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Structured Products Calendar
BANK OF AMERICA CORP.
• Callable capped notes due September 2030 based on the difference between the 20-year Constant Maturity Swap rate and two-year CMS rate; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in September; Cusip 06048WDT4
• Variable coupon notes due September 2016 linked to equal weights of Altria Group, Inc., Barrick Gold Corp., Boeing Co., Citigroup Inc., Corning Inc., Goldcorp, Inc., Halliburton Co., JPMorgan Chase & Co., KLA-Tencor Corp., Macy's, Inc., Motorola, Inc., Nokia Corp., Peabody Energy Corp., Prudential Financial, Inc., Wal-Mart Stores, Inc. and Yum! Brands, Inc.; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in September
• Capped floating-rate notes due October 2020 linked to the Consumer Price Index and Libor; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in September
• 0% Strategic Return Notes due September 2015 linked to the Investable Volatility index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in September
• One-year 0% Strategic Accelerated Redemption Securities linked to the iShares MSCI EAFE Index Fund and iShares MSCI Emerging Markets index fund; Merrill Lynch, Pierce and Fenner & Smith Inc.; pricing in September
• Two-year 0% Capped Leveraged Index Return Notes linked to the Merrill Lynch Commodity index eXtra WTI 4-Series Index-Excess Return; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in September
• 0% market-linked step up notes due September 2014 linked to the MSCI EAFE index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in September
• Step up callable range accrual notes due September 2020 linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in September
• Step-up callable range accrual notes due October 2020 linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in September
• Five-year variable-coupon notes linked to the stocks of Abercrombie & Fitch Co., Altria Group, Inc., Archer-Daniels-Midland Co., Barrick Gold Corp., Boeing Co., Caterpillar Inc., Deere & Co., JPMorgan Chase & Co., McDonald's Corp., Monsanto Co., Nokia Corp., Reynolds American Inc., Verizon Communications Inc. and Wal-Mart Stores, Inc.; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in September or October
• 10% 53-week Step Income Securities linked to Apple Inc. common stock; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in September or October
• 0% five-year Market Index Target-Term Securities linked to the spot price of gold; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in September or October
• 14-month 0% Accelerated Return Notes linked to the Rogers International Commodity Index - Excess Return; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in September or October
• Two-year 0% Capped Leveraged Index Return Notes linked the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in September or October
• Two-year 0% market-linked step up notes linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in September or October
• Two-year 0% Capped Leveraged Index Return Notes linked the S&P 500, MSCI EAFE and MSCI Emerging Markets indexes; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in September or October
BANK OF THE WEST
• Market-linked certificates of deposit due Sept. 30, 2016 linked to a basket of common stocks including Altria Group, Inc., Amazon.com, Inc., Bristol-Myers Squibb Co., The Coca-Cola Co., Ford Motor Co., Google Inc., Kraft Foods, Inc., Merck & Co., Inc., Schlumberger Ltd. and The Travelers Cos., Inc.; via BNP Paribas Securities Corp.; pricing Sept. 27; Cusip 06426XAB6
BARCLAYS BANK DELAWARE
• Certificates of deposit due Sept. 28, 2015 linked to the common stocks of Aetna Inc., AK Steel Holding Corp., Amazon.com Inc., American Express Co., Bank of America Corp., Barrick Gold Corp., Chesapeake Energy Corp., Dell Inc., Ford Motor Co., Humana Inc., Mattel, Inc., Mead Johnson Nutrition Co., Netflix, Inc., Newmont Mining Corp., News Corp., Nvidia Corp., SanDisk Corp., Starbucks Corp., Time Warner Cable Inc. and Yahoo! Inc.; via Barclays Capital Inc. and distributor Advisors Asset Management, Inc.; pricing Sept. 23; Cusip 06740ALR8
• 0% certificates of deposit due Sept. 28, 2015 linked to the performance of the Brazilian real relative to the dollar; via Barclays Capital Inc. and distributor Advisors Asset Management, Inc.; pricing Sept. 23; Cusip 06740ALW7
• Certificates of deposit due Sept. 28, 2015 linked to copper, gasoline RBOB, lead, nickel, palladium, platinum, soybeans, sugar, tin and zinc; via Barclays Capital Inc. and distributor Advisors Asset Management, Inc.; pricing Sept. 23; Cusip 06740ALV9
• 0.25%-1% certificates of deposit due Sept. 28, 2015 linked to the price of gold; via Barclays Capital Inc. and distributor Advisors Asset Management, Inc.; pricing Sept. 23; Cusip 06740ALT4
• Certificates of deposit due Sept. 28, 2015 linked to the common stocks of Monsanto Co., Newmont Mining Corp., Time Warner Cable Inc., Abercrombie & Fitch Co., Wells Fargo & Co., Apple Inc., Ford Motor Co., Advanced Micro Devices, Inc., priceline.com Inc. and Office Depot, Inc.; via Barclays Capital Inc. and distributor Advisors Asset Management, Inc.; pricing Sept. 23; Cusip 06740ALS6
• 0.25%-1% certificates of deposit due Sept. 28, 2015 linked to the S&P 500 index; via Barclays Capital Inc.; pricing Sept. 23; Cusip 06740ALU1
BARCLAYS BANK PLC
• 0% notes due Sept. 29, 2011 linked to a basket of buffered return enhanced components including the Euro Stoxx 50 index, the FTSE 100 index and the Topix index; via JPMorgan Chase Bank, NA and J.P. Morgan Securities Inc.; pricing Sept. 10; Cusip 06740PQN9
• 0% buffered return enhanced notes due Sept. 29, 2011 linked to the S&P 500 index; via JPMorgan Chase Bank, NA and J.P. Morgan Securities Inc.; pricing Sept. 10; Cusip 06740PQQ2
• 0% capped market plus notes due March 26, 2012 linked to the S&P 500 index; via JPMorgan Chase Bank, NA and J.P. Morgan Securities Inc.; pricing Sept. 10; Cusip 06740PQP4
• 8%-10.5% yield optimization notes with contingent protection due Sept. 22, 2011 linked to Caterpillar Inc. common stock; 75% trigger; via UBS Financial Services Inc. and Barclays Capital Inc.; pricing Sept. 16; Cusip 06740L220
• 7.5%-10% yield optimization notes with contingent protection due Sept. 22, 2011 linked to Pfizer Inc. common stock; 80% trigger; via UBS Financial Services Inc. and Barclays Capital Inc.; pricing Sept. 16; Cusip 06740L212
• 8%-10.5% yield optimization notes with contingent protection due Sept. 22, 2011 linked to Weatherford International Ltd. common stock; 75% trigger; via UBS Financial Services Inc. and Barclays Capital Inc.; pricing Sept. 16; Cusip 06740L196
• Fixed-rate callable range accrual notes due Sept. 22, 2025 linked to the Russell 2000 index; via Barclays Capital Inc.; pricing Sept. 17; Cusip 06740PQB5
• 13.75% reverse convertible notes due Dec. 30, 2010 linked to Alcoa Inc. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PPF7
• 15.25% reverse convertible notes due March 31, 2011 linked to Alcoa Inc. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PNX0
• 10.75% reverse convertible notes due Sept. 30, 2011 linked to American Express Co. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PPM2
• 11.5% reverse convertible notes due March 31, 2011 linked to Apple Inc. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PNY8
• 9.5% reverse convertible notes due Sept. 30, 2011 linked to Apple Inc. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PPL4
• 10.45% reverse convertible notes due March 31, 2011 linked to Baker Hughes Inc. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PWQ5
• 12% reverse convertible notes due March 31, 2011 linked to Bank of America Corp. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PPG5
• 12% reverse convertible notes due Sept. 30, 2011 linked to Bank of America Corp. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PPD2
• 0% double short leverage securities due Sept. 30, 2013 linked to the Barclays Capital 30Y Treasury Futures index; via UBS Financial Services Inc. and Barclays Capital Inc.; pricing Sept. 27; Cusip: 06740PNG7
• 0% Barclays Perpetual Rolling Open Structure Protecting Equity Returns exchange-traded fund notes due Sept. 23, 2011; via Barclays Capital Inc.; pricing Sept. 27; Cusip 06740PQJ8
• 0% notes due Sept. 30, 2013 based on Brazilian real, the Russian ruble, Indian rupee and the Chinese renminbi relative to dollar; via Barclays Capital Inc.; pricing Sept. 27; Cusip 06740PNB8
• 12.25% reverse convertible notes due March 31, 2011 linked to Capital One Financial Corp. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PPH3
• 14% reverse convertible notes due Sept. 30, 2011 linked to Carpenter Technology Corp. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PPR1
• 9.25% reverse convertible notes due Sept. 30, 2011 linked to Celgene Corp. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PPQ3
• 11.5% reverse convertible notes due Sept. 30, 2011 linked to Citigroup Inc. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PPP5
• 10.25% reverse convertible notes due Sept. 30, 2011 linked to Dell Inc. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PPS9
• 0% buffered Super Track notes due March 30, 2012 linked to the Financial Select Sector SPDR fund; via Barclays Capital Inc.; pricing Sept. 27; Cusip 06740PNP7
• 0% buffered Super Track notes due March 30, 2012 linked to Financial Select Sector SPDR fund; 90% trigger; via Barclays Capital Inc.; pricing Sept. 27; Cusip 06740PNT9
• 12.25% reverse convertible notes due March 31, 2011 linked to Ford Motor Co. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PNZ5
• 10.25% reverse convertible notes due Sept. 30, 2011 linked to Ford Motor Co. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PPT7
• 0% return optimization securities with partial protection due Sept. 28, 2012 linked to the price of gold; via UBS Financial Services Inc. and Barclays Capital Inc.; pricing Sept. 27; Cusip 06740H211
• 9.75% reverse convertible notes due Sept. 30, 2011 linked to Goldman Sachs Group, Inc. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PPE0
• 10.15% reverse convertible notes due March 31, 2011 linked to Halliburton Co. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PWN2
• 0% notes due Sept. 28, 2012 based on Indian rupee, the Indonesian rupiah and the Malaysian ringgit relative to the dollar; 90% trigger; via Barclays Capital Inc.; pricing Sept. 27; Cusip 06740PPZ3
• 0% buffered Super Track notes due March 30, 2012 linked to the iShares Dow Jones U.S. Real Estate index fund; via Barclays Capital Inc.; pricing Sept. 27; Cusip 06740PNM4
• 0% buffered Super Track notes due March 30, 2012 linked to iShares Dow Jones U.S. Real Estate index fund; 90% trigger; via Barclays Capital Inc.; pricing Sept. 27; Cusip 06740PNR3
• 0% annual autocallable notes due Sept. 30, 2013 linked to the iShares MSCI Emerging Markets index fund; via Barclays Capital Inc.; pricing Sept. 27; Cusip 06740PNV4
• 0% buffered Super Track notes due March 30, 2012 linked to the iShares MSCI Emerging Markets index fund; via Barclays Capital Inc.; pricing Sept. 27; Cusip 06740PNN2
• 0% buffered Super Track notes due March 30, 2012 linked to the iShares MSCI Emerging Markets index fund; 90% trigger; via Barclays Capital Inc.; pricing Sept. 27; Cusip 06740PNS1
• 12.25% reverse convertible notes due March 31, 2011 linked to JPMorgan Chase & Co. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PPA8
• 9.25% reverse convertible notes due Sept. 30, 2011 linked to JPMorgan Chase & Co. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PPU4
• 15% reverse convertible notes due March 31, 2011 linked to MetLife, Inc. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PPB6
• 10% reverse convertible notes due Sept. 30, 2011 linked to MetLife Inc. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PPV2
• 14.5% reverse convertible notes due March 31, 2011 linked to Morgan Stanley stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PPC4
• 10.75% reverse convertible notes due March 31, 2011 linked to Motorola, Inc. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PPJ9
• 12.5% reverse convertible notes due March 31, 2011 linked to Noble Corp. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PPK6
• 12.25% reverse convertible notes due Sept. 30, 2011 linked to Nokia Corp. (American Depository Share) stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PPW0
• 11.55% reverse convertible notes due March 31, 2011 linked to Peabody Energy Corp. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PWP7
• 11.25% reverse convertible notes due Sept. 30, 2011 linked to Peabody Energy Corp. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PPN0
• 10% reverse convertible notes due Sept. 30, 2011 linked to Pioneer Natural Resources Co. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PWM4
• 10% reverse convertible notes due Sept. 30, 2011 linked to RadioShack Corp. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PWL6
• 0% knock-in Super Track digital notes due Oct. 6, 2011 linked to the Russell 2000 index; 60% trigger; via Barclays Capital Inc.; pricing Sept. 27; Cusip 06740PNW2
• 0% notes due Sept. 29, 2017 based on S&P 500 index; via Barclays Capital Inc.; pricing Sept. 27; Cusip 06740PQH2
• 0% Super Track notes due March 31, 2016 linked to the S&P 500 index; via Barclays Capital Inc.; pricing Sept. 27; Cusip 06740PPY6
• 12.05% reverse convertible notes due Sept. 30, 2011 linked to Sears Holdings Corp. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PWK8
• 0% buffered Super Track notes due March 30, 2012 linked to the SPDR S&P 500 exchange-traded fund trust; 90% trigger; via Barclays Capital Inc.; pricing Sept. 27; Cusip 06740PNU6
• 0% buffered Super Track notes due March 30, 2012 linked to the SPDR S&P 500 exchange-traded fund trust; via Barclays Capital Inc.; pricing Sept. 27; Cusip 06740PNQ5
• 17% reverse convertible notes due Sept. 30, 2011 linked to Stillwater Mining Co. stock; via Barclays Capital; pricing Sept. 27; Cusip: 06740PPX8
BNP PARIBAS
• 0% Performance Leveraged Upside Securities due Oct. 27, 2011 based on S&P 500 index; via Morgan Stanley Smith Barney LLC and Barclays Capital Inc.; pricing Sept. 24; Cusip 06740C279
CITIBANK, NA
• 0% contingent upside participation market-linked certificates of deposit due Sept. 21, 2016 linked to the Dow Jones Industrial Average; via Citigroup Global Markets Inc.; pricing Sept. 24; Cusip 172986CG4
• Market-linked certificates of deposit due Sept. 21, 2016 based on an equally weighted basket of gasoline RBOB, zinc, gold, platinum, nickel, soybeans, sugar, the S&P GSCI Crude Oil Excess Return index, the S&P GSCI Wheat Excess Return index and the S&P GSCI Livestock Excess Return index; via Citigroup Global Markets Inc. as agent and Incapital LLC and Advisors Asset Management, Inc. as distributors; pricing Sept. 24; Cusip 172986CH2
CITIGROUP FUNDING, INC.
• 10%-12% Equity LinKed Securities due March 23, 2011 linked to American Express Co. common stock; 80% trigger; via Citigroup Global Markets Inc.; pricing Sept. 24; Cusip 17316G867
• 10%-12% Equity LinKed Securities due March 23, 2011 linked to Chesapeake Energy Corp. common stock; 80% trigger; via Citigroup Global Markets Inc.; pricing Sept. 24; Cusip 17316G859
• 8%-10% Equity LinKed Securities due March 23, 2011 linked to General Electric Co. common stock; 80% trigger; via Citigroup Global Markets Inc.; pricing Sept. 24; Cusip 17316G842
• 0% Index Leading Stockmarket Return Securities due 2013 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing in September; Cusip 17308CQG4
• Callable leveraged CMS spread notes due Sept. 17, 2030 linked to 30-year Constant Maturity Swap rate over the two-year CMS rate; via Citigroup Global Markets Inc.; Cusip 1730T0KD0
• 0% index Leading Stockmarket Return Securities due 2013 based on Euro Stoxx 50 index; 70% trigger; via Citigroup Global Markets Inc.; Cusip 17308CQF6
• 0% Index Leading Stockmarket Return Securities due Sept. 26, 2013 linked to the S&P 500 index; Citigroup Global Markets Inc.; Cusip 17316G875
CREDIT SUISSE AG, NASSAU BRANCH
• 0% Buffered Accelerated Return Equity Securities due Sept. 17, 2012 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Sept. 10; Cusip 22546EYQ1
• 0% Buffered Accelerated Return Equity Securities due Sept. 24, 2012 linked to the iShares MSCI Emerging Markets index fund; via Credit Suisse Securities (USA) LLC; pricing Sept. 17; Cusip 22546EXF6
• 0% Buffered Accelerated Return Equity Securities due Sept. 24, 2012 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Sept. 17; Cusip 22546EXG4
• 8%-10% callable yield notes due Sept. 26, 2011 linked to the performance of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Sept. 17; Cusip 22546EYP3
• High/low coupon callable yield notes due Sept. 26, 2011 linked to the iShares MSCI Australia index fund and the iShares MSCI Brazil index fund; via Credit Suisse Securities (USA) LLC; pricing Sept. 21; Cusip 22546EZM9
• 0% Buffered Accelerated Return Equity Securities due Sept. 28, 2012 based on the Market Vectors Gold Miners exchange-traded fund; 90% trigger; via Credit Suisse Securities (USA) LLC; pricing Sept. 27; Cusip 22546EYR9
• 12% to 15% annualized callable yield notes due March 30, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Sept. 27; Cusip 22546EYY4
• 9% to 11% callable yield notes due Sept. 30, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Sept. 27; Cusip 22546EYX6
• 10% to 12% callable yield notes due Sept. 30, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Sept. 27; Cusip 22546EYW8
• Performance yield notes due March 30, 2012 linked to the worst performing of the S&P 500 index, the Market Vectors Gold Miners exchange-traded fund and the Russell 2000 index; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Sept. 27; Cusip 22546EZA5
• Performance yield notes due April 5, 2012 linked to the worst performing of the S&P 500 index, the Market Vectors Gold Miners exchange-traded fund and the Russell 2000 index; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Sept. 27; Cusip 22546EZB3
• 7% to 9% bearish callable yield notes due Sept. 30, 2011 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Sept. 27; Cusip 22546EYS
• 9.5% to 11.5% callable yield notes due Sept. 30, 2011 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Sept. 27; Cusip 22546EYT5
• High/low coupon callable yield notes due Sept. 30, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Sept. 27; Cusip 22546EYV0
• High/low coupon callable yield notes due Oct. 5, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Sept. 27; Cusip 22546EZC1
• 0% CS global basket notes due Sept. 30, 2016 linked to the best performing of three baskets consisting of the SPDR S&P 500 ETF trust, the iShares Barclays 20+ Year Treasury Bond fund and the SPDR Gold trust; via Credit Suisse Securities (USA) LLC; pricing Sept. 27; Cusip 22546EYZ1
• 0% Buffered Accelerated Return Equity Securities due April 5, 2012 based on the Market Vectors Gold Miners exchange-traded fund; 90% trigger; via Credit Suisse Securities (USA) LLC; pricing Sept. 30; Cusip 22546EZF4
• 12% to 15% annualized callable yield notes due April 5, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Sept. 30; Cusip 22546EZG2
• 8% to 10% callable yield notes due Oct. 5, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Sept. 30; Cusip 22546EZH0
• 9% to 11% callable yield notes due Oct. 5, 2011 linked to the S&P 500 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Sept. 30; Cusip 22546EZJ6
• 8.5% to 10.5% bearish callable yield notes due Oct. 5, 2011 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Sept. 30; Cusip 22546EZD9
• 10% to 12% callable yield notes due Oct. 5, 2011 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Sept. 30; Cusip 22546EZK3
• 0% CS global basket notes due Oct. 5, 2015 linked to the best performing of three baskets consisting of the SPDR S&P 500 ETF trust, the iShares Barclays 20+ Year Treasury Bond fund and the SPDR Gold trust; via Credit Suisse Securities (USA) LLC; pricing Sept. 30; Cusip 22546EZE7
DEUTSCHE BANK AG, LONDON BRANCH
• 0% return enhanced securities due Sept. 15, 2015 linked to the Deutsche Bank Commodity Booster - Dow Jones - UBS 14 TV Index Excess Return; via Deutsche Bank Securities Inc. and Deutsche Bank Trust Co. Americas; pricing Sept. 10; Cusip 2515A06L2
• 0% buffered fixed payment securities due March 15, 2011 linked to the S&P GSCI Crude Oil Index Excess Return; via JPMorgan Chase Bank, NA and J.P. Morgan Securities Inc.; pricing Sept. 10; Cusip 2515A06W8
• 0% alpha overlay securities due Sept. 23, 2013 linked to the Deutsche Bank Liquid Alpha USD 5 Total Return index and the Deutsche Bank Equity Mean Reversion Alpha index; via Deutsche Bank Securities Inc.; pricing Sept. 17; Cusip 2515A06P3
• 0% participation notes due Oct. 14, 2014 linked to the Deutsche Bank Currency Returns Plus (USD) index; via Deutsche Bank Securities Inc.; pricing Oct. 8; Cusip 2515A06U2
• 0% performance securities due Oct. 14, 2015 linked to the Deutsche Bank Currency Returns Plus (USD) index; via Deutsche Bank Securities Inc.; pricing Oct. 8; Cusip 515A06V0
EKSPORTFINANS ASA
• 0% Accelerated Return Notes due November 2011 based on MSCI Emerging Markets index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in September
• 0% Bear Accelerated Return Notes due December 2010 based on S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in September
• 0% Strategic Accelerated Redemption Securities due March 2011 based on S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in September
GOLDMAN SACHS GROUP, INC.
• Three-year 8.75%-9.5% currency-linked notes tied to the Brazilian real relative to the dollar; via Goldman, Sachs & Co.
• Seven-year 0% leveraged equity index-linked notes linked to the Dow Jones Industrial Average; via Goldman, Sachs & Co.
• 24- to 25-month 0% autocallable buffered index-linked notes tied to the Russell 2000 index; via Goldman, Sachs & Co.; Cusip 38143ULR0
• 25- to 26-month 0% autocallable buffered index-linked notes tied to the Russell 2000 index; via Goldman, Sachs & Co.; Cusip 38143UMF5
• 7- to 9-month 0% buffered equity index-linked notes tied to the S&P 500 index; via Goldman, Sachs & Co.
• 18- to 21-month 0% buffered equity index-linked notes based on S&P 500 index; 85% trigger; via Goldman, Sachs & Co.
• 18- to 21-month 0% leveraged buffered index-linked notes tied to the S&P 500 index; via Goldman, Sachs & Co.; Cusip: 38143UML2
• 12- to 13-month 0% leveraged index-linked notes linked to the S&P 500 index; via Goldman, Sachs & Co.
• 28- to 30-month 0% equity index-linked notes tied to the S&P 500 index; via Goldman, Sachs & Co.
• 10-year callable quarterly range accrual notes linked to the S&P 500 index; via Goldman, Sachs & Co.; Cusip 38143UM57
HARRIS NA
• Digital contingent annual income range certificates of deposit due Sept. 30, 2015 linked to the common stocks of Altria Group, Inc., Barrick Gold Corp., Caterpillar Inc., Coca-Cola Co., Home Depot Inc., Intel Corp., JPMorgan Chase & Co., Merck & Co., Inc., McDonald's Corp., Verizon Communications Inc.; via distributor Incapital LLC; pricing Sept. 27; Cusip 41456TJS9
• Digital contingent annual income range certificates of deposit due Sept. 30, 2016 linked to the American Depositary Receipts of Anglogold Ashanti Ltd., Companhia Energetica de Minas Gerais, Honda Motor Co., Ltd., Itau Unibanco Holding SA, Mobile Telesystems OJSC, Petroleo Brasileiro SA, Royal Philips Electronics, Sanofi-Aventis, TAM SA and Veolia Environnement SA; via distributor Incapital LLC; pricing Sept. 27; Cusip 41456TJV2
• Principal-protected certificates of deposit due Sept. 30, 2016 inversely linked to the Barclays 7-10 Year Treasury index; via distributor Incapital LLC; pricing Sept. 27; Cusip 41456TJY6
• Callable contingent semiannual digital payout certificates of deposit due Sept. 30, 2025 linked to the S&P 500 index; via Incapital LLC as distributor; pricing Sept. 27; Cusip 41456TJQ3
HSBC BANK USA, NA
• 0% global opportunity certificates of deposit due Sept. 28, 2017 linked to the Euro Stoxx 50, Hang Seng and S&P 500 indexes; via HSBC Securities (USA) Inc.; pricing Sept. 22; Cusip 40431GEA3
• Barrier multi-coupon opportunity certificates of deposit due Sept. 25, 2015 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Sept. 22; Cusip 40431GEU9
• 0% knock-out barrier certificates of deposit due Sept. 25, 2014 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Sept. 22; Cusip 40431GEY1
• 0% knock-out barrier certificates of deposit due Sept. 25, 2015 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Sept. 22; Cusip 40431GEV7
• Annual income opportunity certificates of deposit due Sept. 29, 2016 linked to a basket of the common stocks of Check Point Software Technologies Ltd., Infosys Technologies Ltd. and Mobile Telesystems and the American Depositary Receipts of Anglogold Ashanti Ltd., Baidu Inc., Gold Fields Ltd., Harmony Gold Mining Co. Ltd., Icici Bank Ltd., Teva Pharmaceutical Industries Ltd., Turkcell Iletisim Hizmetleri AS, Tata Motors Ltd. and Yingli Green Energy Holding Co. Ltd.; via HSBC Securities (USA) Inc.; pricing Sept. 24; Cusip 40431GER6
• Annual income opportunity certificates of deposit due Sept. 28, 2017 linked to 12 Morningstar Wide Moat stocks, i.e. Abbott Laboratories, Avon Products, Inc., CME Group Inc., Eli Lilly and Co., Exelon Corp., Exxon Mobil Corp., General Electric Co., International Game Technology, KLA-Tencor Corp., Northern Trust Corp., Vulcan Materials Co. and Western Union Co.; via HSBC Securities (USA) Inc.; pricing Sept. 24; Cusip 40431GDW6
• Annual income opportunity certificates of deposit with auto cap feature due Sept. 30, 2016 linked to a basket of the common stocks of Amgen Inc., Barrick Gold Corp., Ebay Inc., Research In Motion Ltd. and UBS AG, the class B common stock of Nike Inc. and the American Depositary Receipts of Astrazeneca plc, Credit Suisse Group, Petrochina Co. Ltd., SAP AG, Sony Corp. and Vodafone Group plc.; via HSBC Securities (USA) Inc.; pricing Sept. 27; Cusip 40431GEH8
• Annual income opportunity certificates of deposit with auto cap feature due Oct. 1, 2015 linked to a basket of stocks including Applied Materials Inc., Biogen Idec Inc., Dominion Resources Inc., Ford Motor Co., Las Vegas Sands Corp., McDonald's Corp., Newmont Mining Corp., Nucor Corp., Procter & Gamble Co., PNC Financial Services Group Inc., Sandisk Corp. and Valero Energy Corp.; via HSBC Securities (USA) Inc.; pricing Sept. 27; Cusip 40431GEP0
• Annual income opportunity certificates of deposit with auto cap feature due Sept. 30, 2016 linked to a basket of stocks including Applied Materials Inc., Biogen Idec Inc., Dominion Resources Inc., Ford Motor Co., Las Vegas Sands Corp., McDonald's Corp., Newmont Mining Corp., Nucor Corp., Procter & Gamble Co., PNC Financial Services Group Inc., Sandisk Corp. and Valero Energy Corp.; via HSBC Securities (USA) Inc.; pricing Sept. 27; Cusip 40431GEL9
HSBC USA INC.
• 0% Accelerated Market Participation Securities due Oct. 27, 2011 linked to the iShares FTSE/Xinhua China 25 index fund; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip 4042K05C5
• 0% buffered Accelerated Market Participation Securities due Dec. 29, 2011 linked to the iShares FTSE/Xinhua China 25 index fund; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip 4042K05J0
• 0% Accelerated Market Participation Securities due Dec. 29, 2011 based on iShares FTSE/Xinhua China 25 index fund; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip 4042K05F8
• 0% buffered Accelerated Market Participation Securities due March 28, 2012 linked to the iShares FTSE/Xinhua China 25 index fund; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip 4042K05N1
• 0% buffered Accelerated Market Participation Securities due Dec. 29, 2011 linked to the iShares MSCI Brazil index fund; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip 4042K05K7
• 0% buffered Accelerated Market Participation Securities due March 28, 2012 linked to the iShares MSCI Brazil index fund; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip 4042K05P6
• 0% Accelerated Market Participation Securities due Oct. 27, 2011 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip 4042K05B7
• 0% Accelerated Market Participation Securities due Dec. 29, 2011 based on Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip 4042K05E1
• 0% buffered Accelerated Market Participation Securities due Dec. 29, 2011 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip 4042K05H4
• 0% buffered Accelerated Market Participation Securities due March 28, 2012 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip 4042K05M3
• 0% Accelerated Market Participation Securities due Oct. 27, 2011 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip 4042K05A9
• 0% Accelerated Market Participation Securities due Dec. 29, 2011 based on S&P 500 index; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip 4042K05D3
• 0% buffered Accelerated Market Participation Securities due Dec. 29, 2011 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip 4042K05G6
• 0% buffered Accelerated Market Participation Securities due March 28, 2012 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip 4042K05L5
• 8% to 11% autocallable yield notes due Sept. 28, 2011 linked to the S&P 500 and Russell 2000 indexes; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip 4042K04Z5
• 10% to 14% autocallable yield notes due Sept. 28, 2011 linked to the S&P 500 and Russell 2000 indexes; via HSBC Securities (USA) Inc.; pricing Sept. 23; Cusip 4042K04Y8
• 0% return optimization securities with contingent protection due Sept. 28, 2012 linked to the iShares MSCI Emerging Markets index fund; via UBS Financial Services Inc. and HSBC Securities (USA) Inc.; pricing Sept. 27; Cusip 40432R625
• 0% optimization securities with contingent return due March 30, 2012 linked to the S&P 500 index; via UBS Financial Services Inc. and HSBC Securities (USA) Inc.; pricing Sept. 27; Cusip 40432R633
• 0% best-of performance notes due Oct. 4, 2011 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Sept. 30; Cusip: 4042K05R2
• 0% Accelerated Market Participation Securities due September 2012 linked to the FTSE 100 index; via HSBC Securities (USA) Inc.; pricing in September; Cusip 4042K05S0
• 0% Accelerated Market Participation Securities due March 2012 linked to the DAX index; via HSBC Securities (USA) Inc.; pricing in September; Cusip 4042K05Q4
JPMORGAN CHASE BANK, NA
• Contingent coupon certificates of deposit due Sept. 30, 2015 linked to the common stocks of Altria Group, Inc., Amazon.com, Inc., Anheuser-Busch InBev SA/NV, Barrick Gold Corp., GlaxoSmithKline plc, HSBC Holdings, plc, McDonald's Corp., Panasonic Corp., Vodafone Group plc and Wal-Mart Stores, Inc.; via J.P. Morgan Securities Inc.; pricing Sept. 27; Cusip 48123YPP5
• Contingent coupon market-linked certificates of deposit due Sept. 26, 2016 linked to copper, zinc, nickel, platinum, soybean meal, sugar, the S&P GSCI Brent Crude Index Excess Return, the S&P GSCI Corn Index Excess Return and the S&P GSCI Livestock Index Excess Return; via J.P. Morgan Securities Inc. and distributor Advisors Asset Management, Inc.; pricing Sept. 24; Cusip 48123YPB6
• Contingent coupon certificates of deposit due Sept. 29, 2017 linked to an equally weighted basket of the common stocks of Abbott Laboratories, Altria Group, Inc., Amazon.com, Inc., Bristol-Myers Squibb Co., Campbell Soup Co., Dow Chemical Co., Goldcorp Inc., Qualcomm Inc. and Wells Fargo & Co. and the class B common stock of Berkshire Hathaway Inc.; via J.P. Morgan Securities Inc.; pricing Sept. 27; Cusip 48123YPL4
• Digital contingent coupon certificates of deposit due Sept. 30, 2016 linked to an equally weighted basket of the common stocks of Abbott Laboratories, Amazon.com, Inc., American Express Co., Barrick Gold Corp., Bristol-Myers Squibb Co., CVS Caremark Corp., Dow Chemical Co., Intel Corp., Reynolds American Inc. and Whole Foods Market, Inc.; via J.P. Morgan Securities Inc.; pricing Sept. 27; Cusip 48123YPJ9
• Digital contingent coupon certificates of deposit due Sept. 29, 2017 linked to an equally weighted basket of the common stocks of Abbott Laboratories, Amazon.com, Inc., American Express Co., Barrick Gold Corp., Bristol-Myers Squibb Co., CVS Caremark Corp., Dow Chemical Co., Intel Corp., Reynolds American Inc. and Whole Foods Market, Inc.; via J.P. Morgan Securities Inc.; pricing Sept. 27; Cusip 48123YPH3
• 0% commodity-linked certificates of deposit due March 31, 2016 linked to the JPMorgan Optimax Market-Neutral index; via J.P. Morgan Securities Inc. and distributor Incapital LLC; pricing Sept. 27; Cusip 48123YPE0
JPMORGAN CHASE & CO.
• 10% upside auto callable single observation reverse exchangeable notes due Sept. 15, 2011 linked to Caterpillar Inc. common stock; via J.P. Morgan Securities Inc.; pricing Sept. 10; Cusip 48124AD46
• Callable leveraged capped floating-rate notes due Sept. 15, 2025 linked to the spread of the 10-year Constant Maturity Swap rate over the two-year CMS rate; via J.P. Morgan Securities Inc.; pricing Sept. 10; Cusip 48124AZW0
• 10% upside auto callable single observation reverse exchangeable notes due Sept. 15, 2011 linked to General Electric Co. common stock; via J.P. Morgan Securities Inc.; pricing Sept. 10; Cusip 48124AD53
• 0% autocallable optimization securities with contingent protection due Sept. 16, 2011 linked to the common stock of Oracle Corp.; via UBS Financial Services Inc. and J.P. Morgan Securities Inc.; pricing Sept. 10; Cusip: 46634X708
• 0% monthly review notes due March 17, 2011 linked to the S&P GSCI Excess Return index; via J.P. Morgan Securities Inc.; pricing Sept. 10; Cusip 48124AF85
• 10% upside auto callable single observation reverse exchangeable notes due Sept. 15, 2011 linked to Wells Fargo & Co. common stock; via J.P. Morgan Securities Inc.; pricing Sept. 10; Cusip 48124AD61
• 8.75%-11.75% yield optimization notes with contingent protection due March 22, 2011 linked to the common stock of Broadcom Corp.; 75% trigger; via UBS Financial Services Inc. and J.P. Morgan Securities Inc.; pricing Sept. 16; Cusip 46634X880
• 8%-10.75% annualized yield optimization notes with contingent protection due March 22, 2011 linked to the common stock of U.S. Bancorp; 80% trigger; via UBS Financial Services Inc. and J.P. Morgan Securities Inc.; pricing Sept. 16; Cusip 46634X807
• Floating-rate notes due Sept. 24, 2025 linked to the 10-year Constant Maturity Swap rate; via J.P. Morgan Securities Inc.; pricing Sept. 21; Cusip 48124AD95
• 17.25% reverse convertible notes due Dec. 31, 2010 linked to AK Steel Holding Corp. stock; via JPMorgan; pricing Sept. 27; Cusip: 48124AE45
• 10.5% reverse convertible notes due Sept. 30, 2011 linked to Bank of America Corp. stock; via JPMorgan; pricing Sept. 27; Cusip: 48124AF44
• 17% reverse convertible notes due Dec. 31, 2010 linked to Continental Airlines, Inc. stock; via JPMorgan; pricing Sept. 27; Cusip: 48124AE52
• 9% upside auto callable single observation reverse exchangeable notes due Sept. 30, 2011 linked to the common stock of General Electric Co.; 75% trigger; via J.P. Morgan Securities Inc.; pricing Sept. 27; Cusip 48124AG27
• 0% buffered return enhanced notes due Sept. 28, 2012 linked to the Hang Seng, Korea Stock Price 200, MSCI Singapore and MSCI Taiwan indexes; via J.P. Morgan Securities Inc.; pricing Sept. 27; Cusip 48124AC70
• 0% buffered return enhanced notes due Sept. 28, 2012 linked to the Hang Seng, Korea Stock Price 200, MSCI Singapore and MSCI Taiwan indexes; via J.P. Morgan Securities Inc.; pricing Sept. 27; Cusip 48124AC88
• 13.25% reverse convertible notes due March 31, 2011 linked to International Paper Co. stock; via JPMorgan; pricing Sept. 27; Cusip: 48124AE86
• 0% buffered return enhanced notes due March 30, 2012 linked to the iShares MSCI EAFE index fund; via J.P. Morgan Securities Inc.; pricing Sept. 27; Cusip 48124AC21
• 13.75% reverse convertible notes due Sept. 30, 2011 linked to Joy Global Inc. stock; via JPMorgan; pricing Sept. 27; Cusip: 48124AF77
• 0% bearish notes due Sept. 30, 2016 linked inversely to the J.P. Morgan US Treasury Note Futures (G) Tracker; via J.P. Morgan Securities Inc.; pricing Sept. 27; Cusip 48124AD20
• 17.75% reverse convertible notes due Dec. 31, 2010 linked to Las Vegas Sands Corp. stock; via JPMorgan; pricing Sept. 27; Cusip: 48124AE78
• 15.5% reverse convertible notes due Dec. 31, 2010 linked to Massey Energy Co. stock; via JPMorgan; pricing Sept. 27; Cusip: 48124AE60
• 19.5% reverse convertible notes due March 31, 2011 linked to Netflix, Inc. stock; via JPMorgan; pricing Sept. 27; Cusip: 48124AF36
• Double short US Long Bond Treasury Futures exchange-traded notes due Sept. 30, 2025 based on the NYSE US Long Bond Treasury Futures index; via J.P. Morgan Securities Inc.; pricing Sept. 27; Cusip 46634X864
• 0% buffered return enhanced notes due March 30, 2012 based on Russell 2000 index; 90% trigger; via J.P. Morgan Securities Inc.; pricing Sept. 27; Cusip 48124AC39
• 0% buffered return enhanced notes due March 30, 2012 based on S&P 500 index; 90% trigger; via J.P. Morgan Securities Inc.; pricing Sept. 27; Cusip 48124AC47
• 0% buffered return enhanced notes due Sept. 28, 2012 based on S&P 500 index; 90% trigger; via J.P. Morgan Securities Inc.; pricing Sept. 27; Cusip 48124AC54
• 15% reverse convertible notes due Sept. 30, 2011 linked to Sprint Nextel Corp. stock; via JPMorgan; pricing Sept. 27; Cusip: 48124AF51
• 17% reverse convertible notes due March 31, 2011 linked to United States Steel Corp. stock; via JPMorgan; pricing Sept. 27; Cusip: 48124AE94
• 10.5% reverse convertible notes due Sept. 30, 2011 linked to Wells Fargo & Co. stock; via JPMorgan; pricing Sept. 27; Cusip: 48124AF69
• 15.5% reverse convertible notes due March 31, 2011 linked to Wynn Resorts, Ltd. stock; via JPMorgan; pricing Sept. 27; Cusip: 48124AF28
• 0% Performance Leveraged Upside Securities due Oct. 27, 2011 based on iShares MSCI Emerging Markets index fund; via J.P. Morgan Securities Inc.; pricing in September; Cusip 46634X609
MORGAN STANLEY
• Leveraged CMS curve and S&P 500 index-linked callable notes due Sept. 20, 2030; Morgan Stanley & Co. Inc.; settlement Sept. 20; Cusip 61745ED57
• 9%-11% annualized Equity LinKed Securities due March 25, 2011 linked to Bank of America Corp. common stock; 75% trigger; via Morgan Stanley & Co. Inc.; pricing Sept. 24; Cusip 61759G315
• 0% semiannual review notes due Sept. 14, 2012 linked to the S&P 500 index; via JPMorgan Chase Bank, NA and J.P. Morgan Securities Inc.; pricing Sept. 10; Cusip 617482NK6
• 0% autocallable securities due September 2013 linked to the common stock of Apple Inc.; via Morgan Stanley & Co. Inc.; pricing in September; Cusip 61759G349
• Leveraged callable CMS curve linked notes due Sept. 22, 2025 linked to the 10-year and two-year Constant Maturity Swap rates; via Morgan Stanley & Co. Inc.; pricing in September; Cusip 61745EF71
• 0% autocallable securities due September 2013 linked to a basket holding the iShares MSCI EAFE index fund, the iShares MSCI Emerging Markets index fund and the S&P 500 index; via Morgan Stanley & Co. Inc.; pricing in September; Cusip 61759G323
ROYAL BANK OF CANADA
• 15.75% reverse convertible notes due Dec. 20, 2010 linked to Apollo Group, Inc. stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KJN4
• 16.75% reverse convertible notes due Dec. 20, 2010 linked to Arch Coal Inc. stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KJM6
• 32% reverse convertible notes due Dec. 20, 2010 linked to ATP Oil & Gas Corp. stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KJP9
• 15.25% reverse convertible notes due Dec. 20, 2010 linked to Consol Energy, Inc. stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KJR5
• 17.75% reverse convertible notes due Dec. 20, 2010 linked to Continental Airlines, Inc. stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KJQ7
• 13.25% reverse convertible notes due Dec. 20, 2010 linked to Delta Air Lines, Inc. stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KJS3
• 12.75% reverse convertible notes due Dec. 20, 2010 linked to Fifth Third Bancorp stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KJU8
• 14% reverse convertible notes due Dec. 20, 2010 linked to Freeport-McMoRan Copper & Gold Inc. stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KJT1
• 14.75% reverse convertible notes due Dec. 20, 2010 linked to Fuel Systems Solutions, Inc. stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KJV6
• 19% reverse convertible notes due Dec. 20, 2010 linked to Genworth Financial, Inc. stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KJX2
• 13.5% reverse convertible notes due Dec. 20, 2010 linked to Green Mountain Coffee Roasters Inc. stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KJW4
• 12.75% reverse convertible notes due Dec. 20, 2010 linked to Halliburton Co. stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KJY0
• 16.5% reverse convertible notes due Dec. 20, 2010 linked to Hartford Financial Services stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KJZ7
• 17% reverse convertible notes due Dec. 20, 2010 linked to Imax Corp. stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KKA0
• 14.25% reverse convertible notes due Dec. 20, 2010 linked to KeyCorp stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KKB8
• 16.25% reverse convertible notes due Dec. 20, 2010 linked to Las Vegas Sands Corp. stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KKD4
• Redeemable inverse floating-rate notes due Sept. 28, 2020 linked to Libor; via RBC Capital Markets Corp.; pricing in September; Cusip 78008KKT9
• 13.5% reverse convertible notes due Dec. 20, 2010 linked to Lincoln National Corp. stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KKC6
• 22.25% reverse convertible notes due Dec. 20, 2010 linked to Massey Energy Co. stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KKE2
• 23% reverse convertible notes due Dec. 20, 2010 linked to McMoRan Exploration Co. stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KKG7
• 16% reverse convertible notes due Dec. 20, 2010 linked to MercadoLibre, Inc. stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KKF9
• 19.5% reverse convertible notes due Dec. 20, 2010 linked to Netflix, Inc. stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KKH5
• 15% reverse convertible notes due Dec. 20, 2010 linked to Northern Oil & Gas, Inc. stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KKJ1
• 0% buffered bullish digital notes due Sept. 28, 2012 based on Russell 2000 index; 80% trigger; via RBC Capital Markets Corp.; pricing Sept. 27; Cusip 78008KKV4
• 0% buffered bullish notes due Sept. 18, 2015 based on S&P 500 index; 80% trigger; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip 78008KKR3
• 19.25% reverse convertible notes due Dec. 20, 2010 linked to Titanium Metals Corp. stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KKL6
• 18.25% reverse convertible notes due Dec. 20, 2010 linked to Transocean Ltd. stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KKK8
• 19.75% reverse convertible notes due Dec. 20, 2010 linked to Trina Solar Ltd. stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KKM4
• 13% reverse convertible notes due Dec. 20, 2010 linked to United Steel Corp. stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KKP7
• 15% reverse convertible notes due Dec. 20, 2010 linked to Wynn Resorts Ltd. stock; via RBC Capital Markets Corp.; pricing Sept. 15; Cusip: 78008KKN2
• 0% return optimization securities due Oct. 21, 2011 based on S&P 500 index; via UBS Financial Services Inc. and RBC Capital Markets Corp.; pricing Sept. 16; Cusip 78009C886
ROYAL BANK OF SCOTLAND NV
• Fixed- to floating-rate notes linked to the 10-year Constant Maturity Swap rate due Sept. 16, 2020; via RBS Securities Inc.; pricing Sept. 13; Cusip 78009KME9
• Annual reset coupon securities due Sept. 30, 2015 linked to the S&P 500 index; via RBS Securities Inc.; pricing Sept. 27; Cusip 78009KMD1
• 14-month 0% Accelerated Return Notes linked to the Russell 2000 index; via Merrill Lynch, Pierce, Fenner and Smith Inc.; pricing in September or October
• 14-month 0% Accelerated Return Notes linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner and Smith Inc.; pricing in September or October
• 0% direct investment notes due Nov. 8, 2011 linked to the EquityCompass Equity Risk Management Strategy; via RBC Capital Markets Corp.; pricing Oct. 5; Cusip 78008KKQ5
AB SVENSK EXPORTKREDIT
• Accelerated Return Notes due November 2011 linked to the spot price of gold; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in September
• 0% Accelerated Return Notes due November 2011 linked to the PHLX Oil Service Sector index; via Merrill Lynch, Pierce, Fenner and Smith Inc.; pricing in September
UBS AG, LONDON BRANCH
• 8%-10.25% yield optimization notes with contingent protection due Sept. 21, 2012 linked to Dow Chemical Co. common stock; 75% trigger; via UBS Financial Services Inc. and UBS Investment Bank; pricing Sept. 16; Cusip 90267C763
• 9%-11.5% yield optimization notes with contingent protection due Sept. 21, 2012 linked to Sprint Nextel Corp. common stock; 60% trigger; via UBS Financial Services Inc. and UBS Investment Bank; pricing Sept. 16; Cusip 90267C771
• 11.5% annualized reverse convertible notes due March 31, 2011 linked to Alcoa Inc. stock; via UBS Securities LLC and UBS Investment Bank; pricing Sept. 27
• 12.8% annualized reverse convertible notes due March 31, 2011 linked to Dow Chemical Co. stock; via UBS Securities LLC and UBS Investment Bank; pricing Sept. 27
• 19.2% annualized reverse convertible notes due March 31, 2011 linked to DryShips Inc. stock; via UBS Securities LLC and UBS Investment Bank; pricing Sept. 27
• 12% annualized reverse convertible notes due March 31, 2011 linked to Ford Motor Co. stock; via UBS Securities LLC and UBS Investment Bank; pricing Sept. 27
• 0% performance allocation securities due Sept. 30, 2015 linked to the best performing among three global equity portfolios each including different weights of the SPDR S&P 500 ETF trust, iShares MSCI EAFE index fund and iShares MSCI Emerging Markets index fund; via UBS Financial Services Inc. and UBS Investment Bank; pricing Sept. 27; Cusip 90267C755
• 0% performance securities with contingent protection due Sept. 30, 2013 linked to the S&P 500 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Sept. 27; Cusip 90267C748
• 13.1% annualized reverse convertible notes due March 31, 2011 linked to Transocean Ltd. stock; via UBS Securities LLC and UBS Investment Bank; pricing Sept. 27
UNION BANK, NA
• Zero-coupon capped return market-linked certificates of deposit due Sept. 25, 2017 linked to the Dow Jones-UBS Commodity index; via UnionBanc Investment Services, LLC and Advisors Asset Management, Inc.; pricing Sept. 24; Cusip: 90521ACV8
• Zero-coupon capped return market-linked certificates of deposit due Sept. 25, 2017 linked to the Dow Jones Industrial Average; via UnionBanc Investment Services, LLC and Advisors Asset Management, Inc.; pricing Sept. 24; Cusip: 90521ACU0
• Zero-coupon principal-protected quarterly capped return market-linked certificates of deposit due Sept. 29, 2014 linked to the S&P 500 index; via UnionBanc Investment Services, LLC and distributor Incapital LLC; pricing Sept. 24; Cusip 90521ACS5
• Zero-coupon principal-protected capped return market-linked certificates of deposit due Sept. 29, 2016 linked to the S&P 500 index; via UnionBanc Investment Services, LLC and distributor Incapital LLC; pricing Sept. 24; Cusip 90521ACW6
• Zero-coupon principal-protected market-linked certificates of deposit due Sept. 29, 2015 linked to the Brazilian real, Russian ruble, Indian rupee and Chinese renminbi; via UnionBanc Investment Services, LLC and distributor Incapital LLC; pricing Sept. 27; Cusip 90521ACT3
• Zero-coupon principal-protected quarterly capped return market-linked certificates of deposit due March 31, 2014 linked to the Dow Jones - UBS Commodity index; via UnionBanc Investment Services, LLC and distributor Incapital LLC; pricing Sept. 27; Cusip 90521ACR7
WELLS FARGO BANK, NA
• Market-linked certificates of deposit due March 31, 2015 based on a basket of the Australian dollar, Brazilian real, Canadian dollar and Norwegian krone relative to the U.S. Dollar; via Incapital LLC as distributor; pricng Sept. 23; Cusip 949748ZR1
• Certificates of deposit due Sept. 29, 2017 based on the SGI WISE US Vol Target 8% (USD-Excess Return) index; via Incapital LLC and Advisors Asset Management, Inc.; pricing Sept. 23; Cusip 949748ZS9
WELLS FARGO & CO.
• 0% enhanced growth securities due October 2011 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing in September; Cusip: 94986RAU5
• 0% enhanced growth securities due April 2014 linked to the iShares MSCI Emerging Markets index fund; via Wells Fargo Securities, LLC; pricing in October; Cusip: 94986RAY7
• 0% enhanced growth securities due October 2012 linked to the Russell 2000 index; via Wells Fargo Securities, LLC; pricing in October; Cusip: 94986RAX9
• 0% enhanced growth securities due April 2014 linked to the SPDR S&P 500 ETF trust with a 45% weight, the iShares MSCI EAFE index fund with a 20% weight, the iShares MSCI Emerging Markets index fund with a 15% weight and the iShares Russell 2000 index fund with a 20% weight; via Wells Fargo Securities, LLC; pricing in October; Cusip: 94986RAW1
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