Prospect News: Prospect News

E-mail us: service@prospectnews.com Or call: 212 374 2800

Bank Loans - CLOs - Convertibles - Distressed Debt - Emerging Markets
Green Finance - High Yield - Investment Grade - Liability Management
Preferreds - Private Placements - Structured Products

Add to balance / Manage account

User:

Log out

Prospect News home > News index > List of issuers Calendar > Headlines for 2013 > News item

Published on 11/18/2013 in the Prospect News Structured Products Daily.

Structured Products Calendar

BANK OF AMERICA CORP.

• Market-linked step-up notes due November 2016 linked to the Dow Jones industrial average; via BofA Merrill Lynch; pricing in November

• Autocallable market-linked step-up notes due November 2016 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in November

• 0% Strategic Accelerated Redemption Securities due December 2014 linked to the common stock of Freeport-McMoRan Copper & Gold Inc.; via BofA Merrill Lynch; pricing in November

• 0% Accelerated Return Notes due January 2015 linked to the Industrial Select Sector index; via BofA Merrill Lynch; pricing in November

• Market-linked step-up notes due November 2015 linked to the MSCI Emerging Markets index; via BofA Merrill Lynch; pricing in November

•0% Accelerated Return Notes due January 2015 linked to the NYSE Arca Gold Miners index; via BofA Merrill Lynch; pricing in November

• Autocallable market-linked step-up notes due November 2016 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in November

• 0% Accelerated Return Notes due January 2015 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

• 0% market-linked step-up notes due November 2015 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

• Capped Leveraged Index Return Notes due December 2015 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

• Autocallable market-linked step-up notes due November 2016 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

• 0% Accelerated Return Notes due February 2015 linked to the silver spot price; via BofA Merrill Lynch; pricing in November

BANK OF MONTREAL

• 0% contingent risk absolute return notes due Nov. 27, 2015 linked to the iShares MSCI EAFE exchange-traded fund; via BMO Capital Markets Corp.; pricing Nov. 22; Cusip: 06366RSB2

• 0% buffered bullish enhanced return notes due Nov. 27, 2015 linked to the iShares MSCI EAFE exchange-traded fund; via BMO Capital Markets Corp.; pricing Nov. 22; Cusip: 06366RRZ0

• 0% contingent risk absolute return notes due Nov. 27, 2015 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Nov. 22; Cusip: 06366RSA4

• 0% buffered bullish enhanced return notes due Nov. 30, 2015 linked to the Euro Stoxx 50 index; via BMO Capital Markets Corp.; pricing Nov. 25; Cusip: 06366RRR8

• 0% buffered bullish enhanced return notes due Nov. 30, 2015 linked to the iShares China Large-Cap exchange-traded fund; via BMO Capital Markets Corp.; pricing Nov. 25; Cusip: 06366RRS6

• 0% autocallable barrier notes with step-up call price due Nov. 30, 2015 linked to the Russell 2000 index; via BMO Capital Markets Corp.; pricing Nov. 25; Cusip: 06366RRV9

• 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. 25; Cusip: 06366RRU1

• 0% bullish enhanced return notes with lookback feature due Nov. 30, 2016 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Nov. 25; Cusip: 06366RRY3

• 0% basket tracking notes due Dec. 10, 2014 linked to the Top 20 GARP Picks Portfolio, which includes the common stocks of Actavis plc, Arris Group, Inc., Bonanza Creek Energy, Inc., Delta Air Lines, Inc., Ford Motor Co., Forest Laboratories, Inc., Gentex Corp., Greenbrier Cos., Inc., Jazz Pharmaceuticals plc, KapStone Paper and Packaging Corp., Lam Research Corp., Metlife Inc., Micron Technology, Inc., Nasdaq OMX Group, Inc., Nu Skin Enterprises, Inc., NXP Semiconductors NV, Ocwen Financial Corp., Prudential Financial, Inc., Spirit Airlines, Inc. and Verizon Communications Inc.; via BMO Capital Markets Corp.; settling Nov. 29; Cusip: 06366RRX5

• 0% senior medium-term notes, series B, due Dec. 19, 2014 linked to Raymond James Analysts' Best Picks for 2014; via BMO Capital Markets Corp.; settling Dec. 17; Cusip: 06366RSC0

BANK OF NOVA SCOTIA

• Series A callable step-up notes due Nov. 27, 2028; via Scotia Capital (USA) Inc.; pricing Nov. 22; Cusip: 064159CH7

• 14- to 16-month 0% series A digital coupon notes linked to the Euro Stoxx 50 index; via Scotia Capital (USA) Inc. with Goldman Sachs & Co. as dealer; Cusip: 064159353

BANK OF THE WEST

• Contingent variable-income market-linked certificates of deposit due Nov. 27, 2020 linked to a basket of common stocks (Altria Group, Inc., AT&T Inc., Freeport-McMoRan Copper & Gold Inc., Intel Corp., Lorillard Inc., Marathon Petroleum Corp., Merck & Co. Inc., Pfizer Inc., Verizon Communications Inc. and Williams Cos. Inc.); via BNP Paribas Securities Corp. with Advisors Asset Management, Inc. as distributor; pricing Nov. 22; Cusip: 06426XJF8

• Contingent variable-income market-linked certificates of deposit due Nov. 27, 2019 linked to a basket of common stocks (Altria Group, Inc., AT&T Inc., Freeport-McMoRan Copper & Gold Inc., Intel Corp., Lorillard Inc., Marathon Petroleum Corp., Merck & Co. Inc., Pfizer Inc., Verizon Communications Inc. and Williams Cos. Inc.); via BNP Paribas Securities Corp.; pricing Nov. 22; Cusip: 06426XJE1

• Income advantage market-linked certificates of deposit due Nov. 27, 2020 linked to a basket of commodity futures indexes (S&P GSCI Cocoa Dynamic Roll Index ER, S&P GSCI Coffee Dynamic Roll Index ER, S&P GSCI Lead Dynamic Roll Index ER, S&P GSCI Natural Gas Dynamic Roll Index ER and S&P GSCI Wheat Dynamic Roll Index ER); BNP Paribas Securities Corp.; pricing Nov. 22; Cusip: 06426XJH4

• Income advantage market-linked certificates of deposit due Nov. 29, 2018 linked to a basket of common stocks (Altria Group Inc., AT&T Inc., Lockheed Martin Corp., Merck & Co. Inc. and PPL Corp.); via BNP Paribas Securities Corp.; pricing Nov. 22; Cusip: 06426XJD3

• Income advantage market-linked certificates of deposit due Nov. 27, 2020 linked to a basket of common stocks (Altria Group Inc., AT&T Inc., Lockheed Martin Corp., Merck & Co. Inc. and PPL Corp.); via BNP Paribas Securities Corp.; pricing Nov. 22; Cusip: 06426XJG6

• 0% market-linked certificates of deposit due May 29, 2020 linked to the Morningstar Ultimate Stock-Pickers Target Volatility 7 index; via BNP Paribas Securities Corp. with Advisors Asset Management, Inc. as distributor; pricing Nov. 25; Cusip: 06426XJJ0

BARCLAYS BANK DELAWARE

• Certificates of deposit due Nov. 26, 2019 linked to a basket of common stocks (AT&T Inc., Darden Restaurants, Inc., Eli Lilly and Co., Exelon Corp., Intel Corp., Lockheed Martin Corp., Starbucks Corp., Verizon Communications Inc., Walgreen Co. and Wells Fargo & Co.); via Barclays with Incapital LLC as distributor; pricing Nov. 22; Cusip: 06740AE54

• Certificates of deposit due Nov. 27, 2018 linked to a basket of 10 common stocks (AT&T Inc., Darden Restaurants, Inc., Eli Lilly and Co., Exelon Corp., Intel Corp., Lockheed Martin Corp., Starbucks Corp., Verizon Communications Inc., Walgreen Co. and Wells Fargo & Co.); via Barclays; pricing Nov. 22; Cusip: 06740AE47

• Certificates of deposit due Nov. 27, 2020 linked to a basket of common stocks (AT&T Inc., Darden Restaurants, Inc., Eli Lilly and Co., Exelon Corp., Intel Corp., Lockheed Martin Corp., Starbucks Corp., Verizon Communications Inc., Walgreen Co. and Wells Fargo & Co.); via Barclays with Incapital LLC as distributor; pricing Nov. 22; Cusip: 06740AF46

• Certificates of deposit due Nov. 27, 2020 linked to the Euro Stoxx 50 index; via Barclays with Incapital LLC; pricing Nov. 22; Cusip: 06740AE96

• Certificates of deposit due Nov. 26, 2019 linked to Hang Seng index, Euro Stoxx 50 index, FTSE 100 index and S&P 500 index; via Barclays with Incapital LLC; pricing Nov. 22; Cusip: 06740AF38

• Certificates of deposit due Nov. 27, 2020 linked to the S&P 500 index; via Barclays with Incapital LLC; pricing Nov. 22; Cusip: 06740AF20

• 0.25% to 0.35% certificates of deposit due Nov. 21, 2018 linked to the S&P 500 index; via Barclays with Incapital LLC; pricing Nov. 22; Cusip: 06740AE70

BARCLAYS BANK PLC

• Principal at risk Russell 2000 index-linked notes due Nov. 21, 2018; via Barclays; settlement Nov. 21; Cusip: 06741TX85

• 0% Super Track notes due May 31, 2017 linked to the Euro Stoxx 50 index; via Barclays; pricing Nov. 21; Cusip: 06741TW37

• 0% buffered Super Track notes due May 26, 2016 linked to the Russell 2000 index; via Barclays; pricing Nov. 21; Cusip: 06741TW60

• 0% annual autocallable notes due Nov. 21, 2016 linked to the lesser performing of the Euro Stoxx 50 index and the FTSE 100 index; via Barclays; pricing Nov. 20; Cusip: 06741TY84

• Contingent income autocallable securities due Nov. 28, 2016 linked to Blackrock Inc. shares; 75% trigger; via Barclays with Morgan Stanley Smith Barney LLC; pricing Nov. 22; Cusip: 06742E554

• Contingent income autocallable securities due Nov. 28, 2016 linked to Broadcom Corp. shares; 70% trigger; via Barclays with Morgan Stanley Smith Barney LLC; pricing Nov. 22; Cusip: 06742E539

• Contingent income autocallable securities due Nov. 28, 2014 linked to Terex Corp. shares; 65% trigger; via Barclays with Morgan Stanley Smith Barney LLC; pricing Nov. 22; Cusip: 06742E547

• Callable contingent coupon notes due Nov. 27, 2015 linked to Facebook, Inc. shares; 65% trigger; via Barclays; pricing Nov. 22; Cusip: 06741J4W6

• Callable contingent coupon notes due May 26, 2016 linked to Facebook, Inc. shares; via Barclays; pricing Nov. 22; Cusip: 06741J5C9

• 15% reverse convertible notes due May 28, 2014 linked to First Solar, Inc. stock; via Barclays Capital; pricing Nov. 22; Cusip: 06741J4Z9

• 13.75% reverse convertible notes due May 28, 2014 linked to LinkedIn Corp. stock; via Barclays Capital; pricing Nov. 22; Cusip: 06741J5A3

• 14% reverse convertible notes due May 28, 2014 linked to Netflix Inc. stock; via Barclays Capital; pricing Nov. 22; Cusip: 06741J4Y2

• 0% buffered Super Track notes due Nov. 27, 2015 linked to the S&P 500 index; via Barclays; pricing Nov. 22; Cusip: 06741TY27

• 12% reverse convertible notes due May 28, 2014 linked to United States Steel Corp. stock; via Barclays Capital; pricing Nov. 22; Cusip: 06741J5B1

• Callable contingent payment notes due Nov. 29, 2018 linked to the Market Vector Gold Miners exchange-traded fund; via Barclays; pricing Nov. 25; Cusip: 06741TW29

• 0% trigger return optimization securities due Nov. 30, 2016 linked to the S&P 500 index; via UBS Financial Services Inc. and Barclays; pricing Nov. 25; Cusip:06742E679

• 0% trigger return optimization securities due Nov. 30, 2016 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and Barclays; pricing Nov. 26; Cusip: 06742E661

• Annual reset coupon buffered notes due Nov. 30, 2019 linked to the Russell 2000 index; via Barclays; pricing Nov. 26; Cusip: 06741TW45

• 0% Performance Leveraged Upside Securities due Jan. 2, 2015 linked to the Russell 2000 index; via Barclays with Morgan Stanley Wealth Management as dealer; pricing Nov. 29; Cusip: 06742E653

• 0% Currency Market Index Target-Term Securities due November 2015 linked to Brazilian real and the Mexican peso; via BofA Merrill Lynch; pricing in November

• 0% Strategic Accelerated Redemption Securities due December 2014 tied to a basket of the iShares MSCI EAFE exchange-traded fund and the iShares MSCI Emerging Markets exchange-traded fund; via BofA Merrill Lynch; pricing in November

• Callable contingent coupon notes due November 2015 linked to Microsoft Corp. shares; 75% trigger; via Barclays; pricing in November; Cusip: 06741TW52

• 0% notes due Dec. 8, 2016 linked to the EquityCompass Share Buyback index; via Barclays; pricing Dec. 4; Cusip: 06741TX93

BMO HARRIS BANK NA

• Annual digital yield generator certificates of deposit with minimum interest rate due Nov. 29, 2019 linked to the common stocks of Best Buy Co., Inc., Bristol-Myers Squibb Co., Costco Wholesale Corp., Dollar General Corp., Lorillard, Inc., McDonald's Corp., Seagate Technology plc, Vodafone Group plc, Williams Partners LP and Walgreen Co.; via BMO Capital Markets Corp. and Advisors Asset Management, Inc.; pricing Nov. 25; Cusip: 05573JUB8

BNP PARIBAS

• 0% buffered return enhanced notes due May 31, 2016 linked to a basket of common stocks selected from the Richard Bernstein Advisors American Industrial Renaissance universe, including Acuity Brands, Inc., Covanta Holding Corp., Generac Holdings Inc., Huntington Bancshares Inc., MasTec, Inc., Oshkosh Corp., Proto Labs, Inc., Quanta Services, Inc., Trinity Industries, Inc. and URS Corp.; via BNP Paribas Securities Corp.; pricing Nov. 25; Cusip: 05574LSC3

• 0% buffered uncapped notes due Nov. 29, 2017 linked to the Dow Jones industrial average; via BNPP Securities; pricing Nov. 25; Cusip: 05574LSA7

• 0% buffered return enhanced notes due May 31, 2016 linked to the Russell 2000 index; via BNP Paribas Securities Corp.; pricing Nov. 25; Cusip: 05574LSD1

• 0% buffered return enhanced notes due Nov. 30, 2015 linked to the S&P 500 index; via BNP Paribas Securities Corp.; pricing Nov. 25; Cusip: 05574LS90

• 0% buffered return enhanced notes due Nov. 30, 2015 linked to the S&P 500 index; via BNP Paribas Securities Corp.; pricing Nov. 25; Cusip: 05574LS74

• 0% capped leveraged certificate plus notes due May 31, 2016 linked to the Euro Stoxx 50 index; via BNP Paribas Securities Corp.; pricing Nov. 26; Cusip: 05574LS66

• 0% step-up autocallable notes due Nov. 29, 2016 linked to the Euro Stoxx 50 index; via BNP Paribas Securities Corp.; pricing Nov. 26; Cusip: 05574LSJ8

• 23- to 26-month 0% notes linked to the Russell 2000 index; via BNP Paribas Securities Corp.; Cusip: 05574LRC4

CITIBANK, NA

• Callable fixed-to-inverse-floating-rate market-linked certificates of deposit due Nov. 29, 2033 linked to the Russell 2000 index; via Citigroup Global Markets Inc. and Advisors Asset Management, Inc.; pricing Nov. 25; Cusip: 172986GX3

CITIGROUP INC.

• Callable leveraged CMS spread notes due Nov. 26, 2033 linked to the 30-year Constant Maturity Swap Rate and the five-year CMS rate; via Citigroup Global Markets Inc.; pricing Nov. 21; Cusip: 1730T0C56

• 0% barrier securities due Nov. 27, 2017 linked to the MSCI EAFE index; via Citigroup Global Markets Inc.; pricing Nov. 21; Cusip: 1730T0B40

• Noncallable fixed-to-floating notes due Nov. 27, 2018; via Citigroup Global Markets Inc.; pricing Nov. 22; Cusip: 1730T0C80

• Noncallable fixed-to-floating notes due Nov. 27, 2023; via Citigroup Global Markets Inc.; pricing Nov. 22; Cusip: 1730T0C64

• 0% buffer securities due Nov. 28, 2018 linked to the Dow Jones industrial average; via Citigroup Global Markets Inc.; pricing Nov. 22; Cusip: 1730T0B73

• 10% to 12% single observation Equity Linked Securities due May 28, 2014 linked to the common stock of Netflix, Inc.; via Citigroup Global Markets Inc.; pricing Nov. 22; Cusip: 1730T0B81

• Autocallable securities due November 2016 linked to the worst performing of the S&P 500 index and the Russell 2000 index; 80% trigger; via Citigroup Global Markets Inc.; pricing Nov. 25; Cusip: 17321F649

• 0% trigger performance securities due Nov. 30, 2018 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Nov. 25; Cusip: 17321F680

• 0% trigger performance securities due Nov. 30, 2018 linked to the Vanguard FTSE Emerging Markets exchange-traded fund; via Citigroup Global Markets Inc. and UBS Financial Services Inc.; pricing Nov. 25; Cusip: 17321F656

• 0% enhanced barrier digital plus securities due Nov. 30, 2018 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Nov. 27; Cusip: 1730T0C72

• 0% buffered Performance Leveraged Upside Securities due June 3, 2016 linked to the iShares MSCI Emerging Markets ETF; via Citigroup Global Markets Inc.; pricing Nov. 29; Cusip: 17321F664

• 0% buffered Performance Leveraged Upside Securities due June 3, 2016 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Nov. 29; Cusip: 17321F672

CREDIT SUISSE AG

• 0% accelerated barrier notes due Dec. 2, 2019 linked to the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip: 22547QCR5

• 0% digital-plus barrier notes due June 3, 2019 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip: 22547QD60

• Contingent coupon autocallable yield notes due Nov. 27, 2023 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip: 22547QD37

• Contingent coupon callable yield notes due Dec. 2, 2016 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip: 22547QCS3

• 0% CS notes due May 29, 2019 linked to the Credit Suisse Equity Sector Rotation Blue Index Target Volatility 5%; via Credit Suisse Securities (USA) LLC; pricing Nov. 25; Cusip: 22547QCE4

• 0% accelerated barrier notes due Nov. 29, 2017 linked to the Dow Jones industrial average; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 25; Cusip: 22547QCV6

• 0% autocallable securities due Nov. 29, 2016 linked to the Euro Stoxx 50 index and the FTSE 100 index; via Barclays; pricing Nov. 25; Cusip: 22547QDA1

• 0% Buffered Accelerated Return Equity Securities due Nov. 30, 2015 linked to the iShares MSCI Emerging Markets index fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 25; Cusip: 22547QCU8

• Callable daily Russell 2000 index-linked range accrual notes due Nov. 29, 2019; via Credit Suisse Securities (USA) LLC; pricing Nov. 25; Cusip: 22547QD94

• Buffered contingent coupon callable yield notes due Nov. 29, 2017 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 25; Cusip: 22547QD45

• Contingent coupon callable yield notes due Nov. 29, 2023 linked to the Russell 2000 index and the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 25; Cusip: 22547QDH6

• Contingent coupon callable yield notes due Nov. 30, 2015 linked to the Russell 2000 index and the iShares MSCI EAFE exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 25; Cusip: 22547QCT1

• 0% Accelerated Return Notes due Aug. 29, 2017 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 25; Cusip: 22547QD86

• 0% cert plus securities due Nov. 29, 2017 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 25; Cusip: 22547QD29

• 0% Buffered Accelerated Return Equity Securities due May 30, 2017 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 26; Cusip: 22547QD78

• High/low coupon callable yield notes due Dec. 2, 2014 linked to the United States Oil Fund, LP and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 26; Cusip: 22547QDN3

• High/low coupon callable yield notes due June 2, 2015 linked to the United States Oil Fund, LP and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 26; Cusip: 22547QDK9

• 0% accelerated barrier notes due Dec. 4, 2017 linked to the Dow Jones industrial average; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22547QCY0

• 0% callable Buffered Accelerated Return Equity Securities due Dec. 3, 2015 linked to the iShares MSCI Emerging Markets exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22547QCX2

• Buffered contingent coupon callable yield notes due Dec. 4, 2017 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22547QD52

• 0% cert plus securities due Dec. 4, 2017 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22547QCZ7

• Contingent coupon callable yield notes due Dec. 3, 2015 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22547QCW4

• 0% Accelerated Return Notes due January 2015 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in November

• 8.5% STEP Income Securities due November 2014 linked to Masco Corp. common stock; via BofA Merrill Lynch; pricing in November

• 0% Accelerated Return Notes due January 2015 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in November

• Contingent coupon callable yield notes due June 10, 2019 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 5; Cusip: 22547QDF0

• 0% buffered return equity securities due March 13, 2017 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; Cusip: 22547QA89

CREDIT SUISSE AG, LONDON BRANCH

• 0% leveraged buffered index-linked notes tied to the iShares MSCI Emerging Markets exchange-traded fund; via Suisse Securities (USA) LLC; pricing in November; Cusip: 22547QDD5

• 21- to 24-month 0% leveraged buffered index-linked notes tied to the MSCI EAFE index; via Credit Suisse Securities (USA) LLC; pricing in November; Cusip: 22547QDE3

DEUTSCHE BANK AG, LONDON BRANCH

• Call warrants expiring Nov. 25, 2016 linked to the Euro Stoxx 50 index; via Barclays; pricing Nov. 19; Cusip: 25155G815

• 0% trigger performance securities due Nov. 30, 2023 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Nov. 26; Cusip: 25155G609

• 0% trigger performance securities due Nov. 30, 2018 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Nov. 26; Cusip: 25155G500

• 0% trigger performance securities due 2018 linked to the S&P 500 index with a 30% weight, the Euro Stoxx 50 index with a 30% weight and the MSCI Emerging Markets index with a 40% weight; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing in November; Cusip: 25155G856

• 10% STEP Income Securities due December 2014 linked to Yahoo! Inc.; via BofA Merrill Lynch; pricing in November

• 9% STEP Income Securities due November 2014 linked to American Depositary Receipts of Petroleo Brasileiro SA; via BofA Merrill Lynch; pricing in November

• 24- to 27-month 0% capped buffered notes linked to the MSCI EAFE index; via Deutsche Bank Securities Inc.; Cusip: 25152RFP3

• 0% capped buffered notes linked to the MSCI EAFE index due in 24 to 27 months; 90% trigger; via Deutsche Bank Securities Inc.; Cusip: 25152RFP3

GOLDMAN SACHS BANK USA

• Contingent coupon index-linked certificates of deposit due Nov. 27, 2020 tied to the GS Momentum Builder Multi-Asset 2 ER index; via Goldman Sachs & Co. with Incapital LLC as distributor; pricing Nov. 22; Cusip: 38147JNU2

• 0% index-linked certificates of deposit due Nov. 27, 2020 linked to the GS Momentum Builder Multi-Asset 2 ER index; via Goldman Sachs & Co. and Incapital LLC; pricing Nov. 22; Cusip: 38147JNW8

• 0% equity index-linked certificates of deposit due Nov. 27, 2019 linked to the S&P 500 index, the Russell 2000 index and the S&P MidCap 400 index; via Goldman Sachs & Co. and Incapital LLC; pricing Nov. 22; Cusip: 38147JPA4

• Contingent coupon certificates of deposit due Nov. 27, 2020 linked to a basket of 10 stocks (Apple Inc., AbbVie Inc., Amazon.com, Inc., Cisco Systems, Inc., McDonald's Corp., Merck & Co., Inc., Microsoft Corp., PepsiCo, Inc., Proctor & Gamble Co. and Wal-Mart Stores, Inc.); via Goldman Sachs & Co. with Incapital LLC as distributor; pricing Nov. 25; Cusip: 38147JNY4

• Variable-coupon basket-linked certificates of deposit due Nov. 27, 2020 linked to a basket of 10 stocks (Apple Inc., AbbVie Inc., Amazon.com, Inc., Cisco Systems, Inc., McDonald's Corp., Merck & Co., Inc., Microsoft Corp., PepsiCo, Inc., Proctor & Gamble Co., Wal-Mart Stores, Inc.); via Goldman Sachs & Co.; pricing Nov. 25; Cusip: 38147JNX6

• Variable-coupon basket-linked certificates of deposit due Nov. 27, 2020 linked to a basket of 10 stocks (AT&T Inc., Chevron Corp., E.I. DuPont de Nemours and Co., General Electric Co., Intel Corp., McDonald's Corp., Merck & Co., Inc., Pfizer Inc., Proctor & Gamble Co. and Verizon Communications Inc.); via Goldman Sachs & Co.; pricing Nov. 25; Cusip: 38147JNZ1

GOLDMAN SACHS GROUP, INC.

• Callable monthly Russell 2000 index-linked range accrual notes due Nov. 29, 2023; via Goldman Sachs & Co.; pricing Nov. 21; Cusip: 38147QR65

• Callable monthly range accrual notes due Nov. 26, 2028 linked to the Russell 2000 index; 50% trigger; via Goldman Sachs & Co.; pricing Nov. 21; Cusip: 38147QP67

• Callable monthly index-linked range accrual notes due Nov. 27, 2028 linked to the Russell 2000 index and the Euro Stoxx 50 index; via Goldman Sachs & Co.; pricing Nov. 22; Cusip: 38147QN69

• Callable buffered monthly range accrual notes due Nov. 29, 2020 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 25; Cusip: 38147QN28

• Callable monthly Russell 2000 index-linked range accrual notes due Nov. 29, 2023; via Goldman Sachs & Co.; pricing Nov. 26; Cusip: 38147QL20

• Callable monthly Russell 2000 index-linked range accrual notes due Nov. 29, 2028; via Goldman Sachs & Co.; pricing Nov. 26; Cusip: 38147QM29

• 0% buffered notes due Nov. 29, 2018 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 26; Cusip: 38147QJ23

• Callable step-up fixed-rate notes due November 2019; via Goldman Sachs & Co.; pricing in November; Cusip: 38147QQ66

• Callable step-up fixed-rate notes due November 2028; via Goldman Sachs & Co.; pricing in November; Cusip: 38147QJ64

• Fixed-to-floating notes due December 2020; via Goldman Sachs & Co.; settlement in December; Cusip: 38147QU61

• 18- to 21-month 0% leveraged notes linked to the Euro Stoxx 50 index; via Goldman Sachs & Co.

• 24- to 27-month 0% notes linked to the Euro Stoxx 50 index; 90% trigger; via Goldman Sachs & Co.

• 36- to 39-month 0% leveraged buffered notes linked to the Euro Stoxx 50 index; via Goldman Sachs & Co; Cusip: 38147QZA7

• 36- to 40-month 0% leveraged buffered notes linked to the Euro Stoxx 50 index; via Goldman Sachs & Co.; Cusip: 38147QXN1

• 0% leveraged buffered notes due 2018 linked to the Euro Stoxx 50 index; via Goldman Sachs & Co.; Cusip: 38147QRA6

• 15- to 18-month 0% digital notes linked to the iShares MSCI Emerging Markets exchange-traded fund; via Goldman Sachs & Co.

• 24- to 27-month 0% leveraged buffered notes linked to the iShares MSCI Emerging Markets index fund; via Goldman Sachs & Co.; Cusip: 38147QXS0

• 0% leveraged buffered notes linked to the MSCI EAFE index due in 24 to 27 months; 90% trigger; via Goldman Sachs & Co.

• 25- 28-month 0% leveraged notes tied to the MSCI EAFE index; 90% trigger; via Goldman Sachs & Co.

• 13- to 24-month 0% autocallable buffered index-linked notes tied to the Russell 2000 index; via Goldman Sachs & Co.

• 24-month 0% autocallable buffered notes linked to the Russell 2000 index; 85% trigger; via Goldman Sachs & Co.; Cusip: 38147QFA9

• 0% leveraged buffered notes due in 24 to 27 months linked to the Russell 2000 index; via Goldman Sachs & Co.; Cusip: 38147QAE6

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

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

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

• 60-month 0% leveraged buffered notes linked to the S&P 500 index; 75% trigger; via Goldman, Sachs & Co.; Cusip: 38147QXJ0

• 24-month 0% autocallable leveraged buffered notes linked to the S&P Banks Select Industry index; via Goldman Sachs & Co.

• 24- to 27-month 0% leveraged buffered notes linked to the S&P Banks Select Industry index; via Goldman Sachs & Co.

HSBC USA INC.

• 0% buffered Accelerated Market Participation Securities due May 26, 2015 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432XN80

• 0% buffered Accelerated Market Participation Securities due Nov. 25, 2015 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432XNG2

• 0% buffered Accelerated Market Participation Securities due Nov. 25, 2015 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432XNC1

• 0% return optimization securities due Nov. 30, 2015 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40434B859

• 0% buffered Accelerated Market Participation Securities due May 26, 2015 linked to the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432XN72

• 0% buffered Accelerated Market Participation Securities due Nov. 25, 2015 linked to the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432XNB3

• 0% buffered Accelerated Market Participation Securities due May 26, 2015 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432XN64

• 0% buffered Accelerated Market Participation Securities due Nov. 25, 2015 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432XNA5

• 0% buffered Accelerated Market Participation Securities due May 26, 2015 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432XN56

• 0% buffered Accelerated Market Participation Securities due Nov. 25, 2015 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432XNE7

• 0% buffered Accelerated Market Participation Securities due Nov. 25, 2015 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432XND9

• 0% buffered Accelerated Market Participation Securities due Nov. 25, 2015 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432XN98

• 0% buffered uncapped market participation securities due Nov. 27, 2017 linked to the Dow Jones industrial average; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40432XMY4

• 0% buffered uncapped market participation securities due Nov. 27, 2017 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40432XMZ1

• Income plus notes due Nov. 27, 2020 linked to the common stocks of Lorillard, Inc., Merck & Co., Inc., Microsoft Corp., Travelers Cos., Inc. and Verizon Communications Inc.; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40432XN31

• 0% uncapped Accelerated Market Participation Securities due Nov. 27, 2015 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 40432XNN7

• 0% leveraged buffered uncapped market participation securities due Nov. 28, 2016 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 40432XNM9

• 0% leveraged buffered uncapped market participation securities due Nov. 27, 2018 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 40432XNP2

• Contingent income barrier notes due Dec. 2, 2019 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 40432XMU2

• Buffered Accelerated Market Participation Securities due Dec. 2, 2016 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 40432XMS7

• 0% digital-plus barrier notes due Dec. 3, 2018 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 40432XMV0

• Buffered Accelerated Market Participation Securities due Dec. 2, 2016 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 40432XMR9

• 0% digital-plus barrier notes due Dec. 3, 2018 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 40432XMV0

• 5.5%-6.5% autocallable yield notes due Feb. 27, 2015 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 40432XNK3

• 5%-6% autocallable yield notes due Feb. 27, 2015 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip: 40432XNL1

• 0% trigger performance securities due Nov. 30, 2023 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 25; Cusip: 40434B834

• 0% trigger performance securities due Nov. 30, 2018 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 26; Cusip: 40434B842

• 0% leveraged performance securities due Nov. 29, 2019 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 26; Cusip: 40432XNR8

• Buffered income plus notes due Nov. 29, 2018 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 26; Cusip: 40432XNQ0

• 0% Performance Leveraged Upside Securities due Jan. 2, 2015 linked to the iShares MSCI EAFE exchange-traded fund; via J.P. Morgan Securities LLC with Morgan Stanley Smith Barney LLC; pricing Nov. 29; Cusip: 48127A815

• 0% trigger Performance Leveraged Upside Securities due June 5, 2017 linked to the WisdomTree Japan Hedged Equity fund; via HSBC Securities (USA) Inc. and Morgan Stanley Wealth Management; pricing Nov. 29; Cusip: 40434B818

• Leveraged Index Return Notes due November 2018 linked to the Dow Jones industrial average; via BofA Merrill Lynch; pricing in November

• 0% Market Index Target-Term Securities due November 2020 linked to the Dow Jones industrial average; via BofA Merrill Lynch; pricing in November

• 18- to 22-month long short notes linked to the Energy Select Sector/Consumer Discretionary Select Sector Long Short index; via BofA Merrill Lynch; pricing in November

• Market-linked step-up notes due November 2015 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in November

JPMORGAN CHASE BANK, NA

• Digital contingent coupon certificates of deposit due Nov. 29, 2019 linked to a basket of 10 stocks (Altria Group, Inc., AT&T, Inc., Bristol-Meyers Squibb Co., Coca-Cola Co., Kimberly-Clark Corp., McDonald's Corp., Philip Morris International, Inc., Procter & Gamble Co., Southern Co. and Unilever plc); via J.P. Morgan Securities LLC with Incapital LLC as distributor; pricing Nov. 25; Cusip: 48124J7C6

• Digital contingent coupon certificates of deposit due Nov. 30, 2020 linked to a basket of 10 stocks (Altria Group, Inc., AT&T, Inc., Bristol-Meyers Squibb Co., Coca-Cola Co., Kimberly-Clark Corp., McDonald's Corp., Philip Morris International, Inc., Procter & Gamble Co., Southern Co. and Unilever plc); via J.P. Morgan Securities LLC with Incapital LLC as distributor; pricing Nov. 25; Cusip: 48124J7B8

• Digital contingent coupon certificates of deposit due Nov. 30, 2020 linked to the common stocks of Duke Energy Corp., Hewlett-Packard Co., Kinross Gold Corp., Lorillard, Inc., McDonald's Corp., Mead Johnson Nutrition Co., Raytheon Co., Time Warner Cable Inc., Verizon Communications Inc. and Walgreen Co.; via J.P. Morgan Securities LLC; pricing Nov. 25; Cusip: 48125TAD7

• 0% certificates of deposit due Nov. 29, 2019 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC with Incapital LLC; pricing Nov. 25; Cusip: 48124J6V5

• 0% certificates of deposit due May 31, 2019 linked to the JPMorgan Optimax Market-Neutral index; via J.P. Morgan Securities LLC with Incapital LLC; pricing Nov. 25; Cusip: 48124J6T0

JPMORGAN CHASE & CO.

• 7% autocallable yield notes due Feb. 23, 2015 linked to the iShares MSCI Emerging Markets exchange-traded fund, the iShares MSCI EAFE ETF and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 19; Cusip: 48126NC47

• 0% capped buffered equity notes due May 24, 2016 linked to a weighted basket consisting of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 19; Cusip: 48126NE9.

• 10% upside autocallable reverse exchangeable notes due Nov. 24, 2014 linked to VeriFone Systems, Inc. shares; 70% trigger; via J.P. Morgan Securities LLC; pricing Nov. 19; Cusip: 48126NC96

• 15% reverse convertible notes due Feb. 27, 2014 linked to Green Mountain Coffee Roasters, Inc. stock; via JPMorgan; pricing Nov. 22; Cusip: 48126NB97

• 0% dual directional knock-out buffered equity notes due Nov. 27, 2015 linked to the iShares MSCI Emerging Markets index fund; 79.6% trigger; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 48126NB71

• 0% capped buffered equity notes due Nov. 27, 2015 linked to the iShares MSCI Emerging Markets exchange-traded fund; 80% trigger; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 48126NB89

• 8.15% reverse convertible notes due May 28, 2014 linked to lululemon athletica Inc. stock; via JPMorgan; pricing Nov. 22; Cusip: 48126NC21

• Callable step-up fixed-rate notes due Nov. 29, 2028; via J.P. Morgan Securities LLC; pricing Nov. 25; Cusip: 48126NTG2

• 0% capped buffered return enhanced notes due Nov. 30, 2015 linked to the iShares MSCI EAFE index fund; via J.P. Morgan Securities LLC; pricing Nov. 25; Cusip: 48126NZQ3

• 0% capped buffered return enhanced notes due Nov. 30, 2015 linked to the iShares MSCI Emerging Markets index fund; via J.P. Morgan Securities LLC; pricing Nov. 25; Cusip: 48126NZR1

• 0% notes due Nov. 29, 2019 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC and UBS Financial Services Inc.; pricing Nov. 25; Cusip: 48126NZZ3

• 0% notes due Nov. 29, 2019 linked to the JPMorgan ETF Efficiente five index; via J.P. Morgan Securities LLC; pricing Nov. 25; Cusip: 48126NB63

• 0% return notes due Feb. 27, 2015 linked to the J.P. Morgan Strategic Volatility index; via J.P. Morgan Securities LLC; pricing Nov. 25; Cusip: 48126NZU4

• 0% capped buffered return enhanced notes due Nov. 30, 2015 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 25; Cusip: 48126NZP5

• 0% capped buffered return enhanced notes due Nov. 30, 2015 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 25; Cusip: 48126NZT7

• Autocallable contingent interest notes due Feb. 27, 2015 linked to the lesser performing of the Russell 2000 index and iShares MSCI Emerging Markets exchange-traded fund; 70% trigger; via J.P. Morgan Securities LLC; pricing Nov. 25; Cusip: 48126NZV2

• 0% capped buffered return enhanced notes due Nov. 30, 2015 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 25; Cusip: 48126NZS9

• 5% to 7% autocallable yield notes due Dec. 1, 2014 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 25; Cusip: 48126NZH3

• 6% to 8% autocallable yield notes due Dec. 1, 2014 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 25; Cusip: 48126NZG5

• Autocallable contingent interest notes due Dec. 1, 2014 linked to the lesser performing of the Russell 2000 index and iShares MSCI Emerging Markets exchange-traded fund; via J.P. Morgan Securities LLC; pricing Nov. 25; Cusip: 48126NF28

• 11% reverse convertible notes due June 2, 2014 linked to Barrick Gold Corp. stock; via JPMorgan; pricing Nov. 26; Cusip: 48126ND79

• 14.25% reverse convertible notes due June 2, 2014 linked to Cree, Inc. stock; via JPMorgan; pricing Nov. 26; Cusip: 48126NE37

• 12% annualized reverse exchangeable notes due March 3, 2014 linked to First Solar Inc. shares; 70% trigger; via J.P. Morgan Securities Inc.; pricing Nov. 26; Cusip: 48126ND20

• 20.5% reverse convertible notes due June 2, 2014 linked to Groupon, Inc. stock; via JPMorgan; pricing Nov. 26; Cusip: 48126NE29

• 0% notes due Nov. 29, 2019 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC; pricing Nov. 26; Cusip: 48126NZY6

• 13.5% annualized reverse exchangeable notes due March 3, 2014 linked to LinkedIn Corp. shares; 80% trigger; via J.P. Morgan Securities Inc.; pricing Nov. 26; Cusip: 48126ND38

• 14.25% reverse convertible notes due June 2, 2014 linked to Netflix, Inc. stock; via JPMorgan; pricing Nov. 26; Cusip: 48126ND61

• 17.25% reverse convertible notes due June 2, 2014 linked to Pandora Media, Inc. stock; via JPMorgan; pricing Nov. 26; Cusip: 48126ND88

• 11.5% annualized reverse exchangeable notes due March 3, 2014 linked to Tesla Motors, Inc. shares; 65% trigger; via J.P. Morgan Securities Inc.; pricing Nov. 26; Cusip: 48126ND46

• 14.5% annualized reverse exchangeable notes due March 3, 2014 linked to Yelp Inc. shares; 65% trigger; via J.P. Morgan Securities Inc.; pricing Nov. 26; Cusip: 48126ND53

• 18.75% reverse convertible notes due June 2, 2014 linked to Zillow, Inc. stock; via JPMorgan; pricing Nov. 26; Cusip: 48126ND95

• 0% Performance Leveraged Upside Securities due Jan. 2, 2015 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC and Morgan Stanley Smith Barney LLC; pricing Nov. 29; Cusip: 48127A807

• 0% Performance Leveraged Upside Securities due Jan. 2, 2015 linked to the S&P 500 index; via J.P. Morgan Securities LLC and Morgan Stanley Smith Barney LLC; pricing Nov. 29; Cusip: 48127A708

• Fixed-to-floating notes due Dec. 11, 2023; via J.P. Morgan Securities LLC; pricing Dec. 6; Cusip: 48126NTH0

MORGAN STANLEY

• Contingent income securities due Nov. 27, 2028 linked to the worst performing of the Russell 2000 index and the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Nov. 22; Cusip: 61761JMQ9

• Contingent income participation securities due Nov. 27, 2028 linked to the worst performing of the Russell 2000 index and the Euro Stoxx 50 index; 50% trigger; via Morgan Stanley & Co. LLC; pricing Nov. 22; Cusip: 61761JMT3

• Contingent income securities due Nov. 27, 2028 linked to the worst performing of the Russell 2000 index and the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 22; Cusip: 61761JMM8

• Contingent income securities due Nov. 27, 2028 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 22; Cusip: 61761JML0

• 0% market-linked notes due May 27, 2021 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 22; Cusip: 61761JMN6

• 0% trigger Performance Leveraged Upside Securities due Nov. 27, 2023 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 22; Cusip: 61761JMP1

• 0% airbag performance securities due Nov. 30, 2023 linked to the Dow Jones industrial average; via Morgan Stanley & Co. LLC with UBS Financial Services Inc. as dealer; pricing Nov. 25; Cusip: 61762W471

• 0% trigger step performance securities due Nov. 30, 2017 linked to the S&P 500 index; via Morgan Stanley & Co. LLC with UBS Financial Services Inc. as dealer; pricing Nov. 25; Cusip: 61762W554

• 0% trigger performance securities due Nov. 30, 2018 linked to the S&P 500 index; 60% trigger; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Nov. 25; Cusip: 61762W455

• Contingent income autocallable securities due November 2016 linked to shares of Amazon.com, Inc.; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61762W562

• Contingent income autocallable securities due November 2016 linked to Apple Inc. shares; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61762W513

• 0% market-linked notes due November 2020 linked to the Dow Jones industrial average; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61762W539

• 0% dual directional trigger Performance Leveraged Upside Securities due May 2019 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61762W489

• 0% market-linked notes due August 2019 linked to the iShares MSCI EAFE ETF, the iShares MSCI Emerging Markets ETF and the WisdomTree Japan Hedged Equity Fund; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61762W505

• Contingent income autocallable securities due November 2016 linked to Michael Kors Holding Ltd. shares; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61762W521

• 0% dual directional trigger Performance Leveraged Upside Securities due November 2019 linked to the S&P 500 index; 65% trigger; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61762W497

• 0% trigger Performance Leveraged Upside Securities due November 2016 linked to the WisdomTree Japan Hedged Equity fund; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61762W547

• Contingent income autocallable securities due November 2016 linked to Cisco Systems, Inc. shares; 80% trigger; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61762W588

• 0% enhanced trigger jump securities due May 2016 linked to West Texas Intermediate light sweet crude oil; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61762GAQ7

• Leveraged CMS curve and S&P 500 index-linked notes due Dec. 2, 2028; via Morgan Stanley & Co. LLC; settling Dec. 2; Cusip: 61760QDT8

ROYAL BANK OF CANADA

• Fixed-to-floating notes due Nov. 20, 2020; via RBC Capital Markets LLC; settlement Nov. 20; Cusip: 78010UDC8

• Redeemable step-up notes due Nov. 20, 2025; via RBC Capital Markets, LLC; settlement Nov. 20; Cusip: 78010UDB0

• 9.25% to 12.25% annualized reverse convertible notes due Feb. 27, 2014 linked to Red Hat, Inc. shares; via RBC Capital Markets LLC; pricing Nov. 22; Cusip: 78010UJF5

• 0% contingent return optimization securities due May 31, 2016 linked to the S&P 500 index; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Nov. 25; Cusip: 78009Q802

• 0% bullish barrier enhanced return notes due Nov. 30, 2016 linked to the Euro Stoxx 50 index; via RBC Capital Markets LLC; pricing Nov. 26; Cusip: 78010UJD0

• 0% Strategic Accelerated Redemption Securities due December 2014 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

• 0% direct investment notes due Jan. 9, 2015 linked to the EquityCompass Equity Risk Management Strategy; via RBC Capital Markets, LLC; pricing Dec. 4; Cusip: 78010UJC2

• 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.

• 15- to 17-month 0% leveraged buffered index-linked notes tied to the S&P 500 index; via RBC Capital Markets, LLC; Cusip: 78010UHR1

AB SVENSK EXPORTKREDIT

• 0% Accelerated Return Notes due January 2015 linked to the MSCI EAFE index; via BofA Merrill Lynch; pricing in November

UBS AG, LONDON BRANCH

• Trigger phoenix autocallable optimization securities due May 22, 2015 linked to Green Mountain Coffee Roasters, Inc. shares; 50% trigger; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 19; Cusip: 90270KAQ2

• Contingent income autocallable securities due Dec. 1, 2014 linked to Potash Corp. of Saskatchewan Inc. shares; 75% trigger; via UBS Securities LLC with Morgan Stanley Smith Barney LLC; pricing Nov. 22; Cusip: 90271R459

• Contingent income autocallable securities due Nov. 28, 2016 linked to Starbucks Corp. shares; 80% trigger; via UBS Securities LLC with Morgan Stanley Smith Barney LLC; pricing Nov. 22; Cusip: 90271R442

• 0% return optimization securities due Nov. 30, 2015 linked to the Russell 2000 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 25; Cusip: 90271R236

• 0% trigger return optimization securities due Nov. 30, 2016 linked to the Russell 2000 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 25; Cusip: 90271R251

• 0% relative performance securities due Nov. 30, 2018 linked to the S&P 500 index and the NYSE US 5 Year Treasury Futures index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 25; Cusip: 90271R467

• 0% return optimization securities due Nov. 30, 2015 linked to the S&P 500 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 25; Cusip: 90271R228

• 0% trigger performance securities due Nov. 30, 2023 linked to the UBS Bloomberg Constant Maturity Commodity Index Excess Return; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 25; Cusip: 90271R343

UNION BANK, NA

• 0% market-linked quarterly capped return certificates of deposit due Nov. 28, 2017 linked to the PowerShares QQQ Trust, series 1; via UnionBanc Investment Services, LLC with Incapital LLC; pricing Nov. 22; Cusip: 90521APW2

• 0% market-linked quarterly capped return certificates of deposit due Nov. 28, 2017 linked to the S&P 500 index; via UnionBanc Investment Services, LLC with Incapital LLC; pricing Nov. 22; Cusip: 90521APT9

• 0% market-linked certificates of deposit due Nov. 29, 2017 linked to the Brazilian real, Russian ruble, Indian rupee and Chinese renminbi; via UnionBanc Investment Services, LLC with Incapital LLC; pricing Nov. 26; Cusip: 90521APU6

• 0% quarterly capped return market-linked certificates of deposit due Nov. 30, 2016 linked to the Dow Jones industrial average; via UnionBanc Investment Services, LLC with Incapital LLC; pricing Nov. 26; Cusip: 90521APV4

WELLS FARGO & CO.

• Step-up callable notes due Nov. 28, 2033; via Wells Fargo Securities, LLC; pricing Nov. 22; Cusip: 94986RSA0

• 0% growth securities with leveraged upside participation to a cap and buffered downside with multiplier due Nov. 28, 2016 linked to the Russell 2000 index; via Wells Fargo Securities, LLC; pricing Nov. 22; Cusip: 94986RRZ6

• 0% growth securities with leveraged upside participation to a cap and buffered downside with multiplier due Nov. 27, 2015 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing Nov. 22; Cusip: 94986RRY9

• 0% growth securities with leveraged upside participation to a cap and contingent downside with contingent minimum return due Nov. 27, 2019 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing Nov. 22; Cusip: 94986RRX1

© 2015 Prospect News.
All content on this website is protected by copyright law in the U.S. and elsewhere. For the use of the person downloading only.
Redistribution and copying are prohibited by law without written permission in advance from Prospect News.
Redistribution or copying includes e-mailing, printing multiple copies or any other form of reproduction.