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Prospect News home > News index > List of issuers Calendar > Headlines for 2017 > News item

Published on 11/16/2017 in the Prospect News Structured Products Daily.

Structured Products Calendar

BANK OF AMERICA CORP.

• Step-up callable notes due Nov. 22, 2027; via BofA Merrill Lynch; pricing Nov. 22; Cusip: 06048WVF4

BANK OF MONTREAL

• 0% bullish enhanced return notes due Feb. 28, 2019 linked to the Euro Stoxx 50 index; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06367TP61

• 0% bullish enhanced return notes due Feb. 28, 2019 linked to the Euro Stoxx 50 index; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06367TP79

• 0% notes due May 31, 2024 linked to the Euro Stoxx 50 index; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06367TN22

• 0% bullish enhanced return notes due Dec. 31, 2018 linked to the Russell 2000 index; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06367TP53

• 0% bullish enhanced return notes due Dec. 31, 2018 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06367TP46

• Autocallable barrier notes with contingent coupon due Dec. 31, 2018 linked to the SPDR S&P Biotech exchange-traded fund; 80% trigger; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06367TN89

• Autocallable barrier notes with contingent coupon due Dec. 31, 2018 linked to the SPDR S&P Oil & Gas Exploration & Production exchange-traded fund; 75% trigger; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06367TN63

• Autocallable barrier notes with contingent coupon due Dec. 31, 2018 linked to the SPDR S&P Biotech exchange-traded fund; 75% trigger; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06367TN55

• 0% contingent risk absolute return notes with digital upside due May 29, 2020 linked to the SPDR S&P Oil & Gas Exploration & Production exchange-traded fund; 75% trigger; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06367TP38

• Autocallable cash-settled notes with conditional interest payments due Nov. 30, 2021 linked to the lesser performing of the SPDR S&P Oil & Gas Exploration & Production exchange-traded fund and the VanEck Vectors Gold Miners ETF; 65% trigger; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06367TM98

• Autocallable barrier notes with contingent coupon due Dec. 31, 2018 linked to the VanEck Vectors Gold Miners exchange-traded fund; 75% trigger; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06367TN48

• 0% contingent risk absolute return notes with digital upside due Dec. 31, 2018 linked to the VanEck Vectors Gold Miners exchange-traded fund; 75% trigger; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06367TP20

BANK OF THE WEST

• 0% market-linked certificates of deposit due Nov. 27, 2024 linked to the Euro Stoxx 50 index; via BNP Paribas Securities Corp. and Incapital LLC; pricing Nov. 17; Cusip: 06426XUA6

• 0% market-linked certificates of deposit due Nov. 27, 2024 linked to the S&P 500 index; via BNP Paribas Securities Corp. and Incapital LLC; pricing Nov. 17; Cusip: 06426XUD0

• Income advantage market-linked certificates of deposit with a minimum annual interest payment due Nov. 27, 2024 linked to the stocks of Duke Energy Corp., Pfizer Inc., Philip Morris International Inc., Prudential Financial Inc. and Verizon Communications Inc.; via BNP Paribas Securities Corp. and Incapital LLC; pricing Nov. 21; Cusip: 06426XUC2

• 0% market-linked certificates of deposit due May 30, 2023 linked to the Morningstar Ultimate Stock-Pickers Target Volatility 7 index; via BNP Paribas Securities Corp. and Incapital LLC; pricing Nov. 21; Cusip: 06426XTX8

BARCLAYS BANK PLC

• Step-up callable notes due Nov. 24, 2027; via Barclays; pricing Nov. 17; Cusip: 06744CK26

• 0% dual directional trigger Performance Leveraged Upside Securities due May 21, 2020 linked to the common stock of Amazon.com, Inc.; via Barclays and Morgan Stanley Wealth Management; pricing Nov. 17; Cusip: 06746N642

• 0% notes due Nov. 22, 2023 linked to the Barclays Trailblazer Sectors 5 index; via Barclays; pricing Nov. 17; Cusip: 06744CJR3

• 0% notes due Nov. 21, 2024 linked to the Barclays Trailblazer Sectors 5 index; via Barclays; pricing Nov. 17; Cusip: 06744CJQ5

• Contingent income autocallable securities due Nov. 20, 2020 linked to the worst performing of the Energy Select Sector SPDR fund, the Financial Select Sector SPDR fund and the Technology Select Sector SPDR fund; via Barclays with Morgan Stanley Wealth Management as a dealer; pricing Nov. 17; Cusip: 06746N881

• Phoenix autocallable notes due Nov. 28, 2022 linked to the least performing of the Euro Stoxx 50 index and the Dow Jones industrial average; 64% trigger; via Barclays; pricing Nov. 22; Cusip: 06744CLJ8

• 0% SuperTrack notes due Nov. 30, 2022 linked to the lesser performing of the Russell 2000 index and the Dow Jones industrial average; 60% trigger; via Barclays; pricing Nov. 27; Cusip: 06744CKC4

• 0% market-linked notes due Dec. 5, 2022 with upside participation with quarterly averaging and principal return at maturity linked to the Dow Jones industrial average; via Barclays with Morgan Stanley Wealth Management; pricing Nov. 30; Cusip: 06744CKT7

• 0% trigger Performance Leveraged Upside Securities due Dec. 3, 2021 linked to the Euro Stoxx 50 index; 75% trigger; via Barclays with Morgan Stanley Wealth Management; pricing Nov. 30; Cusip: 06746N774

• Phoenix autocallable notes due May 31, 2019 linked to the SPDR S&P Oil & Gas Exploration & Production exchange-traded fund; 70% trigger; via Barclays; pricing Nov. 30; Cusip: 06744CH95

• 0% Leveraged Index Return Notes due November 2019 linked to Euro Stoxx 50 index, the FTSE 100 index, the Nikkei 225 index, the Swiss Market index, the S&P/ASX 200 index and the Hang Seng index; via BofA Merrill Lynch; pricing in November

• Notes due December 2018 linked to Microsoft Corp. stock; via BofA Merrill Lynch; pricing in November

• Market-linked step-up notes due November 2022 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in November

• Accelerated Return Notes due January 2019 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

BMO HARRIS BANK NA

• Annual digital yield generator certificates of deposit due Nov. 30, 2021 linked to the stocks of Chevron Corp., Coca-Cola Co., Exxon Mobil Corp., McDonald's Corp., Qualcomm Inc., Procter & Gamble Co., Southern Co., Target Corp., Verizon Communications Inc. and Vodafone Group plc; via BMO Capital Markets Corp. and Incapital LLC; pricing Nov. 27; Cusip: 05581WTG0

BOFA FINANCE LLC

• Market-linked step-up notes due November 2019 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in November

• 0% Market Index Target-Term Securities due November 2022 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in November

CANADIAN IMPERIAL BANK OF COMMERCE

• Contingent coupon autocallable notes due Nov. 22, 2022 linked to the VanEck Vectors Gold Miners exchange-traded fund and the SPDR S&P Oil & Gas Exploration & Production ETF; via Jefferies LLC; pricing Nov. 20; Cusip: 13605WGS4

CITIGROUP GLOBAL MARKETS HOLDINGS INC.

• 0% buffered Performance Leveraged Upside Securities due June 3, 2020 linked to the S&P 500 index; via Citigroup Global Markets Inc. with Morgan Stanley Smith Barney LLC as a dealer; pricing Nov. 17; Cusip: 17325K370

• 0% dual directional barrier securities due Nov. 24, 2020 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Nov. 17; Cusip 17324CNL6

• 0% dual directional barrier securities due Nov. 24, 2020 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Nov. 17; Cusip 17324CNM4

• 10.65% autocallable equity-linked securities due May 22, 2019 tied to VanEck Vectors Gold Miners exchange-traded fund, the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Nov. 17; Cusip: 17324CPA8

• Callable barrier leveraged CMS spread range accrual securities due Nov. 22, 2032 linked to the worst performing of the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Nov. 20; Cusip: 17324CP34

• Non-callable fixed-to-floating notes due Nov. 27, 2020; via Citigroup Global Markets Inc.; pricing Nov. 21; Cusip: 17324CNX0

• Non-callable fixed-to-floating notes due Nov. 24, 2027; via Citigroup Global Markets Inc.; pricing Nov. 21; Cusip: 17298CFP

• 0% buffer securities due May 24, 2019 linked to the iShares MSCI EAFE exchange-traded fund; via Citigroup Global Markets Inc.; pricing Nov. 21; Cusip: 17324CP75

• 0% buffer securities due May 24, 2019 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Nov. 21; Cusip: 17324CP67

• 0% enhanced buffered digital securities due Dec. 3, 2020 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Nov. 27; Cusip: 17324CNN2

• 0% enhanced barrier digital plus securities due Dec. 1, 2022 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Nov. 28; Cusip: 17324CNR3

• 0% buffer securities due Dec. 3, 2022 linked to the worst performing of the S&P 500 index and the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Nov. 28; Cusip 17324CNS1

• Autocallable contingent coupon equity-linked securities due Dec. 4, 2018 linked to the least performing of the common stocks of Caterpillar Inc. and ConocoPhillips; 77.5% trigger; via Citigroup Global Markets Inc.; pricing Nov. 29; Cusip: 17324XGT1

CREDIT SUISSE AG, LONDON BRANCH

• 12.45% autocallable reverse convertible securities due Nov. 21, 2018 linked to a basket of three stocks (Advanced Micro Devices, Inc., Bank of America Corp. and United Rentals, Inc.); via Credit Suisse Securities (USA) LLC; pricing Nov. 17; Cusip: 22549JMJ6

• Contingent coupon callable yield notes due Nov. 27, 2020 linked to the SPDR S&P Biotech exchange-traded fund and the Technology Select Sector SPDR fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 17; Cusip: 22550BMX8

• Autocallable securities due Nov. 29, 2024 linked to least performing of the Russell 2000 index and the Euro Stoxx 50 index; 65% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 24; Cusip: 22550BPP2

• Callable daily range accrual securities due May 30, 2025 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22550BPE7

• Contingent coupon autocallable yield notes due June 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

• Contingent coupon callable yield notes due Dec. 5, 2022 linked to the Russell 2000 index and the Euro Stoxx 50 index; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22550BNE9

• Callable step-up fixed-rate notes due November 2022; via Goldman, Sachs & Co.; pricing in November; Cusip: 38150A5B7

• 0% Accelerated Return Notes due January 2019 linked to a basket consisting of the Euro Stoxx 50 index with a 40% weight, the FTSE 100 index with a 20% weight, the Nikkei Stock Average index with a 20% weight, the Swiss Market index with a 7.5% weight, the S&P/ASX 200 index with a 7.5% weight and the Hang Seng index with a 5% weight; via Merrill Lynch & Co.; pricing in November

• 0% accelerated barrier notes due Dec. 18, 2020 linked to the Dow Jones industrial average and the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 15; Cusip: 22550BPS6

GOLDMAN SACHS GROUP, INC.

• Callable step-up fixed-rate notes due November 2025; via Goldman, Sachs & Co.; pricing in November; Cusip: 38150A5A9

GS FINANCE CORP.

• 0% buffer gears due Nov. 30, 2022 linked to the Euro Stoxx 50 index; via Goldman Sachs & Co.; pricing Nov. 17; Cusip: 36254F350

• 0% market-linked notes due May 31, 2023 linked to Euro Stoxx 50 index, the FTSE 100 index, Nikkei 225 index, the Swiss Market index, the S&P/ASX 200 index and the Hang Seng index; via Goldman Sachs & Co. LLC; pricing Nov. 17; Cusip: 40055A3U9

• 0% digital notes due May 24, 2019 linked to the iShares MSCI Emerging Markets exchange-traded fund and the Euro Stoxx 50 index; via Goldman Sachs & Co.; pricing Nov. 17; Cusip: 40054LYN8

• 0% digital notes due May 24, 2019 linked to the iShares MSCI Emerging Markets exchange-traded fund and the Euro Stoxx 50 index; via Goldman Sachs & Co.; pricing Nov. 17; Cusip: 40054LYP3

• 0% index-linked notes due May 20, 2021 tied to the iShares MSCI EAFE exchange-traded fund and the iShares MSCI Emerging Markets ETF; 70% trigger; via Goldman, Sachs & Co.; pricing Nov. 17; Cusip: 40055A3M7

• 0% notes due May 24, 2023 linked to the Motif Capital National Defense Price Return index; via Goldman Sachs & Co.; pricing Nov. 17; Cusip: 40054LYW8

• 0% notes due Nov. 24, 2021 linked to the Motif Capital National Defense Price Return index; via Goldman Sachs & Co.; pricing Nov. 17; Cusip: 40054LYV0

• Trigger autocallable contingent yield notes due Nov. 22, 2022 linked to the MSCI EAFE index and the Russell 2000 index; via Goldman Sachs & Co.; pricing Nov. 17; Cusip: 36254F343

• Callable contingent coupon notes due Nov. 27, 2021 linked to the least performing of the Russell 2000 index and the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 17; Cusip: 40054LYX6

• 0% buffer gears due Nov. 30, 2022 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 17; Cusip: 36254F368

• 0% digital notes due Nov. 27, 2023 linked to the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co.; pricing Nov. 17; Cusip: 40054LYQ1

• 0% digital notes due Nov. 27, 2023 linked to the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co.; pricing Nov. 17; Cusip: 40054LYR9

• 4.25% callable fixed coupon buffered notes due Nov. 30, 2022 linked to the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Nov. 27; Cusip: 40054LZJ6

• 0% capped gears due Jan. 31, 2019 linked to Euro Stoxx 50 index, the FTSE 100 index, Nikkei 225 index, the Swiss Market index, the S&P/ASX 200 index and the Hang Seng index; via Goldman Sachs & Co. LLC; pricing Nov. 28; Cusip: 36254F327

• 0% autocallable notes due Dec. 2, 2020 linked to least performing of the Russell 2000 index and the Euro Stoxx 50 index; 70% trigger; via Goldman Sachs & Co. LLC; pricing Nov. 27; Cusip: 40055A2B2

• Callable buffered monthly range accrual notes due Nov. 30, 2023 linked to the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Nov. 28; Cusip: 40054LZF4

• Callable monthly range accrual notes due Nov. 30, 2027 linked to the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Nov. 28; Cusip: 0054LZA5

• Callable contingent coupon notes due Nov. 30, 2022 linked to least performing of the Russell 2000 index and the S&P 500 index; 65% trigger; via Goldman Sachs & Co. LLC; pricing Nov. 28; Cusip: 40055A2Q9

• Callable contingent coupon notes due May 30, 2023 linked to least performing of the Russell 2000 index and the S&P 500 index; 55% trigger; via Goldman Sachs & Co. LLC; pricing Nov. 28; Cusip: 40055A2J5

• Autocallable contingent coupon notes due Dec. 6, 2027 linked to least performing of the Russell 2000 index and the Euro Stoxx 50 index; 50% trigger; via Goldman Sachs & Co. LLC; pricing Nov. 28; Cusip: 40055A2F3

• Callable monthly range accrual notes due Nov. 30, 2032 linked to the Russell 2000 index and the S&P 500 index; 50% trigger; via Goldman Sachs & Co. LLC; pricing Nov. 28; Cusip: 40054LZN7

• 4.25% coupon buffered notes due Dec. 7, 2020 linked to the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Nov. 30; Cusip: 40055A3S4

• 0% index-linked notes due June 4, 2021 tied to the S&P 500 index and the Russell 2000 index; 70% trigger; via Goldman Sachs & Co. LLC; pricing Nov. 30; Cusip: 40055A2C0

• Callable step-up fixed-rate notes due November 2023; via Goldman, Sachs & Co.; pricing in November; Cusip: 38150A4V4

• 36- to 39-month 0% autocallable buffered notes linked to the Euro Stoxx 50 index; via Goldman Sachs & Co.

• 24- to 27-month 0% leveraged buffered notes liked to the Euro Stoxx 50, FTSE 100, Topix, Swiss Market and S&P/ASX 200 indexes; via Goldman Sachs & Co.

• 36- to 39-month 0% autocallable buffered notes linked to a basket of the 25 stocks included in the Euro Stoxx Banks index; via Goldman Sachs & Co.

• 0% 34- to 37-month leveraged buffered index-linked notes tied to the Dow Jones industrial average; via Goldman, Sachs & Co.

HSBC BANK USA, NA

• Income Plus certificates of deposit due Nov. 28, 2022 linked to the common stocks of Altria Group Inc., Bristol-Myers Squibb Co., Ford Motor Co., HP Inc. and Verizon Communications Inc.; via HSBC Securities (USA) Inc. and Incapital LLC; pricing Nov. 21; Cusip: 40434YRF6

• Income Plus certificates of deposit due Nov. 27, 2024 linked to the common stocks of Altria Group Inc., Bristol-Myers Squibb Co., Ford Motor Co., HP Inc. and Verizon Communications Inc.; via HSBC Securities (USA) Inc. and Incapital LLC; pricing Nov. 21; Cusip: 40434YRH2

• Autocallable target income certificates of deposit due Nov. 27, 2024 linked to the common stocks of Altria Group Inc., Bristol-Myers Squibb Co., Ford Motor Co., HP Inc. and Verizon Communications Inc.; via HSBC Securities (USA) Inc. and Incapital LLC; pricing Nov. 21; Cusip: 40434YRR0

• 0% growth opportunity certificates of deposit due Feb. 28, 2022 linked to the HSBC Vantage5 Index (USD) Excess Return; via HSBC Securities (USA) Inc. and Incapital LLC; pricing Nov. 21; Cusip: 40434YRP4

• 0% growth opportunity certificates of deposit due Nov. 27, 2024 linked to the HSBC Vantage5 Index (USD) Excess Return; via HSBC Securities (USA) Inc. and Incapital LLC; pricing Nov. 21; Cusip: 40434YRQ2

• 0% autocallable certificates of deposit due Nov. 27, 2024 linked to the HSBC Vantage5 Index (USD) Excess Return; via HSBC Securities (USA) Inc. and Incapital LLC; pricing Nov. 21; Cusip: 40434YRE9

• 0% accumulated return certificates of deposit due Nov. 28, 2022 linked to the S&P 500 index; via HSBC Securities (USA) Inc. and Incapital LLC; pricing Nov. 21; Cusip: 40434YRM1

HSBC USA INC.

• Contingent income autocallable securities due May 22, 2019 linked to the lesser performing of Amazon.com, Inc. and Facebook, Inc.; via J.P. Morgan Securities LLC and Morgan Stanley Smith Barney LLC; pricing Nov. 17; Cusip: 48129K845

• Autocallable barrier notes with contingent return due Nov. 29, 2021 linked to the least performing of the Euro Stoxx 50 index and the iShares MSCI Emerging Markets exchange-traded fund; 70% trigger; via HSBC Securities (USA) Inc.; pricing Nov. 17; Cusip: 40435FJW8

• 0% barrier enhanced participation notes due May 24, 2021 linked to the lesser performing of the iShares MSCI EAFE exchange-traded fund and the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Nov. 17; Cusip: 40435FLN5

• 0% barrier enhanced participation notes due Nov. 22, 2022 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 17; Cusip: 40435FLP0

• 0% contingent buffered notes due Dec. 5, 2018 linked to the SPDR S&P Oil & Gas Exploration & Production exchange-traded fund; via HSBC Securities (USA) Inc. with JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC as placement agents; pricing Nov. 17; Cusip: 40435FMA2

• 0% barrier enhanced participation notes due Nov. 25, 2022 linked to the least performing of the Euro Stoxx 50 index and the iShares MSCI EAFE exchange-traded fund; 65% trigger; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40435FLR6

• 0% buffered Accelerated Market Participation Securities due Feb. 28, 2019 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 22 Cusip: 40435FLQ8

• 4.25% fixed-rate buffered notes due Dec. 2, 2024 linked to Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435FKX4

• Autocallable barrier notes with contingent return due Nov. 30, 2027 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip 40435FLA3

• 0% trigger step securities due Nov. 30, 2021 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and HSBC Securities (USA) Inc.; pricing Nov. 28; Cusip: 40435H194

• 0% trigger absolute return step securities due Nov. 30, 2022 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and HSBC Securities (USA) Inc.; pricing Nov. 28; Cusip: 40435H228

• 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 HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435FKA4

• 0% dual directional trigger jump securities due Dec. 5, 2022 linked to the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc. and Morgan Stanley Wealth Management; pricing Nov. 30; Cusip: is 40435H236

• 0% Leveraged Index Return Notes due November 2022 linked to the Dow Jones industrial average; via BofA Merrill Lynch; pricing in November

• 0% Strategic Accelerated Redemption Securities due November 2023 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in November

• Autocallable market-linked step-up notes due November 2022 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in November

• Market-linked step-up notes due December 2019 linked to the Hang Seng China Enterprises index, the Kospi 200 index and the Taiwan Stock Exchange Capitalization Weighted index; via BofA Merrill Lynch; pricing in November

• 0% Accelerated Return Notes due January 2019 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in November

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

• 0% Performance Leveraged Upside Securities due March 5, 2019 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC with Morgan Stanley Smith Barney LLC handling distribution; pricing Nov. 17; Cusip: 48129K407

• 0% uncapped contingent buffered return enhanced notes due Nov. 22, 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. 17; Cusip: 48129HMU8

• Callable contingent interest notes due Nov. 24, 2020 linked to the lesser performing of the Russell 2000 index and the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 17; Cusip: 48129HJB4

• Callable contingent interest notes due Nov. 24, 2027 linked to the lesser performing of the Russell 2000 index and the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 17; Cusip: 48129HNZ6

• 0% capped buffered return enhanced notes due May 24, 2019 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 21; Cusip: 48129HNJ2

• Callable contingent interest notes due Dec. 5, 2024 linked to the least performing of the Euro Stoxx 50 index, the Russell 2000 index and the S&P 500 index; 65% trigger; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48129HMZ7

• Autocallable contingent interest notes due Dec. 3, 2024 linked to the least performing of the Euro Stoxx 50 index and the iShares MSCI Emerging Markets exchange-traded fund; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48129HNS2

• 0% capped buffered return enhanced notes due Dec. 3, 2019 linked to the iShares MSCI Emerging Markets exchange-traded fund; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48129HPC5

• 0% capped buffered return enhanced notes due Dec. 3, 2019 linked to the Nikkei 225 index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48129HPD3

• 0% capped buffered return enhanced notes due Dec. 3, 2019 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48129HPA9

• 0% capped gears due Jan. 31, 2019 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC and UBS Financial Services Inc.; pricing Nov. 28; Cusip: 48129K605

• 0% trigger gears due Nov. 30, 2022 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Nov. 28; Cusip: 48129J111

• 0% capped buffer gears due Nov. 29, 2019 linked to the Euro Stoxx 50, Nikkei 225, FTSE 100, Swiss Market, S&P/ASX 200 and Hang Seng indexes; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Nov. 28; Cusip: 48129K878

• 0% contingent buffered digital notes due Dec. 19, 2024 linked to the least performing of the S&P 500 index, the Russell 2000 index and the Dow Jones industrial average; via J.P. Morgan Securities LLC; pricing Dec. 15; Cusip: 48129HNA1

• 0% contingent buffered digital notes due July 18, 2025 linked to the least performing of the S&P 500 index, the Russell 2000 index and the Dow Jones industrial average; via J.P. Morgan Securities LLC; pricing Dec. 15; Cusip: 48129HND5

JPMORGAN CHASE FINANCIAL CO. LLC

• 0% contingent buffered digital notes due Nov. 22, 2023 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 17; Cusip: 48129HPL5

• 0% contingent buffered digital notes due Nov. 22, 2023 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 17; Cusip: 48129HPM3

MORGAN STANLEY FINANCE LLC

• Contingent income autocallable securities due Nov. 20, 2020 linked to Bank of America Corp. common stock; via Morgan Stanley & Co. LLC; pricing Nov. 17; Cusip: 61768K331

• Contingent income autocallable securities due Nov. 20, 2020 linked to Bristol-Myers Squibb Co. common stock; via Morgan Stanley & Co. LLC; pricing Nov. 17; Cusip: 61768K315

• 0% buffered Performance Leveraged Upside Securities due June 3, 2020 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Nov. 17; Cusip: 61768J821

• 0% trigger jump securities due Dec. 4, 2019 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Nov. 17; Cusip: 61768J813

• 0% trigger Performance Leveraged Upside Securities due March 5, 2019 linked to the Euro Stoxx Banks index; 80% trigger; via Morgan Stanley & Co. LLC; pricing Nov. 17; Cusip: 61768J888

• 0% review notes due Nov. 20, 2019 linked to the Euro Stoxx Banks index; via Morgan Stanley & Co. LLC with JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC as placement agents; pricing Nov. 17; Cusip: 61768CUL9

• Contingent income autocallable securities due Nov. 20, 2020 linked to Gilead Sciences Inc. common stock; via Morgan Stanley & Co. LLC; pricing Nov. 17; Cusip: 61768K323

• 0% Performance Leveraged Upside Securities due March 5, 2019 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 17; Cusip: 61768J839

• 0% market plus notes due May 22, 2019 linked to the S&P 500 index; via Morgan Stanley & Co. LLC with JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC as placement agents; pricing Nov. 17; Cusip: 61768CUN5

• 0% dual directional trigger Performance Leveraged Upside Securities due Nov. 22, 2021 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Nov. 17; Cusip: 61768CUG0

• 0% dual directional trigger Performance Leveraged Upside Securities due Nov. 22, 2022 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Nov. 17; Cusip: 61768CUF2

• 0% return enhanced notes due Dec. 5, 2018 linked to the SPDR S&P Regional Banking exchange-traded fund; via Morgan Stanley & Co. LLC with JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC as placement agents; pricing Nov. 17; Cusip: 61761J4E6

• 0% Performance Leveraged Upside Securities due March 5, 2019 linked to the Tokyo Stock Price index; via Morgan Stanley & Co. LLC; pricing Nov. 17; Cusip: 661768J847

• Contingent income autocallable securities due Dec. 3, 2019 linked to Applied Materials, Inc., Goodyear Tire & Rubber Co. and Illumina, Inc.; 50% trigger; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 61768CTR8

• Contingent income autocallable securities due Dec. 2, 2020 linked to Applied Materials, Inc., Bank of America Corp. and Illumina, Inc.; 50% trigger; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 61768CTS6

• 0% trigger Performance Leveraged Upside Securities due Nov. 30, 2022 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 61768CSP3

• 0% buffered Performance Leveraged Upside Securities due June 1, 2020 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 61768CSW8

• Contingent income autocallable securities due Dec. 2, 2020 linked to Home Depot, Inc. and Lowe’s Cos., Inc.; 70% trigger; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 61768CUC9

• 0% capped gears due Jan. 31, 2019 linked to the iShares MSCI Emerging Markets exchange-traded fund; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Nov. 27; Cusip: 61768K141

• 0% jump securities with autocallable feature due May 30, 2025 linked to the Morgan Stanley MAP Trend index; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 661768CTF4

• Callable contingent income securities due Dec. 2, 2032 linked to the Russell 2000 index and the Euro Stoxx 50 index; 50% trigger; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 61768CSV0

• 0% trigger absolute return step securities due Nov. 30, 2022 linked to the S&P 500 index; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Nov. 27; Cusip: 61768K166

• 0% trigger absolute return step securities due Nov. 30, 2022 linked to the S&P 500 index; via Morgan Stanley & Co. LLC, and UBS Financial Services Inc.; pricing Nov. 27; Cusip: 61768K158

• 0% capped trigger gears due Nov. 30, 2020 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Nov. 28; Cusip: 61768K182

• 0% trigger gears due Nov. 30, 2027 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Nov. 28; Cusip: 61768K174

• 0% trigger gears due Nov. 30, 2020 linked to the Euro Stoxx 50, FTSE 100, Nikkei 225, Swiss Market, S&P/ASX 200 and Hang Seng indexes; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Nov. 28; Cusip: 61768K208

• 0% trigger gears due Nov. 30, 2022 linked to the Euro Stoxx 50, FTSE 100, Nikkei 225, Swiss Market, S&P/ASX 200 and Hang Seng indexes; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Nov. 28; Cusip: 61768K190

• 0% buffered Performance Leveraged Upside Securities due Dec. 3, 2020 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Nov. 30; Cusip: 61768CTD9

• 0% buffered Performance Leveraged Upside Securities due Dec. 5, 2022 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Nov. 30; Cusip: 61768CTE7

• 0% trigger Performance Leveraged Upside Securities due Dec. 5, 2023 linked to the Euro Stoxx 50 index; 65% trigger; via Morgan Stanley & Co. LLC; pricing Nov. 30; Cusip: 61768J862

• 0% market-linked notes due Dec. 4, 2024 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Nov. 30; Cusip: 61768J870

• 0% leveraged basket-linked notes tied to a basket of indexes (Euro Stoxx 50 index with a 37% weight, the FTSE 100 index with a 23% weight, the Tokyo Stock Price 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; Cusip: 61768CTT4

ROYAL BANK OF CANADA

• 0% absolute return notes due June 2, 2021 linked to the S&P 500 index; via RBC Capital Markets, LLC; pricing Nov. 27; Cusip: 78013GLK9

• 0% market-linked securities with leveraged upside participation to a cap and fixed percentage buffered downside due Dec. 5, 2019 linked to the Euro Stoxx 50 index; via Wells Fargo Securities, LLC; pricing Nov. 30; Cusip 78013XAC2

• 0% dual directional trigger Performance Leveraged Upside Securities due Dec. 3, 2020 linked to the iShares U.S. Real Estate exchange-traded fund; 80% trigger; via RBC Capital Markets, LLC with Morgan Stanley Wealth Management; pricing Nov. 30; Cusip: 78013F560

• 0% dual directional trigger jump securities due Dec. 5, 2022 linked to the S&P 500 index; via RBC Capital Markets, LLC as agent with Morgan Stanley Wealth Management as dealer; pricing Nov. 30; Cusip 78013F578

TORONTO-DOMINION BANK

• 0% capped leveraged buffered notes due Nov. 26, 2019 linked to the Russell 2000 index; via TD Securities (USA) LLC; pricing Nov. 21; Cusip: 89114QJW9

UBS AG, LONDON BRANCH

• 0% trigger autocallable contingent yield notes due Dec. 2, 2020 linked to the common stocks of Bank of America Corp. and JPMorgan Chase & Co.; 70% trigger; via UBS Securities LLC and UBS Investment Bank; pricing Nov. 27; Cusip: 90270KPB9

• 0% capped gears due Jan. 31, 2019 linked to the Russell 2000 index; via UBS Investment Bank and UBS Financial Services Inc.; pricing Nov. 27; Cusip: 90280X588

• 0% capped gears due Jan. 31, 2019 linked to the Euro Stoxx Banks index; via UBS Securities LLC and UBS Investment Bank; pricing Nov. 28; Cusip 90280X596

WELLS FARGO & CO.

• Market-linked securities due Nov. 30, 2020 – autocallable with contingent coupon and contingent downside linked to the common stocks of E*Trade Financial Corp., Southwest Airlines Co., CVS Health Corp. and Norwegian Cruise Line Holdings Ltd.; 60% trigger; via Wells Fargo Securities LLC; pricing Nov. 27; Cusip: 95000E3W7

• Market-linked securities due Dec. 2, 2025 – callable with contingent coupon and contingent downside linked to the least performing of the S&P 500 index and the Russell 2000 index; 60% trigger; via Wells Fargo Securities LLC; pricing Nov. 27; Cusip: 95000E4B2

• Market-linked securities due Nov. 30, 2027 – callable with contingent coupon and contingent downside linked to the least performing of the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; 50% trigger; via Wells Fargo Securities LLC; pricing Nov. 27; Cusip: 95000E4C0

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