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Prospect News home > News index > List of issuers B > Headlines for Barclays Bank plc > News item

Published on 10/10/2018 in the Prospect News Structured Products Daily.

Structured Products Calendar

BANK OF AMERICA CORP.

• Step-up callable notes due Oct. 30, 2023; via BofA Merrill Lynch; settling Oct. 26; Cusip: 06048WXU9

• Step-up callable notes due Oct. 30, 2028; via BofA Merrill Lynch; settlement on Oct. 30; Cusip: 06048WXS4

BANK OF MONTREAL

• Autocallable cash-settled notes with contingent interest payments due Jan. 15, 2020 linked to the least performing of the Euro Stoxx 50 index, Russell 2000 index, VanEck Vectors Gold Miners exchange-traded fund and iShares MSCI Emerging Markets ETF; via BMO Capital Markets Corp.; pricing Oct. 11; Cusip: 06367WDS9

• 0% notes linked to Raymond James Energy Sector Top Selections due Oct. 30, 2020; via BMO Capital Markets Corp.; pricing Oct. 19; Cusip: 06367WCZ4

• 0% notes linked to Raymond James Energy Sector Top Selections due Oct. 30, 2020; via BMO Capital Markets Corp.; pricing Oct. 19; Cusip: 06367WCY7

• Autocallable notes with contingent interest payments due Oct. 25, 2022 linked to the S&P 500 index; 60% trigger; via BMO Capital Markets Corp.; pricing Oct. 22; Cusip: 06367WCR2

• Buffered notes with contingent interest payments due Oct. 29, 2021 linked to the Euro Stoxx 50 index; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06367WDK6

• 0% buffered bullish enhanced return notes due April 30, 2020 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06367WDJ9

BANK OF NOVA SCOTIA

• 0% Market Index Target-Term Securities due October 2024 linked to the Dow Jones Industrial Average; via BofA Merrill Lynch; pricing in October

• 0% Leveraged Index Return Notes due October 2023 linked to the Dow Jones Industrial Average; via BofA Merrill Lynch; pricing in October

• 0% autocallable market-linked step-up notes due October 2021 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in October

• 0% autocallable market-linked step-up notes due October 2020 linked to the PHLX Housing Sector 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

• 0% autocallable market-linked step-up notes due October 2023 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in October

• 18- to 21-month 0% capped enhanced participation notes linked to the Russell 2000 index; via Scotia Capital (USA) Inc. with Goldman Sachs & Co. as dealer; Cusip: 064159ME3

• 0% absolute return trigger notes due in 24 to 27 months linked to the S&P 500 index; via Scotia Capital (USA) Inc. as agent with Goldman Sachs & Co. as dealer; Cusip: 064159MG8

BARCLAYS BANK PLC

• Trigger autocallable contingent yield notes due Oct. 17, 2028 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via UBS Financial Services Inc. and Barclays; pricing Oct. 12; Cusip: 06746U257

• 0% notes due Oct. 21, 2021 linked to the S&P 500 index; via Barclays; pricing Oct. 17; Cusip: 06746XS20

• 0% buffered Performance Leveraged Upside Securities due Nov. 4, 2020 linked to the Euro Stoxx 50 index; via Barclays; pricing Oct. 18; Cusip: 06746U323

• 0% partial principal at risk securities due Nov. 4, 2020 linked to the MSCI Europe index; via Barclays as agent with Morgan Stanley Wealth Management as dealer; pricing Oct. 18; Cusip: 06746U331

• 0% notes due Oct. 22, 2020 linked to the Barclays Trailblazer Sectors 5 index; via Barclays; pricing Oct. 19; Cusip: 06746XSP9

• 4.5% buffered notes due Oct. 24, 2023 linked to the Russell 2000 index and the S&P 500 index; via Barclays; pricing Oct. 19; Cusip: 06746XSG9

• Capital at-risk steepener notes due April 29, 2021 linked to the spread between the 30-year U.S. dollar ICE swap rate and the two-year U.S. dollar ICE swap rate; via Barclays; pricing Oct. 25; Cusip: 06746XT37

• 0% autocallable notes due Oct. 30, 2025 linked to the Barclays Trailblazer Sectors 5 index; via Barclays; pricing Oct. 26; Cusip: 06746XTD5

• 0% autocallable notes due Oct. 30, 2025 linked to the Barclays Trailblazer Sectors 5 index; via Barclays; pricing Oct. 26; Cusip: 06746XTC7

• Phoenix autocallable notes due Oct. 28, 2019 linked to the lesser performing of the Nasdaq-100 index and the Euro Stoxx 50 index; via Barclays; pricing Oct. 26; Cusip: 06746XS87

• Phoenix autocallable notes due Oct. 29, 2021 linked to the least performing of the common stock of Nike, Inc., Ford Motor Co. and Intel Corp.; via Barclays; pricing Oct. 26; Cusip: 06746XSS3

• 4.6% buffered notes due Oct. 31, 2023 linked to the Russell 2000 index; via Barclays; pricing Oct. 26; Cusip: 06746XRV7

• Callable range accrual notes due April 30, 2026 linked to the Russell 2000 index; via Barclays; pricing Oct. 26; Cusip: 06746XT29

• Callable contingent coupon notes due Oct. 31, 2022 linked to the lesser performing index of the Russell 2000 index and the S&P 500 index; via Barclays; pricing Oct. 26; Cusip: 06746XS46

• 0% buffered SuperTrack notes due Oct. 26, 2023 linked to the S&P 500 index; via Barclays; pricing Oct. 26; Cusip: 06746XRJ4

• Callable contingent coupon notes due Oct. 31, 2023 linked to the lesser performing of the S&P 500 index, the Nasdaq-100 index and the Russell 2000 index; via Barclays; pricing Oct. 26; Cusip: 06746XST1

• 0% dual directional notes due Oct. 29, 2021 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Barclays; pricing Oct. 26; Cusip: 06746XRH8

• Callable contingent coupon notes due Oct. 31, 2023 linked to the lesser performing of the S&P 500 index, the Euro Stoxx 50 index and the Russell 2000 index; via Barclays; pricing Oct. 26; Cusip: 06746XTG8

• Phoenix autocallable notes due April 30, 2020 linked to the SPDR S&P Oil & Gas Exploration & Production ETF; via Barclays; pricing Oct. 26; Cusip: 06746XTA1

• 0% notes due Aug. 3, 2023 linked to the Barclays Trailblazer Sectors 5 index; via Barclays; pricing Oct. 31; Cusip: 06746XTF0

• 0% buffered SuperTrack notes due Oct. 29, 2021 linked to the Euro Stoxx 50 index; via Barclays; pricing Oct. 31; Cusip: 06746XRR6

• 0% notes due July 31, 2020 linked to the Euro Stoxx 50 index; via Barclays; pricing Oct. 31; Cusip: 06746XRS4

• 0% buffered SuperTrack notes due Oct. 29, 2021 linked to the iShares MSCI Emerging Markets ETF and the iShares MSCI EAFE ETF; via Barclays; pricing Oct. 31; Cusip: 06746XRL9

• Phoenix autocallable notes due Oct. 31, 2019 linked to the lesser performing of the Nasdaq-100 index and the Euro Stoxx 50 index; via Barclays; pricing Oct. 31; Cusip: 06746XS95

• Phoenix autocallable notes due Nov. 5, 2019 linked to the lesser performing of the Nasdaq-100 index and the MSCI Europe index; via Barclays; Pricing Oct. 31; Cusip: 06746XTJ2

• 0% market-linked securities with leveraged upside participation to a cap and fixed percentage buffered downside due May 5, 2021 linked to the iShares MSCI Emerging Markets ETF; via Wells Fargo Securities, LLC and Barclays; pricing Oct. 31; Cusip: 06746XRA3

• Callable contingent coupon notes due July 29, 2022 linked to the lesser performing of the S&P 500 index, the Euro Stoxx 50 index and the Russell 2000 index; via Barclays; pricing Oct. 31; Cusip: 06746XSU8

• 0% dual directional notes due April 30, 2021 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Barclays; pricing Oct. 31; Cusip: 06746XS79

• 0% market-linked securities with leveraged upside participation to a cap and fixed percentage buffered downside due Nov. 6, 2023 linked to the S&P 500 index; via Wells Fargo Securities, LLC and Barclays; pricing Oct. 31; Cusip: 06746XR96

• 0% buffered SuperTrack notes due Oct. 30, 2020 linked to the S&P 500 index; via Barclays; pricing Oct. 31; Cusip: 06746XRN5

BOFA FINANCE LLC

• 0% capped leveraged index return notes due October 2020 linked to the MSCI Emerging Markets index; via BofA Merrill Lynch; pricing in October

• 0% Leveraged Index Return Notes due in October 2020 linked to an international equity index basket; via BofA Merrill Lynch; pricing in October

• 0% market-linked step-up notes due October 2021 linked to a global equity index basket; via BofA Merrill Lynch; pricing in October

CANADIAN IMPERIAL BANK OF COMMERCE

• 7.5% STEP Income Securities due November 2019 linked to the common stock of Citigroup Inc.; via BofA Merrill Lynch; pricing in October

• 0% market-linked step-up notes due October 2020 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in October

• 0% capped Leveraged Index Return Notes due October 2020 tied to the S&P 500 index; via BofA Merrill Lynch; pricing in October

• 0% Accelerated Return Notes due December 2019 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in November

• 13- to 15-month digital notes linked to a basket of the Euro Stoxx 50 index, the Topix index, the FTSE 100 index, the Swiss Market index and the S&P/ASX 200 index; via CIBC World Markets; Cusip: 13605WMH1

• 0% capped leveraged notes due in 13 to 15 months tied to the S&P 500 index; via CIBC World Markets Corp.; Cusip: 13605WME8

• 0% capped leveraged buffered notes linked to the S&P 500 index; via CIBC World Markets Corp.; Cusip: 13605WMQ1

• 0% capped leveraged buffered notes linked to the S&P 500 index; via CIBC World Markets Corp.; Cusip: 13605WMK4

CITIGROUP GLOBAL MARKETS HOLDINGS INC.

• Autocallable contingent coupon equity-linked securities due Oct. 23, 2019 linked to the common stock of Intel Corp.; via Citigroup Global Markets Inc.; pricing Oct. 18; Cusip: 17324XEH9

• 0% enhanced barrier digital plus securities due Oct. 28, 2022 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Oct. 25; Cusip: 17326YXS0

• Autocallable contingent coupon equity-linked securities due Oct. 29, 2021 linked to the worst performing of the common stocks of Facebook, Inc., Amazon.com, Inc., Netflix, Inc. and Alphabet Inc.; via Citigroup Global Markets Inc.; pricing Oct. 26; Cusip: 17324XEZ9

• Autocallable contingent coupon equity-linked securities due Nov. 8, 2021 linked to the worse performing of the common stocks of Caterpillar Inc. and Deere & Co.; via Citigroup Global Markets Inc.; pricing Oct. 26; Cusip: 17326YG42

• Autocallable contingent coupon equity-linked securities due Oct. 31, 2023 linked to the worst performing of the Dow Jones industrial average, the Russell 2000 index and the Nasdaq-100 index; via Citigroup Global Markets Inc.; pricing Oct. 26; Cusip: 17326Y2G0

• 0% buffered digital plus securities due Oct. 31, 2023 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Oct. 26; Cusip: 17326Y5E2

• 0% market-linked notes due Oct. 29, 2021 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Oct. 26; Cusip: 17326YL20

• Callable fixed-to-floating range accrual securities due Oct. 31, 2033 linked to the worst performing of the S&P 500 index and the Russell 2000 index; via Citigroup Global Markets Inc.; pricing Oct. 26; Cusip: 17326YQ82

• Autocallable securities due Nov. 3, 2021 linked to the SPDR Dow Jones Industrial Average ETF Trust and the Invesco QQQ Trust, Series 1; via Citigroup Global Markets Inc.; pricing Oct. 29; Cusip: 17324XDZ0

• Market-linked securities – autocallable with contingent coupon and contingent downside due Oct. 27, 2022 linked to the least performing of the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; via Citigroup Global Markets Inc. and Wells Fargo Securities LLC; pricing Oct. 30; Cusip: 17326Y7D2

• 0% buffer securities due Nov. 9, 2020 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Oct. 31; Cusip: 17326YUA2

• Autocallable contingent coupon equity-linked securities due Nov. 3,2023 linked to the least performing of the Russell 2000 index, the Dow Jones Industrial Average and the Nasdaq-100 index; 60% trigger; via Citigroup Global Markets Inc.; pricing Oct. 31; Cusip: 17326YXT8

• 0% buffer securities due Nov. 9, 2020 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Oct. 31; Cusip: 17326YWS1

• 0% absolute return trigger notes due in 24 to 27 months linked to the S&P 500 index; via Citigroup Global Markets Holdings Inc.; Cusip: 17326YTS5

CREDIT SUISSE AG, LONDON BRANCH

• 0% absolute return barrier securities due Oct. 16, 2023 linked to the SPDR S&P Biotech ETF; 80% trigger; via Credit Suisse Securities (USA) LLC; pricing Oct. 11; Cusip: 22551LEY2

• Autocallable contingent income securities due April 15, 2021 linked to the worst performing of the Russell 2000 index, the S&P 500 index and the Nasdaq-100 index; 75% trigger; via Credit Suisse Securities (USA) LLC; pricing Oct. 11; Cusip: 22551LFD7

• Contingent coupon autocallable yield notes due Oct. 19, 2021 linked to the least performing of the shares of Facebook, Inc., General Electric Co. and ICU Medical, Inc.; via Credit Suisse Securities (USA) LLC; pricing Oct. 12; Cusip: 22551LEP1

• Contingent income issuer callable notes due April 15, 2021 linked to the worst performing of the Russell 2000 index, the S&P 500 index and the Euro Stoxx 50 index; 75% trigger; via Credit Suisse Securities (USA) LLC; pricing Oct. 12; Cusip: 22551LFB1

• 0% autocallable securities due Oct. 19, 2022 linked to the lowest performing of the Russell 2000 index and the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 12; Cusip: 22551LER7

• Trigger autocallable contingent yield notes due Oct. 17, 2023 linked to the S&P 500 index and the Russell 2000 index; via UBS Financial Services Inc. and Credit Suisse Securities (USA) LLC; pricing Oct. 12; Cusip: 22549R490

• Contingent coupon autocallable yield notes due Jan. 21, 2020 linked to the common stock of Amazon.com, Inc.; via Credit Suisse Securities (USA) LLC; pricing Oct. 15; Cusip: 22551LEK2

• Contingent coupon autocallable reverse convertible securities due Jan. 21, 2020 linked to Dollar Tree, Inc. stock; via Credit Suisse Securities (USA) LLC; pricing Oct. 15; Cusip: 22549JYB0

• Contingent coupon autocallable reverse convertible securities due Jan. 21, 2020 linked to Netflix, Inc. stock; via Credit Suisse Securities (USA) LLC; pricing Oct. 15; Cusip: 22549JYE4

• Contingent coupon autocallable reverse convertible securities due Jan. 21, 2020 linked to Nvidia Corp. stock; via Credit Suisse Securities (USA) LLC; pricing Oct. 15; Cusip: 22549JYC8

• 14.25% contingent coupon autocallable reverse convertible securities due April 19, 2021 linked to the least performing of four stocks; via Credit Suisse Securities (USA) LLC; pricing Oct. 15; Cusip: 22549JXY1

• 5.75% to 7.75% contingent coupon autocallable yield notes due Jan. 21, 2020 linked to the lowest performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 15; Cusip: 22551LCM0

• 6% to 8% contingent coupon autocallable yield notes April 20, 2020 linked to the lowest performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 15; Cusip: 22551LCE8

• 5.25% to 7.25% contingent coupon callable yield notes due Nov. 6, 2023 linked to the lowest performing of the Russell 2000 index and the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22551LCS7

• 0% buffered accelerated return equity securities due Dec. 2, 2019 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: 22551LCG3

• Contingent coupon autocallable yield notes due Jan. 31, 2020 linked to the lowest performing of the S&P 500 index and the Nasdaq-100 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22551LCN8

• 6% to 8% contingent coupon autocallable yield notes April 30, 2020 linked to the lowest performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22551LCD0

• Contingent coupon autocallable yield notes due Oct. 30, 2020 linked to the lesser performing of the SPDR S&P Biotech ETF and the SPDR S&P Oil &Gas Exploration & Production ETF; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22551LDH0

• Contingent coupon callable yield notes due Oct. 26, 2021 linked to the SPDR S&P Biotech exchange-traded fund and the SPDR S&P Oil & Gas Exploration & Production exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 19; Cusip: 22551LE55

• 0% CS notes due April 29, 2021 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22551LDT4

• 8.5% to 10.5% contingent coupon autocallable yield notes due Nov. 5, 2019 linked to the lowest performing of the S&P 500 index, the Euro Stoxx 50 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22551LD23

• 0% buffered accelerated return equity securities due May 5, 2020 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22551LD64

• 5.75% to 7.75% contingent coupon autocallable yield notes due May 5, 2020 linked to the lowest performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22551LD56

• Contingent coupon callable yield notes due Nov. 5, 2021 linked to the least performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22551LDD9

• 11% to 13% contingent coupon callable yield notes due Nov. 6, 2023 linked to the lesser performing of the VanEck Vectors Gold Miners ETF and the SPDR S&P Oil & Gas Exploration &Production ETF; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22551LDR8

• 0% leveraged buffered notes due in 16 to 19 months linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; Cusip: 22551LDA5

• 0% digital plus notes due in 24 to 27 months linked to a basket of indexes; via Credit Suisse Securities (USA) LLC; Cusip: 22551LBP4

• 0% leveraged notes due in 18 to 21 months linked to a basket of indexes; via Credit Suisse Securities (USA) LLC; Cusip: 22551LC81

GS FINANCE CORP.

• Autocallable contingent coupon notes due Oct. 18, 2022 linked to the least performing of the common stocks of Amazon.com, Inc., Nvidia Corp. and Apple Inc.; 60% trigger; via Goldman Sachs & Co. LLC; pricing Oct. 11; Cusip: 40056EAU2

• Callable contingent coupon notes due Oct. 16, 2028 linked to the least performing of the Nasdaq-100 index and the Russell 2000 index; 50% trigger; via Goldman Sachs & Co. LLC; pricing Oct. 11; Cusip: 40056EAH1

• Callable contingent coupon notes due Oct. 19, 2023 linked to the least performing of the S&P 500 index, the Euro Stoxx 50 index and the Russell 2000 index; 65% trigger; via Goldman Sachs & Co. LLC; pricing Oct. 11; Cusip: 40056EAX6

• 0% leveraged notes due April 15, 2021 linked to the S&P 500 index; 64%-66% barrier; via Goldman Sachs & Co. LLC; pricing Oct. 11; Cusip: 40055QZR6

• 0% buffered notes due Oct. 16, 2023 linked to the S&P 500 index; via Goldman Sachs & Co. LLC; pricing Oct. 11; Cusip: 40056EAG3

• 0% autocallable notes due Oct. 18, 2023 linked to the lesser performing of the S&P 500 index, the Dow Jones industrial average and the Russell 2000 index; 65% trigger; via Goldman Sachs & Co. LLC; pricing Oct. 11; Cusip: 40056EAB4

• Autocallable contingent coupon notes due April 21, 2020 linked to the least performing of the S&P 500 index, the Dow Jones industrial average and the Russell 2000 index; 70% trigger; via Goldman Sachs & Co. LLC; pricing Oct. 11; Cusip: 40056EAA6

• Callable contingent coupon notes due Oct. 16, 2023 linked to the least performing of the S&P 500 index, the Dow Jones industrial average and the Russell 2000 index; 60% trigger; via Goldman Sachs & Co. LLC; pricing Oct. 11; Cusip: 40056EAF5

• Autocallable contingent coupon notes due April 21, 2020 linked to the least performing of the S&P 500 index, the Euro Stoxx 50 index and the Russell 2000 index; 70% trigger; via Goldman Sachs & Co. LLC; pricing Oct. 11; Cusip: 40056EAC2

• 0% Performance Leveraged Upside Securities due Feb. 5, 2020 linked to the iShares MSCI EAFE exchange-traded fund; via Goldman Sachs & Co. with Morgan Stanley Wealth Management handling distribution; pricing Oct. 18; Cusip: 36256M197

• 0% Performance Leveraged Upside Securities due Feb. 5, 2020 linked to the Russell 2000 index; via Goldman Sachs & Co. with Morgan Stanley Wealth Management handling distribution; pricing Oct. 18; Cusip: 36256M163

• 6.7% contingent income callable securities due Oct. 23, 2025 linked to the Russell 2000 index; via Goldman Sachs & Co. with Morgan Stanley Wealth Management handling distribution; pricing Oct. 18; Cusip: 40056E2M9

• 0% Performance Leveraged Upside Securities due Feb. 5, 2020 linked to the Topix index; via Goldman Sachs & Co. with Morgan Stanley Wealth Management handling distribution; pricing Oct. 18; Cusip: 36256M189

• Autocallable contingent coupon equity-linked notes due Oct. 25, 2021 linked to the common stocks of CSX Corp. and Union Pacific Corp.; via Goldman Sachs & Co.; pricing Oct. 17; Cusip: 40056E7D4

• Callable contingent coupon notes due Oct. 12, 2022 linked to the least performing of the Russell 2000 index and the S&P 500 index; via Goldman Sachs & Co.; pricing Oct. 19; Cusip: 40056E5J3

• Callable contingent coupon notes due Oct. 12, 2023 linked to the least performing of the Russell 2000 index and the S&P 500 index; via Goldman Sachs & Co.; pricing Oct. 19; Cusip: 40056E5K0

• 0% leveraged notes due Oct. 29, 2021 linked to an equally weighted basket of two indexes; via Goldman Sachs & Co.; pricing Oct. 26; Cusip: 40056E7A0

• 0% leveraged buffered notes due Oct. 31, 2023 linked to the Euro Stoxx 50 index; via Goldman Sachs & Co.; pricing Oct. 26; Cusip: 40056E3K2

• 0% autocallable notes due Nov. 13, 2028 linked to the GS Momentum Builder Multi-Asset 5 ER index; via Goldman Sachs & Co.; pricing Oct. 26; Cusip: 40056E6B9

• 0% notes due July 31, 2023 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co.; pricing Oct. 26; Cusip: 40056E4V7

• 0% autocallable notes due Nov. 12, 2025 linked to the GS Momentum Builder Multi-Asset 5 ER index; via Goldman Sachs & Co.; pricing Oct. 26; Cusip: 40056E4Z8

• 0% autocallable notes due Nov. 12, 2025 linked to the GS Momentum Builder Multi-Asset 5 ER index; via Goldman Sachs & Co.; pricing Oct. 26; Cusip: 40056E5B0

• 0% autocallable notes due Nov. 12, 2025 linked to the GS Momentum Builder Multi-Asset 5 ER index; via Goldman Sachs & Co.; pricing Oct. 26; Cusip: 40056E5C8

• 0% autocallable notes due Nov. 12, 2025 linked to the GS Momentum Builder Multi-Asset 5 ER index; via Goldman Sachs & Co.; pricing Oct. 26; Cusip: 40056E5E4

• 0% autocallable notes due Nov. 12, 2025 linked to the GS Momentum Builder Multi-Asset 5 ER index; via Goldman Sachs & Co.; pricing Oct. 26; Cusip: 40056E5A2

• 0% autocallable notes due Nov. 13, 2028 linked to the GS Momentum Builder Multi-Asset 5 ER index; via Goldman Sachs & Co.; pricing Oct. 26; Cusip: 40056E5D6

• Callable contingent coupon notes due Oct. 31, 2023 linked to the least performing of the Russell 2000 index and the S&P 500 index; via Goldman Sachs & Co.; pricing Oct. 26; Cusip: 40056E4K1

• 4.25% callable fixed-coupon buffered notes due July 31, 2022 linked to the Russell 2000 index; via Goldman Sachs & Co.; pricing Oct. 26; Cusip: 40056E3S5

• 0% leveraged buffered notes due April 29, 2021 linked to the Russell 2000 index; via Goldman Sachs & Co.; pricing Oct. 26; Cusip: 40056E3N6

• 4.1% fixed-coupon buffered notes due Nov. 1, 2021 linked to the Russell 2000 index; via Goldman Sachs & Co.; pricing Oct. 26; Cusip: 40056E3X4

• 0% digital notes due Oct. 29, 2020 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Oct. 26; Cusip: 40056E4C9

• 0% leveraged buffered notes due April 29, 2021 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Oct. 26; Cusip: 40056E3M8

• 0% index-linked notes due Oct. 29, 2026 tied to the S&P 500 index; via Goldman Sachs & Co.; pricing Oct. 26; Cusip: 40056E3F3

• Callable contingent coupon notes due Oct. 31, 2028 linked to the least performing of the Russell 2000 index and the S&P 500 index; via Goldman Sachs & Co.; pricing Oct. 29; Cusip: 40056E3Z9

• 0% notes due Nov. 5, 2020 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co.; pricing Oct. 31; Cusip: 40056E6A1

• 0% notes due Nov. 3, 2023 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co.; pricing Oct. 31; Cusip: 40056E6W3

• 0% autocallable notes due Nov. 14, 2023 linked to the GS Momentum Builder Multi-Asset 5 ER index; via Goldman Sachs & Co.; pricing Oct. 31; Cusip: 40056E6M5

• Callable contingent coupon notes due Nov. 6, 2023 linked to the least performing of the Russell 2000 index and the S&P 500 index; via Goldman Sachs & Co.; pricing Oct. 31; Cusip: 40056E6V5

• 0% notes due May 6, 2021 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co.; pricing Nov. 1; Cusip: 40056E5Q7

• Callable contingent coupon notes due Oct. 31, 2021 linked to the least performing of the Russell 2000 index and the Euro Stoxx 50 index; via Goldman Sachs & Co.; pricing Oct. 29; Cusip: 40056E5N4

• Callable contingent coupon notes due Nov. 6, 2024 linked to the least performing of the Russell 2000 index and the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 1; Cusip: 40056E5T1

• 0% leveraged notes due in 15 to 17 months linked to a basket of indexes; via Credit Suisse Securities (USA) LLC; Cusip: 22551LD72

• Callable quarterly CMS spread-linked notes due October 2030; via Goldman Sachs & Co.; pricing in October; Cusip: 40056E4Q8

• 0% leveraged notes due in 15 to 17 months linked to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 40056E2E7

HSBC USA, INC.

• 7.2% to 8.2% airbag autocallable yield notes due Oct. 18, 2019 linked to Boeing Co. stock; 90% trigger; via UBS Financial Services Inc. and HSBC Securities (USA) Inc.; pricing Oct. 12; Cusip: 40436A701

• 0% buffered market participation securities due Jan. 17, 2020 linked to the iShares MSCI Emerging Markets exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Oct. 12; Cusip: 40435F3K1

• 0% buffered market participation securities due Jan. 17, 2020 linked to the NYSE FANG+ index; via HSBC Securities (USA) Inc.; pricing Oct. 12; Cusip: 40435F3J4

• 8.75% to 9.75% airbag autocallable yield notes due Oct. 18, 2019 linked to Noble Energy, Inc. stock; 85% trigger; via UBS Financial Services Inc. and HSBC Securities (USA) Inc.; pricing Oct. 12; Cusip: 40436A800

• 7% to 8% airbag autocallable yield notes due Oct. 18, 2019 linked to PayPal Holdings, Inc. stock; 85% trigger; via UBS Financial Services Inc. and HSBC Securities (USA) Inc.; pricing Oct. 12; Cusip: 40436A883

• 0% leveraged performance notes due Oct. 23, 2023 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Oct. 18; Cusip: 40435F5S2

• 0% leveraged performance notes due Oct. 21, 2021 linked to the HSBC Vantage5 Index (USD) Excess Return; via HSBC Securities (USA) Inc.; pricing Oct. 18; Cusip: 40435F5Q6

• 0% autocallable step-up notes due Nov. 9, 2023 linked to the HSBC Vantage5 Index (USD) Excess Return; via HSBC Securities (USA) Inc.; pricing Oct. 18; Cusip: 40435F3W5

• 0% autocallable step-up notes due Nov. 12, 2025 linked to the HSBC Vantage5 Index (USD) Excess Return; via HSBC Securities (USA) Inc.; pricing Oct. 19; Cusip; 40435F3V7

• Autocallable barrier notes with step-down call threshold feature due Nov. 1, 2021 linked to the lesser performing of the Euro Stoxx 50 index and the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40435F5K9

• 0% buffered Accelerated Market Participation Securities due April 30, 2021 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40435F4L8

• 0% buffered Accelerated Market Participation Securities due April 30, 2021 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40435F4N4

• 0% buffered Accelerated Market Participation Securities due April 30, 2021 linked to the iShares MSCI Emerging Markets ETF; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40435F4M6

• 0% buffered Accelerated Market Participation Securities due April 30, 2021 linked to the NYSE FANG+ index; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40435F4V6

• 0% buffered Accelerated Market Participation Securities due April 30, 2021 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40435F4K0

• 0% barrier digital return notes due Dec. 5, 2019 linked to the lesser performing of the Dow Jones Industrial Average and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 31; Cusip: 40435F4S3

• 0% barrier enhanced participation notes due Oct. 31, 2023 linked to the lesser performing of the Dow Jones Industrial Average and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40435F4P9

• 0% buffered Accelerated Market Participation Securities due April 30, 2021 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40435F4J3

• Autocallable barrier notes with contingent return due Oct. 31, 2028 linked to the lesser performing of the S&P 500 index, the Euro Stoxx 50 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 40435F5H6

• 0% buffered Accelerated Market Participation Securities due Nov. 5, 2020 linked to the iShares MSCI Emerging Markets ETF; via HSBC Securities (USA) Inc.; pricing Oct. 31; Cusip: 40435F4H7

• 0% buffered Accelerated Market Participation Securities due Nov. 5, 2020 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 31; Cusip: 40435F4G9

• 0% buffered Accelerated Market Participation Securities due Nov. 5, 2021 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 31; Cusip: 40435F5T0

• 6.45% autocallable yield notes due Feb. 5, 2020 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 31; Cusip: 40435F4R5

• 0% buffered Accelerated Market Participation Securities due Nov. 5, 2020 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 31; Cusip: 40435F4F1

JEFFERIES GROUP LLC

• Senior fixed-rate step-up callable notes due Oct. 17, 2025; via Jefferies LLC; settlement on Oct. 17; Cusip: 47233JBM9

JPMORGAN CHASE FINANCIAL CO. LLC

• Autocallable contingent interest notes due April 17, 2020 linked to the least performing of the Euro Stoxx 50 index, the Russell 2000 index and the S&P 500 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Oct. 12; Cusip: 48130UMD4

• 0% trigger autocallable contingent yield notes due Oct. 15, 2021 linked to the Nikkei 225 index and the Russell 2000 index; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Oct. 12; Cusip: 48130V632

• Autocallable contingent interest notes due Jan. 16, 2020 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Oct. 12; Cusip: 48130UMC6

• 0% capped return enhanced notes due Nov. 15, 2019 linked to an equally weighted basket of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 12; Cusip: 48130U5L5

• Autocallable contingent interest notes due Oct. 20, 2022 linked to the least performing of the common stocks of Berkshire Hathaway Inc., PayPal Holdings, Inc. and Wells Fargo & Co.; via J.P. Morgan Securities LLC; pricing Oct. 15; Cusip: 48130U5R2

• 0% digital buffered equity notes due Oct. 20, 2021 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Oct. 16; Cusip: 48130U2K0

• Autocallable contingent interest notes due Oct. 21, 2021 linked to the least performing of the common stocks of Kellogg Co. and Kimberly-Clark Corp.; via J.P. Morgan Securities LLC; pricing Oct. 16; Cusip: 48130U5H4

• Autocallable contingent interest notes due Jan. 22, 2020 linked to the lesser performing of the Nasdaq-100 index and the S&P 500 index; 65% trigger; via J.P. Morgan Securities LLC; pricing Oct. 16; Cusip: 48130ULC7

• 0% trigger Performance Leveraged Upside Securities due Oct. 22, 2020 linked to the VanEck Vectors Gold Miners ETF; via J.P. Morgan Securities LLC; pricing Oct. 18; Cusip: 48130V665

• Autocallable contingent interest notes due Jan. 29, 2020 linked to the common stock of Amazon.com, Inc.; 65% trigger; via J.P. Morgan Securities LLC; pricing Oct. 24; Cusip: 48130U6S9

• 0% trigger in-digital notes due Dec. 31, 2019 linked to the S&P 500 index; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48130V624

• 0% notes due Oct. 31, 2023 linked to an equally weighted basket of three indexes; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 48130U4E2

• 0% notes due Oct. 31, 2023 linked to an equally weighted basket of three indexes; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 48130U4F9

• 0% notes due Oct. 31, 2023 linked to an equally weighted basket of three indexes; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 48130U4G7

• 0% uncapped contingent buffered return enhanced notes due Oct. 31, 2023 linked to the lesser performing of the Euro Stoxx 50 index and the iShares MSCI EAFE ETF; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 48130U3K9

• 0% uncapped buffered return enhanced notes due Oct. 30, 2020 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 48130UNG6

• 0% uncapped dual directional contingent buffered return enhanced notes due Oct. 29, 2021 linked to the Euro Stoxx 50 index and the iShares MSCI EAFE ETF; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 48130U3C7

• Autocallable contingent interest notes due Oct. 29, 2021 linked to the lesser performing of the Euro Stoxx 50 index, the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 48130U2X2

• 0% notes due Oct. 29, 2021 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 48130U2L8

• 0% notes due Oct. 29, 2021 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48130UNK7

• Autocallable contingent interest notes due April 30, 2020 linked to the lesser performing of the Euro Stoxx 50 index, the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48130U3B9

• Autocallable contingent interest notes due Oct. 31, 2023 linked to the lesser performing of the Invesco QQQ Trust, Series 1, the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 48130U2W4

• Autocallable contingent interest notes due April 9, 2020 linked to the lesser performing of the Invesco QQQ Trust, the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48130U3Q6

• 0% capped buffered return enhanced notes due Oct. 30, 2020 linked to the iShares MSCI EAFE ETF; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 48130UNE1

• 0% capped buffered return enhanced notes due Oct. 30, 2020 linked to the iShares MSCI Emerging Markets ETF; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 48130UNF8

• Autocallable contingent interest notes due Jan. 31, 2020 linked to the lesser performing of the Russell 2000 index, the Euro Stoxx 50 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 48130U2S3

• Autocallable contingent interest notes due April 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: 48130U3G8

• 0% uncapped dual directional contingent buffered return enhanced 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. 31; Cusip: 48130U3F0

• Autocallable contingent interest notes due Jan. 31, 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: 48130U2V6

• 0% capped buffered return enhanced notes due Oct. 30, 2020 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 48130UND3

• 0% uncapped dual directional contingent buffered return enhanced notes due April 29, 2022 linked to the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 48130U3D5

• 0% uncapped buffered return enhanced notes due Oct. 31, 2022 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 48130UNH4

• 0% uncapped contingent buffered return enhanced notes due Oct. 31, 2022 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 48130U3H6

• 0% capped buffered return enhanced notes due April 30, 2021 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48130U2E4

• 0% uncapped contingent buffered return enhanced notes due Oct. 31, 2023 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 48130U3L7

• 0% capped buffered return enhanced notes due Oct. 30, 2020 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 48130UNC5

• 0% uncapped buffered return enhanced notes due Oct. 31, 2023 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: 48130U2G9

• Step-up autocallable notes due Oct. 31, 2025 linked to the S&P Economic Cycle Factor Rotator index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48130U2Q7

• Step-up autocallable notes due Oct. 31, 2025 linked to the S&P Economic Cycle Factor Rotator index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48130U2R5

• Step-up autocallable notes due Oct. 31, 2023 linked to the S&P Economic Cycle Factor Rotator index; via J.P. Morgan Securities LLC; pricing Oct. 31; Cusip: 48130U2P9

MORGAN STANLEY

• Fixed-to-floating notes due Oct. 30, 2028 linked to the 10-year U.S. dollar ICE swap rate; via Morgan Stanley & Co. LLC; pricing Oct. 26; Cusip: 61760QLZ5

MORGAN STANLEY FINANCE LLC

• 0% equity-linked partial principal at risk securities due Oct. 14, 2022 linked to a basket of indexes and an exchange-traded fund; via Morgan Stanley & Co. LLC; pricing Oct. 11; Cusip: 61768DHP3

• 0% buffered Performance Leveraged Upside Securities due April 27, 2020 linked to the Dow Jones Industrial Average; via Morgan Stanley & Co. LLC with Morgan Stanley Wealth Management handling distribution; pricing Oct. 19; Cusip: 61768DGB5

• 0% buffered Performance Leveraged Upside Securities due April 27, 2020 linked to the Dow Jones Industrial Average; via Morgan Stanley & Co. LLC; pricing Oct. 19; Cusip: 61768DGA7

• 0% market-linked notes due Oct. 26, 2021 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Oct. 19; Cusip: 61768DGC3

• 0% market-linked notes due Oct. 26, 2021 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC with Morgan Stanley Wealth Management handling distribution; pricing Oct. 19; Cusip: 61768DFZ3

• Callable contingent income securities due Oct. 24, 2023 linked to the lesser performing of the Russell 2000 index, the Nasdaq-100 index and the Dow Jones Industrial Average; via Morgan Stanley & Co. LLC; pricing Oct. 19; Cusip: 61768DFG5

• 0% buffered Performance Leveraged Upside Securities due Oct. 29, 2021 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Oct. 26; Cusip: 61768DFV2

• 0% buffered Performance Leveraged Upside Securities due Oct. 31, 2023 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Oct. 26; Cusip: 61768DFR1

• 0% buffered jump securities due Oct. 29, 2021 linked to the iShares MSCI Emerging Markets ETF; via Morgan Stanley & Co. LLC; pricing Oct. 26; Cusip: 61768DGN9

• 1% market-linked notes due May 1, 2023 linked to the Morgan Stanley MAP Trend index; via Morgan Stanley & Co. LLC; pricing Oct. 26; Cusip: 61768DHE8

• 0% jump notes with autocallable feature due April 30, 2026 linked to the Morgan Stanley MAP Trend index; via Morgan Stanley & Co. LLC; pricing Oct. 26; Cusip: 61768DGQ2

• Contingent income autocallable securities due April 30, 2020 linked to the worst performing of the Russell 2000 index and the Nasdaq-100 index; via Morgan Stanley & Co. LLC; pricing Oct. 26; Cusip: 61768DGU3

• 0% trigger Performance Leveraged Upside Securities due Oct. 31, 2023 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Oct. 26; Cusip: 61768DGM1

• 0% enhanced buffered jump securities due Oct. 31, 2023 linked to the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Oct. 26; Cusip: 61768DFT7

• Callable buffered range accrual securities due April 30, 2026 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Oct. 26; Cusip: 61768DGF6

• 0% buffered Performance Leveraged Upside Securities due Oct. 29, 2021 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Oct. 26; Cusip: 61768DGP4

• Fixed-to-floating securities due Oct. 31, 2038 linked to the worst performing of the S&P 500 index and the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Oct. 26; Cusip: 61766YDJ7

• 0% trigger gears due Oct. 31, 2023 linked to the S&P 500 index; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Oct. 26; Cusip: 61768T449

• 0% trigger absolute return step securities due Oct. 31, 2023 linked to Euro Stoxx 50 index; via Morgan Stanley & Co. LLC and UBS Financial Services Inc.; pricing Oct. 29; Cusip: 61768T456

• 0% jump securities with autocallable feature due Nov. 2, 2023 linked to the worse performing of the Euro Stoxx 50 index and the Dow Jones Industrial Average; via Morgan Stanley & Co. LLC; pricing Oct. 29; Cusip: 61768DGZ2

• 0% market-linked notes due Nov. 4, 2021 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61768DFW0

• 0% buffered jump securities due Nov. 3, 2023 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61768DFX8

• 0% buffered Performance Leveraged Upside Securities due Nov. 3, 2023 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61768DGS8

• 0% buffered Performance Leveraged Upside Securities due Nov. 5, 2020 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61768DFY6

• 0% buffered jump securities due Nov. 5, 2020 linked to the iShares MSCI Emerging Markets ETF; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61768DGJ8

• 0% market-linked notes due Nov. 3, 2021 linked to the Morgan Stanley ETF-MAP 2 index; via Morgan Stanley & Co. LLC as agent with Morgan Stanley Wealth Management handling distribution; pricing Oct. 31; Cusip: 61768T357

• Contingent income autocallable securities due Feb. 5, 2020 linked to the worst performing of the Russell 2000 index and the Nasdaq-100 index; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61768DGX7

• 0% trigger Performance Leveraged Upside Securities due Nov. 3, 2023 linked to the lesser performing of the Russell 2000 index and the Dow Jones Industrial Average; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61768DGK5

• Contingent income autocallable securities due Nov. 4, 2021 linked to the worst performing of the Russell 2000 index, the S&P 500 index and the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61768DGV1

• 0% jump securities with autocallable feature due Nov. 4, 2021 linked to the worse performing of the Russell 2000 index and the Dow Jones Industrial Average; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61768DGT6

• 0% dual directional trigger Performance Leveraged Upside Securities due Nov. 3, 2023 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61768DGL3

• 0% buffered Performance Leveraged Upside Securities due Nov. 5, 2020 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61768DGG4

• 0% dual directional trigger Performance Leveraged Upside Securities due Nov. 4, 2021 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61768DGH2

• 0% buffered Performance Leveraged Upside Securities due Nov. 3, 2023 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Oct. 31; Cusip: 61768DGR0

• 0% market-linked notes due Nov. 5, 2025 linked to the S&P 500 index; via Morgan Stanley & Co. LLC as agent with Morgan Stanley Wealth Management handling distribution; pricing Oct. 31; Cusip: 61768T381

• 0% leveraged buffered notes due in 19 to 22 months linked to the S&P 500 index; via Morgan Stanley & Co. LLC; Cusip: 61768DFC4

ROYAL BANK OF CANADA

• 0% buffered enhanced return notes due Nov. 14, 2019 linked to the MSCI World index; via RBC Capital Markets, LLC; pricing Oct. 11; Cusip: 78013XM70

• 0% buffered enhanced return notes due Oct. 15, 2020 linked to the MSCI World index; via RBC Capital Markets, LLC; pricing Oct. 11; Cusip: 78013XM88

• 0% Performance Leveraged Upside Securities due Feb. 5, 2020 linked to the Euro Stoxx 50 index; via RBC Capital Markets, LLC, with distribution through Morgan Stanley Wealth Management; pricing Oct. 18; Cusip: 78014G583

• 0% capped gears due Dec. 31, 2019 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and RBC Capital Markets, LLC; pricing Oct. 29; Cusip: 78014G591

• 0% trigger step securities due Oct. 29, 2021 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc.; pricing Oct. 29; Cusip: 78014G617

• 0% market-linked securities with leveraged upside participation and fixed percentage buffered downside due Nov. 7, 2022 linked to the Euro Stoxx 50 index; via Wells Fargo Securities, LLC; pricing Oct. 31; Cusip: 78013XJ82

SUNTRUST BANKS, INC.

• 0% Leveraged Index Return Notes due October 2021 tied to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in October

AB SVENSK EXPORTKREDIT

• 0% Accelerated Return Notes due December 2019 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in October

TORONTO-DOMINION BANK

• Callable step-up notes due Oct. 31, 2020; via TD Securities (USA) LLC; pricing Oct. 26; Cusip: 89114QRQ3

• Autocallable contingent interest barrier notes due Oct. 28, 2021 linked to the shares of Amazon.com, Inc., Facebook, Inc. and Netflix, Inc.; via TD Securities (USA) LLC; pricing Oct. 26; Cusip: 89114QRP5

• Autocallable contingent interest barrier notes due Oct. 28, 2020 linked to the Russell 2000 index and the Euro Stoxx 50 index; via TD Securities (USA) LLC; pricing Oct. 26; Cusip: 89114QRN0

• Autocallable contingent interest barrier notes due April29, 2020 linked to the VanEck Vectors Gold Miners ETF and the SPDR S&P Oil & Gas Exploration & Production ETF; via TD Securities (USA) LLC; pricing Oct. 26; Cusip: 89114QRR1

• 0% leveraged capped buffered 24- to 27-month notes linked to the MSCI EAFE index; via TD Securities (USA) LLC; Cusip: 89114QRF7

• 0% leveraged capped buffered notes with a term of 16 to 19 months linked to the S&P 500 index; via TD Securities (USA) LLC; Cusip: 89114QRG5

UBS AG, LONDON BRANCH

• Trigger autocallable contingent yield notes due Oct. 17, 2023 linked to the lesser performing of the Nasdaq-100 index and the S&P 500 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 12; Cusip: 90281B304

• Trigger callable contingent yield notes with daily coupon observation due Oct. 17, 2025 linked to the least performing of the Russell 2000 index, the Nikkei 225 index and the Euro Stoxx 50 index; via UBS Securities LLC as agent with Morgan Stanley Wealth Management handling distribution; pricing Oct. 12; Cusip: 90270KUU1

• Trigger callable contingent yield notes due Oct. 31, 2023 linked to the least performing of the Russell 2000 index and the S&P 500 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 26; Cusip: 90270KUS6

• 0% capped buffer gears due Oct. 29, 2020 linked to the S&P 500 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 26; Cusip: 90281B270

• 0% capped leveraged notes due in 18 to 21 months linked to a basket of indexes; via UBS Securities LLC; Cusip: 90270KTV1

• 0% capped leveraged buffered notes due in 28 to 31 months linked to a basket of indexes; via UBS Securities LLC; Cusip: 90270KUA5

• 0% capped leveraged buffered notes due in 15 to 17 months linked to a basket of indexes; via UBS Securities LLC; Cusip: 90270KUP2

• 0% capped leveraged notes due in 23 to 26 months linked to the S&P 500 index; via UBS Securities LLC; Cusip: 90270KUQ0

WELLS FARGO & CO.

• Step-up callable notes due Oct. 24, 2033; via Wells Fargo Securities, LLC; pricing Oct. 19; Cusip: 95001D2Z2

• 0% market-linked securities with contingent fixed return and fixed percentage buffered downside due Oct. 31, 2022 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing Oct. 26; Cusip: 95001BA79

• 0% market-linked securities with contingent fixed return and fixed percentage buffered downside due Oct. 29, 2021 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing Oct. 26; Cusip: 95001BA87

• 0% market-linked securities with leveraged upside participation to a cap and contingent downside due Nov. 8, 2021 linked to the iShares MSCI Emerging Markets ETF; via Wells Fargo Securities, LLC; pricing Oct. 30; Cusip: 95001B7L2

• 0% market-linked securities with leveraged upside participation and contingent downside due Nov. 6, 2023 linked to an equity index basket; via Wells Fargo Securities, LLC; pricing Oct. 30; Cusip: 95001BA38

• 0% market-linked securities with contingent fixed return and contingent downside due Nov. 8, 2021 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing Oct. 30; Cusip: 95001B7M0

• 0% 23- to 26-month buffered enhanced return securities with capped upside and buffered downside linked to the S&P 500 index; via Wells Fargo Securities LLC; Cusip: 95000E2R9

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