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Structured Products Calendar
BANK OF AMERICA CORP.
• 0% Strategic Accelerated Redemption Securities due December 2013 linked to American Depositary Receipts of BP plc; via Bank of America Merrill Lynch; pricing in November
• Capped Leveraged Index Return Notes due May 2014 linked to the Brent crude oil futures contract; via Bank of America Merrill Lynch; pricing in November
• Capped Leveraged Index Return Notes due November 2014 linked to the PHLX Housing Sector index; via Bank of America Merrill Lynch; pricing in November
• 0% autocallable market-linked step-up notes due November 2015 linked to the Russell 2000 index; via Bank of America Merrill Lynch; pricing in November
• 0% Accelerated Return Notes due November 2014 linked to the Dow Jones-UBS Commodity Index - Excess Return; via Bank of America Merrill Lynch; pricing in November
• Leveraged Index Return Notes due November 2014 linked to the Dow Jones-UBS Agriculture Sub-Index - Excess Return; via Bank of America Merrill Lynch; pricing in November
• 0% currency Market Index Target-Term Securities due November 2015 linked to Norwegian krone and the Swedish krona relative to the euro; via Bank of America Merrill Lynch; pricing in November
• 0% Accelerated Return Notes due January 2014 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in November
• 0% Accelerated Return Notes due November 2014 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in November
• Autocallable market-linked step-up notes due November 2015 linked to the S&P 500 index; 95% trigger; via Bank of America Merrill Lynch; pricing in November
• Market-linked step-up notes due December 2014 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in November
• 0% Accelerated Return Notes due January 2014 linked to the S&P MidCap 400 index; via Bank of America Merrill Lynch; pricing in November
BANK OF MONTREAL
• 0% contingent risk absolute return notes due Nov. 28, 2014 linked to the iShares Russell 2000 index fund; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06366RJR7
• 0% autocallable cash-settled notes with step-up call price due Nov. 28, 2014 linked to the iShares Russell 2000 index fund; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06366RJLO
• 0% buffered bullish enhanced return notes due Nov. 30, 2015 linked to the iShares Russell 2000 index fund; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06366RJQ9
• 0% buffered bullish digital return notes due Nov. 30, 2015 linked to the iShares Russell 2000 index fund; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06366RJN6
• 0% autocallable barrier notes with step-up call price due Nov. 30, 2015 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06366RJK2
• 0% buffered bullish enhanced return notes due Nov. 30, 2015 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06366RJP1
• 0% buffered bullish digital return notes due Nov. 30, 2015 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06366RJM8
BARCLAYS BANK PLC
• 7% to 8% reverse convertible notes due Nov. 15, 2013 linked to Apple Inc. stock; via Barclays Capital; pricing Nov. 13; Cusip: 06741JUT4
• 6% to 7% reverse convertible notes due Nov. 15, 2013 linked to Caterpillar Inc. stock; via Barclays Capital; pricing Nov. 13; Cusip: 06741JUU1
• Notes due Nov. 16, 2017 linked to S&P GSCI Sugar Index Excess Return, S&P GSCI Cocoa Index Excess Return, S&P GSCI Corn Index Excess Return, S&P GSCI Cotton Index Excess Return, S&P GSCI Lean Hogs Index Excess Return, S&P GSCI Precious Metals Index Excess Return, S&P GSCI Live Cattle Index Excess Return, S&P GSCI Lead Index Excess Return, S&P GSCI Nickel Index Excess Return and S&P GSCI Zinc Index Excess Return; via Barclays; pricing Nov. 13; Cusip: 06741TKK2
• 10% reverse convertible notes due Nov. 18, 2013 linked to Coach, Inc. stock; via Barclays; pricing Nov. 14; Cusip: 06741JUR8
• 9% reverse convertible notes due Nov. 18, 2013 linked to Valero Energy Corp. stock; via Barclays; pricing Nov. 14; Cusip: 06741JUS6
• 12% reverse convertible notes due Nov. 21, 2013 linked to Hertz Global Holdings, Inc. stock; via Barclays; pricing Nov. 19; Cusip: 06741JUV9
• 8% to 10% autocallable yield notes due Nov. 29, 2013 linked to the Russell 2000 index and the iShares MSCI Brazil index fund; via Barclays; pricing Nov. 26; Cusip: 06741TKA4
• 9.25% reverse convertible notes due Nov. 29, 2013 linked to Amazon.com, Inc. stock; via Barclays; pricing Nov. 27; Cusip: 06741JUQ0
• 0% notes due Nov. 29, 2019 linked to Apple Inc., Freeport-McMoRan Copper &Gold Inc., Hewlett Packard Co., Eli Lilly and Co., Walgreen Co., Silver Wheaton Corp., New York Community Bancorp, Inc., Southern Copper Corp., Darden Restaurants, Inc. and Northeast Utilities, Inc.; via Barclays; pricing Nov. 27; Cusip: 06741TJU2
• 10% reverse convertible notes due May 31, 2013 linked to Baidu, Inc. stock; via Barclays; pricing Nov. 27; Cusip: 06741JUK3
• 17% reverse convertible notes due May 31, 2013 linked to Cliffs Natural Resources Inc. stock; via Barclays; pricing Nov. 27; Cusip: 06741JUL1
• 9% reverse convertible notes due Nov. 29, 2013 linked to Freeport-McMoRan Copper & Gold Inc. stock; via Barclays; pricing Nov. 27; Cusip: 06741JUM9
• 19% reverse convertible notes due Feb. 28, 2013 linked to J.C. Penney Co., Inc. stock; via Barclays; pricing Nov. 27; Cusip: 06741JUH0
• 10.25% reverse convertible notes due Nov. 29, 2013 linked to Las Vegas Sands Corp. stock; via Barclays; pricing Nov. 27; Cusip: 06741JUP2
• 14.5% reverse convertible notes due Feb. 28, 2013 linked to PulteGroup, Inc. stock; via Barclays; pricing Nov. 27; Cusip: 06741JUJ6
• 0% Super Track notes due June 2, 2016 linked to the S&P 500 index; via Barclays; pricing Nov. 27; Cusip: 06741TKF3
• Notes due Nov. 30, 2017 linked to S&P GSCI Sugar Index Excess Return, S&PGSCI Cocoa Index Excess Return, S&P GSCI Corn Index Excess Return, S&P GSCI Cotton Index Excess Return, S&P GSCI Lean Hogs Index Excess Return, S&P GSCI Precious Metals Index Excess Return, S&P GSCI Natural Gas Index Excess Return, S&P GSCI Lead Index Excess Return, S&P GSCI Nickel Index Excess Return and S&P GSCI Zinc Index Excess Return; via Barclays; pricing Nov. 27; Cusip: 06741TJS7
• 9% reverse convertible notes due Nov. 29, 2013 linked to Valero Energy Corp. stock; via Barclays; pricing Nov. 27; Cusip: 06741JUN7
• 9% reverse convertible notes due Nov. 29, 2013 linked to Hewlett-Packard Co. stock; via Barclays; pricing Nov. 28; Cusip: 06741JUE7
• 0% buffered digital notes due Nov. 30, 2015 linked to the Russell 2000 index; 80% trigger; via Barclays; pricing Nov. 28; Cusip: 06741TKL0
• 0% buffered digital notes due May 29, 2015 linked to the Russell 2000 index; via Barclays; pricing Nov. 28; Cusip: 06741TKE6
• 11% reverse convertible notes due May 28, 2013 linked to Verifone Systems, Inc. stock; via Barclays; pricing Nov. 28; Cusip: 06741JUB3
• 8% reverse convertible notes due Nov. 29, 2013 linked to Whole Foods Market, Inc. stock; via Barclays; pricing Nov. 28; Cusip: 06741JUD9
• 0% Strategic Accelerated Redemption Securities due December 2013 linked to the common stock of Apple Inc.; via Bank of America Merrill Lynch; pricing in November
• 8.5% STEP Income Securities due December 2013 linked to Ford Motor Co. shares; via Bank of America Merrill Lynch; pricing in November
• 0% buffered Super Track notes due November 2017 linked to Hang Seng China Enterprises index, the Korea Composite Stock Price Index 200, Hang Seng index, MSCI Taiwan Price index and MSCI Singapore Free Price index; 75% trigger; via Barclays; pricing in November; Cusip: 06741TKG1
• 0% Accelerated Return Notes due January 2014 linked to the NYSE Arca Gold Miners index; via Bank of America Merrill Lynch; pricing in November
CITIGROUP FUNDING INC.
• Noncallable fixed-to-float notes due Nov. 27, 2022; via Citigroup Global Markets Inc.; pricing Nov. 21; Cusip: 1730T0ZJ1
• Autocallable contingent coupon equity-linked securities due Dec. 2, 2013 linked to Apple Inc.; via Citigroup Global Markets Inc.; pricing Nov. 26; Cusip: 1730T0ZH5
• 0% buffered digital plus securities due June 1, 2016 linked to the Russell 2000 index; via Citigroup Global Markets Inc.; pricing Nov. 26; Cusip: 1730T0ZG7
• 0% buffered Performance Leveraged Upside Securities due December 2014 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Nov. 29; Cusip: 17318Q442
• 0% enhanced trigger jump securities due Nov. 29, 2017 linked to the S&P 500 index; 65% trigger; via Citigroup Global Markets Inc.; pricing Nov. 29; Cusip: 17318Q434
• Strategic market access notes due 2014 linked to a basket of 10 equally weighted energy-related Master Limited Partnerships (Atlas Pipeline Partners LP, Entbridge Energy Partners, LP, Energy Transfer Equity, LP, Enterprise Products Partners LP, Genesis Energy, LP, Magellan Midstream Partners, LP, MarkWest Energy Partners, LP, Targa Resources Partners, LP, Western Gas Partners, LP and Williams Partners LP); via Citigroup Global Markets Inc.; Cusip: 1730T0ZF9
CREDIT SUISSE AG, NASSAU BRANCH
• High/low coupon callable yield notes due Nov. 15, 2013 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 12; Cusip: 22546TG96
• High/low coupon callable yield notes due Nov. 14, 2013 linked to the S&P 500 index, the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 12; Cusip: 22546TG96
• 0% digital barrier securities due Nov. 28, 2014 linked to the S&P 500 index and the Russell 2000 index; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 20; Cusip: 22546TH61
• 0% absolute return barrier securities due March 2, 2015 linked to the S&P 500 index and the Russell 2000 index; 62.5% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 26; Cusip: 22546TH95
• 0% Cert Plus securities due May 30, 2014 linked to the common stock of Apple Inc.; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22546TJ28
• Daily range accrual notes due Nov. 30, 2016 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22546TE23
• 0% Accelerated Return Notes due May 30, 2014 linked to Apple Inc. shares; 75% trigger; via Bank of America Merrill Lynch; pricing Nov. 27; Cusip: 22546TJ28
• High/low coupon callable yield notes due Feb. 28, 2014 linked to the Russell 2000 index and the United States Oil Fund, LP; 65% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22546TG47
• 0% digital plus barrier notes due Nov. 30, 2016 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22546TH46
• 0% Buffered Accelerated Return Equity Securities due Nov. 30, 2015 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 28; Cusip: 22546TJ44
• 0% Buffered Accelerated Return Equity Securities due June 4, 2014 linked to the iShares MSCI EAFE index fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22546TH87
• High/low coupon callable yield notes due March 5, 2014 linked to the Russell 2000 index and the United States Oil Fund, LP; 65% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22546TG21
• 0% Buffered Accelerated Return Equity Securities due June 4, 2014 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22546TH79
• 0% digital-plus barrier notes due Nov. 30, 2016 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22546TH46
• 0% digital-plus barrier notes due Dec. 5, 2016 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22546TH38
• Daily range accrual notes due Dec. 5, 2016 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22546TG39
• 0% Accelerated Return Notes due January 2014 linked to the Energy Select Sector index; via Bank of America Merrill Lynch; pricing in November
• 0% buffered enhanced participation equity securities due in 21 to 24 months linked to the MSCI EAFE index; 90% trigger; via Credit Suisse Securities (USA) LLC; pricing in November; Cusip: 22546TJ36
• 0% Accelerated Return Notes due January 2014 linked to the Russell 2000 index; via Bank of America Merrill Lynch; pricing in November
DEUTSCHE BANK AG, LONDON BRANCH
• Fixed-to-floating notes due Nov. 30, 2017; via Deutsche Bank Securities Inc.; pricing Nov. 27; Cusip: 2515A1PH8
• Callable step-up fixed-rate notes due Nov. 30, 2019; via Deutsche Bank Securities Inc.; pricing Nov. 27; Cusip: 2515A1PG0
• 0% buffered return optimization securities due Nov. 28, 2014 linked to the iShares MSCI Emerging Markets index fund; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Nov. 27; Cusip: 25154S877
• Autocallable securities due Dec. 2, 2015 linked to the iShares MSCI Emerging Markets index fund; 75% trigger; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Nov. 27; Cusip: 2515A1M32
• 0% capped buffered underlying securities due Nov. 28, 2014 linked to the S&P 500 index and the Russell 2000 index; via Deutsche Bank Securities Inc.; pricing on Nov. 27; Cusip: 2515A1M57
• 0% trigger performance securities due Nov. 30, 2015 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Nov. 28; Cusip: 25154S828
• Contingent return optimization securities due Nov. 28, 2014 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Nov. 28; Cusip: 25154S869
• 0% market contribution securities due Dec. 8, 2015 linked to the Deutsche Bank Liquid Commodity Index - Mean Reversion Total Return; via Deutsche Bank Securities Inc.; pricing Dec. 3; Cusip: 2515A1M65
GOLDMAN SACHS GROUP, INC.
• Callable step-up fixed-rate notes due November 2027; via Goldman Sachs & Co. and Incapital LLC; settlement in November; Cusip: 38141GHW7
• 15-year callable quarterly CMS spread notes linked to the 30-year Constant Maturity Swap Rate and the five-year CMS rate; via Goldman Sachs & Co.; Cusip: 38141GHQ0
• 0% notes due in seven years tied to the Dow Jones industrial average; via Goldman Sachs & Co.; Cusip: 38141GGX6
• Five-year 0% leveraged notes linked to the Morningstar Wide Moat Focus Target Volatility 5 index; via Goldman Sachs & Co.; Cusip: 38143U7B1
• Five-year 0% bufferd notes linked to the Morningstar Wide Moat Focus Target Volatility 20 index; via Goldman Sachs & Co.; Cusip: 38141GGY4
• Five-year 0% bufferd notes linked to the Morningstar Wide Moat Focus Target Volatility 20 index; via Goldman Sachs & Co.; Cusip: 38141GGZ1
• 72-month 0% trigger notes linked to the Morningstar Wide Moat Focus Target Volatility 20 index; via Goldman Sachs & Co.; Cusip: 38141GHU1
• 0% leveraged buffered notes linked to the MSCI EAFE index due in 30 to 35 months; 90% trigger; via Goldman Sachs & Co.
• 0% index-linked digital notes due in 13-15 months tied to the Russell 2000 index; via Goldman Sachs & Co.; Cusip: 38141GHR8
• 0% digital notes tied to the Russell 2000 index due in 18 and 21 months; 80% trigger; via Goldman Sachs & Co.
• 36-month 0% buffered digital notes linked to the Russell 2000 index; via Goldman Sachs & Co. with JPMorgan; Cusip: 38141GHM9
• 0% leveraged buffered index-linked notes due in 36 to 42 months tied to the S&P 100 index; via Goldman, Sachs & Co.
• 18- to 21-month 0% leveraged buffered notes linked to the S&P 500 index; via Goldman Sachs & Co.
• 0% leveraged buffered index-linked notes due in 42 to 48 months tied to the S&P 100 index; via Goldman, Sachs & Co.; Cusip: 38143U7U9
• Six-year callable monthly Russell 2000 index-linked range accrual notes; via Goldman Sachs & Co.; Cusip: 38141GHA5
• 10-year callable monthly Russell 2000 index-linked range accrual notes; via Goldman Sachs & Co.; Cusip: 38141GHB3
• 10-year callable monthly Russell 2000 index-linked range accrual notes; via Goldman Sachs & Co.; Cusip: 38141GHC1
• 0% leveraged buffered index-linked notes tied to the S&P 500 index due in 18 to 21 months; via Goldman, Sachs & Co.
• 22- to 25-month 0% leveraged index-linked notes linked to the S&P 500 index; via Goldman Sachs & Co.
• 0% leveraged buffered index-linked notes tied to the S&P 500 index due in 24 to 27 months; via Goldman, Sachs & Co.
• 0% leveraged buffered index-linked notes tied to the S&P 500 index due in 24 to 27 months; 90% trigger; via Goldman, Sachs & Co.
• 24- to 27-month 0% autocallable leveraged buffered index-linked notes tied to the S&P 500 index; via Goldman, Sachs & Co.
• 0% leveraged index-linked notes due in 24 to 28 months tied to the S&P 500 index; via Goldman Sachs & Co.
• 0% leveraged buffered notes linked to the S&P 500 index due in 30 to 34 months; 90% trigger; via Goldman Sachs & Co.
• 0% leveraged index-linked notes due in two years tied to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 38141GHT4
HSBC USA INC.
• 0% averaging notes due Nov. 27, 2018 linked to Dow Jones industrial average, the Euro Stoxx 50 index and the Taiwan Stock Exchange Capitalization Weighted Stock index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432X2N0
• 0% buffered Accelerated Market Participation Securities due Nov. 28, 2014 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432X3B5
• 0% buffered Accelerated Market Participation Securities due Nov. 28, 2014 linked to the MSCI EAFE index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432X3E9
• 0% buffered Accelerated Market Participation Securities due Nov. 28, 2014 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432X3D1
• 0% digital-plus barrier notes due Nov. 29, 2016 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432X3C3
• 0% buffered Accelerated Market Participation Securities due Nov. 29, 2016 linked to the S&P 500 index, the Russell 2000 index and the MSCI EAFE index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432X3A7
• 0% averaging notes due Nov. 28, 2018 linked to the S&P 500 Low Volatility index; via HSBC Securities (USA) Inc.; pricing Nov. 20; Cusip: 40432X2M2
• Buffered uncapped market participation securities due Nov. 28, 2016 linked to the Dow Jones industrial average; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40432X2D2
• Buffered uncapped market participation securities due Nov. 27, 2015 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40432X2C4
• 0% buffered performance plus securities due May 27, 2015 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40432X2E0
• 0% buffered performance plus securities due Nov. 28, 2016 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 21; Cusip: 40432X2F7
• Buffered income plus notes due Nov. 30, 2016 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 26; Cusip: 40432X2L4
• Annual income opportunity notes with auto cap due Oct. 31, 2019 linked to Altria Group, Inc., Amgen Inc., Apple Inc., AT&T Inc., Exelon Corp., Integrated Products, Inc., Monsanto Co., Pfizer Inc., Silver Wheaton Corp. and Wells Fargo & Co.; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 4042K17L1
• Income plus notes with 0.5% minimum coupon due Dec. 2, 2019 linked to a basket of common stocks of AT&T Inc., Bristol-Myers Squibb Co., ConocoPhillips, Intel Corp. and Walgreen Co.; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40432X2B6
• Income plus notes with 1% minimum coupon due Dec. 2, 2019 linked to a basket of common stocks of AT&T Inc., Bristol-Myers Squibb Co., ConocoPhillips, Intel Corp. and Walgreen Co.; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40432X2A8
• 6% autocallable yield notes due Dec. 2, 2013 linked to the Russell 2000 index and the MSCI EAFE index fund; 70% trigger; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40432X3G4
• 6% autocallable yield notes due May 21, 2014 linked to the Russell 2000 index and the S&P 500 index; 70% trigger; via HSBC Securities (USA) Inc.; pricingNov. 16; Cusip: 40432X3H2
• 0% trigger performance securities due Nov. 30, 2022 linked to the S&P 500 index; 50% trigger; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40433T620
• 0% contingent return optimization securities due Nov. 28, 2014 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40433T638
• 0% trigger performance securities due Nov. 30, 2017 linked to the S&P 500 index; 50% trigger; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40433T646
• 0% airbag performance securities due Nov. 30, 2022 linked to the S&P 500 index; via HSBC Securities (USA) Inc. with UBS Financial Services Inc. as dealer; pricing Nov. 27; Cusip: 40433T679
• 0% leveraged buffered uncapped market participation securities due Nov. 30, 2015 linked to the S&P 500 Low Volatility index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40432X2K6
• 0% 50/150 performance securities due Oct. 31, 2017 linked to the S&P 500 Low Volatility index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40432X2J9
• 0% airbag performance securities due March 5, 2018 linked to the S&P 500 Low Volatility index; via HSBC Securities (USA) Inc. with UBS Financial Services Inc. as dealer; pricing Nov. 27; Cusip: 40433T653
• 0% airbag performance securities due Nov. 30, 2022 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc. with UBS Financial Services Inc. as dealer; pricing Nov. 28; Cusip: 40433T661
• 0% averaging notes due November 2017 linked to the Dow Jones industrial average; via HSBC Securities (USA) Inc.; pricing in November; Cusip: 4042K17E7
• Market-linked step-up notes due December 2014 linked to the Euro Stoxx 50 index; 95% trigger; via Bank of America Merrill Lynch; pricing in November
• Capped Leveraged Index Return Notes due December 2014 linked to the gold spot price; via Bank of America Merrill Lynch; pricing in November
• Capped Leveraged Index Return Notes due December 2014 linked to the silver spot price; via Bank of America Merrill Lynch; pricing in November
• Capped Leveraged Index Return Notes due November 2014 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in November
JPMORGAN CHASE & CO.
• 0% capped buffered return enhanced notes due Dec. 4, 2013 linked to the S&P 500 index; 90% trigger; via J.P. Morgan Securities LLC; pricing Nov. 16; Cusip: 48126DHM4
• 7% autocallable yield notes due Nov. 25, 2013 linked to the lesser performing of the iShares MSCI Emerging Markets index fund and the Market Vectors Gold Miners exchange-traded fund; via J.P. Morgan Securities LLC; pricing Nov. 20; Cusip: 48126DHL6
• Annual income notes contingent on the performance of the JPMorgan ETF Efficiente 5 index due Nov. 29, 2019; via J.P. Morgan Securities LLC; pricing Nov. 20; Cusip: 48126DGJ2
• 5.8% to 6.8% single observation callable yield notes due May 28, 2014 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Nov. 20; Cusip: 48126DGG8
• 0% return notes due Feb. 28, 2014 linked to the J.P. Morgan Strategic Volatility index; via J.P. Morgan Securities LLC; pricing Nov. 26; Cusip: 48126DFJ3
• 0% capped buffered return enhanced notes due May 30, 2014 linked to the iShares MSCI EAFE index fund; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DFE4
• 0% capped buffered return enhanced notes due May 30, 2014 linked to the iShares MSCI Emerging Markets index fund; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DFF1
• 7% to 9% autocallable yield notes due Nov. 29, 2013 linked to the iShares MSCI Emerging Markets index fund and the Russell 2000 index; 65% trigger; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DGV5
• 0% notes due Feb. 28, 2018 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DFM6
• Contingent interest notes due Nov. 30, 2018 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DFN4
• 0% return notes due Feb. 28, 2014 linked to the J.P. Morgan Strategic Volatility index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DFK0
• 0% return notes due Nov. 28, 2014 linked to the J.P. Morgan Strategic Volatility Dynamic index (series 1) (USD); via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DFL8
• 10% to 12% autocallable yield notes due Nov. 29, 2013 linked to the Market Vectors Gold Miners ETF and the Russell 2000 index; 62.5% trigger; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DGS2
• 0% capped buffered return enhanced notes due Nov. 28, 2014 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DFH7
• 0% capped buffered return enhanced notes due May 30, 2014 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DFG9
• 6%-8% autocallable yield notes due Nov. 29, 2013 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DGU7
• 7%-9% autocallable yield notes due Nov. 29, 2013 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48126DGT0
• 0% notes due Nov. 30, 2018 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC; pricing Nov. 28; Cusip: 48126DGZ6
• 0% Performance Leveraged Upside Securities due Jan. 3, 2014 linked to the iShares MSCI Emerging Markets index fund; via J.P. Morgan Securities LLC with Morgan Stanley Smith Barney LLC; pricing Nov. 29; Cusip: 48126E479
MORGAN STANLEY
• Contingent income securities due Nov. 16, 2020 linked to the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Nov. 13; Cusip: 6174823L6
• Contingent income securities due Nov. 16, 2022 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 13; Cusip: 6174823K8
• Trigger phoenix autocallable optimization securities due Nov. 22, 2017 linked to the lesser performing shares of the iShares Russell 2000 index fund and the SPDR S&P 500 ETF trust; via Morgan Stanley & Co. LLC with UBS Financial Services Inc. as dealer; pricing Nov. 16; Cusip: 61755S859
• Market-linked autocallable step-up notes due Nov. 30, 2027 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 617482Y99
• Market-linked autocallable notes due Nov. 30, 2032 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Nov 27; Cusip: 617482Z23
• Market-linked autocallable step-up notes due Nov. 30, 2032 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 617482Z31
• Contingent income securities due Nov. 30, 2020 linked to the price of gold; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 6174823R3
• Contingent income autocallable securities due Nov. 30, 2020 linked to the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 617482Y65
• 0% enhanced trigger jump securities due Nov. 30, 2017 linked to the Russell 2000 index; 70% trigger; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 617482Y81
• 0% market-linked notes due Nov. 30, 2017 tied to the quarterly capped performance of the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 6174823N2
• Buffered securities with contingent coupon due Nov. 29, 2019 linked to the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 6174823P7
• Trigger contingent coupon optimization securities due Nov. 30, 2021 linked to the S&P 500 index; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Nov. 27; Cusip: 61761H608
• 0% trigger jump securities due Nov. 30, 2017 linked to the S&P 500 index; 60% trigger; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 617482Y73
• 0% market-linked notes due Nov. 29, 2019 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 6174823M4
• 0% buffered return optimization securities due Nov. 28, 2014 linked to the S&P 500 index; 90% trigger; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Nov. 27; Cusip: 61755S867
• 0% buffered jump securities due Nov. 30, 2017 linked to the Dow Jones industrial average; via Morgan Stanley & Co. LLC; pricing Nov. 30; Cusip: 617482Z49
• 0% Performance Leveraged Upside Securities due December 2013 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61761H202
• 0% trigger jump securities due November 2015 linked to the Euro Stoxx 50 index; 65% trigger; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61755S875
• 0% Performance Leveraged Upside Securities due November 2014 linked to the Morgan Stanley Mega 30 Index (Price Return; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61755S883
• 0% dual directional trigger Performance Leveraged Upside Securities due November 2014 linked to the PHLX Oil Service Sector index; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61761H301
• 0% contingent income autocallable securities with step-up redemption threshold level feature due November 2015 linked to the common stock of United Technologies Corp.; via Morgan Stanley & Co. LLC; pricing in November; Cusip: 61761H400
ROYAL BANK OF CANADA
• 12.75% reverse convertible notes due May 21, 2013 linked to Allegheny Technologies, Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 16; Cusip: 78008SQB5
• 7.25% reverse convertible notes due May 21, 2013 linked to Baker Hughes Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 16; Cusip: 78008SQC3
• 8% reverse convertible notes due May 21, 2013 linked to Citigroup Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 16; Cusip: 78008SQD1
• 9.5% reverse convertible notes due May 21, 2013 linked to Cabot Oil & Gas Corp. stock; via RBC Capital Markets Corp.; pricing Nov. 16; Cusip: 78008SQE9
• 9.75% reverse convertible notes due May 21, 2013 linked to Freeport-McMoRan Copper & Gold Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 16; Cusip: 78008SQG4
• 10% reverse convertible notes due Feb. 22, 2013 linked to Joy Global Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 16; Cusip: 78008SPY6
• 10.5% reverse convertible notes due May 21, 2013 linked to Goodyear Tire & Rubber Co. stock; via RBC Capital Markets Corp.; pricing Nov. 16; Cusip: 78008SQH2
• 10.75% reverse convertible notes due May 21, 2013 linked to Morgan Stanley stock; via RBC Capital Markets Corp.; pricing Nov. 16; Cusip: 78008SQJ8
• 9% reverse convertible notes due May 21, 2013 linked to Owens-Illinois, Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 16; Cusip: 78008SQK5
• 10.25% reverse convertible notes due Feb. 22, 2013 linked to Peabody Energy Corp. stock; via RBC Capital Markets Corp.; pricing Nov. 16; Cusip: 78008SPX8
• 12.75% reverse convertible notes due Feb. 22, 2013 linked to PulteGroup Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 16; Cusip: 78008SPZ3
• 0% bullish barrier booster notes due Nov. 19, 2015 linked to the Russell 2000 index; via RBC Capital Markets, LLC; pricing Nov. 16; Cusip: 78008SPS9
• 11.75% reverse convertible notes due May 21, 2013 linked to Salesforce.com, Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 16; Cusip: 78008SQF6
• 10% reverse convertible notes due Feb. 22, 2013 linked to United States Steel Corp. stock; via RBC Capital Markets Corp.; pricing Nov. 16; Cusip: 78008SQA7
• 9.5% reverse convertible notes due May 21, 2013 linked to Valero Energy Corp. stock; via RBC Capital Markets Corp.; pricing Nov. 16; Cusip: 78008SQL3
• Redeemable step-up notes due Nov. 19, 2024; via RBC Capital Markets, LLC; settlement Nov. 19; Cusip: 78008SLH7
• 0% buffered bullish enhanced return notes due Nov. 30, 2017 linked to the Dow Jones industrial average; via RBC Capital Markets, LLC; pricing Nov. 27; Cusip: 78008SQR0
• 0% return optimization securities due Dec. 31, 2013 linked to the S&P 500 index; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Nov. 27; Cusip: 78008W578
• 0% direct investment notes due Jan. 9, 2014 linked to the EquityCompass Equity Risk Management Strategy; via RBC Capital Markets, LLC; pricing Dec. 5; Cusip: 78008SPT7
• 18- to 21-month 0% leveraged buffered notes tied to the iShares MSCI EAFE index fund; 90% trigger; via Goldman Sachs & Co.
• 15- to 17-month 0% buffered equity index-linked notes tied to the MSCI EAFE index; 85% trigger; via Goldman Sachs & Co.
• 0% buffered enhanced participation equity securities due in 26 to 30 months linked to the S&P 500 index; via RBC Capital Markets, LLC; Cusip: 78008SPM2
• 0% buffered enhanced participation notes linked to the iShares MSCI Emerging Markets index fund due in 24 to 27 months; 85% trigger; via RBC Capital Markets, LLC; Cusip: 78008SPV2
ROYAL BANK OF SCOTLAND PLC
• 0% digital notes with fixed buffer due Dec. 4, 2014 linked to the Dow Jones industrial average; via RBS Securities Inc.; pricing Nov. 28; Cusip: 78009PDG3
• 0% digital notes with fixed buffer due Dec. 4, 2014 linked to the Russell 2000 index; via RBS Securities Inc.; pricing Nov. 28; Cusip: 78009PDF5
AB SVENSK EXPORTKREDIT
• 0% Accelerated Return Notes due January 2014 linked to the MSCI EAFE index; via Bank of America Merrill Lynch; pricing in November
UBS AG, LONDON BRANCH
• 0% contingent return optimization securities due Nov. 28, 2014 linked to the Russell 2000 index; 70% trigger; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 27; Cusip: 90269V801
• 0% trigger return optimization securities due Nov. 30, 2015 linked to SPDR S&P 500 exchange-traded fund trust, the iShares MSCI EAFE index fund and the iShares MSCI Emerging Markets index fund; 70% trigger; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 27; Cusip: 90269V835
• 0% trigger performance securities due Nov. 30, 2017 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 28; Cusip: 90269V793
• 7.75%-11.75% annualized single observation Equity LinKed Securities due June 4, 2013 linked to the common shares of Anadarko Petroleum Corp.; via UBS Securities LLC; pricing Nov. 29; Cusip: 90269V819
WELLS FARGO & CO.
• Fixed-to-floating notes due Nov. 16, 2020; via Wells Fargo Securities, LLC; pricing Nov. 13; Cusip: 94986RMD0
• Fixed-to-floating notes due Nov. 29, 2024; via Wells Fargo Securities, LLC; pricing Nov. 26; Cusip: 94986RLZ2
• 0% growth securities with leveraged upside participation to a cap and fixed percentage buffered downside due Nov 28, 2014 linked to the iShares MSCI Emerging Markets exchange-traded fund; via Wells Fargo Securities LLC; pricing Nov. 27; Cusip: 94986RMA6
• 0% autocallable access securities with contingent downside protection due Nov. 28, 2014 linked to the Russell 2000 index; 80% trigger; via Wells Fargo Securities, LLC; pricing Nov. 27; Cusip: 94986RM
• Market-linked notes with upside participation due Dec. 6, 2019 linked to the SPDR S&P 500 ETF Trust with a 65% weight, the iShares MSCI EAFE index fund with a 25% weight and the iShares MSCI Emerging Markets index fund with a 10% weight; via Wells Fargo Securities, LLC; pricing Nov. 30; Cusip: 94986RMF5
• Market-linked notes due Dec. 6, 2019 tied to the Dow Jones industrial average; via Wells Fargo Securities, LLC; pricing Nov. 30; Cusip: 94986RME8
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