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Structured Products Calendar
BANK OF AMERICA CORP.
• 0% autocallable market-linked step-up notes due October 2018 linked to the Energy Select Sector index; via BofA Merrill Lynch; pricing in October
• 0% Accelerated Return Notes due December 2017 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in October
• 0% Capped Leveraged Index Return Notes due December 2017 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in October
• 0% Accelerated Return Notes due December 2017 linked to Euro Stoxx 50 index, the FTSE 100 index, the Nikkei Stock Average index, the Swiss Market index, the S&P/ASX 200 index and the Hang Seng index; via BofA Merrill Lynch; pricing in October
• 0% Capped Leveraged Index Return Notes due December 2017 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in October
• 0% bear Strategic Accelerated Redemption Securities due April 2018 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in October
• 0% Strategic Accelerated Redemption Securities due November 2017 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in October
• 0% Accelerated Return Notes due December 2017 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in October
• 0% market-linked step-up notes due October 2018 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in October
• Step-up callable notes due Nov. 7, 2036; via BofA Merrill Lynch; settling Nov. 7; Cusip: 06048WTT7
BANK OF MONTREAL
• 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% 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: 06367TNC0
• 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% 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
• 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 Nov. 3, 2021 linked to the Euro Stoxx 50 index; via Scotia Capital (USA) Inc. and Wells Fargo Securities LLC; pricing Oct. 31; Cusip: 064159JA5
• 0% autocallable market-linked step-up notes due October 2019 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in October
• 0% autocallable market-linked step-up notes due October 2021 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in October
• Autocallable market-linked step-up notes due October 2019 linked to the S&P 500 index; via Merrill Lynch & Co.; pricing in October
BARCLAYS BANK PLC
• 0% capped gears due Dec. 29, 2017 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and Barclays; pricing Oct. 27; Cusip: 06745R800
• 0% capped buffered gears due Oct. 31, 2018 linked to the Euro Stoxx 50 index; via Barclays and UBS Financial Services Inc.; pricing Oct. 27; Cusip: 06745B177
• Trigger autocallable contingent yield notes due Oct. 30, 2026 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; 50% trigger; via UBS Financial Services Inc. and Barclays; pricing Oct. 27; Cusip: 06745R701
• Trigger autocallable contingent yield notes due Oct. 30, 2026 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; 50% to 52% trigger; via UBS Financial Services Inc. and Barclay; pricing Oct. 27; Cusip: 06745R859
• 0% Performance Leveraged Upside Securities due Feb. 5, 2018 linked to the Russell 2000 index; via Barclays with Morgan Stanley Wealth Management; pricing Oct. 31; Cusip: 06744M802
• 0% lookback entry Performance Leveraged Upside Securities due Feb. 5, 2018 linked to the S&P 500 index; via Barclays with Morgan Stanley Wealth Management as dealer; pricing Oct. 31; Cusip: 06744M851
• 0% Performance Leveraged Upside Securities due May 3, 2019 linked to the S&P 500 index; via Barclays with Morgan Stanley Wealth Management; pricing Oct. 31; Cusip: 06744M703
• Step-up fixed-rate callable notes due Oct. 28, 2031; via Barclays; Cusip: 06741VD66
CANADIAN IMPERIAL BANK OF COMMERCE
• 0% market-linked securities – autocallable with fixed percentage buffered downside due Nov. 4, 2019 linked to the Financial Select Sector SPDR fund; via Wells Fargo Securities, LLC; pricing Oct. 31; Cusip: 13605WBV2
• 0% market-linked step-up notes due October 2018 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in October
• 0% Accelerated Return Notes due December 2017 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in October
• 0% Accelerated Return Notes due October 2018 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in October
• 0% Capped Leveraged Index Return Notes due October 2018 linked to S&P 500 index, MSCI EAFE index and MSCI Emerging Markets index; via BofA Merrill Lynch; pricing in October
CITIGROUP GLOBAL MARKETS HOLDINGS INC.
• 0% enhanced barrier digital plus securities due Nov. 1, 2021 linked to the Dow Jones industrial average; via Citigroup Global Markets Inc.; pricing Oct. 27; Cusip: 17324C7K6
• 0% dual directional barrier securities due April 30, 2020 linked to the S&P 500 index; 70% trigger; via Citigroup Global Markets Inc. and UBS Financial Services Inc.; pricing Oct. 27; Cusip: 17324CBP0
• 0% buffer securities due Nov. 1, 2021 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Oct. 27; Cusip: 17324CBJ4
• 0% market-linked notes due Nov. 2, 2021 linked to the iShares Core U.S. Aggregate Bond ETF, the Dow Jones Industrial Average and the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Oct. 28; Cusip: 17324CBN5
• 24- to 27-month 0% buffered notes linked to the S&P 500 index; 90% trigger; via Citigroup Global Markets Inc.; Cusip: 17324CC38
CITIGROUP INC.
• Callable step-up coupon notes due Nov. 10, 2036; via Citigroup Global Markets Inc.; pricing Nov. 7; Cusip: 1730T32F9
CREDIT SUISSE AG
• Autocallable contingent income securities due May 3, 2017 linked to the common stock of Anadarko Petroleum Corp.; via Credit Suisse Securities (USA) LLC; pricing Oct. 28; Cusip: 22548QLG8
CREDIT SUISSE AG, LONDON BRANCH
• 6%-7.1% airbag autocallable yield optimization notes due Nov. 6, 2017 linked to eBay Inc. common stock; via HSBC Securities (USA) Inc. is the underwriter with UBS Financial Services Inc.; pricing Oct. 27; Cusip: 40435B452
• Trigger callable contingent yield notes with daily coupon observation due Nov. 5, 2018 linked to the least performing of the Euro Stoxx 50 index, the Russell 2000 index and the S&P 500 index; 65% trigger; via UBS Financial Services Inc.; pricing Oct. 27; Cusip: 22548T448
• 0% capped trigger gears due Nov. 2, 2018 linked to the Health Care Select Sector SPDR Fund; via UBS Financial Services Inc.; pricing Oct. 27; Cusip: 22548T463
• Trigger autocallable contingent yield notes due Nov. 2, 2018 linked to the iShares Russell 2000 exchange-traded fund; via UBS Financial Services Inc.; pricing Oct. 27; Cusip: 22548T455
• 0% trigger autocallable contingent yield notes due Oct. 31, 2019 linked to the S&P 500 index and the Russell 2000 index; via UBS Financial Services Inc.; pricing Oct. 27; Cusip: 22548T422
• 6.5%-8.5% airbag autocallable yield optimization notes due Nov. 6, 2017 linked to Viacom Inc. common stock; via HSBC Securities (USA) Inc. is the underwriter with UBS Financial Services Inc.; pricing Oct. 27; Cusip: 40435B445
• Contingent income autocallable securities due May 3, 2017 linked to the common stock of Anadarko Petroleum Corp.; via Credit Suisse Securities (USA) LLC; pricing Oct. 28; Cusip: 22548T513
• 0% dual directional capped knock-out notes due Nov. 15, 2017 linked to Apple Inc. shares; 79% trigger; via J.P. Morgan Securities LLC and JPMorgan Chase Bank, NA; pricing Oct. 28; Cusip: 22548QM36
• 0% dual directional capped knock-out notes due Nov. 15, 2017 linked to the S&P 500 index; via J.P. Morgan Securities LLC and JPMorgan Chase Bank, NA; pricing Oct. 28; Cusip: 22548QM77
• 0% buffered return enhanced notes due Dec. 13, 2017 linked to the S&P 500 index; via J.P. Morgan Securities LLC and JPMorgan Chase Bank, NA; pricing Oct. 28; Cusip: 22548QM51
• 0% knock-out notes due Jan. 31, 2018 linked to the S&P 500 index; via J.P. Morgan Securities LLC and JPMorgan Chase Bank, NA; pricing Oct. 28; Cusip: 22548QM69
• 0% knock-out notes due May 2, 2018 linked to the S&P 500 index; via J.P. Morgan Securities LLC and JPMorgan Chase Bank, NA; pricing Oct. 28; Cusip: 22548QM44
• 0% buffered Performance Leveraged Upside Securities due May 3, 2019 linked to the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22548T414
• 0% Buffered Accelerated Return Equity Securities due May 3, 2018 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22548QJS5
• Contingent coupon autocallable yield notes due Feb. 2, 2018 linked to the Russell 2000 index and the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22548QK46
• 0% Buffered Accelerated Return Equity Securities due May 3, 2018 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22548QJR7
• Contingent coupon autocallable yield notes due Feb. 2, 2018 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22548QK46
• Contingent coupon callable yield notes due Nov. 1, 2019 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22548QK38
• 0% digital plus barrier notes due Nov. 4, 2020 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip; 22548QJY2
• 0% absolute return digital barrier securities due Nov. 4, 2020 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22548QJW6
• 0% digital plus barrier notes due Nov. 4, 2020 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 Oct. 31; Cusip: 22548QJY2
• 0% absolute return digital barrier securities due Nov. 3, 2021 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22548QJQ9
• 10% to 12% contingent coupon callable yield notes due Nov. 1, 2019 linked to the S&P 500 index and the SPDR S&P Biotech exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22548QJT3
• 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
• 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 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
• 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
• 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% 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
• 17- to 20-month 0% leveraged buffered notes linked to the iShares MSCI Emerging Markets exchange-traded fund; via Credit Suisse Securities (USA) LLC; Cusip: 22548QLF0
GOLDMAN SACHS GROUP, INC.
• Callable step-up fixed-rate notes with 2% initial rate due October 2023; via Goldman Sachs & Co. and Incapital LLC; pricing in October; Cusip: 38148TP37
• Callable step-up fixed-rate notes with 2.5% initial rate due October 2026; via Goldman Sachs & Co. and Incapital LLC; pricing in October; Cusip: 38148TP29
• Callable step-up fixed-rate notes with 3% initial rate due October 2031; via Goldman Sachs & Co. and Incapital LLC; pricing in October; Cusip: 38148TNZ8
• Callable step-up fixed-rate notes due November 2036; via Goldman Sachs & Co. and Incapital LLC; pricing in November; Cusip: 38148TP45
GS FINANCE CORP.
• 0% trigger autocallable notes due Oct. 29, 2021 linked to the Russell 2000 index; via Goldman, Sachs & Co.; pricing Oct. 27; Cusip: 36251U152
• Autocallable contingent coupon index-linked notes due Nov. 3, 2026 linked to the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co.; pricing Oct. 27; Cusip: 40054KLX2
• Autocallable contingent coupon notes due Feb. 1, 2018 linked to the S&P 500 index and the Russell 2000 index; 70% trigger; via Goldman Sachs & Co.; pricing Oct. 27; Cusip: 40054KM94
• 0% trigger gears due Oct. 30, 2026 linked to the Solactive Eurozone 50 Equal Weight 5% AR index; via Goldman Sachs & Co.; pricing Oct. 27; Cusip: 36250Y833
• Contingent income autocallable securities due Oct. 31, 2019 linked to the class A common stock of Facebook, Inc.; 80% trigger; via Goldman Sachs & Co. with Morgan Stanley Wealth Management; pricing Oct. 28; Cusip: 36251U111
• Performance Leveraged Upside Securities due Feb. 5, 2018 linked to the S&P 500 index; via Goldman Sachs & Co. with Morgan Stanley Wealth Management; pricing Oct. 31; Cusip: 36250Y882
• Two-year 0% leveraged buffered notes linked to the iShares MSCI EAFE exchange-traded fund; via Goldman Sachs & Co.; Cusip: 40054KJX5
• Two-year callable contingent coupon notes linked to the Russell 2000 index, the S&P 500 index and the Euro Stoxx 50 index; 70% trigger; via Goldman Sachs & Co.; Cusip: 40054KLW4
• 48-month notes linked to the S&P 500 index; 70% trigger; via Goldman Sachs & Co.; Cusip: 40054KLK0
HSBC USA INC.
• Callable buffered monthly range accrual notes due Oct. 31, 2021 linked to the Russell 2000 index; via Goldman Sachs & Co.; pricing Oct. 27; Cusip: 40054KLA2
• Callable monthly range accrual notes due Oct. 31, 2026 linked to the Russell 2000 index; via Goldman Sachs & Co.; pricing Oct. 27; Cusip: 40054KLB0
• 0% trigger autocallable contingent yield notes due Oct. 31, 2019 linked to the S&P 500 index and the Russell 2000 index; via UBS Financial Services Inc. and HSBC Securities (USA) Inc.; pricing Oct. 27; Cusip: 40435B460
• Autocallable barrier notes with contingent return due Oct. 31, 2023 linked to the least performing of the S&P 500 index, the Russell 2000 index and the S&P Midcap 400 ETF trust; via HSBC Securities (USA) Inc.; pricing Oct. 27; Cusip: 40433UXX9
• 0% contingent buffered notes due Dec. 13, 2017 linked to the FTSE 100 index; via HSBC Securities (USA) Inc., JPMorgan Chase Bank NA and J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 40433UZL3
• 0% barrier enhanced participation notes due Nov. 2, 2021 linked to the Russell 200 index and the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 28; Cusip: 40433UZM1
• 0% contingent buffered notes due Nov. 15, 2017 linked to the SPDR S&P Oil & Gas Exploration & Production ETF; via HSBC Securities (USA) Inc., JPMorgan Chase Bank NA and J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 40433UZJ8
• 0% contingent buffered notes due Dec. 13, 2017 linked to the Stoxx Europe 600 index; via HSBC Securities (USA) Inc., JPMorgan Chase Bank NA and J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 40433UZK5
• 0% barrier Accelerated Market Participation Securities due Nov. 5, 2018 linked to the Health Care Select Sector SPDR fund; via HSBC Securities (USA) Inc.; pricing Oct. 31; Cusip: 40433UZH2
• 0% dual directional trigger Performance Leveraged Upside Securities due Nov. 5, 2019 linked to the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Oct. 31; Cusip: 40435B627
• 0% dual directional trigger Performance Leveraged Upside Securities due Nov. 5, 2019 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 31; Cusip: 40435B619
• Autocallable market-linked step-up notes due October 2019 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in October
• Autocallable market-linked step-up notes due October 2021 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in October
• 0% autocallable market-linked step-up notes due October 2019 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in October
• 0% autocallable market-linked step-up notes due October 2022 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in October
• 0% Leveraged Index Return Notes due September 2019 linked to S&P 500 index, the Euro Stoxx 50 index and the MSCI Emerging Markets index; via BofA Merrill Lynch; pricing in October
• 18- to 21-month 0% leveraged capped notes linked to the S&P 500 index; via HSBC Securities (USA) Inc.; Cusip: 40433UXH4
JPMORGAN CHASE FINANCIAL CO. LLC
• Callable step-up fixed-rate notes due Oct. 31, 2024; via J.P. Morgan Securities LLC; pricing Oct. 27; Cusip: 48128GK33
• 0% return notes due Nov. 8, 2017 linked to an equally weighted basket of 50 stocks; via J.P. Morgan Securities LLC; pricing Oct. 27; Cusip: 46646E2U5
• 0% capped buffered enhanced participation notes due Nov. 1, 2018 linked to Euro Stoxx 50 index, the FTSE 100 index, the Topix index, the Swiss Market index and the S&P/ASX 200 index; 90% trigger; via J.P. Morgan Securities LLC; pricing Oct. 27; Cusip: 46646E2F8
• Trigger autocallable contingent yield notes due Oct. 30, 2026 linked to the lesser performing of the MSCI EAFE index and the Russell 2000 index; 50% trigger; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Oct. 27; Cusip: 48128P837
• 0% review notes due Oct. 31, 2019 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 27; Cusip: 46646EU26
• Trigger callable contingent yield notes with daily coupon observation due Nov. 5, 2018 linked to the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; 75% trigger; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Oct. 27; Cusip: 48128P787
• Callable contingent interest notes due Nov. 4, 2019 linked to the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; 60% trigger; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Oct. 27; Cusip: 46646E2P6
• 7% autocallable yield notes due Nov. 2, 2017 linked to Bristol-Myers Squibb Co. stock; 75% trigger; via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 46646EX56
• Contingent income autocallable securities due Nov. 2, 2017 linked to Caterpillar Inc. shares; via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 48128P811
• Contingent income callable securities due Nov. 1, 2018 linked to the worst performing of the Euro Stoxx 50 index, the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 46646E2R2
• Autocallable contingent interest notes due Feb. 1, 2018 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 46646E2L5
• Callable contingent interest notes due Nov. 4, 2019 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 46646E2J0
• 0% capped return enhanced notes due Jan. 3, 2018 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 46646E2Q4
• 0% trigger jump securities due Nov. 5, 2018 linked to Apple Inc. shares; 90% trigger; via J.P. Morgan Securities LLC with Morgan Stanley Wealth Management; pricing Oct. 31; Cusip: 46646X134
• Leveraged callable range accrual securities due Nov. 3, 2031 linked to 30-year U.S. dollar ICE swap rate, the two-year U.S. dollar ICE swap rate and the S&P 500 index; 50% trigger; via J.P. Morgan Securities LLC with Morgan Stanley Wealth Management; pricing Oct. 31; Cusip: 46646EU75
• 0% capped buffered return enhanced notes due May 3, 2019 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 46646E2V3
• 0% dual directional trigger Performance Leveraged Upside Securities due Nov. 5, 2019 linked to the Euro Stoxx 50 index; 80% trigger; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 46646X175
• 0% dual directional trigger Performance Leveraged Upside Securities due Nov. 5, 2019 linked to the Russell 2000 index; 80% trigger; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 48128P795
• Contingent income autocallable securities due Nov. 5, 2018 linked to the worst performing of the Russell 2000 index and the S&P 500 index; 80% trigger; via J.P. Morgan Securities LLC with Morgan Stanley Wealth Management; pricing Oct. 31; Cusip: 46646EW65
• Autocallable contingent interest notes due May 3, 2018 linked to the S&P 500 index and the Russell 2000 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 46646EX49
MORGAN STANLEY
• 0% dual directional trigger Performance Leveraged Upside Securities due Nov. 5, 2018 linked to the VanEck Vectors Gold Miners exchange-traded fund; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61766A558
MORGAN STANLEY FINANCE LLC
• Trigger autocallable contingent yield notes due Oct. 31, 2019 linked to the common stock of Intel Corp.; via Morgan Stanley and UBS Financial Services Inc.; pricing Oct. 27; Cusip: 61766F383
• 0% trigger autocallable contingent yield notes due Oct. 31, 2019 linked to the Stoxx Europe 600 Banks index; via Morgan Stanley and UBS Financial Services Inc.; pricing Oct. 27; Cusip: 61766F359
• Trigger autocallable contingent yield notes due Oct. 31, 2019 linked to the common stock of Under Armour, Inc.; via Morgan Stanley and UBS Financial Services Inc.; pricing Oct. 27; Cusip: 61766F375
• Floating-rate notes due Nov. 30, 2017 linked to the 10-year U.S. dollar ICE swap rate; 70% trigger; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61766YAT8
• Leveraged CMS curve securities due Oct. 31, 2036 linked to the worse performing of the Russell 2000 index and the S&P 500 index; 60% trigger; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61766YAU5
• 0% market-linked notes due May 3, 2024 linked to the Dow Jones industrial average; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61766F250
• 0% autocallable securities with fixed percentage buffered downside due Nov. 5, 2018 linked to the Energy Select Sector SPDR fund; 90% trigger; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61761JY94
• 0% buffered Performance Leveraged Upside Securities due Nov. 3, 2021 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61766F276
• 0% trigger Performance Leveraged Upside Securities due Nov. 3, 2022 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61766F292
• Leveraged CMS curve securities due Oct. 31, 2036 linked to the worse performing of the Russell 2000 index and the S&P 500 index; 50% trigger; via Morgan Stanley & Co. LLC; settling Oct. 31; Cusip: 61766YAS0
• 0% trigger Performance Leveraged Upside Securities due Nov. 3, 2022 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61766F284
• 0% Performance Leveraged Upside Securities due Feb. 5, 2018 linked to the SPDR S&P Regional Banking exchange-traded fund; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61766A533
ROYAL BANK OF CANADA
• 0% Performance Leveraged Upside Securities due Nov. 9, 2017 linked to the S&P 500 index; via RBC Capital Markets, LLC; pricing Oct. 28; Cusip: 78014C665
• 0% market-linked securities - autocallable with fixed percentage buffered downside due Nov. 5, 2021 linked to the Euro Stoxx 50 index; via Wells Fargo Securities, LLC: pricing Oct. 31; Cusip: 78012KTZ0
• 0% Performance Leveraged Upside Securities due Feb. 5, 2018 linked to the Euro Stoxx 50 index; via RBC Capital Markets, LLC; pricing Oct. 31; Cusip: 78014C616
• 0% Accelerated Return Notes due December 2017 linked to AstraZeneca plc, Eli Lilly and Co. and Pfizer Inc.; via BofA Merrill Lynch; pricing in October
• 0% Accelerated Return Notes due December 2017 linked to a basket of three equally weighted stocks (Citigroup Inc., JPMorgan Chase & Co. and Morgan Stanley); via BofA Merrill Lynch; pricing in October
• 0% Capped Leveraged Index Return Notes due October 2018 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in October
• 0% direct investment notes due Dec. 8, 2017 linked to the EquityCompass Equity Risk Management Strategy; via RBC Capital Markets LLC; pricing Nov. 3; Cusip: 78012KUH8
• 7.5% STEP Income Securities due November 2017 linked to Apple Inc. shares; via BofA Merrill Lynch; pricing in November
• 24- to 27-month leveraged buffered notes due 2018 linked to a basket of the Euro Stoxx 50 index with a 37% initial weight, the FTSE 100 index with a 23% initial weight, the Topix index with a 23% initial weight, the Swiss Market index with a 9% initial weight and the S&P/ASX 200 index with an 8% initial weight; via RBC Capital Markets, LLC; Cusip: 78012KUP0
• 0% 24- to 27-month leveraged buffered notes linked to Euro Stoxx 50 index, the FTSE 100 index, the Topix index, the Swiss Market index and the S&P/ASX 200 index; 90% trigger; via RBC Capital Markets, LLC; Cusip: 78012KUU9
• 0% 17- to 20-month leveraged buffered notes linked to the S&P 500 index; 90% trigger; via RBC Capital Markets, LLC; Cusip: 78012KUS4
• 0% digital notes due in 22 to 25 months linked to the S&P 500 index; 87.5% trigger; via RBC Capital Markets, LLC; Cusip: 78012KUT2
UBS AG, LONDON BRANCH
• 0% trigger autocallable contingent yield notes due Oct. 31, 2019 linked to the Nasdaq-100 index and the Russell 2000 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 27; Cusip: 90275Y658
• Contingent income autocallable securities due Oct. 31, 2019 linked to Alibaba Group Holding Ltd. shares; via UBS Securities LLC; pricing Oct. 28; Cusip: 90275Y690
• Phoenix autocallable notes due Nov. 15, 2017 linked to Apple Inc. shares; 80% trigger; via J.P. Morgan Securities LLC and UBS Investment Bank; pricing Oct. 28; Cusip: 90270KHK8
• Contingent income autocallable securities with step-up call threshold levels due Oct. 31, 2019 linked to Apple Inc. shares; via UBS Securities LLC; pricing Oct. 28; Cusip: 90275Y708
• Contingent income autocallable securities with step-up call threshold levels due Oct. 31, 2019 linked to the common stock of Prudential Financial, Inc.; via UBS Securities LLC; pricing Oct. 28; Cusip: 90275Y682
• 0% market-linked securities with leveraged upside participation to a cap and fixed percentage buffered downside due Nov. 3, 2021 linked to the S&P 500 index; via TD Securities (USA) LLC and Wells Fargo Securities, LLC; pricing Oct. 31; Cusip: 89114QXQ6
• 0% capped leveraged notes due in 22 to 25 months linked to Euro Stoxx 50 index, the FTSE 100 index, the Topix index, the Swiss Market index and the S&P/ASX 200 index; via UBS Securities LLC; Cusip: 90270KHJ1
WELLS FARGO & CO.
• 0% market-linked securities with leveraged upside participation to a cap and fixed percentage buffered downside due May 7, 2020 linked to the Energy Select Sector SPDR fund; via Wells Fargo Securities LLC; pricing Oct. 31; Cusip: 94986RX89
• Market-linked securities due Nov. 7, 2018 – autocallable 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; 65% trigger; via Wells Fargo Securities LLC; pricing Oct. 31; Cusip: 94986RX97
• Market-linked securities due Nov. 7, 2018 – autocallable 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; via Wells Fargo Securities LLC; pricing Oct. 31; Cusip: 94986RY21
• 0% market-linked securities with leveraged upside participation to a cap and fixed percentage buffered downside due May 7, 2019 linked to the SPDR S&P 500 ETF Trust; via Wells Fargo Securities LLC; pricing Oct. 31; Cusip: 94986RY47
• Step-up callable notes due Nov. 21, 2034; via Wells Fargo Securities LLC; pricing Nov. 16; Cusip: 94986RZ53
• 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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