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Structured Products Calendar
BANK OF AMERICA CORP.
Step-up callable notes due Oct. 28, 2028; via BofA Merrill Lynch; pricing Oct. 26; Cusip: 06048WTS9
Fixed-to-floating-rate notes due Oct. 28, 2026; via BofA Merrill Lynch; settling Oct. 28; Cusip: 06048WTR1
Step-up callable notes due Oct. 28, 2031; via BofA Merrill Lynch; settling Oct. 28; Cusip: 06048WTQ3
0% Accelerated Return Notes due December 2017 linked to the Bloomberg Precious Metals subindex; via BofA Merrill Lynch; pricing in October
0% autocallable market-linked step-up notes due October 2018 linked to the Energy Select Sector index; via BofA Merrill Lynch; pricing in October
0% Accelerated Return Notes due December 2017 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in October
0% Capped Leveraged Index Return Notes due December 2017 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in October
0% Accelerated Return Notes due December 2017 linked to Euro Stoxx 50 index, the FTSE 100 index, the Nikkei Stock Average index, the Swiss Market index, the S&P/ASX 200 index and the Hang Seng index; via BofA Merrill Lynch; pricing in October
0% Capped Leveraged Index Return Notes due December 2017 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in October
0% bear Strategic Accelerated Redemption Securities due April 2018 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in October
0% Strategic Accelerated Redemption Securities due November 2017 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in October
0% Accelerated Return Notes due December 2017 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in October
0% market-linked step-up notes due October 2018 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in October
Step-up callable notes due Nov. 7, 2036; via BofA Merrill Lynch; settling Nov. 7; Cusip: 06048WTT7
BANK OF MONTREAL
0% contingent risk absolute return notes due Oct. 31, 2018 linked to the iShares MSCI EAFE exchange-traded fund; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06367TMC1
0% buffered bullish enhanced return notes due Oct. 31, 2018 linked to the iShares MSCI EAFE exchange-traded fund; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06367TMA5
0% buffered bullish enhanced return notes due Oct. 31, 2018 linked to the iShares MSCI EAFE exchange-traded fund; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06367TMA5
0% contingent risk absolute return notes due Oct. 31, 2018 linked to the iShares MSCI Emerging Markets exchange-traded fund; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06367TMD9
0% buffered bullish enhanced return notes due Oct. 31, 2018 linked to the iShares MSCI Emerging Markets exchange-traded fund; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06367TMB3
0% buffered bullish enhanced return notes due Nov. 30, 2017 linked to the Russell 2000 index; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06367TLX6
0% buffered bullish enhanced return notes due Nov. 30, 2017 linked to the Russell 2000 index; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06367TLZ1
0% buffered bullish enhanced return notes due Oct. 31, 2018 linked to the Russell 2000 index; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06367TMF4
0% buffered bullish enhanced return notes due Nov. 30, 2017 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06367TLW8
0% buffered bullish digital return notes with barrier due Nov. 30, 2017 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06367TLN8
0% buffered bullish digital return notes with barrier due Nov. 30, 2017 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06367TLQ1
0% buffered bullish enhanced return notes due Nov. 30, 2017 linked to the S&P 500 index; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06367TLY4
0% contingent risk absolute return notes due Oct. 31, 2018 linked to the S&P 500 index; 70%-74% trigger; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06367TME7
0.75% autocallable cash-settled notes with fixed interest payments due Nov. 30, 2017 linked to iShares Nasdaq Biotechnology exchange-traded fund; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TMR8
0.95% autocallable cash-settled notes with fixed interest payments due Nov. 30, 2017 linked to SPDR S&P Metals and Mining exchange-traded fund; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TMS6
0% contingent risk absolute return notes with digital upside due Nov. 30, 2018 linked to the SPDR S&P Oil & Gas Exploration & Production exchange-traded fund; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TMT4
0.9% autocallable cash-settled notes with fixed interest payments due Nov. 30, 2017 linked to SPDR S&P Oil & Gas Exploration & Production exchange-traded fund; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TMP2
0% contingent risk absolute return notes with digital upside due Nov. 30, 2018 linked to the VanEck Vectors Gold Miners exchange-traded fund; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TMU1
1% autocallable cash-settled notes with fixed interest payments due Nov. 30, 2017 linked to VanEck Vectors Gold Miners exchange-traded fund; via BMO Capital Markets Corp.; pricing Nov. 28; Cusip: 06367TMQ0
BANK OF NOVA SCOTIA
0% market-linked securities with leveraged upside participation to a cap and fixed percentage buffered downside due Nov. 3, 2021 linked to the Euro Stoxx 50 index; via Scotia Capital (USA) Inc. and Wells Fargo Securities LLC; pricing Oct. 31; Cusip: 064159JA5
0% autocallable market-linked step-up notes due October 2019 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in October
0% autocallable market-linked step-up notes due October 2021 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in October
Autocallable market-linked step-up notes due October 2019 linked to the S&P 500 index; via Merrill Lynch & Co.; pricing in October
BARCLAYS BANK PLC
Phoenix autocallable notes due Oct. 31, 2018 linked to Amazon.com, Inc., Amgen Inc. and Delta Air Lines, Inc.; 50% trigger; via Barclays; pricing Oct. 26; Cusip: 06741VCC4
0% notes due Oct. 29, 2021 linked to the Barclays Trailblazer Sectors 5 index; via Barclays; pricing Oct. 26; Cusip: 06741VCH3
0% notes due Oct. 31, 2023 linked to the Barclays Trailblazer Sectors 5 index; via Barclays; pricing Oct. 26; Cusip: 06741VCG5
10%-11% autocallable notes due Oct. 31, 2018 linked to the least performing of the common stocks of ConocoPhillips, Chevron Corp. and Marathon Oil Corp.; via Barclays; pricing Oct. 26; Cusip: 06741VCA8
Callable contingent coupon notes due Oct. 29, 2026 linked to the lesser performing of the Euro Stoxx 50 index and the Russell 2000 index; via Barclays; pricing Oct. 26; Cusip: 06741VCD2
Autocallable notes due Oct. 31, 2019 linked to the least performing of the commons stocks of Facebook, Inc., Amazon.com, Inc., Netflix, Inc. and Alphabet Inc.; via Barclays; pricing Oct. 26; Cusip: 06741VCB6
Callable range accrual notes due Oct. 29, 2021 linked to the performance of the Russell 2000 index; via Barclays; pricing Oct. 26; Cusip: 06741VCX8
Callable contingent coupon notes due Oct. 30, 2019 linked to the lesser performing of the Russell 2000 index and the Euro Stoxx 50 index; via Barclays; pricing Oct. 26; Cusip: 06741WCA6
Phoenix autocallable notes due Oct. 30, 2017 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via Barclays; pricing Oct. 26; Cusip: 06741VCW0
0% dual directional notes due Oct. 31, 2018 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via Barclays; pricing Oct. 26: Cusip: 06741VCS9
Callable contingent coupon notes due Oct. 31, 2019 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via Barclays; pricing Oct. 26: Cusip: 06741VCU4
Callable contingent coupon notes due Oct. 29, 2021 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via Barclays; pricing Oct. 26: Cusip: 06741VCM2
Buffered Super Track notes due Nov. 1, 2018 linked to S&P 500 index; via Barclays; pricing Oct. 26; Cusip: 06741VDH2
0% trigger in-step securities due April 30, 2019 linked to the S&P 500 index; via Barclays and UBS Financial Services Inc.; pricing Oct. 26; Cusip: 06745B169
0% buffered digital notes due April 30, 2020 linked to the S&P 500 index; via Barclays; pricing Oct. 26; Cusip: 06741WBZ2
0% trigger gears due Oct. 29, 2021 linked to the S&P 500 index; via UBS Financial Services Inc. and Barclays; pricing Oct. 26; Cusip: 06744M133
0% buffered SuperTrack notes due Oct. 29, 2021 linked to the S&P 500 index; via Barclays; pricing Oct. 26; Cusip: 06741VCV2
Phoenix autocallable notes due Oct. 31, 2017 linked to the SPDR S&P Oil & Gas Exploration & Production exchange-traded fund; via Barclays; pricing Oct. 26; Cusip: 06741VCR1
0% capped gears due Dec. 29, 2017 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and Barclays; pricing Oct. 27; Cusip: 06745R800
0% capped buffered gears due Oct. 31, 2018 linked to the Euro Stoxx 50 index; via Barclays and UBS Financial Services Inc.; pricing Oct. 27; Cusip: 06745B177
Trigger autocallable contingent yield notes due Oct. 30, 2026 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; 50% trigger; via UBS Financial Services Inc. and Barclays; pricing Oct. 27; Cusip: 06745R701
Trigger autocallable contingent yield notes due Oct. 30, 2026 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; 50% to 52% trigger; via UBS Financial Services Inc. and Barclay; pricing Oct. 27; Cusip: 06745R859
0% Performance Leveraged Upside Securities due Feb. 5, 2018 linked to the Russell 2000 index; via Barclays with Morgan Stanley Wealth Management; pricing Oct. 31; Cusip: 06744M802
0% lookback entry Performance Leveraged Upside Securities due Feb. 5, 2018 linked to the S&P 500 index; via Barclays with Morgan Stanley Wealth Management as dealer; pricing Oct. 31; Cusip: 06744M851
0% Performance Leveraged Upside Securities due May 3, 2019 linked to the S&P 500 index; via Barclays with Morgan Stanley Wealth Management; pricing Oct. 31; Cusip: 06744M703
Step-up fixed-rate callable notes due Oct. 28, 2031; via Barclays; Cusip: 06741VD66
CANADIAN IMPERIAL BANK OF COMMERCE
0% market-linked securities autocallable with fixed percentage buffered downside due Nov. 4, 2019 linked to the Financial Select Sector SPDR fund; via Wells Fargo Securities, LLC; pricing Oct. 31; Cusip: 13605WBV2
0% market-linked step-up notes due October 2018 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in October
0% Accelerated Return Notes due December 2017 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in October
0% Accelerated Return Notes due October 2018 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in October
0% Capped Leveraged Index Return Notes due October 2018 linked to S&P 500 index, MSCI EAFE index and MSCI Emerging Markets index; via BofA Merrill Lynch; pricing in October
CITIGROUP GLOBAL MARKETS HOLDINGS INC.
Autocallable contingent coupon equity linked securities due Oct. 31, 2018 based on the common stock of Amazon.com, Inc.; via Citigroup Global Markets Inc.; pricing Oct. 26; Cusip: 17324CBH8
0% trigger gears due Oct. 30, 2026 linked to the Bloomberg Commodity Index 3 Month Forward; 70% trigger; via Citigroup Global Markets Inc. and UBS Financial Services Inc.; pricing Oct. 26; Cusip: 17324P446
0% enhanced buffered digital securities due Oct. 29, 2020 linked to the Dow Jones industrial average; via Citigroup Global Markets Inc.; pricing Oct. 26; Cusip: 17324CBR6
0% trigger step securities due Oct. 30, 2020 linked to the iShares MSCI EAFE exchange-traded fund; via Citigroup Global Markets Holdings Inc. and UBS Financial Services Inc.; pricing Oct. 26; Cusip: 17324P495
0% trigger step securities due Oct. 30, 2020 linked to the iShares MSCI EAFE exchange-traded fund; via Citigroup Global Markets Holdings Inc. and UBS Financial Services Inc.; pricing Oct. 26; Cusip: 17324P420
0% enhanced buffered digital securities due Oct. 31, 2019 linked to the Russell 2000 index; via Citigroup Global Markets Inc.; pricing Oct. 26; Cusip: 17324CBQ8
0% barrier digital plus securities due April 30, 2020 linked to the Russell 2000 index; via Citigroup Global Markets Inc.; pricing Oct. 26; Cusip: 17324CBE5
Annual reset coupon securities due Nov. 1, 2021 linked to the Russell 2000 index; via Citigroup Global Markets Inc.; pricing Oct. 26; Cusip: 17324CBS4
0% capped buffer gears due Oct. 31, 2018 linked to the S&P 500 index; via Citigroup Global Markets Inc. and UBS Financial Services Inc.; pricing Oct. 26; Cusip: 17324P727
Autocallable contingent coupon equity-linked securities due Oct. 31, 2018 linked to the common stocks of salesforce.com, inc., ConocoPhillips and Ford Motor Co.; via Citigroup Global Markets Inc.; pricing Oct. 26; Cusip: 17324CBT2
0% enhanced barrier digital plus securities due Nov. 1, 2021 linked to the Dow Jones industrial average; via Citigroup Global Markets Inc.; pricing Oct. 27; Cusip: 17324C7K6
0% dual directional barrier securities due April 30, 2020 linked to the S&P 500 index; 70% trigger; via Citigroup Global Markets Inc. and UBS Financial Services Inc.; pricing Oct. 27; Cusip: 17324CBP0
0% buffer securities due Nov. 1, 2021 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Oct. 27; Cusip: 17324CBJ4
0% market-linked notes due Nov. 2, 2021 linked to the iShares Core U.S. Aggregate Bond ETF, the Dow Jones Industrial Average and the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Oct. 28; Cusip: 17324CBN5
19- to 22-month 0% buffered notes linked to the MSCI EAFE index; via Citigroup Global Markets Inc.; Cusip: 17324CBY1
24- to 27-month 0% buffered notes linked to the S&P 500 index; 90% trigger; via Citigroup Global Markets Inc.; Cusip: 17324CC38
CITIGROUP INC.
Callable step-up coupon notes due Nov. 10, 2036; via Citigroup Global Markets Inc.; pricing Nov. 7; Cusip: 1730T32F9
CREDIT SUISSE AG
Autocallable contingent income securities due May 3, 2017 linked to the common stock of Anadarko Petroleum Corp.; via Credit Suisse Securities (USA) LLC; pricing Oct. 28; Cusip: 22548QLG8
CREDIT SUISSE AG, LONDON BRANCH
0% trigger gears due Oct. 30, 2019 linked to the iShares MSCI Emerging Markets exchange-traded fund; 75% trigger; via UBS Financial Services Inc.; pricing Oct. 26; Cusip: 22548T323
0% Buffered Accelerated Return Equity Securities due Oct. 31, 2018 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 222548QJN6
0% digital buffered notes due April 30, 2020 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22548QKA2
Callable daily range accrual securities due April 30, 2024 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22548QKQ7
Contingent coupon autocallable yield notes due Oct. 31, 2019 linked to the Russell 2000 index and the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22548QJZ9
0% Buffered Accelerated Return Equity Securities due Oct. 31, 2018 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22548QJP1
Callable daily range accrual securities due Oct. 30, 2026 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22548QK79
0% trigger step securities due Oct. 30, 2020 linked to the S&P 500 index; via UBS Financial Services Inc.; pricing Oct. 26; Cusip: 22548T349
7% to 9% contingent coupon autocallable yield notes due Jan. 31, 2018 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22548QJX4
Contingent coupon autocallable yield notes due Jan. 31, 2018 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22549JCJ7
0% autocallable securities due Oct. 31, 2019 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22548QJL0
Contingent coupon autocallable yield notes due Oct. 31, 2019 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22548QJZ9
0% absolute return digital barrier securities due Oct. 29, 2021 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22548QJM8
0% digital plus barrier notes due Oct. 29, 2021 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22548QK20
9% to 11% contingent coupon callable yield notes due Oct. 31, 2019 linked to the S&P 500 index and the SPDR S&P Biotech exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22548QJU0
6%-7.1% airbag autocallable yield optimization notes due Nov. 6, 2017 linked to eBay Inc. common stock; via HSBC Securities (USA) Inc. is the underwriter with UBS Financial Services Inc.; pricing Oct. 27; Cusip: 40435B452
0% capped trigger gears due Nov. 2, 2018 linked to the Health Care Select Sector SPDR Fund; via UBS Financial Services Inc.; pricing Oct. 27; Cusip: 22548T463
Trigger autocallable contingent yield notes due Nov. 2, 2018 linked to the iShares Russell 2000 exchange-traded fund; via UBS Financial Services Inc.; pricing Oct. 27; Cusip: 22548T455
0% trigger autocallable contingent yield notes due Oct. 31, 2019 linked to the S&P 500 index and the Russell 2000 index; via UBS Financial Services Inc.; pricing Oct. 27; Cusip: 22548T422
6.5%-8.5% airbag autocallable yield optimization notes due Nov. 6, 2017 linked to Viacom Inc. common stock; via HSBC Securities (USA) Inc. is the underwriter with UBS Financial Services Inc.; pricing Oct. 27; Cusip: 40435B445
0% buffered return enhanced notes due Dec. 13, 2017 linked to the S&P 500 index; via J.P. Morgan Securities LLC and JPMorgan Chase Bank, NA; pricing Oct. 28; Cusip: 22548QM51
0% knock-out notes due Jan. 31, 2018 linked to the S&P 500 index; via J.P. Morgan Securities LLC and JPMorgan Chase Bank, NA; pricing Oct. 28; Cusip: 22548QM69
0% knock-out notes due May 2, 2018 linked to the S&P 500 index; via J.P. Morgan Securities LLC and JPMorgan Chase Bank, NA; pricing Oct. 28; Cusip: 22548QM44
0% buffered Performance Leveraged Upside Securities due May 3, 2019 linked to the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22548T414
0% Buffered Accelerated Return Equity Securities due May 3, 2018 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22548QJS5
Contingent coupon autocallable yield notes due Feb. 2, 2018 linked to the Russell 2000 index and the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22548QK46
0% Buffered Accelerated Return Equity Securities due May 3, 2018 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22548QJR7
Contingent coupon autocallable yield notes due Feb. 2, 2018 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22548QK46
Contingent coupon callable yield notes due Nov. 1, 2019 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22548QK38
0% digital plus barrier notes due Nov. 4, 2020 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip; 22548QJY2
0% absolute return digital barrier securities due Nov. 4, 2020 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22548QJW6
0% digital plus barrier notes due Nov. 4, 2020 linked to the worse performing of the S&P 500 index and the Russell 2000 index; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22548QJY2
0% absolute return digital barrier securities due Nov. 3, 2021 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22548QJQ9
10% to 12% contingent coupon callable yield notes due Nov. 1, 2019 linked to the S&P 500 index and the SPDR S&P Biotech exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22548QJT3
0% Buffered Accelerated Return Equity Securities due Nov. 19, 2020 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 15; Cusip: 22548QL94
17- to 20-month 0% leveraged buffered notes linked to the iShares MSCI Emerging Markets exchange-traded fund; via Credit Suisse Securities (USA) LLC; Cusip: 22548QLF0
DEUTSCHE BANK AG, LONDON BRANCH
0% securities due Oct. 29, 2020 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Deutsche Bank Securities Inc.; pricing Oct. 26; Cusip: 25152R4Z3
Securities due Oct. 29, 2021 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Deutsche Bank Securities Inc.; pricing Oct. 26; Cusip: 25152R5A7
GOLDMAN SACHS GROUP, INC.
Callable step-up fixed-rate notes with 2% initial rate due October 2023; via Goldman Sachs & Co. and Incapital LLC; pricing in October; Cusip: 38148TP37
Callable step-up fixed-rate notes with 2.5% initial rate due October 2026; via Goldman Sachs & Co. and Incapital LLC; pricing in October; Cusip: 38148TP29
Callable step-up fixed-rate notes with 3% initial rate due October 2031; via Goldman Sachs & Co. and Incapital LLC; pricing in October; Cusip: 38148TNZ8
Callable step-up fixed-rate notes due November 2036; via Goldman Sachs & Co. and Incapital LLC; pricing in November; Cusip: 38148TP45
GS FINANCE CORP.
0% notes due July 29, 2021 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co.; pricing Oct. 26; Cusip: 40054KLF1
0% notes due Oct. 31, 2022 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co.; pricing Oct. 26; Cusip: 40054KLG9
0% notes due Oct. 31, 2023 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co.; pricing Oct. 26; Cusip: 40054KLQ7
0% autocallable notes due Nov. 9, 2023 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co.; pricing Oct. 26; Cusip: 40054KLC8
0% notes due Oct. 29, 2026 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co.; pricing Oct. 26; Cusip: 40054KLR5
Callable CMS spread and index-linked range accrual notes due Oct. 31, 2031 linked to the 30-year and two-year Constant Maturity Swap rates, the Russell 2000 index and the S&P 500 index; via Goldman Sachs & Co.; pricing Oct. 27; Cusip: 40054KLP9
Callable contingent coupon notes due Oct. 31, 2020 linked to the Russell 2000 index and the S&P 500 index; 60% trigger; via Goldman Sachs & Co.; pricing Oct. 27; Cusip: 40054KLY0
Callable contingent coupon notes due Oct. 31, 2026 linked to the Russell 2000 index and the S&P 500 index; 50% trigger; via Goldman Sachs & Co.; pricing Oct. 27; Cusip: 40054KLT1
Autocallable contingent coupon index-linked notes due Nov. 2, 2021 linked to the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co.; pricing Oct. 26; Cusip: 40054KMJ2
Autocallable contingent coupon index-linked notes due Nov. 3, 2026 linked to the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co.; pricing Oct. 27; Cusip: 40054KLX2
Autocallable contingent coupon notes due Feb. 1, 2018 linked to the S&P 500 index and the Russell 2000 index; 70% trigger; via Goldman Sachs & Co.; pricing Oct. 27; Cusip: 40054KM94
0% trigger gears due Oct. 30, 2026 linked to the Solactive Eurozone 50 Equal Weight 5% AR index; via Goldman Sachs & Co.; pricing Oct. 27; Cusip: 36250Y833
Contingent income autocallable securities due Oct. 31, 2019 linked to the class A common stock of Facebook, Inc.; 80% trigger; via Goldman Sachs & Co. with Morgan Stanley Wealth Management; pricing Oct. 28; Cusip: 36251U111
Performance Leveraged Upside Securities due Feb. 5, 2018 linked to the S&P 500 index; via Goldman Sachs & Co. with Morgan Stanley Wealth Management; pricing Oct. 31; Cusip: 36250Y882
Two-year 0% leveraged buffered notes linked to the iShares MSCI EAFE exchange-traded fund; via Goldman Sachs & Co.; Cusip: 40054KJX5
Two-year callable contingent coupon notes linked to the Russell 2000 index, the S&P 500 index and the Euro Stoxx 50 index; 70% trigger; via Goldman Sachs & Co.; Cusip: 40054KLW4
48-month notes linked to the S&P 500 index; 70% trigger; via Goldman Sachs & Co.; Cusip: 40054KLK0
HSBC USA INC.
Income plus notes due Oct. 31, 2023 linked to the common stocks of Apple Inc., International Business Machines Corp., Eli Lilly & Co., Altria Group, Inc. and Verizon Communications, Inc.; HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40433UWB8
Income plus notes due Oct. 31, 2023 linked to the common stocks of Apple Inc., International Business Machines Corp., Eli Lilly & Co., Altria Group, Inc. and Verizon Communications, Inc.; HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40433UWC6
0% averaging notes due Oct. 31, 2023 linked to the Dow Jones industrial average; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40433UWA0
0% buffered digital notes due Oct. 29, 2021 linked to the Dow Jones Industrial Average; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40433UWG7
0% buffered accelerated market participation securities due April 30, 2019 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40433UKR6
0% leveraged Buffered Uncapped Market Participation Securities due Oct. 29, 2021 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40433UWE2
0% leveraged Buffered Uncapped Market Participation Securities due Oct. 31, 2019 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40433UWK8
0% leveraged Buffered Uncapped Market Participation Securities due Oct. 29, 2021 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40433UXG6
0% averaging notes due Oct. 31, 2023 linked to the PowerShares S&P 500 Low Volatility Portfolio exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40433UVZ6
0% buffered accelerated market participation securities due April 30, 2019 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40433UKR6
0% buffered uncapped market participation securities due Oct. 29, 2021 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40433UXF8
Autocallable yield notes due April 30, 2018 linked to the Russell 2000 index and the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40433UWV4
Autocallable yield notes due April 30, 2018 linked to the Russell 2000 index and the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40433UWU6
0% digital dual directional barrier notes due Oct. 29, 2021 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40433UWF9
0% buffered accelerated market participation securities due April 30, 2019 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40433UKR6
0% trigger gears due Oct. 31, 2019 linked to the S&P 500 index; 75% trigger; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40435B569
0% buffered uncapped market participation securities due Oct. 31, 2019 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40433UWJ1
0% buffered uncapped market participation securities due Oct. 29, 2021 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40433UWH5
0% trigger gears due Oct. 29, 2021 linked to the S&P 500 index; via UBS Financial Services Inc. and HSBC Securities (USA) LLC; pricing Oct. 26; Cusip: 40435B585
0% trigger gears due Oct. 29, 2021 linked to the S&P 500 index; via UBS Financial Services Inc. and HSBC Securities (USA) LLC; pricing Oct. 26; Cusip: 40435B577
0% digital dual directional barrier securities due Oct. 29, 2021 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40433UWD4
0% allocation securities due Oct. 29, 2021 linked to a basket of the SPDR S&P 500 ETF, the iShares MSCI EAFE ETF and the iShares MSCI Emerging Markets ETF; via UBS Financial Services Inc. and HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40435B551
Callable buffered monthly range accrual notes due Oct. 31, 2021 linked to the Russell 2000 index; via Goldman Sachs & Co.; pricing Oct. 27; Cusip: 40054KLA2
Callable monthly range accrual notes due Oct. 31, 2026 linked to the Russell 2000 index; via Goldman Sachs & Co.; pricing Oct. 27; Cusip: 40054KLB0
0% trigger autocallable contingent yield notes due Oct. 31, 2019 linked to the S&P 500 index and the Russell 2000 index; via UBS Financial Services Inc. and HSBC Securities (USA) Inc.; pricing Oct. 27; Cusip: 40435B460
Autocallable barrier notes with contingent return due Oct. 31, 2023 linked to the least performing of the S&P 500 index, the Russell 2000 index and the S&P Midcap 400 ETF trust; via HSBC Securities (USA) Inc.; pricing Oct. 27; Cusip: 40433UXX9
0% contingent buffered notes due Dec. 13, 2017 linked to the FTSE 100 index; via HSBC Securities (USA) Inc., JPMorgan Chase Bank NA and J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 40433UZL3
0% contingent buffered notes due Nov. 15, 2017 linked to the SPDR S&P Oil & Gas Exploration & Production ETF; via HSBC Securities (USA) Inc., JPMorgan Chase Bank NA and J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 40433UZJ8
0% contingent buffered notes due Dec. 13, 2017 linked to the Stoxx Europe 600 index; via HSBC Securities (USA) Inc., JPMorgan Chase Bank NA and J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 40433UZK5
0% dual directional trigger Performance Leveraged Upside Securities due Nov. 5, 2019 linked to the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Oct. 31; Cusip: 40435B627
0% dual directional trigger Performance Leveraged Upside Securities due Nov. 5, 2019 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 31; Cusip: 40435B619
Autocallable market-linked step-up notes due October 2019 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in October
Autocallable market-linked step-up notes due October 2021 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in October
0% autocallable market-linked step-up notes due October 2019 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in October
0% autocallable market-linked step-up notes due October 2022 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in October
0% Leveraged Index Return Notes due September 2019 linked to S&P 500 index, the Euro Stoxx 50 index and the MSCI Emerging Markets index; via BofA Merrill Lynch; pricing in October
18- to 21-month 0% leveraged capped notes linked to the S&P 500 index; via HSBC Securities (USA) Inc.; Cusip: 40433UXH4
JPMORGAN CHASE & CO.
Callable step-up fixed-rate notes due Oct. 31, 2036; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48128GK25
JPMORGAN CHASE BANK, NA
0% certificates of deposit due Jan. 31, 2022 linked to the JPMorgan Efficiente Plus DS 5 index (Net ER); via J.P. Morgan Securities LLC with Incapital LLC as distributor; pricing Oct. 26; Cusip: 48126XHQ1
0% certificates of deposit due Oct. 31, 2022 linked to the JPMorgan Efficiente Plus DS 5 index (Net ER); via J.P. Morgan Securities LLC with Incapital LLC as distributor; pricing Oct. 26; Cusip: 48126XHR9
0% certificates of deposit due Oct. 31, 2023 linked to the JPMorgan Efficiente Plus DS 5 index (Net ER); via J.P. Morgan Securities LLC with Incapital LLC as distributor; pricing Oct. 26; Cusip: 48126XHS7
Certificates of deposit with contingent annual interest due Oct. 31, 2023 linked to the JPMorgan Efficiente Plus DS 5 index (Net ER); via J.P. Morgan Securities LLC with Incapital LLC as distributor; pricing Oct. 26; Cusip: 48126XJG1
0% autocallable certificates of deposit due Oct. 31, 2023 with step-up call value linked to the JPMorgan Efficiente Plus DS 5 index (Net ER); via J.P. Morgan Securities LLC with Incapital LLC as distributor; pricing Oct. 26; Cusip: 48126XHF5
Variable annual income certificates of deposit due Oct. 31, 2023 linked to the JPMorgan Efficiente Plus DS 5 index (Net ER); via J.P. Morgan Securities LLC with Incapital LLC as distributor; pricing Oct. 26; Cusip: 48126XHG3
0% certificates of deposit due Oct. 30, 2026 linked to the JPMorgan Efficiente Plus DS 5 index (Net ER); via J.P. Morgan Securities LLC with Incapital LLC as distributor; pricing Oct. 26; Cusip: 48126XHL2
0% certificates of deposit due Oct. 31, 2023 linked to the J.P. Morgan Mozaic index (USD); via J.P. Morgan Securities LLC with Incapital LLC as distributor; pricing Oct. 26; Cusip: 48126XJD8
0% certificates of deposit due Oct. 31, 2023 linked to the JPMorgan Optimax Market-Neutral index; via J.P. Morgan Securities LLC with Incapital LLC as distributor; pricing Oct. 26; Cusip: 48126XHV0
JPMORGAN CHASE FINANCIAL CO. LLC
Autocallable contingent interest notes due Oct. 31, 2019 linked to the least performing of the common stocks of Apple Inc. and Amazon.com, Inc.; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EY55
Callable contingent interest notes due Nov. 2, 2021 linked to the lesser performing of the Dow Jones industrial average and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EQ96
0% capped gears due Dec. 29, 2017 linked to the Energy Select Sector SPDR fund; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48128P829
0% capped buffered return enhanced notes due April 30, 2019 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EM74
0% capped buffered return enhanced notes due Oct. 31, 2018 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EL91
0% capped buffered return enhanced notes due Oct. 31, 2018 linked to the FTSE 100 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EM25
0% capped buffered return enhanced notes due April 30, 2019 linked to the FTSE 100 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EM82
0% capped buffered return enhanced notes due Dec. 4, 2017 linked to the FTSE 100 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EZ47
0% capped buffered return enhanced notes due April 30, 2019 linked to the iShares MSCI EAFE exchange-traded fund; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EM58
0% capped buffered return enhanced notes due Oct. 31, 2018 linked to the iShares MSCI EAFE exchange-traded fund; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EL75
0% capped buffered return enhanced notes due Oct. 31, 2018 linked to the iShares MSCI Emerging Markets exchange-traded fund, via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EL83
0% capped buffered return enhanced notes due April 30, 2019 linked to the iShares MSCI Emerging Markets exchange-traded fund; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EM66
0% capped buffered return enhanced notes due April 30, 2019 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EM41
0% capped buffered return enhanced notes due Oct. 31, 2018 linked to the Russell 2000 index, via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EL67
Autocallable contingent interest notes due Oct. 30, 2026 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EQ62
Autocallable contingent interest notes due Oct. 31, 2017 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EK68
Autocallable contingent interest notes due Oct. 31, 2017 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EL34
Autocallable contingent interest notes due Jan. 31, 2018 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EK76
Autocallable contingent interest notes due Jan. 31, 2018 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EL42
Autocallable contingent interest notes due Oct. 31, 2019 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EK84
0% dual directional contingent buffered return enhanced notes due Oct. 31, 2019 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EN65
0% dual directional contingent buffered return enhanced notes due Oct. 30, 2020 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EN73
Autocallable contingent interest notes due Oct. 29, 2021 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EK92
Autocallable contingent interest notes due Oct. 31, 2023 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646ER38
0% capped buffered return enhanced notes due Oct. 31, 2018 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EL59
0% capped enhanced participation equity notes due Oct. 5, 2018 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646E2A9
0% capped buffered return enhanced notes due April 30, 2019 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EM33
0% uncapped buffered return enhanced notes due Oct. 30, 2020 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EM90
0% uncapped dual directional notes due Oct. 29, 2021 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EN81
0% contingent buffered equity notes due Oct. 30, 2020 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EP63
0% contingent buffered equity notes due Oct. 29, 2021 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EN57
0% contingent buffered return enhanced notes due Oct. 29, 2021 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EP55
0% dual directional contingent buffered return enhanced notes due Oct. 30, 2020 linked to lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EP48
0% dual directional contingent buffered return enhanced notes due Oct. 31, 2019 linked to lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EP30
5.25% to 7.25% yield notes due Aug. 31, 2017, linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EK35
4.5% to 6.5% yield notes due Sept. 29, 2017, linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EK43
7% to 9% autocallable yield notes due Oct. 31, 2017 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EK50
Contingent coupon autocallable yield notes due Jan. 31, 2018 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EL26
Callable contingent interest notes due Nov. 2, 2020 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646ER20
Autocallable contingent interest notes due Oct. 29, 2021 linked to the lesser performing of the SPDR S&P Biotech exchange-traded fund and the iShares Russell 2000 ETF; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 46646EX64
Callable step-up fixed-rate notes due Oct. 31, 2024; via J.P. Morgan Securities LLC; pricing Oct. 27; Cusip: 48128GK33
0% capped buffered enhanced participation notes due Nov. 1, 2018 linked to Euro Stoxx 50 index, the FTSE 100 index, the Topix index, the Swiss Market index and the S&P/ASX 200 index; 90% trigger; via J.P. Morgan Securities LLC; pricing Oct. 27; Cusip: 46646E2F8
Trigger autocallable contingent yield notes due Oct. 30, 2026 linked to the lesser performing of the MSCI EAFE index and the Russell 2000 index; 50% trigger; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Oct. 27; Cusip: 48128P837
0% review notes due Oct. 31, 2019 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 27; Cusip: 46646EU26
Trigger callable contingent yield notes with daily coupon observation due Nov. 5, 2018 linked to the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; 75% trigger; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Oct. 27; Cusip: 48128P787
Callable contingent interest notes due Nov. 4, 2019 linked to the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; 60% trigger; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Oct. 27; Cusip: 46646E2P6
7% autocallable yield notes due Nov. 2, 2017 linked to Bristol-Myers Squibb Co. stock; 75% trigger; via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 46646EX56
Contingent income autocallable securities due Nov. 2, 2017 linked to Caterpillar Inc. shares; via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 48128P811
Autocallable contingent interest notes due Feb. 1, 2018 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 46646E2L5
Callable contingent interest notes due Nov. 4, 2019 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 46646E2J0
0% capped return enhanced notes due Jan. 3, 2018 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 28; Cusip: 46646E2Q4
0% trigger jump securities due Nov. 5, 2018 linked to Apple Inc. shares; 90% trigger; via J.P. Morgan Securities LLC with Morgan Stanley Wealth Management; pricing Oct. 31; Cusip: 46646X134
Leveraged callable range accrual securities due Nov. 3, 2031 linked to 30-year U.S. dollar ICE swap rate, the two-year U.S. dollar ICE swap rate and the S&P 500 index; 50% trigger; via J.P. Morgan Securities LLC with Morgan Stanley Wealth Management; pricing Oct. 31; Cusip: 46646EU75
0% dual directional trigger Performance Leveraged Upside Securities due Nov. 5, 2019 linked to the Euro Stoxx 50 index; 80% trigger; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 46646X175
0% dual directional trigger Performance Leveraged Upside Securities due Nov. 5, 2019 linked to the Russell 2000 index; 80% trigger; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 48128P795
Contingent income autocallable securities due Nov. 5, 2018 linked to the worst performing of the Russell 2000 index and the S&P 500 index; 80% trigger; via J.P. Morgan Securities LLC with Morgan Stanley Wealth Management; pricing Oct. 31; Cusip: 46646EW65
Autocallable contingent interest notes due May 3, 2018 linked to the S&P 500 index and the Russell 2000 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 46646EX49
MORGAN STANLEY
0% dual directional trigger Performance Leveraged Upside Securities due Nov. 5, 2018 linked to the VanEck Vectors Gold Miners exchange-traded fund; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61766A558
MORGAN STANLEY FINANCE LLC
Contingent income autocallable securities due Oct. 31, 2019 linked to Bank of America Corp. common stock; via Morgan Stanley & Co. LLC; pricing Oct. 26; Cusip: 61768CAR8
0% buffered jump securities due Oct. 29, 2021 linked to the Dow Jones industrial average; via Morgan Stanley & Co. LLC; pricing Oct. 26; Cusip: 61768CAS6
Contingent income securities due Oct. 31, 2019 linked to lesser performing of the Euro Stoxx 50 index and the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Oct. 26; Cusip: 61768CAM9
Contingent income autocallable canon securities due Oct. 31, 2031 linked to the lesser performing of the Euro Stoxx 50 index and the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Oct. 26; Cusip: 61768CAN7
0% market-linked notes due Oct. 31, 2023 linked to the Morgan Stanley ETF-Map 2 index; via Morgan Stanley & Co. LLC; pricing Oct. 26; Cusip: 61768CAV9
0% enhanced buffered jump securities due April 30, 2020 linked to the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Oct. 26; Cusip: 61768CAW7
Contingent income securities due Oct. 31, 2031 linked to lesser performing of the Russell 2000 index and the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Oct. 26; Cusip: 61768CAL1
0% trigger Performance Leveraged Upside Securities due Oct. 29, 2021 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Oct. 26; Cusip: 61768CAQ0
0% trigger gears due Oct. 30, 2026 linked to the S&P 500 index; 50% trigger; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Oct. 26; Cusip: 61766F326
0% trigger autocallable contingent yield notes due Oct. 31, 2019 linked to the Stoxx Europe 600 Banks index; via Morgan Stanley and UBS Financial Services Inc.; pricing Oct. 27; Cusip: 61766F359
Floating-rate notes due Nov. 30, 2017 linked to the 10-year U.S. dollar ICE swap rate; 70% trigger; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61766YAT8
Leveraged CMS curve securities due Oct. 31, 2036 linked to the worse performing of the Russell 2000 index and the S&P 500 index; 60% trigger; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61766YAU5
0% market-linked notes due May 3, 2024 linked to the Dow Jones industrial average; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61766F250
0% autocallable securities with fixed percentage buffered downside due Nov. 5, 2018 linked to the Energy Select Sector SPDR fund; 90% trigger; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61761JY94
0% buffered Performance Leveraged Upside Securities due Nov. 3, 2021 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61766F276
0% trigger Performance Leveraged Upside Securities due Nov. 3, 2022 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61766F292
Leveraged CMS curve securities due Oct. 31, 2036 linked to the worse performing of the Russell 2000 index and the S&P 500 index; 50% trigger; via Morgan Stanley & Co. LLC; settling Oct. 31; Cusip: 61766YAS0
0% trigger Performance Leveraged Upside Securities due Nov. 3, 2022 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61766F284
0% Performance Leveraged Upside Securities due Feb. 5, 2018 linked to the SPDR S&P Regional Banking exchange-traded fund; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61766A533
18- to 21-month 0% capped leveraged buffered notes linked to the Euro Stoxx 50 index, the FTSE 100 index, the Tokyo Stock Price index, the Swiss Market index and the S&P/ASX 200 index; 90% trigger; via Morgan Stanley; Cusip: 61768CBB2
24- to 27-month 0% capped leveraged notes linked to the Euro Stoxx 50 index, the FTSE 100 index, the Topix index, the Swiss Market index and the S&P/ASX 200 index; via Morgan Stanley; Cusip: 61768CAY3
24- to 27-month 0% digital notes linked to Euro Stoxx 50 index, the FTSE 100 index, the Tokyo Stock Price index, the Swiss Market index and the S&P/ASX 200 index; 85% trigger; via Morgan Stanley; Cusip: 61768CBA4
24- to 27-month 0% digital notes linked to the Euro Stoxx 50, FTSE 100, Tokyo Stock Price, Swiss Market and S&P/ASX 200 indexes; via Morgan Stanley & Co. LLC; Cusip: 61768CAZ0
ROYAL BANK OF CANADA
Redeemable step-up notes due Oct. 31, 2029; via RBC Capital Markets, LLC; pricing Oct. 26; Cusip: 78012KSA6
0% capped gears due Dec. 29, 2017 linked to the iShares MSCI EAFE exchange-traded fund; via UBS Financial Services Inc.; pricing Oct. 26; Cusip: 78014C590
Autocallable contingent coupon barrier notes due Oct. 31, 2019 linked to the least performing of the common stocks of Nike, Inc., Starbucks Corp. and Walt Disney Co.; via RBC Capital Markets, LLC; pricing Oct. 26; Cusip: 78012KUV7
0% buffered enhanced return notes due Oct. 31, 2022 linked to the S&P 500 index; via RBC Capital Markets, LLC; pricing Oct. 26; Cusip: 78012KUB1
0% enhanced return notes due Dec. 29, 2017 linked to the S&P 500 index; via RBC Capital Markets, LLC; pricing Oct. 26; Cusip: 78012KUA3
0% barrier booster notes due Oct. 31, 2022 linked to the S&P 500 index; via RBC Capital Markets, LLC; pricing Oct. 26; Cusip: 78012KUC9
0% Performance Leveraged Upside Securities due Nov. 9, 2017 linked to the S&P 500 index; via RBC Capital Markets, LLC; pricing Oct. 28; Cusip: 78014C665
0% market-linked securities - autocallable with fixed percentage buffered downside due Nov. 5, 2021 linked to the Euro Stoxx 50 index; via Wells Fargo Securities, LLC: pricing Oct. 31; Cusip: 78012KTZ0
0% Performance Leveraged Upside Securities due Feb. 5, 2018 linked to the Euro Stoxx 50 index; via RBC Capital Markets, LLC; pricing Oct. 31; Cusip: 78014C616
0% Accelerated Return Notes due December 2017 linked to AstraZeneca plc, Eli Lilly and Co. and Pfizer Inc.; via BofA Merrill Lynch; pricing in October
0% Accelerated Return Notes due December 2017 linked to a basket of three equally weighted stocks (Citigroup Inc., JPMorgan Chase & Co. and Morgan Stanley); via BofA Merrill Lynch; pricing in October
0% Capped Leveraged Index Return Notes due October 2018 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in October
0% direct investment notes due Dec. 8, 2017 linked to the EquityCompass Equity Risk Management Strategy; via RBC Capital Markets LLC; pricing Nov. 3; Cusip: 78012KUH8
7.5% STEP Income Securities due November 2017 linked to Apple Inc. shares; via BofA Merrill Lynch; pricing in November
24- to 27-month leveraged buffered notes due 2018 linked to a basket of the Euro Stoxx 50 index with a 37% initial weight, the FTSE 100 index with a 23% initial weight, the Topix index with a 23% initial weight, the Swiss Market index with a 9% initial weight and the S&P/ASX 200 index with an 8% initial weight; via RBC Capital Markets, LLC; Cusip: 78012KUP0
0% 24- to 27-month leveraged buffered notes linked to Euro Stoxx 50 index, the FTSE 100 index, the Topix index, the Swiss Market index and the S&P/ASX 200 index; 90% trigger; via RBC Capital Markets, LLC; Cusip: 78012KUU9
0% 17- to 20-month leveraged buffered notes linked to the S&P 500 index; 90% trigger; via RBC Capital Markets, LLC; Cusip: 78012KUS4
0% digital notes due in 22 to 25 months linked to the S&P 500 index; 87.5% trigger; via RBC Capital Markets, LLC; Cusip: 78012KUT2
SUNTRUST BANKS, INC.
Callable step-up notes due Nov. 2, 2026; via SunTrust Robinson Humphrey, Inc.; pricing Oct. 26; Cusip: 86802WBC1
TORONTO-DOMINION BANK
Callable step-up notes due Oct. 21, 2021; via TD Securities (USA) LLC and Barclays; pricing Oct. 26; Cusip: 89114QXR4
Callable step-up notes due Oct. 31, 2023; via TD Securities (USA) LLC; pricing Oct. 26; Cusip: 89114QXU7
0% 18- to 21-month leveraged capped buffered notes linked to the MSCI EAFE index; 93% trigger; via TD Securities (USA) LLC and Goldman, Sachs & Co.; Cusip: 89114QXZ6
UBS AG, LONDON BRANCH
0% capped trigger gears due Oct. 31, 2019 linked to the Russell 2000 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 26; Cusip: 90275Y518
0% capped gears due Dec. 29, 2017 linked to the S&P 500 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 26; Cusip: 90275Y500
0% buffered accelerator notes due Oct. 31, 2019 linked to the S&P 500 index; via TD Securities (USA) LLC; pricing Oct. 26; Cusip: 89114QXS2
0% trigger autocallable contingent yield notes due Oct. 31, 2019 linked to the Nasdaq-100 index and the Russell 2000 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 27; Cusip: 90275Y658
Contingent income autocallable securities due Oct. 31, 2019 linked to Alibaba Group Holding Ltd. shares; via UBS Securities LLC; pricing Oct. 28; Cusip: 90275Y690
Contingent income autocallable securities with step-up call threshold levels due Oct. 31, 2019 linked to Apple Inc. shares; via UBS Securities LLC; pricing Oct. 28; Cusip: 90275Y708
Contingent income autocallable securities with step-up call threshold levels due Oct. 31, 2019 linked to the common stock of Prudential Financial, Inc.; via UBS Securities LLC; pricing Oct. 28; Cusip: 90275Y682
0% market-linked securities with leveraged upside participation to a cap and fixed percentage buffered downside due Nov. 3, 2021 linked to the S&P 500 index; via TD Securities (USA) LLC and Wells Fargo Securities, LLC; pricing Oct. 31; Cusip: 89114QXQ6
0% capped leveraged notes due in 22 to 25 months linked to Euro Stoxx 50 index, the FTSE 100 index, the Topix index, the Swiss Market index and the S&P/ASX 200 index; via UBS Securities LLC; Cusip: 90270KHJ1
WELLS FARGO BANK, NA
Variable annual interest certificates of deposit due Oct. 29, 2021 linked to the common stocks of Apple Inc., AT&T Inc., Bristol-Myers Squibb Co., Cisco Systems, Inc. and Nike, Inc.; via Incapital LLC; pricing Oct. 26; Cusip: 94986TE78
Variable annual interest certificates of deposit due Oct. 29, 2021 linked to the common stocks of Apple Inc., AT&T Inc., Bristol-Myers Squibb Co., Cisco Systems, Inc. and Nike, Inc.; via Incapital LLC; pricing Oct. 26; Cusip: 94986TE29
Variable annual interest certificates of deposit due Oct. 30, 2023 linked to the common stocks of Apple Inc., AT&T Inc., Bristol-Myers Squibb Co., Caterpillar Inc., Cisco Systems, Inc., Coca-Cola Co., Merck & Co., Inc., Nike, Inc., Procter & Gamble Co. and Starbucks Corp.; via Incapital LLC; pricing Oct. 26; Cusip: 94986TD95
0% certificates of deposit due Oct. 31, 2023 linked to the CS Retiree Consumer Expenditure 5% Blended Index Excess Return; via Incapital LLC; pricing Oct. 26; Cusip: 94986TF28
0% certificates of deposit due Oct. 31, 2023 linked to the S&P 500 index; via Incapital LLC; pricing Oct. 26; Cusip: 94986TD87
WELLS FARGO & CO.
0% market-linked securities due Oct. 31, 2018 with leveraged upside participation to a cap and fixed percentage buffered downside linked to the iShares MSCI EAFE exchange-traded fund; via Wells Fargo Securities LLC; pricing Oct. 26; Cusip: 94986RY96
0% market-linked securities due Oct. 31, 2018 with leveraged upside participation to a cap and fixed percentage buffered downside linked to the iShares MSCI Emerging Markets exchange-traded fund; via Wells Fargo Securities LLC; pricing Oct. 26; Cusip: 94986RY88
Market-linked securities due Oct. 30,2026 autocallable with contingent coupon and contingent downside linked to the least performing of the Russell 2000 index and the Euro Stoxx 50 index; via Wells Fargo Securities LLC; pricing Oct. 26; Cusip: 94986RX63
Market-linked securities due Oct. 30, 2026 callable with contingent coupon and contingent downside linked to the least performing of the S&P 500 index and the Russell 2000 index; via Wells Fargo Securities LLC; pricing Oct. 26; Cusip: 94986RX71
0% market-linked securities with leveraged upside participation to a cap and fixed percentage buffered downside due May 7, 2020 linked to the Energy Select Sector SPDR fund; via Wells Fargo Securities LLC; pricing Oct. 31; Cusip: 94986RX89
Market-linked securities due Nov. 7, 2018 autocallable with contingent coupon and contingent downside linked to the least performing of the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; 65% trigger; via Wells Fargo Securities LLC; pricing Oct. 31; Cusip: 94986RX97
Market-linked securities due Nov. 7, 2018 autocallable with contingent coupon and contingent downside linked to the least performing of the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; via Wells Fargo Securities LLC; pricing Oct. 31; Cusip: 94986RY21
0% market-linked securities with leveraged upside participation to a cap and fixed percentage buffered downside due May 7, 2019 linked to the SPDR S&P 500 ETF Trust; via Wells Fargo Securities LLC; pricing Oct. 31; Cusip: 94986RY47
24- to 27-month 0% enhanced return securities with upside participation and one-to-one downside exposure tied to the MSCI EAFE index; via Wells Fargo Securities LLC; Cusip: 98986RY70
24- to 27-month 0% digital securities with buffered downside linked to the Russell 2000 index; 85% trigger; via Wells Fargo Securities, LLC; Cusip: 94986RZ38
24- to 27-month 0% buffered enhanced return securities with capped upside and buffered downside linked to the S&P 500 index; via Wells Fargo Securities LLC; Cusip: 94986RZ20
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