| 11/5/2020 | SP | New Issue: HSBC prices $660,000 contingent income buffered autocalls on assets
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| 8/28/2020 | SP | New Issue: HSBC prices $500,000 contingent income barrier autocalls on index, ETF
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| 8/24/2020 | SP | HSBC plans contingent income barrier autocalls on index, ETF
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| 2/5/2020 | SP | New Issue: RBC prices $945,000 contingent coupon barrier autocallables linked to ETFs
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| 7/12/2019 | SP | Morgan Stanley plans contingent income buffered autocalls on oil funds
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| 6/19/2019 | SP | New Issue: Morgan Stanley sells $595,000 contingent income buffered autocalls on ETFs
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| 6/11/2019 | SP | Morgan Stanley plans contingent income buffered autocalls on ETFs
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| 6/4/2019 | SP | HSBC plans buffered market participation notes on Market Vectors Gold
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| 5/1/2019 | SP | New Issue: Morgan Stanley sells $250,000 contingent income buffered autocalls on two ETFs
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| 1/8/2019 | SP | Morgan Stanley eyes contingent income buffered autocalls on funds
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| 10/30/2018 | SP | New Issue: Morgan Stanley prices $565,000 enhanced trigger jump notes tied to index, two funds
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| 8/23/2018 | SP | HSBC plans 15-month buffered market participation notes on gold fund
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| 7/16/2018 | SP | New Issue: HSBC sells $390,000 buffered market participation notes on Gold Miners
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| 6/26/2018 | SP | Market Commentary: HSBC’s series of buffered market participation notes on sector ETFs play defense only
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| 6/15/2018 | SP | HSBC plans buffered market participation notes linked to Gold Miners
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| 2/9/2018 | SP | New Issue: Deutsche Bank sells $1.05 million phoenix autocallables on two indexes, two ETFs
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| 1/5/2018 | SP | New Issue: HSBC sells $9.51 million six-month PLUS linked to index, ETF basket
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| 11/1/2017 | SP | New Issue: HSBC prices $6.9 million contingent income autocallables tied to Gold Miners
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| 7/21/2017 | SP | New Issue: RBC sells $8.89 million PLUS linked to three indexes, three ETFs
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| 2/21/2017 | SP | Morgan Stanley eyes autocallables due 2020 tied to Market Vectors Gold
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| 1/4/2017 | SP | New Issue: RBC prices $7.31 million PLUS due 2018 linked to basket
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| 12/14/2016 | SP | RBC plans to price PLUS due June 2017 tied to index, ETF basket
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| 6/29/2016 | SP | Market Commentary: Morgan Stanley to price deals linked to diversified equity baskets on behalf of RBC, Citi
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| 3/14/2016 | SP | New Issue: UBS prices $206,000 trigger phoenix autocallable optimization securities linked to Market Vectors Gold Miners
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| 3/14/2016 | SP | New Issue: UBS prices $185,000 trigger phoenix autocallable optimization securities linked to Market Vectors Gold Miners
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| 2/5/2016 | SP | New Issue: UBS prices $210,000 trigger phoenix autocallables linked to Gold Miners ETF
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| 1/8/2016 | SP | New Issue: UBS prices $100,000 airbag yield optimization notes linked to Gold Miners ETF
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| 1/7/2016 | SP | New Issue: RBC prices $9.6 million PLUS with cap linked to two indexes, four funds
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| 12/23/2015 | SP | RBC plans six-month PLUS with cap linked to two indexes, four funds
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| 10/8/2015 | SP | New Issue: UBS prices $365,000 trigger phoenix autocallable optimization securities linked to Market Vectors Gold Miners
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| 8/5/2015 | SP | New Issue: UBS prices $104,994 10.17% trigger yield optimization notes linked to Market Vectors Gold Miners
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| 7/7/2015 | SP | New Issue: RBC prices $11.37 million six-month PLUS linked to fund, index basket
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| 7/1/2015 | SP | RBC to price six-month PLUS tied to basket of two indexes, two ETFs
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| 5/19/2015 | SP | New Issue: UBS prices $110,000 trigger phoenix autocallable optimization securities linked to Market Vectors Gold Miners
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| 4/17/2015 | SP | New Issue: UBS prices $325,000 trigger phoenix autocallable optimization securities linked to Market Vectors Gold Miners
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| 4/7/2015 | SP | Barclays plans callable contingent coupon notes linked to gold fund
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| 4/6/2015 | SP | New Issue: UBS prices $100,000 trigger phoenix autocallable optimization securities linked to Market Vectors Gold Miners
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| 2/25/2015 | SP | New Issue: UBS prices $198,770 trigger phoenix autocallable optimization securities on Gold Miners fund
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| 2/24/2015 | SP | New Issue: UBS prices $305,000 contingent absolute return autocallable optimization securities linked to Market Vectors Gold Miners
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| 2/24/2015 | SP | New Issue: UBS prices $180,000 trigger phoenix autocallable optimization securities linked to Market Vectors Gold Miners
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| 2/24/2015 | SP | New Issue: UBS prices $195,000 trigger phoenix autocallable optimization securities linked to Market Vectors Gold Miners
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| 2/19/2015 | SP | Barclays plans callable contingent coupon notes linked to gold fund
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| 2/17/2015 | SP | New Issue: UBS prices $100,000 trigger phoenix autocallables linked to Market Vectors Gold Miners
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| 2/5/2015 | SP | New Issue: UBS prices $170,000 trigger phoenix autocallable optimization securities linked to Market Vectors Gold Miners
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| 1/8/2015 | SP | HSBC plans contingent income barrier notes linked to Gold Miners fund
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| 12/18/2014 | SP | RBC plans to price PLUS linked to basket of three indexes, two funds
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| 11/18/2014 | SP | Barclays plans callable contingent coupon notes linked to gold fund
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| 11/17/2014 | SP | New Issue: Barclays prices $7.12 million callable contingent coupon notes linked to gold fund
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| 11/12/2014 | SP | Barclays plans callable contingent coupon notes linked to gold fund
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| 10/21/2014 | SP | New Issue: UBS prices $100,000 airbag yield optimization notes linked to Market Vectors Gold Miners
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| 6/23/2014 | SP | RBC to price PLUS linked to basket of indexes, ETFs
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| 4/30/2014 | SP | New Issue: UBS prices $200,000 airbag yield optimization notes linked to Market Vectors Gold Miners
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| 4/8/2014 | SP | New Issue: UBS prices $130,000 trigger phoenix autocallables linked to Gold Miners
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| 4/2/2014 | SP | New Issue: UBS prices $100,000 trigger phoenix autocallables linked to Gold Miners
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| 3/21/2014 | SP | New Issue: UBS prices $340,000 trigger phoenix autocallables linked to Gold Miners
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| 3/4/2014 | SP | New Issue: UBS prices $950,000 trigger phoenix autocallables linked to Gold Miners
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| 2/18/2014 | SP | JPMorgan plans single observation knock-out digital notes on S&P 500, Market Vectors Gold fund
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| 1/3/2014 | SP | New Issue: UBS prices $195,000 trigger phoenix autocallables linked to Gold Miners
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| 12/19/2013 | SP | New Issue: RBC prices $900,000 12.25% reverse convertibles linked to Market Vectors gold miners
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| 12/6/2013 | SP | New Issue: UBS prices $535,000 trigger phoenix autocallables linked to Gold Miners
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| 12/4/2013 | SP | New Issue: UBS prices $200,000 trigger phoenix autocallables linked to Gold Miners
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| 12/4/2013 | SP | New Issue: UBS prices $250,000 trigger phoenix autocallables linked to Gold Miners
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| 11/26/2013 | SP | New Issue: UBS prices $104,983 9.29% trigger yield optimization notes linked to Gold Miners
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| 10/31/2013 | SP | New Issue: RBC prices $745,000 13% reverse convertibles linked to Market Vectors Gold Miners
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| 10/1/2013 | SP | New Issue: UBS prices $125,000 trigger phoenix autocallables linked to Gold Miners
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| 8/30/2013 | SP | New Issue: UBS prices $1.74 million 7.4% airbag autocallables linked to Market Vectors Gold Miners
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| 8/28/2013 | SP | New Issue: UBS prices $100,000 trigger autocallables linked to Gold Miners ETF
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| 8/28/2013 | SP | New Issue: UBS prices $104,000 trigger phoenix autocallables linked to Gold Miners
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| 8/28/2013 | SP | New Issue: UBS prices $3 million trigger autocallables linked to Gold Miners ETF
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| 8/27/2013 | SP | New Issue: UBS prices $175,000 trigger phoenix autocallables linked to Gold Miners
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| 8/26/2013 | SP | New Issue: UBS prices $100,000 trigger autocallables linked to Gold Miners
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| 8/22/2013 | SP | New Issue: UBS prices $100,000 trigger phoenix autocallables linked to Gold Miners
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| 8/1/2013 | SP | New Issue: UBS prices $110,000 trigger phoenix autocallables linked to Gold Miners
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| 7/31/2013 | SP | New Issue: Credit Suisse prices $531,000 high/low coupon callable notes on two funds
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| 7/31/2013 | SP | New Issue: RBC prices $860,000 11% reverse convertibles linked to Market Vectors Gold Miners
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| 6/24/2013 | SP | New Issue: Credit Suisse prices $1.55 million high/low coupon callable notes linked to two funds
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| 6/20/2013 | SP | New Issue: Credit Suisse prices $551,000 high/low coupon callable notes on funds
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| 6/20/2013 | SP | New Issue: UBS prices $154,885 10.16% trigger yield optimization notes linked to Gold Miners
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| 6/11/2013 | SP | New Issue: UBS prices $125,000 trigger phoenix autocallables linked to Gold Miners
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| 6/7/2013 | SP | New Issue: Barclays prices $670,000 11.4% reverse convertibles linked to Market Vectors Gold Miners
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| 6/7/2013 | SP | New Issue: UBS prices $100,000 trigger autocallables linked to Gold Miners
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| 6/6/2013 | SP | Barclays to price 11.4% reverse convertibles linked to Market Vectors Gold Miners
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| 6/3/2013 | SP | New Issue: UBS prices $224,937 10.23% trigger yield optimization notes linked to Gold Miners
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| 5/29/2013 | SP | New Issue: UBS prices $100,000 trigger autocallables linked to Gold Miners
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| 5/28/2013 | SP | New Issue: UBS prices $3 million trigger autocallables linked to Gold Miners fund
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| 5/24/2013 | SP | New Issue: UBS prices $125,000 trigger phoenix autocallables linked to Gold Miners
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| 5/22/2013 | SP | New Issue: UBS prices $225,000 trigger phoenix autocallables linked to Market Vectors Gold Miners
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| 5/15/2013 | SP | New Issue: UBS prices $100,000 trigger autocallables linked to Market Vectors Gold Miners
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| 5/15/2013 | SP | New Issue: UBS prices $100,000 trigger phoenix autocallables linked to Market Vectors Gold Miners
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| 5/8/2013 | SP | New Issue: UBS prices $150,000 trigger autocallables linked to Market Vectors Gold Miners
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| 4/10/2013 | SP | New Issue: UBS prices $300,000 trigger phoenix autocallables linked to Market Vectors Gold Miners
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| 3/1/2013 | SP | JPMorgan plans 6.7% autocallable yield notes on Russell, two funds
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| 2/11/2013 | SP | JPMorgan plans 6.5% autocallable yield notes on Russell, two funds
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| 2/1/2013 | SP | Market Commentary: Bank of Montreal's digital noted linked to Gold Miners ETF offer 15% buffer, low credit risk
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| 11/26/2012 | SP | New Issue: JPMorgan prices $1.76 million 7.05% autocallable yield notes linked to EM, gold funds
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| 11/14/2012 | SP | New Issue: UBS prices $109,000 trigger phoenix autocallables linked to Market Vectors Gold Miners
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| 11/2/2012 | SP | JPMorgan plans 10%-12% autocallable yield notes on gold fund, Russell
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| 10/31/2012 | SP | New Issue: Credit Suisse prices $1.14 million high/low coupon callable notes linked to Russell, funds
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| 10/31/2012 | SP | New Issue: JPMorgan prices $1.65 million high/low coupon autocallables linked to Russell, funds
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| 10/31/2012 | SP | New Issue: Barclays prices $110,000 buffered Super Track notes linked to gold ETF
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| 10/29/2012 | SP | New Issue: Credit Suisse prices $2.05 million 0% Bares on gold ETF, iShares Silver
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| 10/25/2012 | SP | Credit Suisse plans two-year Bares tied to Gold Miners, iShares Silver
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| 10/25/2012 | SP | Market Commentary: HSBC's buffered AMPS tied to SPDR S&P Metals & Mining ETF offer rare exposure, technical play
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| 10/9/2012 | SP | New Issue: UBS prices $330,900 trigger phoenix autocallables linked to Market Vectors Gold Miners
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| 10/9/2012 | SP | New Issue: UBS prices $246,500 trigger phoenix autocallables linked to Market Vectors Gold Miners
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| 10/3/2012 | SP | New Issue: JPMorgan prices $2.24 million 5% bearish autocallable yield notes tied to two ETFs
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| 9/19/2012 | SP | New Issue: UBS prices $99,991 6.08% trigger yield optimization notes on Market Vectors Gold Miners
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| 9/19/2012 | SP | New Issue: UBS prices $99,991 6.08% trigger yield optimization notes on Market Vectors Gold Miners
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| 7/27/2012 | SP | New Issue: UBS prices $199,993 6.55% trigger yield optimization notes linked to Market Vectors Gold Miners
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| 7/27/2012 | SP | New Issue: UBS prices $219,919 6.21% trigger yield optimization notes linked to Market Vectors Gold Miners
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| 7/10/2012 | SP | New Issue: UBS prices $100,000 trigger phoenix autocallables linked to Market Vectors Gold Miners
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| 6/26/2012 | SP | New Issue: UBS prices $600,000 trigger phoenix autocallables linked to Market Vectors Gold Miners
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| 5/17/2012 | SP | New Issue: Bank of Montreal prices $365,000 reverse exchangeable notes tied to Market Vectors
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| 5/15/2012 | SP | New Issue: UBS prices $109,915 10.99% trigger yield optimization notes linked to Gold Miners
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| 5/8/2012 | SP | New Issue: UBS prices $499,967 10.3% trigger yield optimization notes linked to Market Vectors Gold Miners
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| 4/27/2012 | SP | New Issue: UBS prices $100,000 trigger phoenix autocallables linked to Gold Miners
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| 4/20/2012 | SP | New Issue: UBS prices $100,000 trigger autocallables linked to Market Vectors Gold Miners
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| 4/20/2012 | SP | New Issue: UBS prices $100,000 trigger autocallables linked to Market Vectors Gold Miners
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| 3/9/2012 | SP | New Issue: JPMorgan prices $3.64 million buffered return enhanced notes linked to gold, silver ETFs
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| 10/3/2011 | SP | RBC plans 9%-12% trigger yield optimization notes on Vectors Gold ETF
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| 8/9/2011 | SP | New Issue: Credit Suisse sells $14.87 million 13.2% callable yield notes on Russell, two funds
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| 7/29/2011 | SP | Credit Suisse plans high/low coupon callable yield notes on two ETFs
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| 7/29/2011 | SP | New Issue: Credit Suisse increases high/low coupon callable yield notes tied to ETFs to $1.38 million
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| 7/28/2011 | SP | New Issue: Credit Suisse prices $641,000 8.7% callable yield notes linked to Russell, two funds
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| 7/28/2011 | SP | New Issue: Credit Suisse sells $1.37 million high/low coupon callable yield notes on two ETFs
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| 7/13/2011 | SP | New Issue: Credit Suisse prices $763,000 8.3% callable yield notes linked to index, two ETFs
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| 7/5/2011 | SP | Credit Suisse plans 8.3% callable yield notes tied to index, two ETFs
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| 6/29/2011 | SP | Credit Suisse plans high/low coupon callable yield notes on SPDR Metals, Vectors Gold Miners ETFs
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| 6/29/2011 | SP | New Issue: Credit Suisse prices $2.42 million high/low coupon callable yield notes on metals, gold
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| 6/29/2011 | SP | Credit Suisse plans 10%-12% callable yield notes on metals, gold funds
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| 6/29/2011 | SP | Credit Suisse plans 12%-14% callable yield notes on metals, gold funds
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| 6/2/2011 | SP | New Issue: Credit Suisse prices $238,000 high/low coupon callable yield notes on metals, gold
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| 5/31/2011 | SP | Credit Suisse plans 12%-14% callable yield notes on metals, gold funds
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| 5/31/2011 | SP | Credit Suisse plans high/low coupon callable yield notes on SPDR S&P Metals, Gold Miners ETFs
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| 5/31/2011 | SP | Credit Suisse plans 10%-12% callable yield notes on metals, gold funds
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| 5/27/2011 | SP | New Issue: Credit Suisse prices $2.03 million high/low coupon callable yield notes on metals, gold
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| 4/29/2011 | SP | Credit Suisse plans high/low coupon callable yield notes linked to mining, gold ETFs
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| 4/29/2011 | SP | Credit Suisse plans high/low coupon callable yield notes linked to gold, mining ETFs
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| 4/19/2011 | SP | New Issue: Credit Suisse prices $1.76 million 10% callable yield notes tied to mining, gold ETFs
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| 4/4/2011 | SP | New Issue: Credit Suisse prices $748,000 10% callable yield notes on SPDR metals, Gold Miners
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| 3/31/2011 | SP | Credit Suisse plans 10%-12% callable yield notes on metals, gold funds
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| 3/31/2011 | SP | Credit Suisse plans 8%-10% callable yield notes on silver, gold funds
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| 3/31/2011 | SP | Credit Suisse plans six-month 8%-10% callable yield notes on two funds
|
| 3/30/2011 | SP | New Issue: Credit Suisse prices $285,000 9.5% callable yield notes linked to metals, gold funds
|
| 3/17/2011 | SP | New Issue: Credit Suisse prices $2.51 million 12% callable yield notes tied to metals, gold ETFs
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| 3/2/2011 | SP | New Issue: Credit Suisse prices $721,000 12% callable yield notes on SPDR Metals, Gold Miners
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| 2/25/2011 | SP | New Issue: Credit Suisse prices $14.75 million 9.05% callable yield notes linked to mining, gold ETFs
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| 2/25/2011 | SP | New Issue: Credit Suisse sells $1.13 million high/low callable yield notes on metals, gold ETFs
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| 2/16/2011 | SP | Credit Suisse plans 8.35% callable yield notes on metals, gold ETFs
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| 2/15/2011 | SP | New Issue: Credit Suisse sells $3.25 million 10.75% callable yield notes on index, two funds
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| 2/8/2011 | SP | Credit Suisse plans 10.75% callable yield notes on index, two funds
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| 2/4/2011 | SP | New Issue: Credit Suisse prices $15,000 additional 9% callable yield notes linked to metals, gold ETFs
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| 1/31/2011 | SP | Credit Suisse plans 9%-11% callable yield notes on metals/mining ETFs
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| 1/31/2011 | SP | Credit Suisse plans high/low coupon callable yield notes linked to mining, gold ETFs
|
| 1/31/2011 | SP | HSBC plans 10%-14% autocallable yield notes on metals, mining ETFs
|
| 1/31/2011 | SP | Credit Suisse plans 12%-14% callable yield notes tied to mining ETFs
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| 1/31/2011 | SP | Credit Suisse plans 12%-14% callable yield notes on metals/mining ETFs
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| 1/28/2011 | SP | New Issue: Bank of Montreal prices $347,000 7.85% reverse exchangeables on Gold Miners
|
| 1/28/2011 | SP | New Issue: Credit Suisse sells $1.54 million 9% callable yield notes on SPDR metals, Gold Miners
|
| 1/28/2011 | SP | New Issue: Credit Suisse sells $1.07 million high/low callable yield notes on metals, gold funds
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| 1/19/2011 | SP | Credit Suisse pushes back pricing of high/low coupon callable yield notes tied to metals, gold ETFs
|
| 1/11/2011 | SP | Credit Suisse plans high/low coupon notes tied to metals, gold ETFs
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| 12/30/2010 | SP | Credit Suisse plans 10%-12% callable yield notes tied to mining ETFs
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| 12/29/2010 | SP | New Issue: Credit Suisse prices $214,000 10% callable yield notes linked to mining ETFs
|
| 12/29/2010 | SP | Credit Suisse plans high/low coupon callable yield notes linked to SPDR S&P metals/mining, gold ETFs
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| 12/29/2010 | SP | New Issue: Credit Suisse prices $774,000 9% callable yield notes linked to mining ETFs
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| 12/21/2010 | SP | New Issue: Credit Suisse prices $650,000 high/low coupon callable yield notes linked to mining ETFs
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| 12/9/2010 | SP | Credit Suisse plans high/low coupon callable yield notes linked to mining, gold ETFs
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| 11/15/2010 | SP | Credit Suisse plans 8.75% callable notes on SPDR Metals, Gold Miners
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| 11/3/2010 | SP | New Issue: RBC prices $1.12 million 12.76% reverse convertibles linked to Market Vectors Gold Miners
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| 10/4/2010 | SP | New Issue: Credit Suisse prices $1.02 million Bares linked to Market Vector Gold Miners ETF
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| 7/14/2010 | SP | New Issue: RBC prices $500,000 9.45% reverse convertibles linked to Market Vectors Gold Miners
|