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

Published on 11/21/2012 in the Prospect News Structured Products Daily.

Structured Products Calendar

BANK OF AMERICA CORP.

• 0% Strategic Accelerated Redemption Securities due December 2013 linked to American Depositary Receipts of BP plc; via Bank of America Merrill Lynch; pricing in November

• Capped Leveraged Index Return Notes due May 2014 linked to the Brent crude oil futures contract; via Bank of America Merrill Lynch; pricing in November

• 0% Accelerated Return Notes due November 2014 linked to the Dow Jones-UBS Commodity Index - Excess Return; via Bank of America Merrill Lynch; pricing in November

• Leveraged Index Return Notes due November 2014 linked to the Dow Jones-UBS Agriculture Sub-Index - Excess Return; via Bank of America Merrill Lynch; pricing in November

• 0% currency Market Index Target-Term Securities due November 2015 linked to Norwegian krone and the Swedish krona relative to the euro; via Bank of America Merrill Lynch; pricing in November

• Capped Leveraged Index Return Notes due November 2014 linked to the PHLX Housing Sector index; via Bank of America Merrill Lynch; pricing in November

• 0% autocallable market-linked step-up notes due November 2015 linked to the Russell 2000 index; via Bank of America Merrill Lynch; pricing in November

• 0% Accelerated Return Notes due January 2014 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in November

• 0% Accelerated Return Notes due November 2014 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in November

• Market-linked step-up notes due December 2014 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in November

• 0% Accelerated Return Notes due January 2014 linked to the S&P MidCap 400 index; via Bank of America Merrill Lynch; pricing in November

BANK OF MONTREAL

• 0% contingent risk absolute return notes due Nov. 28, 2014 linked to the iShares Russell 2000 index fund; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06366RJR7

• 0% autocallable cash-settled notes with step-up call price due Nov. 28, 2014 linked to the iShares Russell 2000 index fund; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06366RJLO

• 0% buffered bullish enhanced return notes due Nov. 30, 2015 linked to the iShares Russell 2000 index fund; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06366RJQ9

• 0% buffered bullish digital return notes due Nov. 30, 2015 linked to the iShares Russell 2000 index fund; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06366RJN6

• 0% autocallable barrier notes with step-up call price due Nov. 30, 2015 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06366RJK2

• 0% buffered bullish enhanced return notes due Nov. 30, 2015 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06366RJP1

• 0% buffered bullish digital return notes due Nov. 30, 2015 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06366RJM8

BANK OF THE WEST

• Contingent variable income market-linked certificates of deposit due Nov. 29, 2017 linked to Altria Group, Inc., AT&T Inc., Eli Lilly and Co., FirstEnergy Corp., Kellogg Co., Kinder Morgan Inc., Lockheed Martin Corp., PPL Corp., Reynolds American Inc. and Verizon Communications Inc.; via BNP Paribas Securities Corp. withAdvisors Asset Management, Inc.; pricing Nov. 26; Cusip: 06426X FD 7

• Contingent variable income market-linked certificates of deposit due Nov. 29, 2018 linked to Altria Group, Inc., AT&T Inc., Eli Lilly and Co., FirstEnergy Corp., Kellogg Co., Kinder Morgan Inc., Lockheed Martin Corp., PPL Corp., Reynolds American Inc. and Verizon Communications Inc.; via BNP Paribas Securities Corp. withAdvisors Asset Management, Inc.; pricing Nov. 26; Cusip: 06426X FE 5

• Contingent variable income market-linked certificates of deposit due Nov. 29, 2019 linked to Altria Group, Inc., AT&T Inc., Eli Lilly and Co., FirstEnergy Corp., Kellogg Co., Kinder Morgan Inc., Lockheed Martin Corp., PPL Corp., Reynolds American Inc. and Verizon Communications Inc.; via BNP Paribas Securities Corp. withAdvisors Asset Management, Inc.; pricing Nov. 26; Cusip: 06426X FF 2

• Market-linked certificates of deposit due Nov. 29, 2019 linked to the Morningstar Ultimate Stock-Pickers Target Volatility 7 index; via BNP Paribas Securities Corp. with Advisors Asset Management, Inc.; pricing Nov. 26; Cusip: 06426XFJ4

• Contingent variable income market-linked certificates of deposit due Nov. 29, 2019 linked to S&P GSCI Cocoa Dynamic Roll Index ER, S&P GSCI Coffee Dynamic Roll Index ER, S&P GSCI Corn Dynamic Roll Index ER, S&P GSCI Cotton Dynamic Roll Index ER, S&P GSCI Gold Dynamic Roll Index ER, S&P GSCI Lead Dynamic Roll Index ER, S&P GSCI Natural Gas Dynamic Roll Index ER, S&P GSCI Nickel Dynamic Roll Index ER, S&P GSCI Silver Dynamic Roll Index ER and S&P GSCI Wheat Dynamic Roll Index ER; via BNP Paribas Securities Corp. with Advisors Asset Management, Inc.; pricing Nov. 26; Cusip: 06426XFH8

BARCLAYS BANK DELAWARE

• Certificates of deposit due Nov. 29, 2019 linked to a basket of common stocks (Apple Inc., Darden Restaurants, Inc., Eli Lilly and Co., Freeport-McMoRan Copper & Gold Inc., Hewlett-Packard Co., New York Community Bancorp Inc., Northeast Utilities, Inc., Silver Wheaton Corp., Southern Copper Corp. and Walgreen Co.); via Barclays with Advisors Asset Management, Inc. as distributor; pricing Nov. 26; Cusip: 06740AWP0

• Certificates of deposit due Nov. 29, 2018 linked to the S&P 500 index; via Barclays with Advisors Asset Management, Inc. as distributor; pricing Nov. 26; Cusip: 06740AWU9

• 0% certificates of deposit due Nov. 29, 2019 linked to equal weights of the S&P 500 index, the Euro Stoxx 50 index and the FTSE 100 index; via Barclays with Advisors Asset Management, Inc. as distributor; pricing Nov. 26; Cusip: 06740AWS4

• 0% certificates of deposit due Nov. 29, 2019 linked to the S&P 500 Daily Risk Control 5% USD ER index; via Barclays with Advisors Asset Management, Inc. as distributor; pricing Nov. 26; Cusip: 06740AWV7

• Certificates of deposit due Nov. 29, 2018 linked to an equally weighted basket of Apple Inc., Darden Restaurants, Inc., Eli Lilly and Co., Freeport-McMoRan Copper & Gold Inc., Hewlett-Packard Co., New York Community Bancorp Inc., Northeast Utilities, Inc., Silver Wheaton Corp., Southern Copper Corp. and Walgreen Co.; via Barclays with Advisors Asset Management, Inc.; pricing Nov. 26; Cusip: 06740AWN5

• Certificates of deposit due Nov. 29, 2019 linked to an equally weighted basket of Apple Inc., Darden Restaurants, Inc., Eli Lilly and Co., Freeport-McMoRan Copper & Gold Inc., Hewlett-Packard Co., New York Community Bancorp Inc., Northeast Utilities, Inc., Silver Wheaton Corp., Southern Copper Corp. and Walgreen Co.; via Barclays with Advisors Asset Management, Inc.; pricing Nov. 26; Cusip: 06740AWQ8

• Certificates of deposit due Nov. 29, 2019 linked 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 Lean Hogs Index Excess Return, the S&P GSCI Live Cattle Index Excess Return, the S&P GSCI Precious Metals Index Excess Return, the S&P GSCI Natural Gas Index Excess Return, the S&P GSCI Lead Index Excess Return, the S&P GSCI Nickel Index Excess Return and the S&P GSCI Zinc Index Excess Return; via Barclays with Advisors Asset Management, Inc.; pricing Nov. 26; Cusip: 06740AWR6

• Certificates of deposit due Nov. 30, 2017 linked to the Brazilian real, the Russian ruble, the Indian rupee and the Chinese renminbi; via Barclays with Advisors Asset Management, Inc.; pricing Nov. 27; Cusip: 06740AWT2

BARCLAYS BANK PLC

• 8% to 10% autocallable yield notes due Nov. 29, 2013 linked to the Russell 2000 index and the iShares MSCI Brazil index fund; via Barclays; pricing Nov. 26; Cusip: 06741TKA4

• 9.25% reverse convertible notes due Nov. 29, 2013 linked to Amazon.com, Inc. stock; via Barclays; pricing Nov. 27; Cusip: 06741JUQ0

• 0% notes due Nov. 29, 2019 linked to Apple Inc., Freeport-McMoRan Copper &Gold Inc., Hewlett Packard Co., Eli Lilly and Co., Walgreen Co., Silver Wheaton Corp., New York Community Bancorp, Inc., Southern Copper Corp., Darden Restaurants, Inc. and Northeast Utilities, Inc.; via Barclays; pricing Nov. 27; Cusip: 06741TJU2

• 10% reverse convertible notes due May 31, 2013 linked to Baidu, Inc. stock; via Barclays; pricing Nov. 27; Cusip: 06741JUK3

• 17% reverse convertible notes due May 31, 2013 linked to Cliffs Natural Resources Inc. stock; via Barclays; pricing Nov. 27; Cusip: 06741JUL1

• 9% reverse convertible notes due Nov. 29, 2013 linked to Freeport-McMoRan Copper & Gold Inc. stock; via Barclays; pricing Nov. 27; Cusip: 06741JUM9

• 19% reverse convertible notes due Feb. 28, 2013 linked to J.C. Penney Co., Inc. stock; via Barclays; pricing Nov. 27; Cusip: 06741JUH0

• 10.25% reverse convertible notes due Nov. 29, 2013 linked to Las Vegas Sands Corp. stock; via Barclays; pricing Nov. 27; Cusip: 06741JUP2

• 14.5% reverse convertible notes due Feb. 28, 2013 linked to PulteGroup, Inc. stock; via Barclays; pricing Nov. 27; Cusip: 06741JUJ6

• 0% Super Track notes due June 2, 2016 linked to the S&P 500 index; via Barclays; pricing Nov. 27; Cusip: 06741TKF3

• Notes due Nov. 30, 2017 linked to S&P GSCI Sugar Index Excess Return, S&PGSCI Cocoa Index Excess Return, S&P GSCI Corn Index Excess Return, S&P GSCI Cotton Index Excess Return, S&P GSCI Lean Hogs Index Excess Return, S&P GSCI Precious Metals Index Excess Return, S&P GSCI Natural Gas Index Excess Return, S&P GSCI Lead Index Excess Return, S&P GSCI Nickel Index Excess Return and S&P GSCI Zinc Index Excess Return; via Barclays; pricing Nov. 27; Cusip: 06741TJS7

• 9% reverse convertible notes due Nov. 29, 2013 linked to Valero Energy Corp. stock; via Barclays; pricing Nov. 27; Cusip: 06741JUN7

• 9% reverse convertible notes due Nov. 29, 2013 linked to Hewlett-Packard Co. stock; via Barclays; pricing Nov. 28; Cusip: 06741JUE7

• 0% buffered digital notes due Nov. 30, 2015 linked to the Russell 2000 index; 80% trigger; via Barclays; pricing Nov. 28; Cusip: 06741TKL0

• 0% buffered digital notes due May 29, 2015 linked to the Russell 2000 index; via Barclays; pricing Nov. 28; Cusip: 06741TKE6

• 11% reverse convertible notes due May 28, 2013 linked to Verifone Systems, Inc. stock; via Barclays; pricing Nov. 28; Cusip: 06741JUB3

• 8% reverse convertible notes due Nov. 29, 2013 linked to Whole Foods Market, Inc. stock; via Barclays; pricing Nov. 28; Cusip: 06741JUD9

• 0% Strategic Accelerated Redemption Securities due December 2013 linked to the common stock of Apple Inc.; via Bank of America Merrill Lynch; pricing in November

• 8.5% STEP Income Securities due December 2013 linked to Ford Motor Co. shares; via Bank of America Merrill Lynch; pricing in November

• 0% buffered Super Track notes due November 2017 linked to Hang Seng China Enterprises index, the Korea Composite Stock Price Index 200, Hang Seng index, MSCI Taiwan Price index and MSCI Singapore Free Price index; 75% trigger; via Barclays; pricing in November; Cusip: 06741TKG1

• 0% Accelerated Return Notes due January 2014 linked to the NYSE Arca Gold Miners index; via Bank of America Merrill Lynch; pricing in November

• 0% notes due Dec. 9, 2015 linked to the EquityCompass Share Buyback index; via Barclays; pricing Dec. 5; Cusip: 06741TKJ5

• 0% buffered Super Track notes due 2018 linked to S&P 500 index, Russell 2000 index, iShares MSCI EAFE index fund, PowerShares DB Commodity Index Tracking fund, Consumer Staples Select Sector SPDR fund, iShares Dow Jones Select Dividend index fund, iShares iBoxx $ Investment Grade Corporate Bond fund, iShares MSCI Japan Index fund, iShares MSCI Emerging Markets index fund, Health Care Select Sector SPDR fund, PowerShares QQQ Trust, series 1 and iShares Barclays Treasury Inflation Protected Securities Bond fund; via Barclays; Cusip: 06741TKT3

BMO HARRIS BANK NA

• Annual digital yield generator certificates of deposit due Nov. 29, 2019 linked to a basket of stocks (Avon Products, Inc., American Eagle Outfitters, Inc., Cablevision Systems Corp., Cliff Natural Resources Inc., Exelon Corp., Hewlett-Packard Co., HollyFrontier Corp., Lorillard, Inc., Newmont Mining Corp. and Seagate Technology plc); via BMO Capital Markets Corp. with Advisors Asset Management, Inc. as distributor; pricing Nov. 27; Cusip: 05573JLA0

BNP PARIBAS

• Contingent variable income notes due Nov. 30, 2017 linked to a basket of common stocks (Altria Group, Inc., AT&T, Inc., Eli Lilly & Co., FirstEnergy Corp., Kellogg Co., Kinder Morgan, Lockheed Martin Corp., PPL Corp., Reynolds American Inc. and Verizon Communications Inc.); pricing Nov. 27; Cusip: 05574LBV9

• Notes due Nov. 30, 2017 linked to the Russell 2000 index; via BNPP Securities; pricing Nov. 27; Cusip: 05574LBW7

• Notes due Nov. 30, 2017 linked to the S&P 500 index and the Russell 2000 index; via BNP Paribas Securities; pricing Nov. 27; Cusip: 05574LCG1

CITIGROUP FUNDING INC.

• Callable barrier range accrual notes due December 2022 linked to the Russell 2000 index; via Citigroup Global Markets Inc.; pricing Nov. 26; Cusip: 1730T0ZR3

• Autocallable contingent coupon equity-linked securities due Dec. 2, 2013 linked to Apple Inc.; via Citigroup Global Markets Inc.; pricing Nov. 26; Cusip: 1730T0ZH5

• Callable barrier range accrual notes due Dec. 1, 2022 linked to the Russell 2000 index; 70% trigger; via Citigroup Global Markets Inc.; pricing Nov. 26; Cusip: 1730T0ZM4

• 0% buffered digital plus securities due June 1, 2016 linked to the Russell 2000 index; via Citigroup Global Markets Inc.; pricing Nov. 26; Cusip: 1730T0ZG7

• 0% enhanced barrier digital plus securities due Nov. 29, 2017 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Nov. 27; Cusip: 1730T0ZL6

• Autocallable contingent coupon equity-linked securities due Dec. 1, 2017 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Nov. 28; Cusip: 1730T0ZK8

• 0% dual directional trigger Performance Leveraged Upside Securities due December 2014 linked to the common stock of Apple Inc.; via Citigroup Global Markets Inc.; pricing Nov. 29; Cusip: 17318Q392

• 0% buffered Performance Leveraged Upside Securities due December 2014 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Nov. 29; Cusip: 17318Q442

• 0% enhanced trigger jump securities due Nov. 29, 2017 linked to the S&P 500 index; 65% trigger; via Citigroup Global Markets Inc.; pricing Nov. 29; Cusip: 17318Q434

• Strategic market access notes due 2014 linked to a basket of 10 equally weighted energy-related Master Limited Partnerships (Atlas Pipeline Partners LP, Entbridge Energy Partners, LP, Energy Transfer Equity, LP, Enterprise Products Partners LP, Genesis Energy, LP, Magellan Midstream Partners, LP, MarkWest Energy Partners, LP, Targa Resources Partners, LP, Western Gas Partners, LP and Williams Partners LP); via Citigroup Global Markets Inc.; Cusip: 1730T0ZF9

CREDIT SUISSE AG, NASSAU BRANCH

• High/low coupon callable yield notes due Feb. 28, 2014 linked to the Russell 2000 index and the United States Oil Fund, LP; via Credit Suisse Securities (USA) LLC; pricing Nov. 26; Cusip: 22546TK26

• High/low coupon callable yield notes due Nov. 29, 2013 linked to the Russell 2000 index and the United States Oil Fund, LP; via Credit Suisse Securities (USA) LLC; pricing Nov. 26; Cusip: 22546TJ85

• 0% absolute return barrier securities due March 2, 2015 linked to the S&P 500 index and the Russell 2000 index; 62.5% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 26; Cusip: 22546TH95

• 0% Cert Plus securities due May 30, 2014 linked to the common stock of Apple Inc.; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22546TJ28

• 0% Accelerated Return Notes due May 30, 2014 linked to Apple Inc. shares; 75% trigger; via Bank of America Merrill Lynch; pricing Nov. 27; Cusip: 22546TJ28

• Daily range accrual notes due Nov. 30, 2016 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22546TE23

• High/low coupon callable yield notes due Feb. 28, 2014 linked to the Russell 2000 index and the United States Oil Fund, LP; 65% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22546TG47

• High/low coupon callable yield notes due Nov. 29, 2013 linked to the Russell 2000 index and the United States Oil Fund, LP; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22546TJ85

• 0% digital plus barrier notes due Nov. 30, 2016 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22546TH46

• 0% absolute return barrier notes due May 30, 2014 linked to the iShares MSCI Emerging Markets index fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 28; Cusip: 22546TK59

• 0% Buffered Accelerated Return Equity Securities due Nov. 30, 2015 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 28; Cusip: 22546TJ44

• 8.5%-9.5% callable yield notes due Dec. 4, 2013 linked to the Russell 2000 index, the United States Oil Fund, LP and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 29; Cusip: 22546TJ77

• 0% Buffered Accelerated Return Equity Securities due June 4, 2014 linked to the iShares MSCI EAFE index fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22546TH87

• High/low coupon callable yield notes due March 5, 2014 linked to the Russell 2000 index and the United States Oil Fund, LP; 65% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22546TG21

• 0% Buffered Accelerated Return Equity Securities due June 4, 2014 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22546TH79

• 0% digital-plus barrier notes due Nov. 30, 2016 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22546TH46

• 0% digital-plus barrier notes due Dec. 5, 2016 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22546TH38

• Daily range accrual notes due Dec. 5, 2016 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22546TG39

• 0% three-year autocallable securities linked to Euro Stoxx 50 index and the iShares MSCI Emerging Markets index fund; 70% trigger; via Barclays; pricing in November; Cusip: 22546TK91

• 0% Accelerated Return Notes due January 2014 linked to the Energy Select Sector index; via Bank of America Merrill Lynch; pricing in November

• 28- to 32-month 0% buffered participation equity securities linked to an unequally weighted basket of the MSCI EAFE index and the Euro Stoxx 50 index multiplied by the performance of the euro relative to the dollar; via Credit Suisse Securities (USA) LLC; pricing in November; Cusip: 22546TJ69

• 0% Accelerated Return Notes due January 2014 linked to the Russell 2000 index; via Bank of America Merrill Lynch; pricing in November

• 0% Strategic Accelerated Redemption Securities due December 2013 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in November

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

DEUTSCHE BANK AG, LONDON BRANCH

• Fixed-to-floating notes due Nov. 30, 2017; via Deutsche Bank Securities Inc.; pricing Nov. 27; Cusip: 2515A1PH8

• Callable step-up fixed-rate notes due Nov. 30, 2019; via Deutsche Bank Securities Inc.; pricing Nov. 27; Cusip: 2515A1PG0

• 0% buffered return optimization securities due Nov. 28, 2014 linked to the iShares MSCI Emerging Markets index fund; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Nov. 27; Cusip: 25154S877

• Autocallable securities due Dec. 2, 2015 linked to the iShares MSCI Emerging Markets index fund; 75% trigger; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Nov. 27; Cusip: 2515A1M32

• 0% capped buffered underlying securities due Nov. 28, 2014 linked to the S&P 500 index and the Russell 2000 index; via Deutsche Bank Securities Inc.; pricing on Nov. 27; Cusip: 2515A1M57

• 0% trigger performance securities due Nov. 30, 2015 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Nov. 28; Cusip: 25154S828

• Contingent return optimization securities due Nov. 28, 2014 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Nov. 28; Cusip: 25154S869

• 0% market contribution securities due Dec. 8, 2015 linked to the Deutsche Bank Liquid Commodity Index - Mean Reversion Total Return; via Deutsche Bank Securities Inc.; pricing Dec. 3; Cusip: 2515A1M65

GOLDMAN SACHS GROUP, INC.

• Callable step-up fixed-rate notes due May 2020; via Goldman Sachs & Co. and Incapital LLC; settlement in November; Cusip: 38141GJP0

• Callable step-up fixed-rate notes due November 2027; via Goldman Sachs & Co. and Incapital LLC; settlement in November; Cusip: 38141GHW7

• 0% leveraged buffered notes linked to MSCI EAFE index, the S&P 500 index, the S&P MidCap 400 index and the Russell 2000 index; 70% trigger; via Goldman Sachs & Co.; Cusip: 38141GJV

• 0% notes due in seven years tied to the Dow Jones industrial average; via Goldman Sachs & Co.; Cusip: 38141GGX6

• Two-year 0% index-linked notes tied to the Euro Stoxx 50 index; via Goldman Sachs & Co.

• Five-year 0% leveraged notes linked to the Morningstar Wide Moat Focus Target Volatility 5 index; via Goldman Sachs & Co.; Cusip: 38143U7B1

• Five-year 0% bufferd notes linked to the Morningstar Wide Moat Focus Target Volatility 20 index; via Goldman Sachs & Co.; Cusip: 38141GGY4

• Five-year 0% bufferd notes linked to the Morningstar Wide Moat Focus Target Volatility 20 index; via Goldman Sachs & Co.; Cusip: 38141GGZ1

• 72-month 0% trigger notes linked to the Morningstar Wide Moat Focus Target Volatility 20 index; via Goldman Sachs & Co.; Cusip: 38141GHU1

• 54-week 0% index-linked trigger notes tied to the MSCI EAFE index; via Goldman Sachs & Co. with J.P. Morgan Securities LLC as placement agent; Cusip: 38141GJU9

• 0% index-linked digital notes due in 13-15 months tied to the Russell 2000 index; via Goldman Sachs & Co.; Cusip: 38141GHR8

• 0% digital notes tied to the Russell 2000 index due in 18 and 21 months; 80% trigger; via Goldman Sachs & Co.

• 36-month 0% buffered digital notes linked to the Russell 2000 index; via Goldman Sachs & Co. with JPMorgan; Cusip: 38141GHM9

• Six-year callable monthly Russell 2000 index-linked range accrual notes; via Goldman Sachs & Co.; Cusip: 38141GHA5

• Callable monthly buffered Russell 2000 index-linked range accrual notes; via Goldman Sachs & Co. Cusip: 38141GHZ0

• Callable monthly buffered Russell 2000 index-linked range accrual notes; 65% trigger; via Goldman Sachs & Co.; Cusip: 38141GJH8

• Autocallable monthly Russell 2000 index-linked range accrual notes; 50% barrier; via Goldman Sachs & Co.; Cusip: 38141GJJ4

• 0% leveraged buffered index-linked notes due in 36 to 42 months tied to the S&P 100 index; via Goldman, Sachs & Co.

• 0% leveraged buffered index-linked notes due in 42 to 48 months tied to the S&P 100 index; via Goldman, Sachs & Co.; Cusip: 38143U7U9

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

• 22- to 25-month 0% leveraged index-linked notes linked to the S&P 500 index; via Goldman Sachs & Co.

• 0% leveraged index-linked notes due in two years tied to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 38141GHT4

• 0% leveraged buffered index-linked notes tied to the S&P 500 index due in 24 to 27 months; via Goldman, Sachs & Co.

• 0% leveraged buffered index-linked notes tied to the S&P 500 index due in 24 to 27 months; 90% trigger; via Goldman, Sachs & Co.

• 24- to 27-month 0% autocallable leveraged buffered index-linked notes tied to the S&P 500 index; via Goldman, Sachs & Co.

• 0% leveraged index-linked notes due in 24 to 28 months tied to the S&P 500 index; via Goldman Sachs & Co.

HSBC BANK USA, NA

• Income Plus certificates of deposit due Nov. 29, 2019 with 2.25% potential coupon linked to a basket of common stocks (AT&T Inc., Bristol-Myers Squibb Co., ConocoPhillips, Intel Corp. and Walgreen Co.); via HSBC Securities (USA) Inc.; pricing Nov. 26; Cusip: 40431G3U1

• Income Plus certificates of deposit due Nov. 29, 2019 with 3.75% potential coupon linked to a basket of common stocks (AT&T Inc., Bristol-Myers Squibb Co., ConocoPhillips, Intel Corp. and Walgreen Co.); via HSBC Securities (USA) Inc.; pricing Nov. 26; Cusip: 40431G3V9

• Income Plus certificates of deposit due Nov. 29, 2019 with 5.25% potential coupon linked to a basket of common stocks (AT&T Inc., Bristol-Myers Squibb Co., ConocoPhillips, Intel Corp. and Walgreen Co.); via HSBC Securities (USA) Inc.; pricing Nov. 26; Cusip: 40431G3W7

• Growth opportunity certificates of deposit due Dec. 2, 2019 linked to the S&P 500 Low Volatility index; via HSBC Securities (USA) Inc. with Advisors Asset Management, Inc. as distributor; pricing Nov. 26; Cusip: 40431G4A4

HSBC USA INC.

• 0% buffered Accelerated Market Participation Securities due May 30, 2014 linked to the iShares FTSE China 25 exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 26; Cusip: 40432X2W0

• 0% buffered Accelerated Market Participation Securities due May 30, 2014 linked to the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 26; Cusip: 40432X2V2

• Buffered income plus notes due Nov. 30, 2016 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 26; Cusip: 40432X2L4

• 0% buffered Accelerated Market Participation Securities due May 30, 2014 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 26; Cusip: 40432X2U4

• 0% buffered Accelerated Market Participation Securities due May 30, 2014 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 26; Cusip: 40432X2Q3

• 0% buffered Accelerated Market Participation Securities due May 30, 2014 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 26; Cusip: 40432X2T7

• 0% buffered Accelerated Market Participation Securities due May 30, 2014 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 26; Cusip: 40432X2P5

• Annual income opportunity notes with auto cap due Nov. 30, 2017 linked to Altria Group, Inc., Amgen Inc., Apple Inc., AT&T Inc., Exelon Corp., Integrated Products, Inc., Monsanto Co., Pfizer Inc., Silver Wheaton Corp. and Wells Fargo & Co.; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40431G4F3

• Annual income opportunity notes with auto cap due Oct. 31, 2019 linked to Altria Group, Inc., Amgen Inc., Apple Inc., AT&T Inc., Exelon Corp., Integrated Products, Inc., Monsanto Co., Pfizer Inc., Silver Wheaton Corp. and Wells Fargo & Co.; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 4042K17L1

• Annual income opportunity notes with auto cap due Dec. 2, 2019 linked to Altria Group, Inc., Amgen Inc., Apple Inc., AT&T Inc., Exelon Corp., Integrated Products, Inc., Monsanto Co., Pfizer Inc., Silver Wheaton Corp. and Wells Fargo & Co.; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40431G4J5

• Annual income opportunity notes with auto cap due Nov. 30, 2020 linked to Altria Group, Inc., Amgen Inc., Apple Inc., AT&T Inc., Exelon Corp., Maxim Integrated Products, Monsanto Co., Pfizer Inc., Silver Wheaton Corp. and Wells Fargo & Co.; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40431G4C0

• Digital contingent coupon certificates of deposit due Nov. 29, 2019 linked to Apple Inc., Bristol-Meyers Squibb Co., Goldcorp Inc., McDonald's Corp., Proctor & Gamble Co., Royal Dutch Shell plc, Total SA, Unilever plc, Verizon Communications Inc. and Wal-Mart Stores Inc.; via J.P. Morgan Securities LLC with Advisors Asset Management, Inc.; pricing Nov. 27; Cusip: 48124JND6

• Income plus notes with 0.5% minimum coupon due Dec. 2, 2019 linked to a basket of common stocks of AT&T Inc., Bristol-Myers Squibb Co., ConocoPhillips, Intel Corp. and Walgreen Co.; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40432X2B6

• Income plus notes with 1% minimum coupon due Dec. 2, 2019 linked to a basket of common stocks of AT&T Inc., Bristol-Myers Squibb Co., ConocoPhillips, Intel Corp. and Walgreen Co.; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40432X2A8

• Digital contingent coupon certificates of deposit due Nov. 29, 2019 linked to gasoline RBOB, gold, silver, copper, nickel, corn, the S&P GSCI Brent Index Excess Return, the S&P GSCI Livestock Index Excess Return, the S&P GSCI Wheat Index Excess Return and the S&P GSCI Sugar Index Excess Return; via J.P. Morgan Securities LLC with Advisors Asset Management, Inc.; pricing Nov. 27; Cusip: 48124JNJ3

• 0% certificates of deposit due Nov. 30, 2017 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC with Advisors Asset Management, Inc.; pricing Nov. 27; Cusip: 48124JMV7

• 0% certificates of deposit due Nov. 29, 2019 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC with Advisors Asset Management, Inc.; pricing Nov. 27; Cusip: 48124JMW5

• 6% autocallable yield notes due Dec. 2, 2013 linked to the Russell 2000 index and the MSCI EAFE index fund; 70% trigger; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40432X3G4

• 6% to 8% autocallable yield notes due Dec. 2, 2013 linked to the Russell 2000 index and the S&P 500 index; 65% trigger; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40432X3N9

• 0% trigger performance securities due Nov. 30, 2022 linked to the S&P 500 index; 50% trigger; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40433T620

• 0% contingent return optimization securities due Nov. 28, 2014 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40433T638

• 0% trigger performance securities due Nov. 30, 2017 linked to the S&P 500 index; 50% trigger; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40433T646

• 0% airbag performance securities due Nov. 30, 2022 linked to the S&P 500 index; via HSBC Securities (USA) Inc. with UBS Financial Services Inc. as dealer; pricing Nov. 27; Cusip: 40433T679

• 0% leveraged buffered uncapped market participation securities due Nov. 30, 2015 linked to the S&P 500 Low Volatility index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40432X2K6

• 0% 50/150 performance securities due Oct. 31, 2017 linked to the S&P 500 Low Volatility index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40432X2J9

• 0% airbag performance securities due March 5, 2018 linked to the S&P 500 Low Volatility index; via HSBC Securities (USA) Inc. with UBS Financial Services Inc. as dealer; pricing Nov. 27; Cusip: 40433T653

• 0% airbag performance securities due Nov. 30, 2022 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc. with UBS Financial Services Inc. as dealer; pricing Nov. 28; Cusip: 40433T661

• 0% averaging notes due November 2017 linked to the Dow Jones industrial average; via HSBC Securities (USA) Inc.; pricing in November; Cusip: 4042K17E7

• Market-linked step-up notes due December 2014 linked to the Euro Stoxx 50 index; 95% trigger; via Bank of America Merrill Lynch; pricing in November

• Capped Leveraged Index Return Notes due December 2014 linked to the gold spot price; via Bank of America Merrill Lynch; pricing in November

• Capped Leveraged Index Return Notes due December 2014 linked to the silver spot price; via Bank of America Merrill Lynch; pricing in November

• Capped Leveraged Index Return Notes due November 2014 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in November

• 0% performance notes due May 13, 2019 linked to the S&P 500 Low Volatility index; via HSBC Securities (USA) Inc.; pricing Dec. 7; Cusip: 40432X3S8

JPMORGAN CHASE & CO.

• 0% return notes due Feb. 28, 2014 linked to the J.P. Morgan Strategic Volatility index; via J.P. Morgan Securities LLC; pricing Nov. 26; Cusip: 48126DFJ3

• Callable fixed-rate step-up notes due Nov. 30, 2027; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DLN7

• 0% capped buffered return enhanced notes due May 30, 2014 linked to the iShares MSCI EAFE index fund; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DFE4

• 0% capped buffered return enhanced notes due May 30, 2014 linked to the iShares MSCI Emerging Markets index fund; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DFF1

• 7% to 9% autocallable yield notes due Nov. 29, 2013 linked to the iShares MSCI Emerging Markets index fund and the Russell 2000 index; 65% trigger; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DGV5

• 0% notes due Feb. 28, 2018 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DFM6

• Contingent interest notes due Nov. 30, 2018 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DFN4

• 0% return notes due Feb. 28, 2014 linked to the J.P. Morgan Strategic Volatility index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DFK0

• 0% return notes due Nov. 28, 2014 linked to the J.P. Morgan Strategic Volatility Dynamic index (series 1) (USD); via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DFL8

• 10% to 12% autocallable yield notes due Nov. 29, 2013 linked to the Market Vectors Gold Miners ETF and the Russell 2000 index; 62.5% trigger; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DGS2

• Contingent income autocallable securities due Nov. 29, 2013 linked to the common stock of MetLife, Inc.; via J.P. Morgan Securities LLC; pricing Nov. 27; 48126E461

• 0% capped buffered return enhanced notes due Nov. 28, 2014 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DFH7

• 0% Performance Leveraged Upside Securities due May 31, 2013 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 46637G181

• 0% capped buffered return enhanced notes due May 30, 2014 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DFG9

• 6%-8% autocallable yield notes due Nov. 29, 2013 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DGU7

• 7%-9% autocallable yield notes due Nov. 29, 2013 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DGT0

• 8.5% reverse convertible notes due May 31, 2013 linked to Alcoa Inc. stock; via JPMorgan; pricing Nov. 28; Cusip: 48126DGE3

• 9% reverse convertible notes due Dec. 2, 2013 linked to Amazon.com, Inc. stock; via JPMorgan; pricing Nov. 28; Cusip: 48126DHV4

• 9.5% reverse convertible notes due May 31, 2013 linked to Bank of America Corp. stock; via JPMorgan; pricing Nov. 28; Cusip: 48126DGF0

• 8% reverse convertible notes due Dec. 2, 2013 linked to Caterpillar Inc. stock; via JPMorgan; pricing Nov. 28; Cusip: 48126DGA1

• 10% reverse convertible notes due Dec. 2, 2013 linked to Coach, Inc. stock; via JPMorgan; pricing Nov. 28; Cusip: 48126DGB9

• 10% reverse convertible notes due Dec. 2, 2013 linked to Cummins Inc. stock; via JPMorgan; pricing Nov. 28; Cusip: 48126DHU6

• 8.75% reverse convertible notes due May 31, 2013 linked to Halliburton Co. stock; via JPMorgan; pricing Nov. 28; Cusip: 48126DGD5

• 15% reverse convertible notes due Feb. 28, 2013 linked to Joy Global Inc. stock; via JPMorgan; pricing Nov. 28; Cusip: 48126DFQ7

• 0% notes due Nov. 30, 2018 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC; pricing Nov. 28; Cusip: 48126DGZ6

• 11.25% reverse convertible notes due May 31, 2013 linked to Las Vegas Sands Corp. stock; via JPMorgan; pricing Nov. 28; Cusip: 48126DHS1

• 13.5% reverse convertible notes due May 31, 2013 linked to Morgan Stanley stock; via JPMorgan; pricing Nov. 28; Cusip: 48126DHT9

• 17.25% reverse convertible notes due Feb. 28, 2013 linked to Netflix, Inc. stock; via JPMorgan; pricing Nov. 28; Cusip: 48126DFR5

• 11.5% reverse convertible notes due May 31, 2013 linked to Valero Energy Corp. stock; via JPMorgan; pricing Nov. 28; Cusip: 48126DGC7

• 0% Performance Leveraged Upside Securities due Jan. 3, 2014 linked to the iShares MSCI Emerging Markets index fund; via J.P. Morgan Securities LLC with Morgan Stanley Smith Barney LLC; pricing Nov. 29; Cusip: 48126E479

MORGAN STANLEY

• Market-linked autocallable step-up notes due Nov. 30, 2027 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 617482Y99

• Market-linked autocallable notes due Nov. 30, 2032 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Nov 27; Cusip: 617482Z23

• Market-linked autocallable step-up notes due Nov. 30, 2032 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 617482Z31

• Contingent income securities due Nov. 30, 2020 linked to the price of gold; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 6174823R3

• Trigger contingent coupon optimization securities due Nov. 30, 2018 linked to the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 61761H509

• Contingent income autocallable securities due Nov. 30, 2020 linked to the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 617482Y65

• 0% enhanced trigger jump securities due Nov. 30, 2017 linked to the Russell 2000 index; 70% trigger; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 617482Y81

• 0% market-linked notes due Nov. 30, 2017 tied to the quarterly capped performance of the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 6174823N2

• Buffered securities with contingent coupon due Nov. 29, 2019 linked to the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 6174823P7

• Trigger contingent coupon optimization securities due Nov. 30, 2021 linked to the S&P 500 index; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Nov. 27; Cusip: 61761H608

• 0% trigger jump securities due Nov. 30, 2017 linked to the S&P 500 index; 60% trigger; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 617482Y73

• 0% market-linked notes due Nov. 29, 2019 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 6174823M4

• 0% buffered return optimization securities due Nov. 28, 2014 linked to the S&P 500 index; 90% trigger; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Nov. 27; Cusip: 61755S867

• Contingent income autocallable securities due Nov. 30, 2017 linked to the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Nov. 28; Cusip: 61761JAE9

• Contingent income autocallable securities due Nov. 30, 2022 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 28; Cusip: 61761JAD1

• 0% buffered jump securities due Nov. 30, 2017 linked to the Dow Jones industrial average; via Morgan Stanley & Co. LLC; pricing Nov. 30; Cusip: 617482Z49

• Contingent income autocallable securities due November 2015 linked to the common stock of Apple Inc.; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61761H780

• Market-linked notes with past performance averaging feature linked to the Morgan Stanley ETF-MAP index (Excess Return) due October 2016 to January 2017; via Morgan Stanley & Co. LLC; pricing November; Cusip: 61761H764

• 0% trigger jump securities due November 2015 linked to the Euro Stoxx 50 index; 65% trigger; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61755S875

• 0% trigger jump securities due November 2015 linked to gold, silver and platinum; 85% trigger; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 6174823S1

• 0% Performance Leveraged Upside Securities due November 2014 linked to the Morgan Stanley Mega 30 Index (Price Return; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61755S883

• 0% dual directional trigger Performance Leveraged Upside Securities due November 2014 linked to the PHLX Oil Service Sector index; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61761H301

• Contingent income autocallable securities due November 2017 linked to the Russell 2000 index; 75% trigger; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61761JAC3

• 0% trigger jump securities due November 2015 linked to Russell 2000 index and the iShares MSCI EAFE index fund; 65% trigger; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61761H772

• 0% Performance Leveraged Upside Securities due December 2013 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61761H202

• 0% contingent income autocallable securities with step-up redemption threshold level feature due November 2015 linked to the common stock of United Technologies Corp.; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61761H400

ROYAL BANK OF CANADA

• Fixed-to-floating notes due Nov. 27, 2019; via RBC Capital Markets, LLC; settlement Nov. 27; Cusip: 78008SLJ3

• 13.5% reverse convertible notes due May 31, 2013 linked to Allegheny Technologies, Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 27; Cusip: 78008SRM0

• 9.25% reverse convertible notes due Feb. 28, 2013 linked to Chesapeake Energy Corp. stock; via RBC Capital Markets Corp.; pricing Nov. 27; Cusip: 78008SRD0

• 0% buffered bullish enhanced return notes due Nov. 30, 2017 linked to the Dow Jones industrial average; via RBC Capital Markets, LLC; pricing Nov. 27; Cusip: 78008SQR0

• 13.25% reverse convertible notes due May 31, 2013 linked to F5 Networks, Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 27; Cusip: 78008SRP3

• 11.5% reverse convertible notes due May 31, 2013 linked to Freeport-McMoRan Copper & Gold Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 27; Cusip: 78008SRN8

• 12.25% reverse convertible notes due Feb. 28, 2013 linked to Joy Global Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 27; Cusip: 78008SRE8

• 10% reverse convertible notes due Feb. 28, 2013 linked to lululemon athletica inc. stock; via RBC Capital Markets Corp.; pricing Nov. 27; Cusip: 78008SRF5

• 13.5% reverse convertible notes due May 31, 2013 linked to Market Vectors Junior Gold Miners ETF; via RBC Capital Markets Corp.; pricing Nov. 27; Cusip: 78008SRQ1

• 10.25% reverse convertible notes due Feb. 28, 2013 linked to Morgan Stanley stock; via RBC Capital Markets Corp.; pricing Nov. 27; Cusip: 78008SRG3

• 14.25% reverse convertible notes due Feb. 28, 2013 linked to Peabody Energy Corp. stock; via RBC Capital Markets Corp.; pricing Nov. 27; Cusip: 78008SRC2

• 11.5% reverse convertible notes due Feb. 28, 2013 linked to Pultegroup Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 27; Cusip: 78008SRH1

• 0% return optimization securities due Dec. 31, 2013 linked to the S&P 500 index; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Nov. 27; Cusip: 78008W578

• 13% reverse convertible notes due Feb. 28, 2013 linked to Seagate Technology plc stock; via RBC Capital Markets Corp.; pricing Nov. 27; Cusip: 78008SRK4

• 10.5% reverse convertible notes due Feb. 28, 2013 linked to Silver Wheaton Corp. stock; via RBC Capital Markets Corp.; pricing Nov. 27; Cusip: 78008SRJ7

• 13% reverse convertible notes due Feb. 28, 2013 linked to United States Steel Corp. stock; via RBC Capital Markets Corp.; pricing Nov. 27; Cusip: 78008SRL2

• 11.5% reverse convertible notes due May 31, 2013 linked to Valero Energy Corp. stock; via RBC Capital Markets Corp.; pricing Nov. 27; Cusip: 78008SRR9

• 0% direct investment notes due Jan. 9, 2014 linked to the EquityCompass Equity Risk Management Strategy; via RBC Capital Markets, LLC; pricing Dec. 5; Cusip: 78008SPT7

• 18- to 21-month 0% leveraged buffered notes tied to the iShares MSCI EAFE index fund; 90% trigger; via Goldman Sachs & Co.

• 15- to 17-month 0% buffered equity index-linked notes tied to the MSCI EAFE index; 85% trigger; via Goldman Sachs & Co.

• 24- to 27-month 0% buffered enhanced return notes linked to the MSCI EAFE index; via RBC Capital Markets, LLC; Cusip: 78008SQX7

ROYAL BANK OF SCOTLAND PLC

• Callable fixed-rate step-up notes due Nov. 30, 2020; via RBS Securities Inc.; pricing Nov. 27; Cusip: 78011PAJ6

• 0% digital notes with fixed buffer due Dec. 4, 2014 linked to the Dow Jones industrial average; via RBS Securities Inc.; pricing Nov. 28; Cusip: 78009PDG3

• 0% digital notes with fixed buffer due Dec. 4, 2014 linked to the Russell 2000 index; via RBS Securities Inc.; pricing Nov. 28; Cusip: 78009PDF5

AB SVENSK EXPORTKREDIT

• 0% Accelerated Return Notes due January 2014 linked to the MSCI EAFE index; via Bank of America Merrill Lynch; pricing in November

UBS AG, JERSEY BRANCH

• 0% trigger optimization securities due Nov. 28, 2014 linked to the spot price of gold; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 27; Cusip: 902669514

• Trigger contingent coupon optimization securities due Nov. 30, 2015 linked to Brazilian real, Chinese renminbi, Mexican peso and Russian ruble; 80% trigger; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 27; Cusip: 902669498

• 0% market-linked notes due Nov. 28, 2014 linked to a currency basket (Australian dollar, Canadian dollar, Chinese renminbi, Indonesian rupiah, Malaysian ringgit and Norwegian krone) relative to the U.S. dollar; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 27; Cusip: 902669506

UBS AG, LONDON BRANCH

• 0% contingent return optimization securities due Nov. 28, 2014 linked to the Russell 2000 index; 70% trigger; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 27; Cusip: 90269V801

• 0% trigger return optimization securities due Nov. 30, 2015 linked to SPDR S&P 500 exchange-traded fund trust, the iShares MSCI EAFE index fund and the iShares MSCI Emerging Markets index fund; 70% trigger; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 27; Cusip: 90269V835

• 0% trigger performance securities due Nov. 30, 2017 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 28; Cusip: 90269V793

• 0% trigger autocallable optimization securities due Nov. 30, 2017 linked to the iShares Russell 2000 index fund; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 28; Cusip: 90269V884

• 7.75%-11.75% annualized single observation Equity LinKed Securities due June 4, 2013 linked to the common shares of Anadarko Petroleum Corp.; via UBS Securities LLC; pricing Nov. 29; Cusip: 90269V819

UNION BANK, NA

• 0% quarterly capped return market-linked certificates of deposit due Nov. 30, 2017 linked to the Russell 2000 index; via UnionBanc Investment Services, LLC; pricing Nov. 27; Cusip: 90521ALB2

WELLS FARGO & CO.

• Fixed-to-floating notes due Nov. 29, 2024; via Wells Fargo Securities, LLC; pricing Nov. 26; Cusip: 94986RLZ2

• 0% growth securities with leveraged upside participation to a cap and fixed percentage buffered downside due Nov 28, 2014 linked to the iShares MSCI Emerging Markets exchange-traded fund; via Wells Fargo Securities LLC; pricing Nov. 27; Cusip: 94986RMA6

• 0% autocallable access securities with contingent downside protection due Nov. 28, 2014 linked to the Russell 2000 index; 80% trigger; via Wells Fargo Securities, LLC; pricing Nov. 27; Cusip: 94986RM

• Market-linked notes due Dec. 6, 2019 tied to the Dow Jones industrial average; via Wells Fargo Securities, LLC; pricing Nov. 30; Cusip: 94986RME8

• Market-linked notes with upside participation due Dec. 6, 2019 linked to the SPDR S&P 500 ETF Trust with a 65% weight, the iShares MSCI EAFE index fund with a 25% weight and the iShares MSCI Emerging Markets index fund with a 10% weight; via Wells Fargo Securities, LLC; pricing Nov. 30; Cusip: 94986RMF5

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