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Structured Products Calendar
ABN AMRO BANK NV
• 11% reverse convertible notes due Nov. 24, 2010 linked to Amazon.com, Inc. stock; 70% trigger; via RBS Securities Inc.; pricing Nov. 20
• 15.5% reverse convertible notes due May 25, 2010 linked to Caterpillar Inc. stock; 80% trigger; via RBS Securities Inc.; pricing Nov. 20
• 17.25% reverse convertible notes due May 25, 2010 linked to Freeport-McMoRan Copper & Gold Inc. stock; 75% trigger; via RBS Securities Inc.; pricing Nov. 20
• 13.65% reverse convertible notes due May 25, 2010 linked to Halliburton Co. stock; 80% trigger; via RBS Securities Inc.; pricing Nov. 20
• 17% reverse convertible notes due Feb. 25, 2010 linked to MetLife, Inc. stock; 75% trigger; via RBS Securities Inc.; pricing Nov. 20
• 14.35% reverse convertible notes due May 25, 2010 linked to National Oilwell Varco, Inc. stock; 75% trigger; via RBS Securities Inc.; pricing Nov. 20
• 17% reverse convertible notes due May 25, 2010 linked to Peabody Energy Corp. stock; 75% trigger; via RBS Securities Inc.; pricing Nov. 20
• 11% reverse convertible notes due May 25, 2010 linked to Schlumberger N.V. (Schlumberger Ltd.) stock; 75% trigger; via RBS Securities Inc.; pricing Nov. 20
• 11.5% reverse convertible notes due May 28, 2010 linked to Apple Inc. stock; via RBS Securities Inc.; pricing Nov. 24
• 16.75% reverse convertible notes due Feb. 26, 2010 linked to Advanced Micro Devices, Inc. stock; via RBS Securities Inc.; pricing Nov. 24
• 16.75% reverse convertible notes due Feb. 26, 2010 linked to Alcoa Inc. stock; via RBS Securities Inc.; pricing Nov. 24
• 13.75% reverse convertible notes due May 28, 2010 linked to Caterpillar Inc. stock; via RBS Securities Inc.; pricing Nov. 24
• 13.35% reverse convertible notes due May 28, 2010 linked to CSX Corp. stock; via RBS Securities Inc.; pricing Nov. 24
• 13.25% reverse convertible notes due May 28, 2010 linked to Deere & Co. stock; via RBS Securities Inc.; pricing Nov. 24
• 20% reverse convertible notes due Feb. 26, 2010 linked to DryShips Inc. stock; via RBS Securities Inc.; pricing Nov. 24
• 12.5% reverse convertible notes due Feb. 26, 2010 linked to Freeport-McMoRan Copper & Gold Inc. stock; via RBS Securities Inc.; pricing Nov. 24
• 12.75% reverse convertible notes due May 28, 2010 linked to General Electric Co. stock; via RBS Securities Inc.; pricing Nov. 24
• 11% reverse convertible notes due Feb. 26, 2010 linked to Goldcorp Inc. stock; via RBS Securities Inc.; pricing Nov. 24
• 10.5% reverse convertible notes due May 28, 2010 linked to Intel Corp. stock; via RBS Securities Inc.; pricing Nov. 24
• 15.5% reverse convertible notes due Feb. 26, 2010 linked to Joy Global Inc. stock; via RBS Securities Inc.; pricing Nov. 24
• 11.65% reverse convertible notes due May 28, 2010 linked to MasterCard Inc. stock; via RBS Securities Inc.; pricing Nov. 24
• 14% reverse convertible notes due May 28, 2010 linked to MetLife, Inc. stock; via RBS Securities Inc.; pricing Nov. 24
• 11.85% reverse convertible notes due Feb. 26, 2010 linked to Morgan Stanley stock; via RBS Securities Inc.; pricing Nov. 24
• 12.75% reverse convertible notes due Feb. 26, 2010 linked to Peabody Energy Corp. stock; via RBS Securities Inc.; pricing Nov. 24
• 13.85% reverse convertible notes due May 28, 2010 linked to Potash Corp. of Saskatchewan Inc. stock; via RBS Securities Inc.; pricing Nov. 24
• 14% reverse convertible notes due May 28, 2010 linked to RadioShack Corp. stock; via RBS Securities Inc.; pricing Nov. 24
• 12.65% reverse convertible notes due Feb. 26, 2010 linked to Research In Motion Ltd. stock; via RBS Securities Inc.; pricing Nov. 24
• 0% digital buffer securities due Nov. 30, 2011 linked to the S&P 500 index; 80% trigger; via RBS Securities Inc.; pricing Nov. 24
• 8% Knock-in Reverse Exchangeable Securities due May 28, 2010 linked to the SPDR Trust, series 1; 87.5% trigger; via RBS Securities Inc.; pricing Nov. 24
• 19% reverse convertible notes due Feb. 26, 2010 linked to United States Steel Corp. stock; via RBS Securities Inc.; pricing Nov. 24
BANK OF AMERICA CORP.
• 0% Currency Market Index Target-Term Securities due December 2011 linked to Brazilian real, Chinese renminbi and Indian rupee; via Merrill Lynch, Pierce, Fenner & Smith Inc. and First Republic Securities Co., LLC; pricing in November
• 8% STEP Income Securities linked to the common stock of Caterpillar Inc.; 95% trigger; via Merrill Lynch, Pierce, Fenner & Smith Inc. and First Republic Securities Co., LLC; pricing in November
• 100% principal-protected notes due November 2029 linked to the difference between the 30-year Constant Maturity Swap rate and the two-year CMS rate; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November
• Five-year 0% Market Index Target-Term Securities linked to the Dow Jones - UBS Commodity Index Excess Return; via Merrill Lynch & Co. and First Republic Securities Co.; pricing in November
• Five-year 0% Market Index Target-Term Securities linked to the Dow Jones Industrial Average; via Merrill Lynch & Co. and First Republic Securities Co.; pricing in November
• 0% Capped Leveraged Index Return Notes due 2011 linked to the Dow Jones U.S. Real Estate index; 80% trigger; via Merrill Lynch, Pierce, Fenner & Smith Inc., First Republic Securities Co., LLC and Banc of America Investment Services, Inc.; pricing in November
• 0% Capped Leveraged Index Return Notes due November 2011 linked to FTSE/Xinhua China 25 index and the Bovespa index; 90% trigger; via Merrill Lynch, Pierce, Fenner & Smith Inc. and First Republic Securities Co., LLC; pricing in November
• Bear Accelerated Return Notes due May 2010 linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc. and First Republic Securities Co., LLC; pricing in November
• 0% market-linked step up notes due November 2012 linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc. and First Republic Securities Co., LLC; pricing in November
• 9% two-year callable Stock Return Income Debt Securities payable at maturity with shares of Amazon.com, Inc. common stock; via Merrill Lynch, Pierce, Fenner & Smith Inc. and First Republic Securities Co., LLC; pricing in November or December
• Two-year 0% Market Index Target-Term Securities due November 2011 linked the Brazilian real and Mexican peso against the dollar; via Merrill Lynch, Pierce, Fenner & Smith Inc. and First Republic Securities Co., LLC, Inc.; pricing in November or December
• 100% principal-protected floating-rate notes due November 2019 linked to the 10-year Constant Maturity Swap rate; via Merrill Lynch, Pierce, Fenner & Smith Inc. and First Republic Securities Co., LLC; pricing in November or December
• Two-year zero-coupon 100% principal-protected market-linked step up notes linked to the Dow Jones Stoxx 600 index; via Merrill Lynch, Pierce, Fenner & Smith Inc. and First Republic Securities Co., LLC; pricing in November or December
• 0% five-year Market Index Target-Term Securities linked to gold; via Merrill Lynch, Pierce, Fenner & Smith Inc. and First Republic Securities Co., LLC; pricing in November or December
• One-year 8% STEP Income Securities linked to Microsoft Corp. common stock; via Merrill Lynch, Pierce, Fenner & Smith Inc. and First Republic Securities Co., LLC; pricing in November or December
• Two-year zero-coupon 100% principal-protected market-linked step up notes linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc. and First Republic Securities Co., LLC; pricing in November or December
• Two-year 0% Strategic Accelerated Redemption Securities linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc. and First Republic Securities Co., LLC; pricing in November or December
BARCLAYS BANK DELAWARE
• 0.5%-1% certificates of deposit due Nov. 28, 2014 linked to West Texas Intermediate light sweet crude oil; via agent Barclays Capital Inc. and distributor Advisors Asset Management, Inc.; pricing Nov. 23
• Certificates of deposit due Nov. 25, 2014 linked to the stocks of Apple Inc., Advanced Micro Devices, Inc., Bank of America Corp., Deere & Co., General Electric Co., Randgold Resources Ltd., Massey Energy Co., Micron Technology, Supervalu Inc. and Tesoro Corp.; via Barclays Capital Inc.; settlement Nov. 30
• Zero-coupon certificates of deposit due Nov. 25, 2014 linked to the performance of Barclays Capital Trade-Weighted Dollar Diversification index; via Barclays Capital Inc.; settlement Nov. 30
• Certificates of deposit due Nov. 25, 2014 linked to soybeans, WTI Crude, sugar, copper, lead, tin, nickel, zinc, platinum and gasoline; via Barclays Capital Inc.; settlement Nov. 30
• Zero-coupon certificates of deposit due Nov. 25, 2014 linked to S&P 500 index, Australian dollar, the Brazilian real, the Russian ruble, the Dow Jones-UBS Commodity index and the Consumer Price Index; via Barclays Capital Inc.; settlement Nov. 30
BARCLAYS BANK PLC
• 0% autocallable index knock-out buffer notes due Aug. 27, 2010 linked to the S&P 500 index; 85% trigger; via JPMorgan Chase Bank, NA and J.P. Morgan Securities Inc.; pricing Nov. 18
• Zero-coupon 95% principal-protected notes due Nov. 25, 2011 linked to Australian dollar, Brazilian real, Canadian dollar and Norwegian krone; via JPMorgan Chase Bank, NA and J.P. Morgan Securities Inc.; pricing Nov. 20
• 0% Buffered Super Track Notes due Nov. 25, 2011 linked to the Dow Jones-UBS Commodity index; 85% trigger; via Barclays Capital Inc.; pricing Nov. 20
• 0% buffered return enhanced notes due Nov. 29, 2011 linked to the Dow Jones - UBS Commodity Index 3 Month Forward; via JPMorgan Chase Bank, NA and J.P. Morgan Securities Inc; pricing Nov. 20
• 17.75% reverse convertible notes due May 25, 2010 linked to Joy Global Inc stock; 70% trigger; via Barclays Capital; pricing Nov. 20
• 12.1% reverse convertible notes due Feb. 25, 2010 linked to PNC Financial Services Group, Inc. stock; 75% trigger; via Barclays Capital; pricing Nov. 20
• 0% Buffered Super Track Notes due Nov. 25, 2011 linked to the S&P 500 index; 85% trigger; via Barclays Capital Inc.; pricing Nov. 20
• Medium-term notes due Nov. 23, 2011 linked to the S&P 500 index; via Barclays Capital Inc.; pricing Nov. 20
• 11.8% reverse convertible notes due Feb. 25, 2010 linked to United States Steel Corp. stock; 70% trigger; via Barclays Capital; pricing Nov. 20
• 10.5% reverse convertible notes due May 26, 2010 linked to AES Corp. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 17.75% reverse convertible notes due May 26, 2010 linked to AK Steel Holding Corp. stock; 70% trigger; via Barclays Capital; pricing Nov. 23
• 11.25% reverse convertible notes due May 26, 2010 linked to Alcoa Inc. stock; 70% trigger; via Barclays Capital; pricing Nov. 23
• 9% reverse convertible notes due May 26, 2010 linked to American Express Co. stock; 75% trigger; 75% trigger; via Barclays Capital; pricing Nov. 23
• 9.25% reverse convertible notes due Nov. 26, 2010 linked to Anadarko Petroleum Corp. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 9% reverse convertible notes due Nov. 26, 2010 linked to Apple Inc. stock; 80% trigger; via Barclays Capital; pricing Nov. 23
• 11% reverse convertible notes due May 26, 2010 linked to Arch Coal, Inc. stock; 70% trigger; via Barclays Capital; pricing Nov. 23
• 8.75% reverse convertible notes due Nov. 26, 2010 linked to Archer-Daniels-Midland Co. stock; 80% trigger; via Barclays Capital; pricing Nov. 23
• 10.25% reverse convertible notes due Nov. 26, 2010 linked to Baker Hughes Inc. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 12% reverse convertible notes due Feb. 26, 2010 linked to Bank of America Corp. stock; 80% trigger; via Barclays Capital; pricing Nov. 23
• 10% reverse convertible notes due May 26, 2010 linked to Barrick Gold Corp. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 8.5% reverse convertible notes due Nov. 26, 2010 linked to Best Buy Co., Inc. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 9.25% reverse convertible notes due Nov. 26, 2010 linked to Boston Scientific Corp. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 12.25% reverse convertible notes due May 26, 2010 linked to Bucyrus International, Inc. stock; 65% trigger; via Barclays Capital; pricing Nov. 23
• 10.75% reverse convertible notes due May 26, 2010 linked to Cabot Oil & Gas Corp. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 9% reverse convertible notes due May 26, 2010 linked to Canadian Natural Resources Ltd. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 10.25% reverse convertible notes due Nov. 26, 2010 linked to Caterpillar Inc. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 8.5% reverse convertible notes due Nov. 26, 2010 linked to Celgene Corp. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 15.75% reverse convertible notes due May 26, 2010 linked to Cemex, S.A.B. De C.V. (ADR) stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 11.25% reverse convertible notes due May 26, 2010 linked to Chesapeake Energy Corp. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 12.25% reverse convertible notes due May 26, 2010 linked to Chicago Bridge & Iron Co. N.V. stock; 70% trigger; via Barclays Capital; pricing Nov. 23
• 15.25% reverse convertible notes due May 26, 2010 linked to Cliffs Natural Resources Inc. stock; 70% trigger; via Barclays Capital; pricing Nov. 23
• 9% reverse convertible notes due Nov. 26, 2010 linked to CSX Corp. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 8.75% reverse convertible notes due Nov. 26, 2010 linked to Corning Inc. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 10% reverse convertible notes due May 26, 2010 linked to Deere & Co. stock; 80% trigger; via Barclays Capital; pricing Nov. 23
• 9% reverse convertible notes due Nov. 26, 2010 linked to Dell Inc. stock; 80% trigger; via Barclays Capital; pricing Nov. 23
• 10.5% reverse convertible notes due May 26, 2010 linked to Dow Chemical Co. stock; 70% trigger; via Barclays Capital; pricing Nov. 23
• 20% reverse convertible notes due May 26, 2010 linked to DryShips Inc. stock; 65% trigger; via Barclays Capital; pricing Nov. 23
• 8.5% reverse convertible notes due Nov. 26, 2010 linked to E.I. du Pont de Nemours and Co. stock; 80% trigger; via Barclays Capital; pricing Nov. 23
• 12.75% reverse convertible notes due Feb. 26, 2010 linked to Eldorado Gold Corp. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 9% reverse convertible notes due May 26, 2010 linked to Electronic Arts Inc. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 10% reverse convertible notes due May 26, 2010 linked to El Paso Corp. stock; 80% trigger; via Barclays Capital; pricing Nov. 23
• 15% reverse convertible notes due May 26, 2010 linked to First Solar, Inc. stock; 70% trigger; via Barclays Capital; pricing Nov. 23
• 10.75% reverse convertible notes due May 26, 2010 linked to Ford Motor Co. stock; 70% trigger; via Barclays Capital; pricing Nov. 23
• 15.25% reverse convertible notes due Feb. 26, 2010 linked to Forest Oil Corp. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 12.25% reverse convertible notes due Nov. 26, 2010 linked to Freeport-McMoRan Copper & Gold Inc. stock; 70% trigger; via Barclays Capital; pricing Nov. 23
• 14% reverse convertible notes due May 26, 2010 linked to Frontier Oil Corp. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 11.25% reverse convertible notes due Feb. 26, 2010 linked to Garmin Ltd. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 9.25% reverse convertible notes due Nov. 26, 2010 linked to General Electric Co. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 10.25% reverse convertible notes due May 26, 2010 linked to Goldcorp Inc. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 9% reverse convertible notes due Nov. 26, 2010 linked to Goldman Sachs Group, Inc. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 14.25% reverse convertible notes due May 26, 2010 linked to Goodyear Tire & Rubber Co. stock; 70% trigger; via Barclays Capital; pricing Nov. 23
• 14.25% reverse convertible notes due May 26, 2010 linked to Green Mountain Coffee Roasters, Inc. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 13% reverse convertible notes due May 26, 2010 linked to Harley-Davidson, Inc. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 16.25% reverse convertible notes due Feb. 26, 2010 linked to Hartford Financial Services Group, Inc. stock; 70% trigger; via Barclays Capital; pricing Nov. 23
• 8.75% reverse convertible notes due Nov. 26, 2010 linked to Hess Corp. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 8.5% reverse convertible notes due Nov. 26, 2010 linked to Intel Corp. stock; 80% trigger; via Barclays Capital; pricing Nov. 23
• 10.5% reverse convertible notes due May 26, 2010 linked to IntercontinentalExchange, Inc. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 11.5% reverse convertible notes due May 26, 2010 linked to International Paper Co. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 11% reverse convertible notes due May 26, 2010 linked to J.C. Penney Co., Inc. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 9.5% reverse convertible notes due May 26, 2010 linked to JPMorgan Chase & Co. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 14% reverse convertible notes due May 26, 2010 linked to Kinross Gold Corp. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 18.25% reverse convertible notes due May 26, 2010 linked to Las Vegas Sands Corp. stock; 60% trigger; via Barclays Capital; pricing Nov. 23
• 17% reverse convertible notes due Feb. 26, 2010 linked to Lincoln National Corp. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 8.5% reverse convertible notes due Nov. 26, 2010 linked to Lowe's Cos., Inc. stock; 80% trigger; via Barclays Capital; pricing Nov. 23
• 8.5% reverse convertible notes due Nov. 26, 2010 linked to Marathon Oil Corp. stock; 80% trigger; via Barclays Capital; pricing Nov. 23
• 14.5% reverse convertible notes due May 26, 2010 linked to Massey Energy Co. stock; 70% trigger; via Barclays Capital; pricing Nov. 23
• 11.5% reverse convertible notes due Nov. 26, 2010 linked to MetLife, Inc. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 20% reverse convertible notes due Feb. 26, 2010 linked to MGM Mirage stock; 65% trigger; via Barclays Capital; pricing Nov. 23
• 9.25% reverse convertible notes due Nov. 26, 2010 linked to Monsanto Co. stock; 80% trigger; via Barclays Capital; pricing Nov. 23
• 11.5% reverse convertible notes due May 26, 2010 linked to Morgan Stanley stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 11.75% reverse convertible notes due May 26, 2010 linked to Mosaic Co. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 10.75% reverse convertible notes due May 26, 2010 linked to Motorola, Inc. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 12.5% reverse convertible notes due May 26, 2010 linked to Nabors Industries Ltd. stock; 70% trigger; via Barclays Capital; pricing Nov. 23
• 11.5% reverse convertible notes due Nov. 26, 2010 linked to National Oilwell Varco, Inc. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 8.75% reverse convertible notes due Nov. 26, 2010 linked to Newmont Mining Corp. stock; 80% trigger; via Barclays Capital; pricing Nov. 23
• 10% reverse convertible notes due May 26, 2010 linked to News Corp. (Class A) stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 9% reverse convertible notes due May 26, 2010 linked to Noble Corp. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 9% reverse convertible notes due Nov. 26, 2010 linked to Occidental Petroleum Corp. stock; 80% trigger; via Barclays Capital; pricing Nov. 23
• 18.75% reverse convertible notes due May 26, 2010 linked to Palm, Inc. stock; 55% trigger; via Barclays Capital; pricing Nov. 23
• 14% reverse convertible notes due Feb. 26, 2010 linked to Patriot Coal Corp. stock; 65% trigger; via Barclays Capital; pricing Nov. 23
• 11% reverse convertible notes due May 26, 2010 linked to Patterson-UTI Energy, Inc. stock; 70% trigger; via Barclays Capital; pricing Nov. 23
• 11.25% reverse convertible notes due Nov. 26, 2010 linked to Peabody Energy Corp. stock; 70% trigger; via Barclays Capital; pricing Nov. 23
• 13.25% reverse convertible notes due May 26, 2010 linked to Plains Exploration & Production Co. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 9% reverse convertible notes due May 26, 2010 linked to Potash Corp. of Saskatchewan Inc. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 11.5% reverse convertible notes due May 26, 2010 linked to Prudential Financial, Inc. stock; 70% trigger; via Barclays Capital; pricing Nov. 23
• 10.75% reverse convertible notes due May 26, 2010 linked to RadioShack Corp. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 17.5% reverse convertible notes due Feb. 26, 2010 linked to Rambus Inc. stock; 65% trigger; via Barclays Capital; pricing Nov. 23
• 13% reverse convertible notes due May 26, 2010 linked to Research In Motion Ltd. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 9.5% reverse convertible notes due Nov. 26, 2010 linked to Schlumberger N.V. (Schlumberger Ltd.) stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 13% reverse convertible notes due May 26, 2010 linked to Scientific Games Corp. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 13% reverse convertible notes due May 26, 2010 linked to Seagate Technology stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 17.5% reverse convertible notes due May 26, 2010 linked to Silver Wheaton Corp. stock; 70% trigger; via Barclays Capital; pricing Nov. 23
• 10.25% reverse convertible notes due May 26, 2010 linked to Southwestern Energy Co. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 8.75% reverse convertible notes due Nov. 26, 2010 linked to Starbucks Corp. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 9% reverse convertible notes due May 26, 2010 linked to Suncor Energy Inc. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 16% reverse convertible notes due May 26, 2010 linked to SunPower Corp. stock; 70% trigger; via Barclays Capital; pricing Nov. 23
• 20% reverse convertible notes due May 26, 2010 linked to Suntech Power Holdings Co., Ltd. (ADR) stock; 65% trigger; via Barclays Capital; pricing Nov. 23
• 10.25% reverse convertible notes due May 26, 2010 linked to Superior Energy Services, Inc. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 9% reverse convertible notes due May 26, 2010 linked to T. Rowe Price Group stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 11.25% reverse convertible notes due May 26, 2010 linked to TCF Financial Corp. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 16.75% reverse convertible notes due May 26, 2010 linked to Terex Corp. stock; 70% trigger; via Barclays Capital; pricing Nov. 23
• 13.25% reverse convertible notes due May 26, 2010 linked to Tesoro Corp. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 8.5% reverse convertible notes due Nov. 26, 2010 linked to Transocean Ltd. stock; 80% trigger; via Barclays Capital; pricing Nov. 23
• 9.5% reverse convertible notes due Nov. 26, 2010 linked to U.S. Bancorp stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 9.5% reverse convertible notes due May 26, 2010 linked to Valero Energy Corp. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 10.5% reverse convertible notes due May 26, 2010 linked to Weatherford International Ltd. stock; 70% trigger; via Barclays Capital; pricing Nov. 23
• 11% reverse convertible notes due May 26, 2010 linked to Wells Fargo & Co. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 10.75% reverse convertible notes due May 26, 2010 linked to Whole Foods Market, Inc. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 9% reverse convertible notes due Nov. 26, 2010 linked to Williams Cos., Inc. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 9% reverse convertible notes due Nov. 26, 2010 linked to Yahoo! Inc. stock; 75% trigger; via Barclays Capital; pricing Nov. 23
• 0% double short leverage securities due Dec. 1, 2010 linked to the Barclays Capital 30Y Treasury Futures index; via UBS Financial Services Inc. and Barclays Capital Inc.; pricing Nov. 24
• 0.25%-1% bearish notes due Nov. 28, 2014 linked to the Barclays Capital 10Y Treasury Futures index; via Barclays Capital Inc.; pricing Nov. 24
• Zero-coupon 100% principal-protected notes due Nov. 30, 2015 linked to the Dow Jones Euro Stoxx 50, Nikkei 225 and S&P 500 indexes; via Barclays Capital Inc.; pricing Nov. 24
• 0% autocallable index knock-out buffer notes due Sept. 2, 2010 linked to the Russell 2000 index; 80% trigger; via Barclays Capital Inc.; pricing Nov. 24
• Zero-coupon 100% principal-protected notes due Nov. 30, 2015 linked to the S&P index; via Barclays Capital Inc.; pricing on Nov. 24
• Zero-coupon 95% principal-protected notes due Nov. 30, 2011 linked to Australian dollar, the Brazilian real, the Canadian dollar and the Norwegian krone; via Barclays Capital Inc.; pricing Nov. 25
• Zero-coupon bearish notes due May 23, 2014 linked to the Barclays Capital 10Y Treasury Futures index; via Barclays Capital Inc.; settlement Nov. 25
• Medium-term notes due Nov. 30, 2012 linked to the Barclays Capital Pure Beta Plus II Total Return index; via Barclays Capital Inc.; pricing Nov. 25
• 0% Buffered Super Track Notes due Nov. 30, 2011 linked to the iShares MSCI Emerging Markets index fund; via Barclays Capital Inc.; pricing Nov. 25
• 0% Buffered Super Track Notes due Dec. 31, 2010 linked to the S&P 500 index; via Barclays Capital Inc.; pricing Nov. 25
• 0% double short leverage securities due Dec. 28, 2010 linked to the Barclays Capital 30Y Treasury Futures index; via UBS Financial Services Inc. and Barclays Capital Inc.; pricing Dec. 21
• 0% long B leveraged exchange-traded notes due 2014 linked to the S&P 500 Total Return index; via Barclays Capital Inc.
• 0% long C leveraged exchange-traded notes due 2014 linked to the S&P 500 Total Return index; via Barclays Capital Inc.
• 0% short B leveraged exchange-traded notes due 2014 linked to the S&P 500 Total Return index; via Barclays Capital Inc.
• 0% short C leveraged exchange-traded notes due 2014 linked to the S&P 500 Total Return index; via Barclays Capital Inc.
• 0% short D leveraged exchange-traded notes due 2014 linked to the S&P 500 Total Return index; via Barclays Capital Inc.
CITIBANK, NA
• 0% market-linked deposits due 2015 linked to the Russell 2000 index; via Citigroup Global Markets Inc. and Incapital LLC
CITIGROUP FUNDING INC.
• 8%-11% 13-month Equity LinKed Securities linked to Bank of America Corp. common stock; 65% trigger; via Citigroup Global Markets Inc.; pricing in November
• Zero-coupon 95% principal-protected notes due 2011 linked to the Brazilian real, Russian ruble, Indian rupee and South African rand; via Citigroup Global Markets Inc.; pricing in November
• 95% principal-protected notes due 2011 linked to equal weights of the Brazilian real, Australian dollar, Norwegian krone and Chinese yuan; via Citigroup Global Markets Inc.; pricing in November
• 11%-13% Equity LinKed Securities due 13 months after issue linked to the common stock of Dow Chemical Co.; Citigroup Global Markets Inc.; pricing in November
• 2% minimum coupon principal-protected notes due 2014 linked to the price of gold; via Citigroup Global Markets Inc.; pricing in November
• 0% upturn notes due 2011 linked to the iShares MSCI Emerging Markets index fund; via Citigroup Global Markets Inc.; pricing in November
• Six-month Equity LinKed Securities linked to the common stock of Research in Motion Ltd.; 75% trigger; via Citigroup Global Markets Inc.; pricing in November
• 0% notes due 2012 structured as Index Leading Stockmarket Return Securities (Lasers) linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing in November
• 10%-12% six-month Equity LinKed Securities linked to the common stock of American Express Co.; 75% trigger; via Citigroup Global Markets, Inc.
CREDIT SUISSE, NASSAU BRANCH
• 8%-10% callable yield notes due Nov. 23, 2010 linked to the S&P 500 index and Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 18
• Zero-coupon principal-protected ProNotes due Nov. 28, 2014 linked Dow Jones Euro Stoxx 50 index, the FTSE 100 index and the Nikkei 225 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 24
• 0% Accelerated Return Equity Securities due Nov. 29, 2012 linked to the iShares MSCI EAFE index fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 24
• 9.5%-12% callable yield notes due Nov. 30, 2010 linked to the iShares MSCI Emerging Markets index fund, Russell 2000 index and S&P 500 index; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 24
• 8%-10% callable yield notes due May 27, 2010 linked to the iShares MSCI Emerging Markets index fund, Russell 2000 index and S&P 500 index; 75% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 24
• 11.5%-14% callable yield notes due Dec. 3, 2010 linked to the iShares MSCI Emerging Markets index fund, Russell 2000 index and S&P 500 index; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 30
• 7.25%-10% callable yield notes due Dec. 3, 2010 linked to the iShares MSCI Emerging Markets index fund, Russell 2000 index and S&P 500 index; 55% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 30
• 7.25%-9.5% callable yield notes due Nov. 30, 2010 linked to the iShares MSCI Emerging Markets index fund, Russell 2000 index and S&P 500 index; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 24
• 10%-12.5% callable yield notes due Nov. 30, 2010 linked to the iShares MSCI Emerging Markets index fund, Russell 2000 index and S&P 500 index; 70% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 24
• 6%-8% callable yield notes due May 27, 2010 linked to the iShares MSCI Emerging Markets index fund, Russell 2000 index and S&P 500 index; 75% trigger; via Credit Suisse Securities (USA) LLC; pricing Nov. 24
• 0% Accelerated Return Equity Securities due Nov. 29, 2013 linked to the S&P 100 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 24
• 0% Accelerated Return Equity Securities due May 31, 2011 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 24
• 7%- 9% callable yield notes due Nov. 30, 2010 linked to the S&P 500 index and Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 24
• 10.25% callable yield notes due Dec. 3, 2010 linked to the Energy Select Sector SPDR fund and the SPDR Gold Trust; via Credit Suisse Securities (USA) LLC; pricing Nov. 30
• 0% Accelerated Return Equity Securities due Dec. 5, 2011 linked to the iShares MSCI EAFE index fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 30
• 0% Booster Cert PLUS securities due Dec. 5, 2011 linked to the iShares MSCI Emerging Markets index fund; via Credit Suisse Securities (USA) LLC; pricing Nov. 30
• 0% Accelerated Return Equity Securities due Dec. 5, 2012 linked to the S&P 100 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30
• 0% Buffered Accelerated Return Equity Securities due June 3, 2011 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30
• 0% Accelerated Return Equity Securities due Jan. 5, 2011 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30
• 8%-10.5% callable yield notes due Dec. 3, 2010 linked to the S&P 500 index and Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Nov. 30
• 8%-10% callable yield notes due June 3, 2010 linked to the S&P 500 and Russell 2000 indexes; via Credit Suisse Securities (USA) LLC; pricing Nov. 30
DEUTSCHE BANK AG, LONDON BRANCH
• Range accrual notes due Nov. 25, 2024 linked to Libor; via Deutsche Bank Securities Inc. and Deutsche Bank Trust Co. Americas; pricing Nov. 18
• 0% enhanced participation securities due Dec. 2, 2014 linked to the Deutsche Bank Balanced Currency Harvest Index; via Deutsche Bank Securities Inc.; pricing Nov. 23
• 0% leveraged upside securities due Dec. 2, 2014 linked to the Deutsche Bank Balanced Currency Harvest (USD) index; via Deutsche Bank Securities Inc. and Deutsche Bank Trust Co. Americas; pricing Nov. 23
• 0% market contribution securities due Nov. 28, 2014 linked to the Deutsche Bank Liquid Alpha USD 5 Total Return index; via Deutsche Bank Securities Inc. and Deutsche Bank Trust Co. Americas; pricing Nov. 23
• 0% capped Buffered Underlying Securities due Nov. 28, 2012 linked to the Deutsche Bank Liquid Commodity Index - Optimum Yield; via Deutsche Bank Securities Inc. and Deutsche Bank Trust Co. Americas; pricing Nov. 23
• 0% capped Buffered Underlying Securities due May 31, 2011 linked to iShares MSCI EAFE index fund and iShares MSCI Emerging Markets index fund; Deutsche Bank Securities Inc. and Deutsche Bank Trust Co. Americas; pricing Nov. 24
• Equity basket notes due Nov. 30, 2012 linked to the Oil Services Holdrs trust, Market Vectors Gold Miners ETF, SPDR S&P Metals & Mining ETF, iShares Dow Jones U.S. Real Estate index fund, iShares MSCI EAFE index fund, PowerShares QQQ trust, series 1 and iShares Barclays 1-3 Year Treasury Bond fund; via Deutsche Bank Securities Inc.; pricing Nov. 24
• Equity basket notes due Nov. 28, 2014 linked to the Oil Services Holdrs trust, Market Vectors Gold Miners ETF, SPDR S&P Metals & Mining ETF, iShares Dow Jones U.S. Real Estate index fund, iShares MSCI EAFE index fund, PowerShares QQQ trust, series 1 and iShares Barclays 1-3 Year Treasury Bond fund; via Deutsche Bank Securities Inc.; pricing Nov. 24
• 7%-10.3% annualized reverse exchangeable notes due May 28, 2010 linked to the Russell 2000 index; via Deutsche Bank Securities Inc.; pricing Nov. 24
• 0% enhanced participation securities due Dec. 30, 2010 linked to the S&P 500 index; via Deutsche Bank Securities Inc. and Deutsche Bank Trust Co. Americas; pricing Nov. 24
• 0% capped Buffered Underlying Securities due May 31, 2011 linked to S&P 500 and Russell 2000; Deutsche Bank Securities Inc. and Deutsche Bank Trust Co. Americas; pricing Nov. 24
• Return optimization securities with contingent protection due Nov. 30, 2012 linked to Standard & Poor's Depositary Receipts, iShares MSCI EAFE Index Fund and the iShares MSCI Emerging Markets Index Fund; UBS Financial Services Inc. and Deutsche Bank Securities; pricing Nov. 24
• 0% alpha overlay securities due Jan. 7, 2011 linked to an equally weighted basket holding the Deutsche Bank Commodity Booster-Dow Jones-UBS 14 TV index and the Deutsche Bank Commodity Harvest - 10 index; via Deutsche Bank Securities Inc. and Deutsche Bank Trust Co. Americas; pricing Dec. 4
EKSPORTFINANS ASA
• 10%-14% annualized reverse convertible notes due May 25, 2010 linked to the common stock of Broadcom Corp.; 75% trigger; via Morgan Stanley & Co. Inc.; pricing Nov. 20
• 15%-19% annualized reverse convertible notes due May 25, 2010 linked to the common stock of Textron Inc.; 75% trigger; via Morgan Stanley & Co. Inc.; pricing Nov. 20
• 0% enhanced growth securities with leveraged upside and buffered downside due Dec. 5, 2011 linked to the Industrial Select Sector SPDR fund; via Wells Fargo Securities, LLC; pricing in November
• 0% enhanced growth securities with leveraged upside and buffered downside due June 5, 2013 linked to the Russell 2000 index; 85% trigger; via Wells Fargo Securities, LLC; pricing in November
• 0% Performance Leveraged Upside Securities due Dec. 28, 2010 linked to the S&P 500 index; via Morgan Stanley & Co. Inc.; pricing in November
• 14-month 0% Accelerated Return Notes linked to the Rogers International Commodity Index - Excess Return; via Merrill Lynch, Pierce, Fenner & Smith Inc. and First Republic Securities Co., LLC; pricing in November or December
• 10%-11% enhanced yield securities due June 1, 2010 linked to AK Steel Holding Corp. common stock; 60% trigger; via Wells Fargo Securities, LLC
• 12%-13% enhanced yield securities due June 1, 2010 linked to Alcoa Inc. common stock; 70% trigger; via Wells Fargo Securities, LLC
• 13%-14% enhanced yield securities due June 1, 2010 linked to Baker Hughes Inc. common stock; 75% trigger; via Wells Fargo Securities, LLC
• 14%-15% enhanced yield securities due June 1, 2010 linked to Cemex SAB de CV American Depositary Receipts; 70% trigger; via Wells Fargo Securities, LLC
• 12%-13% enhanced yield securities due May 20, 2010 linked to Dow Chemical Co. common stock; 70% trigger; via Wells Fargo Securities, LLC
• 20- to 24-month 0% buffered equity index-linked notes tied to the Dow Jones Stoxx Mid 200 index converted from euros into dollars; via Goldman, Sachs & Co.
• 13%-14% enhanced yield securities due May 20, 2010 linked to Hartford Financial Services Group, Inc. common stock; 60% trigger; via Wells Fargo Securities, LLC
• 9%- 10% annualized enhanced yield securities due May 20, 2010 linked to the iShares Russell 2000 index fund; via Wells Fargo Securities, LLC
• 12%-13% enhanced yield securities due May 20, 2010 linked to Peabody Energy Corp. common stock; 70% trigger; via Wells Fargo Securities, LLC
GOLDMAN SACHS GROUP, INC.
• Six-year swap rate-linked notes tied to the 10-year Constant Maturity Swap rate; via Goldman, Sachs & Co.
• 0% autocallable underlier-linked notes due Aug. 17, 2010 linked to the Dow Jones Euro Stoxx 50, Topix and FTSE 100 indexes; via Goldman, Sachs & Co. and J.P. Morgan Securities Inc.; pricing Nov. 19
• Five- to 51/2-year 0% equity index basket-linked notes linked to Dow Jones Industrial Average and the Dow Jones Euro Stoxx 50 index; via Goldman, Sachs & Co. and Incapital
• 13- and 15-month 0% buffered equity index-linked notes linked to the iShares FTSE/Xinhua China 25 index fund; 85% trigger; via Goldman Sachs & Co.
• Two-year 0% leveraged buffered equity index-linked notes linked to the MSCI EAFE and S&P 500 indexes; 88.5% trigger; via Goldman, Sachs & Co.
• 24- to 27-month 0% absolute return trigger notes linked to the S&P 500 index; via Goldman, Sachs & Co.
• 18- to 21-month 0% leveraged equity index-linked notes linked to the S&P 500 index; via Goldman, Sachs & Co.
• 24- to 28-month 0% buffered equity index-linked notes linked 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.
• 36- to 42-month 0% leveraged equity index-linked notes linked to the S&P 500 index; via Goldman, Sachs & Co.
• Five-year look back notes linked to the S&P 500 index; via Goldman, Sachs & Co.
• 13- to 15-month 0% buffered equity index-linked notes linked to equal weights of the S&P 500 and MSCI EAFE indexes; via Goldman Sachs & Co.
HSBC BANK USA, NA
• 0% certificates of deposit with minimum return due Nov. 24, 2015 linked to the Dow Jones Industrial Average; via HSBC Securities (USA) Inc.; pricing Nov. 19
• 0% certificates of deposit due Nov. 24, 2015 linked to the Dow Jones - UBS Commodity index; via HSBC Securities (USA) Inc.; pricing Nov. 19
• 0% barrier multi-coupon opportunity certificates of deposit due Nov. 24, 2014 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 19
• 0% barrier multi-coupon opportunity certificates of deposit due Nov. 23, 2012 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 19
• 0% bullish skewed absolute return certificates of deposit due March 28, 2012 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 23
• 0% bullish skewed absolute return certificates of deposit due Sept. 28, 2011 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 23
• 0% absolute return certificates of deposit due Sept. 28, 2011 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 23
• 0% absolute return certificates of deposit due March 28, 2012 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 23
• Annual income opportunity certificates of deposit due Nov. 30, 2012 linked to the stocks of ABB Ltd., BP plc, Cameco Corp., Cemex SAB de CV, China Mobile Ltd., Corning Inc., Credit Suisse Group AG, CSX Corp., Petroleo Brasileiro SA and SAP AG; via HSBC Securities (USA) Inc.; pricing Nov. 24
• Annual income opportunity series 4 Global Industry Titans certificates of deposit due Nov. 30, 2012 linked to ABB Ltd., BP plc, Cameco Corp., Cemex SAB de CV, China Mobile Ltd., Corning Inc., Credit Suisse Group, CSX Corp., Petroleo Brasileiro and SAP AG; via HSBC Securities (USA) Inc.; pricing Nov. 24
• Annual income opportunity series 5 U.S. Industry Titans certificates of deposit with minimum annual coupon due Nov. 30, 2014 linked to Biogen Idec Inc., eBay Inc., Hess Corp., Lowe's Cos., Inc., Nucor Corp., PepsiCo, Inc., U.S. Bancorp, Viacom Inc. (class B shares), Waste Management, Inc. and Yum! Brands, Inc.; via HSBC Securities (USA) Inc.; pricing Nov. 24
• Annual income opportunity series 5 certificates of deposit with minimum annual coupon due Nov. 30, 2015 linked to Biogen Idec Inc., eBay Inc., Hess Corp., Lowe's Cos., Inc., Nucor Corp., PepsiCo, Inc., U.S. Bancorp, Viacom Inc. (class B shares), Waste Management, Inc. and Yum! Brands, Inc.; via HSBC Securities (USA) Inc.; pricing Nov. 24
HSBC USA, INC.
• Semiannual income opportunity securities due Nov. 24, 2014 linked to the iShares MSCI Emerging Markets index fund, Market Vectors Gold Miners ETF, iShares Dow Jones U.S. Real Estate index fund, PowerShares QQQ trust, series 1, Energy Select Sector SPDR fund and Financial Select Sector SPDR fund; via HSBC Securities (USA) Inc.; pricing Nov. 19
• 0% accelerated market participation securities due Dec. 27, 2010 linked to the Dow Jones Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 20
• 0% accelerated market participation securities due Feb. 25, 2011 linked to the Dow Jones Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Nov. 20
• 0% accelerated market participation securities with partial protection due Feb. 25, 2011 linked to the Dow Jones Euro Stoxx 50 index; 90% trigger; via HSBC Securities (USA) Inc.; pricing Nov. 20
• 0% accelerated market participation securities with partial protection due May 25, 2011 linked to the Dow Jones Euro Stoxx 50 index; 90% trigger; via HSBC Securities (USA) Inc.; pricing Nov. 20
• 0% accelerated market participation securities with partial protection due Feb. 25, 2011 linked to the Russell 2000 index; 90% trigger; via HSBC Securities (USA) Inc.; pricing Nov. 20
• 0% accelerated market participation securities with partial protection due May 25, 2011 linked to the Russell 2000 index; 90% trigger; via HSBC Securities (USA) Inc.; pricing Nov. 20
• 0% accelerated market participation securities due Dec. 27, 2010 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 20
• 0% accelerated market participation securities due Feb. 25, 2011 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Nov. 20
• 0% buffered return enhanced notes due Dec. 8, 2010 linked to the S&P 500 index; via J.P. Morgan Securities Inc.; pricing Nov. 20
• 0% accelerated market participation securities due Dec. 27, 2010 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 20
• 0% accelerated market participation securities due Feb. 25, 2011 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 20
• 0% accelerated market participation securities with partial protection due Feb. 25, 2011 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 20
• 0% accelerated market participation securities with partial protection due May 25, 2011 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Nov. 20
• 0% knock-out buffer notes due May 26, 2011 linked to the common stocks of United Technologies Corp., Johnson Controls, Inc., Rockwell Automation, Inc., Itron, Inc., Roper Industries, Inc. and EnerNOC Inc.; via J.P. Morgan Securities Inc.; pricing Nov. 20
• 0% return optimization securities with contingent protection due Nov. 30, 2012 linked to the iShares MSCI EAFE index fund with a 70% weight and the iShares MSCI Emerging Markets index fund with a 30% weight; via UBS Financial Services Inc. and HSBC USA Inc.; pricing Nov. 24
• 0% step performance securities due Nov. 30, 2011 linked to the S&P 500 index; via UBS Financial Services Inc.; pricing Nov. 24
• 8.6% to 10.6% yield optimization notes with contingent protection due Nov. 30, 2011 linked to Bank of America Corp.; via UBS Financial Services Inc. and HSBC Securities (USA) Inc.; pricing Nov. 25
• 11% to 14.5% yield optimization notes with contingent protection due Nov. 30, 2011 linked to Silver Wheaton Corp.; via UBS Financial Services Inc. and HSBC Securities (USA) Inc.; pricing Nov. 25
• Multi-coupon securities due November 2015 linked to the iShares MSCI Emerging Markets index fund, Market Vectors Gold Miners ETF, Semiconductor Holdrs trust, Energy Select Sector SPDR fund, Financial Select Sector SPDR fund and Health Care SPDR fund; via HSBC Securities (USA) Inc.; pricing in November
JPMORGAN CHASE BANK, NA
• Contingent coupon certificates of deposit due Nov. 15, 2015 linked to a basket of equally weighted stocks, including Apple Inc., Bank of America Corp., Chevron Corp., Walt Disney Co., Exelon Corp., Freeport-McMoRan Copper & Gold Inc., General Electric Co., Johnson & Johnson, McDonald's Corp., Monsanto Co., Microsoft Corp., Pfizer Inc., Procter & Gamble Co., the Southern Co., AT&T Inc., United Technologies Corp., Verizon Communications Inc., Wells Fargo & Co., Wal-Mart Stores, Inc. and Exxon Mobil Corp.; via J.P. Morgan Securities Inc. and Morgan Stanley as distributor; pricing Nov. 20
• 0% equity-linked certificates of deposit due Nov. 25, 2015 linked to the Dow Jones Industrial Average; via J.P. Morgan Securities Inc. and Morgan Stanley as distributor; pricing Nov. 20
• Callable six-month Libor range accrual certificates of deposit due Nov. 20, 2024; via J.P. Morgan Securities Inc.; settlement Nov. 20
• 0% certificates of deposit due Nov. 27, 2015 linked to the Dow Jones Industrial Average; via J.P. Morgan Securities Inc.; pricing Nov. 23
• Contingent coupon certificates of deposit due Nov. 28, 2014 linked to the stocks of Amazon.com, Inc., Clorox Co., Deere & Co., FedEx Corp., McDonald's Corp., Newmont Mining Corp., PepsiCo, Inc., Schlumberger NV (Schlumberger Ltd)., Wells Fargo & Co. and Wal-Mart Stores, Inc.; via agent J.P. Morgan Securities Inc. and distributor Incapital LLC; pricing Nov. 24
• Contingent coupon certificates of deposit due Nov. 28, 2015 linked to the stocks of Amazon.com, Inc., Clorox Co., Deere & Co., FedEx Corp., McDonald's Corp., Newmont Mining Corp., PepsiCo, Inc., Schlumberger NV (Schlumberger Ltd)., Wells Fargo & Co. and Wal-Mart Stores, Inc.; via agent J.P. Morgan Securities Inc. and distributor Incapital LLC; pricing Nov. 24
• Contingent coupon certificates of deposit due Nov. 28, 2014 linked to the stocks of CVS Caremark Corp., Costco Wholesale Corp., Coca-Cola Co., McDonald's Corp., Monsanto Co., Microsoft Corp., Newmont Mining Corp., Nokia Corp., Procter & Gamble Co. and Wells Fargo & Co.; via agent J.P. Morgan Securities Inc. and distributor Incapital LLC; pricing Nov. 24
• 0% certificates of deposit due Nov. 30, 2015 linked to the JPMorgan Efficiente (USD) index; via J.P. Morgan Securities Inc. and Incapital LLC; pricing Nov. 24
• 0% certificates of deposit due May 30, 2014 linked to the JPMorgan Optimax Market-Neutral index; via J.P. Morgan Securities Inc. and Incapital LLC; pricing Nov. 24
• 0% certificates of deposit due Nov. 28, 2014 linked to the S&P 500 index; via agent J.P. Morgan Securities Inc. and distributor Incapital LLC; pricing Nov. 24
JPMORGAN CHASE & CO.
• 0% autocallable index knock-out notes due Aug. 27, 2010 linked to the Dow Jones Euro Stoxx 50 index; via J.P. Morgan Securities Inc.; pricing Nov. 19
• 0% buffered return enhanced notes due Nov. 25, 2011 linked to the iShares MSCI EAFE index fund; 85% trigger; via J.P. Morgan Securities Inc.; pricing Nov. 20
• 0% buffered return enhanced notes due Nov. 25, 2011 linked to the S&P MidCap 400 index 85% trigger; via J.P. Morgan Securities Inc.; pricing Nov. 20
• 11.5% reverse convertible notes due Nov. 30, 2010 linked to Apple Inc. stock; 80% trigger; via JPMorgan; pricing Nov. 24
• 13.5% reverse convertible notes due Nov. 30, 2010 linked to Bank of America Corp. stock; 65% trigger; via JPMorgan; pricing Nov. 24
• 15% reverse convertible notes due May 27, 2010 linked to Bank of America Corp. stock; 70% trigger; via JPMorgan; pricing Nov. 24
• 11.5% reverse convertible notes due Nov. 30, 2010 linked to Deere & Co. stock; 75% trigger; via JPMorgan; pricing Nov. 24
• 14.5% reverse convertible notes due May 27, 2010 linked to Dow Chemical Co. stock; 75% trigger; via JPMorgan; pricing Nov. 24
• 22% reverse convertible notes due March 1, 2010 linked to DryShips Inc. stock; 70% trigger; via JPMorgan; pricing Nov. 24
• 0% buffered return enhanced notes due May 31, 2011 linked to the iShares MSCI EAFE index fund; via J.P. Morgan Securities Inc.; pricing Nov. 24
• 18.5% reverse convertible notes due May 27, 2010 linked to Joy Global Inc. stock; 70% trigger; via JPMorgan; pricing Nov. 24
• 25% reverse convertible notes due March 1, 2010 linked to Las Vegas Sands Corp. stock; 65% trigger; via JPMorgan; pricing Nov. 24
• 0% autocallable optimization securities with contingent protection due May 31, 2011 linked to the Market Vectors Gold Miners exchange-traded fund; via UBS Financial Services Inc. and J.P. Morgan Securities Inc.; pricing Nov. 24
• 12% reverse convertible notes due Nov. 30, 2010 linked to Noble Corp. stock; 75% trigger; via JPMorgan; pricing Nov. 24
• 0% buffered return enhanced notes due Feb. 28, 2011 linked to the Russell 2000 index; via J.P. Morgan Securities Inc.; pricing Nov. 24
• 0% buffered return enhanced notes due May 31, 2011 linked to the S&P 500 index; via J.P. Morgan Securities Inc.; pricing Nov. 24
• 0% buffered return enhanced notes due May 31, 2011 linked to the S&P 500 index; via J.P. Morgan Securities Inc.; pricing Nov. 24
• 0% return optimization securities with partial protection due May 31, 2011 linked to the S&P 500 index; via UBS Financial Services Inc. and J.P. Morgan Securities Inc.; pricing Nov. 24
• 0% buffered return enhanced notes due June 2, 2011 linked to the S&P 500 index, Russell 2000 index and iShares MSCI EAFE index fund; via J.P. Morgan Securities Inc.; pricing Nov. 24
• 12% reverse convertible notes due Nov. 30, 2010 linked to Schlumberger N.V. (Schlumberger Ltd.) stock; 80% trigger; via JPMorgan; pricing Nov. 24
• 16.5% reverse convertible notes due March 1, 2010 linked to United States Steel Corp. stock; 75% trigger; via JPMorgan; pricing Nov. 24
• 13.5% reverse convertible notes due Nov. 30, 2010 linked to Wells Fargo & Co. stock; 70% trigger; via JPMorgan; pricing Nov. 24
• At least 11% yield optimization notes with contingent protection due Feb. 26, 2010 linked to Dow Chemical Co.; via UBS Financial Services Inc. and J.P. Morgan Securities Inc.; pricing Nov. 25
• At least 10% yield optimization notes with contingent protection due Feb. 26, 2010 linked to Freeport-McMoRan Copper & Gold Inc.; via UBS Financial Services Inc. and J.P. Morgan Securities Inc.; pricing Nov. 25
MORGAN STANLEY
• Zero-coupon capital-protected notes due May 30, 2013 linked to the Australian dollar, British pound, Canadian dollar, euro, Japanese yen, Swiss franc, Brazilian real, Chinese renminbi and Indian rupee; via Morgan Stanley & Co.; pricing in November
• 9%-10% contingent coupon capital-protected notes due Nov. 28, 2014 linked to the Brazilian real, Russian ruble and Indian rupee, against the dollar; via Morgan Stanley & Co. Inc.; pricing in November
• 0% buffered jump securities due May 2011 linked to the price of gold; 90% trigger; via Morgan Stanley & Co. Inc.; pricing in November
• 0% jump securities due May 26, 2011 linked to the iShares FTSE/Xinhua China 25 index fund; via Morgan Stanley & Co. Inc.; pricing in November
• 0% jump securities due Dec. 29, 2010 linked to the iShares MSCI EAFE index fund; via Morgan Stanley & Co. Inc.; pricing in November
• 0% buffered Performance Leveraged Upside Securities due Nov. 28, 2011 linked to the iShares MSCI EAFE Index Fund; via Morgan Stanley & Co. Inc.; pricing in November
• Zero-coupon capital-protected notes due November 2014 linked to the iShares MSCI EAFE index fund; via Morgan Stanley & Co. Inc.; pricing in November
• 0% bear market Performance Leveraged Upside Securities due Dec. 16, 2010 linked to the Nasdaq 100 index; via Morgan Stanley & Co. Inc.; pricing in November
• 0% buffered Performance Leveraged Upside Securities due Nov. 28, 2011 linked to the S&P 500 index; 10% trigger; via Morgan Stanley & Co. Inc.; pricing in November
• 0% jump securities due Nov. 28, 2011 linked to the S&P 500 index; via Morgan Stanley & Co. Inc.; pricing in November
• Zero-coupon capital-protected notes due May 28, 2015 linked to the S&P 500 index; via Morgan Stanley & Co. Inc.; pricing in November
• 0% buffered Performance Leveraged Upside Securities due May 27, 2011 linked to the Dow Jones - UBS Commodity Index; via Morgan Stanley & Co. Inc.
ROYAL BANK OF CANADA
• 0% buffered bullish enhanced return notes due Nov. 25, 2011 linked to the iShares MSCI EAFE index fund; via RBC Capital Markets Corp.; pricing Nov. 20
• Zero-coupon principal-protected notes due Nov. 27, 2012 linked to equal weights of the Brazilian real, Russian ruble, Indian rupee and Chinese renminbi; via RBC Capital Markets Corp.; pricing Nov. 23
• 0% direct investment notes due July 29, 2011 linked to Calgon Carbon Corp., Church & Dwight Co., Inc., California Water Services Group, Dionex Corp., Ecolab Inc., Energy Recovery Inc., Insituform Technologies, Inc., Itron, Inc., Layne Christensen Co., Lindsay Corp., Millipore Corp., Nalco Holding Co., Sabesp, Whirlpool Corp. and Aqua America Inc.; via RBC Capital Markets Corp.; pricing Nov. 24
• 0% step performance securities due Nov. 30, 2011 linked to the iShares MSCI EAFE index fund; via UBS Financial Services Inc. and RBC Capital Markets Corp.; pricing Nov. 24
• 0% buffered bullish digital notes due May 31, 2011 linked to the Russell 2000 index; 85% trigger; via RBC Capital Markets Corp.; pricing Nov. 24
• 0% buffered bullish commodity-linked notes due Feb. 29, 2012 linked to the S&P GSCI Industrial Metals - Excess Return index; 85% trigger; via RBC Capital Markets Corp.; pricing Nov. 24
• Zero-coupon principal-protected notes due Nov. 28, 2014 linked to the SGI Smart Market Neutral Commodity Index (USD - Excess Return); via RBC Capital Markets Corp.; pricing Nov. 24
• 0% autocallable optimization securities with contingent protection due Dec. 2, 2010 linked to the Technology Select Sector SPDR fund; via UBS Financial Services Inc. and RBC Capital Markets Corp.; pricing Nov. 24
• 14-month 0% Accelerated Return Notes linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner and Smith Inc. and First Republic Securities Co., LLC; pricing in November or December
• 0% direct investment notes due Jan. 6, 2011 linked to the EquityCompass Equity Risk Management Strategy; via RBC Capital Markets Corp.; pricing Dec. 3
SUNTRUST BANK
• Certificates of deposit due Nov. 21, 2014 linked to the Brazilian real relative to the dollar; via distributor Incapital LLC; pricing Nov. 19
• Certificates of deposit due Nov. 25, 2014 linked to the S&P 500 index; via distributor Incapital LLC; pricing Nov. 19
• 0% certificates of deposit due Nov. 25, 2014 linked to the Dow Jones Industrial Average; via Incapital; settlement Nov. 24
• 0% certificates of deposit due Nov. 26, 2014 linked to the price of gold; via Incapital; settlement Nov. 25
AB SVENSK EXPORTKREDIT
• 14-month 0% Accelerated Return Notes linked to the Energy Select Sector index; via Merrill Lynch, Pierce, Fenner & Smith Inc. and First Republic Securities Co., LLC; pricing in November or December
UBS AG
• 0% double long leverage securities due Feb. 24, 2010 linked to the S&P 500 Total Return index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 19
• 0% double short leverage securities due Feb. 24, 2010 linked to the S&P 500 Total Return index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 19
• 0% double long leverage securities due Nov. 26, 2010 linked to the S&P 500 Total Return index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 19
• 0% double short leverage securities due Nov. 26, 2010 linked to the S&P 500 Total Return index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 19
• 16.25% reverse convertible notes due March 1, 2010 linked to Alcoa Inc. common stock; 75% trigger; via UBS Securities LLC and UBS Investment Bank; pricing Nov. 24
• 0% autocallable optimization securities with contingent protection due Dec. 2, 2010 linked to the Energy Select Sector SPDR fund; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 24
• 11.5% reverse convertible notes due March 1, 2010 linked to Ford Motor Co. common stock; 70% trigger; via UBS Securities LLC and UBS Investment Bank; pricing Nov. 24
• 16% reverse convertible notes due March 1, 2010 linked to Freeport-McMoRan Copper & Gold Inc. common stock; 75% trigger; via UBS Securities LLC and UBS Investment Bank; pricing Nov. 24
• 12.5% reverse convertible notes due May 27, 2010 linked to General Electric Co. common stock; 80% trigger; via UBS Securities LLC and UBS Investment Bank; pricing Nov. 24
• 15.85% reverse convertible notes due May 27, 2010 linked to Peabody Energy Corp. common stock; 75% trigger; via UBS Securities LLC and UBS Investment Bank; pricing Nov. 24
• 0% performance securities with contingent protection due Nov. 28, 2014 linked to the S&P 500 index with participation rate of 106%-116%; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 24
• 0% barrier optimization securities with partial protection due May 31, 2011 linked to the S&P 500 index; 85% trigger; via UBS Financial Services Inc.; pricing Nov. 24
• 0% return optimization securities with partial protection due May 28, 2011 linked to the UBS Bloomberg CMCI Agriculture USD Excess Return index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Nov. 24
• 19.75% reverse convertible notes due May 27, 2010 linked to Wynn Resorts, Ltd. common stock; 65% trigger; via UBS Securities LLC and UBS Investment Bank; pricing Nov. 24
• 9% to 11.5% annualized yield optimization notes with contingent protection due May 28, 2010 linked to the common stock of XTO Energy Inc.; 75% trigger; via UBS Financial Services Inc. and UBS Investment Bank; pricing on Nov. 25
• 8% to 10.5% annualized yield optimization notes with contingent protection due May 28, 2010 linked to the common stock of General Electric Co.; 75% trigger; via UBS Financial Services Inc. and UBS Investment Bank; pricing on Nov. 25
• 0% double long leverage securities due March 10, 2010 linked to the S&P 500 Total Return index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Dec. 3
• 0% double short leverage securities due March 10, 2010 linked to the S&P 500 Total Return index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Dec. 3
• 0% double long leverage securities due Dec. 9, 2010 linked to the S&P 500 Total Return index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Dec. 3
• 0% double short leverage securities due Dec. 9, 2010 linked to the S&P 500 Total Return index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Dec. 3
• 0% double long leverage securities due March 24, 2010 linked to the S&P 500 Total Return index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Dec. 17
• 0% double short leverage securities due March 24, 2010 linked to the S&P 500 Total Return index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Dec. 17
• 0% double long leverage securities due Dec. 23, 2010 linked to the S&P 500 Total Return index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Dec. 17
• 0% double short leverage securities due Dec. 23, 2010 linked to the S&P 500 Total Return index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Dec. 17
WELLS FARGO BANK NA
• Certificates of deposit due Nov. 29, 2013 linked to Brazilian real, Russian ruble, Indian rupee and Chinese renminbi; via Incapital; pricing Nov. 20
• Certificates of deposit due Nov. 30, 2015 linked to the Dow Jones - UBS Commodity index; via Wells Fargo & Co.; pricing Nov. 20
• Certificates of deposit due Nov. 30, 2015 linked to the price of gold; via Incapital; pricing Nov. 20
• Certificates of deposit due Nov. 30, 2015 linked to the SGI WISE US Vol Target 8% (USD-Excess Return) index; via SG America Securities, LLC and Incapital as distributor; pricing Nov. 20
• Contingent annual interest certificates of deposit due Nov. 30, 2015 linked to equal weights of West Texas Intermediate crude oil, natural gas, corn, soybeans, the S&P GSCI Wheat Index Excess Return, the S&P GSCI Livestock Index Excess Return, grade A copper, gold, silver and platinum; via Morgan Stanley as distributor; pricing Nov. 20
WELLS FARGO & CO.
• 0% enhanced growth securities with partial principal protection due December 2011 linked to the iShares MSCI EAFE index fund; via Wells Fargo Securities, LLC
• 0% enhanced growth securities with partial principal protection due June 2013 linked to the S&P 500, S&P MidCap 400 and Russell 2000 indexes; via Wells Fargo Securities, LLC
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