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Structured Products Calendar
BANK OF AMERICA CORP.
• Callable capped notes due Nov. 19, 2030 linked to the 10-year Constant Maturity Swap rate and two-year CMS rate; via Merrill Lynch, Pierce, Fenner & Smith Inc.; settling Nov. 19; Cusip 06048WEJ5
• Callable yield notes due Nov. 29, 2011 based on the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip 22546EF90
• Step up callable notes due Nov. 23, 2035 with 5.05% initial rate; via Merrill Lynch, Pierce, Fenner & Smith Inc.; settlement Nov. 23; Cusip 06048WEK2
• Five-year fixed-to-floating notes due Nov. 30, 2020; via Merrill Lynch, Pierce, Fenner & Smith Inc.; settlement Nov. 30; Cusip 06048WEQ9
• Five-year fixed-to-floating notes due Nov. 19, 2020; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November; Cusip 06048WEP1
• Six-year variable coupon notes linked to a basket of stocks, including Apple Inc., Anadarko Petroleum Corp, Archer-Daniels-Midland Co., Capital One Financial Corp., Cisco Systems, Inc., Coca-Cola Co., Exxon Mobil Corp., Goldman Sachs Group, Inc., Las Vegas Sands Corp., Lowe's Cos., Inc., Microsoft Corp., Oracle Corp., Proctor & Gamble Co., Research in Motion Ltd., Wal-Mart Stores, Inc. and Walt Disney Co.; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November
• Conditional enhanced coupon securities due December 2011 linked to the common stock of American Express Co.; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November
• Three-year 0% enhanced buffer market-linked step up notes linked to the Dow Jones Industrial Average; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November
• 0% Market Index Target-Term Securities due November 2015 based Dow Jones Industrial Average; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November
• 0% Capped Leveraged Index Return Notes due November 2012 linked to the Dow Jones - UBS Agriculture Sub-Index Excess Return; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November
• 0% five-year Market Index Target-Term Securities linked to the spot price of gold; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November
• 0% Strategic Return Notes due November 2015 linked to the Investable Volatility index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November
• 0% Strategic Accelerated Redemption Securities due December 2011 based on iShares MSCI EAFE index fund and the iShares MSCI Emerging Markets index fund; 90% trigger; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November
• Five-year fixed-to-floating notes due November 2020; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November; Cusip 06048WEN6
• Four-year 0% market-linked step up notes tied to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November
• 14-month 0% Accelerated Return Notes linked to the MSCI EAFE index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November or December
• One-year 0% Strategic Accelerated Redemption Securities linked to RBOB gasoline; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November or December
• Two-year 0% Capped Leveraged Index Return Notes linked to the price of silver; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November or December
• Two-year 0% Capped Leveraged Index Return Notes linked to the Technology Select Sector index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November or December
BANK OF THE WEST
• Market-linked certificates of deposit due Nov. 29, 2016 linked to the common stocks of AT&T Inc., Bristol-Myers Squibb Co., CVS Caremark Corp., Intel Corp., Medtronic, Inc., Monsanto Co., Newmont Mining Corp., Pfizer Inc., Southern Co. and Verizon Communications Inc.; via BNP Paribas Securities Corp. and distributor Advisors Asset Management, Inc.; pricing Nov. 23; Cusip 06426XAD2
• Market-linked certificates of deposit due Nov. 29, 2016 linked to the shares of Barrick Gold Corp., Blackstone Group LP, China Mobile Ltd., General Mills, Inc., Goldcorp Inc., Kellogg Co., Lockheed Martin Corp., Nokia Corp., Reynolds American Inc. and Teva Pharmaceutical Industries Ltd.; via BNP Paribas Securities Corp. and distributor Advisors Asset Management, Inc.; pricing Nov. 23; Cusip 06426XAE0
BARCLAYS BANK PLC
• 0% notes due Nov. 30, 2011 linked to the Barclays Capital Series-2 WTI Crude 11M Deferred TR index; via Barclays Capital Inc.; pricing Nov. 18; Cusip 06740PL46
• 0% capped market plus notes due Nov. 27, 2012 linked to the performance of gold; via JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC; pricing Nov. 19; Cusip 06740PN69
• 0% autocallable optimization securities with contingent protection due Nov. 25, 2015 linked to the Russell 2000 index; via UBS Financial Services Inc. and Barclays Capital Inc.; pricing Nov. 19; Cusip 06740P783
• 0% buffered return enhanced notes due Dec. 7, 2011 linked to the S&P 500 index; via JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC; pricing Nov. 19; Cusip 06740PN44
• 0% capped market plus notes due June 1, 2012 linked to the S&P 500 index; via JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC; pricing Nov. 19; Cusip 06740PN51
• 12% reverse convertible notes due May 27, 2011 linked to AK Steel Holding Corp. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PH74
• 9.25% reverse convertible notes due May 27, 2011 linked to Alcoa Inc. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PE51
• 11.2% reverse convertible notes due May 27, 2011 linked to Baidu, Inc. (American Depositary Shares) stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PH82
• 10.4% reverse convertible notes due Nov. 29, 2011 linked to Baidu, Inc. (American Depository Share) stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PK54
• 0% double short leverage securities due Nov. 29, 2013 linked to the Barclays Capital 30Y Treasury Futures index; via UBS Financial Services Inc. and Barclays Capital Inc.; pricing Nov. 24; Cusip 06740PB62
• 10.2% reverse convertible notes due Feb. 28, 2011 linked to Cliffs Natural Resources Inc. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PG75
• 10.4% reverse convertible notes due Nov. 29, 2011 linked to Cliffs Natural Resources Inc. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PK62
• 10.1% reverse convertible notes due May 27, 2011 linked to Delta Airlines, Inc. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PH90
• 10.7% reverse convertible notes due May 27, 2011 linked to DryShips, Inc. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PJ23
• 13.1% reverse convertible notes due Feb. 28, 2011 linked to DryShips Inc. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PG83
• 10% reverse convertible notes due Feb. 28, 2011 linked to Elan Corp., plc (American Depository Share) stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PG91
• 9.5% reverse convertible notes due May 27, 2011 linked to Ford Motor Co. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PC87
• 9.75% reverse convertible notes due May 27, 2011 linked to Freeport-McMoRan Copper & Gold Inc. stock; via Barclays Capital; pricing Nov. 24; Cusip: 06740PM78
• 10.7% reverse convertible notes due May 27, 2011 linked to Genworth Financial, Inc. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PJ31
• 10.3% reverse convertible notes due May 27, 2011 linked to Goodyear Tire & Rubber Co. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PJ49
• 0% Super Track notes due Nov. 29, 2012 linked to the Hang Seng China Enterprises index; via Barclays Capital Inc.; pricing Nov. 24; Cusip 06740PE28
• 15% reverse convertible notes due Feb. 28, 2011 linked to InterOil Corp. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PH25
• 13.3% reverse convertible notes due Nov. 29, 2011 linked to InterOil Corp. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PK70
• 0% performance securities with contingent protection due Nov. 30, 2015 linked to the iShares MSCI EAFE index fund and the iShares MSCI Emerging Markets index fund; via UBS Financial Services Inc. and Barclays Capital Inc.; pricing Nov. 24; Cusip 06740C238
• 0% Super Track notes due May 30, 2012 based on iShares MSCI Emerging Markets index fund; via Barclays Capital Inc.; pricing Nov. 24; Cusip 06740PB47
• 9.5% reverse convertible notes due May 27, 2011 linked to JPMorgan Chase & Co. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PC95
• 0% notes due Nov. 29, 2012 linked to the performance of a long basket of the Korean won, Malaysian ringgit, Taiwan dollar and Indian rupee and a short basket of the British pound sterling, Japanese yen and U.S. Dollar; via Barclays Capital Inc.; pricing Nov. 24; Cusip 06740PF76
• 13.3% reverse convertible notes due May 27, 2011 linked to Las Vegas Sands Corp. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PJ56
• 10.6% reverse convertible notes due May 27, 2011 linked to Massey Energy Co. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PJ64
• 12.5% reverse convertible notes due Feb. 28, 2011 linked to MGM Resorts International stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PH33
• 9.75% reverse convertible notes due May 27, 2011 linked to Morgan Stanley stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PD29
• 10% reverse convertible notes due May 27, 2011 linked to Netflix, Inc. stock; via Barclays Capital; pricing Nov. 24; Cusip: 06740PM52
• 10% reverse convertible notes due May 27, 2011 linked to Noble Corp. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PD37
• 11.25% reverse convertible notes due May 27, 2011 linked to Nokia Corp. (American Depository Share) stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PE69
• 10.8% reverse convertible notes due May 27, 2011 linked to Office Depot, Inc. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PJ72
• 10.5% reverse convertible notes due May 27, 2011 linked to Old Dominion Freight Line, Inc. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PE77
• 13% reverse convertible notes due May 27, 2011 linked to Patriot Coal Corp. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PJ80
• 13.5% reverse convertible notes due May 27, 2011 linked to Research in Motion Ltd. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PD45
• 0% annual autocallable notes due Nov. 29, 2013 linked to the Russell 2000 index; via Barclays Capital Inc.; pricing Nov. 24; Cusip 06740PB39
• 0% performance securities with contingent protection due Nov. 30, 2015 linked to the S&P 500 index; via UBS Financial Services Inc. and Barclays Capital Inc.; pricing Nov. 24; Cusip 06740P833
• 13% reverse convertible notes due Feb. 28, 2011 linked to Saks Inc. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PH41
• 10.1% reverse convertible notes due Nov. 29, 2011 linked to Silver Wheaton Corp. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PK88
• 17.5% reverse convertible notes due May 27, 2011 linked to Stillwater Mining Co. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PE93
• 11.3% reverse convertible notes due May 27, 2011 linked to SunPower Corp. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PJ98
• 12% reverse convertible notes due May 27, 2011 linked to SunTrust Banks, Inc. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PE85
• 10.7% reverse convertible notes due May 27, 2011 linked to Titanium Metals Corp. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PK21
• 10.9% reverse convertible notes due Nov. 29, 2011 linked to Titanium Metals Corp. stock; via Barclays Capital; pricing Nov. 24; Cusip: 06740PM86
• 10.5% reverse convertible notes due Feb. 28, 2011 linked to Trina Solar Ltd. (American Depositary Shares) stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PH58
• 10.3% reverse convertible notes due Nov. 29, 2011 linked to United Continental Holdings, Inc. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PK96
• 9% reverse convertible notes due Feb. 28, 2011 linked to United States Steel Corp. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PH66
• 10.1% reverse convertible notes due May 27, 2011 linked to United States Steel Corp. stock; via Barclays Capital; pricing Nov. 24; Cusip: 06740PM60
• 11.5% reverse convertible notes due May 27, 2011 linked to USG Corproation stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PK39
• 10% reverse convertible notes due Nov. 29, 2011 linked to Walter Energy, Inc. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PL20
• 10.2% reverse convertible notes due May 27, 2011 linked to Wynn Resorts, Ltd. stock; via Barclays Capital; pricing Nov. 24; Cusip 06740PK47
• 0% Barclays Perpetual Rolling Open Structure Protecting Equity Returns Veqtor notes due November 2015; via Barclays Capital Inc.; pricing in November; Cusip 06740PN28
• 0% Barclays Perpetual Rolling Open Structure Protecting Equity Returns Veqtor notes due November 2015; via Barclays Capital Inc.; pricing in November; Cusip 06740PM94
• Zero-coupon capped leveraged index return notes due November 2012 based on MSCI Brazil index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; 90% trigger; via pricing in November
• 0% notes due November 2015 linked to the S&P 500 Total Return and S&P 500 VIX Mid-Term Futures Total Return indexes; via Barclays Capital Inc.; pricing in November; Cusip 06740PN36
• Two-year 0% Capped Leveraged Index Return Notes linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November
• Zero-coupon capped leveraged index return notes due November 2012 linked to the S&P 500 index; via Barclays and Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November
• 0% notes due Dec. 19, 2013 linked to the Barclays Capital Multi-Strategy DJ-UBSCI with Seasonal Energy Total Return index; via Barclays Capital Inc.; pricing Dec. 15; Cusip 06740PL38
• 0% buffered Super Track notes due June 20, 2012 based on the iShares MSCI Emerging Markets index fund; 90% trigger; via Barclays Capital Inc.; pricing Dec. 15; Cusip 06740PL95
• 0% buffered Super Track notes due June 20, 2012 based on S&P 500 index; 90% trigger; via Barclays Capital Inc.; pricing Dec. 15; Cusip 06740PL87
CITIGROUP FUNDING, INC.
• 0% Index Leading Stockmarket Return Securities due Nov. 26, 2013 linked to the Russell 2000 index; via Citigroup Global Markets Inc.; pricing Nov. 23; Cusip 17316G628
• 8%-10% Equity LinKed Securities due May 25, 2011 linked to Schlumberger Ltd. common stock; 80% trigger; via Citigroup Global Markets Inc.; pricing Nov. 23; Cusip 17316G677
• 8%-10% Equity LinKed Securities due May 25, 2011 linked to Wells Fargo & Co. common stock; 80% trigger; via Citigroup Global Markets Inc.; pricing Nov. 23; Cusip 17316G685
• 9%-11% Equity LinKed Securities due May 25, 2011 linked to Yahoo! Inc. common stock; 80% trigger; via Citigroup Global Markets Inc.; pricing Nov. 23; Cusip 17316G669
• Callable step-up coupon notes due Nov. 16, 2025; via Citigroup Global Markets Inc.; pricing in November; Cusip 1730T0JU4
• 0% market-linked notes due Nov. 28, 2016 tied to equal weights of the Dow Jones Industrial Average, the Euro Stoxx 50 and the Nikkei 225 index; via Citigroup Global Markets Inc.; pricing in November; Cusip 1730T0KW8
• Non-callable fixed- to floating-rate notes due Nov. 23, 2016 linked to Libor; via Citigroup Global Markets Inc.; pricing in November; Cusip 1730T0KX6
• 0% notes due November 2013 linked to a long short basket containing the Morningstar Wide Moat Focus Total Return Index and the S&P 500 Total Return Index; via Citigroup Global Markets Inc.; pricing in November; Cusip 17316G735
• 0% Premium Mandatory Callable Equity-linked Securities due November 2012 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing in November; Cusip 1730T0KQ1
• Callable leveraged CMS spread notes due Nov. 19, 2030; via Citigroup Global Markets Inc. as underwriter and Incapital LLC as distributor
• 0% jump securities due March 23, 2011 linked to the common stock of Symantec Corp.; via Citigroup Global Markets Inc.; Cusip 17316G818
CREDIT SUISSE AG, NASSAU BRANCH
• Callable step-up securities due Nov. 24, 2025 with 4% initial rate; via Credit Suisse Securities (USA) LLC; pricing Nov. 19; Cusip 22546EH49
• 0% notes due Dec. 7, 2011 linked to three buffered return enhanced components, i.e. the Euro Stoxx 50, FTSE 100 and Topix indexes, and their related currencies; via J.P. Morgan Securities LLC and JPMorgan Chase Bank, NA; pricing Nov. 19; Cusip 22546EJ21
• 0% Buffered Accelerated Return Equity Securities due May 29, 2013 linked to the iShares MSCI Emerging Markets index fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 19; Cusip 22546EH23
• 0% Buffered Accelerated Return Equity Securities due May 29, 2013 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 19; Cusip 22546EG99
• 9%-11% callable yield notes due Nov. 29, 2011 linked to the iShares FTSE/Xinhua China 25 index fund, the iShares MSCI Brazil index fund and the iShares MSCI Australia index fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip 22546EG65
• 10%-12% callable yield notes due Nov. 29, 2011 linked to the iShares MSCI Brazil index fund and the SPDR S&P Metals & Mining exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip 22546EG73
• 9.5%-12% annualized callable yield notes due May 31, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip 22546EG24
• 10%-12% annualized callable yield notes due May 31, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip 22546EE59
• 10%-12.75% annualized callable yield notes due May 31, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip 22546EG32
• 8.25%-10.25% callable yield notes due Nov. 29, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip 22546EG81
• High/low coupon callable yield notes due Nov. 29, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip 22546EF66
• High/low coupon callable yield notes due Nov. 29, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip 22546EF90
• 8%-10% callable yield notes due Nov. 29, 2011 linked to the Russell 2000 index and the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip 22546EG57
• 9.5%-11.5% callable yield notes due Nov. 29, 2011 linked to the Russell 2000 index and the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip 22546EE75
• 0% callable Cert PLUS securities due Nov. 29, 2012 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip 22546EF74
• High/low coupon callable yield notes due Dec. 5, 2011 linked to the S&P 500 and Russell 2000 indexes; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip 22546EF33
• 9%-11% callable yield notes due May 31, 2011 linked to the S&P 500 index and the SPDR S&P Metals & Mining exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; 22546EG40
• 9%-11% callable yield notes due May 31, 2011 linked to the S&P 500 index and the SPDR S&P Metals & Mining exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip 22546EE67
• 0% notes due Nov. 29, 2016 linked to the SPDR Gold trust; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 22; Cusip 22546EF82
• 10.75%-12.75% callable yield notes due Dec. 5, 2011 linked to the iShares FTSE/Xinhua China 25 index fund, the iShares MSCI Brazil index fund and the iShares MSCI Australia index fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip 22546EE34
• 10.25%-12.5% callable yield notes due Dec. 5, 2011 linked to the iShares MSCI Brazil index fund and the SPDR S&P Metals & Mining exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip 22546EE26
• 10%-12% annualized callable yield notes due June 3, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip 22546ED76
• 9.5%-11.5% callable yield notes due Dec. 5, 2011 linked to the Russell 2000 index and the S&P 500 index; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip 22546ED92
• 6.50%-8.5% callable yield notes due Nov. 29, 2011 linked to the Russell 2000 index and the S&P 500 index; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip 22546EH56
• 9.5%-12% callable yield notes due Dec. 5, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip 22546EE42
• 0% callable Cert PLUS securities due Dec. 3, 2012 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip 22546EF41
• 9%-11% callable yield notes due June 3, 2011 linked to the S&P 500 index and the SPDR S&P Metals & Mining exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip 22546ED84
• 0% notes due Dec. 3, 2015 linked to the SPDR Gold trust; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 30; Cusip 22546EF58
DEUTSCHE BANK AG, LONDON BRANCH
• 0% autocallable optimization securities with contingent protection due Nov. 25, 2015 based on Financial Select Sector SPDR fund; 60% trigger; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Nov. 19; Cusip 25154P 808
• 0% notes due Dec. 1, 2011 linked to equal weights of the Indian rupee, Indonesian rupiah, Korean won and Singapore dollar relative to the U.S. dollar; via JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC; pricing Nov. 19; Cusip: 2515A1BQ3
• 0% capped Buffered Underlying Securities due Nov. 23, 2012 based on the Russell 2000 index; 90% trigger; via Deutsche Bank Securities Inc.; pricing Nov. 19; Cusip 2515A1BP5
• 0% performance securities with contingent protection due Nov. 25, 2015 linked to the Russell 3000 index; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Nov. 19; Cusip 25154P865
• 0% capped Buffered Underlying Securities due May 24, 2013 linked to the S&P 500 index; via Deutsche Bank Securities Inc.; pricing Nov. 19; Cusip 2515A1BE0
• 0% capped Buffered Underlying Securities due Nov. 25, 2016 linked to the S&P 500 index; via Deutsche Bank Securities Inc.; pricing Nov. 19; Cusip 2515A1BD2
• 0% S&P plus tracker notes due Dec. 27, 2011 based on S&P 500 Total Return index and the Deutsche Bank Equity Mean Reversion Alpha index; via Deutsche Bank Securities Inc.; pricing Nov. 22; Cusip 2515A1BN0
• 0% performance securities with contingent protection due Nov. 30, 2015 linked to the S&P MidCap 400 index with an 80% weight and the S&P Small Cap 600 index with a 20% weight; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Nov. 24; Cusip 25154P501
• 0% return optimization securities with contingent protection due Nov. 29, 2013 linked to a basket of the SPDR S&P 500 ETF Trust, the iShares MSCI EAFE index fund and the iShares MSCI Emerging Markets index fund; via UBS Financial Services Inc. and Deutsche Bank Securities; pricing Nov. 24; Cusip 25154P709
• 0% alpha overlay securities due Dec. 6, 2013 linked to the Deutsche Bank Commodity Booster - Dow Jones - UBS 14 TV Index Excess Return and the Deutsche Bank Commodity Harvest - 10 Index USD Total Return; via Deutsche Bank Securities Inc. and Deutsche Bank Trust Co. Americas; pricing Dec. 3; Cusip 2515A1BB6
• 0% market contribution securities due Dec. 6, 2013 linked to the Deutsche Bank Liquid Commodity Index - Mean Reversion Total Return; via Deutsche Bank Securities Inc. and Deutsche Bank Trust Co. Americas; pricing Dec. 3; Cusip 2515A1BH3
EKSPORTFINANS ASA
• Six-month 0% Strategic Accelerated Redemption Securities linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November
• 0% Strategic Accelerated Redemption Securities due November 2011 based on S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November
• 0% Strategic Accelerated Redemption Securities due December 2011 linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November
• 0% autocallable access securities with fixed percentage buffered downside due Dec. 5, 2012 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing in November
• 14-month 0% Accelerated Return Notes linked to the S&P MidCap 400 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November
• Six-month 0% bear Accelerated Return Notes linked to the Russell 2000 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November or December
• Six-month 0% Strategic Accelerated Redemption Securities linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November or December
GOLDMAN SACHS GROUP, INC.
• Callable step-up fixed-rate notes due Nov. 30, 2018; via Goldman, Sachs & Co. and Incapital LLC; pricing Nov. 23; Cusip 38143UQB0
• 10% callable yield notes due Dec. 5, 2011 linked to the Russell 2000 index, iShares FTSE/Xinhua China 25 index fund and iShares MSCI Brazil index fund; via HSBC Securities (USA) Inc.; pricing Nov. 30; Cusip: 4042K1AM5
• Six-year 0% equity index-linked notes based on Dow Jones Industrial Average; via Goldman, Sachs & Co.; Cusip 38143UPG0
• 13-month floating-rate index-linked notes tied to the Dow Jones - UBS Commodity Index Total Return; via Goldman, Sachs & Co.
• 14- to 15-month 0% underlier-linked trigger notes tied to the iShares MSCI Emerging Markets index fund; via Goldman, Sachs & Co.; Cusip 38143UPZ8
• 42-month 0% leveraged buffered equity index-linked notes based on iShares MSCI Emerging Markets index fund; 80% trigger; via Goldman, Sachs & Co.; Cusip 38143UPB1
• Five-year fixed- and floating-rate notes linked to Libor; via Goldman, Sachs & Co.; Cusip 38143UPS4
• Five-year fixed- and floating-rate notes linked to Libor; via Goldman, Sachs & Co.; Cusip 38143UPQ8
• 36- to 42-month 0% leveraged buffered index-linked notes tied to the MSCI AC World index; via Goldman, Sachs & Co.
• Six- to seven-month 0% autocallable buffered index-linked notes tied to the MSCI EAFE index; via Goldman, Sachs & Co.
• 18- to 21-month 0% leveraged buffered index-linked notes tied to the MSCI EAFE index; via Goldman, Sachs & Co.
• Six- to seven-month 0% autocallable buffered index-linked notes tied to the S&P 500 index; via Goldman, Sachs & Co.
• Seven- to nine-month 0% buffered equity index-linked notes tied to the S&P 500 index; via Goldman, Sachs & Co.
• 13- to 15-month 0% buffered equity index-linked notes tied to the S&P 500 index; via Goldman, Sachs & Co.
• 15-month 0% buffered equity index-linked notes tied to the S&P 500 index; via Goldman, Sachs & Co.; Cusip 38143UNL1
• 18- to 21-month 0% leveraged buffered index-linked notes tied to the S&P 500 index; via Goldman, Sachs & Co.
• 18- to 21-month 0% leveraged buffered index-linked notes tied to the S&P 500 index; via Goldman, Sachs & Co.
• 28- to 30-month 0% equity index-linked notes tied to the S&P 500 index; via Goldman, Sachs & Co.
• 15-year callable quarterly index-linked range accrual notes tied to the S&P 500 index; via Goldman Sachs & Co.; Cusip 38143UPR6
• 0% two-year autocallable buffered notes linked to equal weights of the S&P 500 index, MSCI EAFE index and the iShare MSCI Emerging Markets index fund; via Goldman, Sachs & Co.; Cusip: 38143UPW5
• 0% leveraged buffered basket-linked notes tied to equal weights of the S&P 500 index, the Russell 2000 index and the iShares MSCI Emerging Markets index fund; via Goldman, Sachs & Co.; Cusip 38143UPC9
HARRIS NA
• Annual digital yield generator certificates of deposit due Nov. 30, 2016 linked to the common stocks of Apple, Inc., Barrick Gold Corp., ConAgra Foods Inc., Duke Energy, Eli Lilly & Co., Exxon Mobil Corp., Home Depot Inc., Johnson & Johnson, Proctor & Gamble Co. and Verizon Communications Inc.; via Incapital LLC as distributor; pricing Nov. 23; Cusip 41456TKS7
• Semiannual capped participating yield generator certificates of deposit due Nov. 25, 2016 linked to the common stocks of Apple, Inc., Barrick Gold Corp., Duke Energy, Exxon Mobil Corp., Ford Motor Co., Johnson & Johnson, Eli Lilly & Co., McDonald's Corp., Proctor & Gamble Co. and Verizon Communications Inc.; via Incapital LLC as distributor; pricing Nov. 23; Cusip 41456TKP3
• Semiannual digital yield generator certificates of deposit due Nov. 30, 2016 linked to the common stocks of Apple, Inc., Barrick Gold Corp., ConAgra Foods Inc., Duke Energy, Eli Lilly & Co., Exxon Mobil Corp., Home Depot Inc., Johnson & Johnson, Proctor & Gamble Co. and Verizon Communications Inc.; via Incapital LLC as distributor; pricing Nov. 23; Cusip 41456TKT5
• Semiannual digital yield generator certificates of deposit due Nov. 30, 2017 linked to the common stocks of Apple, Inc., Barrick Gold Corp., ConAgra Foods Inc., Duke Energy, Eli Lilly & Co., Exxon Mobil Corp., Home Depot Inc., Johnson & Johnson, Proctor & Gamble Co., Verizon Communications Inc.; via Incapital LLC as distributor; pricing Nov. 23; Cusip 41456TKR9
• Certificates of deposit due Nov. 25, 2016 inversely linked to the Barclays 7-10 Year Treasury index; via Incapital LLC as distributor; pricing Nov. 23; Cusip 41456TKQ1
HSBC BANK USA, NA
• Far East opportunity certificates of deposit with minimum return due Nov. 24, 2017 linked to equal weights of the Hang Seng index, MSCI Taiwan index, MSCI Singapore Free index and the Kospi 200 index; via HSBC Securities (USA) Inc.; pricing Nov. 18; Cusip 40431GGS2
• 0% global opportunity certificates of deposit due Nov. 24, 2017 linked to the Euro Stoxx 50 index, the Hang Seng index and the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 18; Cusip 40431GGT0
• 0% certificates of deposit due Nov. 24, 2017 linked to the Dow Jones Industrial Average; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip 40431GGP8
• 0% knock-out barrier certificates of deposit due Nov. 24, 2014 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip 40431GHG7
• 0% knock-out barrier certificates of deposit due Nov. 24, 2015 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip 40431GGY9
• Annual income opportunity certificates of deposit with auto cap feature due Nov. 28, 2017 linked to the common stocks of Abbott Laboratories, Avon Products, Inc., CME Group Inc., Eli Lilly & Co., Exelon Corp., Exxon Mobil Corp., General Electric Co., KLA-Tencor Corp., Northern Trust Corp., Paychex Inc., Vulcan Materials Co. and Western Union Co.; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip 40431GGW3
• Annual income opportunity certificates of deposit with auto cap feature due Nov. 29, 2016 linked the shares of Banco Bradesco SA, China Mobile Ltd., Duke Energy Corp., Encana Corp., Goldcorp. Inc., Home Depot Inc., Honda Motor Co. Ltd., Lorillard Inc., Novartis AG, Toronto-Dominion Bank, Total SA and Unilever NV; via HSBC Securities (USA) Inc.; pricing Nov. 23; Cusip 40431GHD4
• Annual income opportunity certificates of deposit with auto cap feature due Nov. 27, 2015 linked to the common stocks of Alcoa Inc., Altria Group Inc., Centurylink Inc., Consolidated Edison, Inc., General Mills Inc., Gilead Sciences Inc., Intel Corp., Mosaic Co., Pfizer Inc., Schlumberger Ltd., US Bancorp. and Yum! Brands Inc.; via HSBC Securities (USA) Inc.; pricing Nov. 23; Cusip 40431GHC6
• Annual income opportunity certificates of deposit with auto cap feature due Nov. 29, 2016 linked to the common stocks of Alcoa Inc., Altria Group Inc., Centurylink Inc., Consolidated Edison, Inc., General Mills Inc., Gilead Sciences Inc., Intel Corp., Mosaic Co., Pfizer Inc., Schlumberger Ltd., US Bancorp. and Yum! Brands Inc.; via HSBC Securities (USA) Inc.; pricing Nov. 23; Cusip 40431GHB8
HSBC USA INC.
• 0% buffered return enhanced notes due Dec. 7, 2011 linked to the Hang Seng China Enterprises, Korea Composite Stock Price 200, MSCI Taiwan, Hang Seng and MSCI Singapore indexes and their related currencies; via HSBC Securities (USA) Inc. and J.P. Morgan Securities LLC; pricing Nov. 18; Cusip 4042K1AP8
• 0% averaging notes with minimum return due Nov. 24, 2017 linked to the Dow Jones Industrial Average; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip 4042K1AJ2
• Autocallable yield notes due Nov. 25, 2011 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 19; Cusip 4042K07M1
• 0% buffered Accelerated Market Participation Securities due May 25, 2012 linked to the iShares FTSE/Xinhua China 25 index fund; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip 4042K1AG8
• 0% Accelerated Market Participation Securities due Feb. 27, 2012 linked to the iShares FTSE/Xinhua China 25 index fund; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip 4042K07L3
• 0% Accelerated Market Participation Securities due Dec. 28, 2011 linked to the iShares FTSE/Xinhua China 25 index fund; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip 4042K07H2
• 0% buffered Accelerated Market Participation Securities due Feb. 27, 2012 linked to the iShares FTSE/Xinhua China 25 index fund; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip 4042K1AD5
• 0% buffered Accelerated Market Participation Securities due Feb. 27, 2012 linked to the iShares MSCI Brazil index fund; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip 4042K1AC7
• 0% buffered Accelerated Market Participation Securities due May 25, 2012 linked to the iShares MSCI Brazil index fund; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip 4042K1AH6
• 0% buffered Accelerated Market Participation Securities due Nov. 27, 2013 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip 4042K06W0
• 0% buffered Accelerated Market Participation Securities due May 25, 2012 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip 4042K1AF0
• 0% Accelerated Market Participation Securities due Dec. 28, 2011 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip 4042K07G4
• 0% buffered Accelerated Market Participation Securities due Feb. 27, 2012 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip 4042K1AB9
• 0% Accelerated Market Participation Securities due Feb. 27, 2012 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip 4042K07K5
• 0% Accelerated Market Participation Securities due Dec. 28, 2011 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip 4042K07F6
• 0% buffered Accelerated Market Participation Securities due Feb. 27, 2012 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip 4042K1AA1
• 0% Accelerated Market Participation Securities due Feb. 27, 2012 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip 4042K07J8
• 0% buffered Accelerated Market Participation Securities due May 25, 2012 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 22; Cusip 4042K1AE3
• 0% buffered Performance Leveraged Upside Securities due Nov. 28, 2012 based on S&P 500 index; 90% trigger; via Morgan Stanley & Co. Inc.; pricing Nov. 23; Cusip 40432R468
• 0% two-year emerging markets Currency Accelerated Return Securities linked to equal weights of the Brazilian real, Indian rupee and Chinese renminbi; via HSBC USA Inc.; pricing Nov. 24; Cusip 4042K1AK9
• Return optimization securities with contingent protection due Nov. 30, 2012 linked to the iShares MSCI Emerging Markets index fund; via UBS Financial Services Inc. and HSBC USA Inc.; pricing Nov. 24; Cusip 40432R450
• Annual income opportunity securities with auto cap due November 2015 linked to the common stocks of Alcoa, Inc., Altria Group, Inc., CenturyLink, Inc., Consolidated Edison Inc., Gilead Sciences Inc., General Mills, Inc., Intel Corp., Mosaic Co., Pfizer Inc., Schlumberger Ltd., U.S. Bancorp and YUM! Brands, Inc.; via HSBC Securities (USA) Inc.; pricing in November; Cusip 4042K1AL7
JPMORGAN CHASE BANK, NA
• Digital contingent coupon certificates of deposit due Nov. 27, 2015 linked to an equally weighted basket of stocks of Altria Group, Inc., Amazon.com, Inc., Anheuser-Busch InBev SA/NV, Barrick Gold Corp., GlaxoSmithKline plc, HSBC Holdings, plc, McDonald's Corp., Panasonic Corp., Vodafone Group PCL and Wal-Mart Stores, Inc.; via J.P. Morgan Securities LLC; pricing Nov. 23; Cusip 48123YQZ2
• Digital contingent coupon certificates of deposit due Nov. 29, 2016 linked to an equally weighted basket of stocks including Altria Group, Inc., Amazon.com, Inc., AT&T Inc., Bristol-Myers Squibb Co., General Mills, Inc., Intel Corp., Newmont Mining Corp., Time Warner Cable Inc., Wells Fargo & Co. and Whole Foods Market, Inc.; via J.P. Morgan Securities LLC as agent and Incapital LLC as distributor; pricing Nov. 23; Cusip 48123YQS8
• Digital contingent coupon certificates of deposit due Nov. 29, 2017 linked to an equally weighted basket of stocks including Altria Group, Inc., Amazon.com, Inc., AT&T Inc., Bristol-Myers Squibb Co., General Mills, Inc., Intel Corp., Newmont Mining Corp., Time Warner Cable Inc., Wells Fargo & Co. and Whole Foods Market, Inc.; via J.P. Morgan Securities LLC as agent and Incapital LLC as distributor; pricing Nov. 23; Cusip 48123YQR0
• Digital contingent coupon certificates of deposit due Nov. 27, 2015 linked to an equally weighted basket of stocks of Amazon.com, Inc., AstraZeneca plc, Barrick Gold Corp., Baxter International Inc., France Telecom SA, Hondo Motor Co., Ltd., HSBC Holdings, plc, Pfizer Inc., Reynolds American Inc. and Wells Fargo & Co.; via J.P. Morgan Securities LLC; pricing Nov. 23; Cusip 48123YQW9
• Contingent coupon certificates of deposit due Nov. 29, 2017 based on Amazon.com, Inc., Bristol-Myers Squibb Co., ConocoPhillips, General Mills, Inc., Intel Corp., Altria Group, Inc., Microsoft Corp., Newmont Mining Corp., AT&T Inc. and Wells Fargo & Co.; via J.P. Morgan Securities LLC and Incapital LLC; pricing Nov. 23; Cusip 48123YQT6
• Contingent coupon certificates of deposit due Nov. 29, 2017 based on Amazon.com, Inc., Bristol-Myers Squibb Co., General Mills, Inc., Intel Corp., Altria Group, Inc., Newmont Mining Corp., AT&T Inc., Time Warner Cable Inc., Wells Fargo & Co. and Whole Foods Market, Inc.; via J.P. Morgan Securities LLC and Incapital LLC; pricing Nov. 23; Cusip 48123YRC2
• Digital contingent coupon certificates of deposit due Nov. 27, 2015 linked to an equally weighted basket of stocks of AmerisourceBergen Corp., CenturyTel, Inc., General Mills, Inc., Humana Inc., Kinross Gold Corp., Kimberly-Clark Corp., National Oilwell Varco, Inc., PG&E Corp., Walgreen Co. and Wal-Mart Stores, Inc.; via J.P. Morgan Securities LLC; pricing Nov. 23; Cusip 48123YRB4
• Contingent coupon market-linked certificates of deposit due Nov. 23, 2016 linked to copper, corn, nickel, palladium, silver, soybean meal, sugar, zinc, the S&P GSCI Brent Crude Index Excess Return and the S&P GSCI Livestock Index Excess Return; via J.P. Morgan Securities LLC; pricing Nov. 23; Cusip 48123YQM1
• 0% commodity-linked certificates of deposit due Nov. 30, 2016 linked to the JPMorgan Optimax Market-Neutral index; via J.P. Morgan Securities LLC as agent and Incapital LLC as distributor; pricing Nov. 23; Cusip 48123YQV1
JPMORGAN CHASE & CO.
• 12% reverse convertible notes due May 23, 2011 linked to Wells Fargo & Co. stock; via JPMorgan; pricing Nov. 18; Cusip: 48124A2S5
• 0% capped daily observation knock-out notes due Dec. 7, 2011 linked to the common stock of Apple Inc.; via J.P. Morgan Securities LLC; pricing Nov. 19; Cusip 48124A2V8
• 0% capped daily observation knock-out notes due Dec. 7, 2011 linked to the common stock of Bank of America Corp.; via J.P. Morgan Securities LLC; pricing Nov. 19; Cusip 48124A2W6
• 0% quarterly review notes due Dec. 2, 2011 linked to the price of copper; via J.P. Morgan Securities LLC; pricing Nov. 19; Cusip: 48124A2Z9
• 0% quarterly review notes due Dec. 2, 2011 linked to the S&P GSCI Crude Oil index; via J.P. Morgan Securities LLC; pricing Nov. 19; Cusip 48124A3A3
• Callable fixed-rate step-up notes due Nov. 26, 2030; via J.P. Morgan Securities LLC; pricing Nov. 22; Cusip 48124A2B2
• 10.25% reverse convertible notes due Feb. 28, 2011 linked to AK Steel Holding Corp. stock; via JPMorgan; pricing Nov. 23; Cusip 48124AY43
• 11.8% reverse convertible notes due Feb. 28, 2011 linked to Allegheny Technologies Inc. stock; via JPMorgan; pricing Nov. 23; Cusip 48124AY50
• 10% reverse convertible notes due Nov. 30, 2011 linked to Amazon.com, Inc. stock; via JPMorgan; pricing Nov. 23; Cusip 48124AZ42
• 8% upside auto callable single observation reverse exchangeable notes due Nov. 30, 2011 linked to the common stock of Apple Inc.; via J.P. Morgan Securities LLC; pricing Nov. 23; Cusip 48124A2L0
• 10% reverse convertible notes due May 31, 2011 linked to Bank of America Corp. stock; via JPMorgan; pricing Nov. 23; Cusip 48124AY84
• 10% upside auto callable single observation reverse exchangeable notes due Nov. 30, 2011 linked to the common stock of Bank of America Corp.; via J.P. Morgan Securities LLC; pricing Nov. 23; Cusip 48124A2N6
• 8.5% upside auto callable single observation reverse exchangeable notes due Nov. 30, 2011 linked to the common stock of Boeing Co.; via J.P. Morgan Securities LLC; pricing Nov. 23; Cusip 48124A2M8
• 13.45% reverse convertible notes due May 31, 2011 linked to Freeport-McMoRan Copper & Gold Inc. stock; via JPMorgan; pricing Nov. 23; Cusip 48124AY92
• 10% upside auto callable single observation reverse exchangeable notes due Nov. 30, 2011 linked to the common stock of Freeport-McMoRan Copper & Gold Inc.; via J.P. Morgan Securities LLC; pricing Nov. 23; Cusip 48124A2P1
• 11.1% reverse convertible notes due Nov. 30, 2011 linked to International Paper Co. stock; via JPMorgan; pricing Nov. 23; Cusip 48124AZ59
• 0% buffered return enhanced notes due Nov. 30, 2012 based on iShares MSCI EAFE index fund; 90% trigger; via J.P. Morgan Securities LLC; pricing Nov. 23; Cusip 48124AV53
• 0% Performance Leveraged Upside Securities due Dec. 28, 2011 based on iShares MSCI Emerging Markets index fund; via J.P. Morgan Securities Inc.; pricing Nov. 23; Cusip 46634X757
• 0% notes due Nov. 28, 2014 linked to the J.P. Morgan Alternative Index Multi-Strategy 5 (USD); via J.P. Morgan Securities LLC; pricing Nov. 23; Cusip 48124AV46
• 0% notes due Nov. 30, 2016 linked to the J.P. Morgan Alternative Index Multi-Strategy 5 (USD); via J.P. Morgan Securities LLC; pricing Nov. 23; Cusip 48124AV38
• 0% bearish notes due Nov. 30, 2016 linked inversely to the J.P. Morgan US Treasury Note Futures (G) Tracker; via J.P. Morgan Securities LLC; pricing Nov. 23; Cusip 48124AV95
• 10.5% reverse convertible notes due May 31, 2011 linked to Monsanto Co. stock; via JPMorgan; pricing Nov. 23; Cusip 48124AZ26
• 0% buffered return enhanced notes due Nov. 30, 2012 based on Russell 2000 index; 90% trigger; via J.P. Morgan Securities LLC; pricing Nov. 23; Cusip 48124AV87
• 0% buffered return enhanced notes due Nov. 30, 2012 based on S&P 500 index; 90% trigger; via J.P. Morgan Securities LLC; pricing Nov. 23; Cusip 48124AV61
• 0% buffered return enhanced notes due May 31, 2013 based on S&P 500 index; 90% trigger; via J.P. Morgan Securities LLC; pricing Nov. 23; Cusip 48124AV79
• 13.35% reverse convertible notes due Feb. 28, 2011 linked to Sprint Nextel Corp. stock; via JPMorgan; pricing Nov. 23; Cusip 48124AY68
• 13.3% reverse convertible notes due May 31, 2011 linked to United States Steel Corp. stock; via JPMorgan; pricing Nov. 23; Cusip 48124AZ34
• 9.5% reverse convertible notes due Nov. 30, 2011 linked to Wells Fargo & Co. stock; via JPMorgan; pricing Nov. 23; Cusip 48124AZ67
• 12% reverse convertible notes due Feb. 28, 2011 linked to Wynn Resorts, Ltd. stock; via JPMorgan; pricing Nov. 23; Cusip 48124AY76
• Floored floating-rate notes due Dec. 9, 2022 based on Libor; J.P. Morgan Securities LLC; pricing Dec. 6; Cusip 48124A3B1
• 8% callable yield notes due Dec. 20, 2011 based on the S&P 500 index and the Russell 2000 index; 70% trigger; via J.P. Morgan Securities LLC; pricing Dec. 15; Cusip 48124A2R7
MORGAN STANLEY
• 0% Performance Leveraged Upside Securities due May 29, 2012 linked to the Indian rupee, Indonesian rupiah, Korean won and Singapore dollar relative to the dollar; via Morgan Stanley & Co. Inc.; pricing Nov. 19; Cusip 61747WAC3
• Fixed- to floating-rate notes due May 23, 2016 linked to Libor; via Morgan Stanley & Co. Inc.; pricing Nov. 19; Cusip 61745EV32
• 0% buffered jump securities due Nov. 24, 2014 linked to the S&P 500 index; via Morgan Stanley & Co. Inc.; pricing Nov. 19; Cusip 617482PK4
• Senior fixed-to-floating notes due Nov. 23, 2019; via Morgan Stanley & Co. Inc.; settling Nov. 23; Cusip 61745EW72
• 2% currency-linked partial principal at risk securities due May 22, 2015 linked to the Brazilian real, Canadian dollar, Norwegian krone, Russian ruble and South African rand; via Morgan Stanley & Co. Inc.; pricing Nov. 23; Cusip 617482KD5
• 0% jump securities due Dec. 23, 2011 linked to the Philadelphia Oil Service Sector index; via Morgan Stanley & Co. Inc.; pricing Nov. 23; Cusip 61759G463
• 10%-12% annualized Equity LinKed Securities due May 24, 2011 based on Priceline.com Inc. shares; 80% trigger; via Morgan Stanley & Co. Inc.; pricing Nov. 23; Cusip 61759G455
• Contingent coupon notes due Nov. 28, 2025 linked to the Russell 2000 index; via Morgan Stanley & Co. Inc.; pricing Nov. 23; Cusip 617482PJ7
• Sifma Municipal Swap index and Libor accrual notes due Nov. 30, 2019; via Morgan Stanley & Co. Inc.; pricing Nov. 24; Cusip 61745E4X6
• Senior fixed-to-floating notes due Nov. 30, 2019; via Morgan Stanley & Co. Inc.; settlement on Nov. 30; Cusip 61745EX55
• 8.25% securities due November 2015 linked to the Brazilian real relative to the dollar; via Morgan Stanley & Co. Inc.; pricing in November; Cusip 61747WAB5
• Floating-rate notes due Nov. 30, 2019 linked to the Consumer Price Index; via Morgan Stanley & Co. Inc.; pricing in November; Cusip 61745EV99
• 0% buffered Performance Leveraged Upside Securities due May 2011 based on iShares Dow Jones U.S. Real Estate index fund; 90% trigger; via Morgan Stanley & Co. Inc.; pricing in November; Cusip 61759G117
• 0% buffered jump securities due Nov. 26, 2014 based on iShares MSCI Emerging Markets index fund, the iShares MSCI EAFE index fund and the S&P 500 index; 85% trigger; via Morgan Stanley & Co. Inc.; pricing in November; Cusip 617482PL2
• Fixed- to floating-rate notes due Nov. 16, 2015 linked to Libor; via Morgan Stanley & Co. Inc.; pricing in November; Cusip 61745EU58
• 14%-16% annualized Equity LinKed Securities due May 2011 based on Netflix Inc. shares; 70% trigger; via Morgan Stanley & Co. Inc.; pricing in November; Cusip 61759G125
• 10-year Sifma CMS rate senior floating-rate notes due November 2019; via Morgan Stanley & Co. Inc.; pricing November; Cusip 61745E4R9
• Commodity 0% index Leading Stockmarket Return Securities due November 2012 based on silver; 65% trigger; via Morgan Stanley & Co. Inc.; pricing in November; Cusip 617482PH1
• Turkish lira-denominated senior fixed-rate step-up notes due Dec. 3, 2014; via Morgan Stanley & Co. International plc; pricing in November: Cusip 056218718
MS STRUCTURED ASSET CORP./MORGAN STANLEY
• Step up callable trust units due August 2020 linked to Alcoa Inc.'s 6.15% senior notes due Aug. 15, 2020; via Morgan Stanley & Co. Inc. and issuer MS Structured Step Up Callable Trust Units Series 2010-03; pricing in November; Cusip 85858AAA9
• Floating-rate trust units due August 2021 linked to International Paper Co.'s 7.5% senior notes due August 2021; via Morgan Stanley & Co. Inc. and issuer Floating Rate Trust Series 2010-04 (IP); pricing in November; Cusip: 33973RAA2
NOMURA AMERICA FINANCE, LLC
• Callable leveraged steepener notes due Nov. 24, 2025 linked to the 10-year and two-year Constant Maturity Swap rates; via Nomura Securities International, Inc.; pricing in November; Cusip 65539AAG5
• 0% currency-linked notes due December 2013 tied to equal weights of the Brazilian real, Australian dollar, Norwegian krone and the Canadian dollar relative to the U.S. dollar; via Nomura Securities International, Inc.; pricing in December; Cusip: 65539AAF7
ROYAL BANK OF CANADA
• 12.5% reverse convertible notes due Feb. 28, 2011 linked to Allegheny Technologies, Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KSA2
• 17.25% reverse convertible notes due Feb. 28, 2011 linked to Apollo Group, Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KRZ8
• 13.25% reverse convertible notes due May 31, 2011 linked to Arch Coal, Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KSR5
• 19.25% reverse convertible notes due Feb. 28, 2011 linked to ATP Oil & Gas Corp. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KSB0
• 14.75% reverse convertible notes due Feb. 28, 2011 linked to Baidu, Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KSC8
• 11.25% reverse convertible notes due May 31, 2011 linked to Boston Scientific Corp. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KST1
• 0% currency-linked notes due Nov. 30, 2015 based on Brazilian real, the Australian dollar, the Canadian dollar and the Norwegian krone relative to the U.S. dollar; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KRQ8
• 11.25% reverse convertible notes due Feb. 28, 2011 linked to Delta Airlines, Inc stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KSD6
• 12.75% reverse convertible notes due May 31, 2011 linked to First Solar, Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KSV6
• 11.25% reverse convertible notes due May 31, 2011 linked to Foster Wheeler AG stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KSX2
• 12.75% reverse convertible notes due May 31, 2011 linked to Freeport-McMoRan Copper & Gold Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KSU8
• 11.75% reverse convertible notes due May 31, 2011 linked to Fuel Systems Solutions Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KSW4
• 13.25% reverse convertible notes due May 31, 2011 linked to Garmin Ltd. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KSY0
• 11.75% reverse convertible notes due Feb. 28, 2011 linked to Genworth Financial Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KSF1
• 17.75% reverse convertible notes due Feb. 28, 2011 linked to Green Mountain Coffee Roasters, Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KSE4
• 10.5% reverse convertible notes due May 31, 2011 linked to Hartford Financial Services Group, Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KSZ7
• 0% buffered enhanced return notes due Nov. 30, 2012 linked to equal weights of the iShares MSCI Emerging Markets index fund and the iShares MSCI Brazil index fund; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KRY1
• 12.75% reverse convertible notes due May 31, 2011 linked to Joy Global Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KTA1
• 17% reverse convertible notes due Feb. 28, 2011 linked to Las Vegas Sands Corp. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KSG9
• 16% reverse convertible notes due Feb. 28, 2011 linked to Massey Energy Co. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KSH7
• 19.25% reverse convertible notes due Feb. 28, 2011 linked to McMoRan Exploration Co. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KSJ3
• 13.25% reverse convertible notes due May 31, 2011 linked to Mosaic Co. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KTB9
• 14.75% reverse convertible notes due Feb. 28, 2011 linked to Netflix Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KSK0
• 14.5% reverse convertible notes due Feb. 28, 2011 linked to Northern Oil and Gas, Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KSL8
• 19.25% reverse convertible notes due Feb. 28, 2011 linked to Rackspace Hosting, Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KSM6
• 12.25% reverse convertible notes due May 31, 2011 linked to Research In Motion Ltd. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KTC7
• 0% buffered bullish enhanced return notes due May 30, 2012 based on Russell 2000 index; 90% trigger; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KRH8
• 0% buffered bullish enhanced return notes due May 30, 2012 based on S&P 500 index; 90% trigger; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KRG0
• 14.75% reverse convertible notes due Feb. 28, 2011 linked to Titanium Metals Corp. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KSN4
• 18.5% reverse convertible notes due Feb. 28, 2011 linked to Trina Solar Ltd. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KSP9
• 12.75% reverse convertible notes due Feb. 28, 2011 linked to United States Steel Corp. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KSQ7
• 10.75% reverse convertible notes due May 31, 2011 linked to Yamana Gold Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 23; Cusip 78008KSS3
• Redeemable step-up notes due Nov. 26, 2025; via RBC Capital Markets Corp.; settlement Nov. 26; Cusip 78008KTH6
• Redeemable range accrual notes due Nov. 26, 2025 linked to the 10-year Constant Maturity Swap rate; via RBC Capital Markets, LLC; pricing in November; Cusip 78008KRS4
• 0% direct investment notes due Jan. 10, 2012 linked to the EquityCompass Equity Risk Management Strategy; via RBC Capital Markets Corp.; pricing Dec. 3; Cusip 78008KRX3
ROYAL BANK OF SCOTLAND NV
• Annual reset coupon securities due Nov. 30, 2015 linked to the S&P 500 index; via RBS Securities Inc.; pricing Nov. 23; Cusip 78009KNT5
• 11% reverse convertible notes due Feb. 28, 2011 linked to Arch Coal, Inc. stock; via RBS Securities Inc.; pricing Nov. 23; Cusip 78009KPC0
• 10.5% reverse convertible notes due May 30, 2011 linked to Bank of America Corp. stock; via RBS Securities Inc.; pricing Nov. 23; Cusip 78009KNY4
• 13% reverse convertible notes due May 30, 2011 linked to Freeport-McMoRan Copper & Gold Inc. stock; via RBS Securities Inc.; pricing Nov. 23; Cusip 78009KNU2
• 13.75% reverse convertible notes due Feb. 28, 2011 linked to Goodyear Tire & Rubber Co. stock; via RBS Securities Inc.; pricing Nov. 23; Cusip 78009KNZ1
• 11% reverse convertible notes due May 30, 2011 linked to International Paper Co. stock; via RBS Securities Inc.; pricing Nov. 23; Cusip 78009KNW8
• 12.25% reverse convertible notes due Feb. 28, 2011 linked to Las Vegas Sands Corp. stock; via RBS Securities Inc.; pricing Nov. 23; Cusip 78009KPB2
• 10.75% reverse convertible notes due Feb. 28, 2011 linked to Research In Motion Ltd. stock; via RBS Securities Inc.; pricing Nov. 23; Cusip 78009KPD8
• 12.25% reverse convertible notes due Feb. 28, 2011 linked to United States Steel Corp. stock; via RBS Securities Inc.; pricing Nov. 23; Cusip 78009KPA4
• 10.75% reverse convertible notes due May 30, 2011 linked to Vale S.A. stock; via RBS Securities Inc.; pricing Nov. 23; Cusip 78009KNX6
• 11% reverse convertible notes due May 30, 2011 linked to Wells Fargo & Co. stock; via RBS Securities Inc.; pricing Nov. 23; Cusip 78009KNV0
SUNTRUST BANKS, INC.
• Contingent coupon notes due Dec. 17, 2013 linked to the S&P 500 index; via SunTrust Robinson Humphrey Inc.; pricing Nov. 19; Cusip 86802WAB4
AB SVENSK EXPORTKREDIT
• Accelerated Return Notes due February 2012 linked to the spot price of gold; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November
• 0% Accelerated Return Notes due January 2012 linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November
• 53-week 8% STEP Income Securities linked to Amazon.com, Inc. common stock; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November or December
UBS AG, JERSEY BRANCH
• Callable fixed- to floating-rate notes due Nov. 24, 2025 linked to Libor; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 19; Cusip 90261JGC1
• Callable step-up fixed-rate notes due Nov. 26, 2030; pricing Nov. 22; via UBS Investment Bank; Cusip 90261JGD9
• 0% market-linked notes due Nov. 30, 2012 tied to equal weights of the Australian dollar, Canadian dollar, Chinese renminbi, Indonesian rupiah, Malaysian ringgit and Norwegian krone; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 24; Cusip 902669233
• 0% performance securities due May 30, 2014 linked to the UBS V10 Currency Index with Volatility Cap; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 24; Cusip 902669225
UBS AG, LONDON BRANCH
• 8.5%-10.5% annualized yield optimization notes with contingent protection due May 24, 2011 linked to Boeing Co. shares; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 18; Cusip: 90267F840
• 8.8%-10.8% annualized yield optimization notes with contingent protection due May 24, 2011 linked to Chesapeake Energy Corp. shares; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 18; Cusip: 90267F857
• 0% optimization securities with contingent protection due May 31, 2012 linked to the Russell 2000 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 24; Cusip 90267F238
UNION BANK, NA
• Zero-coupon principal-protected quarterly capped return market-linked certificates of deposit due Nov. 24, 2014 linked to the S&P 500 index; via UnionBanc Investment Services, LLC and distributor Incapital LLC; pricing Nov. 19; Cusip 90521ADJ4
• Zero-coupon principal-protected market-linked certificates of deposit due Nov. 24, 2015 linked to the Brazilian real, Russian ruble, Indian rupee and Chinese renminbi; via UnionBanc Investment Services, LLC and distributor Incapital LLC; pricing Nov. 22; Cusip 90521ADL9
• Zero-coupon principal-protected quarterly capped return market-linked certificates of deposit due May 27, 2014 linked to the Dow Jones - UBS Commodity index; via UnionBanc Investment Services, LLC and distributor Incapital LLC; pricing Nov. 22; Cusip 90521ADM7
• Zero-coupon principal-protected quarterly capped return market-linked certificates of deposit due Nov. 24, 2014 linked to the price of gold; via UnionBanc Investment Services, LLC and distributor Incapital LLC; pricing Nov. 22; Cusip 90521ADK1
• Zero-coupon market-linked certificates of deposit due Nov. 29, 2016 linked to the S&P 500 index; via UnionBanc Investment Services, LLC and Incapital LLC; pricing Nov. 23; Cusip 90521ADS4
• Zero-coupon principal-protected capped return market-linked certificates of deposit due Nov. 24, 2017 linked to the S&P 500 index; via UnionBanc Investment Services, LLC; pricing Nov. 23; Cusip 90521ADR6
WELLS FARGO BANK, NA
• Annual interest certificates of deposit due Nov. 30, 2016 linked to a basket of common stocks including Alcoa Inc., American Express Co., Apple Inc., AT&T Inc., Bank of America Corp., Eli Lilly & Co., Exelon Corp., General Electric Co., Home Depot, Inc., Intel Corp., Lockheed Martin Corp., Merck & Co., Inc., Philip Morris International Inc., Schlumberger NV (Schlumberger Ltd.), Verizon Communications Inc. and Wal-Mart Stores, Inc.; via Incapital LLC as distributor; pricing Nov. 22; Cusip 949748YY7
• Contingent annual interest market-linked certificates of deposit due Nov. 30, 2015 based on S&P GSCI Crude Oil Index Excess Return, gasoline, sugar, soybeans, S&P GSCI Wheat Index Excess Return, S&P GSCI Livestock Index Excess Return, zinc, gold, platinum and nickel; via Incapital LLC; pricing Nov. 23; Cusip 949748A56
WELLS FARGO & CO.
• 0% access securities due June 2013 based on Brazilian real, the Australian dollar, the Norwegian krone and the Canadian dollar relative to U.S. dollar; via Wells Fargo Securities, LLC; settlement in December; Cusip 94986RBM2
• 0% enhanced growth securities due June 2013 based on iShares Dow Jones U.S. Real Estate index fund; 85% trigger; via Wells Fargo Securities, LLC; settlement in December; Cusip 94986RBN0
• 0% enhanced growth securities due June 2013 based on Russell 2000 index; 90% trigger; via Wells Fargo Securities, LLC; settlement in December; Cusip 94986RBL4
• Contingent annual interest market-linked certificates of deposit due June 2017 based on SPDR S&P 500 ETF trust, the iShares MSCI EAFE index fund and the iShares MSCI Emerging Markets index fund; via Wells Fargo Securities, LLC; settlement in December; Cusip 94986RBQ3
• Six-year 0% market-linked notes tied to the S&P 500 index; via Wells Fargo Securities, LLC; pricing in December; Cusip 94986RBP5
WEST BANK
• Annual income opportunity certificates of deposit with auto cap feature due Nov. 25, 2016 linked to a basket of U.S. Equities including Altria Group, Inc., Broadcom Corp., Exxon Mobil Corp., Google Inc., Johnson & Johnson, Kellogg Co., Merck & Co., Inc., Streettracks Gold Trust, U.S. Bancorp and Verizon Communications Inc.; via Advisors Asset Management, Inc. as distributor; pricing Nov. 24; Cusip 95144PCV1
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