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Structured Products Calendar
BANK OF AMERICA CORP.
• Fixed-to-floating notes due Oct. 30, 2015; via Bank of America Merrill Lynch; settlement Oct. 31; Cusip: 06048WHX1
• Fixed-to-floating notes due Oct. 30, 2015; via Bank of America Merrill Lynch; settlement Oct. 31; Cusip: 06048WHU7
• Step-up callable notes due Oct. 31, 2014; via Bank of America Merrill Lynch; settlement Oct. 31; Cusip: 06048WHY9
• Step-up callable notes due Oct. 31, 2017; via Bank of America Merrill Lynch; settlement Oct. 31; Cusip: 06048WHV5
• Step-up callable notes due Oct. 29, 2021; via Bank of America Merrill Lynch; settlement Oct. 31; Cusip: 06048WHZ6
• 0% currency-linked step-up notes due October 2013 linked to the Brazilian real, Russian ruble, Indian rupee and Chinese renminbi; via Bank of America Merrill Lynch; pricing in October
• 0% currency-linked step-up notes due October 2013 linked to the Chinese renminbi versus the dollar; via Bank of America Merrill Lynch; pricing in October
• Floating-rate notes due November 2017 linked to the 10-year and two-year Constant Maturity Swap rates; via Bank of America Merrill Lynch; pricing in October
• 0% Market Index Target-Term Securities due October 2014 linked to the Dow Jones industrial average; via Bank of America Merrill Lynch; pricing in October
• 0% Market Index Target-Term Securities due October 2017 linked to the Dow Jones industrial average; via Bank of America Merrill Lynch; pricing in October
• Capped Leveraged Index Return Notes due November 2013 linked to the gold spot price; via Bank of America Merrill Lynch; pricing in October
• Variable coupon notes due November 2016 linked to gold, palladium, platinum and copper spot prices and Brent crude oil, RBOB gasoline, heating oil, natural gas, soybeans, sugar, wheat and corn futures contracts; via Bank of America Merrill Lynch; pricing in October
• 13% coupon-bearing notes due November 2012 linked to the common stock of JPMorgan Chase & Co.; via Bank of America Merrill Lynch; pricing in October
• Market-linked step-up notes due October 2013 linked to the MSCI EAFE index; via Bank of America Merrill Lynch; pricing in October
• 9% STEP Income Securities due October 2012 linked to Nike, Inc. common stock; via Bank of America Merrill Lynch; pricing in October
• Coupon-bearing notes due October 2012 linked to the common stock of Oracle Corp.; via Bank of America Merrill Lynch; pricing in October
• 0% market-linked step-up notes due November 2012 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in October
• 0% market-linked step-up notes due October 2013 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in October
• 0% market-linked step-up notes due October 2015 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in October
• 0% Accelerated Return Notes due December 2012 linked to the Technology Select Sector index; via Bank of America Merrill Lynch; pricing in October
• Callable capped notes due Nov. 4, 2031 linked to the 30-year and two-year Constant Maturity Swap rates; via Bank of America Merrill Lynch; settlement Nov. 4; Cusip: 06048WJA9
BANK OF MONTREAL
• 11% reverse exchangeable notes due Jan. 31, 2012 linked to the common stock of Aflac, Inc.; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QB89
• 14% annualized reverse exchangeable notes due Jan. 31, 2012 linked to Alcoa Inc. shares; 70% trigger; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QZR1
• 11% reverse exchangeable notes due Jan. 31, 2012 linked to Amazon.com, Inc. common stock; 80% trigger; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QA49
• 12% reverse exchangeable notes due Jan. 31, 2012 linked to the common stock of CBS Corp.; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QB71
• 11.5%-14.5% autocallable reverse exchangeable notes due Oct. 31, 2012 linked to Deere & Co.; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QZJ9
• 16% reverse exchangeable notes due Jan. 31, 2012 linked to Deere & Co. common stock; 80% trigger; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QZY6
• 12% reverse exchangeable notes due Jan. 31, 2012 linked to Dell Inc. common stock; 80% trigger; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QA64
• 12% reverse exchangeable notes due Jan. 31, 2012 linked to eBay Inc. common stock; 80% trigger; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QA31
• 17% annualized reverse exchangeable notes due Jan. 31, 2012 linked to Delta Air Lines, Inc. shares; 80% trigger; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QA80
• 12% annualized reverse exchangeable notes due Jan. 31, 2012 linked to Ford Motor Co. shares; 80% trigger; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QZS9
• 16% annualized reverse exchangeable notes due Jan. 31, 2012 linked to Freeport-McMoRan Copper & Gold Inc. shares; 80% trigger; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QA98
• 16% annualized reverse exchangeable notes due Jan. 31, 2012 linked to Goldman Sachs Group, Inc. shares; 80% trigger; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QZT7
• 14% reverse exchangeable notes due Jan. 31, 2012 linked to Halliburton Co. common stock; 70% trigger; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QA23
• 14% annualized reverse exchangeable notes due Jan. 31, 2012 linked to Hewlett-Packard Co. shares; 80% trigger; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QZU4
• 12% annualized reverse exchangeable notes due Jan. 31, 2012 linked to International Paper Co. shares; 80% trigger; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QB22
• 13% annualized reverse exchangeable notes due Jan. 31, 2012 linked to JPMorgan Chase & Co. shares; 75% trigger; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QZV2
• 14.5%-17.5% autocallable reverse exchangeable notes due Oct. 31, 2012 linked to JPMorgan Chase & Co.; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QZL4
• 20% annualized reverse exchangeable notes due Jan. 31, 2012 linked to Lululemon athletica inc. shares; 75% trigger; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QB30
• 16% reverse exchangeable notes due Jan. 31, 2012 linked to Moody's Corp. common stock; 75% trigger; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QZZ3
• 15% annualized reverse exchangeable notes due Jan. 31, 2012 linked to Netflix Inc. shares; 70% trigger; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QB48
• 9% reverse exchangeable notes due Jan. 31, 2012 linked to Starbucks Corp. common stock; 80% trigger; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QA72
• 14% reverse exchangeable notes due Jan. 31, 2012 linked to the common stock of Tiffany & Co.; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QB97
• 19% annualized reverse exchangeable notes due Jan. 31, 2012 linked to United States Steel Corp. shares; 65% trigger; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QZX8
• 20.5%-23.5% autocallable reverse exchangeable notes due Oct. 31, 2012 linked to United States Steel Corp.; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QZK6
• 11% annualized reverse exchangeable notes due Jan. 31, 2012 linked to Whole Foods Market, Inc. shares; 70% trigger; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QZW0
• 17% reverse exchangeable notes due Jan. 31, 2012 linked to the common stock of Wynn Resorts Ltd.; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QB55
• 10% reverse exchangeable notes due Jan. 31, 2012 linked to the common stock of Yahoo! Inc.; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366QB63
• 12.6% to 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
• 14% to 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
• 14.5% to 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
• 13.2% to 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
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
BARCLAYS BANK DELAWARE
• Certificates of deposit due Oct. 30, 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.; pricing Oct. 25; Cusip: 06740AQN2
BARCLAYS BANK PLC
• Fixed-to-floating notes due Oct. 28, 2016; via Barclays Capital Inc.; pricing Oct. 25; Cusip: 06738KXV8
• Contingent income autocallable securities due Oct. 31, 2012 linked to the common stock of General Electric Co.; via Barclays Capital Inc.; pricing Oct. 25; Cusip: 06741L781
• 14.75% reverse convertible notes due Jan. 31, 2012 linked to Abercrombie & Fitch Co. (Class A Common Stock) stock; via Barclays Capital; pricing Oct. 26; Cusip: 06741JNM7
• 0% notes due Oct. 31, 2016 linked to the Barclays Capital Voyager III DJ-UBSCI Total Return index; via Barclays Capital Inc.; pricing Oct. 26; Cusip: 06738KXM8
• 0% Barclays Perpetual Rolling Open Structure Protecting Equity Returns exchange-traded fund notes due Oct. 23, 2012 linked to the Barclays Prosper ETF portfolio; via Barclays Capital Inc.; pricing Oct. 26; Cusip: 06738KXB2
• 12.5% reverse convertible notes due April 30, 2012 linked to Chevron Corp. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06741JNK1
• 12.25% reverse convertible notes due Jan. 31, 2012 linked to Chico's FAS, Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06741JNV7
• 16% reverse convertible notes due Oct. 31, 2012 linked to Citigroup Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06741JNZ8
• 15.3% reverse convertible notes due Jan. 31, 2012 linked to Goldman Sachs Group Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06741JNS4
• 10% reverse convertible notes due April 30, 2012 linked to Google (Class A Common Stock) stock; via Barclays Capital; pricing Oct. 26; Cusip: 06741JNG0
• 15% reverse convertible notes due April 30, 2012 linked to Freeport-McMoRan Copper & Gold Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06741JNY1
• 14% reverse convertible notes due Jan. 31, 2012 linked to Humana Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06741JNU9
• 13.5% reverse convertible notes due April 30, 2012 linked to JPMorgan Chase & Co. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06741JNL9
• 14% reverse convertible notes due April 30, 2012 linked to JPMorgan Chase & Co. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06741JNW5
• 15% reverse convertible notes due Jan. 31, 2012 linked to LSI Corp. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06741JNT2
• 14% reverse convertible notes due Oct. 31, 2012 linked to MetLife Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06741JNH8
• 13% reverse convertible notes due Oct. 31, 2012 linked to Marathon Oil Corp stock; via Barclays Capital; pricing Oct. 26; Cusip: 06741JNJ4
• 15.75% reverse convertible notes due Oct. 31, 2012 linked to Morgan Stanley stock; via Barclays Capital; pricing Oct. 26; Cusip: 06741JPA1
• 11.5%-13.5% autocallable yield notes due Oct. 31, 2012 linked to the S&P 500 index and the Russell 2000 index; via Barclays Capital Inc.; pricing Oct. 26; Cusip: 06738KYE5
• Annual reset coupon buffered notes due Oct. 30, 2014 linked to the S&P 500 index; via Barclays Capital Inc.; pricing Oct. 26; Cusip: 06738KXU0
• Notes due Oct. 29, 2017 linked to the S&P BRIC 40 index; via Barclays Capital Inc.; pricing Oct. 26; Cusip: 06738KWW7
• 13.5%-16.25% annualized reverse convertible notes due April 30, 2012 linked to the common stock of Whole Foods Market, Inc.; via Barclays Capital Inc.; pricing Oct. 26; Cusip: 06741JPC7
• 15% reverse convertible notes due April 30, 2012 linked to Wynn Resorts Ltd. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06741JNX3
• 14-month 0% Super Track notes linked to the iShares Emerging Markets index fund; via Barclays Capital Inc.; pricing in October
• 0% buffered Super Track notes due November 2014 linked to the S&P 500 index; 80% trigger; via Barclays Capital Inc.; pricing in October
• 0% Accelerated Return Notes due December 2012 linked to the S&P 500 index; via Bank of America Merrill Lynch and Barclays Capital Inc.; pricing in October
• 0% market-linked step-up notes due October 2013 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in October
• 0% enhanced market-linked step-up notes with buffer due October 2014 linked to the S&P 500, MSCI EAFE and MSCI Emerging Markets indexes; via Bank of America Merrill Lynch; pricing in October
• 0% notes due Nov. 8, 2016 linked to the Barclays Capital Voyager II DJ-UBSCI Total Return index; via Barclays Capital Inc.; pricing Nov. 3; Cusip: 06738KXL0
• 0% barrier notes due Nov. 8, 2013 linked to the S&P 500 index; via Barclays Capital Inc.; pricing Nov. 4; Cusip: 06738KYC9
• 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% Accelerated Return Notes due December 2012 linked to the NYSE Arca Gold Miners index; via Bank of America Merrill Lynch; pricing in November
• Zero-coupon capped leveraged index return notes due October 2013 linked to the S&P 500 index; 90% trigger; via Bank of America Merrill Lynch; pricing in November
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.
• Noncallable fixed-to-floating notes due Oct. 27, 2016; via Citigroup Global Markets Inc.; pricing Oct. 24; Cusip: 1730T0PJ2
• 0% buffered digital plus notes due April 29, 2015 linked to the Dow Jones industrial average; via Citigroup Global Markets Inc.; pricing Oct. 24; Cusip: 1730T0PE3
• 0.5% market-linked notes due Oct. 27, 2017 linked to the Dow Jones industrial average; via Citigroup Global Markets Inc.; pricing Oct. 24; Cusip: 1730T0PD5
• 0% buffered digital plus notes due April 30, 2015 linked to the Dow Jones industrial average; via Citigroup Global Markets Inc.; pricing Oct. 25; Cusip: 1730T0PH6
• Equity LinKed Securities due April 25, 2012 linked to the common stock of General Electric Co.; via Citigroup Global Markets Inc.; pricing Oct. 25; Cusip: 17317U592
• 9%-11% annualized Equity LinKed Securities due April 25, 2012 linked to Potash Corp. of Saskatchewan Inc. shares; 80% trigger; via Citigroup Global Markets Inc.; pricing Oct. 25; Cusip: 17317U618
• 0% accelerated return securities due November 2014 linked to the S&P 500 index; 80% trigger; via Citigroup Global Markets Inc.; pricing Oct. 24; Cusip: 1730T0PP8
• 0% buffered Performance Leveraged Upside Securities due April 2013 linked to the S&P 500 index; 90% trigger; via Citigroup Global Markets Inc.; pricing Oct. 25; Cusip: 17317U543
0% trigger Performance Leveraged Upside Securities due October 2014 linked to the S&P 500 index; via Citigoup Global Markets Inc.; pricing Oct. 25; Cusip: 17317U550
• Callable range accrual notes due October 28, 2026 linked to the S&P 500 index and Libor; via Citigroup Global Markets Inc.; pricing Oct. 25; Cusip: 1730T0PM5
• Annual observation coupon notes due October 2014 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Oct. 26; Cusip: 1730T0PC7
• Annual observation coupon notes due October 2016 linked to the S&P 500 index; 80% trigger; via Citigroup Global Markets Inc.; pricing Oct. 26; Cusip: 1730T0PK9
• Callable step-up notes due November 2026; via Citigroup Global Markets Inc.; pricing Oct. 27; Cusip: 1730T0PN3
• 0% growth securities with upside participation and contingent downside protection due November 2014 linked to the S&P 500 index; via Citigroup Global Markets Inc. and Wells Fargo Securities, LLC; pricing Oct. 27; Cusip: 1730T0PL7
• 0% enhanced buffered jump securities due Oct. 28, 2016 linked to the Dow Jones industrial average; via Citigroup Global Markets Inc.; pricing in October; Cusip: 17317U576
• 0% Performance Leveraged Upside Securities due November 2012 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing in October; Cusip: 17317U584
CREDIT SUISSE AG, NASSAU BRANCH
• 0% Accelerated Return Equity Securities due May 1, 2012 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22546TFW6
• 0% Accelerated Return Equity Securities due Oct. 31, 2012 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22546TFX4
• 12% callable yield notes due Oct. 31, 2012 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22546TFZ9
• 8%-10% callable yield notes due Oct. 31, 2012 linked to S&P 500 index and the Russell 2000 index; 65% trigger; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22546TFK2
• 0% digital plus barrier notes due Oct. 31, 2013 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22546TFG1
• 0% digital plus barrier notes due Nov. 3, 2015 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 28; Cusip: 22546TFJ5
• High/low coupon callable yield notes due Sept. 28, 2012 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 28; Cusip: 22546TFH9
• 11.5%-13.5% callable yield notes due Nov. 5, 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 Oct. 28; Cusip: 22546TFY2
• 0% digital plus barrier notes due Dec. 3, 2012 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 28; Cusip: 22546TGA3
DEUTSCHE BANK AG, LONDON BRANCH
• 0% accelerated return securities due December 2012 linked to the iShares MSCI Emerging Markets index fund; via Deutsche Bank Securities Inc.; pricing in October; Cusip: 2515A1DX6
• 0% digital payment securities due October 2012 linked to Russell 2000 index; via Deutsche Bank Securities Inc.; pricing in October; Cusip: 2515A1DP3
• 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
EKSPORTFINANS ASA
• 13- to 14-month 0% currency-linked notes tied to the Chinese renminbi relative to the dollar; via Goldman Sachs & Co.
• 0% currency-linked notes tied to the bearish performance of the euro relative to the dollar; via Goldman Sachs & Co.
• 0% Strategic Accelerated Redemption Securities due November 2012 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in October
• 14- to 16-month 0% buffered index-linked notes tied to the S&P 500 index; via Goldman Sachs & Co.
GOLDMAN SACHS GROUP, INC.
• 0% commodity-linked notes due Nov. 2, 2012 tied to the price of gold; via Goldman Sachs & Co. (underwriter) and J.P. Morgan Securities LLC (agent); settlement Oct. 28; Cusip: 38143UYD7
• Callable step-up fixed-rate notes due October 2018; via Goldman Sachs & Co. and Incapital LLC; pricing in October; Cusip: 38143UYJ4
• Callable step-up fixed-rate notes due October 2026; via Goldman Sachs & Co. and Incapital LLC; pricing in October; Cusip: 38143UYH8
• 0% equity index-linked notes tied to the Dow Jones industrial average; via Goldman Sachs & Co.; Cusip: 38143UF63
• 0% knock-out equity index-linked notes tied to the Dow Jones industrial average; via Goldman Sachs & Co.; Cusip: 38143UXZ9
• 18- to 21-month 0% leveraged buffered basket-linked notes tied to Russell 1000 Growth index, the Russell 1000 Value index, Russell Midcap Growth index, Russell Midcap Value index, S&P SmallCap 600 Growth index and the S&P SmallCap 600 Value index; 90% trigger; via Goldman Sachs & Co.; Cusip: 38143UG39
• Four-year 0% leveraged buffered basket-linked notes tied to Russell 1000 Growth index, the Russell 1000 Value index, Russell Midcap Growth index, Russell Midcap Value index, S&P SmallCap 600 Growth index and the S&P SmallCap 600 Value index; 70% trigger; via Goldman Sachs & Co.; Cusip: 38143UG47
• 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.
• 24- to 25-month 0% autocallable buffered index-linked notes linked to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 38143UYM7
• Buffered annual reset coupon index equity-linked notes due October 2014 linked to the S&P 500 index; via Goldman Sachs & Co.
• Buffered annual reset coupon index equity-linked notes due October 2016 linked to the S&P 500 index; via Goldman Sachs & Co.
• Callable quarterly index-linked range accrual notes due in 15 years linked to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 38146R477
• 18-month 0% autocallable buffered index-linked notes linked to the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co.; Cusip: 38143UC66
• 18- to 21-month 0% leveraged buffered 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 Oct. 29, 2018 linked to Aluminum Corp. of China, 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 Oct. 24; Cusip: 40431GZN2
• Income plus certificates of deposit with 3% potential coupon due Oct. 29, 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 Oct. 25; Cusip: 40431GZG7
• Income plus certificates of deposit with 5% potential coupon due Oct. 29, 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 Oct. 25; Cusip: 40431GZH5
• Income plus certificates of deposit with 6.25% potential coupon due Oct. 29, 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 Oct. 25; Cusip: 40431GZJ1
• Income plus certificates of deposit 8% potential coupon due Oct. 29, 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 Oct. 25; Cusip: 40431GZK8
• Annual income opportunity CDs with auto cap due Oct. 28, 2016 linked to the common stocks of Monsanto Co., eBay Inc., Exelon Corp., Maxim Integrated Products, Bank of Montreal, Sysco Corp., Eli Lilly & Co., St. Jude Medical Inc., Altria Group Inc. and CME Group Inc.; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 40431GZT9
• Annual income opportunity CDs with auto cap due Oct. 29, 2018 linked to the common stocks of Monsanto Co., eBay Inc., Exelon Corp., Maxim Integrated Products, Bank of Montreal, Sysco Corp., Eli Lilly & Co., St. Jude Medical Inc., Altria Group Inc. and CME Group Inc.; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 40431GZR3
• Annual income opportunity certificates of deposit with auto cap feature due Oct. 31, 2018 linked to ABB Ltd., Amgen Inc., Baidu, Inc., Barrick Gold Corp., BP plc, Canon Inc., Duke Energy Corp., Ecopetrol SA, Elan Corp plc, Grupo Televisa SA, HDFC Bank Ltd. and Marvell Technology Group Ltd.; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40431GZL6
• Annual income opportunity certificates of deposit with auto cap due Oct. 31, 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 Oct. 26; Cusip: 40431GZD4
• Annual income opportunity certificates of deposit with auto cap due Oct. 31, 2016 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 Oct. 26; Cusip: 40431GZF9
HSBC USA INC.
• Annual income opportunity securities with auto cap due Oct. 27, 2015 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 Oct. 24; Cusip: 4042K1PW7
• Annual income opportunity securities with auto cap due Oct. 29, 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 Oct. 24; Cusip: 4042K1PX5
• 0% buffered uncapped market participation securities due Oct. 29, 2014 linked to the Dow Jones industrial average; via HSBC Securities (USA) Inc.; pricing Oct. 24; Cusip: 4042K1NY5
• 0% buffered uncapped market participation securities due Oct. 29, 2015 linked to the Dow Jones industrial average; via HSBC Securities (USA) Inc.; pricing Oct. 24; Cusip: 4042K1NX7
• 0% buffered uncapped market participation securities due Oct. 29, 2014 linked to the iShares MSCI EAFE index fund; via HSBC Securities (USA) Inc.; pricing Oct. 24; Cusip: 4042K1PS6
• 0% buffered Accelerated Market Participation Securities due April 29, 2013 linked to iShares MSCI Emerging Markets index fund; via HSBC Securities (USA) Inc.; pricing Oct. 24; Cusip: 4042K1PD9
• 0% buffered Accelerated Market Participation Securities due April 29, 2013 linked to iShares MSCI Emerging Markets index fund; via HSBC Securities (USA) Inc.; pricing Oct. 24; Cusip: 4042K1PH0
• 0% buffered Accelerated Market Participation Securities due April 29, 2013 linked to the Market Vectors Gold Miners ETF; via via HSBC Securities (USA) Inc.; pricing Oct. 24; Cusip: 4042K1PE7
• 0% buffered Accelerated Market Participation Securities due April 29, 2013 linked to Market Vectors gold miners ETF; via HSBC Securities (USA) Inc.; pricing Oct. 24; Cusip: 4042K1PJ6
• 0% buffered Accelerated Market Participation Securities due April 29, 2013 linked to Russell 2000; via HSBC Securities (USA) Inc.; pricing Oct. 24; Cusip: 4042K1PG2
• 0% buffered Accelerated Market Participation Securities due April 29, 2013 linked to Russell 2000; via HSBC Securities (USA) Inc.; pricing Oct. 24; Cusip: 4042K1PC1
• 0% Accelerated Market Participation Securities due April 29, 2013 linked to S&P 500; via HSBC Securities (USA) Inc.; pricing Oct. 24; Cusip: 4042K1PK3
• 0% Accelerated Market Participation Securities due April 29, 2013 linked to S&P 500; via HSBC Securities (USA) Inc.; pricing Oct. 24; Cusip: 4042K1PL1
• 0% buffered Accelerated Market Participation Securities due April 29, 2013 linked to S&P 500; via HSBC Securities (USA) Inc.; pricing Oct. 24; Cusip: 4042K1PB3
• 0% buffered Accelerated Market Participation Securities due April 29, 2013 linked to S&P 500; via HSBC Securities (USA) Inc.; pricing Oct. 24; Cusip: 4042K1PF4
• 0% buffered Accelerated Market Participation Securities due April 29, 2013 linked to the S&P 500 index, the Russell 2000 index and the iShares MSCI EAFE index fund; via HSBC Securities (USA) Inc.; pricing Oct. 24; Cusip: 4042K1QB2
• Fixed-to-floating notes due Oct. 28, 2014; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 4042K1QV8
• 0% buffered performance plus securities due Oct. 30, 2014 linked to the Dow Jones industrial average; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 4042K1PV9
• 0% buffered performance plus securities due April 30, 2015 linked to the Dow Jones industrial average; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 4042K1PU1
• 0% twin win notes due April 30, 2013 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 4042K1QT3
• Annual income opportunity securities with auto cap due Oct. 30, 2014 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 Oct. 26; Cusip: 4042K1PY3
• Autocallable notes due Oct. 31, 2013 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 4042K1PP2
• Fixed-to-floating notes due Nov. 2, 2021; via HSBC Securities (USA) Inc.; pricing Oct. 28; Cusip: 4042K1QU0
• 10% Step Income Securities due November 2012 linked to Freeport-McMoRan Copper & Gold Inc. shares; 90% trigger; via Bank of America Merrill Lynch; pricing in October
• Callable step-up rate notes due Nov. 1, 2023; via HSBC Securities (USA) Inc.; settlement Nov. 1; Cusip: 4042K1QP1
• Return optimization securities due 2013 linked to the iShares FTSE/Xinhua China 25 index fund; via UBS Financial Services Inc. and HSBC Securities (USA); Cusip: 40433C494
JPMORGAN CHASE BANK, NA
• Digital contingent coupon certificates of deposit due Oct. 31, 2016 linked to the common stocks of Apollo Group, Inc., Best Buy Co., Inc., Hewlett-Packard Co., Eli Lilly and Co., Altria Group, Inc., Newmont Mining Corp., Netflix, Inc., AT&T Inc., Gilead Sciences, Inc. and Target Corp.; via J.P. Morgan Securities LLC as agent and Incapital LLC as distributor; pricing Oct. 26; Cusip: 48123YU87
• Digital contingent coupon certificates of deposit due Oct. 31, 2017 linked to the common stocks of Apollo Group, Inc., Best Buy Co., Inc., Hewlett-Packard Co., Eli Lilly and Co., Altria Group, Inc., Newmont Mining Corp., Netflix, Inc., AT&T Inc., Gilead Sciences, Inc. and Target Corp.; via J.P. Morgan Securities LLC as agent and Incapital LLC as distributor; pricing Oct. 26; Cusip: 48123YV37
• Digital contingent coupon certificates of deposit due Oct. 31, 2018 linked to the common stocks of Apollo Group, Inc., Best Buy Co., Inc., Hewlett-Packard Co., Eli Lilly and Co., Altria Group, Inc., Newmont Mining Corp., Netflix, Inc., AT&T Inc., Gilead Sciences, Inc. and Target Corp.; via J.P. Morgan Securities LLC as agent and Incapital LLC as distributor; pricing Oct. 26; Cusip: 48123YV29
• Contingent coupon certificates of deposit due Oct. 31, 2018 linked to the common stocks of Apollo Group, Inc., Best Buy Co., Inc., Hewlett-Packard Co., Eli Lilly and Co., Altria Group, Inc., Newmont Mining Corp., Netflix, Inc., AT&T Inc., Gilead Sciences, Inc. and Target Corp.; via J.P. Morgan Securities LLC as agent and Incapital LLC as distributor; pricing Oct. 26; Cusip: 48123YV45
• Contingent coupon certificates of deposit due Oct. 31, 2018 linked to the common stocks of China Mobile Ltd., Canon Inc., Perusahaan Perseroan (Persero) PT Telekomunikasi Indonesia Tbk., Hitachi Ltd., HSBC Holdings plc, Toyota Motor Corp., Taiwan Semiconductor Manufacturing Co. Ltd. and YUM! Brands, Inc. and American Depositary Shares of Icici Bank Ltd. and Baidu, Inc.; via J.P. Morgan Securities LLC as agent and Incapital LLC as distributor; pricing Oct. 26; Cusip: 48123YU95
• Certificates of deposit due Oct. 31, 2017 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48123YT97
• Annual income certificates of deposit due Oct. 31, 2018 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC and distributor Incapital LLC; pricing Oct. 26; Cusip: 48123YU38
• Certificates of deposit due Oct. 31, 2017 linked to the J.P. Morgan Alternative Index Multi-Strategy 5 (USD); via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48123YT71
• Certificates of deposit due Oct. 31, 2017 linked to the JPMorgan Optimax Market-Neutral index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48123YS80
JPMORGAN CHASE & CO.
• Callable fixed-rate step-up notes due Oct. 38, 2026; via J.P. Morgan Securities LLC; pricing Oct. 25; Cusip: 48125VBV1
• 0% Performance Leveraged Upside Securities due Nov. 30, 2012 linked to the iShares MSCI Emerging Markets index fund; via J.P. Morgan Securities LLC and Morgan Stanley Smith Barney LLC; pricing Oct. 25; Cusip: 46636T556
• Callable fixed-rate step-up notes due Oct. 31, 2023; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48125VBW9
• 0% buffered return enhanced notes due April 30, 2013 linked to the iShares MSCI EAFE index fund; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48125X4Q6
• Annual income notes due Oct. 31, 2016 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48125X4T0
• 0% return notes due Jan. 31, 2013 linked to the J.P. Morgan Strategic Volatility index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48125X4L6
• 0% buffered return enhanced notes due April 30, 2013 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48125X4P8
• 0% buffered return enhanced notes due April 30, 2013 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48125X4R4
• 0% buffered return enhanced notes due Oct. 31, 2013 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48125X4S2
• 0% buffered return optimization securities due April 30, 2013 linked to the S&P 500 index; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46636T499
• 0% notes due Oct. 31, 2017 linked to S&P 500 index, the Dow Jones industrial average, the Dow Jones-UBS Commodity index and the iShares MSCI EAFE index fund; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48125X5N2
• 14.25% reverse convertible notes due April 30, 2012 linked to Amazon.com, Inc. stock; via JPMorgan; pricing Oct. 27; Cusip: 48125X7J9
• 20% reverse convertible notes due Jan. 31, 2012 linked to Bank of America Corp. stock; via JPMorgan; pricing Oct. 27; Cusip: 48125X7E0
• 13% reverse convertible notes due April 30, 2012 linked to Caterpillar Inc. stock; via JPMorgan; pricing Oct. 27; Cusip: 48125X7G5
• 12.5% reverse convertible notes due Jan. 31, 2012 linked to Citigroup Inc. stock; via JPMorgan; pricing Oct. 27; Cusip: 48125X6X9
• 12% reverse convertible notes due April 30, 2012 linked to Ford Motor Co. stock; via JPMorgan; pricing Oct. 27; Cusip: 48125X7K6
• 10% reverse convertible notes due April 30, 2012 linked to General Electric Co. stock; via JPMorgan; pricing Oct. 27; Cusip: 48125X7F7
• 13% reverse convertible notes due Jan. 31, 2012 linked to Goldman Sachs Group, Inc. stock; via JPMorgan; pricing Oct. 27; Cusip: 48125X7B6
• 16.25% reverse convertible notes due Jan. 31, 2012 linked to Goodyear Tire & Rubber Co. stock; via JPMorgan; pricing Oct. 27; Cusip: 48125X6Z4
• 13% reverse convertible notes due Jan. 31, 2012 linked to Las Vegas Sands Corp. stock; via JPMorgan; pricing Oct. 27; Cusip: 48125X6Y7
• 20% reverse convertible notes due Jan. 31, 2012 linked to MGM Resorts International stock; via JPMorgan; pricing Oct. 27; Cusip: 48125X7A8
• 14.5% reverse convertible notes due April 30, 2012 linked to Schlumberger N.V. (Schlumberger Ltd.) stock; via JPMorgan; pricing Oct. 27; Cusip: 48125X7H3
• 16% reverse convertible notes due Jan. 31, 2012 linked to Silver Wheaton Corp. stock; via JPMorgan; pricing Oct. 27; Cusip: 48125X7C4
• 13.5% reverse convertible notes due Jan. 31, 2012 linked to Valero Energy Corp. stock; via JPMorgan; pricing Oct. 27; Cusip: 48125X7D2
• Callable fixed-rate step-up notes due Nov. 3, 2031; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 48125VBX7
• Callable fixed-rate step-up notes due Nov. 7, 2026; via J.P. Morgan Securities LLC; pricing Nov. 2; Cusip: 48125VBU3
MORGAN STANLEY
• 0% commodity-linked notes due Oct. 28, 2016 linked to the Dow Jones-UBS Commodity index; via Morgan Stanley & Co. LLC; pricing Oct. 25; Cusip: 617482WA8
• 0% trigger Performance Leveraged Upside Securities due October 2014 linked to the Financial Select Sector SPDR fund; via Morgan Stanley & Co. LLC; pricing Oct. 25; Cusip: 61760T140
• 0% commodity-linked notes due Oct. 28, 2016 linked to the price of gold; via Morgan Stanley & Co. LLC; pricing Oct. 25; Cusip: 617482VZ4
• 15%-17% annualized Equity LinKed Securities due April 24, 2012 linked to the common stock of Halliburton Co.; 70% trigger; via Morgan Stanley & Co. LLC; pricing Oct. 25; Cusip: 61760P833
• Contingent income securities due Oct. 27, 2014 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Oct. 25; Cusip: 617482D27
• 0% buffered jump securities due Oct. 28, 2015 linked to the S&P 500 index; 80% trigger; via Morgan Stanley & Co. LLC; pricing Oct. 25; Cusip: 617482D35
• 0% Target Optimized Participation Securities due Oct. 28, 2015 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Oct. 25; Cusip: 617482YV0
• 0% equity-linked notes due Oct. 28, 2016 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Oct. 25; Cusip: 617482YU2
• 0% trigger Performance Leveraged Upside Securities due October 28, 2015 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Oct. 25; Cusip: 617482YT5
• Contingent income autocallable securities due Oct. 25, 2012 linked to the common stock of Walt Disney Co.; via Morgan Stanley & Co. LLC; pricing Oct. 25; Cusip: 61760P841
• 0% buffered step performance securities due Oct. 30, 2015 linked to the S&P 500 index; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Oct. 26; Cusip: 61760T124
• 1% market-linked notes due Oct. 31, 2017 linked to the Dow Jones industrial average; via Morgan Stanley & Co. LLC and UBS Financial Services Inc; pricing Oct. 26; Cusip: 61760T132
• Fixed-to-floating notes due Oct. 27, 2014; via Morgan Stanley & Co. LLC; settlement Oct. 27; Cusip: 61745ES51
• Fixed-to-floating notes due Oct. 27, 2018; via Morgan Stanley & Co. LLC; settlement Oct. 27; Cusip: 61745ET92
• Fixed-to-floating notes due Oct. 27, 2018; via Morgan Stanley & Co. LLC; settlement Oct. 27; Cusip: 61745ET35
• Fixed-to-floating notes due Oct. 27, 2031 linked to the 30-year and the two-year Constant Maturity Swap rates; via Morgan Stanley & Co. LLC; settlement Oct. 27; Cusip: 61745EW31
• CMS curve and S&P 500 index-linked range accrual notes due Oct. 27, 2031; via Morgan Stanley & Co. LLC; settlement Oct. 27; Cusip: 61745EV57
• Leveraged notes due Oct. 27, 2031 linked to the S&P 500 index and the 30-year and two-year Constant Maturity Swap rates; via Morgan Stanley & Co. LLC; settlement Oct. 27; Cusip: 61745EU74
• 0% trigger Performance Leveraged Upside Securities due October 2015 linked to the S&P GSCI Gold Index - Excess Return; 65% trigger; via Morgan Stanley & Co. LLC; pricing in October; Cusip: 617482K52
• 0% participation securities due October 2014 linked to the SPDR S&P 500 ETF trust, the iShares MSCI Emerging Markets index fund and the iShares MSCI EAFE index fund; via Morgan Stanley & Co. LLC; pricing in October; Cusip: 61760P783
ROYAL BANK OF CANADA
• 0% buffered bullish enhanced return notes due May 1, 2013 linked to the Russell 2000 index; via RBC Capital Markets, LLC; pricing Oct. 25; Cusip: 78008TVY7
• 0% buffered bullish enhanced return notes due Oct. 30, 2013 linked to the S&P 500 index; 80% trigger; via RBC Capital Markets, LLC; pricing Oct. 25; Cusip: 78008TWE0
• 14.5% reverse convertible notes due Jan. 31, 2012 linked to Agilent Technologies, Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008TWD2
• 13.75% reverse convertible notes due Jan. 31, 2012 linked to Akamai Technologies, Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008TWG5
• 11% reverse convertible notes due April 30, 2012 linked to Deere & Co. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008TWU4
• 14% reverse convertible notes due Jan. 31, 2012 linked to Dow Chemical Co. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008TWH3
• 11% reverse convertible notes due April 30, 2012 linked to eBay Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008TWV2
• 10.75% reverse convertible notes due Jan. 31, 2012 linked to Freeport-McMoRan Copper & Gold Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008TWJ9
• 14% reverse convertible notes due Jan. 31, 2012 linked to Halliburton Co. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008TWK6
• 13.25% reverse convertible notes due Jan. 31, 2012 linked to Joy Global Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008TWL4
• 10% reverse convertible notes due Jan. 31, 2012 linked to JPMorgan Chase & Co. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008TWM2
• 14.75% reverse convertible notes due Jan. 31, 2012 linked to Las Vegas Sands Corp stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008TWN0
• 12.25% reverse convertible notes due Jan. 31, 2012 linked to LyondellBasell Industries N.V. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008TWP5
• 12.25% reverse convertible notes due Jan. 31, 2012 linked to Prudential Financial, Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008TWQ3
• 0% contingent return optimization securities due Oct. 31, 2013 linked to the Russell 2000 index; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Oct. 26; Cusip: 78010W319
• 13.75% reverse convertible notes due Jan. 31, 2012 linked to Valero Energy Corp. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008TWR1
• 10.75% reverse convertible notes due April 30, 2012 linked to Wells Fargo & Co. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008TWW0
• 12.25% reverse convertible notes due Jan. 31, 2012 linked to Whirlpool Corp. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008TWS9
• 12.5% reverse convertible notes due Jan. 31, 2012 linked to Yahoo! Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008TWT7
• Step performance securities due Oct. 31, 2013 linked to the Dow Jones industrial average; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Oct. 27; Cusip: 78010W384
• 0% buffered bullish enhanced return notes due May 1, 2013 linked to the S&P 500 index; via RBC Capital Markets, LLC; pricing Oct. 28; Cusip: 78008TVX9
• 0% autocallable access securities with fixed percentage buffered downside due Nov. 1, 2013 linked to the iShares Russell 2000 index fund; via Wells Fargo Securities, LLC; pricing in October; Cusip: 78008TUZ5
• 0% autocallable access securities with fixed percentage buffered downside due Nov. 1, 2013 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing in October; Cusip: 78008TVU5
• 0% Accelerated Return Notes due November 2012 linked to the S&P MidCap 400 index; via Bank of America Merrill Lynch; pricing in October
• 0% direct investment notes due Dec. 10, 2012 linked to the EquityCompass Equity Risk Management Strategy; via RBC Capital Markets, LLC; pricing Nov. 3; Cusip: 78008TVW1
• 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
• 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 Oct. 31, 2014 linked to the S&P 500 index; via RBS Securities Inc.; pricing Oct. 26; Cusip: 78009PBW0
• Annual reset coupon notes with fixed buffer due Oct. 31, 2016 linked to the S&P 500 index; via RBS Securities Inc.; pricing Oct. 26; Cusip: 78009PBX8
• 0% capped market-linked notes due May 2, 2017 linked to the S&P 500 index; via RBS Securities Inc.; pricing Oct. 27; Cusip: 78009PBZ3
SUNTRUST BANKS, INC.
• Fixed-to-contingent coupon notes due Oct. 31, 2013 linked to the S&P 500 index; via SunTrust Robinson Humphrey, Inc.; pricing Oct. 26; Cusip: 86802WAF5
AB SVENSK EXPORTKREDIT
• 0% Accelerated Return Notes due December 2012 linked to the Dow Jones-UBS Agriculture Sub-Index-Excess Return; via Bank of America Merrill Lynch; pricing in October
• 0% Accelerated return notes due December 2012 linked to the MSCI Emerging Markets index; via Bank of America Merrill Lynch; pricing in October
• 0% Accelerated Return Notes due December 2012 linked to the Rogers International Commodity Index-Excess Return; via Bank of America Merrill Lynch; pricing in October
TOYOTA MOTOR CREDIT CORP.
• Fixed-rate step-up callable notes due Oct. 28, 2031 with 3% initial interest rate; via Morgan Stanley & Co. LLC; pricing Oct. 25; Cusip: 89233P5G7
UBS AG, LONDON BRANCH
• 0% trigger performance securities due Oct. 30, 2015 linked to the Dow Jones industrial average; via UBS Securities LLC and UBS Investment Bank; pricing Oct. 25; Cusip: 90267N686
• 0% trigger performance securities due Oct. 31, 2014 linked to the S&P 500 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 26; Cusip: 90268F179
• 0% buffered return optimization securities due April 30, 2013 linked to the iShares MSCI Emerging Markets index fund; 90% trigger; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 27; Cusip: 90267N595
• 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 Oct. 28, 2015 linked to the S&P 500 index; via UnionBanc Investment Services, LLC and distributors Advisors Asset Management, Inc. and Incapital LLC; pricing Oct. 25; Cusip: 90521AHC5
• 0% market-linked certificates of deposit due Oct. 28, 2016 linked to the Brazilian real, the Russian ruble, the Indian rupee and the Chinese renminbi; via UnionBanc Investment Services, LLC and distributors Advisors Asset Management, Inc. and Incapital LLC; pricing Oct. 26; Cusip: 90521AHD3
• 0% quarterly capped return market-linked certificates of deposit due April 28, 2014 linked to the Dow Jones - UBS Commodity index; via UnionBanc Investment Services, LLC and distributors Advisors Asset Management, Inc. and Incapital LLC; pricing Oct. 26; Cusip: 90521AHB7
UNITED COMMUNITY BANK
• Callable leveraged CMS steepener certificates of deposit due Nov. 10, 2031 linked to the 10-year and two-year Constant Maturity Swap rates; pricing Nov. 7; Cusip: 90984P3Q6
WELLS FARGO BANK, NA
• Contingent annual interest market-linked certificates of deposit due Oct. 31, 2017 linked to the S&P GSCI Livestock Index Excess Return, natural gas, Brent crude oil, copper, corn, gasoline, soybeans, nickel silver and sugar; via Incapital LLC; pricing Oct. 25; Cusip: 949748L47
WELLS FARGO & CO.
• Step-up callable notes due Oct. 28, 2021; via Wells Fargo Securities, LLC; pricing Oct. 25; Cusip: 94986RGB1
• Floating-rate notes due Oct. 28, 2016 linked to Libor; via Wells Fargo Securities, LLC; pricing Oct. 25; Cusip: 94986RGC9
• 0% growth securities with upside participation to a cap and contingent downside protection due May 2016 linked to the SPDR S&P 500 ETF trust, the iShares MSCI EAFE index fund, the iShares MSCI Emerging Markets index fund, the SPDR S&P MidCap 400 ETF trust and the iShares Russell 2000 index fund; via Wells Fargo Securities, LLC; pricing in October; Cusip: 94986RGD7
• 0% growth securities with upside participation and contingent downside protection due May 2016 linked to the Dow Jones industrial average; via Wells Fargo Securities, LLC; settlement in November; Cusip: 94986RFV8
• 0% upside participation equity-linked notes due May 2018 linked to the Dow Jones industrial average; via Wells Fargo Securities, LLC; settlement in November; Cusip: 94986RFX4
• 0% growth securities with capped upside and fixed percentage buffered downside due May 2015 linked to the iShares MSCI Emerging Markets index fund; via Wells Fargo Securities, LLC; settlement in November; Cusip: 94986RFW6
• 0% growth securities due May 2014 linked to SPDR S&P MidCap 400 ETF trust; 85% trigger; via Wells Fargo Securities, LLC; settlement in November; Cusip: 94986RGA3
• 0% growth securities due May 2015 linked to SPDR S&P 500 ETF trust; iShares Russell 2000 index fund and the SPDR S&P MidCap 400 ETF trust; 85% trigger; via Wells Fargo Securities, LLC; settlement in November; Cusip: 94986RFY2
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