BANK OF AMERICA CORP.
• Zero-coupon callable notes due Nov. 13, 2045; via BofA Merrill Lynch; pricing Nov. 13; Cusip: 06048WSA9
• Step-up callable notes due Nov. 25, 2030; via BofA Merrill Lynch; pricing Nov. 20; Cusip: 06048WRZ5
• 0% autocallable market-linked step-up notes due November 2018 linked to the common stocks of Barracuda Networks, Inc., FireEye, Inc. and Fortinet, Inc.; via BofA Merrill Lynch; pricing in November
• 0% Accelerated Return Notes due January 2017 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in November
• Autocallable market-linked step-up notes due November 2017 tied to the PHLX Housing Sector index; via BofA Merrill Lynch; pricing in November
• 0% Accelerated Return Notes due January 2017 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November
• 0% market-linked step-up notes due November 2017 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November
• 0% Capped Leveraged Index Return Notes due November 2017 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November
BANK OF MONTREAL
• 0% contingent risk absolute return notes due Nov. 29, 2019 linked to the Euro Stoxx 50 index; BMO Capital Markets Corp.; pricing Nov. 24; Cusip: 06366R3Z6
• 0% buffered bullish digital plus notes due Nov. 29, 2019 linked to the Euro Stoxx 50 index; via BMO Capital Markets Corp.; pricing Nov. 24; Cusip: 06366R4H5
• 0% buffered bullish digital plus notes due Nov. 30, 2021 linked to the Euro Stoxx 50 index; via BMO Capital Markets Corp.; pricing Nov. 24; Cusip: 06366R4G7
• 0% contingent risk absolute return notes due Nov. 29, 2019 linked to the iShares China Large-Cap ETF; BMO Capital Markets Corp.; pricing Nov. 24; Cusip: 06366R4E2
• 0% buffered bullish enhanced return notes due Nov. 30, 2020 linked to the iShares MSCI EAFE Average exchange-traded fund; via BMO Capital Markets Corp.; pricing Nov. 24; Cusip: 06366R4K8
• 7.8% autocallable cash-settled notes due Nov. 30, 2016 linked to the iShares Nasdaq Biotechnology exchange-traded fund; via BMO Capital Markets Corp.; pricing Nov. 24; Cusip: 06366R3V5
• 11.4% autocallable cash-settled notes due Nov. 30, 2016 linked to the Market Vectors Gold Miners exchange- traded fund; via BMO Capital Markets Corp.; pricing Nov. 24; Cusip: 06366R3U7
• 12% autocallable cash-settled notes due Nov. 30, 2016 linked to the SPDR S&P Oil & Gas Exploration and Production exchange-traded fund; via BMO Capital Markets Corp.; pricing Nov. 24; Cusip: 06366R3T0
• 0% contingent risk absolute return notes due Nov. 30, 2021 linked to the SPDR Dow Jones Industrial Average exchange-traded fund; pricing Nov. 24; Cusip: 06366R4J1
• 0% upside booster notes with barrier due Nov. 30, 2018 linked to the SPDR S&P Oil & Gas Exploration and Production exchange-traded fund; 90% trigger; via BMO Capital Markets Corp.; pricing Nov. 24; Cusip: 06366R4D4
• Raymond James/Sabrient Systems GARP equity-linked notes, series 2 due Nov. 30, 2016 linked to AmerisourceBergen Corp., Alaska Air Group, Inc., AMAG Pharmaceuticals, Inc., AmSurg Corp., ArcBest Corp., Brunswick Corp., Carnival Corp., CDW Corp., CenterState Banks, Inc., Delta Air Lines, Inc., DR Horton Inc., Ethan Allen Interiors Inc., Expedia Inc., FedEx Corp., Alphabet Inc., Ingram Micro Inc., Jabil Circuit Inc., JetBlue Airways Corp., Mednax, Inc., Michaels Cos., Inc., ON Semiconductor, Skyworks Solutions Inc., Tesoro Logistics LP, T-Mobile US, Inc. and Toll Brothers Inc.; via BMO Capital Markets Corp.; settling Nov. 27; Cusip: 06366R3K9
• Raymond James/Sabrient Systems GARP equity-linked notes, series 2 due Nov. 30, 2016 linked to AmerisourceBergen Corp., Alaska Air Group, Inc., AMAG Pharmaceuticals, Inc., AmSurg Corp., ArcBest Corp., Brunswick Corp., Carnival Corp., CDW Corp., CenterState Banks, Inc., Delta Air Lines, Inc., DR Horton Inc., Ethan Allen Interiors Inc., Expedia Inc., FedEx Corp., Alphabet Inc., Ingram Micro Inc., Jabil Circuit Inc., JetBlue Airways Corp., Mednax, Inc., Michaels Cos., Inc., ON Semiconductor, Skyworks Solutions Inc., Tesoro Logistics LP, T-Mobile US, Inc. and Toll Brothers Inc.; via BMO Capital Markets Corp.; settling Nov. 27; Cusip: 06366R3J2
BANK OF NOVA SCOTIA
• 9.5% STEP Income Securities due November 2016 linked to Delta Air Lines, Inc. shares; via Bank of America Merrill Lynch; pricing in November
BANK OF THE WEST
• Contingent variable income market-linked certificates of deposit due Nov. 28, 2022 linked to a basket of 10 equally weighted stocks; via BNP Paribas Securities Corp.; pricing Nov. 23; Cusip 06426XPK0
• Income advantage market-linked certificates of deposit due Nov. 28, 2022 linked to a basket of five equally weighted stocks; via BNP Paribas Securities Corp.; pricing Nov. 23; Cusip 06426XPL8
• 0% market-linked certificates of deposit due Nov. 30, 2022 linked to the DWA Large Cap Sector Rotation Target Volatility 7 index; via BNP Paribas Securities Corp.; pricing Nov. 24; Cusip 06426XPN4
• 0% market-linked certificates of deposit due Nov. 30, 2022 linked to the Morningstar Ultimate Stock-Pickers Target Volatility 7 index; via BNP Paribas Securities Corp.; pricing Nov. 24; Cusip 06426XPM6
BARCLAYS BANK PLC
• 0% Performance Leveraged Upside Securities due Feb. 16, 2017 linked to the Euro Stoxx 50 index; via Barclays; pricing Nov. 13; Cusip: 06740Q104
• 0% trigger Performance Leveraged Upside Securities due May 16, 2019 linked to worse performing of the Euro Stoxx 50 index and the S&P 500 index; via Barclays and Morgan Stanley Wealth Management; pricing Nov. 13; Cusip 06743T303
• Phoenix autocallable notes due Nov. 25, 2020 linked to the lesser performing of the SPDR S&P 500 exchange-traded fund and the iShares Russell 2000 exchange-traded fund; via Barclays; pricing Nov. 16; Cusip: 06741WBE9
• 0% annual autocallable notes due Nov. 25, 2019 linked to the lesser performing of the S&P 500 index and the Euro Stoxx 50 index; via Barclays; pricing Nov. 20; Cusip: 06741UR55
• 11% to 12% callable contingent coupon notes due Nov. 26, 2018 linked to the S&P 500 index and the SPDR S&P Oil & Gas Exploration & Production exchange-traded fund; via Barclays; pricing Nov. 20; Cusip 06741UR71
• 0% buffered Super Track notes due Nov. 30, 2020 linked to the Dow Jones industrial average; via Barclays; pricing Nov. 24; Cusip: 06741UR48
• 0% buffered Super Track notes due May 30, 2019 linked to the lesser performing of the Dow Jones industrial average and the Russell 2000 index; via Barclays; pricing Nov. 24; Cusip: 06741US39
• 0% buffered digital notes due May 30, 2018 linked to the Russell 2000 index; via Barclays; pricing Nov. 24; Cusip 06741UR63
• Callable range accrual notes due May 30, 2023 linked to the performance of the Russell 2000 index; via Barclays; pricing Nov. 24; Cusip: 06741US21
• Phoenix autocallable notes due Nov. 29, 2016 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via Barclays; pricing Nov. 24; Cusip: 06741UT20
• 0% buffered Super Track notes due Nov. 30, 2017 linked to the S&P 500 index; via Barclays; pricing Nov. 24; Cusip: 06741UQ98
• Phoenix autocallable notes due Nov. 28, 2025 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Barclays; pricing Nov. 24; Cusip: 06741US47
• 0% autocallable market-linked step-up notes due November 2018 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in November
• 0% autocallable market-linked step-up notes due November 2018 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in November
• 0% Accelerated Return Notes linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November
• 0% Accelerated Return Notes due January 2017 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November
• 23- to 26-month 0% capped leveraged buffered notes linked to a basket of indexes; via Barclays; Cusip: 06741US88
• 36- to 39-month 0% leveraged notes linked to the Euro Stoxx 50, FTSE 100, Topix, Swiss Market and S&P/ASX 200 indexes; via Barclays; Cusip: 06741UP99
• 22- to 25-month 0% capped leveraged buffered notes linked to the S&P 500 index; via Barclays; Cusip: 06741UQ23
BNP PARIBAS
• 0% buffered return enhanced notes due May 31, 2018 linked to the Russell 2000 index; via BNP Paribas; pricing Nov. 24; Cusip 05579TJ49
• 0% buffered notes due May 29, 2020 linked to the S&P 500 index; via BNP Paribas; pricing Nov. 24; Cusip 05579THZ2
• 0% leveraged notes due Nov. 30, 2020 linked to the S&P 500 index; via BNP Paribas; pricing Nov. 24; Cusip 05579TJ31
• 0% leveraged notes due Nov. 30, 2020 linked to the S&P 500 index, the iShares MSCI EAFE exchange-traded fund and the iShares MSCI Emerging Markets exchange-traded fund; via BNP Paribas; pricing Nov. 24; Cusip 05579THY5
• 0% leveraged notes due Nov. 30, 2020 linked to the S&P 500 index, the iShares MSCI EAFE exchange-traded fund and the iShares MSCI Emerging Markets exchange-traded fund; via BNP Paribas; pricing Nov. 24; Cusip 05579TJ23
CANADIAN IMPERIAL BANK OF COMMERCE
• 0% market-linked securities with leveraged upside participation to a cap and fixed percentage buffered downside due May 30, 2018 linked to the Russell 2000 index; via Wells Fargo Securities LLC; pricing Nov. 24; Cusip; 13605WAZ4
CITIGROUP INC.
• Fixed-to-floating notes due Nov. 17, 2025; via Citigroup Global Markets Inc.; pricing Nov. 12; Cusip: 17298C3Y2
• 0% barrier digital securities due Nov. 24, 2017 linked to the Nikkei 225 index; via Citigroup Global Markets Inc.; pricing Nov. 18; Cusip: 17298C4G0
• 0% barrier digital plus securities due Nov. 25, 2020 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Nov. 20; Cusip: 17298C3U0
• Buffered autocallable contingent coupon equity-linked securities due Nov. 29, 2017 linked to the common stock of Netflix, Inc.; via Citigroup Global Markets Inc.; pricing Nov. 23; Cusip: 17298C3W6
• 0% enhanced barrier digital plus securities due Nov. 27, 2020 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Nov. 23; Cusip: 17298C3T3
• Callable step-up coupon notes due Nov. 30, 2040; via Citigroup Global Markets Inc.; pricing Nov. 24; Cusip: 17298C3X4
• Autocallable contingent coupon equity linked securities due November 2017 linked to the common stock of Apple Inc.; via Citigroup Global Markets Inc.; pricing Nov. 24; Cusip: 17298C4D7
• Leveraged callable CMS curve-linked notes due Nov. 30, 2035; via Citigroup Global Markets Inc. and Morgan Stanley & Co. LLC; pricing Nov. 24; Cusip: 1730T3AZ6
• 0% buffered digital plus securities due Nov. 30, 2021 linked to the Dow Jones industrial average; via Citigroup Global Markets Inc.; pricing Nov. 24; Cusip: 17323P553
• 0% buffer securities due Nov. 30, 2020 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Nov. 24; Cusip: 17298C4C9
• 0% market-linked notes due Aug. 31, 2022 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Nov. 24; Cusip: 17298C4A3
• 0% barrier digital plus securities due November 2019 linked to the Russell 2000 index; via Citigroup Global Markets Inc.; pricing Nov. 24; Cusip: 17298C4J4
• 0% trigger return optimization securities due Nov. 30, 2018 linked to the Russell 2000 index; via Citigroup Global Markets Inc. and UBS Financial Services Inc.; pricing Nov. 24; Cusip: 17323P405
• Annual reset coupon securities due Nov. 30, 2021 linked to the Russell 2000 index; via Citigroup Global Markets Inc.; pricing Nov. 24; Cusip: 17298C3V8
• 0% market-linked notes due Nov. 30, 2022 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Nov. 24; Cusip: 17298C4B1
• 0.25% market-linked notes due May 27, 2021 linked to a basket containing S&P 500 index, the Euro Stoxx 50 index and the iShares Core U.S. Aggregate Bond ETF; via Citigroup Global Markets Inc.; pricing Nov. 24; Cusip: 17298C3Z9
• 0% buffered Performance Leveraged Upside Securities due Dec. 5, 2018 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Nov. 30; Cusip: 17323P306
CREDIT SUISSE AG
• 8.5%-10.5% autocallable reverse convertible securities due Nov. 16, 2016 linked to the class A common stock of GameStop Corp.; via Credit Suisse Securities (USA) LLC; pricing Nov. 10; Cusip: 22546VPZ3
• 9%-11% autocallable reverse convertible securities due Nov. 16, 2016 linked to the class A common stock of Skechers U.S.A., Inc.; via Credit Suisse Securities (USA) LLC; pricing Nov. 10; Cusip: 22546VQ25
• Contingent coupon callable yield notes due Nov. 13, 2020 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 10; Cusip 22546VQ33
• Trigger phoenix autocallable optimization securities due Nov. 19, 2018 linked to the least performing of the S&P 500 index and the Euro Stoxx 50 index; via UBS Financial Services Inc.; pricing Nov. 13; Cusip 22548F885
• 8%-10% autocallable reverse convertible securities due Nov. 21, 2016 linked to the common stock of Palo Alto Networks, Inc.; via Credit Suisse Securities (USA) LLC; pricing Nov. 17; Cusip: 22546VQ90
• 8%-10% autocallable reverse convertible securities due Nov. 21, 2016 linked to the class A common stock of Under Armour, Inc.; via Credit Suisse Securities (USA) LLC; pricing Nov. 17; Cusip: 22546VQ74
• 0% CS notes due Nov. 28, 2023 linked to the CS Retiree Consumer Expenditure 5% Blended Index Excess Return; via Credit Suisse Securities (USA) LLC; pricing Nov. 20; Cusip: 22546VPR1
• 0% digital buffered notes due Nov. 28, 2017 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 20; Cusip: 22546VPS9
• 0% digital barrier notes due May 2, 2017 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 20; Cusip: 22546VPU4
• 7.25% to 7.75% contingent coupon callable yield notes due Nov. 30, 2018 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 20; Cusip 22546VPX8
• 0% digital plus barrier notes due Nov. 30, 2021 linked to the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip: 22546VPV2
• 0% trigger performance securities due Nov. 30, 2020 linked to the S&P 500 index; via UBS Financial Services Inc.; pricing Nov. 23; Cusip: 22548F802
• 1.5% market-linked notes due Nov. 28, 2025 linked to the CS Retiree Consumer Expenditure 5% Blended Index Excess Return,; via UBS Financial Services Inc.; pricing Nov. 24; Cusip: 22546VPQ3
• 0% CS notes due Nov. 29, 2022, linked to the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 24; Cusip: 22546VPG5
• 0% contingent return optimization securities due Nov. 30, 2017 linked to the Russell 2000 index; via UBS Financial Services Inc.; pricing Nov. 24; Cusip: 22548F836
• Contingent coupon callable yield notes due Nov. 28, 2025 linked to the Russell 2000 index; via Incapital LLC; pricing Nov. 24; Cusip: 22546VQ58
• Callable daily range accrual securities due Nov. 29, 2030 linked to the S&P 500 index; via Incapital LLC; pricing Nov. 24; Cusip: 22546VQ66
• 0% digital plus barrier notes due Nov. 30, 2020 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 24; Cusip: 22546VPE0
• 6% to 6.25% trigger contingent coupon optimization securities due Nov. 28, 2025 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC and UBS Financial Services Inc.; pricing Nov. 24; Cusip 22548F877
• Autocallable securities due Nov. 30, 2017 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 24; Cusip: 22546VP75
• 0% absolute return barrier securities due Nov. 30, 2020 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 24; Cusip: 22546VP83
• 0% absolute return barrier securities due Nov. 30, 2020 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 24; Cusip: 22546VP91
• 0% digital buffered notes due May 27, 2019 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 25; Cusip: 22546VPF7
• 0% absolute return barrier securities due Dec. 4, 2019 linked to the Russell 2000 index and the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22546VPA8
• 0% buffered return equity securities due June 1, 2018 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22546VPJ9
• 0% digital plus barrier notes due Dec. 5, 2019 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22546VPH3
• High/low coupon callable yield notes due June 5, 2017 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22546VPK6
• 0% absolute return barrier securities due Dec. 3, 2020 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22546VPL4
• 0% Accelerated Return Notes due January 2017 linked to a basket of indexes; via Credit Suisse International and Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November
DEUTSCHE BANK AG, LONDON BRANCH
• 0% trigger performance securities due Nov. 28, 2025 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Nov. 25; Cusip: 25190F426
• 0% buffered digital notes linked to the S&P 500 index due in 24 to 27 months; 85% trigger; via Deutsche Bank Securities Inc.; Cusip: 25152RR54
GOLDMAN SACHS GROUP, INC.
• 0% Performance Leveraged Upside Securities due Feb. 16, 2017 linked to the iShares MSCI Emerging Markets exchange-traded fund; via Goldman Sachs & Co.; pricing Nov. 13; Cusip: 38148X548
• 0% index-linked notes due Nov. 28, 2023 tied to the GS Momentum Builder Multi-Asset 5 ER index; via Goldman Sachs & Co.; pricing Nov. 20; Cusip: 38148TH44
• 0% notes due Nov. 30, 2021 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 20; Cusip: 38148TH36
• 0% index-linked notes due Nov. 29, 2023 linked to the Dow Jones industrial average; via Goldman Sachs & Co.; pricing Nov. 23; Cusip: 38148TGZ6
| • Callable monthly Russell 2000 index-linked range accrual notes due Nov. 27, 2025; via Goldman, Sachs & Co.; pricing Nov. 23; Cusip: | 38148THQ5
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| • Callable monthly Russell 2000 index-linked range accrual notes due Nov. 27, 2025; via Goldman, Sachs & Co.; pricing Nov. 23; Cusip: 38148THP7
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| • 0% buffered notes due Nov. 27, 2020 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 23; Cusip: 38148THD4
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| • Autocallable contingent coupon index-linked notes due Dec. 9, 2025 linked to the S&P 500 index and the Russell 2000 index; via Goldman, Sachs & Co.; pricing Nov. 23; Cusip: 38148THJ1
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| •0% index-linked notes due Dec. 9, 2022 tied to the GS Momentum Builder Multi-Asset 5 ER index; via Goldman Sachs & Co.; pricing Nov 24; Cusip: 38148TGU7
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| •0% index-linked notes due May 30, 2023 tied to the GS Momentum Builder Multi-Asset 5 ER index; via Goldman Sachs & Co.; pricing Nov 24; Cusip: 38148TGS2
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| •0% index-linked notes due Nov. 28, 2025 tied to the GS Momentum Builder Multi-Asset 5 ER index; via Goldman Sachs & Co.; pricing Nov 24; Cusip: 38148TGT0
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| • Callable CMS spread and Russell 2000 index-linked range accrual notes due 2030; via Goldman Sachs & Co.; pricing Nov. 24; Cusip: 38148THY8
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| • 0% return optimization securities due Dec. 30, 2016 linked to the Russell 2000 index; via Goldman, Sachs & Co.; pricing Nov. 24; Cusip: 38148X506
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| • 0% trigger return optimization securities due Nov. 30, 2018 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 24; Cusip: 38148X514
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| • 0% trigger step performance securities due Nov. 29, 2019 linked to S&P 500 index; via Goldman, Sachs & Co.; pricing Nov. 24; Cusip: 38148X522
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| • 0% leveraged buffered notes due Nov. 30, 2020 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 24; Cusip: 38148THE2
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| • 0% digital notes due Nov. 28, 2018 linked to the Russell 2000 index; via Goldman Sachs & Co.; pricing Nov. 25; Cusip: 38148THR3
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| • Callable step-up fixed-rate notes due November 2020; via Goldman Sachs & Co. and Incapital LLC; pricing in November; Cusip: 38148TH51
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| • Callable step-up fixed-rate notes due November 2023; via Goldman Sachs & Co. and Incapital LLC; pricing in November; Cusip: 38148THB8
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| • Callable step-up fixed-rate notes due November 2027; via Goldman Sachs & Co.; pricing in November; Cusip: 38148TGQ6
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| • Callable step-up fixed-rate notes due November 2030; via Goldman Sachs & Co. and Incapital LLC; pricing in November; Cusip: 38148TH69
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| • Callable step-up fixed-rate notes due November 2035; via Goldman Sachs & Co.; pricing in November; Cusip: 38148TH85
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| • Fixed-to-floating-rate notes due November 2025 linked to the 10-year Constant Maturity Swap rate; via Goldman Sachs & Co.; pricing in November; Cusip: 38148THX0
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| • Fixed-to-floating-rate notes due November 2026 linked to the 10-year Constant Maturity Swap rate; via Goldman Sachs & Co.; pricing in November; Cusip: 38148TGX1
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| • 0% digital notes due Dec. 30, 2016, linked to the Euro Stoxx 50 index; via Goldman Sachs & Co.
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| • Five-year 0% leveraged buffered notes linked to the Euro Stoxx 50 index; via Goldman Sachs & Co.; Cusip: 38148TEL9
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| • 0% leveraged buffered notes linked to the Euro Stoxx 50 index; via Goldman Sachs & Co.; Cusip: 38148THV4
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| • 0% leveraged notes linked to the Euro Stoxx 50 index; via Goldman Sachs & Co.; Cusip: 38148THW2
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| • 0% digital notes due Dec. 30, 2016, linked to the iShares MSCI Emerging Markets exchange-traded fund; via Goldman Sachs & Co.
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| • 13-month 0% leveraged buffered notes linked to the Russell 2000 index; via Goldman Sachs & Co.; Cusip: 38148TC98
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| • 0% digital notes due Dec. 30, 2016, linked to the Russell 2000 index; via Goldman Sachs & Co.
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| • 0% digital notes due Dec. 30, 2016 linked to the S&P 500 index; via Goldman Sachs & Co.
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| • 24- to 27-month 0% leveraged notes linked to the S&P 500 index; via Goldman Sachs & Co.
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| • Five-year 0% leveraged buffered notes linked to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 38148TEJ4
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| • 0% digital notes linked to the S&P 500 index; via Goldman Sachs & Co.
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| • 0% leveraged buffered notes linked to the S&P 500 index; via Goldman Sachs & Co.
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| • 84-month 0% leveraged buffered notes linked to the S&P 500 index and the iShares MSCI EAFE exchange-traded fund; via Goldman Sachs & Co.; Cusip: 38148TFB0
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| • 0% 36-month leveraged buffered notes linked to the SPDR S&P Oil & Gas Exploration & Production exchange-traded fund; 80% trigger; via Goldman Sachs & Co.; Cusip: 38148TGF0
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| • 0% Topix-linked notes; via Goldman Sachs & Co.
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| HSBC USA INC.
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| • 0% buffered market participation securities due Nov. 16, 2018 linked to the iShares MSCI ACWI exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 10; Cusip: 40433UCA2
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| • 0% buffered performance plus securities due Nov. 16, 2020 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 10; Cusip: 40433UBY1
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| • 0% trigger autocallable optimization securities due Nov. 19, 2020 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc. and UBS Financial Services Inc.; pricing Nov. 13; Cusip: 40434K529
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| • 0% trigger autocallable optimization securities due Nov. 19, 2020 linked to the Russell 2000 index; via HSBC Securities (USA) Inc. and UBS Financial Services Inc.; pricing Nov. 13; Cusip: 40434K511
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| • 0% barrier Accelerated Market Participation Securities due May 30, 2019 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40433UCB0
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| • 0% barrier enhanced participation notes due Nov. 30, 2021 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40433UCE4
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| • 0% barrier Accelerated Market Participation Securities due May 30, 2019 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40433UBZ8
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| • 0% autocallable notes with contingent return due Dec. 2, 2019 linked to the S&P 500 index and the SPDR S&P Oil & Gas Exploration and Production exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40433UCD6
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| • 0% buffered Accelerated Market Participation Securities due Nov. 30, 2017 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 24; Cusip: 40433UCW4
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| • 0% buffered Accelerated Market Participation Securities due May 30, 2018 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 24; Cusip: 40433UCZ7
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| • 0% barrier market participation securities due Nov. 30, 2018 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 24; Cusip: 40433UCT1
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| • 0% leveraged buffered uncapped market participation securities due June 1, 2020 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 24; Cusip: 40433UAY2
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| • 0% buffered Accelerated Market Participation Securities due May 30, 2018 linked to the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 24; Cusip: 40433UCC8
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| • 0% buffered uncapped market participation securities due Nov. 30, 2018 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 24; Cusip: 40433UCL8
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| • 0% leveraged buffered uncapped market participation securities due Nov. 30, 2020 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 24; Cusip: 40433UCQ7
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| • 0% buffered Accelerated Market Participation Securities due Nov. 30, 2017 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 24; Cusip: 40433UCV6
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| • 0% buffered Accelerated Market Participation Securities due May 30, 2018 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 24; Cusip: 40433UCY0
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| • 0% barrier market participation securities due Nov. 30, 2018 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 24; Cusip: 40433UCS3
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| • 0% buffered uncapped market participation securities due Nov. 30, 2020 linked to a basket containing the Russell 2000 index, the S&P 500 index and the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC and Wells Fargo Securities, LLC; pricing Nov. 24; Cusip: 40433UDB9
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| • 0% return optimization securities due Dec. 30, 2016 linked to the S&P 500 index; via UBS Financial Services Inc. and Barclays; pricing Nov. 24; Cusip: 06743Q150
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| • 0% digital dual directional notes due Nov. 30, 2020 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 24; Cusip: 40433UCJ3
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|
| • Contingent return optimization securities due Nov. 30, 2017 linked to the S&P 500 index; 80% trigger; via HSBC Securities (USA) Inc.; pricing Nov. 24; Cusip: 40434K578
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|
| • 0% buffered Accelerated Market Participation Securities due Nov. 30, 2017 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 24; Cusip: 40433UCU8
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| • 0% buffered Accelerated Market Participation Securities due May 30, 2018 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 24; Cusip: 40433UCX2
|
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| • 0% barrier market participation securities due Nov. 30, 2018 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 24; Cusip: 40433UCR5
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|
| • 0% buffered uncapped market participation securities due Dec. 2, 2019 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 24; Cusip: 40433UCK0
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|
| • 0% trigger performance securities due Nov. 30, 2020 linked to the S&P 500 index; via HSBC Securities (USA) Inc. and UBS Financial Services Inc.; pricing Nov. 24; Cusip: 40434K594
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|
| • 0% buffered uncapped market participation securities due Nov. 30, 2020 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 24; Cusip: 40433UCM6
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| • Autocallable yield notes due Feb. 24, 2017 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 24; Cusip: 40433UCG9
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| • Autocallable yield notes due March 1, 2017 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 24; Cusip: 40433UCH7
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|
| • 0% trigger performance securities due Nov. 30, 2020 linked to the Vanguard FTSE Emerging Markets exchange-traded fund; via Barclays Capital Inc. and UBS Financial Services Inc.; pricing Nov. 24; Cusip: 06743Q143
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| • 0% trigger performance securities due Nov. 30, 2020 linked to the Euro Stoxx 50 index; 75% trigger; via HSBC Securities (USA) Inc. and UBS Financial Services Inc.; pricing Nov. 25; Cusip: 40434K586
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|
| • 0% buffered Performance Leveraged Upside Securities due Dec. 5, 2018 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40434K560
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| • 0% dual directional trigger Performance Leveraged Upside Securities due Dec. 3, 2021 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40434K552
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|
| • Market-linked step-up notes due December 2017 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in November
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| • 0% Leveraged Index Return Notes due November 2020 tied to the MSCI Emerging Markets index; via BofA Merrill Lynch; pricing in November
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|
| • Autocallable market-linked step-up notes due November 2018 linked to the S&P 500 index; via Merrill Lynch & Co.; pricing in November
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| • 0% Strategic Accelerated Redemption Securities due December 2016 linked to the S&P 500 index; via Merrill Lynch & Co.; pricing in November
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| • 0% Accelerated Return Notes due November 2018 linked to the S&P Oil & Gas Exploration & Production Select Industry index; via BofA Merrill Lynch; pricing in November
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| JPMORGAN CHASE & CO.
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| • 0% enhanced participation notes due May 15, 2017 linked the Euro Stoxx 50, FTSE 100, Topix, Swiss Market and S&P/ASX 200 indexes; via J.P. Morgan Securities LLC; pricing Nov. 10; Cusip: 48128GCH1
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| • 0% Performance Leveraged Upside Securities due Feb. 16, 2017 linked to the S&P 500 index; via J.P. Morgan Securities LLC with Morgan Stanley Wealth Management; pricing Nov. 13; Cusip: 48127Y433
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|
| • 8.5%-10.5% autocallable reverse exchangeable notes due Nov. 21, 2016 linked to the class A common stock of VMware, Inc.; via J.P. Morgan Securities LLC; pricing Nov. 13; Cusip: 46625HPA2
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| • Callable step-up fixed-rate notes due Nov. 25, 2025; via J.P. Morgan Securities LLC; pricing Nov. 20; Cusip: 48125U2C5
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| • Callable step-up fixed-rate notes due Nov. 25, 2028; via J.P. Morgan Securities LLC; pricing Nov. 20; Cusip: 48125U2F8
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| • Callable step-up fixed-rate notes due Nov. 25, 2030; via J.P. Morgan Securities LLC; pricing Nov. 20; Cusip: 48125U2B7
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| • Callable step-up fixed-rate notes due Nov. 25, 2035; via J.P. Morgan Securities LLC; pricing Nov. 20; Cusip: 48125U2D3
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|
| • 0% review notes due Nov. 25, 2019 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 20; Cusip: 48128GCC2
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| • 0% capped buffered return enhanced notes due Nov. 30, 2017 linked to the iShares MSCI EAFE exchange-traded fund; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48128GBT6
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|
| • 0% capped buffered return enhanced notes due Nov. 30, 2017 linked to the iShares MSCI Emerging Markets exchange-traded fund; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48128GBU3
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|
| • 0% capped buffered return enhanced notes due Nov. 30, 2017 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48128GBW9
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| • 0% uncapped buffered return enhanced notes due Nov. 29, 2019 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48128GCD0
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| • 0% capped buffered return enhanced notes due Nov. 30, 2017 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48128GBS8
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| • Autocallable contingent interest notes due March 1, 2017 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48128GBQ2
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| • Autocallable contingent interest notes due March 1, 2017 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48128GBR0
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|
| • 0% capped buffered return enhanced notes due Nov. 30, 2017 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48128GBV1
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| • 0% uncapped buffered return enhanced notes due Nov. 29, 2019 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48128GCE8
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| • 0% capped dual directional contingent buffered return enhanced notes due Nov. 29, 2019 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48128GBX7
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|
| • 7% to 9% autocallable yield notes due Dec. 1, 2016 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48128GBN9
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|
| • 0% trigger performance securities due Nov. 30, 2020 linked to the Vanguard FTSE Emerging Markets exchange-traded fund; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Nov. 24; Cusip: 48127Y441
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| MORGAN STANLEY
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| • Contingent income auto-callable securities due Nov. 21, 2016 linked to the common stock of Apple Inc.; via Morgan Stanley & Co. LLC; pricing Nov. 13; Cusip: 61765U191
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| • 0% trigger Performance Leveraged Upside Securities due May 18, 2017 tied to the Energy Select Sector SPDR Fund; via Morgan Stanley & Co. LLC; pricing Nov. 13; Cusip: 61765U126
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| • 0% trigger Performance Leveraged Upside Securities due Nov. 16, 2018 tied to the iShares MSCI Japan Index Fund; via Morgan Stanley & Co. LLC; pricing Nov. 13; Cusip: 61765U134
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| • Callable contingent income securities due Nov. 18, 2025 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 13; Cusip: 61761JQ44
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|
|
| • 0% trigger performance securities due Nov. 30, 2020 linked to the Russell 2000 index; 65% trigger; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Nov. 24; Cusip: 61765R859
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| • 0% trigger performance securities due Nov. 30, 2020 linked to the S&P 500 index; 75% trigger; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Nov. 24; Cusip: 61765R883
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| • 0% trigger performance securities due Nov. 28, 2025 linked to the S&P 500 index; 50% trigger; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Nov. 24; Cusip: 61765R867
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|
| • 0% trigger performance securities due Nov. 30, 2020 linked to the Euro Stoxx 50 index; 65% trigger; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Nov. 25; Cusip: 61765R875
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|
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| • Leveraged CMS curve securities due Nov. 30, 2030 linked to the worst performing of the Russell 2000 index and the S&P 500 index; via Morgan Stanley & Co. LLC; settling Nov. 30; Cusip: 61760QJC9
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| • Leveraged CMS curve securities due Nov. 30, 2030 linked to the worst performing of the Russell 2000 index and the S&P 500 index; via Morgan Stanley & Co. LLC; settling Nov. 30; Cusip: 61760QJB1
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| • CMS curve range accrual securities due Nov. 30, 2035 linked to the worst performing of the Russell 2000 index and the S&P 500 index; via Morgan Stanley & Co. LLC; settling Nov. 30; Cusip: 61760QJD7
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| • 0% leveraged upside capped and fixed percentage buffered downside securities due June 3, 2020 tied to a basket containing SPDR S&P 500 ETF Trust, iShares Russell 2000 ETF, iShares MSCI EAFE ETF, iShares MSCI Emerging Markets ETF, PowerShares DB Commodity Index Tracking Fund and Vanguard REIT ETF; via Morgan Stanley & Co. LLC and Wells Fargo Securities, LLC; pricing Nov. 30; Cusip 61761JN88
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|
| • Fixed-to-floating notes due Nov. 10, 2025 linked to the 10-year Constant Maturity Swap rate; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61760QHZ0
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| • Fixed-to-floating rate notes due Nov. 25, 2025 linked to the 10-year Constant Maturity Swap rate; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61760QJA3
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|
| • 0% buffered Performance Leveraged Upside Securities due November 2020 linked to a basket consisting of the S&P 500 and Russell 2000 indexes; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61761JQ28
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| ROYAL BANK OF CANADA
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| • Redeemable step-up notes due Nov. 18, 2025; via RBC Capital Markets, LLC; pricing Nov. 13; Cusip: 78012KHC4
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| • 0% direct investment notes due Dec. 7, 2016 linked to the November 2015 RBC Capital Markets U.S. equity top picks list consisting of Air Lease Corp., Amphenol Corp., Aramark, Boston Properties, Inc., Brookdale Senior Living Inc., CBS Corp., Discover Financial Services, Endo International plc, LyondellBasell Industries NV, Marathon Petroleum Corp., PNC Financial Services Group. Inc., Raytheon Co., Reynolds American Inc., Ryder System, Inc., ServiceNow, Inc., Voya Financial, Inc., WebMD Health Corp., Whirlpool Corp. and Yum! Brands, Inc.; via RBC Capital Markets, LLC; pricing Nov. 24; Cusip: 78012KHV2
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| • 0% bullish enhanced return notes due Jan. 31, 2017 linked to the S&P 500 index; via RBC Capital Markets, LLC; pricing Nov. 24; Cusip: 78012KJF5
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|
|
| • Direct investment notes due Dec. 7, 2016 linked to the November 2015 RBC Capital Markets U.S. Equity Top Picks List; via RBC Capital Markets, LLC; pricing Nov. 24; Cusip: 78012KHV2
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|
| • 0% bullish barrier enhanced return notes due Nov. 30, 2018 linked to the S&P 500 index; via RBC Capital Markets, LLC; pricing Nov. 24; Cusip: 78012KJG3
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|
| • 0% market-linked securities with leveraged upside participation to a cap and fixed percentage buffered downside due June 1, 2021 linked to the S&P 500 index; via Wells Fargo Securities LLC; pricing Nov. 24; Cusip: 78012KJE8
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|
|
| • 0% contingent return optimization securities due Nov. 30, 2017 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Nov. 25; Cusip: 78013C153
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|
|
| • 0% direct investment notes due Jan. 10, 2017 linked to the EquityCompass Equity Risk Management Strategy; via RBC Capital Markets, LLC; pricing Dec. 3; Cusip: 78012KJL2
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|
|
| • 25- to 28-month 0% leveraged buffered notes linked to the S&P 500 index; via RBC Capital Markets, LLC; Cusip: 78012KJJ7
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| TORONTO-DOMINION BANK
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|
|
| • 0% capped leveraged upside participation and fixed-percentage buffered downside market-linked securities due Nov 30, 2018 linked to the iShares MSCI Emerging Markets exchange-traded fund; via TD Securities (USA) LLC and Wells Fargo Securities, LLC; pricing Nov. 24; Cusip: 89114QTZ1
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| UBS AG, LONDON BRANCH
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|
| • Contingent income autocallable securities due Nov. 21, 2022 linked to the worst performing of the Euro Stoxx 50 index, the Nikkei 225 index and the Russell 2000 index; via UBS Securities LLC and Morgan Stanley Smith Barney LLC; pricing Nov. 16; Cusip: 90275G657
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|
| • 0% trigger performance securities due Nov. 30, 2020 linked to the Energy Select Sector SPDR Fund; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 24; Cusip: 90275G624
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|
|
| • 0% return optimization securities due Dec. 30, 2016 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 25; Cusip: 90275G590
|
|
|
| • 0% trigger return optimization securities due Nov. 30, 2018 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 25; Cusip: 90275G608
|
|
|
| • 0% trigger performance securities due Nov. 30, 2020 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 25; Cusip: 90275G616
|
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| WELLS FARGO & CO.
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|
|
| • 0% market-linked upside participation and contingent downside securities due May 12, 2017 linked to the S&P 500 index; via Wells Fargo Securities LLC; pricing Nov. 9; Cusip: 94986RA27
|
|
|
| • Access securities with contingent coupon and contingent downside due Nov. 29, 2021 linked to the Russell 2000 index; via Wells Fargo Securities, LLC; pricing Nov. 20; Cusip: 94986RZV6
|
|
|
| • 0% market-linked upside participation and contingent downside securities due Nov. 30, 2020 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing Nov. 24; Cusip: 94986RZX2
|
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