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Prospect News home > News index > List of issuers Calendar > Headlines for 2016 > News item

Published on 11/9/2016 in the Prospect News Structured Products Daily.

Structured Products Calendar

BANK OF MONTREAL

• 6.9% autocallable cash-settled notes with conditional interest payments due Feb. 16, 2018 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via BMO Capital Markets Corp.; pricing Nov. 11; Cusip: 06367TNL0

• 0% buffered bullish enhanced return notes due Dec. 4, 2017, linked to the S&P 500 index; via BMO Capital Markets Corp; pricing Nov. 22; Cusip: 06367TNK2

• 7.2% autocallable cash-settled notes with fixed interest payments due Nov. 30, 2017 linked to iShares Nasdaq Biotechnology exchange-traded fund; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TMV9

• 9% autocallable cash-settled notes with fixed interest payments due Nov. 30, 2017 linked to iShares Nasdaq Biotechnology exchange-traded fund; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TMR8

• 0% autocallable cash-settled notes with fixed interest payments due Nov. 29, 2019 linked to iShares U.S. Real Estate exchange-traded fund; 85% trigger; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TNB2

• 0% buffered bullish enhanced return notes due Dec. 29, 2017 linked to the Russell 2000 index; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TNH9

• 0% bullish digital return notes with barrier due Dec. 29, 2017 linked to the Russell 2000 index; 90% trigger; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TNA4

• 0% bullish digital return notes with barrier due Dec. 29, 2017 linked to the Russell 2000 index; 90% trigger; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TMY3

• 0% buffered bullish enhanced return notes due Dec. 29, 2017 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TNG1

• 0% bullish digital return notes with barrier due Dec. 29, 2017 linked to the S&P 500 index; 90% trigger; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TMZ0

• 0% bullish digital return notes with barrier due Dec. 29, 2017 linked to the S&P 500 index; 90% trigger; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TMX5

• 0% buffered bullish enhanced return notes due Dec. 29, 2017 linked to S&P 500 index, the Euro Stoxx 50 index and the Russell 2000 index; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TNF3

• 0% buffered bullish enhanced return notes due Dec. 29, 2017 linked to the Russell 2000 index; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TNE6

• 0% buffered bullish enhanced return notes due Dec. 29, 2017 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TND8

• 6.3% autocallable cash-settled notes with conditional interest payments due Nov. 30, 2017 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TNJ5

• 9.3% autocallable cash-settled notes with fixed interest payments due Nov. 30, 2017 linked to SPDR S&P Metals and Mining exchange-traded fund; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TMN7

• 11.4% autocallable cash-settled notes with fixed interest payments due Nov. 30, 2017 linked to SPDR S&P Metals and Mining exchange-traded fund; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TMS6

• 9% autocallable cash-settled notes with fixed interest payments due Nov. 30, 2017 linked to SPDR S&P Oil & Gas Exploration & Production exchange-traded fund; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TMK3

• 0% contingent risk absolute return notes with digital upside due Nov. 30, 2018 linked to the SPDR S&P Oil & Gas Exploration & Production exchange-traded fund; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TMT4

• 10.8% autocallable cash-settled notes with fixed interest payments due Nov. 30, 2017 linked to SPDR S&P Oil & Gas Exploration & Production exchange-traded fund; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TMP2

• 10.2% autocallable cash-settled notes with fixed interest payments due Nov. 30, 2017 linked to VanEck Vectors Gold Miners exchange-traded fund; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TML1

• 12% autocallable cash-settled notes with fixed interest payments due Nov. 30, 2017 linked to VanEck Vectors Gold Miners exchange-traded fund; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TMQ0

• 0% contingent risk absolute return notes with digital upside due Nov. 30, 2018 linked to the VanEck Vectors Gold Miners exchange-traded fund; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TMU1

BANK OF NOVA SCOTIA

• 0% market-linked securities with leveraged upside participation to a cap and fixed percentage buffered downside due Dec. 6, 2021 linked to the Euro Stoxx 50 index; via Scotia Capital (USA) Inc. and Wells Fargo Securities LLC; pricing Nov. 30; Cusip: 064159JB3

BARCLAYS BANK DELAWARE

• 0% certificates of deposit due Feb. 28, 2022 linked to the Barclays Trailblazer Sectors 5 index; via Barclays and Incapital LLC; pricing Nov. 22; Cusip: 06740FGK8

• 0% certificates of deposit due Nov. 28, 2023 linked to the Barclays Trailblazer Sectors 5 index; via Barclays and Incapital LLC; pricing Nov. 22; Cusip: 06740FGL6

BARCLAYS BANK PLC

• Trigger autocallable contingent yield notes due Nov. 17, 2026 linked to the lesser performing of the Nasdaq-100 index and the Russell 2000 index; via UBS Financial Services Inc. and Barclay; pricing Nov. 11; Cusip: 06745R792

• Contingent income autocallable securities due Nov. 14, 2019 linked to Netflix, Inc. stock; 65% trigger; via Barclays with Morgan Stanley Wealth Management; pricing Nov. 11; Cusip: 06744M661

• 0% Performance Leveraged Upside Securities due March 5, 2018 linked to the Euro Stoxx 50 index; via Barclays; pricing Nov. 16; Cusip: 06744M745

• 0% notes due Nov. 24, 2023 linked to the Barclays Trailblazer Sectors 5 index; via Barclays; pricing Nov. 18; Cusip: 06741VDS8

• Callable contingent coupon notes due Nov. 21, 2019 linked to the lesser performing of the Russell 2000 index and the Euro Stoxx 50 index; via Barclays; pricing Nov. 18; Cusip: 06741VDP4

• Contingent income callable securities due Nov. 21, 2019 linked to the worst performing of the S&P 500 index and the Russell 2000 index; via Barclays; pricing Nov. 18; Cusip: 06745R768

• 0% annual autocallable notes due Nov. 23, 2020 linked to the lesser performing index of the S&P 500 index and the SPDR S&P Oil & Gas Exploration & Production exchange-traded fund; via Barclays; pricing Nov. 18; Cusip: 06741VDR0

• 0% buffered SuperTrack notes due Nov. 26, 2021 linked to the Dow Jones industrial average; via Barclays; pricing Nov. 22; Cusip: 06741VE32

• 0% buffered digital notes due May 28, 2019 linked to the Russell 2000 index; via Barclays; pricing Nov. 22; Cusip: 06741VDW9

• Phoenix autocallable notes due Nov. 28, 2017 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via Barclays; pricing Nov. 22; Cusip: 06741VDY5

• Phoenix autocallable notes due Feb. 27, 2018 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via Barclays; pricing Nov. 22; Cusip: 06741VDU3

• 0% buffered digital notes due May 28, 2020 linked to the S&P 500 index; via Barclays; pricing Nov. 22; Cusip: 06741VDZ2

• 0% buffered SuperTrack notes due Nov. 26, 2021 linked to the S&P 500 index; via Barclays; pricing Nov. 22; Cusip: 06741VDX7

• 0% dual directional notes due Nov. 28, 2018 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Barclays; pricing Nov. 22; Cusip: 06741VE57

• Phoenix autocallable notes due Nov. 28, 2017 linked to the SPDR S&P Oil & Gas Exploration & Production exchange-traded fund; via Barclays; pricing Nov. 22; Cusip: 06741VDV1

• Callable contingent coupon notes due Nov. 27, 2019 linked to the VanEck Vectors Gold Miners exchange-traded fund; 60% trigger; via Barclays; pricing Nov. 22; Cusip: 06741VE81

• Callable contingent coupon notes due Nov. 29, 2019 linked to the lesser performing index of the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; via Barclays; pricing Nov. 23; Cusip: 06741VDJ8

• Phoenix autocallable notes due Nov. 30, 2018 linked to the least performing of common stocks of CBS Corp., Netflix, Inc. and Starbucks Corp.; via Barclays; pricing Nov. 28; Cusip: 06741VDN9

• Autocallable notes due Nov. 29, 2019 linked to the least performing of the commons stocks of Facebook, Inc., Amazon.com, Inc., Netflix, Inc. and Alphabet Inc.; via Barclays; pricing Nov. 28; Cusip: 06741VDL3

• 0% capped gears due Jan. 31, 2018 linked to the S&P 500 index; via UBS Financial Services Inc. and Barclays; pricing Nov. 28; Cusip: 06744M786

• Callable range accrual notes due May 31, 2024 linked to the performance of the S&P 500 index; via Barclays; pricing Nov. 28; Cusip: 06741VEA6

• 0% trigger Performance Leveraged Upside Securities due Dec. 5, 2022 linked to the S&P 500 index; via Barclays; pricing Nov. 30; Cusip: 06744M752

• 0% autocallable market-linked step-up notes due November 2018 linked to the Energy Select Sector index; via BofA Merrill Lynch; pricing in November

• 0% autocallable market-linked step-up notes due November 2019 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

BOFA FINANCE LLC

• Step-up callable notes due Nov. 28, 2031; via BofA Merrill Lynch; Cusip: 09709TAA9

CANADIAN IMPERIAL BANK OF COMMERCE

• 0% buffered notes due Nov. 29, 2021 linked to the S&P 500 index; via CIBC World Markets; pricing Nov. 22; Cusip: 13605WBX8

• 0% Leveraged Index Return Notes due November 2019 tied to the worse performing of the Nikkei Stock average index and the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in November

CITIBANK, NA

• 0% market-linked certificates of deposit due Nov. 29, 2023 linked to the Citi ETF Market Pilot 5 Excess Return index; via Citigroup Global Markets Inc. and Incapital LLC; pricing Nov. 23; Cusip: 17294XAF3

CITIGROUP GLOBAL MARKETS HOLDINGS INC.

• Autocallable contingent coupon equity-linked securities due Nov. 21, 2017 linked to the common stocks of Apple Inc. and Alphabet Inc.; via Citigroup Global Markets Inc.; pricing Nov. 16; Cusip: 17324CCD6

• Autocallable contingent coupon equity-linked securities due Nov. 21, 2017 linked to the common stock of Halliburton Co.; via Citigroup Global Markets Inc.; pricing Nov. 16; Cusip: 17324XAB6

• 0% dual directional barrier securities due Nov. 19, 2018 linked to the Energy Select Sector SPDR fund; via Citigroup Global Markets Inc.; pricing Nov. 18; Cusip: 17324CCA2

• 0% digital securities due Nov. 23, 2018 linked to the iShares U.S. Real Estate exchange-traded fund; via Citigroup Global Markets Inc.; pricing Nov. 18; Cusip: 17324CCE4

• 0% dual directional barrier securities due May 27, 2020 linked to the Dow Jones Industrial Average; via Citigroup Global Markets Inc.; pricing Nov. 21; Cusip: 17324CC79

• 0% enhanced buffered digital securities due Nov. 27, 2020 linked to the Dow Jones industrial average; via Citigroup Global Markets Inc.; pricing Nov. 22; Cusip: 17324CCJ3

• 0.25% market-linked notes due May 26, 2022 linked to a weighted basket of the Dow Jones industrial average with a 33.34% weight, the Euro Stoxx 50 index with a 33.33% weight and the iShares Core U.S. Aggregate Bond ETF with a 33.33% weight; via Citigroup Global Markets Inc.; pricing Nov. 22; Cusip: 17324CC53

• 0% enhanced buffered digital securities due Nov. 27, 2019 linked to the Russell 2000 index; via Citigroup Global Markets Inc.; pricing Nov. 22; Cusip: 17324CCK0

• Annual reset coupon securities due Nov. 29, 2021 linked to the Russell 2000 index; via Citigroup Global Markets Inc.; pricing Nov. 22; Cusip: 17324CCH7

• 14- to 16-month 0% buffered index-linked notes linked to the S&P 500 index; via Citigroup Global Markets Inc.; Cusip: 17324CCM6

• 24- to 27-month 0% notes linked to the S&P 500 index; via Citigroup Global Markets Inc.; Cusip: 17324CCF1

• 27- to 30-month 0% buffered digital notes linked to the S&P 500 index; via Citigroup Global Markets Inc.; Cusip: 17324CCL8

CITIGROUP INC.

• Fixed-to-floating notes due Nov. 28, 2023; via Citigroup Global Markets Inc.; pricing Nov. 22; Cusip: 17298CF45

CREDIT SUISSE AG

• 0% autocallable market-linked step-up notes due November 2019 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in November

CREDIT SUISSE AG, LONDON BRANCH

• Contingent coupon autocallable yield notes due Nov. 28, 2017 linked to the common stock of Apple Inc.; via J.P. Morgan Securities LLC and JPMorgan Chase Bank, NA; pricing Nov. 11; Cusip: 22548QNB7

• Autocallable contingent income securities due Nov. 16, 2017 linked to the common stock of Delta Air Lines, Inc.; via Credit Suisse International; pricing Nov. 11; Cusip: 22548T588

• 0% dual directional capped knock-out notes due Nov. 28, 2017 linked to the S&P 500 index; via J.P. Morgan Securities LLC and JPMorgan Chase Bank, NA; pricing Nov. 11; Cusip: 22548QN92

• 0% knock-out notes due Feb. 14, 2018 linked to the S&P 500 index; via J.P. Morgan Securities LLC and JPMorgan Chase Bank, NA; pricing Nov. 11; Cusip: 22548QN84

• Contingent coupon autocallable yield notes due Feb. 16, 2018 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 11; Cusip: 22548QMQ5

• 8%-10% Autocallable reverse convertible securities due Nov. 20, 2017 linked to Apple Inc. common stock; via Credit Suisse Securities (USA) LLC; pricing Nov. 15; Cusip: 22549JCV0

• 0% Buffered Accelerated Return Equity Securities due Nov. 19, 2020 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 15; Cusip: 22548QL94

• 0% Performance Leveraged Upside Securities due March 5, 2018 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC and Morgan Stanley Wealth Management; pricing Nov. 16; Cusip: 22548T497

• 5.5% to 6.5% callable yield notes due May 29, 2018 linked to the Euro Stoxx 50 index and the Dow Jones industrial average; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 18; Cusip: 22548QMD4

• Contingent coupon callable yield notes due Nov. 29, 2019 linked to the Russell 2000 index and the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 18; Cusip: 22548QML6

• 0% digital plus barrier notes due Nov. 25, 2020 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 18; Cusip: 22548QMJ1

• 0% digital barrier notes due May 25, 2018 linked to the lowest performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 18; Cusip: 22548QMK8

• 8% to 10% autocallable reverse convertible securities due Nov. 28, 2017 linked to Amgen Inc. common shares; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip: 22549JCX6

• 8% to 10% autocallable reverse convertible securities due Nov. 28, 2017 linked to Ford Motor Co. common shares; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip: 22549JCY4

• 0% digital buffered notes due May 28, 2020 linked to the Russell 2000 index; via Credit Suisse; pricing Nov. 22; Cusip: 22548QMR3

• Autocallable yield notes due Nov. 29, 2017 linked to the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 23; Cusip: 22548QMM4

• Contingent coupon autocallable yield notes due Nov. 29, 2021 linked to the Euro Stoxx 50 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 23; Cusip: 22548QMS1

• 0% Buffered Accelerated Return Equity Securities due Nov. 28, 2018 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 23; Cusip: 22548QLU7

• 0% Buffered Accelerated Return Equity Securities due Jan. 26, 2018 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 23; Cusip: 22548QMC6

• 0% Buffered Accelerated Return Equity Securities due Nov. 28, 2018 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 23; Cusip: 22548QLU7

• Contingent coupon autocallable yield notes due Feb. 28, 2018 linked to the Russell 2000 index and the S&P 500 index; 75% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 23; Cusip: 22548QLN3

• Contingent coupon callable yield notes due Nov. 29, 2021 linked to the Russell 2000 index and the S&P 500 index; 60% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 23; Cusip: 22548QLX1

• 0% Buffered Accelerated Return Equity Securities due Nov. 28, 2018 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 23; Cusip: 22548QLM5

• 0% digital plus barrier notes due Nov. 29, 2021 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 23; Cusip: 22548QLY9

• Contingent coupon autocallable yield notes due Feb. 28, 2018 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 23; Cusip: 22548QJC0

• Contingent coupon autocallable yield notes due Nov. 29, 2019 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 23; Cusip: 22548QMN2

• 0% absolute return digital barrier securities due Nov. 29, 2021 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 23; Cusip: 22548QLL7

• Contingent coupon callable yield notes due Nov. 29, 2021 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 23; Cusip: 22548QLX1

• 0% digital plus barrier notes due Nov. 29, 2021 linked to the worse performing of the S&P 500 index and the Russell 2000 index; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 23; Cusip: 22548QLY9

• Step-up contingent coupon callable yield notes due Nov. 29, 2026 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 23; Cusip: 22548QMB8

• Contingent coupon callable yield notes due Nov. 29, 2019 linked to the S&P 500 index and the SPDR S&P Biotech exchange-traded fund; 60% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 23; Cusip: 22548QLV5

• 0% capped buffer gears due Nov. 30, 2018 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 28; Cusip: 22548T489

• 0% Buffered Accelerated Return Equity Securities due June 4, 2018 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22548QLZ6

• Contingent coupon autocallable yield notes due March 5, 2018 linked to the Russell 2000 index and the S&P 500 index; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22548QLS2

• Contingent coupon callable yield notes due Dec. 5, 2019 linked to the Russell 2000 index and the S&P 500 index; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22548QM85

• 0% Buffered Accelerated Return Equity Securities due June 4, 2018 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22548QLQ6

• 0% absolute return digital barrier securities due Dec. 3, 2020 linked to the lowest performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22548QLR4

• 0% digital plus barrier notes 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: 22548QM93

• 0% absolute return digital barrier securities due Dec. 3, 2021 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22548QLP8

• Contingent coupon autocallable yield notes due March 5, 2018 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22548QLW3

• Contingent coupon callable yield notes due Dec. 5, 2019 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22548QM85

• Contingent coupon callable yield notes due Dec. 5, 2019 linked to the S&P 500 index and the SPDR S&P Biotech exchange-traded fund; 60% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22548QMA0

• 0% capped Leveraged Index Return Notes due January 2018 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in November

• 0% Accelerated Return Notes due January 2018 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in November

• 0% Accelerated Return Notes due November 2018 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

CREDIT SUISSE AG, NASSAU BRANCH

• 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. 18; Cusip: 22548QN35

GOLDMAN SACHS BANK USA

• Variable-coupon basket-linked certificates of deposit due Nov. 29, 2021 linked to a basket of Altria Group, Inc., Apple, Inc., AT&T, Inc., Medtronic plc, Pfizer, Inc., QUALCOMM Inc., Home Depot, Inc., UnitedHealth Group Inc., Verizon Communications, Inc. and Wal-Mart Stores, Inc.; via Goldman Sachs & Co.; pricing Nov. 23; Cusip: 38148DPJ7

• Variable-coupon basket-linked certificates of deposit due Nov. 29, 2023 linked to a basket of Altria Group, Inc., Apple, Inc., AT&T, Inc., Medtronic plc, Pfizer, Inc., QUALCOMM Inc., Home Depot, Inc., UnitedHealth Group Inc., Verizon Communications, Inc. and Wal-Mart Stores, Inc.; via Goldman Sachs & Co.; pricing Nov. 23; Cusip: 38148DPG3

• Variable-coupon basket-linked certificates of deposit due Nov. 27, 2026 linked to a basket of Altria Group, Inc., Apple, Inc., AT&T, Inc., Medtronic plc, Pfizer, Inc., QUALCOMM Inc., Home Depot, Inc., UnitedHealth Group Inc., Verizon Communications, Inc. and Wal-Mart Stores, Inc.; via Goldman Sachs & Co.; pricing Nov. 23; Cusip: 38148DPH1

GOLDMAN SACHS GROUP, INC.

• Callable step-up fixed-rate notes due November 2021; via Goldman Sachs & Co. and Incapital LLC; pricing in November; Cusip: 38148TP60

• Fixed-to-floating notes due November 2026; via Goldman Sachs & Co.; pricing in November; Cusip: 38148TP94

• Callable step-up fixed-rate notes due November 2026; via Goldman Sachs & Co. and Incapital LLC; pricing in November; Cusip: 38148TP78

GS FINANCE CORP.

• Contingent income autocallable securities due Nov. 14, 2019 linked to the class A common stock of Facebook, Inc.; via Goldman Sachs & Co.; pricing Nov. 11; Cusip: 36251U236

• Contingent income callable securities due Nov. 15, 2018 linked to the lesser performing of the Russell 2000 index, the S&P 500 index and the Euro Stoxx 50 index; 75% trigger; via Goldman Sachs & Co. with Morgan Stanley Wealth Management; pricing Nov. 11; Cusip: 40054KP91

• 0% leveraged buffered notes due May 16, 2018 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 11; Cusip: 40054KP83

• Trigger autocallable contingent yield notes due Nov. 17, 2026 linked to the S&P 500 index and the Euro Stoxx 50 index; via Goldman Sachs & Co.; pricing Nov. 11; Cusip: 36251U228

• 0% Performance Leveraged Upside Securities due March 5, 2018 linked to the Russell 2000 index; via Goldman, Sachs & Co.; pricing Nov. 16; Cusip: 36251U210

• 0% buffered Performance Leveraged Upside Securities due June 5, 2019 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 16; Cusip: 36251U202

• Contingent income callable securities due Nov. 19, 2026 linked to the S&P 500 index; via Goldman Sachs & Co. and Morgan Stanley Wealth Management; pricing Nov. 16; Cusip: 40054KMZ6

• Contingent coupon notes due Nov. 28, 2022 linked to the Russell 2000 index; 70% trigger; via Goldman Sachs & Co.; pricing Nov. 18; Cusip: 40054KN69

• 0% leveraged notes due Nov. 25, 2019 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 18; Cusip: 40054KN77

• 0% notes due Nov. 27, 2024 linked to the Dow Jones industrial average; via Goldman Sachs & Co.; pricing Nov. 22; Cusip: 40054KNU6

• 0% notes due Aug. 24, 2020 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co.; pricing Nov. 22; Cusip: 40054KNK8

• 0% notes due Aug. 26, 2021 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co.; pricing Nov. 22; Cusip: 40054KNL6

• 0% notes due Nov. 26, 2021 linked to the GS Momentum Builder Multi-Asset 5S ER ; via Goldman Sachs & Co.; pricing Nov. 22; Cusip: 40054KNY8

• 0% notes due Nov. 28, 2022 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co.; pricing Nov. 22; Cusip: 40054KNV4

• 0% notes due Nov. 28, 2023 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co.; pricing Nov. 22; Cusip: 40054KNF9

• 0% notes due Nov. 27, 2026 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co.; pricing Nov. 22; Cusip: 40054KNH5

• 0% notes due Nov. 27, 2026 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co.; pricing Nov. 22; Cusip: 40054KNN2

• Two-year callable contingent coupon notes linked to the Russell 2000 index, the S&P 500 index and the Euro Stoxx 50 index; via Goldman Sachs & Co.; pricing Nov. 22; Cusip: 40054KLW4

• Leveraged buffered notes due May 29, 2019 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 22; Cusip: 40054KNT9

• Buffered notes due Nov. 29, 2021 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 22; Cusip: 40054KNS1

• Autocallable contingent coupon notes due May 25, 2018 linked to the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co.; pricing Nov. 22; Cusip: 40054KNX0

• Callable contingent coupon notes due Nov. 25, 2019 linked to the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co.; pricing Nov. 22; Cusip: 40054KNW2

• 0% autocallable notes due Nov. 29, 2019 linked to the Russell 2000 index; via Goldman Sachs & Co.; pricing Nov. 23; Cusip: 40054KN36

• 0% leveraged notes due Dec. 1, 2022 linked to the Dow Jones industrial average; via Goldman Sachs & Co.; pricing Nov. 28; Cusip: 40054KNM4

• Callable monthly range accrual notes due Nov. 30, 2026 linked to the Russell 2000 index; via Goldman Sachs & Co.; pricing Nov. 28; Cusip: 40054KND4

• Autocallable contingent coupon notes due June 5, 2018 linked to the Russell 2000 index and the S&P 500 index; 70% trigger; via Goldman Sachs & Co.; pricing Nov. 28; Cusip: 40054KNG7

• Callable contingent coupon notes due Nov. 30, 2020 linked to the Russell 2000 index and the S&P 500 index; 60% trigger; via Goldman Sachs & Co.; pricing Nov. 28; Cusip: 40054KP59

• Callable contingent coupon notes due Nov. 30, 2026 linked to the Russell 2000 index and the S&P 500 index; 50% trigger; via Goldman Sachs & Co.; pricing Nov. 28; Cusip: 40054KNJ1.

• Autocallable contingent coupon notes due Dec. 7, 2026 linked to the Russell 2000 index and the S&P 500 index; 50% trigger; via Goldman Sachs & Co.; pricing Nov. 28; Cusip: 40054KP26

• Callable CMS spread and index-linked range accrual notes due Nov. 30, 2031 linked to the Russell 2000 index and the S&P 500 index; 50% trigger; via Goldman Sachs & Co.; pricing Nov. 28; Cusip: 40054KP75

• 0% notes due Dec. 1, 2022 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 28; Cusip: 40054KNP7

• Callable monthly range accrual notes due Nov. 30, 2031 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 28; Cusip: 40054KNZ5

• 0% trigger gears due Nov. 30, 2026 linked to the Solactive Eurozone 50 Equal Weight 5% AR index; 70% trigger; via Goldman Sachs & Co.; pricing Nov. 28; Cusip: 36251U178

• 0% dual directional trigger Performance Leveraged Upside Securities due Dec. 4, 2019 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 30; Cusip: 36251U194

• 24-month 0% leveraged buffered notes linked to the iShares MSCI EAFE exchange-traded fund; via Goldman Sachs & Co.; Cusip: 40054KJX5

• 24-month 0% leveraged buffered notes linked to the iShares MSCI EAFE exchange-traded fund; via Goldman Sachs & Co.; Cusip: 40054KNA0

• Callable contingent coupon notes due Nov. 26, 2021 linked to the Russell 2000 index and the S&P 500 index; via Goldman Sachs & Co.; Cusip: 40054KNQ5

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

• 24- to 27-month 0% digital 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.

HSBC BANK USA, NA

• Income Plus certificates of deposit due Nov. 28, 2023 linked to the common stocks of Boeing Co., Cisco Systems, Inc., McDonald's Corp., Pfizer Inc. and Wal-Mart Stores, Inc.; via HSBC Securities (USA) Inc. and Incapital LLC; pricing Nov. 22; Cusip: 40434YDA2

• Income Plus certificates of deposit due Nov. 29, 2021 linked to the common stocks of Boeing Co., Cisco Systems, Inc., McDonald's Corp., Pfizer Inc. and Wal-Mart Stores, Inc.; via HSBC Securities (USA) Inc. and Incapital LLC; pricing Nov. 22; Cusip: 40434YCX3

• Rate Builder certificates of deposit due Nov. 29, 2021 linked to a basket of 10 stocks assigned Safety Rank 1 by Value Line (Bristol-Myers Squibb Co., Eli Lilly & Co., Exxon Mobil Corp., Intel Corp., International Business Machines Corp., McDonald's Corp., Pfizer Inc., Procter & Gamble Co., Verizon Communications Inc. and Wal-Mart Stores, Inc.); via HSBC Securities (USA) Inc. and Incapital LLC; pricing Nov. 22; Cusip: 40434YDL8

• Rate Builder certificates of deposit due Nov. 28, 2023 linked to a basket of 10 stocks assigned Safety Rank 1 by Value Line (Bristol-Myers Squibb Co., Eli Lilly & Co., Exxon Mobil Corp., Intel Corp., International Business Machines Corp., McDonald's Corp., Pfizer Inc., Procter & Gamble Co., Verizon Communications Inc. and Wal-Mart Stores, Inc.); via HSBC Securities (USA) Inc. and Incapital LLC; pricing Nov. 22; Cusip: 40434YDM6

HSBC USA INC.

• 0% barrier enhanced participation notes due Nov. 16, 2021 linked to the Russell 200 index and the S&P 500 index; 50% trigger; via HSBC Securities (USA) Inc.; pricing Nov. 10; Cusip: 40433UZV1

• 0% Accelerated Market Participation Securities due Feb. 16, 2018 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 10; Cusip: 40433UZP4

• Contingent income autocallable securities due Nov. 16, 2017 linked to Walgreens Boots Alliance, Inc. shares; 80% trigger; via HSBC Securities (USA) Inc. with Morgan Stanley Wealth Management; pricing Nov. 11; Cusip: 40435B312

• 0% leveraged buffered uncapped market participation securities due Nov. 29, 2021 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 18; Cusip: 40433UYE0

• Autocallable barrier notes with contingent return due Nov. 23, 2021 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 18; Cusip: 40433UZR0

• 0% buffered digital notes due Nov. 30, 2018 linked to the worse performing of the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 18; Cusip: 40433UYN0

• Income plus notes due Nov. 30, 2023 linked to basket of common stocks of Apple Inc., International Business Machines Corp., Eli Lilly & Co., Altria Group, Inc. and Verizon Communications, Inc.; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40433UYL4

• 0% buffered accelerated market participation securities due Nov. 30, 2018 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40433UYZ3

• 0% buffered accelerated market participation securities due May 31, 2019 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40433UZD1

• 0% buffered digital notes due Nov. 30, 2021 linked to the Dow Jones Industrial Average; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40433UYS9

• 0% leveraged buffered uncapped market participation securities due Nov. 30, 2021 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40433UYP5

• 0% buffered accelerated market participation securities due Nov. 30, 2018 linked to the iShares MSCI EAFE exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40433UZA7

• 0% leveraged buffered uncapped market participation securities due Nov. 30, 2021 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40433UYR1

• 0% leveraged buffered uncapped market participation 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. 21; Cusip: 40433UYW0

• 0% buffered accelerated market participation securities due Nov. 30, 2018 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40433UYY6

• 0% buffered accelerated market participation securities due May 31, 2019 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40433UZC3

• 0% buffered uncapped market participation securities due Nov. 30, 2021 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40433UYU4

• 3% to 3.25% buffered fixed-rate notes due Nov. 29, 2019 linked to the Russell 2000 index and the S&P 500 index via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40433UYD2

• 0% buffered accelerated market participation securities due Nov. 30, 2018 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40433UYX8

• 0% buffered accelerated market participation securities due May 31, 2019 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40433UZB5

• 0% buffered uncapped market participation securities due Nov. 29, 2019 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40433UYV2

• 0% buffered uncapped market participation securities due Nov. 30, 2021 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40433UYT7

• 0% digital dual directional barrier notes due Nov. 30, 2021 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40433UYQ3

• 0% barrier enhanced participation notes due May 29, 2020 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 23; Cusip: 40433UZQ2

• 0% trigger step securities due Nov. 30, 2020 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and HSBC Securities (USA) Inc.; pricing Nov. 28; Cusip: 40435C302

• 0% dual directional trigger Performance Leveraged Upside Securities due Dec. 4, 2019 linked to the Euro Stoxx 50 index; 80% trigger; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435B361

• 0% market-linked step-up notes due November 2019 linked to the Dow Jones industrial average; via BofA Merrill Lynch; pricing in November

• 0% autocallable market-linked step-up notes due November 2021 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in November

• 0% Capped Leveraged Index Return Notes due November 2018 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

• 0% Leveraged Index Return Notes due November 2021 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

• 0% market-linked step-up notes due November 2021 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

• 0% Strategic Accelerated Redemption Securities due November 2022 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

• 0% autocallable market-linked step-up notes due November 2022 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

• 17- to 20-month 0% buffered digital notes linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; Cusip: 40433UYB6

• 18- to 21-month 0% leveraged capped notes linked to the S&P 500 index; via HSBC Securities (USA) Inc.; Cusip: 40433UXH4

JPMORGAN CHASE BANK, NA

• 0% certificates of deposit due Nov. 30, 2021 linked to the J.P. Morgan Efficiente Plus DS 5 Index (Net ER); via J.P. Morgan Securities LLC and Incapital LLC; pricing Nov. 22; Cusip: 48126XLP8

• 0% certificates of deposit due Nov. 30, 2022 linked to the J.P. Morgan Efficiente Plus DS 5 Index (Net ER); via J.P. Morgan Securities LLC and Incapital LLC; pricing Nov. 22; Cusip: 48126XLQ6

• 0% certificates of deposit due Nov. 30, 2023 linked to the J.P. Morgan Efficiente Plus DS 5 Index (Net ER); via J.P. Morgan Securities LLC and Incapital LLC; pricing Nov. 22; Cusip: 48126XLR4

JPMORGAN CHASE & CO.

• Callable step-up fixed-rate notes due Nov. 21, 2036; via J.P. Morgan Securities LLC; pricing Nov. 16; Cusip: 48128GH52

• Callable contingent interest notes due Nov. 25, 2020 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 18; Cusip: 46646E2Z4

JPMORGAN CHASE FINANCIAL CO. LLC

• Uncapped contingent buffered equity notes due Nov. 16, 2021 linked to the least performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 10; Cusip: 46646E3G5

• 0% digital notes due Dec. 14, 2017 linked to the lesser performing of the Russell 2000 index and the iShares MSCI EAFE exchange-traded fund; via J.P. Morgan Securities LLC; pricing Nov. 10; Cusip: 46646E6E7

• Autocallable contingent interest notes due May 15, 2018 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 10; Cusip: 46646E6S6

• Trigger autocallable contingent yield notes due Dec. 4, 2019 linked to the lesser performing of the MSCI EAFE index and the Russell 2000 index; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Nov. 11; Cusip: 48128P688

• 0% trigger autocallable contingent yield notes due Nov. 16, 2026 linked to the S&P 500 index and the Russell 2000 index; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Nov. 11; Cusip: 48128P712

• 8% autocallable yield notes due Nov. 17, 2017 linked to Gilead Sciences, Inc. stock; 75% trigger; via J.P. Morgan Securities LLC; pricing Nov. 14; Cusip: 46646E6B3

• 0% capped buffered enhanced participation equity notes due Dec. 19, 2017 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 14; Cusip: 46646E6K3

• Autocallable contingent interest notes due May 21, 2018 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 16; Cusip: 46646E5L2

• Autocallable contingent interest notes due Feb. 21, 2018 linked to Apple Inc. stock; 75% trigger; via J.P. Morgan Securities LLC; pricing Nov. 15; Cusip: 46646E5W8

• Autocallable contingent interest notes due Nov. 21, 2018 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 16; Cusip: 46646E5M0

• Autocallable contingent interest notes due Nov. 19, 2020 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 16; Cusip: 46646E5N8

• Autocallable contingent interest notes due May 21, 2019 linked to the S&P GSCI Crude Oil Index Excess Return; via J.P. Morgan Securities LLC; pricing Nov. 16

• Autocallable contingent interest notes due Nov. 19, 2018 linked to the S&P GSCI Crude Oil Index Excess Return; via J.P. Morgan Securities LLC; pricing Nov. 16; Cusip: 46646E5J7

• Autocallable yield notes due Feb. 23, 2018 linked to the least performing of the Russell 2000 index, the S&P 500 index and the iShares MSCI Emerging Markets exchange-traded fund; via J.P. Morgan Securities LLC; pricing Nov. 17; Cusip: 46646E3B6

• 0% review notes due Nov. 23, 2020 linked to the lesser performing of the Financial Select Sector SPDR fund and the SPDR S&P Regional Banking exchange-traded fund; via J.P. Morgan Securities LLC; pricing Nov. 18; Cusip: 46646E6W7

• Autocallable contingent interest notes due Nov. 21, 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. 18; Cusip: 46646E3H3

• 0% review notes due Nov. 23, 2020 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 18; Cusip: 46646E3A8

• 0% review notes due Nov. 23, 2020 linked to the lesser performing of the S&P 500 index and the SPDR S&P Biotech exchange-traded fund; via J.P. Morgan Securities LLC; pricing Nov. 18; Cusip: 46646E6R8

• Callable contingent interest notes due Nov. 25, 2020 linked to the S&P 500 index and the Russell 2000 index; 50% trigger; via J.P. Morgan Securities LLC; pricing Nov. 18; Cusip: 46646E2Z4

• 8%-10% autocallable yield notes due Nov. 28, 2017 linked to Amazon.com, Inc. common stock; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E6M9

• Callable contingent interest notes due Nov. 30, 2021 linked to the lesser performing of the Dow Jones industrial average and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E5B4

• 0% capped buffered return enhanced notes due May 28, 2019 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E3U4

• 0% capped buffered return enhanced notes due Nov. 28, 2018 linked to the FTSE 100 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E3P5

• 0% capped buffered return enhanced notes due May 28, 2019 linked to the FTSE 100 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E3V2

• 0% capped buffered return enhanced notes due Nov. 28, 2018 linked to the iShares MSCI EAFE ETF; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E3L4

• 0% capped buffered return enhanced notes due May 28, 2019 linked to the iShares MSCI EAFE ETF; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E3S9

• 0% uncapped contingent buffered equity notes due Nov. 27, 2020 linked to the iShares MSCI EAFE exchange-traded fund; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E3F7

• 0% capped buffered return enhanced notes due Nov. 28, 2018 linked to the iShares MSCI Emerging Markets ETF; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip:46646E3M2

• 0% capped buffered return enhanced notes due May 28, 2019 linked to the iShares MSCI Emerging Markets ETF; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip:46646E3T7

• 0% capped buffered return enhanced notes due Nov. 28, 2018 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E3K6

• 0% capped buffered return enhanced notes due May 28, 2019 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E3R1

• 0% uncapped contingent buffered equity notes due Nov. 27, 2020 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E3Y6

• Callable contingent interest notes due Dec. 1, 2020 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E5C2

• 0% uncapped buffered return enhanced notes due Nov. 26, 2021 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E4Q2

• 0% capped buffered return enhanced notes due Nov. 28, 2018 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E3J9

• 0% capped buffered return enhanced notes due May 28, 2019 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E3Q3

• 0% uncapped contingent buffered equity notes due Nov. 27, 2020 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E3X8

• 0% uncapped buffered return enhanced notes due Nov. 27, 2020 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E3W0

• 0% uncapped dual directional notes due Nov. 26, 2021 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E4T6

• 5.5% to 7.5% yield notes due Sept. 27, 2017 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E4A7

• 4.75% to 6.75% yield notes due Oct. 26, 2017 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E4B5.

• 7.9%-9% autocallable yield notes due Nov. 28, 2017 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E4C

• Autocallable contingent interest notes due Nov. 28, 2017 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E4D1

• Autocallable contingent interest notes due Nov. 28, 2017 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E4M1

• 0% digital notes due Dec. 28, 2017 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E5A6

• 7.25%-9.25% autocallable yield notes due Feb. 27, 2018 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E4L3

• Autocallable contingent interest notes due Feb. 27, 2018 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E4E9

• Autocallable contingent interest notes due Feb. 27, 2018 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E4N9

• Autocallable contingent interest notes due Feb. 27, 2018 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E4P4

• Autocallable contingent interest notes due May 25, 2018 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E4H2

• Autocallable contingent interest notes due May 28, 2019 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E4J8

• 0% dual directional contingent buffered return enhanced notes due Nov. 27, 2019 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E4W9

• Autocallable contingent interest notes due Nov. 27, 2019 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E4F6

• 0% uncapped contingent buffered return enhanced notes due Nov. 27, 2020 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E4Z2

• 0% dual directional contingent buffered return enhanced notes due Nov. 27, 2020 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E4S8

• 0% contingent buffered return enhanced notes due Nov. 26, 2021 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E4Y5

• 0% contingent buffered return enhanced notes due Nov. 26, 2021 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E4V1

• 0% contingent buffered return enhanced notes due Nov. 26, 2021 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E4U3

• Autocallable contingent interest notes due Nov. 26, 2021 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E4K5

• Autocallable contingent interest notes due Nov. 26, 2021 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E4G4

• Autocallable contingent interest notes due Nov. 28, 2023 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip: 46646E5D0

• Callable range accrual notes due Nov. 28, 2031 linked to the 30-year U.S. dollar ICE swap rate, the two-year U.S. dollar ICE swap rate, the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 23; Cusip: 46646E5E8

• 0% capped trigger gears due Sept. 30, 2019 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Nov. 28; Cusip: 48128P753

• 0% trigger absolute return step securities due Nov. 30, 2021 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Nov. 28; Cusip: 48128P746

• Buffered callable range accrual notes due May 31, 2024 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 28; Cusip: 46646E5T5

• 0% trigger step securities due Nov. 30, 2020 linked to the S&P 500 index; via UBS Financial Services Inc.; pricing Nov. 28; Cusip: 48128P761

• Trigger autocallable contingent yield notes due Dec. 4, 2019 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Nov. 28; Cusip: 48128P696

• Autocallable contingent interest notes due Nov. 30, 2026 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 28; Cusip: 46646E5H1

MORGAN STANLEY

• Contingent income autocallable securities due Nov. 17, 2017 linked to the iShares Nasdaq Biotechnology exchange-traded fund; 80% trigger; via Morgan Stanley & Co. LLC; pricing Nov. 11; Cusip: 61766A582

• 0% capped buffered gears due Nov. 30, 2018 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Nov. 28; Cusip: 61766A566

• 0% trigger gears due Nov. 30, 2021 linked to the S&P 500 index; 75% trigger; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Nov. 28; Cusip: 61766F409

• 0% trigger gears due Nov. 30, 2021 linked to the S&P 500 index; 75% trigger; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Nov. 28; Cusip: 61766F417

• 0% trigger gears due Nov. 30, 2026 linked to the S&P 500 index; 50% trigger; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Nov. 28; Cusip: 61766F391

MORGAN STANLEY FINANCE LLC

• 0% buffered jump securities due May 16, 2019 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 11; Cusip: 61766F532

• 0% dual directional trigger Performance Leveraged Upside Securities due Dec. 5, 2018 linked to Apple Inc. common stock; via Morgan Stanley & Co. LLC; pricing Nov. 16; Cusip: 61766A574

• 0% buffered Performance Leveraged Upside Securities due June 5, 2019 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Nov. 16; Cusip: 61766F490

• 0% accelerated return securities due May 29, 2020 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Nov. 23; Cusip: 61768CBG1

• Contingent income securities due Nov. 28, 2031 linked to the worst performing of the Russell 2000 index and the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 23; Cusip: 61768CBK2

• 0% trigger Performance Leveraged Upside Securities due Nov. 29, 2021 linked to the S&P 500 index via Morgan Stanley & Co. LLC; pricing Nov. 23; Cusip: 61768CBS5

• 0% buffered jump securities due Nov. 30, 2021 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 28; Cusip: 61768CBV8

• 0% trigger absolute return step securities due Nov. 30, 2021 linked to the S&P 500 index; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Nov. 28; Cusip: 61766F441

• 0% trigger absolute return step securities due Nov. 30, 2021 linked to the S&P 500 index; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Nov. 28; Cusip: 61766F425

• Fixed-to-floating rate notes due Nov. 29, 2026 linked to Libor; via Morgan Stanley & Co. LLC; settlement Nov. 29

• Leveraged CMS curve securities due Nov. 29, 2036 linked to the spread of the 30-year ICE swap rate over the two-year ICE swap rate and the worse performing of the S&P 500 index and the Russell 2000 index; via Morgan Stanley & Co. LLC; settling Nov. 29; Cusip: 61766YAV3

• 0% autocallable securities due Dec. 5, 2018 linked to the Energy Select Sector SPDR Fund; via Morgan Stanley & Co. LLC and Wells Fargo Securities LLC; pricing Nov. 30; Cusip: 61761JZ44

• 0% buffered Performance Leveraged Upside Securities due Dec. 3, 2021 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Nov. 30; Cusip: 61766F482

• 0% trigger Performance Leveraged Upside Securities due Dec. 5, 2022 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Nov. 30; Cusip: 61766F474

• 0% dual directional trigger Performance Leveraged Upside Securities due Dec. 4, 2019 linked to the iShares MSCI Emerging Markets exchange-traded fund; via Morgan Stanley & Co. LLC; pricing Nov. 30; Cusip: 61766F508

• 0% dual directional trigger Performance Leveraged Upside Securities due Dec. 3, 2021 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 30; Cusip: 61766F516

• 0% market-linked notes due June 5, 2024 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 30; Cusip: 61766F466

• 0% capped leveraged buffered notes linked to a basket of the Euro Stoxx 50 index, the FTSE 100 index, the Tokyo Stock Price index, the Swiss Market index and the S&P/ASX 200 index; via Morgan Stanley; Cusip: 61768CBE6

• 22-to 25-month 0% leveraged buffered notes linked to the S&P 500 index; via Morgan Stanley; Cusip: 61768CBX4

ROYAL BANK OF CANADA

• Contingent income autocallable securities due May 16, 2017 linked to Barrick Gold Corp. shares; 70% trigger; via RBC Capital Markets, LLC and Morgan Stanley Wealth Management; pricing Nov. 11; Cusip: 78014C798

• 0% barrier booster notes due Nov. 23, 2020 linked to the Euro Stoxx 50 index; 70% trigger; via RBC Capital Markets, LLC; pricing Nov. 18; Cusip: 78012KVK0

• 0% capped gears due Jan. 31, 2018 linked to the Energy Select Sector SPDR fund; via UBS Financial Services Inc.; pricing Nov. 28; Cusip: 78014C673

• 0% capped gears due Jan. 31, 2018 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Nov. 28; Cusip: 78014C681

• Direct investment notes due Dec. 8, 2017 linked to the November 2016 RBC Capital Markets U.S. Equity Top Picks List; via RBC Capital Markets, LLC; pricing Nov. 28; Cusip: 78012KVJ3

• 7.5% STEP Income Securities due November 2017 linked to the common stock of Amazon.com, Inc.; via BofA Merrill Lynch; pricing in November

• 7.5% STEP Income Securities due November 2017 linked to Apple Inc. shares; via BofA Merrill Lynch; pricing in November

• 0% direct investment notes due Jan. 9, 2018 linked to the EquityCompass Equity Risk Management Strategy; via RBC Capital Markets, LLC; pricing Dec. 5; Cusip: 78012KVM6

AB SVENSK EXPORTKREDIT

• 0% Accelerated Return Notes due January 2018 linked to the MSCI Emerging Markets index; via BofA Merrill Lynch; pricing in November

TORONTO-DOMINION BANK

• Callable step-up notes due Nov. 28, 2023; via TD Securities (USA) LLC; pricing Nov. 22; Cusip: 89114QYJ1

• Autocallable contingent interest barrier notes due Nov. 27, 2019 linked to the VanEck Vectors Gold Miners exchange-traded fund; 60% trigger; via TD Securities (USA) LLC; pricing Nov. 22; Cusip: 89114QYE2

• Callable step-up notes due Nov. 28, 2021; via TD Securities (USA) LLC and Barclays; pricing Nov. 23; Cusip: 89114QYD4

• 24- to 27-month 0% leveraged capped buffered index-linked notes tied to the S&P 500 index; via TD Securities (USA) LLC and Goldman, Sachs & Co.

WELLS FARGO & CO.

• Step-up callable notes due Nov. 21, 2034; via Wells Fargo Securities LLC; pricing Nov. 16; Cusip: 94986RZ53

• Market-linked securities due Nov. 30, 2026 – callable with contingent coupon and contingent downside linked to the lesser performing of the Russell 2000 index and the Euro Stoxx 50 index; via Wells Fargo Securities LLC; pricing Nov. 28; Cusip: 94986RZ87

• Market-linked securities – autocallable with contingent coupon and contingent downside due Nov. 30, 2026 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; 50% trigger; via Wells Fargo Securities LLC; pricing Nov. 28; Cusip: 94986RZ95

• Market-linked securities due Nov. 30, 2026 – callable with contingent coupon and contingent downside linked to the lesser performing of the S&P 500 index and the Russell 2000 index; 50% trigger; via Wells Fargo Securities LLC; pricing Nov. 28; Cusip: 94986R2A8

• 0% market-linked autocallable securities with fixed percentage buffered downside due Dec. 7, 2020 linked to the S&P 500 index; via Wells Fargo Securities LLC; pricing Nov. 30; Cusip: 94986R2C4

• 24- to 27-month 0% enhanced return securities with upside participation and one-to-one downside exposure tied to the MSCI EAFE index; via Wells Fargo Securities LLC; Cusip: 98986RY70

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