notes due May 17, 2012 linked to the common stock of Transocean Ltd.; via UBS Financial Services Inc. and RBC Capital Markets, LLC ; pricing Nov. 11; Cusip: 78010W590

• 7.7%-10.2% annualized airbag yield optimization notes due May 17, 2012 linked to the common stock of Yahoo! Inc.; via UBS Financial Services Inc. and RBC Capital Markets, LLC ; pricing Nov. 11; Cusip: 78010W616

• Redeemable step-up notes due Nov. 18, 2031; via RBC Capital Markets, LLC; settlement Nov. 18; Cusip: 78008TAW4

• 16% reverse convertible notes due Feb. 29, 2012 linked to Abercrombie & Fitch Co. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip: 78008TXT6

• 13.75% reverse convertible notes due Feb. 29, 2012 linked to Alcoa Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip: 78008TXS8

• 11.5% reverse convertible notes due Feb. 29, 2012 linked to Anadarko Petroleum Corp. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip: 78008TXU3

• 14% reverse convertible notes due Feb. 29, 2012 linked to Baker Hughes Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip: 78008TYM0

• 13% reverse convertible notes due Feb. 29, 2012 linked to Capital One Financial Corp. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip: 78008TXY5

• 12.25% reverse convertible notes due Feb. 29, 2012 linked to Caterpillar Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip: 78008TXV1

• 12.75% reverse convertible notes due Feb. 29, 2012 linked to Cliffs Natural Resources Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip: 78008TXW9

• 11.75% reverse convertible notes due Feb. 29, 2012 linked to Cummins Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip: 78008TXX7

• 12.75% reverse convertible notes due Feb. 29, 2012 linked to Ford Motor Co. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip: 78008TYA6

• 16.5% reverse convertible notes due Feb. 29, 2012 linked to Freeport-McMoRan Copper & Gold Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip: 78008TYB4

• 13.5% reverse convertible notes due Feb. 29, 2012 linked to Goodyear Tire & Rubber Co. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip: 78008TYC2

• 11.5% reverse convertible notes due Feb. 29, 2012 linked to JPMorgan Chase & Co. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip: 78008TYE8

• 14.75% reverse convertible notes due Feb. 29, 2012 linked to Juniper Networks, Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip: 78008TYD0

• 0% buffered bullish booster notes due Dec. 2, 2013 linked to the Market Vectors Gold Miners exchange-traded fund; 90% trigger; via RBC Capital Markets, LLC; pricing Nov. 23; Cusip: 78008TXF6

• 16.5% reverse convertible notes due Feb. 29, 2012 linked to Netflix, Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip: 78008TYF5

• 0% buffered bullish enhanced return notes due May 31, 2013 linked to the Russell 2000 index; via RBC Capital Markets, LLC; pricing Nov. 23; Cusip: 78008TXN9

• 0% contingent return optimization securities due Nov. 29, 2013 linked to the Russell 2000 index; via RBC Capital Markets, LLC with UBS Financial Services Inc. as placement agent; pricing Nov. 23; Cusip: 78010W434

• 0% buffered bullish booster notes due Dec. 2, 2013 linked to the Russell 2000 index; via RBC Capital Markets, LLC; pricing Nov. 23; Cusip: 78008TXJ8

• 13.5% reverse convertible notes due Feb. 29, 2012 linked to Salesforce.com, Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip: 78008TXZ2

• 0% buffered bullish enhanced return notes due May 31, 2013 linked to the S&P 500 index; 90% trigger; via RBC Capital Markets, LLC; pricing Nov. 23; Cusip: 78008TXM1

• 0% buffered bullish booster notes due Dec. 2, 2013 linked to the S&P 500 index; via RBC Capital Markets, LLC; pricing Nov. 23; Cusip: 78008TXH2

• 24.75% reverse convertible notes due Feb. 29, 2012 linked to United States Steel Corp. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip: 78008TYN8

• 15.75% reverse convertible notes due Feb. 29, 2012 linked to Whirlpool Corp. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip: 78008TYG3

• 14% reverse convertible notes due Feb. 29, 2012 linked to Wynn Resorts, Ltd. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip: 78008TYH1

• 0% direct investment notes due Jan. 9, 2013 linked to the EquityCompass Equity Risk Management Strategy; via RBC Capital Markets, LLC; pricing Dec. 5; Cusip: 78008TXR0

• 18- to 21-month 0% leveraged equity index-linked notes linked to the MSCI EAFE index; via Goldman Sachs & Co.

ROYAL BANK OF SCOTLAND PLC

• Annual reset coupon notes with fixed buffer due Dec. 31, 2014 linked to the S&P 500 index; via RBS Securities Inc.; pricing Nov. 28; Cusip: 78009PCB5

• Annual reset coupon notes with fixed buffer due Dec. 1, 2016 linked to the S&P 500 index; via RBS Securities Inc.; pricing Nov. 28; Cusip: 78009PCA7

• 0% capped market-linked notes due May 31, 2017 linked to the S&P 500 index; via RBS Securities Inc.; pricing Nov. 28; Cusip: 78009PCD1

SUNTRUST BANKS, INC.

• Fixed-to-floating notes due Nov. 22, 2016 linked to three-month Libor; via SunTrust Robinson Humphrey, Inc.; pricing Nov. 17; Cusip: 86802WAG3

AB SVENSK EXPORTKREDIT

• 0% Accelerated Return Notes due February 2013 linked to the Rogers International Commodity Index-Excess Return; via Bank of America Merrill Lynch; pricing in November

UBS AG, LONDON BRANCH

• 0% double short leverage securities linked to the S&P 500 Total Return index; via UBS Financial Services Inc. and UBS Investment Bank

UNION BANK, NA

• 0% quarterly capped return market-linked certificates of deposit due Nov. 28, 2016 linked to the Russell 2000 index; via UnionBanc Investment Services, LLC; pricing Nov. 22; Cusip: 90521AHL5

• 0% quarterly capped return market-linked certificates of deposit due Nov. 30, 2015 linked to the S&P 500 index; via UnionBanc Investment Services, LLC and distributor Incapital LLC; pricing Nov. 22; Cusip: 90521AHH4

• 0% market-linked certificates of deposit due Nov. 28, 2016 linked to the Brazilian real, the Russian ruble, the Indian rupee and the Chinese renminbi; via UnionBanc Investment Services, LLC and distributor Incapital LLC; pricing Nov. 23; Cusip: 90521AHJ0

• 0% quarterly capped return certificates of deposit due May 28, 2014 linked to the Dow Jones-UBS Commodity index; via UnionBanc Investment Services, LLC with Advisors Asset Management, Inc. as distributor; pricing Nov. 23; Cusip: 90521AHG6

WELLS FARGO BANK, NA

• 0% market-linked certificates of deposit due Nov. 27, 2017 linked to the Brazilian real, Russian ruble, Indian rupee and Chinese renminbi; via Incapital LLC as distributor; pricing Nov. 21; Cusip: 949748L96

• Contingent annual interest market-linked certificates of deposit due Nov. 24, 2017 linked to copper, corn, cotton, natural gas, nickel, palladium, silver, sugar, the S&P GSCI Brent Crude Oil Index Excess Return and the S&P GSCI Livestock Index Excess Return; via distributor Incapital LLC; pricing Nov. 23; Cusip: 949748L70

WELLS FARGO & CO.

• 0% growth securities due May 2015 linked to the Dow Jones - UBS Commodity index; 85% trigger; via Wells Fargo Securities, LLC; pricing Nov. 18; Cusip: 94986RGF2

• Market-linked notes due June 2018 tied to the Dow Jones industrial average; via Wells Fargo Securities, LLC; pricing in December; Cusip: 94986RGE5

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