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Prospect News home > News index > List of issuers B > Headlines for BMO Harris Bank NA > News item

Published on 11/26/2018 in the Prospect News Structured Products Daily.

Structured Products Calendar

BANK OF AMERICA CORP.

• Step-up callable notes due Nov. 30, 2028; via BofA Merrill Lynch; settlement on Nov. 30; Cusip: 06048WYE4

• Step-up callable notes due Nov. 30, 2028; via BofA Merrill Lynch; settlement on Nov. 30; Cusip: 06048WXZ8

BANK OF MONTREAL

• Buffered notes with contingent interest payments due Nov. 30, 2021 linked to the Euro Stoxx 50 index; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06367WEQ2

• Autocallable cash-settled notes with contingent interest payments due Nov. 29, 2019 linked to the lesser performing of the Nasdaq 100 index and the Russell 2000 index; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06367WEF6

• Autocallable barrier notes with contingent coupons due Feb. 28, 2020 linked to the SPDR S&P Oil & Gas Exploration & Production ETF; 75% trigger; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06367WEK5

• Autocallable cash-settled notes with conditional interest payments due Nov. 30, 2021 linked to the lesser performing of the SPDR S&P Oil & Gas Exploration & Production ETF and the VanEck Vectors Gold Miners ETF; 67.5% trigger; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06367WEP4

• 0% buffered bullish enhanced return notes due May 29, 2020 linked to the worst performing of the S&P 500 index and the Russell 2000 index; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06367WEM1

• 0% bullish digital return notes with barrier due Dec. 31, 2019 linked to the lesser performing of the S&P 500 index and the Russell 2000; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06367WEN9

• Autocallable barrier notes with contingent coupons due Feb. 28, 2020 linked to the VanEck Vectors Gold Miners ETF; 75% trigger; via BMO Capital Markets Corp.; pricing Nov. 27; Cusip: 06367WEL3

BANK OF NOVA SCOTIA

• Autocallable market-linked step-up notes due November 2020 linked to the Energy Select Sector index; via BofA Merrill Lynch; pricing in November

• 0% capped Leveraged Index Return Notes due November 2020 linked to the MSCI Emerging Markets index; via BofA Merrill Lynch; pricing in November

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

• Autocallable market-linked step-up notes due November 2021 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

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

BANK OF THE WEST

• 0% market-linked certificates of deposit due Nov. 30, 2023 linked to a basket of six global indexes (Euro Stoxx 50 index with a 40% weight, the FTSE 100 index with a 20% weight, the Nikkei 225 index with a 20% weight, the Swiss Market index with a 7.5% weight, the S&P/ASX 200 index with a 7.5% weight and the Hang Seng index with a 5% weight); via BNP Paribas Securities Corp. as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 06426XXM7

• 0% market-linked certificates of deposit due Nov. 30, 2023 linked to the Euro Stoxx 50 index; via BNP Paribas Securities Corp. as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 06426XXL9

• 0% market-linked certificates of deposit due Dec. 1, 2022 linked to the Morningstar Ultimate Stock-Pickers Target Volatility 7 index; via BNP Paribas Securities Corp. as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 06426XXG0

BARCLAYS BANK PLC

• Phoenix autocallable notes due Dec. 2, 2020 linked to the lesser performing of the Dow Jones industrial average, the Russell 2000 index and the Nasdaq-100 index; via Barclays; pricing Nov. 27; Cusip: 06746XZ22

• 0% autocallable notes due Nov. 28, 2025 linked to the Barclays Trailblazer Sectors 5 index; via Barclays; pricing Nov. 27; Cusip: 06746XXU2

• Phoenix autocallable notes due Nov. 29, 2019 linked to the lesser performing of the Nasdaq-100 index and the Dow Jones industrial average; 75% trigger; via Barclays; pricing Nov. 27; Cusip: 06746XWY5

• Callable contingent coupon notes due Nov. 28, 2025 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; 60% trigger; via Barclays; pricing Nov. 27; Cusip: 06746XX81

• Callable contingent coupon notes due Nov. 30, 2023 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via Barclays; pricing Nov. 27; Cusip: 06746XXG3

• Phoenix autocallable notes due Nov. 30, 2020 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via Barclays; pricing Nov. 27; Cusip: 06746XWX7

• 0% notes due Nov. 30, 2021 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via Barclays; pricing Nov. 27; Cusip: 06746XX40

• 0% capped gears due Jan. 31, 2020 linked to the Russell 2000 index; via UBS Financial Services Inc. and Barclays; pricing Nov. 27; Cusip: 06746V727

• 0% trigger gears due Nov. 30, 2023 linked to the S&P 500 index; via UBS Financial Services Inc. and Barclays; pricing Nov. 27; Cusip: 06746V693

• 0% SuperTrack notes due Jan. 31, 2020 linked to the S&P 500 index; via Barclays; pricing Nov. 27; Cusip: 06746XYX5

• 0% buffered SuperTrack notes due May 28, 2021 linked to the S&P 500 index; via Barclays; pricing Nov. 27; Cusip: 06746XWS8

• 0% dual directional notes due Nov. 30, 2021 linked to the least performing of the S&P 500 index and the Russell 2000 index; via Barclays; pricing Nov. 27; Cusip: 06746XX32

• Buffered phoenix autocallable notes due Nov. 27, 2026 linked to the lesser performing of the S&P 500 index and the Euro Stoxx 50 index; via Barclays; pricing Nov. 27; Cusip: 06746XZ55

• Trigger autocallable contingent yield notes due Nov. 30, 2028 linked to the lesser performing of the MSCI EAFE index and the Russell 2000 index; via UBS Financial Services Inc. and Barclays; pricing Nov. 28; Cusip: 06746V487

• Trigger autocallable contingent yield notes due Nov. 30, 2021 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via UBS Financial Services Inc. and Barclays; pricing Nov. 28; Cusip: 06746V453

• Trigger autocallable contingent yield notes due Nov. 30, 2023 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via UBS Financial Services Inc. and Barclays; pricing Nov. 28; Cusip: 06746V479

• Trigger autocallable contingent yield notes due Nov. 30, 2023 linked to the lesser performing of the S&P MidCap 400 index and the Russell 2000 index; via UBS Financial Services Inc. and Barclays; pricing Nov. 28; Cusip: 06746V461

• 0% dual directional notes due Dec. 2, 2021 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Barclays; pricing Nov. 29; Cusip: 06746XZ63

• Barrier digital notes due Dec. 3, 2021 linked to the least performing of the S&P 500 index and the Russell 2000 index; via Barclays; pricing Nov. 30; Cusip: 06746XYV9

• 0% capped buffer gears due Nov. 30, 2020 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and Barclays; pricing Nov. 28; Cusip: 06746V719

• Callable contingent coupon notes due Dec. 4, 2024 linked to the least performing of the S&P 500 index, the Russell 2000 index and the Dow Jones Industrial Average; via Barclays; pricing Nov. 29; Cusip: 06746XYJ6

• Notes due Sept. 5, 2023 linked to the Barclays Trailblazer Sectors 5 index; via Barclays; pricing Nov. 30; Cusip: 06746XXN8

• Notes due Dec. 3, 2025 linked to the Barclays Trailblazer Sectors 5 index; via Barclays; pricing Nov. 30; Cusip: 06746XXW8

• 0% dual directional notes due Nov. 30, 2020 linked to the lesser performing of the Euro Stoxx 50 index and the iShares MSCI EAFE ETF; via Barclays; pricing Nov. 30; Cusip: 06746XY31

• 0% market-linked securities with leveraged upside participation to a cap and fixed percentage buffered downside due June 7, 2021 linked to the iShares MSCI Emerging Markets ETF; via Barclays; pricing Nov. 30; Cusip: 06746XXD0

• Phoenix autocallable notes due Dec. 4, 2019 linked to the lesser performing of the Nasdaq-100 index and the Dow Jones industrial average; 70% trigger; via Barclays; pricing Nov. 30; Cusip: 06746XY80

• Contingent income autocallable securities due Dec. 3, 2021 linked to the worst performing of the Russell 2000 index and the S&P 500 index; via Barclays as agent with Morgan Stanley Wealth Management handling distribution; pricing Nov. 30; Cusip: 06746XYP2

• 0% trigger jump securities with autocallable feature due Dec. 3, 2021 linked to the common shares of Allergan plc; via Barclays; pricing Nov. 30 Cusip: 06746V560

• 0% market-linked securities – leveraged upside participation to a cap and fixed percentage buffered downside due Dec. 5, 2023 linked to the S&P 500 index; via UBS Financial Services Inc. and Barclays; pricing Nov. 30; Cusip: 06746XXC2

• 0% buffered SuperTrack notes due Nov. 30, 2020 linked to the S&P 500 index; via Barclays; pricing Nov. 30; Cusip: 06746XVD2

• 0% performance leveraged upside securities due Oct. 20, 2024 linked to the S&P 500 index; via Barclays Capital plc; pricing Nov. 30; Cusip: 06746V818

• 0% annual autocallable notes due Nov. 30, 2023 linked to the lesser performing index of the S&P 500 index and the Russell 2000 index; via Barclays; pricing Nov. 30; Cusip: 06746XWC3

• 0% dual directional notes due May 28, 2021 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Barclays; pricing Nov. 30; Cusip: 06746XX65

• 0% notes due Nov. 30, 2021 linked to the lesser performing of the S&P 500 index and the Russell 2000 index with 95% floor; via Barclays; pricing Nov. 30; Cusip: 06746XX73

• 0% Accelerated Return Notes due January 2020 linked to an equally weighted basket of the common stocks of Citigroup Inc., JPMorgan Chase & Co. and Morgan Stanley & Co. LLC; via BofA Merrill Lynch; pricing in November

• 0% Market Index Target-Term Securities due November 2024 linked to the Dow Jones industrial average; via BofA Merrill Lynch; pricing in November

• 0% Accelerated Return Notes due November 2020 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

• Callable contingent coupon notes due Dec. 7, 2023 linked to the lesser performing of the iShares MSCI Emerging Markets ETF, the S&P 500 index and the Russell 2000 index; via Barclays; pricing Dec. 3; Cusip: 06746XYY3

BMO HARRIS BANK NA

• Annual income with minimum interest rate certificates of deposit due Nov. 30, 2022 linked to an equally weighted basket of stocks; via BMO Capital Markets Corp. as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 05581WF42

BOFA FINANCE LLC

• Contingent income autocallable securities due Nov. 30, 2028 linked to the lesser performing of the Euro Stoxx 50 index and the Russell 2000 index; via BofA Merrill Lynch; pricing Nov. 27; Cusip: 09709TLF6

• Contingent income issuer callable notes due Dec. 2, 2020 linked to the worst performing of the Russell 2000 index, the Euro Stoxx 50 index and the S&P 500 index; 70% trigger; via BofA Merrill Lynch; pricing Nov. 27; Cusip: 09709TLB5

• Contingent income autocallable notes due Dec. 1, 2025 linked to the worst performing of the Russell 2000 index and the S&P 500 index; 70% trigger; via BofA Merrill Lynch; pricing Nov. 27; Cusip: 09709TKB6

• 0% notes due Nov. 30, 2021 linked to the S&P 500 index; via BofA Merrill Lynch; pricing Nov. 27; Cusip: 09709TKX8

• Contingent income autocallable securities due May 29, 2026 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via BofA Merrill Lynch; pricing Nov. 27; Cusip: 09709TKF7

• Contingent income autocallable notes due Nov. 30, 2028 linked to the worst performing of the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing Nov. 27; Cusip: 09709TJX0

• 0% notes due Nov. 30, 2023 linked to the S&P 500 Daily Risk Control 10% USD Excess Return index; 70% trigger; via BofA Merrill Lynch; pricing Nov. 27; Cusip: 09709TKK6

• Contingent income issuer callable notes due May 29, 2026 linked to the worse performing of the SPDR S&P Oil & Gas Exploration & Production ETF and the VanEck Vectors Gold Miners ETF; 80% trigger; via BofA Merrill Lynch; pricing Nov. 27; Cusip: 09709TJT9

• 0% leveraged notes due in 19 to 22 months linked to an unequally-weighted basket of indexes consisting of the Euro Stoxx index, Topix index, FTSE 100 index, Swiss Market index, S&P/ASX 200 index; via BofA Merrill Lynch; pricing in November; Cusip: 09709TKT7

• Market-linked step-up notes due November 2023 linked to a basket of indexes (MSCI Emerging Markets index with a weight of 50%, the Euro Stoxx 50 index with a weight of 20%, the FTSE 100 index with a weight of 10%, the Nikkei Stock Average index with a weight of 10%, the Swiss Market index with a weight of 3.75%, the S&P/ASX 200 index with a weight of 3.75% and the Hang Seng index with a weight of 2.5%); via BofA Merrill Lynch; pricing in November

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

• 0% Accelerated Return Notes due in January 2020 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

• 0% Accelerated Return Notes due Jan. 2020; linked to an international equity index basket; via BofA Merrill Lynch; pricing in November

• 0% leveraged notes due in 16 to 18 months linked to a basket of indexes (Euro Stoxx 50 index with a 36% weight, the Topix index with a 27% weight, the FTSE 100 index with a 20% weight, the Swiss Market index with a 9% weight and the S&P/ASX 200 index with an 8% weight); via BofA Merrill Lynch; Cusip: 09709TMP3

CANADIAN IMPERIAL BANK OF COMMERCE

• 0% market-linked securities – autocallable with fixed percentage buffered downside due Dec. 5, 2022 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing Nov. 30; Cusip: 13605WNB3

• 0% market-linked securities with leveraged upside participation to a cap and fixed percentage buffered downside due June 7, 2021 linked to the SPDR S&P 500 ETF trust; via Wells Fargo Securities, LLC; pricing Nov. 30; Cusip: 13605WNA5

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

• 0% capped leveraged buffered notes linked to the S&P 500 index; via CIBC World Markets Corp.; Cusip: 13605WNG2

• 0% capped leveraged buffered notes linked to the S&P 500 index; via CIBC World Markets Corp.; Cusip: 13605WNE7

• 0% capped leveraged buffered notes linked to the S&P 500 index; via CIBC World Markets Corp.; Cusip: 13605WNC1

• 0% capped leveraged buffered notes linked to the S&P 500 index; via CIBC World Markets Corp.; Cusip: 13605WND9

CITIBANK, NA

• 0% autocallable market-linked certificates of deposit due Nov. 30, 2023 linked to the Citi Dynamic Asset Selector 5 Excess Return index; via Citigroup Global Markets Inc. as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 17294XJW7

• 0% autocallable market-linked certificates of deposit due Dec. 3, 2025 linked to the Citi Dynamic Asset Selector 5 Excess Return index; via Citigroup Global Markets Inc. as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 17294XJX5

CITIGROUP GLOBAL MARKETS HOLDINGS INC.

• 0% market-linked certificates of deposit due June 2, 2021 linked to the Citi Dynamic Asset Selector 5 Excess Return index; via Citigroup Global Markets Inc. as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 17294XJQ0

• 0% market-linked certificates of deposit due May 31, 2024 linked to the Citi Dynamic Asset Selector 5 Excess Return index; via Citigroup Global Markets Inc. as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 17294XJS6

• 0% market-linked certificates of deposit due Dec. 3, 2025 linked to the Citi Dynamic Asset Selector 5 Excess Return index; via Citigroup Global Markets Inc. as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 17294XJT4

• 0% market-linked certificates of deposit due June 2, 2022 linked to the Citi Dynamic Asset Selector 5 Excess Return index; via Citigroup Global Markets Inc. as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 17294XJR8

• 0% buffered digital notes due Dec. 2, 2021 linked to the Dow Jones Industrial Average; via Citigroup Global Markets Inc.; pricing Nov. 27; Cusip: 17326YJK3

• Enhanced barrier digital plus securities due Dec. 1, 2022 linked to the Euro Stoxx 50 index; 75% trigger; via Citigroup Global Markets Inc.; pricing Nov. 27; Cusip: 17326YKU9

• 0% market-linked notes due Dec. 2, 2021 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Nov. 27; Cusip: 17326YYU4

• 0% buffered digital plus securities due Nov. 30, 2023 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Nov. 27; Cusip: 17326Y3W4

• Autocallable contingent coupon equity-linked securities due Nov. 30, 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 Nov. 27; Cusip: 17326YLN4

• Autocallable contingent coupon equity-linked securities due June 1, 2020 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; 70% trigger; via Citigroup Global Markets Inc.; pricing Nov. 27; Cusip: 17326YEG7

• 0% buffered digital notes due Nov. 30, 2023 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing Nov. 27; Cusip: 17326YYJ9

• 0% dual directional buffer securities due Nov. 30, 2023 linked to the worse performing of the S&P 500 index and the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Nov. 27; Cusip: 17326YD94

• 0% enhanced barrier digital plus securities due Nov. 30, 2023 linked to the SPDR S&P 500 ETF; via Citigroup Global Markets Inc.; pricing Nov. 27; Cusip:17324XJD3

• Autocallable contingent coupon equity linked securities due June 1, 2020 linked to the S&P 500 index and the Russell 2000 index; 70% trigger; via Citigroup Global Markets Inc.; pricing Nov. 27; Cusip: 17326YEG7

• 0% trigger gears due Nov. 30, 2021 linked to the Russell 2000 index; 75% trigger; via Citigroup Global Markets Inc.; pricing Nov. 27; Cusip: 17326X629

• Autocallable securities due Dec. 5, 2023 linked to the S&P 500 index and the Russell 2000 index; 70% trigger; via Citigroup Global Markets Inc.; pricing Nov. 28; Cusip: 17326YD60

• Autocallable contingent coupon equity-linked securities due Dec. 1, 2023 linked to the lesser performing of the Euro Stoxx 50 index and the S&P 500 index; via Citigroup Global Markets Inc.; pricing Nov. 28; Cusip: 17326YA71

• 0% buffer securities due July 2, 2020 linked to the iShares MSCI EAFE ETF; via Citigroup Global Markets Inc.; pricing Nov. 28; Cusip: 17326Y3Q7

• Market-linked securities – autocallable with contingent coupon and contingent downside due Nov. 30, 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 Nov. 29; Cusip: 17326YT89

• Autocallable contingent coupon equity-linked securities due June 4, 2020 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via Citigroup Global Markets Inc.; pricing Nov. 30; 17326YB47

• Barrier securities due Dec. 5, 2023 linked to the least performing of the Russell 2000 index and the S&P 500 index; 60% trigger; via Citigroup Global Markets Inc.; pricing Nov. 30; Cusip: 17326YX35

• Autocallable contingent coupon equity-linked securities due Dec. 5, 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 Nov. 30; Cusip: 17326Y7B6

• 0% dual directional barrier digital securities due Dec. 5, 2023 linked to the S&P 500 index and the Russell 2000 index; via Citigroup Global Markets Inc.; pricing Nov. 30; Cusip: 17326Y6H4

• Autocallable contingent coupon equity-linked securities due March 5, 2020 linked to the worst performing of the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Nov. 30; Cusip: 17326YRD0

• Autocallable contingent coupon equity-linked securities due Dec. 3, 2021 linked to the worst performing of the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Nov. 30; Cusip: 17326YLY0

• 0% market-linked notes due Dec. 27, 2021 linked to the Euro Stoxx 50 index; via Citigroup Global Markets Inc.; pricing Dec. 21; Cusip: 17326Y7H3

• Autocallable contingent coupon equity-linked securities due Dec. 27, 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 Dec. 21; Cusip: 17326YHR0

• Autocallable contingent coupon equity-linked securities due Jan. 2, 2024 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 Dec. 27; Cusip: 17326YWT9

• 0% buffered index-linked notes due in 20 to 23 months linked to the MSCI EAFE index; via Citigroup Global Markets Inc.; Cusip: 17326YHG4

• 0% buffered index-linked notes due in 16 to 18 months linked to the S&P 500 index; via Citigroup Global Markets Inc.; Cusip: 17326YN51

• 0% buffered digital notes due in 25 to 28 months linked to the S&P 500 index; via Citigroup Global Markets Inc.; Cusip: 17326YSQ0

• 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: 17326YSF4

CREDIT SUISSE AG, LONDON BRANCH

• Contingent coupon autocallable reverse convertible securities due Nov. 30, 2021 linked to the least performing of the common stocks of Amazon.com Inc., Facebook, Inc., Alphabet, Inc. and Netflix, Inc.; 60% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22549JZA1

• 0% digital plus CS notes due Dec. 3, 2024 linked to the FTSE 100 index; via Credit Suisse Securities (USA) LLC; priding Nov. 27; Cusip: 22551LK66

• 6.5% contingent coupon autocallable yield notes due Nov. 30, 2022 linked to the lowest performing of the Nasdaq-100 index and the Russell 2000 index; via Incapital LLC; pricing Nov. 27; Cusip: 22551LK74

• 0% trigger absolute return step securities due Nov. 30, 2023 linked to the S&P 500 index; via UBS Financial Services Inc. as distributor; pricing Nov. 27; Cusip: 22549R821

• 7.25% to 9.25% contingent coupon autocallable yield notes due Feb. 28, 2020 linked to the lowest performing of the S&P 500 index and the Nasdaq-100 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22551LHJ2

• 0% buffered accelerated return equity securities due Jan. 2, 2020 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22551LHX1

• 7.25% to 9.25% contingent coupon autocallable yield notes due Feb. 28, 2020 linked to the lowest performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 22551LHB9

• Autocallable contingent income securities due Dec. 2, 2020 linked to the least performing of the SPDR S&P Biotech ETF, the SPDR S&P Bank ETF and the Technology Select Sector SPDR fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 27; Cusip: 61768DRT4

• Callable step-up securities due Nov. 30, 2021; via Credit Suisse Securities (USA) LLC; pricing Nov. 28; Cusip: 22551LJB7

• 0% trigger step securities due Nov. 30, 2021 linked to the Euro Stoxx 50 index; 75% trigger; via UBS Financial Services Inc.; pricing Nov. 28; Cusip: 22551LKC3

• 0% trigger jump securities due Dec. 3, 2021 linked to the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22549R722

• 0% absolute return barrier securities due Dec. 5, 2023 linked to the lowest performing of the iShares MSCI Emerging Markets fund and the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22551LJT8

• Contingent coupon autocallable yield notes due March 5, 2020 linked to the worse performing of the S&P 500 index and the Euro Stoxx 50 index; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22551LJL5

• Callable contingent income securities due Dec. 3, 2021 linked to the lesser performing of the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; via Credit Suisse Securities (USA) LLC as agent with Morgan Stanley Wealth Management handling distribution; pricing Nov. 30; Cusip: 22551LLK4

• 5.75% to 7.75% contingent coupon callable yield notes due Dec. 5, 2023 linked to the lowest performing of the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip: 22551LJD3

• 0% absolute return digital barrier securities due June 15, 2022 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Dec. 10; Cusip: 22551LL57

• 0% leveraged buffered notes due in 25 to 28 months linked to a basket of indexes (Euro Stoxx 50 index with a 36% weight, the Topix index with a 27% weight, the FTSE 100 index with a 20% weight, the Swiss Market index with a 9% weight and the S&P/ASX 200 index with an 8% weight); via Credit Suisse Securities (USA) LLC; Cusip: 22551LKF6

• 0% digital buffered notes due in 16 to 18 months linked to the MSCI EAFE index; via Credit Suisse Securities (USA) LLC; Cusip: 22551LKX7

GOLDMAN SACHS BANK USA

• 0% certificates of deposit due March 3, 2021 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co. with Incapital LLC as distributor; pricing Nov. 27; Cusip: 38148RPQ0

• 0% certificates of deposit due June 2, 2022 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co. with Incapital LLC as distributor; pricing Nov. 27; Cusip: 38148RPP2

• 0% certificates of deposit due June 2, 2022 linked to the Motif Capital National Defense 7 ER index; via Goldman Sachs & Co. with Incapital LLC as distributor; pricing Nov. 27; Cusip: 38148RPF4

• 0% certificates of deposit due March 2, 2023 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co. with Incapital LLC as distributor; pricing Nov. 27; Cusip: 38148RPJ6

• 1.5% certificates of deposit due Nov. 27, 2023 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co. with Incapital LLC as distributor; pricing Nov. 27; Cusip: 38148RPV9

• 0% certificates of deposit due March 1, 2024 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co. with Incapital LLC as distributor; pricing Nov. 27; Cusip: 38148RPK3

• 0% certificates of deposit due Dec. 3, 2024 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co. with Incapital LLC as distributor; pricing Nov. 27; Cusip: 38148RPL1

• 0% certificates of deposit due Sept. 2, 2025 linked to the Motif Capital National Defense 7 ER index; via Goldman Sachs & Co. with Incapital LLC as distributor; pricing Nov. 27; Cusip: 38148RPG2

• 0% certificates of deposit due June 2, 2022 linked to the Motif Capital Aging of America 7 ER index; via Goldman Sachs & Co. as underwriter with Incapital LLC as distributor; pricing Nov. 27; Cusip: 38148RPD9

• 0% certificates of deposit due Sept. 2, 2025 linked to the Motif Capital Aging of America 7 ER index; via Goldman Sachs & Co. with Incapital LLC as distributor; pricing Nov. 27; Cusip: 38148RPE7

• 2.25% certificates of deposit due Nov. 26, 2025 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co. with Incapital LLC as distributor; pricing Nov. 27; Cusip: 38148RPH0

• 0% certificates of deposit due Nov. 28, 2025 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co. with Incapital LLC as distributor; pricing Nov. 27; Cusip: 38148RPN7

• 0% autocallable certificates of deposit due Dec. 12, 2025 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co. with Incapital LLC as distributor; pricing Nov. 27; Cusip: 38148RPY3

• 0% autocallable certificates of deposit due Dec. 11, 2028 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co. with Incapital LLC as distributor; pricing Nov. 27; Cusip: 38148RQG1

• 0% autocallable certificates of deposit due Dec. 11, 2028 linked to the Motif Capital Aging of America 7 ER index; via Goldman Sachs & Co. with Incapital LLC as distributor; pricing Nov. 27; Cusip: 38148RQ30

• 0% autocallable certificates of deposit due Dec. 11, 2028 linked to the Motif Capital National Defense 7 ER index; via Goldman Sachs & Co. with Incapital LLC as distributor; pricing Nov. 27; Cusip: 38148RQF3

GS FINANCE CORP.

• 0% autocallable notes due Dec. 12, 2025 linked to the Motif Capital Aging of America 7 ER index; via Goldman Sachs & Co.; pricing Nov. 27; Cusip: 40056EDE5

• 0% autocallable notes due Dec. 11, 2028 linked to the Motif Capital National Defense 7 ER index; via Goldman Sachs & Co.; pricing Nov. 27; Cusip: 40056EDG0

• 0% leveraged buffered notes due Nov. 30, 2023 linked to the MSCI EAFE index; via Goldman Sachs & Co. LLC; pricing Nov. 27; Cusip: 40056ED39

• 0% digital notes due Dec. 2, 2021 linked to the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Nov. 27; Cusip: 40056ED47

• 0% leveraged buffered index-linked notes due Nov. 30, 2023 tied to the Russell 2000 index; via Goldman Sachs & Co.; pricing Nov. 27; Cusip: 40056EBY3

• 4.5% fixed coupon buffered notes due Nov. 30, 2021 linked to the Russell 2000 index; via Goldman Sachs & Co. LLC; pricing Nov. 27; Cusip: 40056ECZ9

• 4.25% fixed-coupon buffered notes due Nov. 30, 2023 linked to the Russell 2000 index; via Goldman Sachs & Co.; pricing Nov. 27; Cusip: 40056EG69

• 0% digital notes due Dec. 2, 2020 linked to the S&P 500 index; via Goldman Sachs & Co. LLC; pricing Nov. 27; Cusip: 40056ED21

• Autocallable contingent coupon notes due Dec. 4, 2028 linked to the lesser performing of the S&P 500 index and the Euro Stoxx 50 index; via Goldman Sachs & Co.; pricing Nov. 27; Cusip: 40056EF86

• Autocallable contingent coupon notes due June 3, 2020 linked to the lesser performing of the S&P 500 index, the Euro Stoxx 50 index and the Russell 2000 index; via Goldman Sachs & Co.; pricing Nov. 27; Cusip: 40056EEB0

• Callable contingent coupon notes due Nov. 30, 2023 linked to the least performing of the S&P 500 index and the Russell 2000 index; 60% trigger; via Goldman Sachs & Co. LLC; pricing Nov. 27; Cusip: 40056EFE3

• Callable contingent coupon notes due Nov. 30, 2023 linked to the least performing of the S&P 500 index, the Russell 2000 index and the Dow Jones industrial average 60% trigger; via Goldman Sachs & Co. LLC; pricing Nov. 27; Cusip: 40056EFH6

• Autocallable contingent coupon notes due Dec. 4, 2028 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co.; pricing Nov. 27; Cusip: 40056EF94

• Autocallable contingent coupon notes due June 3, 2020 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co.; pricing Nov. 27; Cusip: 40056EEE4

• Buffered notes due Nov. 30, 2023 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 27; Cusip: 40056EE79

• Autocallable contingent coupon notes due Dec. 5, 2028 linked to the least performing of the Euro Stoxx 50 index, the Russell 2000 index and the S&P 500 index; 50% trigger; via Goldman Sachs & Co.; pricing Nov. 28; Cusip: 40056EDL9

• Autocallable contingent coupon notes due Dec. 5, 2023 linked to the least performing of the Euro Stoxx 50 index and the S&P 500 index; 70% trigger; via Goldman Sachs & Co.; pricing Nov. 28; Cusip: 40056EDJ4

• Autocallable contingent coupon notes due Dec. 5, 2028 linked to the lesser performing of the Euro Stoxx 50 index and the S&P 500 index; 55% trigger; via Goldman Sachs & Co.; pricing Nov. 28; Cusip: 40056EDK1

• Callable contingent coupon notes due Dec. 5, 2022 linked to the Russell 2000 index, the iShares MSCI EAFE ETF and the SPDR S&P Oil & Gas Exploration & Production ETF; via Goldman Sachs & Co.; pricing Nov. 28; Cusip: 40056EH50

• Callable contingent coupon notes due Nov. 30, 2028 linked to the least performing of the Nasdaq 100 index and the Russell 2000 index; 60% trigger; via Goldman Sachs & Co.; pricing Nov. 28; Cusip: 40056EDT2

• Callable monthly range accrual notes due Nov. 30, 2028 linked to the Russell 2000 index; via Goldman Sachs & Co.; pricing Nov. 28; Cusip: 40056EEW4

• Callable monthly range accrual notes due May 30, 2026 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Nov. 28; Cusip: 40056EF78

• Callable buffered monthly range accrual notes due Nov. 30, 2024 linked to the Russell 2000; via Goldman Sachs & Co. LLC; pricing Nov. 28; Cusip: 40056EEV6

• Callable contingent coupon notes due Nov. 30, 2028 linked to the least performing of the Russell 2000 index and the Nasdaq-100 index; via Goldman Sachs & Co.; pricing Nov. 28; Cusip: 40056EFF0

• Callable contingent coupon notes due Nov. 30, 2028 linked to the least performing of the S&P 500 index and the Euro Stoxx 50 index; via Goldman Sachs & Co.; pricing Nov. 28; Cusip: 40056EFK9

• Autocallable contingent coupon notes due Dec. 7, 2020 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; 70% trigger; via Goldman Sachs & Co.; pricing Nov. 28; Cusip: 40056EDM7

• Callable contingent coupon notes due Nov. 30, 2028 linked to the least performing of the S&P 500 index and the Russell 2000 index; 55% trigger; via Goldman Sachs & Co.; pricing Nov. 28; Cusip: 40056EDS4

• Callable contingent coupon notes due Nov. 30, 2028 linked to the least performing of the S&P 500 index and the Russell 2000 index; 55% trigger; via Goldman Sachs & Co. LLC; pricing Nov. 28; Cusip: 40056EFD5

• Callable contingent coupon notes due Nov. 30, 2023 linked to the least performing of the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; 60% trigger; via Goldman Sachs & Co. LLC; pricing Nov. 28; Cusip: 40056EFL7

• 0% notes due Dec. 5, 2023 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co.; pricing Nov. 30; Cusip: 40056EFX1

• 0% autocallable notes due Dec. 18, 2023 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co. LLC; pricing Nov. 30; Cusip: 40056EFR4

• 0% trigger jump securities due Dec. 3, 2021 linked to the iShares MSCI EAFE exchange-traded fund; via Goldman Sachs & Co. as agent with Morgan Stanley Wealth Management handling distribution; pricing Nov. 30; Cusip: 36256M601

• 0% ETF-linked notes due June 3, 2022 linked to the iShares MSCI EAFE exchange-traded fund and the iShares MSCI Emerging Markets exchange-traded fund; via Goldman Sachs & Co.; pricing Nov. 30; Cusip: 40056EFS2

• 0% buffered Performance Leveraged Upside Securities due June 3, 2021 linked to the iShares MSCI Emerging Markets exchange-traded fund; via Goldman Sachs & Co.; pricing Nov. 30; Cusip: 36256M510

• 0% autocallable notes due Dec. 18, 2023 linked to the Motif Capital National Defense 7 ER index; via Goldman Sachs & Co. LLC; pricing Nov. 30; Cusip: 40056EFV5

• 0% notes due Dec. 3, 2021 linked to the Motif Capital National Defense 7 ER index; via Goldman Sachs & Co. LLC; pricing Nov. 30; Cusip: 40056EFT0

• 0% index-linked notes due June 3, 2022 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; 70% trigger; via Goldman Sachs & Co. LLC; pricing Nov. 30; Cusip: 40056EFQ6

• 0% leveraged buffered notes due Dec. 3, 2020 linked to the S&P 500 index; via Goldman Sachs & Co. LLC; pricing Nov. 30; Cusip: 40056EG36

• 0% leveraged buffered notes due Dec. 5, 2023 linked to the S&P 500 index; via Goldman Sachs & Co. LLC; pricing Nov. 30; Cusip: 40056EG44

• Autocallable contingent coupon notes due June 8, 2020 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; 70% trigger; via Goldman Sachs & Co. LLC; pricing Nov. 30; Cusip: 40056EDQ8

• Callable contingent coupon notes due Dec. 5, 2023 linked to the least performing of the S&P 500 index and the Russell 2000 index; 60% trigger; via Goldman Sachs & Co. LLC; pricing Nov. 30; Cusip: 40056EFY9

• 0% index-linked notes due Dec. 5, 2023 tied to the S&P 500 index and the Russell 2000 index; via Goldman Sachs & Co.; pricing Nov. 30; Cusip: 40056EFU7

• 0% leveraged notes due Dec. 5, 2023 linked to a basket of indexes and an exchange-traded fund (S&P 500 index with a 40% weight, the Russell 2000 index with a 20% weight, the Euro Stoxx 50 index with a 20% weight and the iShares MSCI Emerging Markets ETF with a 20% weight); via Goldman Sachs & Co.; pricing Nov. 30; Cusip: 40056EFZ6

• 0% buffered Performance Leveraged Upside Securities due June 3, 2021 linked to the Topix index; via Goldman Sachs & Co.; pricing Nov. 30; Cusip: 36256M528

• Autocallable market-linked step-up notes due November 2021 linked to the Euro Stoxx 50 index; via BofA Merrill Lynch; pricing in November

• Market-linked step-up notes due November 2020 linked to a basket of indexes; via BofA Merrill Lynch; pricing in November

• Autocallable market-linked step-up notes due November 2021 linked to a basket of indexes; via BofA Merrill Lynch; pricing in November

• 0% leveraged buffered notes due June 8, 2021 linked to the Euro Stoxx 50 index; via Goldman Sachs & Co. LLC; pricing Dec. 3; Cusip: 40056EC63

• 0% autocallable notes due Dec. 17, 2025 linked to the GS Momentum Builder Multi-Asset 5S ER index; via Goldman Sachs & Co.; pricing Dec. 3; Cusip: 40056EC89

• 0% buffered notes due Dec. 8, 2022 linked to the iShares MSCI Emerging Markets ETF; via Goldman Sachs & Co. LLC; pricing Dec. 3; Cusip: 40056EBZ0

• Callable contingent coupon notes due Dec. 6, 2024 linked to the least performing of the Russell 2000 index and the S&P 500 index; via Goldman Sachs & Co.; pricing Dec. 3; Cusip: 40056EBX5

• 0% leveraged buffered notes due Dec. 7, 2023 linked to the S&P 500 index; via Goldman Sachs & Co. LLC; pricing Dec. 3; Cusip: 40056EC48

• 0% autocallable notes due Dec. 24, 2025 linked to the GS Momentum Builder Multi-Asset 5 ER index; via Goldman Sachs & Co.; pricing Dec. 10; Cusip: 40056EHL5

• 0% autocallable notes due Dec. 24, 2025 linked to the GS Momentum Builder Multi-Asset 5 ER index; via Goldman Sachs & Co.; pricing Dec. 10; Cusip: 40056EHM3

• Autocallable contingent coupon notes due June 17, 2020 linked to the lesser performing of the S&P 500 index, the Dow Jones Industrial Average and the Russell 2000 index; via Goldman Sachs & Co.; pricing Dec. 10; Cusip: 40056EHR2

• Autocallable contingent coupon notes due June 17, 2020 linked to the lesser performing of the S&P 500 index, the Euro Stoxx 50 index and the Russell 2000 index; via Goldman Sachs & Co.; pricing Dec. 10; Cusip: 40056EHQ4

• 0% leveraged buffered notes due Dec. 15, 2020 linked to the S&P 500 index; via Goldman Sachs & Co.; pricing Dec. 10; Cusip: 40056EHS0

• 0% autocallable index-linked notes due Dec. 18, 2023 tied to the S&P 500 index, the Dow Jones Industrial Average and the Russell 2000 index; via Goldman Sachs & Co.; pricing Dec. 10; Cusip: 40056EHU5

• 0% leveraged notes due in 36 months linked to a basket of indexes (Euro Stoxx 50 index with a 36% initial weight, the Topix index with a 27% initial weight, the FTSE 100 index with a 20% initial weight, the Swiss Market index with a 9% initial weight and the S&P/ASX 200 index with an 8% initial weight); via Goldman Sachs & Co.; Cusip: 40056EGW2

• 0% digital notes due in 18 to 21 months linked to the MSCI EAFE index; via Goldman Sachs & Co.; Cusip: 40056EFN3

• 0% leveraged buffered notes due in 24 to 27 months linked to the Russell 2000 index; via Goldman Sachs & Co.; Cusip: 40056ED70

• 0% leveraged buffered notes due in 24 to 27 months linked to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 40056EFG8

GOLDMAN SACHS GROUP, INC.

• Callable step-up fixed-rate notes due November 2028; via Goldman Sachs & Co.; pricing in November; Cusip: 38150ABS3

• Callable step-up fixed-rate notes due November 2023; via Goldman Sachs & Co.; pricing in November; Cusip: 38150ABT1

HSBC BANK USA, NA

• 0% autocallable certificates of deposit due Dec. 1, 2025 linked to the HSBC Vantage5 Index (USD) Excess Return; via HSBC Securities (USA) Inc. as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 38148RQG1

HSBC USA, INC.

• 0% barrier enhanced participation notes due Nov. 30, 2023 linked to the lesser performing of the Dow Jones Industrial Average and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435F7J0

• 0% buffered digital notes due Nov. 30, 2021 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435F6T9

• 0% buffered Accelerated Market Participation Securities due June 1, 2021 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435F7F8

• 0% buffered uncapped market participation securities due June 1, 2021 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435F7H4

• 0% buffered uncapped market participation securities due Nov. 30, 2023 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435F6V4

• Zero-coupon 5% limited loss notes due Nov. 30, 2020 linked to the HSBC Vantage5 Index (USD) Excess Return; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435UAC8

• 0% buffered Accelerated Market Participation Securities due June 1, 2021 linked to the iShares MSCI Emerging Markets ETF; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435F7E1

• 0% buffered Accelerated Market Participation Securities due June 1, 2021 linked to the NYSE FANG+ index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435F7L5

• 0% buffered Accelerated Market Participation Securities due June 1, 2021 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435F7D3

• Contingent income autocallable securities due Nov. 30, 2028 linked to the worst performing of the Russell 2000 index, the S&P 500 index and the Euro Stoxx 50 index; 70% trigger; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435UAS3

• Autocallable contingent income barrier securities due Nov. 30, 2028 linked to the worst performing of the Russell 2000 index, the S&P 500 index and the Dow Jones industrial average; 75% trigger; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435UAR5

• 0% trigger step securities due Nov. 30, 2022 linked to the S&P 500 index; 70% trigger; via UBS Financial Services Inc. and HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40436A784

• 0% market-linked notes due Nov. 30, 2021 linked to the S&P 500 index; via HSBC Securities (USA) Inc. and UBS Financial Services Inc.; pricing Nov. 27; Cusip: 40435UAX2

• 0% buffered Accelerated Market Participation Securities due June 1, 2021 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435F7C5

• 0% buffered uncapped market participation securities due Nov. 30, 2023 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435F6W2

• 0% barrier digital return notes due Dec. 30, 2019 linked to the least performing of the S&P 500 index, the Euro Stoxx 50 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435UAB0

• Autocallable barrier notes with contingent return due Nov. 30, 2023 linked to the lesser performing of the S&P 500 index, the Nasdaq-100 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435UAM6

• 0% digital dual directional barrier securities due Dec. 5, 2023 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435F6R3

• 0% of performance allocator notes due Nov. 30, 2023 linked to three baskets of regional indexes (U.S. basket consists of the S&P 500 index and the Russell 2000 index; Europe basket consists of the Euro Stoxx 50 index and the FTSE 100 index; Asia Pacific basket consists of the S&P/ASX 200 index and the Nikkei 225 index; each with 50% weight within respective baskets); via HSBC Securities (USA) Inc.; pricing Nov. 27; Cusip: 40435F6Q5

• 0% barrier digital return notes due Jan. 6, 2020 linked to the lesser performing of the Dow Jones Industrial Average and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435UAA2

• 0% buffered uncapped market participation securities due Dec. 7, 2020 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435F7G6

• 0% trigger jump securities due Dec. 3, 2020 linked to the common stock of Facebook, Inc.; via HSBC Securities (USA) Inc. as agent with distribution through Morgan Stanley Wealth Management; pricing Nov. 30; Cusip: 40436A768

• 0% dual directional barrier securities due Dec. 6, 2021 linked to the lesser performing of the iShares MSCI EAFE exchange-traded fund and the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435F6U6

• 0% buffered Accelerated Market Participation Securities due Dec. 7, 2020 linked to the iShares MSCI Emerging Markets ETF; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435F7B7

• 0% buffered Accelerated Market Participation Securities due Dec. 7, 2020 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435F7A9

• Callable notes with contingent return due Dec. 5, 2023 linked to the least performing of the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435UBE3

• 0% buffered uncapped market participation securities due Dec. 6, 2021 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435F6X0

• 0% buffered uncapped market participation securities due Dec. 5, 2022 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435F6Y8

• 0% buffered Accelerated Market Participation Securities due Dec. 7, 2020 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435F6Z5

• Autocallable barrier notes with contingent return due Dec. 5, 2023 linked to the lesser performing of the S&P 500 index, the Nasdaq-100 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435UAN4

• 7.5% autocallable yield notes due March 5, 2020 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435F7M3

• 0% barrier uncapped participation notes due Dec. 5, 2023 linked to a basket of three indexes and an exchange-traded fund (S&P 500 index with a 40% weight, the Russell 2000 index with a 20% Euro Stoxx 50 index with a 20% weight and the iShares MSCI Emerging Markets ETF with a 20% weight); via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 40435F7K7

• 0% Leveraged Index Return Notes due November 2023 linked to the Dow Jones industrial average; via BofA Merrill Lynch; pricing in November

• Autocallable market-linked step-up notes due November 2021 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in November

• Autocallable market-linked step-up notes due November 2023 linked to the Russell 2000 index; via BofA Merrill Lynch; pricing in November

• Autocallable market-linked step-up notes due November 2024 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

• Autocallable market-linked step-up notes due November 2023 linked to a basket of indexes; via BofA Merrill Lynch; pricing in November

JEFFERIES GROUP LLC

• Senior fixed-rate step-up callable notes due May 23, 2022; via Jefferies LLC; pricing Nov. 23; Cusip: 47233JBP2

JPMORGAN CHASE BANK, NA

• Digital contingent coupon certificates of deposit due Nov. 28, 2025 linked to an equally-weighted basket of stocks including Altria Group, Inc., Apple Inc., AT&T Inc., Caterpillar Inc., Chevron Corp., Cisco Systems, Inc., Exxon Mobil Corp., Ford Motor Co., Merck & Co., Inc. and Verizon Communications Inc.; via J.P. Morgan Securities LLC as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 48128FK84

• 0% certificates of deposit due May 28, 2021 linked to the J.P. Morgan Meridian index; via J.P. Morgan Securities LLC as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 48128FM82

• Variable annual income certificates of deposit due Nov. 28, 2025 linked to the J.P. Morgan Efficiente Plus DS 5 index (Net ER); via J.P. Morgan Securities LLC as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 48128FH54

• 0% certificates of deposit due May 28, 2021 linked to the J.P. Morgan Efficiente Plus DS 5 index (Net ER); via J.P. Morgan Securities LLC as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 48128FN81

• 0% certificates of deposit due May 31, 2022 linked to the J.P. Morgan Efficiente Plus DS 5 index (Net ER); via J.P. Morgan Securities LLC as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 48128FN99

• 0% certificates of deposit due Nov. 30, 2023 linked to the J.P. Morgan Efficiente Plus DS 5 index (Net ER); via J.P. Morgan Securities LLC as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 48128FP22

• 0% capped certificates of deposit due Nov. 28, 2025 linked to the S&P 500 index; via J.P. Morgan Securities LLC as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 48128FH39

• 0% certificates of deposit due Nov. 28, 2025 linked to the J.P. Morgan Efficiente Plus DS 5 index (Net ER); via J.P. Morgan Securities LLC as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 48128FP30

• Certificates of deposit due Nov. 28, 2025 linked to the J.P. Morgan Efficiente Plus DS 5 index (Net ER); via J.P. Morgan Securities LLC as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 48128FH88

• 0% autocallable certificates of deposit due Nov. 28, 2025 with step-up call value linked to the J.P. Morgan Efficiente Plus DS 5 Index (Net ER); via J.P. Morgan Securities LLC as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 48128FJ45

• Certificates of deposit with contingent annual interest due Nov. 28, 2025 linked to the J.P. Morgan Efficiente Plus DS 5 Index (Net ER); via J.P. Morgan Securities LLC as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 48128FH62

• 0% autocallable certificates of deposit due Nov. 30, 2028 with step-up call value linked to the J.P. Morgan Efficiente Plus DS 5 Index (Net ER); via J.P. Morgan Securities LLC as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 48128FJ78

• 0% capped quarterly observation certificates of deposit due Nov. 30, 2022 linked to the S&P 500 index; via J.P. Morgan Securities LLC as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 48128FG63

JPMORGAN CHASE FINANCIAL CO. LLC

• 0% notes due Nov. 30, 2021 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48130UR80

• 0% step-up autocallable contingent buffered equity notes due Nov. 30, 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 Nov. 27; Cusip: 48130UW92

• 0% contingent buffered return enhanced notes due Nov. 30, 2023 linked to the lesser performing of the Euro Stoxx 50 index and the iShares MSCI EAFE ETF; 50% trigger; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48130US71

• 0% step-up autocallable contingent buffered equity notes due Nov. 30, 2023 linked to the lesser performing of the Euro Stoxx 50 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48130UW84

• 0% dual directional contingent buffered return enhanced notes due Nov30, 2021 linked to the lesser performing of the iShares MSCI EAFE ETF and the Euro Stoxx 50 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48130US30

• 0% dual directional contingent buffered return enhanced notes due Nov. 30, 2023 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 Nov. 27; Cusip: 48130US22

• 0% autocallable notes due Dec. 2, 2021 linked to the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48130UPJ8

• 0% contingent buffered return enhanced notes due Nov. 30, 2023 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; 50% trigger; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48130US97

• 0% dual directional contingent buffered return enhanced notes due Nov. 30, 2022 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 Nov. 27; Cusip: 48130US48

• Autocallable contingent interest notes due May 29, 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 J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48130UV44

• Autocallable contingent interest notes due Feb. 28, 2020 linked to the least performing of the S&P 500 index and the Russell 2000 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48130UV36

• 8.25% contingent coupon autocallable yield notes due April 30, 2021 linked to the lowest performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48130UPH2

• 0% step-up autocallable contingent buffered equity notes due Nov. 30, 2023 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48130UW68

• 0% step-up autocallable buffered equity notes due Nov. 28, 2025 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48130UX26

• Autocallable contingent interest notes due Nov. 30, 2023 linked to the least performing of the S&P 500 index, the Russell 2000 index and the Invesco QQQ Trust; 70% trigger; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 8130UV69

• 0% step-up autocallable notes due Nov. 30, 2023 linked to the S&P Economic Cycle Factor Rotator index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48130UU60

• 0% notes due Nov. 28, 2025 linked to the S&P Economic Cycle Factor Rotator index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48130UU29

• 0% notes due Nov. 30, 2021 linked to the S&P Economic Cycle Factor Rotator index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48130US63

• 0% step-up autocallable notes due Nov. 28, 2025 linked to the S&P Economic Cycle Factor Rotator index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48130UU86

• 0% step-up autocallable notes due Nov. 28, 2025 linked to the S&P Economic Cycle Factor Rotator index; via J.P. Morgan Securities LLC; pricing Nov. 27; Cusip: 48130UU94

• Autocallable contingent interest notes due Dec. 2, 2021 linked to the least performing of the S&P 500 index and the Russell 2000 index; pricing Nov. 29; Cusip: 48130WAK7

• 6.25% autocallable contingent interest notes due Dec. 4, 2019 linked to the least performing of the S&P 500 index, the Euro Stoxx 50 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 29; Cusip: 48130WDN8

• 0% review notes due Dec. 4, 2024 linked to the worst performing of the S&P 500 index, the Russell 2000 index and the Dow Jones Industrial Average; via J.P. Morgan Securities LLC; pricing Nov. 29; Cusip: 48130WBS9

• 0% notes due Nov. 30, 2021 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130WAJ0

• 0% uncapped contingent buffered return enhanced notes due Nov. 30, 2023 linked to the lesser performing of the iShares MSCI EAFE ETF and the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UY58

• 0% market-linked notes due Dec. 5, 2023 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130V426

• 0% buffered return enhanced notes due May 29, 2020 linked to the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UU37

• 0% notes due Nov. 30, 2023 linked to an equally-weighted basket of the Russell 2000 index and the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130WAC5

• 0% autocallable contingent buffered equity notes due Nov. 30, 2023 linked to the lesser performing of the Euro Stoxx 50 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UV77

• 10% to 12% autocallable contingent interest notes due Dec. 6, 2019 linked to the least performing of the S&P 500 index, the Euro Stoxx 50 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UT88

• 8.5% to 10.5% autocallable contingent interest notes due Dec. 6, 2019 linked to the least performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UU45

• 8% to 10% autocallable contingent interest notes due Dec. 6, 2019 linked to the least performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UU52

• 0% buffered return enhanced notes due May 29, 2020 linked to the iShares MSCI EAFE ETF; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UT96

• 0% buffered return enhanced notes due Nov. 30, 2020 linked to the iShares MSCI EAFE ETF; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UR64

• 0% uncapped contingent buffered return enhanced notes due Nov. 30, 2022 linked to the lesser performing of the iShares MSCI EAFE ETF and the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UY41

• 0% dual directional contingent buffered return enhanced notes due Nov. 30, 2021 linked to the lesser performing of the iShares MSCI EAFE ETF and the Euro Stoxx 50 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UV85

• 0% buffered return enhanced notes due Nov. 30, 2020 linked to the iShares MSCI Emerging Markets ETF; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UR72

• 0% digital notes due Dec. 31, 2019 linked to the worst performing of the Nasdaq-100 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130WAA9

• 0% buffered return enhanced notes due May 29, 2020 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UT70

• 0% buffered return enhanced notes due Nov. 30, 2020 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UR56

• 7.75% to 9.75% autocallable yield notes due Feb. 28, 2020 linked to the worst performing of the Russell 2000 index and the S&P 500 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UX34

• 0% uncapped dual directional buffered return enhanced notes due Nov. 30, 2022 linked to the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UY90

• 0% uncapped buffered equity notes due Nov. 30, 2023 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UY74

• 0% dual directional contingent buffered return enhanced notes due Nov. 30, 2023 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; 60% trigger; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UW76

• 0% dual directional contingent buffered return enhanced notes due Nov. 30, 2021 linked to the lesser performing of the Russell 2000 index and the S&P 500 index; 75% trigger; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UW43

• 0% dual directional contingent buffered return enhanced notes due May 31, 2022 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 Nov. 30; Cusip: 48130UW35

• 0% buffered return enhanced notes due May 29, 2020 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UT62

• 0% buffered return enhanced notes due Nov. 30, 2020 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UR49

• Autocallable contingent interest notes due Nov. 30, 2021 linked to the least performing of the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UU78

• 0% notes due Nov. 30, 2023 linked to an equally-weighted basket of the S&P 500 index, the Russell 2000 index and the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UZ99

• 0% notes due Nov. 30, 2023 linked to an equally-weighted basket of the S&P 500 index, the Russell 2000 index, the Euro Stoxx 50 index and the iShares MSCI Emerging Markets ETF; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UZ65

• 0% uncapped contingent buffered return enhanced notes due Nov. 30, 2023 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UY82

• 0% capped dual directional buffered equity notes due Nov. 30, 2020 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UZ24

• 0% notes due Nov. 30, 2023 linked to an equally-weighted basket of the S&P 500 index and the Euro Stoxx 50 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130WAB7

• 0% autocallable contingent buffered equity notes due Nov. 30, 2023 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UW27

• 0% capped buffered return enhanced notes due Dec. 3, 2020 linked to a basket of the S&P 500 index with a 70% weight, the iShares MSCI Emerging Markets ETF with a 15% weight and the Russell 2000 index with a 15% weight; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130WAR2

• 0% uncapped contingent buffered return enhanced notes due Nov. 30, 2022 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UY33

• 0% notes due Nov. 30, 2021 linked to an equally-weight basket of the S&P 500 Low Volatility High Dividend index and the Euro Stoxx Select Dividend 30 index; via J.P. Morgan Securities LLC; pricing Nov. 30; Cusip: 48130UZ57

• 0% digital equity notes due Dec. 7, 2020 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Dec. 3; Cusip: 48130WDH1

MORGAN STANLEY

• Floating-rate notes due Dec. 4, 2020 linked to the Consumer Price Index; via Morgan Stanley & Co. LLC; pricing Nov. 30; Cusip: 61760QMD3

• Fixed-to-floating notes due Dec. 4, 2023 linked to the 10-year U.S. dollar ICE swap rate; via Morgan Stanley & Co. LLC; settlement on Dec. 4; Cusip: 61760QME1

MORGAN STANLEY BANK, NA

• Market-linked certificates of deposit due Nov. 30, 2023 linked to the worst performing of the common stocks of Apple Inc., Home Depot, Inc., Exxon Mobil Corp., Philip Morris International Inc. and Target Corp.; via Morgan Stanley & Co. LLC as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 61765QKR9

• 0% market-linked certificates of deposit due Nov. 30, 2023 linked to the Morgan Stanley MAP Trend index; via Morgan Stanley & Co. LLC as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 61765QKW8

• 0% market-linked certificates of deposit due Dec. 3, 2025 linked to the Morgan Stanley MAP Trend index; via Morgan Stanley & Co. LLC as agent with Incapital LLC as distributor; pricing Nov. 27; Cusip: 61765QKZ1

MORGAN STANLEY FINANCE LLC

• 0% jump notes with autocallable feature due June 1, 2026 linked to the Morgan Stanley MAP Trend index; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 61768DKJ3

• 0% buffered PLUS due Dec. 2, 2020 linked to the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 61768DJR7

• Callable buffered range accrual securities due Nov. 30, 2023 linked to the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 61768DQP3

• 0% trigger Performance Leveraged Upside Securities due Nov. 30, 2023 linked to the worse performing of the Russell 2000 index and the Dow Jones industrial average; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 61768DPP4

• Contingent income securities due Dec. 1, 2033 linked to the S&P 500 index and the Russell 2000 index; 50% trigger; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 61768DKA2

• 0% buffered participation securities due Nov. 30, 2023 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Nov. 27; Cusip: 61768DKH7

• Contingent income autocallable securities due Dec. 1, 2023 linked to the worst performing of the Russell 2000 index, the Nasdaq-100 index and the Dow Jones Industrial Average; via Morgan Stanley & Co. LLC; pricing Nov. 28; Cusip: 61768DRK3

• 0% jump securities with autocallable feature due Dec. 6, 2024 linked to the worst performing of the S&P 500 index, the Russell 2000 index and the Dow Jones Industrial Average; via Morgan Stanley & Co. LLC; pricing Nov. 29; Cusip: 61768DRC1

• Contingent income autocallable securities due June 4, 2019 linked to the common stock of Apple Inc.; via Morgan Stanley & Co. LLC as agent and Morgan Stanley Wealth Management handling distribution; pricing Nov. 30; Cusip: 61768T886

• 0% trigger Performance Leveraged Upside Securities due Dec. 5, 2022 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC as agent with Morgan Stanley Wealth Management handling distribution; pricing Nov. 30; Cusip: 61768T621

• 0% market-linked notes due Dec. 3, 2021 linked to the Euro Stoxx 50 index; via Morgan Stanley & Co. LLC; pricing Nov. 30; Cusip: 61768DQA6

• Contingent income autocallable securities due June 4, 2019 linked to the common stock of Nvidia Corp.; via Morgan Stanley & Co. LLC as agent and Morgan Stanley Wealth Management handling distribution; pricing Nov. 30; Cusip: 61768W103

• 0% dual directional buffered participation securities due Dec. 3, 2020 linked to the worse performing of the S&P 500 index and the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Nov. 30; Cusip: 61768DQH1

• 0% capped leveraged notes due in 18 to 21 months linked to the S&P 500 index; via Morgan Stanley & Co. LLC; Cusip: 61768DPR0

ROYAL BANK OF CANADA

• Autocallable contingent coupon barrier notes due Dec. 3, 2020 linked to the worst performing of the common stocks of Amazon.com, Inc., the Goldman Sachs Group, Inc. and 3M Co.; via RBC Capital Markets LLC; pricing Nov. 28; Cusip: 78013GHG3

• Autocallable contingent coupon barrier notes due Dec. 2, 2021 linked to the worst performing of the common stocks of Amazon.com, Inc., Target Corp. and Walmart Inc.; via RBC Capital Markets, LLC; pricing Nov. 28; Cusip: 78013XSZ2

• 0% buffered booster notes due Dec. 1, 2023 linked to the Euro Stoxx 50 index; via RBC Capital Markets, LLC; pricing Nov. 28; Cusip: 78013XR75

• 0% capped gears due Jan. 31, 2020 linked to a basket of indexes (Euro Stoxx 50 index with a 40% weight, the FTSE 100 index with a 20% weight, the Nikkei 225 index with a 20% weight, the Swiss Market index with a 7.5% weight, the S&P/ASX 200 index with an 7.5% weight and the Hang Seng index with a 5% weight); via RBC Capital Markets, LLC and UBS Financial Services Inc.; pricing Nov. 28; Cusip: 78014G757

• 0% trigger absolute return step securities due Nov. 30, 2023 linked to a basket of six indexes (Euro Stoxx 50 index with a 40% weight, the FTSE 100 index with a 20% weight, the Nikkei 225 index with a 20% weight, the Swiss Market index with a 7.5% weight, the S&P/ASX 200 index with an 7.5% weight and the Hang Seng index with a 5% weight); via RBC Capital Markets Corp. and UBS Financial Services Inc.; pricing Nov. 28; Cusip: 78014G765

• 0% buffered digital notes due Dec. 1, 2023 linked to the Euro Stoxx 50 index; via RBC Capital Markets Corp.; pricing Nov. 28; Cusip: 78013XR75

• Autocallable contingent coupon barrier notes due Dec. 2, 2021 linked to the worst performing of the common stocks of Johnson & Johnson, Kraft Heinz Co. and Proctor & Gamble Co.; via RBC Capital Markets, LLC; pricing Nov. 28; Cusip: 78013XT24

• 0% market-linked securities with leveraged upside participation to a cap and contingent downside due Dec. 6, 2021 linked to the iShares MSCI Emerging Markets ETF; via Wells Fargo Securities, LLC; pricing Nov. 29; Cusip: 78013XR42

• 0% market-linked securities with leveraged upside participation to a cap and fixed percentage buffered downside due Dec. 5, 2023 linked to the Russell 2000 index; via Wells Fargo Securities, LLC; pricing Nov. 30; Cusip: 78013XR34

• Autocallable contingent coupon barrier notes due Dec. 2, 2021 linked to the common stock of Amazon.com, Inc.; via RBC Capital Markets, LLC; pricing Dec. 2; Cusip: 78013XSV1

• 0% leveraged index-linked notes in 16 to 9 months linked to the S&P 500 index; via RBC Capital Markets, LLC; Cusip: 78013XR67

TORONTO-DOMINION BANK

• 0% digital notes due in 25 to 28 months linked to the Euro Stoxx 50 index; via TD Securities (USA) LLC; Cusip: 89114QEE4

• 0% leveraged capped buffered notes with a term of 28 to 31 months linked to the S&P 500 index; via TD Securities (USA) LLC; Cusip: 89114QEW4

• 0% leveraged buffered notes due in 48 to 51 months linked to the S&P 500 index; via TD Securities (USA) LLC; Cusip: 89114QEX2

UBS AG, LONDON BRANCH

• Trigger autocallable contingent yield notes due Nov. 30, 2021 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 Nov. 28; Cusip: 90281B601

• 0% buffered Performance Leveraged Upside Securities due Dec. 3, 2020 linked to the Euro Stoxx 50 index; via UBS Securities LLC as agent with Morgan Stanley Wealth Management handling distribution; pricing Nov. 30; Cusip: 90281B536

• Trigger callable contingent yield notes with daily coupon observation due June 3, 2021 linked to the least performing of the Russell 2000 index, the S&P 500 index and the Euro Stoxx 50 index; via UBS Securities LLC as agent with Morgan Stanley Wealth Management handling distribution; pricing Nov. 30; Cusip: 90270KVR7

• 0% buffered Performance Leveraged Upside Securities due June 3, 2021 linked to the S&P 500 index; via UBS Securities LLC as agent with Morgan Stanley Wealth Management handling distribution; pricing Nov. 30; Cusip: 90281B544

• 0% capped leveraged buffered notes due in 24 to 27 months linked to the Euro Stoxx 50 index; via UBS Securities LLC; Cusip: 90270KVC0

• 0% leveraged buffered notes due in 18 to 21 months linked to a basket of indexes (Euro Stoxx 50 index with a 36% weight, the Topix index with a 27% weight, the FTSE 100 index with a 20% weight, the Swiss Market index with a 9% weight and the S&P/ASX 200 index with an 8% weight); via RBC Capital Markets, LLC; Cusip: 78013XR91

• 0% capped leveraged buffered notes due in 19 to 22 months linked to a basket of indexes (Euro Stoxx 50 index with a 36% weight, the Topix index with a 27% weight, FTSE 100 index with a 20% weight, the Swiss Market index with a 9% weight and the S&P/ASX 200 index with an 8% weight); via UBS Securities LLC; Cusip: 90270KVH9

• 0% capped leveraged buffered notes due in 21 to 24 months linked to the iShares MSCI Emerging Markets ETF; via UBS Securities LLC; Cusip: 90270KVE6

• 0% capped leveraged buffered notes due in 21 to 24 months linked to the MSCI EAFE index; via UBS Securities LLC; Cusip: 90270KVQ9

WELLS FARGO & CO.

• 0% market-linked securities due Dec. 2, 2020 linked to iShares MSCI EAFE ETF; via Wells Fargo Securities, LLC; pricing Nov. 27; Cusip:95001BAZ7

• 0% market-linked securities due Dec. 2, 2020 linked to the iShares Russell Midcap ETF; via Wells Fargo Securities, LLC; pricing Nov. 27; Cusip: 95001BB29

• 0% market-linked securities due Dec. 2, 2020 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing Nov. 27; Cusip: 95001BAW4

• 0% market-linked securities with leveraged upside participation to a cap and fixed percentage buffered downside due Nov. 30, 2020 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing Nov. 27; Cusip: 95001BAT1

• 0% market linked securities – autocallable with fixed percentage downside due Dec. 7, 2021 linked to the Energy Select Sector SPDR Fund; 90% trigger; via Wells Fargo Securities, LLC; pricing Nov. 30; Cusip: 95001BAM6

• Market-linked securities – autocallable with contingent coupon and contingent downside due Nov. 30, 2021 linked to the least performing of the S&P 500 index and the Russell 2000 index; via Wells Fargo Securities, LLC; pricing Nov. 27; Cusip: 95001BAV6

• Market-linked securities – autocallable with contingent coupon and contingent downside due Nov. 30, 2022 linked to the least performing of the Euro Stoxx 50 index, the S&P 500 index and the Russell 2000 index; via Wells Fargo Securities LLC; pricing Nov. 29; Cusip: 95001BAP9

• 0% market-linked securities with leveraged upside participation and contingent downside due Dec. 6, 2023 linked to an equity index basket (S&P 500 index with a 40% weight, the Euro Stoxx 50 index with a 40% weight and the Nikkei Stock Average with a 20% weight); via Wells Fargo Securities LLC; pricing Nov. 29; Cusip: 95001BAN4

• 0% market-linked notes – upside participation with averaging and principal return at maturity due Dec. 5, 2023 linked to a basket of one index and five exchange-traded funds (SPDR S&P 500 ETF trust with a 30% weight, the Invesco QQQ Trust, series 1 with a 20% weight, the SPDR S&P MidCap 400 ETF trust with a 15%, the Euro Stoxx 50 index with a 15% weight, the iShares MSCI Emerging Markets ETF with a 10% weight and the iShares Russell 2000 ETF with a 10% weight); via Wells Fargo Securities LLC; pricing Nov. 30; Cusip: 95001BAQ7

• 0% Market Index Target-Term Securities due November 2021 linked to a basket of indexes (Euro Stoxx 50 index with an initial weight of 40%, the FTSE 100 index and the Nikkei Stock Average index with an initial weight of 20% each, the Swiss Market index and the S&P/ASX 200 index with an initial weight of 7.5% each and the Hang Seng index with an initial weight of 5%); via BofA Merrill Lynch; pricing in November

• 0% Leveraged Index Return Notes due November 2020 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 November

• 0% autocallable market-linked step-up notes due November 2023 linked to the S&P 500 index; via BofA Merrill Lynch; pricing in November

WELLS FARGO BANK, NA

• 0% market-linked certificates of deposit due Dec. 1, 2022 with upside participation to a cap and deposit amount return at maturity linked to an equally-weighted basket of indexes including the S&P 500 index and the Euro Stoxx 50 index; via Incapital LLC as distributor; pricing Nov. 27; Cusip: 94986T7P6

• 0% market-linked certificates of deposit due Nov. 30, 2023 with upside participation and deposit amount return at maturity linked to the Euro Stoxx 50 index; via Incapital LLC as distributor; pricing Nov. 27; Cusip: 94986T7N1

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