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Structured Products Calendar
BANK OF AMERICA CORP.
• Callable capped notes due Oct. 15, 2030 linked to 10-year Constant Maturity Swap rate and two-year Constant Maturity Swap rate; via Merrill Lynch, Pierce, Fenner & Smith Inc.; settlement Oct. 14; Cusip 06048WEE6
• Fixed-rate callable range accrual notes due Oct. 20, 2025 linked to S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing Oct. 15; Cusip 06740PVH62
• 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 October
• Callable capped notes due October 2030 linked to the difference between the 30-year and two-year Constant Maturity Swap rates; via Merrill Lynch, Pierce, Fenner & Smith Inc.; settlement in October; Cusip 06048WDX5
• 0% Market Index Target-Term Securities due October 2015 linked to the Dow Jones Industrial Average; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
• Two-year 0% Capped Leveraged Index Return Notes linked to the price of gold; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
• 0% Strategic Return Notes due October 2015 linked to the Investable Volatility index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
• 14-month 0% Accelerated Return Notes due December 2011 based on S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in 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 October
• Four-year 0% market-linked step up notes linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
• 0% Capped Leveraged Index Return Notes linked to a basket of the S&P 500 index, the MSCI EAFE index and the MSCI Emerging Markets index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
• 0% Capped Leveraged Index Return Notes due October 2012 linked to the S&P BRIC 40 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
• Six-year variable coupon notes linked to a the common stocks of Barrick Gold Corp., Blackstone Group LP, Coca-Cola Co., Dell Inc., Exxon Mobil Corp., Ford Motor Co., Goldman Sachs Group, Inc., JPMorgan Chase & Co., Merck & Co., Inc., Microsoft Corp., Mosaic Co., Oracle Corp., Pfizer Inc., Procter & Gamble Co., Research In Motion Ltd. and Wal-Mart Stores, Inc.; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October or November
• Two-year 0% Capped Leveraged Index Return Notes linked to the price of silver; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October or November
BARCLAYS BANK DELAWARE
• Certificates of deposit due Oct. 27, 2015 based on Indian rupee relative to the dollar; via Barclays Capital Inc. and Advisors Asset Management, Inc.; pricing Oct. 22; Cusip 06740ALY3
BARCLAYS BANK PLC
• 0% buffered Super Track notes due Oct. 12, 2012 linked to the Dow Jones - UBS Commodity index; via Barclays Capital Inc.; pricing Oct. 7; Cusip 06740PWB8
• 0% buffered Super Track notes due April 12, 2012 linked to the iShares MSCI Emerging Markets index fund; via Barclays Capital Inc.; pricing Oct. 7; Cusip 06740PWC6
• 0% buffered Super Track notes due Oct. 12, 2012 linked to the S&P 500 index; via Barclays Capital Inc.; pricing Oct. 7; Cusip 06740PWD4
• 0% buffered Super Track notes due Oct. 12, 2012 linked to the S&P GSCI Agriculture Excess Return index; via Barclays Capital Inc.; pricing Oct. 7; Cusip 06740PWA0
• 0% autocallable optimization securities with contingent protection due Oct. 15, 2015 linked to the SPDR S&P 500 exchange-traded fund; via UBS Financial Services Inc. and Barclays Capital Inc.; pricing Oct. 8; Cusip 06740C329
• 0% market plus notes due Oct. 18, 2012 linked to the S&P 500 index; via Barclays Capital Inc.; pricing Oct. 15; Cusip: 06740PTR7
• 0% double short leverage securities due Oct. 31, 2013 linked to the Barclays Capital 30Y Treasury Futures index; via UBS Financial Services Inc. and Barclays Capital Inc.; pricing Oct. 25; Cusip: 06740PUW4
• 0% Performance Leveraged Upside Securities due Nov. 28, 2011 based on S&P 500 index; via Morgan Stanley Smith Barney LLC and Barclays Capital Inc.; pricing Oct. 25; Cusip 06740L154
• 10% reverse convertible notes due April 29, 2011 linked to Alcoa Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06740PUN4
• 8.5% reverse convertible notes due Oct. 28, 2011 linked to American Express Co. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06740PUE4
• 12.5% reverse convertible notes due Oct. 28, 2011 linked to Assured Guaranty Ltd. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06740PTD8
• 9.25% reverse convertible notes due April 29, 2011 linked to Bank of America Corp. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06740PUM6
• 10.25% reverse convertible notes due April 29, 2011 linked to Barnes & Noble, Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06740PTG1
• 10.25% reverse convertible notes due April 29, 2011 linked to Capital One Financial Corp. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06740PUK0
• 10.5% reverse convertible notes due April 29, 2011 linked to Ford Motor Co. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06740PTZ9
• 12.25% reverse convertible notes due April 29, 2011 linked to Ford Motor Co. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06740PUJ3
• 0% performance securities with contingent protection due Oct. 30, 2015 linked to the iShares MSCI EAFE index fund and the iShares MSCI Emerging Markets index fund; via UBS Financial Services Inc. and Barclays Capital Inc.; pricing Oct. 26; Cusip 06740L121
• 0% knock-in Super Track digital notes due Jan. 31, 2012 linked to the iShares MSCI Emerging Markets index fund; via Barclays Capital Inc.; pricing Oct. 26
• 0% buffered Super Track digital notes due April 30, 2012 linked to the iShares MSCI Emerging Markets index fund; via Barclays Capital Inc.; pricing Oct. 26; Cusip 06740PTP1
• 0% buffered Super Track digital notes due April 30, 2012 linked to the iShares MSCI Emerging Markets index fund; via Barclays Capital Inc.; pricing Oct. 26; Cusip 06740PTL0
• 11.25% reverse convertible notes due April 29, 2011 linked to Janus Capital Group Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06740PTY2
• 10% reverse convertible notes due April 29, 2011 linked to Lennar Corp. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06740PTH9
• 11% reverse convertible notes due Oct. 28, 2011 linked to Massey Energy Co. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06740PTE6
• 10.5% reverse convertible notes due April 29, 2011 linked to MetLife, Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06740PTX4
• 12.25% reverse convertible notes due April 29, 2011 linked to MetLife, Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06740PUH7
• 10% reverse convertible notes due April 29, 2011 linked to Morgan Stanley stock; via Barclays Capital; pricing Oct. 26; Cusip: 06740PUF1
• 10% reverse convertible notes due April 29, 2011 linked to Motorola, Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06740PUG9
• 8.5% reverse convertible notes due Oct. 28, 2011 linked to Noble Corp. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06740PUD6
• 9.75% reverse convertible notes due Oct. 28, 2011 linked to Nokia Corp. (American Depository Share) stock; via Barclays Capital; pricing Oct. 26; Cusip: 06740PUC8
• 9% reverse convertible notes due April 29, 2011 linked to Peabody Energy Corp. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06740PUA2
• 10.75% reverse convertible notes due April 29, 2011 linked to Peabody Energy Corp. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06740PUL8
• 0% buffered Super Track digital notes due Nov. 1, 2011 linked to the Russell 2000 index; via Barclays Capital Inc.; pricing Oct. 26; Cusip 06740PUU8
• 0% buffered Super Track digital notes due April 30, 2012 linked to the Russell 2000 index; via Barclays Capital Inc.; pricing Oct. 26; Cusip 06740PTQ9
• 0% buffered Super Track digital notes due April 30, 2012 linked to the Russell 2000 index; via Barclays Capital Inc.; pricing Oct. 26; Cusip 06740PTM8
• 0% buffered Super Track digital notes due April 30, 2012 linked to the S&P 500 index; via Barclays Capital Inc.; pricing Oct. 26; Cusip 06740PTN6
• 0% return optimization securities with contingent protection due Oct. 31, 2012 linked to the S&P 500 index; via UBS Financial Services Inc. and Barclays Capital Inc.; pricing Oct. 26; Cusip 06740L139
• 0% annual autocallable notes due Oct. 31, 2013 linked to the S&P 500 index; via Barclays Capital Inc.; pricing Oct. 26; Cusip 06740PUT1
• 8.75% reverse convertible notes due Oct. 28, 2011 linked to Schlumberger N.V. (Schlumberger Ltd.) stock; via Barclays Capital; pricing Oct. 26; Cusip: 06740PUB0
• 18% reverse convertible notes due April 29, 2011 linked to Stillwater Mining Co. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06740PTV8
• 10.5% reverse convertible notes due April 29, 2011 linked to SunTrust Banks, Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06740PTW6
• 10% reverse convertible notes due Oct. 28, 2011 linked to Verifone Systems Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06740PTF3
• 0% return optimization securities with contingent protection due Jan. 30, 2015 linked to the iShares MSCI Emerging Markets index fund, iShares MSCI EAFE index fund and SPDR S&P 500 exchange-traded fund trust; via UBS Financial Services Inc. and Barclays Capital Inc.; pricing Oct. 27; Cusip 06740L162
• 0% buffered Super Track notes due May 2, 2014 linked to the Barclays Capital Multi-Strategy DJ-UBSCI with Seasonal Energy Excess Return index; via Barclays Capital Inc.; pricing Oct. 29; Cusip 06740PVB9
• Two-year 0% Capped Leveraged Index Return Notes linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October or November
CITIBANK, NA
• Callable leveraged market-linked certificates of deposit due 2030 linked to the 10-year and two-year Constant Maturity Swap rates; via Citigroup Global Markets Inc.; pricing in October; Cusip 172986CJ8
CITIGROUP FUNDING, INC.
• 8%-10% Equity LinKed Securities due April 20, 2011 linked to the common stock of Best Buy Co., Inc.; via Citigroup Global Markets Inc.; pricing Oct. 25; Cusip 17316G750
• 10%-12% Equity LinKed Securities due April 20, 2011 linked to the common stock of MetLife, Inc.; via Citigroup Global Markets Inc.; pricing Oct. 25; Cusip 17316G768
• 0% Equity LinKed Securities due Oct. 27, 2016 linked to the Dow Jones Industrial Average; via Citigroup Global Markets Inc.; pricing in October; Cusip: 17316G784
• Libor and S&P 500 index-linked range accrual notes due Oct. 25, 2025; via Citigroup Global Markets Inc.; pricing in October; Cusip 1730T0KM0
• 0% Leading Stockmarket Return Securities due Oct. 29, 2013 linked to equal weights of the S&P 500 index, the iShares MSCI EAFE index fund and the iShares MSCI Emerging Markets index fund; via Citigroup Global Markets Inc.; pricing in October; Cusip: 17316G743
• 0% jump securities due March 23, 2011 linked to the common stock of Symantec Corp.; via Citigroup Global Markets Inc.; Cusip 17316G818
CREDIT SUISSE AG, NASSAU BRANCH
• 0% Buffered Accelerated Return Equity Securities due Sept. 24, 2012 linked to the iShares MSCI Brazil index fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 12; Cusip 22546EZP2
• 0% Buffered Accelerated Return Equity Securities due Oct. 19, 2012 based on the iShares MSCI EAFE index fund; 90% trigger; via Credit Suisse Securities (USA) LLC; pricing Oct. 14; Cusip 22546EB86
• 0% Buffered Accelerated Return Equity Securities due Oct. 29, 2012 linked to the iShares MSCI Emerging Markets index fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 22; Cusip 22546EB60
• 0% Buffered Accelerated Return Equity Securities due Oct. 29, 2012 linked to the Russell 2000 index; 90% trigger; via Credit Suisse Securities (USA) LLC; pricing Oct. 22; Cusip 22546EB52
• 0% Buffered Accelerated Return Equity Securities due May 3, 2012 linked to S&P 500 index; 90% trigger; via Credit Suisse Securities (USA) LLC; pricing Oct. 22; Cusip 22546EZW7
• 0% Buffered Accelerated Return Equity Securities due Oct. 29, 2012 linked to S&P 500 index; 90% trigger; via Credit Suisse Securities (USA) LLC; pricing Oct. 22; Cusip 22546EB78
• 0% Buffered Accelerated Return Equity Securities due Oct. 31, 2012 linked to S&P 500 index; 90% trigger; via Credit Suisse Securities (USA) LLC; pricing Oct. 22; Cusip 22546EA46
• 7.5%-9.5% callable yield notes due Oct. 28, 2011 linked to the S&P 500 and Russell 2000 indexes; via Credit Suisse Securities (USA) LLC; pricing Oct. 22; Cusip 22546EB45
• 9.5%-12% annualized callable yield notes due April 29, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22546EB29
• 9.75%-11.75% annualized callable yield notes due April 29, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22546EZX5
• 9.75%-12.25% callable yield notes due April 29, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip 22546EB37
• 8%-10% callable yield notes due Oct. 31, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip 22546EA95
• 8.5%-11% callable yield notes due Oct. 31, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip 22546EZY3
• High/low coupon notes due Oct. 31, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip 22546EA53
• High/low coupon notes due Oct. 31, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip 22546EA38
• 10%-12% callable yield notes due Oct. 31, 2011 linked to the S&P 500 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip 22546EA87
• 8%-10% callable yield notes due Oct. 31, 2011 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22546EA79
• 9.5%-11.5% callable yield notes due Oct. 31, 2011 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22546EA20
• 0% Buffered Accelerated Return Equity Securities due Oct. 30, 2013 based on the SPDR Gold trust; 85% trigger; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip 22546EYZ1
• 0% Buffered Accelerated Return Equity Securities due Oct. 30, 2013 based on the SPDR Gold trust; 85% trigger; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip 22546EZA5
• 10%-12% annualized callable yield notes due May 3, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 29; Cusip: 22546EZR8
• 8.5%-11% callable yield notes due Nov. 3, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 29; Cusip 22546EZU1
• High/low coupon notes due Nov. 3, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 29; Cusip 22546EZV9
• 9.5%-11.5% callable yield notes due Nov. 3, 2011 linked to the S&P 500 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 29; Cusip 22546EZT4
• 9.5%-11.5% callable yield notes due Nov. 3, 2011 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 29; Cusip: 22546EZS6
DEUTSCHE BANK AG, LONDON BRANCH
• 0% autocallable optimization securities with contingent protection due Oct. 17, 2011 linked to the common stock of Cisco Systems Inc.; ia UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Oct. 8; Cusip 25154N159
• 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
• 9.5%-12.3% autocallable securities due Oct. 14, 2011 linked to the S&P 500 index and the Russell 2000 index; via Deutsche Bank Securities Inc.; pricing Oct. 8; Cusip: 2515A07H0
• 0% buffered fixed payment securities due April 13, 2011 linked to the S&P GSCI Crude Oil Index Excess Return; via JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC; pricing Oct. 8; Cusip 2515A07M9
• 0% autocallable optimization securities with contingent protection due Oct. 17, 2011 linked to the common stock of Weatherford International Ltd.; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Oct. 8; Cusip 25154N167
• 0% market contribution securities due Oct. 26, 2015 linked to the Deutsche Bank Liquid Alpha USD 5 Total Return index; via Deutsche Bank Securities Inc. and Deutsche Bank Trust Co. Americas; pricing Oct. 20; Cusip 2515A07D9
• 0% return optimization securities with contingent protection due Jan. 30, 2015 linked to the iShares MSCI Emerging Markets index fund, iShares MSCI EAFE index fund and SPDR S&P 500 exchange-traded fund trust; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Oct. 27; Cusip 25154N217
• 0% market contribution securities due Nov. 1, 2013 linked to the Deutsche Bank Liquid Commodity Index - Mean Reversion Total Return; via Deutsche Bank Securities Inc.; pricing Oct. 29; Cusip 2515A07J6
EKSPORTFINANS ASA
• 0% Accelerated Return Notes due December 2011 based on Energy Select Sector index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
• 0% access securities with fixed buffered downside due Nov. 7, 2012 linked to the iShares Russell 2000 index fund; via Wells Fargo Securities; pricing in 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 October
• 0% auto callable access securities with fixed percentage buffered downside due Nov. 7, 2012 linked to S&P 500; via Wells Fargo Securities, LLC; pricing in October
• Six-month 0% Strategic Accelerated Redemption Securities linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October or November
• One-year 0% Strategic Accelerated Redemption Securities linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October or November
• 14-month 0% Accelerated Return Notes linked to the S&P MidCap 400 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October or November
EATON VANCE eUNITS
• Two-year international equity market participation trust enhanced upside to cap/buffered downside units of beneficial interest linked to the MSC EAFE index; via Eaton Vance Distributors, Inc.
• Two-year U.S. equity market participation trust enhanced upside to cap/buffered downside units of beneficial interest linked to the S&P 500 Composite Stock Price index; via Eaton Vance Distributors, Inc.
GOLDMAN SACHS GROUP, INC.
• 0% index-linked trigger notes due April 20, 2012 linked to the S&P 500 index; via Goldman, Sachs & Co.; pricing Oct. 8; Cusip 38143UNJ6
• 2% equity index-linked notes due Oct. 30, 2017 tied to the Dow Jones Industrial Average; via Goldman, Sachs & Co.; pricing Oct. 25; Cusip 38143UNH0
• Seven-year 0% leveraged equity index-linked notes linked to the Dow Jones Industrial Average; via Goldman, Sachs & Co.
• 0% commodity-linked trigger notes due Oct. 14, 2011 tied to the spot price of gold; via Goldman, Sachs & Co.
• Seven- to nine-month 0% buffered equity index-linked notes tied to the S&P 500 index; via Goldman, Sachs & Co.
• 13- to 15-month 0% buffered equity index-linked notes tied to the S&P 500 index; via Goldman, Sachs & Co.
• 15- to 17-month 0% buffered equity index-linked notes tied to the S&P 500 index; 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.
• 24- to 27-month 0% leveraged index-linked notes based on 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.
• 15-year callable quarterly range accrual notes linked to the S&P 500 index; via Goldman, Sachs & Co.; Cusip 38143UNG2
HARRS NA
• Annual digital yield generator certificates of deposit due Oct. 28, 2016 linked to the common stocks of Altria Group, Inc., Apple, Inc., Barrick Gold Corp., Coca-Cola Co., ConocoPhillips, McDonald's Corp., Merck & Co., Verizon Communications Inc., Wal-Mart Stores, Inc. and Wells Fargo & Co.; via Incapital LLC as distributor; pricing Oct. 26; Cusip 41456TKF5
• Semiannual digital yield generator certificates of deposit due Oct. 28, 2016 linked to the common stocks of Altria Group, Inc., Apple, Inc., Barrick Gold Corp., Coca-Cola Co., ConocoPhillips, McDonald's Corp., Merck & Co., Verizon Communications Inc., Wal-Mart Stores, Inc. and Wells Fargo & Co.; via Incapital LLC as distributor; pricing Oct. 26; Cusip 41456TKG3
• Annual digital yield generator certificates of deposit due Oct. 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 Incapital LLC as distributor; pricing Oct. 26; Cusip 41456TKE8
• Callable contingent semiannual digital payout certificates of deposit due Oct. 29, 2025 linked to the S&P 500 index; via Incapital LLC as distributor; pricing Oct. 26; Cusip 41456TKD0
HSBC BANK USA, NA
• 0% global opportunity certificates of deposit due Oct. 26, 2017 linked the Euro Stoxx 50, Hang Seng and S&P 500 indexes; via HSBC Securities (USA) Inc.; pricing Oct. 20; Cusip 40431GFH7
• 0% knock-out barrier certificates of deposit due Oct. 23, 2014 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 20; Cusip: 40431GGC7
• 0% knock-out barrier certificates of deposit due Oct. 23, 2015 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 20; Cusip: 40431GFN4
• 0% certificates of deposit due Oct. 26, 2017 linked to the Dow Jones Industrial Average; via HSBC Securities (USA) Inc.; pricing Oct. 21; Cusip 40431GFK0
• Autocallable yield notes due Oct. 27, 2011 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 22; Cusip 4042K06B6
• Autocallable yield notes due Oct. 27, 2011 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 22; Cusip 4042K06A8
• Annual income opportunity certificates of deposit with auto cap feature due Oct. 30, 2017 linked to a basket of the stocks of Abbott Laboratories, Avon Products, Inc., CME Group Inc., Eli Lilly & Co., Exelon Corp., Exxon Mobil Corp., General Electric Co., KLA-Tencor Corp., Northern Trust Corp., Paychex Inc., Vulcan Materials Co. and Western Union Co.; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip 40431GFF1
• Annual income opportunity certificates of deposit with auto cap feature due Oct. 31, 2015 linked to a basket of the common stocks of Alcoa Inc., Altria Group Inc., Centurylink Inc., Consolidated Edison, Inc., General Mills Inc., Gilead Sciences Inc., Intel Corp., The Mosaic Co., Pfizer Inc., Schlumberger Ltd., US Bancorp. and Yum! Brands Inc.; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip 40431GFX2
• Annual income opportunity certificates of deposit with auto cap feature due Oct. 31, 2016 linked to a basket of the common stocks of Alcoa Inc., Altria Group Inc., Centurylink Inc., Consolidated Edison, Inc., General Mills Inc., Gilead Sciences Inc., Intel Corp., The Mosaic Co., Pfizer Inc., Schlumberger Ltd., US Bancorp. and Yum! Brands Inc.; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip 40431GFS3
• Annual income opportunity certificates of deposit with auto cap feature due Oct. 31, 2016 linked to a basket of the common stocks of China Mobile Ltd., CIA Siderurgica NACL, Duke Energy Corp., Encana Corp., Goldcorp. Inc., Home Depot Inc., Honda Motor Co. Ltd., Lorillard Inc., Novartis AG, Toronto-Dominion Bank, Total SA and Unilever NV; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip 40431GFV6
HSBC USA INC.
• 0% knock-out buffer notes due Oct. 21, 2011 linked to the price of gold; via J.P. Morgan Securities LLC; pricing Oct. 8; Cusip 4042K06X8
• 0% buffered Accelerated Market Participation Securities due Oct. 25, 2013 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 22; Cusip 4042K06C4
• 8%-11% autocallable yield notes due Oct. 27, 2011 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 22; Cusip 4042K06A8
• 10%-14% autocallable yield notes due Oct. 27, 2011 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 22; Cusip 4042K06B6
• 0% Accelerated Market Participation Securities due Nov. 30, 2011 linked to the iShares FTSE/Xinhua China 25 index fund; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 4042K96J9
• 0% buffered Accelerated Market Participation Securities due Jan. 30, 2012 based on iShares FTSE/Xinhua China 25 index fund; 80% trigger; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip 4042K06M2
• 0% Accelerated Market Participation Securities due Jan. 30, 2012 based on iShares FTSE/Xinhua China 25 index fund; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip 4042K06F7
• 0% buffered Accelerated Market Participation Securities due April 30, 2012 linked to the iShares FTSE/Xinhua China 25 index fund; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 4042K06R1
• 0% buffered Accelerated Market Participation Securities due Jan. 30, 2012 based on iShares MSCI Brazil index fund; 80% trigger; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip 4042K06N0
• 0% buffered Accelerated Market Participation Securities due April 30, 2012 linked to the iShares MSCI Brazil index fund; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 4042K06S9
• 0% Accelerated Market Participation Securities due Nov. 30, 2011 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 4042K96H3
• 0% Accelerated Market Participation Securities due Jan. 30, 2012 based on Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip 4042K06E0
• 0% buffered Accelerated Market Participation Securities due Jan. 30, 2012 based on Russell 2000 index; 80% trigger; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip 4042K06L4
• 0% buffered Accelerated Market Participation Securities due April 30, 2012 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 4042K06Q3
• 0% buffered Accelerated Market Participation Securities due Jan. 30, 2012 based on S&P 500 index; 80% trigger; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip 4042K06K6
• 0% buffered Accelerated Market Participation Securities due April 30, 2012 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 4042K06P5
• 0% Accelerated Market Participation Securities due Nov. 30, 2011 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 4042K96G5
• 0% return optimization securities with contingent protection due Oct. 31, 2012 linked to the iShares MSCI Emerging Markets index fund; via UBS Financial Services Inc.; pricing Oct. 26; Cusip 40432R534
• 0% best-of performance notes due Nov. 1, 2012 linked to the iShares MSCI EAFE index fund; via HSBC Securities (USA) Inc.; pricing Oct. 29; Cusip 4042K06Y6
JPMORGAN CHASE BANK, NA
• Contingent coupon market-linked certificates of deposit due Oct. 25, 2016 linked to a basket of commodities and commodity indexes including silver, 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 LLC; pricing Oct. 25; Cusip 48123YPV
• Contingent coupon certificates of deposit due Oct. 31, 2017 linked to equal weights of the shares of Altria Group, Inc., Amazon.com, Inc., Barrick Gold Corp., Baxter International Inc., General Mills, Inc., Intel Corp., Time Warner Cable Inc., Verizon Communications Inc., Wells Fargo & Co. and Whole Foods Market, Inc.; via J.P. Morgan Securities Inc. and distributor Incapital LLC; pricing Oct. 26; Cusip: 48123YQF6
• Digital contingent coupon certificates of deposit due Oct. 31, 2016 linked to the common stocks of Altria Group, Inc., Amazon.com, Inc., Barrick Gold Corp., Baxter International Inc., General Mills, Inc., Intel Corp., Time Warner Cable Inc., Verizon Communications Inc., Wells Fargo & Co. and Whole Foods Market, Inc.; via J.P. Morgan Securities LLC and distributor Incapital LLC; pricing Oct. 26; Cusip 48123YPZ3
• Digital contingent coupon certificates of deposit due Oct. 31, 2017 linked to the common stocks of Altria Group, Inc., Amazon.com, Inc., Barrick Gold Corp., Baxter International Inc., General Mills, Inc., Intel Corp., Time Warner Cable Inc., Verizon Communications Inc., Wells Fargo & Co. and Whole Foods Market, Inc.; via J.P. Morgan Securities LLC and distributor Incapital LLC; pricing Oct. 26; Cusip 48123YPY6
• 0% commodity-linked certificates of deposit due Oct. 31, 2016 linked to the JPMorgan Optimax Market-Neutral index; via J.P. Morgan Securities Inc. and distributor Incapital LLC; pricing Oct. 26; Cusip: 48123YQE9
JPMORGAN CHASE & CO.
• 10% reverse convertible notes due April 12, 2011 linked to ConocoPhillips stock; via JPMorgan; pricing Oct. 7; Cusip: 48124AG92
• 11% reverse convertible notes due April 12, 2011 linked to FedEx Corp. stock; via JPMorgan; pricing Oct. 7; Cusip: 48124AH26
• 0% buffered return enhanced notes due April 13, 2012 linked to the iShares Russell 2000 index fund; via J.P. Morgan Securities Inc.; pricing Oct. 7; Cusip 48124AG84
• 10% upside auto callable single observation reverse exchangeable notes due Oct. 14, 2011 linked to Caterpillar Inc. common stock; 80% trigger; via J.P. Morgan Securities LLC; pricing Oct. 8; Cusip 48124AK97
• 0% buffered return enhanced notes due Oct. 26, 2011 linked to the Hang Seng China Enterprises, Korea Stock Price 200, MSCI Taiwan, Hang Seng and MSCI Singapore indexes, each converted into dollars; via J.P. Morgan Securities LLC; pricing Oct. 8; Cusip 48124AN60
• Callable range accrual notes due Oct. 14, 2025 linked to six-month Libor and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 8; Cusip 48124AM61
• 8% upside auto callable single observation reverse exchangeable notes due Oct. 14, 2011 linked to Microsoft Corp. common stock; 85% trigger; via J.P. Morgan Securities LLC; pricing Oct. 8; Cusip 48124AL21
• 10% upside auto callable single observation reverse exchangeable notes due Oct. 14, 2011 linked to Wells Fargo & Co. common stock; 75% trigger; via J.P. Morgan Securities LLC; pricing Oct. 8; Cusip 48124AL39
• 0% return notes due Oct. 20, 2011 linked to the Brazilian real, New Turkish lira, Australian dollar, Indian rupee, Indonesian rupiah and South African rand; via J.P. Morgan Securities LLC; pricing Oct. 18; Cusip 48124AN29
• 0% buffered Performance Leveraged Upside Securities due Oct. 29, 2012 linked to the iShares MSCI Emerging Markets index fund; via J.P. Morgan Securities LLC; pricing Oct. 25; Cusip 46634X815
• Digital contingent coupon notes due Oct 27, 2017 linked to an equally weighted basket of stocks; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip 48124AM79
• 0% notes due Oct. 31, 2014 linked to the J.P. Morgan Alternative Index Multi-Strategy 5 (USD); via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48124AM38
• 0% notes due Oct. 31, 2016 linked to the J.P. Morgan Alternative Index Multi-Strategy 5 (USD); via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48124AM46
• 0% bearish notes due Oct. 31, 2016 linked inversely to the J.P. Morgan US Treasury Note Futures (G) Tracker; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip 48124AM53
• 0% buffered return enhanced notes due April 30, 2012 based on Russell 2000 index; 90% trigger; via J.P. Morgan Securities Inc.; pricing Oct. 26; Cusip 48124AL88
• 0% buffered return enhanced notes due April 30, 2012 based on S&P 500 index; 90% trigger; via J.P. Morgan Securities Inc.; pricing Oct. 26; Cusip 48124AL62
• 0% buffered return enhanced notes due Oct. 31, 2012 based on S&P 500 index; 90% trigger; via J.P. Morgan Securities Inc.; pricing Oct. 26; Cusip 48124AL7
• 10%-12% annualized callable yield notes due April 29, 2011 linked to S&P 500 index and Nasdaq 100 index; 75% trigger; via J.P. Morgan Securities LLC; pricing Oct. 26
MORGAN STANLEY
• 0% notes due Oct. 26, 2011 linked to a basket of buffered return enhanced components, i.e. the Euro Stoxx 50, FTSE 100 and Topix indexes; via JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC; pricing Oct. 8; Cusip 617482NX8
• 8%-10% annualized Equity LinKed Securities due April 25, 2011 linked to Halliburton Co. shares; via Morgan Stanley & Co. Inc.; pricing Oct. 25; Cusip: 61759G380
• 11%-14% annualized Equity LinKed Securities due April 25, 2011 linked to Nvidia Corp. shares; via Morgan Stanley & Co. Inc.; pricing Oct. 25; Cusip: 61759G372
• 0% buffered Performance Leveraged Upside Securities due Oct. 2012 based on the performance of the WisdomTree India Earnings Fund; via Morgan Stanley & Co. Inc.; pricing in October; Cusip 61759G422
• 0% index Leading Stockmarket Return Securities due October 2013 based on the S&P 500 index; 80% trigger; via Morgan Stanley & Co. Inc.; pricing in October; Cusip 61759G414
• Range accrual step up notes due Oct. 22, 2030 linked to the S&P 500 index; via Morgan Stanley & Co. Inc.; pricing in October; Cusip: 61745EM73
• Senior floating-rate callable Sifma Municipal Swap index and Libor accrual notes due Oct. 26, 2025; via Morgan Stanley & Co. Inc.; pricing in October
ROYAL BANK OF CANADA
• 9%-13% reverse convertible notes due April 12, 2011 linked to Citigroup Inc. common stock; 70% trigger; via RBC Capital Markets Corp.; pricing Oct. 7; Cusip 78008KLB7
• 8.55%-11.55% reverse convertible notes due April 12, 2011 linked to General Electric Co. common stock; 75% trigger; via RBC Capital Markets Corp.; pricing Oct. 7; Cusip 78008KLC5
• 0% buffered bullish enhanced return notes due April 12, 2012 linked to the iShares MSCI EAFE index fund; via RBC Capital Markets Corp.; pricing Oct. 7; Cusip: 78008KLA9
• 0% buffered bullish digital notes due Oct. 16, 2012 linked to the S&P 500 index; via RBC Capital Markets Corp.; pricing Oct. 11; Cusip 78008KMT7
• 16% reverse convertible notes due Jan. 21, 2011 linked to Allegheny Technologies, Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KNE9
• 18.5% reverse convertible notes due Jan. 21, 2011 linked to ATP Oil & Gas Corp. stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KNF6
• 11% reverse convertible notes due Jan. 21, 2011 linked to Blackstone Group LP stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KNG4
• 12.75% reverse convertible notes due Jan. 21, 2011 linked to Delta Air Lines, Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KNH2
• 12.75% reverse convertible notes due Jan. 21, 2011 linked to Fifth Third Bancorp stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KNJ8
• 11.25% reverse convertible notes due Jan. 21, 2011 linked to Fuel Systems Solutions Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KNK5
• 13.5% reverse convertible notes due Jan. 21, 2011 linked to Genworth Financial Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KNM1
• 18.25% reverse convertible notes due Jan. 21, 2011 linked to Green Mountain Coffee Roasters, Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KNL3
• 11% reverse convertible notes due Jan. 21, 2011 linked to Hartford Financial Services Group, Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KNN9
• 12.75% reverse convertible notes due Jan. 21, 2011 linked to Joy Global Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KNP4
• 13.5% reverse convertible notes due Jan. 21, 2011 linked to KeyCorp stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KNQ2
• 13.75% reverse convertible notes due Jan. 21, 2011 linked to Las Vegas Sands Corp. stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KNS8
• 14.5% reverse convertible notes due Jan. 21, 2011 linked to Lincoln National Corp. stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KNR0
• 12.5% reverse convertible notes due Jan. 21, 2011 linked to MercadoLibre Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KNT6
• 18.75% reverse convertible notes due Jan. 21, 2011 linked to Netflix Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KNU3
• 10.5% reverse convertible notes due Jan. 21, 2011 linked to Northern Oil & Gas, Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KNV1
• 17% reverse convertible notes due Jan. 21, 2011 linked to Trina Solar Ltd. stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KNW9
• 16% reverse convertible notes due Jan. 21, 2011 linked to United States Steel Corp. stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KNY5
• 13% reverse convertible notes due Jan. 21, 2011 linked to Wynn Resorts Ltd. stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KNX7
• 10.5% reverse convertible notes due April 20, 2011 linked to Alcoa Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KNZ2
• 10% reverse convertible notes due April 20, 2011 linked to American Express Co. stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KPA5
• 12% reverse convertible notes due April 20, 2011 linked to Canadian Natural Resources Ltd. stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KPB3
• 13.75% reverse convertible notes due April 20, 2011 linked to Foster Wheeler AG stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KPD9
• 11.5% reverse convertible notes due April 20, 2011 linked to Freeport-McMoRan Copper & Gold Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KPC1
• 12.25% reverse convertible notes due April 20, 2011 linked to Research In Motion Ltd. stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KPF4
• 11.5% reverse convertible notes due April 20, 2011 linked to Rowan Cos., Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KPE7
• 10% reverse convertible notes due April 20, 2011 linked to Wells Fargo & Co. stock; via RBC Capital Markets Corp.; pricing Oct. 15; Cusip: 78008KPG2
• 0% buffered bullish notes due Oct. 30, 2015 based on S&P 500 index; 805 trigger; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip 78008KMX8
• 0% currency-linked notes due Oct. 30, 2015 tied to the bullish performance of equal weights of the Brazilian real, the Australian dollar, the Canadian dollar and the Norwegian krone relative to the U.S. dollar; via RBC Capital Markets Corp.; pricing Oct. 27; Cusip: 78008KPH0
• 0% Bear Accelerated Return Notes due April 2011 based on S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
• 20- to 23-month 0% leveraged buffered notes linked to the iShares MSCI Emerging Markets index fund; via Goldman, Sachs & Co.
ROYAL BANK OF SCOTLAND NV
• 14-month 0% Accelerated Return Notes linked to the Russell 2000 index; via Merrill Lynch, Pierce, Fenner and Smith Inc.; pricing in October
• 14-month 0% Accelerated Return Notes linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner and Smith Inc.; pricing in October
• Annual reset coupon securities due Oct. 30, 2015 linked to the S&P 500 index; via RBS Securities Inc.; pricing Oct. 26; Cusip 78009KMT6
AB SVENSK EXPORTKREDIT
• 53-week 8% STEP Income Securities linked to Boeing Co. common stock; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October or November
UBS AG, JERSEY BRANCH
• Callable contingent accrual notes due Oct. 14, 2025 linked to the 30-year Constant Maturity Swap rate and two-year CMS rate and the S&P 500 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 8
• 0% return optimization securities with contingent protection due Oct. 21, 2013 linked to the UBS Bloomberg Constant Maturity Commodity Index Excess Return; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 15; Cusip 902669209
• 0% performance securities with contingent protection due Oct. 30, 2015 based on the S&P 500 index; 50% trigger; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 26; Cusip 90267F162
• 0% performance securities due Oct. 29, 2013 linked to the UBS V10 Currency Index with Volatility Cap; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 26; Cusip 902669217
UBS AG, LONDON BRANCH
• 0% optimization securities with contingent protection due April 19, 2012 linked to the S&P 500 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 14; Cusip 90267F154
• 0% performance securities with contingent protection due Oct. 31, 2013 linked to the S&P 500 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 26; Cusip 90267F170
• 0% return optimization securities with contingent protection due Jan. 30, 2015 linked to the iShares MSCI Emerging Markets index fund, iShares MSCI EAFE index fund and SPDR S&P 500 exchange-traded fund trust; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 27; Cusip 90267C870
UNION BANK, NA
• Zero-coupon principal-protected quarterly capped return market-linked certificates of deposit due Oct. 27, 2014 linked to the S&P 500 index; via UnionBanc Investment Services, LLC and distributor Incapital LLC; pricing Oct. 22; Cusip 90521ADA3
• Zero-coupon principal-protected market-linked certificates of deposit due Oct. 27, 2015 linked to equal weights of the Brazilian real, Russian ruble, Indian rupee and Chinese renminbi; via UnionBanc Investment Services, LLC; pricing Oct. 25; Cusip: 90521ADC9
• 0% market-linked certificates of deposit due Oct. 25, 2017 linked to a basket of the Brazilian real, Russian ruble, Indian rupee and Korean won; via UnionBanc Investment Services, LLC; pricing Oct. 25, Cusip 90521ADD7
• Zero-coupon principal-protected quarterly capped return market-linked certificates of deposit due April 28, 2014 linked to the Dow Jones - UBS Commodity index; via UnionBanc Investment Services, LLC and distributor Incapital LLC; pricing Oct. 25; Cusip 90521ACZ9
• Zero-coupon capped return market-linked certificates of deposit due Oct. 27, 2014 linked to gold; via UnionBanc Investment Services, LLC; pricing Oct. 25; Cusip: 90521ADB1
WELLS FARGO BANK, NA
• 0% market-linked certificates of deposit due April 30, 2015 linked to the Australian dollar, Brazilian real, Canadian dollar and Norwegian krone; via distributor Incapital LLC; pricing Oct. 22; Cusip 949748ZX8
• Contingent annual interest market-linked certificates of deposit due Oct. 30, 2015 linked to the S&P GSCI Crude Oil Index Excess Return, gasoline, sugar, soybeans, S&P GSCI Wheat Index Excess Return, S&P GSCI Livestock Index Excess Return, zinc, gold, platinum and nickel; via distributor Incapital LLC; pricing Oct. 22; Cusip 949748ZY6
WELLS FARGO & CO.
• 0% enhanced growth securities due May 2014 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing in November; Cusip: 94986RBF7
• 0% enhanced growth securities due May 2014 linked to the SPDR S&P 500 ETF trust with a 45% weight, the iShares Russell 2000 index fund with a 20% weight, the iShares MSCI EAFE index fund with a 20% weight and the iShares MSCI Emerging Markets index fund with a 15% weight; via Wells Fargo Securities, LLC; pricing in November; Cusip: 94986RBE0
• 0% access securities with upside participation and partial downside protection due May 2016 linked to the Rogers International Commodity Index - Excess Return; via Wells Fargo Securities, LLC; settlement in November; Cusip 94986RBC4
• 0% enhanced growth securities due May 2014 linked to the Russell 2000 index; via Wells Fargo Securities, LLC; settling in November; Cusip 94986RBG5
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