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Structured Products Calendar
BANK OF AMERICA CORP.
• 10% STEP Income Securities due December 2016 linked to the common stock of D.R. Horton, Inc.; via BofA Merrill Lynch; pricing in December
• 0% Accelerated Return Notes due February 2017 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in December
• Autocallable coupon-bearing notes due January 2017 linked to the common stock of Intel Corp.; via BofA Merrill Lynch; pricing in December
• 14-month 0% Accelerated Return Notes due February 2017 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in December
BANK OF MONTREAL
• 0% buffered bullish enhanced return notes due March 31, 2017 linked to the iShares MSCI EAFE exchange-traded fund; via BMO Capital Markets Corp.; pricing Dec. 23; Cusip: 06366R5U5
• 0% contingent risk absolute return notes due Dec. 29, 2017 linked to the iShares MSCI EAFE exchange-traded fund; via BMO Capital Markets Corp.; pricing Dec. 23; Cusip: 06366R5X9
• 0% buffered bullish enhanced return notes due March 31, 2017 linked to the iShares MSCI Emerging Markets exchange-traded fund; via BMO Capital Markets Corp.; pricing Dec. 23; Cusip: 06366R5V3
• 0% contingent risk absolute return notes due Dec. 29, 2017 linked to the iShares MSCI Emerging Markets exchange-traded fund; via BMO Capital Markets Corp.; pricing Dec. 23; Cusip: 06366R5Y7
• 0% buffered bullish enhanced return notes due March 31, 2017 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Dec. 23; Cusip: 06366R5T8
• 0% contingent risk absolute return notes due Dec. 29, 2017 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Dec. 23; Cusip: 06366R5W1
• 0% buffered bullish enhanced return notes due Dec. 29, 2017 linked to the Energy Select Sector SPDR fund; via BMO Capital Markets Corp.; pricing Dec. 28; Cusip: 06366R5H4
• 0% buffered bullish enhanced return notes due Dec. 31, 2020 linked to the iShares MSCI EAFE exchange-traded fund; via BMO Capital Markets Corp.; pricing Dec. 28; Cusip: 06366R5R2
• 0% buffered bullish enhanced return notes due Dec. 29, 2017 linked to the Russell 2000 index; via BMO Capital Markets Corp.; pricing Dec. 28; Cusip: 06366R5S0
• 0% bullish digital return Notes due Dec. 29, 2017 linked to SPDR S&P Oil & Gas Exploration and Production exchange-traded fund; via BMO Capital Markets Corp.; pricing Dec. 28; Cusip: 06366R5Q4
• 0% buffered bullish enhanced return notes due Dec. 29, 2017 linked to the SPDR S&P Oil & Gas Exploration & Production exchange-traded fund; via BMO Capital Markets Corp.; pricing Dec. 28; Cusip: 06366R5G6
BANK OF NOVA SCOTIA
• Callable step-up rate notes due Dec. 29, 2025; Scotia Capital (USA) Inc.; pricing Dec. 22; Cusip: 064159HA7
• 0% market-linked securities with leveraged upside participation to a cap and fixed percentage buffered downside due July 5, 2019 linked to the Euro Stoxx 50 index; via Scotia Capital (USA) Inc. and Wells Fargo Securities LLC; pricing Dec. 30; Cusip: 064159GZ3
• 0% market-linked step-up notes due December 2017 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in December
BARCLAYS BANK PLC
• 8.5% callable contingent coupon notes due Jan. 2, 2018 linked to the least performing of the Euro Stoxx 50 index, the iShares MSCI EAFE exchange-traded fund and the Russell 2000 index,; via Barclays; pricing Dec. 23; Cusip: 06741UY81
• 8.5% callable contingent coupon notes due Dec. 30, 2021 linked to the lesser performing of the Dow Jones Industrial Average and the Euro Stoxx 50 index; via Barclays; pricing Dec. 28; Cusip: 06741UY57
• Buffered SuperTrack notes due June 28, 2019 linked to the lesser-performing index of the Dow Jones industrial average and the Russell 2000 index; via Barclays; pricing Dec. 28; Cusip: 06741UX33
• Annual reset coupon buffered notes due Dec. 31, 2021 linked to the Russell 2000 index; via Barclays; pricing Dec. 28; Cusip: 06741UW91
• Callable contingent coupon notes due Dec. 31, 2025 linked to the lesser performing index of the Russell 2000 index and the Euro Stoxx 50 index; via Barclays; pricing Dec. 28; Cusip: 06741UX58
• 0% return optimization securities due Jan. 31, 2017 linked to the S&P 500 index; via UBS Financial Services Inc. and Barclays; pricing Dec. 28; Cusip: 06743T675
• 0% trigger performance securities due Dec. 31, 2021 linked to the S&P 500 index; via UBS Financial Services Inc. and Barclays; pricing Dec. 28; Cusip: 06743T568
• Phoenix autocallable notes due Dec. 30, 2022 linked to the worse performing of the S&P 500 index and the Russell 2000 index; 60% trigger; via Barclays; pricing Dec. 28; Cusip: 06741UX66
• Phoenix autocallable notes due Dec. 31, 2025 linked to the worse performing of the S&P 500 index and the Russell 2000 index; 65% trigger; via Barclays; pricing Dec. 28; Cusip: 06741UX74
• 0% Performance Leveraged Upside Securities due April 4, 2017 linked to the Euro Stoxx 50 index; via Barclays and Morgan Stanley Wealth Management; pricing Dec. 30; Cusip: 06743T469
• 0% autocallable market-linked step-up notes due December 2018 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in December
• 0% Accelerated Return Notes due December 2017 linked to the S&P Oil & Gas Exploration & Production Select Industry index; via BofA Merrill Lynch; pricing in December
• 0% notes due Jan. 9, 2019 linked to the EquityCompass Share Buyback index; via Barclays; pricing Jan. 5; Cusip; 06741UY73
• 0% autocallable market-linked step-up notes due December 2018 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in December
• 17- to 20-month 0% capped leveraged buffered notes linked to the Euro Stoxx 50 index; via Barclays; Cusip: 06741UY40
• 16- to 19-month 0% capped leveraged notes linked to the Euro Stoxx 50, FTSE 100, Topix, Swiss Market and S&P/ASX 200 indexes; via Barclays; Cusip: 06741UY24
• 18- to 21-month 0% capped leveraged notes linked to the Euro Stoxx 50, FTSE 100, Topix, Swiss Market and S&P/ASX 200 indexes; via Barclays; Cusip: 06741UZ31
• 24- to 27-month 0% capped leveraged buffered notes linked to the Euro Stoxx 50, FTSE 100, Topix index, Swiss Market and S&P/ASX 200 indexes; via Barclays; Cusip: 06741UX82
• 0% capped leveraged buffered notes linked to the Euro Stoxx 50, FTSE 100, Topix index, Swiss Market and S&P/ASX 200 indexes; via Barclays; Cusip: 06741UZ49
CANADIAN IMPERIAL BANK OF COMMERCE
• 0% market-linked securities with leverage upside participation to a cap and fixed percentage downside due July 5, 2018 linked to the Russell 2000 index; via Wells Fargo Securities, LLC; pricing Dec. 30; Cusip: 13605WBA8
• 0% market-linked step-up notes due December 2020 tied to the Dow Jones industrial average; via BofA Merrill Lynch; pricing in December
• 0% Leveraged Index Return Notes due December 2021 tied to the Dow Jones industrial average; via BofA Merrill Lynch; pricing in December
• Leveraged Index Return Notes due December 2017 tied to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in December
• 0% two-year market-linked step-up notes linked to the S&P 500 index; via BofA Merrill Lynch.; pricing in December
CITIGROUP INC.
• 0% buffer securities due Dec. 28, 2020 linked to the Dow Jones industrial average; via Citigroup Global Markets Inc.; pricing Dec. 22; Cusip: 17298C4P0
• Callable step-up coupon notes due Dec. 29, 2020 with 2% initial rate; via Citigroup Global Markets Inc.; pricing Dec. 23; Cusip: US17298C5A27
• Callable step-up coupon notes due Dec. 29, 2040 with 4% initial rate; via Citigroup Global Markets Inc.; pricing Dec. 23; Cusip: 17298C5B0
• 0% market-linked notes due June 25, 2021 linked to the S&P 500 index, the Euro Stoxx 50 index and the iShares Core U.S. Aggregate Bond ETF; via Citigroup Global Markets Inc.; pricing Dec. 22; Cusip: 17298C4Z8
• 0% market-linked notes due Jan. 5, 2023 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Dec. 28; Cusip: 17298C4W5
• 0% buffer securities due Dec. 31, 2020 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Dec. 28; Cusip: 17298C4V7
• 0% trigger performance securities due Dec. 31, 2020 linked to the iShares MSCI EAFE exchange-traded fund; via Citigroup Global Markets Inc. and UBS Financial Services Inc.; pricing Dec. 28; Cusip: 17323P223
• 0% trigger return optimization securities due Dec. 31, 2018 linked to the S&P 500 index; 80% trigger; via Citigroup Global Markets Inc. and UBS Financial Services Inc.; pricing Dec. 28; Cusip: 17323P264
• 0% trigger step performance securities due Dec. 31, 2019 linked to the S&P 500 index; via Citigroup Global Markets Inc. and UBS Financial Services Inc.; pricing Dec. 28; Cusip: 17323P330
• 0% Performance Leveraged Upside Securities due April 2017 linked to the Energy Select Sector SPDR fund; via Citigroup Global Markets Inc.; pricing Dec. 30; Cusip: 17323P769
• 0% buffered Performance Leveraged Upside Securities due Jan. 4, 2019 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Dec. 30; Cusip: 17323P470
• 0% market-linked notes with leveraged upside participation to a cap and fixed percentage buffered downside due July 2018 linked to the MSCI EAFE exchange-traded fund; via Citigroup Global Markets Inc. and Wells Fargo Securities; pricing Dec. 30; Cusip: 17298C4U9
• 0% upturn securities due January 2017 linked to the Alerian MLP exchange-traded fund; via Citigroup Global Markets Inc.; pricing in December; Cusip: 17298C5H7
• 0% buffered notes linked to the MSCI EAFE index; via Citigroup Global Markets Inc.; pricing in December: Cusip: 17298C4T2
• 0% market-linked notes due July 2023 linked to the S&P 500 index; via Citigroup Global Markets Inc. and Morgan Stanley Wealth Management; pricing in December; Cusip: 17323P496
CREDIT SUISSE AG, LONDON BRANCH
• 0% digital buffered notes due Dec. 28, 2017 linked to the Russell 2000 index and the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 22; Cusip: 22546VSJ6
• 7.35% autocallable yield notes due June 29, 2017 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 23; Cusip: 22546VSG2
• Contingent coupon callable yield notes due Dec. 29, 2020 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 23; Cusip: 22546VSN7
• Callable daily range accrual notes due Dec. 30, 2030 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 24; Cusip: 22546VSA5
• 5% autocallable reverse convertible securities due Dec. 28, 2016 linked to General Electric Co. common stock; via Credit Suisse Securities (USA) LLC; pricing Dec. 28; Cusip: 22546VSQ0
• 0% trigger performance securities due Dec. 31, 2020 linked to the iShares MSCI EAFE exchange-traded fund; via UBS Financial Services Inc.; pricing Dec. 28; Cusip: 22548J168
• 0% trigger performance securities due Dec. 31, 2020 linked to the Russell 2000 index; 75% trigger; via Incapital LLC; pricing Dec. 28; Cusip: 22548J184
• Callable daily range accrual securities due June 30, 2023 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 28; Cusip: 22546VS49
•0% autocallable securities due Dec. 29, 2017 linked to the Russell 2000 index and the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 28; Cusip: 22546VR99
• 0% absolute return barrier securities due Dec. 31, 2020 linked to the Russell 2000 index and the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 28; Cusip: 22546VRD0
• 0% accelerated barrier notes due Dec. 31, 2020 linked to the Russell 2000 index and the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 28; Cusip: 22546VRC2
• 0% trigger performance securities due Dec. 31, 2020 linked to the S&P 500 index; via UBS Financial Services Inc.; pricing Dec. 28; Cusip: 22548J150
• 0% digital plus barrier notes due Dec. 31, 2020 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 28; Cusip: 22546VRE8
• 0% trigger performance securities due Dec. 31, 2020 linked to the S&P 500 index; via UBS Financial Services Inc.; pricing Dec. 28; Cusip: 22548J192
• 0% trigger step performance securities due Dec. 31, 2019 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc.; pricing Dec. 29; Cusip: 22548J176
• 0% trigger step performance securities due Dec. 31, 2019 linked to the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC and UBS Financial Services Inc.; pricing Dec. 29; Cusip: 22548J200
• Trigger phoenix autocallable optimization securities due Jan. 5, 2026 linked to the lesser performing of the Euro Stoxx 50 index and the S&P 500 index; via UBS Financial Services Inc.; pricing Dec. 29; Cusip: 22548J317
• Autocallable reverse convertible securities due Jan. 4, 2017, linked to the class B common stock of Nike, Inc.; via Credit Suisse Securities (USA) LLC; pricing Dec. 29; Cusip: 22546VSL1
•0% accelerated barrier notes due Jan. 6, 2021 linked to the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 31; Cusip: 22546VQZ2
• 0% buffered return equity securities due July 3, 2018 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 31; Cusip: 22546VR65
• High/low coupon callable yield notes due July 6, 2017 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 31; Cusip: 22546VR32
• Contingent coupon autocallable yield notes due Jan. 7, 2019 linked to the S&P 500 index and the Russell 2000 index; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Dec. 31; Cusip: 22546VQY5
• 0% absolute return barrier securities due Jan. 6, 2020 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 31; Cusip: 22546VR57
• 0% accelerated barrier notes due Jan. 6, 2021 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 31; Cusip: 22546VR40
• 0% Accelerated Return Notes linked to an international equity index basket containing Euro Stoxx 50 index with a 40% weight, FTSE 100 index and the Nikkei Stock Average 1ndex with weights of 20% each, Swiss Market index and S&P/ASX 200 index with weights of 7.5% each and Hang Seng index with a 5% weight; via Merrill Lynch & Co.; pricing in December
• 0% Strategic Accelerated Redemption Securities due December 2018 linked to the NYSE Arca Gold Miners index; via Credit Suisse International and BofA Merrill Lynch; pricing in December
CREDIT SUISSE AG, NASSAU BRANCH
• 0% return optimization securities due Jan. 31, 2017 linked to the Russell 2000 index; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Dec. 28; Cusip: 25190F483
• 0% contingent return optimization securities due Dec. 31, 2018 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Dec. 29; Cusip: 25190F475
• Trigger phoenix autocallable optimization securities due Jan. 4, 2019 linked to the lesser performing of the Euro Stoxx 50 index and the S&P 500 index; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Dec. 29; Cusip: 25190F517
• Trigger phoenix autocallable optimization securities due Jan. 4, 2019 linked to the lesser performing of the MSCI EAFE index and the Russell 2000 index; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Dec. 29; Cusip: 25190F509
• 0% Accelerated Return Notes due February 2017 linked to the common stocks of American Airlines Group Inc., Southwest Airlines Co. and United Continental Holdings, Inc.; via BofA Merrill Lynch; pricing in December
• 0% Accelerated Return Notes due February 2017 linked to the S&P MidCap 400 index; via Merrill Lynch & Co.; pricing in December
GOLDMAN SACHS GROUP, INC.
• 0% leveraged buffered notes due Dec. 28, 2017 tied to the S&P 500 index; via Goldman Sachs & Co.; pricing Dec. 22; Cusip 38148TJQ3
• 0% index-linked notes due Dec. 29, 2023 linked to the Dow Jones industrial average; via Goldman Sachs & Co.; pricing Dec. 23; Cusip: 38148TJU4
• 0% autocallable index-linked notes due Dec. 31, 2018 tied to the Euro Stoxx 50 index and the Russell 2000 index; via Goldman Sachs & Co.; pricing Dec. 23; Cusip: 38148TKN8
• Callable index-linked notes due June 28, 2017 tied to the Euro Stoxx 50 index, the Russell 2000 index and the S&P 500 index; via Goldman Sachs & Co.; pricing Dec. 23; Cusip: 38148TKP3
• Callable monthly Russell 2000 index-linked range accrual notes due Dec. 29, 2025; via Goldman Sachs & Co.; pricing Dec. 23; Cusip: 38148TJW0
• Callable monthly Russell 2000 index-linked range accrual notes due Dec. 29, 2025; via Goldman Sachs & Co.; pricing Dec. 23; Cusip: 38148TJV2
• Callable CMS spread and Russell 2000 index-linked range accrual notes due 2030; via Goldman Sachs & Co.; pricing Dec. 28; Cusip: 38148TKF5
• Autocallable index-linked notes due Jan. 12, 2023 tied to the GS Momentum Builder Multi-Asset 5 ER index; via Goldman Sachs & Co.; pricing Dec. 28; Cusip: 38148TJT7
• 0% index-linked notes due July 3, 2024 tied to the GS Momentum Builder Multi-Asset 5 ER index; via Goldman Sachs & Co.; pricing Dec. 28; Cusip 38148TJN0
• 0% index-linked notes due Jan. 2, 2026, linked to the GS Momentum Builder Multi-Asset 5 ER index; via Goldman Sachs & Co.; pricing Dec. 28; Cusip: 38148TJP5
• 0% trigger performance securities due Jan. 6, 2026 linked to the Bloomberg Commodity Index 3 Month Forward; 70% trigger; via Goldman, Sachs & Co.; pricing Dec. 29; Cusip: 38148X696
• Digital notes due Jan. 4, 2019 linked to the Russell 2000 index; via Goldman, Sachs & Co.; pricing Dec. 29; Cusip: 38148TK57
• Callable quarterly Russell 2000 index-linked range accrual notes due Dec. 31, 2030; via Goldman Sachs & Co.; pricing Dec. 29; Cusip: 38148TKG3
• Callable contingent coupon index-linked notes due Dec. 31, 2019 tied to the worse performing of the Russell 2000 index and the S&P 500 index; via Goldman Sachs & Co.; pricing Dec. 29; Cusip: 38148TK81
• 0% buffered notes due Jan. 4, 2021 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Dec. 29; Cusip: 38148TK65
• Autocallable contingent coupon index-linked notes due Dec. 10, 2018, linked to the S&P 500 index and the Russell 2000; 50% trigger; via Goldman, Sachs & Co.; pricing Dec. 29; Cusip: 38148TK73
• Callable buffered monthly S&P 500 index-linked range accrual notes due June 30, 2023; via Goldman Sachs & Co.; pricing Dec. 29; Cusip: 38148TK99
• Callable step-up fixed-rate notes due December 2020; via Goldman Sachs & Co. and Incapital LLC; pricing in December; Cusip: 38148TJS9
• Callable step-up fixed-rate notes due December 2026; via Goldman Sachs & Co. and Incapital LLC; pricing in December; Cusip: 38148TJR1
• Callable step-up fixed-rate notes due December 2030; via Goldman Sachs & Co.; pricing in December; Cusip: 38148TKD0
• Callable step-up fixed-rate notes due December 2035; via Goldman Sachs & Co. and Incapital LLC; pricing in December; Cusip: 38148TK40
• 0% Performance Leveraged Upside Securities due March 21, 2017 linked to the Energy Select Sector SPDR fund; via Goldman Sachs & Co. and Morgan Stanley Wealth Management; pricing in December; Cusip: 38148X712
• 0% leveraged notes linked to Euro Stoxx 50 index with a 37% weight, the FTSE 100 index with a 23% weight, the Topix index with a 23% weight, the Swiss Market index with a 9% weight and the S&P/ASX 200 index with an 8% weight; via Goldman Sachs & Co.
• 0% leveraged buffered notes due 2020 linked to the Euro Stoxx 50 index and the Topix index; via Goldman Sachs & Co.; Cusip: 38148TJB6
• 0% index-linked notes due 2020 tied to the GS Momentum Builder Multi-Asset 5 ER index; via Goldman Sachs & Co.; Cusip: 38148TJA8
• 0% digital notes due Dec. 30, 2016, linked to the Russell 2000 index; via Goldman Sachs & Co.
• 0% digital notes due Dec. 30, 2016 linked to the S&P 500 index; via Goldman Sachs & Co.
• 24- to 27-month 0% leveraged notes linked to the S&P 500 index; via Goldman Sachs & Co.
• 24- to 27-month 0% leveraged buffered notes linked to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 38148TJ91
• 0% leveraged index-linked notes tied to the S&P 500 index; via Goldman Sachs & Co.
• 13- to 15-month 0% digital notes linked to the SPDR S&P Oil & Gas Exploration & Production exchange-traded fund; via Goldman Sachs & Co.
• 13- to 15-month 0% leveraged notes linked to the SPDR S&P Oil & Gas Exploration & Production exchange-traded fund; via Goldman Sachs & Co.
• 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
HSBC USA INC.
• Income plus notes due Dec. 29, 2022 linked to a basket of the common stocks of Coca-Cola Co., General Motors Co., Merck & Co., Inc., Philip Morris International Inc. and Verizon Communications Inc.; via HSBC Securities (USA) Inc.; pricing Dec. 23; Cusip: 40433UDU7
• 0% buffered Accelerated Market Participation Securities due Dec. 29, 2017 linked to Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Dec. 23; Cusip: 40433UEK8
• 0% buffered Accelerated Market Participation Securities due June 29, 2018 linked to Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Dec. 23; Cusip: 40433UEN2
• 0% buffered market participation securities due Dec. 31, 2018 linked to Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Dec. 23; Cusip: 40433UEG7
• 0% buffered uncapped market participation securities due June 29, 2020 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Dec. 23; Cusip: 40433UEC6
• 0% buffered uncapped market participation securities due Dec. 29, 2020 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Dec. 23; Cusip: 40433UED4
• 0% buffered uncapped market participation securities due Dec. 31, 2018 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Dec. 23; Cusip: 40433UDZ6
• 0% buffered Accelerated Market Participation Securities due Dec. 29, 2017 linked to Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Dec. 23; Cusip: 40433UEJ1
• 0% buffered Accelerated Market Participation Securities due June 29, 2018 linked to Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Dec. 23; Cusip: 40433UEM4
• 0% buffered market participation securities due Dec. 31, 2018 linked to Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Dec. 23; Cusip: 40433UEF9
• 0% buffered uncapped market participation securities due Dec. 29, 2020 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Dec. 23; Cusip: 40433UEB8
• 0% buffered uncapped market participation securities due Dec. 29, 2020 linked to an equally weighted basket of the Russell 2000 index, the S&P 500 index and the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Dec. 23; Cusip: 40433UEP7
• 0% buffered Accelerated Market Participation Securities due Dec. 29, 2017 linked to S&P 500 index; via HSBC Securities (USA) Inc.; pricing Dec. 23; Cusip: 40433UEH5
• 0% buffered Accelerated Market Participation Securities due June 29, 2018 linked to S&P 500 index; via HSBC Securities (USA) Inc.; pricing Dec. 23; Cusip: 40433UEL6
• 0% buffered market participation securities due Dec. 31, 2018 linked to S&P 500 index; via HSBC Securities (USA) Inc.; pricing Dec. 23; Cusip: 40433UEE2
• 0% digital dual directional notes due Dec. 29, 2020 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Dec. 23; Cusip: 40433UDX1
• 0% buffered uncapped market participation securities due Dec. 29, 2020 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Dec. 23; Cusip: 40433UEA0
• Autocallable yield notes due March 29, 2017 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Dec. 23; Cusip: 40433UDV5
• Autocallable yield notes due March 29, 2017 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Dec. 23; Cusip: 40433UDW3
• 0% trigger performance securities due Jan. 15, 2021 linked to the Energy Select Sector SPDR fund; via HSBC Securities (USA) Inc. and UBS Financial Services Inc.; pricing Dec. 29; Cusip: 40434K347
• 0% trigger autocallable optimization securities due Dec. 31, 2020 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc. and UBS Financial Services Inc.; pricing Dec. 29; Cusip: 40434K313
• 0% trigger autocallable optimization securities due Dec. 31, 2020 linked to the Russell 2000 index; via HSBC Securities (USA) Inc. and UBS Financial Services Inc.; pricing Dec. 29; Cusip: 40434K289
• 0% dual directional trigger Performance Leveraged Upside Securities due Jan. 4, 2019 linked to the Energy Select Sector SPDR fund; via HSBC Securities (USA) Inc.; pricing Dec. 30; Cusip: 40434K297
• 0% buffered Performance Leveraged Upside Securities due Jan. 3, 2020 linked to an equally weighted basket of the iShares Russell 2000 exchange-traded fund and the Financial Select Sector SPDR fund; via HSBC Securities (USA) Inc. and Morgan Stanley Wealth Management; pricing Dec. 30; Cusip: 40434K271
• 0% buffered Performance Leveraged Upside Securities due Jan. 4, 2019 linked to the S&P 500 index; via HSBC Securities (USA) Inc. and Morgan Stanley Wealth Management; pricing Dec. 30; Cusip: 40434K321
• 0% trigger jump securities due Jan. 4, 2022 linked to S&P 500 index; via HSBC Securities (USA) Inc. and Morgan Stanley Wealth Management; pricing Dec. 30; Cusip: 40434K370
• 0% dual directional trigger Performance Leveraged Upside Securities due Jan. 4, 2022 linked to the S&P 500 index; 65% trigger; via HSBC Securities (USA) Inc.; pricing Dec. 30; Cusip: 40434K388
• 0% autocallable market-linked step-up notes due December 2020 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in December
• 0% Leveraged Index Return Notes due December 2018 linked to the Euro Stoxx 50 index, the FTSE 100 index, the Nikkei 225 index, the S&P/ASX 200 index, the Swiss Market index and the Hang Seng index; via BofA Merrill Lynch; pricing in December
• Three-year autocallable yield notes linked to iShares Nasdaq Biotechnology exchange-traded fund; via HSBC Securities (USA) Inc.; pricing in December; Cusip: 40433UEU6
• Three-year contingent income barrier notes linked to the iShares Nasdaq Biotechnology exchange-traded fund; via HSBC Securities (USA) Inc.; pricing in December
• Contingent income barrier notes due December 2021 linked to the iShares Russell 2000 exchange-traded fund; 60% trigger; via HSBC Securities (USA) Inc.; pricing in December; Cusip: 40433UES1
• 0% autocallable market-linked step-up notes due December 2018 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in December
• Autocallable market-linked step-up notes due December 2020 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in December
• Contingent income barrier notes due December 2021 linked to the S&P MidCap 400 ETF Trust; via HSBC Securities (USA) Inc.; pricing in December; Cusip: 40433UFC5
JPMORGAN CHASE & CO.
• Autocallable contingent interest notes due Dec. 28, 2018 linked to the least performing of the common stock of Celgene Corp., the common stock of CVS Health Corp., and the class C capital stock of Alphabet Inc.; via J.P. Morgan Securities LLC; pricing Dec. 22; Cusip: 48128GFS4
• Contingent coupon callable yield notes due Dec. 30, 2020 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Dec. 22; Cusip: 48128GFX3
• 7%-9% autocallable yield notes due Jan. 3, 2017 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Dec. 23; Cusip: 48128GEK2
• Callable contingent interest notes due Dec. 30, 2020 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Dec. 22; Cusip: 48128GFX3
• 0% uncapped contingent buffered return enhanced notes due Dec. 28, 2020 linked to the least performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Dec. 22; Cusip: 48128GFV7
• 0% capped buffered return enhanced notes due Dec. 29, 2017 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Dec. 23; Cusip: 48128GEU0
• 0% uncapped buffered return enhanced notes due Dec. 31, 2019 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Dec. 23; Cusip: 48128GEJ5
• 8.25%-10.25% autocallable reverse exchangeable notes due Dec. 30, 2016 linked to the class A common stock of Facebook, Inc.; via J.P. Morgan Securities LLC; pricing Dec. 23; Cusip: 46625HPU8
• 0% capped buffered return enhanced notes due Dec. 29, 2017 linked to the iShares MSCI EAFE exchange-traded fund; via J.P. Morgan Securities LLC; pricing Dec. 23; Cusip: 48128GES5
• 0% capped buffered return enhanced notes due Dec. 29, 2017 linked to the iShares MSCI EAFE exchange-traded fund; via J.P. Morgan Securities LLC; pricing Dec. 23; Cusip: 48128GER7
• 0% capped buffered return enhanced notes due Dec. 31, 2019 linked to the iShares MSCI EAFE exchange-traded fund; via J.P. Morgan Securities LLC; pricing Dec. 23; Cusip: 48128GEH9
• 0% capped buffered return enhanced notes due Dec. 29, 2017 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Dec. 23; Cusip: 48128GEQ9
• 0% review notes due Dec. 31, 2018 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Dec. 23; Cusip: 48128GFA3
• 0% capped buffered return enhanced notes due Dec. 29, 2017 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Dec. 23; Cusip: 48128GET3
• 0% uncapped buffered return enhanced notes due Dec. 31, 2019 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Dec. 23; Cusip: 48128GEG1
• Contingent interest autocallable notes due Jan. 3, 2017 linked to the worse performing of the S&P 500 index and the Russell 2000 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Dec. 23; Cusip: 48128GEL0
• Contingent interest autocallable notes due Jan. 3, 2017 linked to the worse performing of the S&P 500 index and the Russell 2000 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Dec. 23; Cusip: 48128GEM8
• Contingent interest autocallable notes due March 28, 2017 linked to the worse performing of the S&P 500 index and the Russell 2000 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Dec. 23; Cusip: 48128GEN6
• Contingent interest autocallable notes due March 28, 2017 linked to the worse performing of the S&P 500 index and the Russell 2000 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Dec. 23; Cusip: 48128GEP1
• Autocallable reverse exchangeable notes due July 3, 2017 linked to the least performing of the common stocks of BlackRock, Inc., Franklin Resources, Inc., Goldman Sachs Group, Inc. and Morgan Stanley; via J.P. Morgan Securities LLC; pricing Dec. 28; Cusip: 46625HPV6
• Callable range accrual notes due Dec. 31, 2025 linked to the 30-year Constant Maturity Swap rate, the two-year CMS rate and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Dec. 28; Cusip: 48125U2H4
• 0% capped buffered return enhanced notes due Dec. 31, 2020 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Dec. 28; Cusip: 48128GFN5
• Autocallable contingent interest notes due Jan. 3, 2019 linked to the least performing of the common stock of Honeywell International Inc., the class B common stock of United Parcel Service, Inc.; via J.P. Morgan Securities LLC; pricing Dec. 28; Cusip: 48128GFK1
• Callable contingent interest notes due Jan. 7, 2020 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Dec. 28; Cusip: 48128GFP0
• Autocallable contingent interest notes due Jan. 3, 2019 linked to the least performing of the common stock of Walt Disney Co., the class B common stock of Nike, Inc., and the common stock of Target Corp.; via J.P. Morgan Securities LLC; pricing Dec. 28; Cusip: 48128GFJ4
• 0% return optimization securities due Jan. 31, 2017 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Dec. 29; Cusip: 48127Y177
• 0% Performance Leveraged Upside Securities due Feb. 2, 2017 linked to the Euro Stoxx Banks index; via J.P. Morgan Securities LLC; pricing Dec. 30; Cusip: 48128A756
• Contingent income callable securities due Jan. 5, 2026 linked to the S&P 500 index; 60% trigger; via J.P. Morgan Securities LLC with Morgan Stanley Wealth Management; pricing Dec. 30; Cusip: 48128A889
• Contingent income autocallable securities due Jan. 6, 2017 linked to the common stock of Valero Energy Corp.; via J.P. Morgan Securities LLC; pricing Dec. 30; Cusip: 48128A731
• 0% Performance Leveraged Upside Securities due Jan. 23, 2017 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing in December; Cusip: 48128A871
• 0% autocallable trigger Performance Leveraged Upside Securities due Dec. 27, 2018 linked to an equally weighted basket of the S&P 500 index and the Euro Stoxx 50 index; via J.P. Morgan Securities LLC and Morgan Stanley Wealth Management; pricing in December; Cusip: 48128A764
MORGAN STANLEY
• CMS curve range accrual securities due Dec. 23, 2035 linked to the worst performing of the Russell 2000 index and the S&P 500 index; via Morgan Stanley & Co. LLC; settlement Dec. 23; Cusip: 61760QJF2
• 0% buffered return optimization securities due Dec. 31, 2018 linked to the Russell 2000 index; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Dec. 28; Cusip: 61765U308
• 0% trigger performance securities due Dec. 31, 2025 linked to the Euro Stoxx 50 index; 65% trigger; via Morgan Stanley & Co. LLC with UBS Financial Services Inc.; pricing Dec. 29; Cusip: 61765U290
• 0% trigger performance securities due Dec. 31, 2025 linked to the S&P 500 index; 50% trigger; via Morgan Stanley & Co. LLC with UBS Financial Services Inc.; pricing Dec. 29; Cusip: 61765U282
• 0% Performance Leveraged Upside Securities due Jan. 4, 2019 linked to the Energy Select Sector SPDR fund; via Morgan Stanley & Co. LLC; pricing Dec. 30; Cusip: 61765U456
• Contingent income autocallable securities due Dec. 28, 2018 linked to the common stock of Facebook, Inc.; via Morgan Stanley & Co. LLC; pricing Dec. 30; Cusip: 61765U530
• 0% trigger jump securities due Dec. 28, 2021 linked to the Euro Stoxx 50 index; 65% trigger; via Morgan Stanley & Co. LLC; pricing Dec. 30; Cusip: 61765U399
• 0% market-linked notes due July 6, 2023 linked to an equally weighted basket containing the Euro Stoxx 50 index, the S&P 500 index and the Topix index; via Morgan Stanley & Co. LLC; pricing Dec. 30; Cusip: 61765U381
• 0% securities with leveraged upside participation to a cap and fixed percentage buffered downside due Dec. 31, 2018 linked to the iShares MSCI Emerging Markets exchange-traded fund; via Morgan Stanley & Co. LLC and Wells Fargo Securities LLC; pricing Dec. 30; Cusip: 61761JR27
• 0% market-linked notes due July 6, 2021 linked to the Morgan Stanley ETF-MAP 2 index; via Morgan Stanley & Co. LLC; pricing Dec. 30; Cusip: 61765U407
• Contingent income autocallable securities due Dec. 28, 2018 linked to the common stock of LinkedIn Corp.; via Morgan Stanley & Co. LLC; pricing Dec. 30; Cusip: 61765U506
• 0% Performance Leveraged Upside Securities due April 4, 2017 linked to the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Dec. 30; Cusip: 61765U514
• Contingent income autocallable securities due Dec. 28, 2018 linked to the common stock of salesforce.com, inc.; via Morgan Stanley & Co. LLC; pricing Dec. 30; Cusip: 61765U522
• 0% buffered Performance Leveraged Upside Securities due January 2023 linked to the Bloomberg Commodity index; via Morgan Stanley & Co. LLC; pricing in December; Cusip: 61762GFF6
• Contingent income autocallable securities due Dec. 23, 2017 linked to the 10-year Constant Maturity Swap rate; via Morgan Stanley & Co. LLC; pricing in December; Cusip: 61760QJE5
• 0% capped leveraged buffered notes due 2018 linked to a basket containing the Euro Stoxx 50 index with a 37% weight, the FTSE 100 index with a 23% weight, the Topix index with a 23% weight, the Swiss Market index with a 9% weight and the S&P/ASX 200 index with an 8% weight; via Morgan Stanley & Co. LLC; pricing in December; Cusip: 61761JS42
• 0% capped leveraged buffered notes linked to a basket of indexes; via Morgan Stanley & Co. LLC; pricing in December; Cusip: 61761JS59
• 17- to 24-month 0% leveraged buffered notes linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing in December; Cusip: 61761JS67
• 24- to 27-month 0% leveraged buffered notes linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing in December; Cusip: 61761JS75
NOMURA AMERICA FINANCE, LLC
• 0% leveraged equity buffer notes due Dec. 31, 2018 linked to the Nikkei 225 index; via Nomura Securities International, Inc.; pricing Dec. 23; Cusip: 65539ACF5
ROYAL BANK OF CANADA
• 0% bullish enhanced return notes due Feb. 28, 2017 linked to the S&P 500 index; via RBC Capital Markets, LLC; pricing Dec. 23; Cusip: 78012KJV0
• 0% buffered bullish return notes due June 27, 2019 linked to the S&P 500 index; 80% trigger; via RBC Capital Markets, LLC; pricing Dec. 23; Cusip: 78012KJY4
• 0% bullish barrier enhanced return notes due June 28, 2019 linked to the S&P 500 index; via RBC Capital Markets, LLC; pricing Dec. 23; Cusip: 78012KJW8
• 0% buffered bullish enhanced return notes due May 28, 2021 linked to the S&P 500 index; via RBC Capital Markets, LLC; pricing Dec. 23; Cusip: 78012KJX6
• 0% buffered Performance Leveraged Upside Securities due Dec. 20, 2018 linked to the iShares MSCI EAFE exchange-traded fund; via RBC Capital Markets, LLC and Morgan Stanley Wealth Management; pricing Dec. 24; Cusip: 78013C294
• 11% contingent income autocallable securities due July 6, 2016 linked to the common stock of HCA Holdings, Inc.; via RBC Capital Markets, LLC; pricing Dec. 30; Cusip: 78013C435
• 0% direct investment notes due Feb. 8, 2017 linked to the EquityCompass Equity Risk Management Strategy; via RBC Capital Markets, LLC; pricing Jan. 6; Cusip: 78012KKB2
AB SVENSK EXPORTKREDIT
• 14-month 0% Accelerated Return Notes due February 2017 linked to the Russell 2000 index; via Bank of America Merrill Lynch; pricing in December
TORONTO-DOMINION BANK
• Callable step-up notes due Dec. 31, 2022; via TD Securities (USA) LLC; pricing Dec. 28; Cusip: 89114QUF3
• Callable step-up notes due Dec. 31, 2025; via TD Securities (USA) LLC; pricing Dec. 28; Cusip: 89114QUG1
• 0% securities with a capped leveraged upside participation and a fixed-percentage buffered downside due July 6, 2020 linked to a basket containing SPDR S&P 500 ETF Trust with a 50% weight, iShares Russell 2000 ETF with a 15% weight, iShares MSCI EAFE ETF with a 15% weight, iShares MSCI Emerging Markets ETF with a 10% weight, PowerShares DB Commodity Index Tracking Fund with a 5% weight and Vanguard REIT ETF with a 5% weight; via TD Securities (USA) LLC and Wells Fargo Securities, LLC; pricing Dec. 30; Cusip: 89114QUE6
• 0% leveraged capped relative performance securities linked to the S&P Banks Select Industry index and S&P 500 index; via TD Securities (USA) LLC and Goldman, Sachs & Co.; pricing in December; Cusip: 89114QUJ5
• 24- to 27-month 0% leveraged buffered index-linked notes tied to the S&P 500 index; via TD Securities (USA) LLC and Goldman, Sachs & Co.; pricing in December; Cusip: 89114QUH9
UBS AG, LONDON BRANCH
• 0% trigger step performance securities due Dec. 31, 2019 linked to the S&P 500 index; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Dec. 28; Cusip: 78013C328
• 0% trigger return optimization securities due Dec. 31, 2018 linked to the Euro Stoxx 50 index; 80% trigger; via UBS Financial Services Inc. and UBS Investment Bank; pricing Dec. 29; Cusip: 90275G871
• 0% trigger performance securities due Dec. 31, 2020 linked to the Euro Stoxx 50 index; 75% trigger; via UBS Financial Services Inc. and UBS Investment Bank; pricing Dec. 29; Cusip: 90275G855
• Trigger phoenix autocallable optimization securities due Jan. 5, 2026 linked to the lesser performing of the Euro Stoxx 50 index and the Russell 2000 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Dec. 29; Cusip: 90275L235
• Trigger phoenix autocallable optimization securities due Jan. 5, 2026 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Dec. 29; Cusip: 90275L227
WELLS FARGO & CO.
• 23- to 26-month 0% buffered enhanced return securities with capped upside and buffered downside linked to a basket of indexes; via Wells Fargo Securities LLC; pricing in December; Cusip: 94986RB34
• 18- to 21-month 0% buffered enhanced return securities with capped upside and buffered downside linked to the MSCI EAFE index; via Wells Fargo Securities LLC; pricing in December; Cusip: 94986RB83
• 0% equity index-linked securities due December 2017 linked to the S&P 500 index with leveraged upside participation to a cap and buffered downside with multiplier; via Wells Fargo Securities, LLC; pricing in December; Cusip: 94986RC58
• 0% enhanced return securities with capped upside and one-to-one downside exposure linked to the S&P 500 index; via Wells Fargo Securities LLC; pricing in December; Cusip: 94986RC41
• 0% autocallable securities with buffered downside exposure linked to the SPDR S&P Bank exchange-traded fund; via Wells Fargo Securities, LLC; pricing in December; Cusip: 94986RC33
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