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Structured Products Calendar
BANK OF AMERICA CORP.
• One-year 0% Accelerated Return Notes based on crude oil; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in January
• Three-year 0% Capped Leveraged Index Return Notes linked to the price of crude oil; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in January
• 0% Market Index Target-Term Securities due February 2016 linked to gold; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in January
• Five-year 0% Strategic Return Notes linked to the Investable Volatility index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in January
• 0% Strategic Accelerated Redemption Securities due February 2012 linked to iShares MSCI EAFE index fund and the iShares MSCI Emerging Markets index fund; 95% trigger; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in January
• 0% principal-protected Mitts due January 2017 linked to S&P 500 index, the Dow Jones Euro Stoxx 50 index and the Nikkei 225 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in January
• Two-year 0% Leveraged Index Return Notes linked to the Dow Jones Global Titans 50 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in January or February
• 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 January or February
• Three-year 0% currency-linked step-up notes tied to the Singapore dollar, Philippine peso, Malaysian ringgit and Indonesian rupiah; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in January or February
• Six-month 0% bear Accelerated Return Notes linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in January or February
• Two-year 0% market-linked step-up notes linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in January or February
• Four-year 0% market-linked step-up notes linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in January or February
• 0% Accelerated Return Notes due March 2012 based on S&P 500 index, the MSCI EAFE index and the MSCI Emerging Markets index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in February
BANK OF MONTREAL
• 11%-13% reverse exchangeable notes due July 20, 2011 linked to FedEx Corp. common stock; 75% trigger; via BMO Capital Markets Corp.; pricing Jan. 14; Cusip 06366QBL0
• 12.85% annualized reverse exchangeable notes due April 29, 2011 based on American International Group, Inc. shares; 80% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip 06366QBN6
• 11.75% annualized reverse exchangeable notes due April 29, 2011 based on AMR Corp. shares; 80% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip 06366QBP1
• 9.3% annualized reverse exchangeable notes due April 29, 2011 based on Arch Coal Inc. shares; 80% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip 06366QBM8
• 20.55% reverse exchangeable notes due July 29, 2011 linked to ATP Oil & Gas Corp. common stock; 75% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip 06366QCH8
• 18% annualized reverse exchangeable notes due April 29, 2011 based on Coinstar Inc. shares; 85% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip 06366QBQ9
• 8.45% reverse exchangeable notes due Jan. 31, 2012 linked to Diamond Offshore Drilling, Inc. common stock; 80% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip 06366QCN5
• 10.15% annualized reverse exchangeable notes due April 29, 2011 based on Digital River Inc. shares; 85% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip 06366QBR7
• 16.85% reverse exchangeable notes due July 29, 2011 linked to DryShips Inc. common stock; 75% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip 06366QCJ4
• 8.45% reverse exchangeable notes due Jan. 31, 2012 linked to Ford Motor Co. common stock; 75% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip 06366QCP0
• 11.55% reverse exchangeable notes due July 29, 2011 linked to Freeport-McMoRan Copper Gold Inc. common stock; 75% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip 06366QCK1
• 13.8% annualized reverse exchangeable notes due April 29, 2011 based on Green Mountain Coffee Roasters Inc. shares; 75% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip 06366QBS5
• 25.5% annualized reverse exchangeable notes due April 29, 2011 based on Hecla Mining Co. shares; 80% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip 06366QBT3
• 26.5% annualized reverse exchangeable notes due April 29, 2011 based on LDK Solar Co., Ltd. shares; 75% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip 06366QBU0
• 21.45% annualized reverse exchangeable notes due April 29, 2011 based on Las Vegas Sands Corp. shares; 80% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip 06366QBV8
• 7.85% reverse exchangeable notes due Jan. 31, 2012 linked to the Market Vectors Gold Miners exchange-traded fund; 75% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip 06366QCQ8
• 20.5% reverse exchangeable notes due April 29, 2011 linked to the common stock of McMoRan Exploration Co.; 80% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip: 06366QBY2
• 10.9% reverse exchangeable notes due July 29, 2011 linked to MEMC Electronic Materials, Inc. common stock; 75% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip 06366QCM7
• 22.45% reverse exchangeable notes due April 29, 2011 linked to the common stock of MGM Resorts International; 80% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip: 06366QBX4
• 22.85% reverse exchangeable notes due April 29, 2011 linked to the common stock of Molycorp, Inc.; 70% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip: 06366QBW6
• 19.75% reverse exchangeable notes due April 29, 2011 linked to the common stock of Netflix, Inc.; 80% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip: 06366QBZ9
• 17.25% reverse exchangeable notes due April 29, 2011 linked to the common stock of Office Depot, Inc.; 80% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip: 06366QCA3
• 10% reverse exchangeable notes due April 29, 2011 linked to the common stock of Royal Caribbean Cruises Ltd.; 80% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip: 06366QCB1
• 17.4% reverse exchangeable notes due April 29, 2011 linked to the common stock of SandRidge Energy Inc.; 80% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip: 06366QCC9
• 21% reverse exchangeable notes due April 29, 2011 linked to the common stock of Sirius XM Radio Inc.; 80% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip: 06366QCD7
• 17.75% reverse exchangeable notes due April 29, 2011 linked to the common stock of Stillwater Mining Co.; 80% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip: 06366QCE5
• 11.6% reverse exchangeable notes due April 29, 2011 linked to the common stock of United Continental Holdings Inc.; 80% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip: 06366QCF2
• 9.35% reverse exchangeable notes due July 29, 2011 linked to the United States Natural Gas Fund, LP; 75% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip 06366QCL9
• 9.25% reverse exchangeable notes due April 29, 2011 linked to Wynn Resorts, Ltd. common stock; 80% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip 06366QCG0
• 7.5% reverse exchangeable notes due Jan. 31, 2012 linked to Yahoo! Inc. common stock; 75% trigger; via BMO Capital Markets Corp.; pricing Jan. 26; Cusip 06366QCR6
BANK OF THE WEST
• Market-linked certificates of deposit due Jan. 29, 2016 linked to the common stocks of Abbott Laboratories, Altria Group, Inc., AT&T Inc., Bristol-Myers Squibb Co., First Solar, Inc., Goldcorp Inc., Monsanto Co., Southern Co., Verizon Communications Inc. and VMware, Inc.; via BNP Paribas Securities Corp. and Advisors Asset Management, Inc.; pricing Jan. 26; Cusip: 06426XAK6
• Market-linked certificates of deposit due Jan. 29, 2017 linked to the American Depositary Receipts of Barclays plc, Nokia Corp., Tata Motors Ltd. and Teva Pharmaceutical Industries Ltd. as well as the common stocks of Campbell Soup Co., General Mills, Inc., Kinross Gold Corp., Las Vegas Sands Corp., Newmont Mining Corp. and Sprint Nextel Corp.; via BNP Paribas Securities Corp. and distributor Advisors Asset Management, Inc.; pricing Jan. 26; Cusip 06426XAJ9
• Market-linked certificates of deposit due Jan. 29, 2017 linked to the common stocks of Abbott Laboratories, Altria Group, Inc., AT&T Inc., Bristol-Myers Squibb Co., First Solar, Inc., Goldcorp Inc., Monsanto Co., Southern Co., Verizon Communications Inc. and VMware, Inc.; via BNP Paribas Securities Corp. and distributor Advisors Asset Management, Inc.; pricing Jan. 26; Cusip 06426XAH3
BARCLAYS BANK PLC
• 0% capped market plus notes due Jan. 24, 2012 linked to the price of copper; via JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC; pricing Jan. 7; Cusip 06741JAB5
• 0% capped market plus notes due Jan. 23, 2012 linked to gold; via JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC; pricing Jan. 7; Cusip: 06740PZW9
• 0% capped market plus notes due July 13, 2012 linked to the S&P 500 index; via JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC; pricing Jan. 7; Cusip: 06740PZU3
• 0% buffered return enhanced notes due Jan. 25, 2012 linked to the S&P 500 index; via JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC; pricing Jan. 7; Cusip: 06740PZT6
• 0% return enhanced notes due July 13, 2012 based on S&P 500 index; via JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC; pricing Jan. 7; Cusip 06740PQ74
• Buffered iSuper Track notes due Jan. 17, 2013 linked to the iShares Dow Jones U.S. Real Estate index fund; via Barclays Capital Inc.; pricing Jan. 14; Cusip 06740PYT7
• 0% buffered Super Track notes due July 19, 2012 linked to the iShares MSCI EAFE index fund; via Barclays Capital Inc.; pricing Jan. 14; Cusip: 06740PYS9
• 0% buffered Super Track notes due July 19, 2012 linked to the iShares MSCI Emerging Markets index fund; via Barclays Capital Inc.; pricing Jan. 14; Cusip: 06740PYQ3
• 0% buffered Super Track notes due July 19, 2012 linked to the S&P 500 index; 85% trigger; via Barclays Capital Inc.; pricing Jan. 14; Cusip 06740PYR1
• 0% buffered Super Track notes due Jan. 17, 2014 linked to the S&P GSCI Excess Return index; 85% trigger; via Barclays Capital Inc.; pricing Jan. 14; Cusip 06740PYU4
• 8.75% reverse convertible notes due Jan. 31, 2012 linked to Bank of America Corp. stock; via Barclays Capital; pricing Jan. 26; Cusip: 06740PZH2
• 0% double short leverage securities due Jan. 30, 2014 linked to the Barclays Capital 30Y Treasury Futures index; via UBS Financial Services Inc. and Barclays Capital Inc.; pricing Jan. 26; Cusip 06740PYN0
• 12% reverse convertible notes due July 29, 2011 linked to Carpenter Technology Corp. stock; via Barclays Capital; pricing Jan. 26; Cusip: 06740PZA7
• 9.75% reverse convertible notes due Jan. 31, 2012 linked to Carpenter Technology Corp. stock; via Barclays Capital; pricing Jan. 26; Cusip: 06740PZ41
• 8.25% reverse convertible notes due Jan. 31, 2012 linked to Ford Motor Co. stock; via Barclays Capital; pricing Jan. 26; Cusip: 06740PZ58
• 9.75% reverse convertible notes due Jan. 31, 2012 linked to Ford Motor Co. stock; via Barclays Capital; pricing Jan. 26; Cusip: 06740PZJ8
• 0% Super Track notes due Jan. 31, 2013 based on Hang Seng China Enterprises index; via Barclays Capital Inc.; pricing Jan. 26; Cusip 06740PQ41
• 0% buffered Super Track notes due July 31, 2012 based on iShares MSCI Emerging Markets index fund; 90% trigger; via Barclays Capital Inc.; pricing Jan. 26; Cusip 06740PZ25
• 11.75% reverse convertible notes due July 29, 2011 linked to Janus Capital Group Inc. stock; via Barclays Capital; pricing Jan. 26; Cusip: 06740PZB5
• 10.25% reverse convertible notes due Jan. 31, 2012 linked to Janus Capital Group, Inc. stock; via Barclays Capital; pricing Jan. 26; Cusip: 06740PZ66
• 8.75% reverse convertible notes due Jan. 31, 2012 linked to MetLife, Inc. stock; via Barclays Capital; pricing Jan. 26; Cusip: 06740PZK5
• 9.25% reverse convertible notes due Jan. 31, 2012 linked to Noble Corp. stock; via Barclays Capital; pricing Jan. 26; Cusip: 06740PZL3
• 11% reverse convertible notes due July 29, 2011 linked to Nokia Corp. (American Depositary Shares) stock; via Barclays Capital; pricing Jan. 26; Cusip: 06740PZC3
• 9% reverse convertible notes due Jan. 31, 2012 linked to Nokia Corp. (American Depositary Shares) stock; via Barclays Capital; pricing Jan. 26; Cusip: 06740PZ74
• 9.5% reverse convertible notes due July 29, 2011 linked to Peabody Energy Corp. stock; via Barclays Capital; pricing Jan. 26; Cusip: 06740PZ90
• 12% reverse convertible notes due July 29, 2011 linked to Research In Motion Ltd. stock; via Barclays Capital; pricing Jan. 26; Cusip: 06740PZD1
• 10% reverse convertible notes due Jan. 31, 2012 linked to Research in Motion Ltd. stock; via Barclays Capital; pricing Jan. 26; Cusip: 06740PZ82
• 0% buffered Super Track notes due July 31, 2012 based on Russell 2000 index; 90% trigger; via Barclays Capital Inc.; pricing Jan. 26; Cusip 06740PYZ3
• 11% reverse convertible notes due July 29, 2011 linked to Seagate Technology stock; via Barclays Capital; pricing Jan. 26; Cusip: 06740PZG4
• 8.5% reverse convertible notes due July 29, 2011 linked to SunTrust Banks, Inc. stock; via Barclays Capital; pricing Jan. 26; Cusip: 06740PZF6
• 9.75% reverse convertible notes due July 29, 2011 linked to Superior Energy Services, Inc. stock; via Barclays Capital; pricing Jan. 26; Cusip: 06740PZE9
• Zero-coupon capped leveraged index return notes due January 2013 linked to the MSCI Taiwan index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in January
• Two-year 0% Capped Leveraged Index Return Notes linked to the MSCI World index and the MSCI Emerging Markets index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in January
• 0% buffered Performance Leveraged Upside Securities due Jan. 30, 2013 linked to the S&P 500 index; via Morgan Stanley Smith Barney LLC and Barclays Capital Inc.; pricing in January; Cusip 06740H195
CITIBANK, NA
• Callable range accrual certificates of deposit due Jan. 28, 2026 based on Libor-BBA and the S&P 500 index; via Citigroup Global Markets Inc. and distributor Incapital LLC; pricing Jan. 25; Cusip 172986CP4
• Callable leveraged market-linked certificates of deposit due 2031 linked to the 30-year and two-year Constant Maturity Swap rates; via Citigroup Global Markets Inc. and distributor Advisors Asset Management, Inc.; pricing in January; Cusip: 172986CM1
CITIGROUP FUNDING INC.
• 6%-8% Equity LinKed Securities due July 27, 2011 linked to Apple Inc. common stock; via Citigroup Global Markets Inc.; pricing Jan. 25; Cusip 17316G529
• 14%-16% Equity LinKed Securities due July 27, 2011 linked to Las Vegas Sands Corp. common stock; via Citigroup Global Markets Inc.; pricing Jan. 25; Cusip 17316G511
• 8%-10% Equity LinKed Securities due July 27, 2011 linked to Textron Inc. common stock; via Citigroup Global Markets Inc.; pricing Jan. 25; Cusip 17316G537
• Two-year 0% Capped Leveraged Index Return Notes linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in January
CREDIT SUISSE AG, NASSAU BRANCH
• 9.7% callable yield notes due Jan. 19, 2012 based on the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; 65% trigger; via Credit Suisse Securities (USA) LLC; pricing Jan. 13; Cusip 22546EQ23
• 9.25%-11.25% annualized callable yield notes due July 20, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; 72.5% trigger; via Credit Suisse Securities (USA) LLC; pricing Jan. 14; Cusip 22546EM84
• 9%-11% annualized callable yield notes due July 20, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; 77.5% trigger; via Credit Suisse Securities (USA) LLC; pricing Jan. 14; Cusip 22546EM92
• 7%-9.5% callable yield notes due Jan. 20, 2012 linked to the S&P 500 index and the Russell 2000 index; 77.5% trigger; via Credit Suisse Securities (USA) LLC; pricing Jan. 14; Cusip 22546EE67
• 8%-10.5% callable yield notes due Jan. 20, 2012 linked to the S&P 500 index and the Russell 2000 index; 72.5% trigger; via Credit Suisse Securities (USA) LLC; pricing Jan. 14; Cusip 22546EF90
• 8.1% callable yield notes due Jan. 23, 2012 based on the iShares MSCI Brazil index fund and the SPDR S&P Metals & Mining exchange-traded fund; 65% trigger; via Credit Suisse Securities (USA) LLC; pricing Jan. 18
• 0% Buffered Accelerated Return Equity Securities due July 29, 2013 based on the iShares MSCI Emerging Markets index fund; 90% trigger; via Credit Suisse Securities (USA) LLC; pricing Jan. 21; Cusip 22546EP99
• 6.5% to 7.5% annualized callable yield notes due April 30, 2012 based on the Russell 2000 index and the iShares MSCI Emerging Markets index fund; 75% trigger; via Credit Suisse Securities (USA) LLC; pricing Jan. 21; Cusip 22546EP24
• 0% buffered return equity securities due July 29, 2016 based on CS/RT Emerging Infrastructure Index powered by HOLT; 80% trigger; via Credit Suisse Securities (USA) LLC; pricing Jan. 26; Cusip 22546EP81
• 8%-10% annualized callable yield notes due Aug. 3, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; 72.5% trigger; via Credit Suisse Securities (USA) LLC; pricing Jan. 26; Cusip 22546EF82
• 0% Buffered Accelerated Return Equity Securities due Jan. 31, 2013 based on Russell 2000 index; 75% trigger; via Credit Suisse Securities (USA) LLC; pricing Jan. 26; Cusip 22546EP65
• 8.5%-10.5% annualized callable yield notes due July 29, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; 77.5% trigger; via Credit Suisse Securities (USA) LLC; pricing Jan. 26; Cusip 22546EE34
• 9%-11% annualized callable yield notes due July 29, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; 77.5% trigger; via Credit Suisse Securities (USA) LLC; pricing Jan. 26; Cusip 22546EL85
• 9%-11% callable yield notes due Jan. 31, 2012 linked to the Russell 2000 index and the SPDR S&P 500 Metals & Mining exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Jan. 26; Cusip: 22546EN42
• 9.5%-11.5% callable yield notes due Jan. 31, 2012 linked to the Russell 2000 index and the SPDR S&P 500 Metals & Mining exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Jan. 26; Cusip: 22546EN59
• 10%-12% callable yield notes due Jan. 31, 2012 linked to the Russell 2000 index and the SPDR S&P 500 Metals & Mining exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Jan. 26; Cusip: 22546EN75
• 7%-9% callable yield notes due July 29, 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 Jan. 26; Cusip 22546EN26
• 9%-11% annualized callable yield notes due July 29, 2011 linked to the SPDR S&P Metals & Mining exchange-traded fund and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Jan. 26; Cusip: 22546EN34
• 10%-12% annualized callable yield notes due July 29, 2011 linked to the SPDR S&P Metals & Mining exchange-traded fund and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Jan. 26; Cusip: 22546EN67
• High/low coupon callable yield notes due Jan. 31, 2012 linked to the SPDR S&P Metals & Mining exchange-traded fund and the Market Vectors Gold Miners ETF; via Credit Suisse Securities (USA) LLC; pricing Jan. 26; Cusip: 22546EP73
• 0% Buffered Accelerated Return Equity Securities due Aug. 3, 2012 based on Russell 2000 index; 75% trigger; via Credit Suisse Securities (USA) LLC; pricing Jan. 31; Cusip 22546EP57
• 0% callable Cert PLUS securities due Feb. 5, 2013 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Jan. 31; Cusip 22546EP40
• 10%-12% callable yield notes due Aug. 3, 2011 linked to the SPDR S&P Metals & Mining exchange-traded fund and the Market Vectors Gold Miners ETF; via Credit Suisse Securities (USA) LLC; pricing Jan. 31; Cusip 22546EF58
• High/low coupon callable yield notes due Feb. 3, 2012 linked to the S&P 500 and Russell 2000 indexes; via Credit Suisse Securities (USA) LLC; pricing Jan. 31; Cusip: 22546EP32
• 10%-12% callable yield notes due Deb. 3, 2012 linked to the Russell 2000 index and the SPDR S&P Metals & Mining exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Jan. 31; Cusip: 22546EE26
DEUTSCHE BANK AG, LONDON BRANCH
• 0% capped knock-out notes due Jan. 13, 2012 linked the S&P GSCI Crude Oil Index Excess Return; via JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC; pricing Jan. 7; Cusip 2515A12Q3
• 0% alpha overlay securities due Feb. 17, 2012 linked 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 Jan. 14; Cusip 2515A12L4
• 0% alpha overlay securities due Feb. 21, 2012 linked to the Deutsche Bank Liquid Alpha USD 5 Total Return index and the Deutsche Bank Equity Mean Reversion Alpha index (Emerald); via Deutsche Bank Securities Inc.; pricing Jan. 14; Cusip 2515A12C4
• 0% S&P plus tracker notes due Feb. 21, 2012 linked to the S&P 500 Total Return index and the Deutsche Bank Equity Mean Reversion Alpha index; via Deutsche Bank Securities Inc.; pricing Jan. 14; Cusip 2515A1BX8
• 0% market contribution securities due Jan. 24, 2014 linked to the Deutsche Bank Liquid Commodity Index - Mean Reversion Total Return; via Deutsche Bank Securities Inc.; pricing Jan. 21; Cusip 2515A12M2
• 0% market contribution securities due Jan. 30, 2014 linked to the Deutsche Bank Liquid Commodity Index - Mean Reversion Plus Total Return; via Deutsche Bank Securities Inc.; pricing Jan. 26; Cusip 2515A12N0
• 0% buffered barrier rebate securities due Jan. 31, 2014 linked to the price of gold; via Deutsche Bank Securities Inc.; pricing Jan. 28; Cusip 2515A12R1
EKSPORTFINANS ASA
• 0% Accelerated Return Notes due March 2012 linked to Energy Select Sector index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in January
• 0% Accelerated Return Notes due March 2012 linked to Financials Select Sector index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in January
• Five-month 0% Strategic Accelerated Redemption Securities linked to the spot price of palladium; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in January
• 0% Accelerated Return Notes due April 2012 based on Rogers International Commodity Index - Excess Return; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in January
• Six-month 0% Strategic Accelerated Redemption Securities linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in January or February
GOLDMAN SACHS GROUP, INC.
• 15-year callable CMS spread notes linked to the 10-year and two-year Constant Maturity Swap rates; via Goldman Sachs & Co.; Cusip 38143UQT1
• Six-year 0% equity index-linked notes linked to the performance of the Dow Jones Industrial Average; via Goldman, Sachs & Co.; Cusip: 38143UQQ7
• 13-month floating-rate index-linked notes tied to the Dow Jones - UBS Commodity Index Total Return; via Goldman Sachs & Co.
• 27- to 30-month 0% leveraged basket-linked notes tied to the iShares FTSE/Xinhua China 25 index fund, iShares MSCI Australia index fund, iShares MSCI South Korea index fund and iShares MSCI Taiwan index fund; via Goldman Sachs & Co.
• 42-month 0% leveraged buffered equity index-linked notes linked to iShares MSCI Emerging Markets index fund; 80% trigger; via Goldman Sachs & Co.; Cusip 38143UPB1
• Six- to seven-month 0% autocallable 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.
• 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 index-linked notes linked to 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 39-month 0% capped equity index-linked notes linked to the S&P 500 index; 90% trigger; 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 38143UQN4
• 16- to 18-month 0% leveraged buffered basket-linked notes linked to the S&P 500 index, the Russell 2000 index and the iShares MSCI Emerging Markets index fund; via Goldman Sachs & Co.; Cusip 38143UPC9
• 12-month commodity basket-linked notes linked to WTI crude oil contract, the copper contract, the platinum contract, the soybean contract and the cotton contract; via Goldman Sachs & Co.
HARRIS NA
• Annual digital yield generator certificates of deposit due Jan. 29, 2016 linked to equal weights of Altria Group, Inc., Apple, Inc., Barrick Gold Corp., ConocoPhillips, Coca-Cola Co., McDonald's Corp., Merck & Co., Inc., Verizon Communications Inc., Wal-Mart Stores, Inc. and Wells Fargo & Co.; via Incapital LLC; pricing Jan. 26; Cusip: 41456TLP2
• Annual digital yield generator certificates of deposit due Jan. 31, 2017 linked to equal weights of Altria Group, Inc., Apple, Inc., Barrick Gold Corp., ConocoPhillips, Coca-Cola Co., McDonald's Corp., Merck & Co., Inc., Verizon Communications Inc., Wal-Mart Stores, Inc. and Wells Fargo & Co.; via Incapital LLC; pricing Jan. 26; Cusip: 41456TLQ0
• Annual digital yield generator certificates of deposit due Jan. 31, 2018 linked to the common stocks of Altria Group, Inc., Apple, Inc., Barrick Gold Corp., ConocoPhillips, Coca-Cola Co., McDonald's Corp., Merck & Co., Inc., Verizon Communications Inc., Wal-Mart Stores, Inc. and Wells Fargo & Co.; via distributor Incapital LLC; pricing Jan. 26; Cusip 41456TLN7
• Semiannual digital yield generator certificates of deposit due Jan. 31, 2017 linked to the common stocks of Altria Group, Inc., Apple, Inc., Barrick Gold Corp., ConocoPhillips, Coca-Cola Co., McDonald's Corp., Merck & Co., Inc., Verizon Communications Inc., Wal-Mart Stores, Inc. and Wells Fargo & Co.; via distributor Incapital LLC; pricing Jan. 26; Cusip 41456TLR8
HSBC BANK USA, NA
• 0% global opportunity certificates of deposit due Jan. 25, 2018 linked to the Euro Stoxx 50, Hang Seng and S&P 500 indexes; via HSBC Securities (USA) Inc.; pricing Jan. 20; Cusip 40431GLA5
• 0.5%-1% Far East opportunity certificates of deposit due Jan. 25, 2018 linked to the Hang Seng, MSCI Taiwan, MSCI Singapore Free and Kospi 200 indexes; via HSBC Securities (USA) Inc.; pricing Jan. 20; Cusip 40431GKV0
• 0% certificates of deposit due Jan. 26, 2017 linked to the Dow Jones Industrial Average; via HSBC Securities (USA) Inc.; pricing Jan. 21; Cusip 40431GKU2
• 0% knock-out barrier certificates of deposit due Jan. 26, 2015 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Jan. 21 Cusip: 40431GKE8
• 0% knock-out barrier certificates of deposit due Jan. 26, 2016 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Jan. 21; Cusip 40431GKF5
• Annual income opportunity certificates of deposit with auto cap feature due Jan. 30, 2017 linked to a basket of the stocks including Aluminum Corp. of China Ltd., Baidu, Inc., China Unicom, Chunghwa Telecom Co., Ltd., CNOOC Ltd., Icici Bank Ltd., Infosys Technologies Ltd., LG Display Co. Ltd., SK Telecom Co., Ltd. and Tata Motors Ltd.; via HSBC Securities (USA) Inc.; pricing Jan. 25; Cusip
40431GKS7
• Annual income opportunity certificates of deposit with auto cap feature due Jan. 30, 2018 linked to a basket of the stocks including American Express Co., Amgen Inc., Applied Materials, Inc., Hershey Co., Home Depot, Inc., McDonald's Corp., McGraw-Hill Cos., Inc., Medtronic, Inc., Monsanto Co., Proctor & Gamble, United Parcel Service, Inc.; via HSBC Securities (USA) Inc.; pricing Jan. 25; Cusip 40431GKY4
• "All up" certificates of deposit due Jan. 30, 2017 with minimum coupon linked to the common stocks of Home Depot, Inc., Kraft Foods, Inc., McDonald's Corp., Merck & Co., Inc. and Verizon Communications, Inc.; via HSBC Securities (USA) Inc.; pricing Jan. 25; Cusip 40431GKN8
• Annual income opportunity certificates of deposit with auto cap feature due Jan. 29, 2016 linked to a basket of the stocks including 3M Co., Analog Devices, Inc., Comcast Corp., Dow Chemical Co., Duke Energy Corp., Freeport-McMoRan Copper & Gold Inc., Limited Brands, Inc., Marathon Oil Corp., Pfizer Inc., Qwest Communications, Travelers Cos., Inc. and Williams Cos., Inc.; via HSBC Securities (USA) Inc.; pricing Jan. 26; Cusip 40431GLB3
• Annual income opportunity certificates of deposit with auto cap feature due Jan. 31, 2017 linked to a basket of the stocks including 3M Co., Analog Devices, Inc., Comcast Corp., Dow Chemical Co., Duke Energy Corp., Freeport-McMoRan Copper & Gold Inc., Limited Brands, Inc., Marathon Oil Corp., Pfizer Inc., Qwest Communications, Travelers Cos., Inc. and Williams Cos., Inc.; via HSBC Securities (USA) Inc.; pricing Jan. 26; Cusip 40431GLB3
• Annual income opportunity certificates of deposit with auto cap feature due Jan. 31, 2017 linked to a basket of the stocks including Credit Suisse Group AG, Gold Fields Ltd., Kraft Foods Inc., Mechel, Nokia Corp., Petroleo Brasileiro SA, Raytheon Co., Taiwan Semiconductor Manufacturing, Teva Pharmaceutical Industries Ltd., Toyota Motor Corp., Vodafone Group plc and Wal-Mart Stores, Inc.; via HSBC Securities (USA) Inc.; pricing Jan. 26; Cusip 40431GKM0
HSBC USA INC.
• 0% notes due Jan. 10, 2012 linked to the performance of four equally weighted currencies including the Indian rupee, the Indonesian rupiah, the Korean won and the Singapore dollar relative to the U.S. Dollar; via HSBC Securities (USA) Inc.; pricing Jan. 7; Cusip 4042K1CE1
• 0% trigger autocallable optimization securities due Jan. 13, 2012 linked to the common stock of Wells Fargo & Co.; via UBS Financial Services Inc. and HSBC USA Inc.; pricing Jan. 7; Cusip: 40432R260
• 0% averaging notes with minimum return due Jan. 24, 2018 linked to the S&P Global Infrastructure index; via HSBC Securities (USA) Inc.; pricing Jan. 19; Cusip 4042K1BQ5
• 0% buffered Accelerated Market Participation Securities due April 27, 2012 linked to the iShares FTSE/Xinhua China 25 index fund; via HSBC Securities (USA) Inc.; pricing Jan. 24; Cusip: 4042K1BX0
• 0% buffered Accelerated Market Participation Securities due July 27, 2012 linked to the iShares FTSE/Xinhua China 25 index fund; via HSBC Securities (USA) Inc.; pricing Jan. 24; Cusip: 4042K1CB7
• 0% buffered Accelerated Market Participation Securities due April 27, 2012 linked to the iShares MSCI Brazil index fund; via HSBC Securities (USA) Inc.; pricing Jan. 24; Cusip: 4042K1BY8
• 0% buffered Accelerated Market Participation Securities due July 27, 2012 linked to the iShares MSCI Brazil index fund; via HSBC Securities (USA) Inc.; pricing Jan. 24; Cusip: 4042K1CC5
• 0% Accelerated Market Participation Securities due April 27, 2012 based on Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Jan. 24; 4042K1BS1
• 0% buffered Accelerated Market Participation Securities due April 27, 2012 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Jan. 24; Cusip: 4042K1BW2
• 0% Accelerated Market Participation Securities due July 27, 2012 based on Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Jan. 24; Cusip 4042K1BU6
• 0% buffered Accelerated Market Participation Securities due July 27, 2012 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Jan. 24; Cusip: 4042K1CA9
• 8%-12% autocallable yield notes due Jan. 27, 2012 based on S&P 500 index and Russell 2000 index; 80% trigger; via HSBC Securities (USA) Inc.; pricing Jan. 24; Cusip 4042K1CD3
• 0% Accelerated Market Participation Securities due April 27, 2012 based on S&P 500 index; via HSBC Securities (USA) Inc.; pricing Jan. 24; Cusip 4042K1BR3
• 0% buffered Accelerated Market Participation Securities due April 27, 2012 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Jan. 24; Cusip: 4042K1BV4
• 0% Accelerated Market Participation Securities due July 27, 2012 based on S&P 500 index; via HSBC Securities (USA) Inc.; pricing Jan. 24; Cusip 4042K1BT9
• 0% buffered Accelerated Market Participation Securities due July 27, 2012 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Jan. 24; Cusip: 4042K1BZ5
• 0% emerging markets Currency Accelerated Return Securities due Jan. 31, 2013 linked to equal weights of the Brazilian real, Indian rupee and Chinese renminbi; via HSBC Securities (USA) Inc.; pricing Jan. 26; Cusip 4042K1CG6
JPMORGAN CHASE BANK, NA
• Callable six-month Libor range accrual certificates of deposit due Jan. 20, 2026; via J.P. Morgan Securities LLC; settlement Jan. 20; Cusip 48123YSX5
• Contingent coupon market-linked certificates of deposit due Jan. 25, 2017 linked to copper, corn, nickel, palladium, platinum, silver, soybeans, 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 Jan. 25; Cusip 48123YSB3
• Digital contingent coupon certificates of deposit due Jan. 29, 2016 linked to the common stocks of 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 and distributor Incapital LLC; pricing Jan. 26; Cusip 48123YST4
• Contingent coupon certificates of deposit due Jan. 30, 2017 linked to the common stocks of 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 and distributor Incapital LLC; pricing Jan. 26; Cusip 48123YSN7
• Digital contingent coupon certificates of deposit due Jan. 30, 2017 linked to the common stocks of 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 and distributor Incapital LLC; pricing Jan. 26; Cusip 48123YSJ6
• Contingent coupon certificates of deposit due Jan. 30, 2018 linked to the common stocks of 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 and distributor Incapital LLC; pricing Jan. 26; Cusip 48123YSP2
• Digital contingent coupon certificates of deposit due Jan. 30, 2018 linked to the common stocks of 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 and distributor Incapital LLC; pricing Jan. 26; Cusip 48123YSM9
• 0% certificates of deposit due Jan. 29, 2016 based on JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities Inc. and Incapital LLC; pricing Jan. 26; Cusip 48123YSG2
JPMORGAN CHASE & CO.
• 0% capped daily observation knock-out notes due Jan. 25, 2012 linked to Bank of America Corp. common stock; via J.P. Morgan Securities LLC; pricing Jan. 7; Cusip 48124A7B7
• 0% buffered return enhanced notes due Jan. 20, 2012 linked to the Canadian dollar, Chilean peso and Mexican peso; via J.P. Morgan Securities LLC; pricing Jan. 7; Cusip 48124A6Z5
• 0% trigger autocallable optimization securities due Jan. 13, 2012 linked to Hess Corp. common stock; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Jan. 7; Cusip 46634X559
• 0% autocallable return enhanced notes due Jan. 25, 2012 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Jan. 7; Cusip 48124A6Y8
• 0% buffered return enhanced notes due July 12, 2012 linked to the S&P 500 index; 90% trigger; via J.P. Morgan Securities LLC; pricing Jan. 7; Cusip 48124A6D4
• 9% upside auto callable single observation reverse exchangeable notes due Jan. 20, 2012 linked to the common stock of Alcoa Inc.; via J.P. Morgan Securities LLC; pricing Jan. 18; Cusip: 48124A6Q5
• 10.5% upside auto callable single observation reverse exchangeable notes due Jan. 20, 2012 linked to the common stock of Bank of America Corp.; via J.P. Morgan Securities LLC; pricing Jan. 18; Cusip: 48124A6R3
• 8% upside auto callable single observation reverse exchangeable notes due Jan. 20, 2012 linked to the common stock of Caterpillar Inc.; via J.P. Morgan Securities LLC; pricing Jan. 18; Cusip: 48124A6S1
• 9.9%-14.4% annualized reverse exchangeable notes due July 21, 2011 linked to the common stock of Citigroup Inc.; via J.P. Morgan Securities LLC; pricing Jan. 18; Cusip: 48124A6K8
• 9.25% upside auto callable single observation reverse exchangeable notes due Jan. 20, 2012 linked to the common stock of Ford Motor Co.; via J.P. Morgan Securities LLC; pricing Jan. 18; Cusip: 48124A6T9
• 11% upside auto callable single observation reverse exchangeable notes due Jan. 20, 2012 linked to the common stock of Freeport-McMoRan Copper & Gold Inc.; via J.P. Morgan Securities LLC; pricing Jan. 18; Cusip: 48124A6U6
• 13% upside auto callable single observation reverse exchangeable notes due Jan. 20, 2012 linked to the common stock of Netflix, Inc.; via J.P. Morgan Securities LLC; pricing Jan. 18; Cusip: 48124A6W2
• 0% buffered return enhanced notes due July 23, 2012 linked to the S&P MidCap 400 index; 85% trigger; via J.P. Morgan Securities LLC; pricing Jan. 18; Cusip 48124A6J1
• 0% buffered return enhanced notes due July 31, 2012 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Jan. 26; Cusip 48124A6N2
• 0% outperformance jump securities due July 30, 2012 linked to the SPDR S&P 500 ETF trust and iShares Barclays 20+ Year Treasury Bond fund; via J.P. Morgan Securities LLC; pricing Jan. 25; Cusip 46634X591
• 14.25% reverse convertible notes due April 29, 2011 linked to AK Steel Holding Corp. stock; via JPMorgan; pricing Jan. 26; Cusip: 48125XAA4
• 9.5% reverse convertible notes due Jan. 31, 2012 linked to Amazon.com, Inc. stock; via JPMorgan; pricing Jan. 26; Cusip: 48125XAL0
• 10% reverse convertible notes due Jan. 31, 2012 linked to Bank of America Corp. stock; via JPMorgan; pricing Jan. 26; Cusip: 48125XAN6
• 10.5% reverse convertible notes due April 29, 2011 linked to Delta Air Lines, Inc. stock; via JPMorgan; pricing Jan. 26; Cusip: 48125XAB2
• 15% reverse convertible notes due April 29, 2011 linked to DryShips Inc. stock; via JPMorgan; pricing Jan. 26; Cusip: 48125XAC0
• 9.5% reverse convertible notes due Jan. 31, 2012 linked to Ford Motor Co. stock; via JPMorgan; pricing Jan. 26; Cusip: 48125XAP1
• 9% reverse convertible notes due July 29, 2011 linked to International Paper Co. stock; via JPMorgan; pricing Jan. 26; Cusip: 48125XAG1
• 0% buffered return enhanced notes due July 31, 2012 linked to the iShares MSCI EAFE index fund; via J.P. Morgan Securities LLC; pricing Jan. 26; Cusip: 48124A6M4
• 10.75% reverse convertible notes due Jan. 31, 2012 linked to Joy Global Inc. stock; via JPMorgan; pricing Jan. 26; Cusip: 48125XAQ9
• 22.5% reverse convertible notes due April 29, 2011 linked to Las Vegas Sands Corp. stock; via JPMorgan; pricing Jan. 26; Cusip: 48125XAD8
• 18% reverse convertible notes due April 29, 2011 linked to McMoRan Exploration Co. stock; via JPMorgan; pricing Jan. 26; Cusip: 48125XAE6
• 8.5% reverse convertible notes due July 29, 2011 linked to Monsanto Co. stock; via JPMorgan; pricing Jan. 26; Cusip: 48125XAH9
• 10% reverse convertible notes due July 29, 2011 linked to Peabody Energy Corp. stock; via JPMorgan; pricing Jan. 26; Cusip: 48125XAF3
• 0% buffered return enhanced notes due July 31, 2012 linked to the S&P 500 index; 90% trigger; via J.P. Morgan Securities LLC; pricing Jan. 26; Cusip 48124A6L6
• 0% buffered return enhanced notes due Jan. 31, 2013 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricign Jan. 26; Cusip: 48124A6P7
• 9.5% reverse convertible notes due July 29, 2011 linked to Whole Foods Market, Inc. stock; via JPMorgan; pricing Jan. 26; Cusip: 48125XAJ5
• 13.5% reverse convertible notes due July 29, 2011 linked to Wynn Resorts, Ltd. stock; via JPMorgan; pricing Jan. 26; Cusip: 48125XAK2
• 12% reverse convertible notes due Jan. 31, 2012 linked to Yamana Gold Inc. stock; via JPMorgan; pricing Jan. 26; Cusip: 48125XAM8
MORGAN STANLEY
• 0% buffered return enhanced notes due Jan. 18, 2012 linked to the Hang Seng China Enterprises, Korea Stock Price 200, MSCI Taiwan, Hang Seng and MSCI Singapore indexes and their related currencies; via Morgan Stanley & Co. Inc., JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC; pricing Jan. 7; Cusip 617482QL1
• Leveraged CMS curve and Russell 2000 index-linked callable notes due Jan. 24, 2026; via Morgan Stanley & Co. Inc.; settlement Jan. 24; Cusip 61745E2R1
• Contingent income autocallable securities due Jan. 25, 2013 linked to Bank of America Corp. common stock; via Morgan Stanley & Co. Inc.; pricing Jan. 25; Cusip 61759G190
• 0% buffered jump securities due Jan. 28, 2015 linked to the Dow Jones Industrial Average; via Morgan Stanley & Co. Inc.; pricing Jan. 25; Cusip 617482QJ6
• 0% equity-linked notes due Jan. 27, 2017 linked to the Dow Jones Industrial Average; via Morgan Stanley & Co. Inc.; pricing Jan. 25; Cusip 617482QH0
• 0% Performance Leveraged Upside Securities due Feb. 23, 2012 linked to iShares MSCI Emerging Markets index fund; via Morgan Stanley & Co. Inc.; pricing Jan. 25; Cusip 61759G182
• 0% Equity Leading Stockmarket Return Securities due Jan. 25, 2013 linked to the stocks of Phillip Morris International Inc., NIKE, Inc., Schlumberger Ltd., Dow Chemical Co. and Apple Inc.; via Morgan Stanley & Co. Inc.; pricing Jan. 25; Cusip 61759G216
• Floating-rate notes due Jan. 24, 2020 linked to the Consumer Price Index; via Morgan Stanley & Co. Inc.; pricing in January; Cusip: 61745E2D2
NOMURA AMERICA FINANCE, LLC
• Callable leveraged steepener notes due Jan. 20, 2026 based on the 30-year and two-year Constant Maturity Swap rates; via Nomura Securities International, Inc.; settlement Jan. 20; Cusip 65539AAK6
• Callable range accrual notes due Jan. 20, 2026 linked to Libor; via Nomura Securities International, Inc.; pricing in January; Cusip: 65539AAF7
ROYAL BANK OF CANADA
• Redeemable step-up notes due Jan. 14, 2026; via RBC Capital Markets Corp.; settlement Jan. 14; Cusip 78008KXJ7
• 8.5%-12.5% reverse convertible notes due July 19, 2011 based on Apple Inc. shares; 80% trigger; via RBC Capital Markets Corp.; pricing Jan. 14; Cusip 78008KXD0
• 7.5%-11.5% reverse convertible notes due July 19, 2011 based on Cisco Systems, Inc. shares; 85% trigger; via RBC Capital Markets Corp.; pricing Jan. 14; Cusip 78008KXE8
• 14-month 0% Accelerated Return Notes linked to the MSCI EAFE index; via Merrill Lynch, Pierce, Fenner and Smith Inc.; pricing in January
• 14-month 0% Accelerated Return Notes linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner and Smith Inc.; pricing in January
• 0% direct investment notes due March 8, 2012 linked to the EquityCompass Equity Risk Management Strategy; via RBC Capital Markets, LLC; pricing Feb. 3; Cusip 78008KXM0
ROYAL BANK OF SCOTLAND NV
• 0% capped enhanced participation notes with fixed buffer due Jan. 25, 2013 linked to the S&P 500 index; via RBS Securities Inc.; pricing Jan. 20; Cusip 78009KQD7
SUNTRUST BANKS, INC.
• Contingent coupon notes due July 29, 2014 linked to the S&P 500 index; via SunTrust Robinson Humphrey Inc.; pricing Jan. 24; Cusip: 86802WAC2
AB SVENSK EXPORTKREDIT
• 0% Accelerated Return Notes due March 2012 linked to S&P MidCap 400 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in January
• 0% access securities with uncapped upside and contingent downside protection due Feb. 5, 2016 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing in January
• 14-month 0% Accelerated Return Notes linked to the spot price of copper; through Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in January or February
• 53-week 8% STEP Income Securities linked to First Solar, Inc. common stock; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in January or February
• 14-month 0% Accelerated Return Notes linked to the spot price of gold; through Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in January or February
• 53-week 6.5% STEP Income Securities linked to Petroleo Brasileiro, SA American Depositary Receipts; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in January or February
UNION BANK, NA
• Zero-coupon principal-protected capped return market-linked certificates of deposit due Jan. 25, 2018 linked to the Dow Jones Industrial Average; via UnionBanc Investment Services, LLC as agent and Advisors Asset Management, Inc. as distributor; pricing Jan. 25; Cusip 90521AEH7
• Zero-coupon principal-protected capped return market-linked certificates of deposit due Jan. 25, 2018 linked to the Dow Jones-UBS Commodity index; via UnionBanc Investment Services, LLC as agent and Advisors Asset Management, Inc. as distributor; pricing Jan. 25; Cusip 90521AEG9
• Zero-coupon principal-protected average return market-linked certificates of deposit due Jan. 31, 2017 linked to the Dow Jones Industrial Average; via UnionBanc Investment Services, LLC as agent and Incapital LLC as distributor; pricing Jan. 26; Cusip 90521AEJ3
• Zero-coupon principal-protected quarterly capped return market-linked certificates of deposit due Feb. 2, 2015 linked to the S&P 500 index; via UnionBanc Investment Services, LLC as agent and Incapital LLC as distributor; pricing Jan. 26; Cusip 90521AEC8
• Zero-coupon principal-protected market-linked certificates of deposit due Feb. 2, 2015 linked to a basket of the Brazilian real, Russian ruble, Indian rupee and Chinese renminbi; via UnionBanc Investment Services, LLC as agent and Incapital LLC as distributor; pricing Jan. 27; Cusip 90521AED6
• Zero-coupon principal-protected capped return market-linked certificates of deposit due Jan. 31, 2018 linked to the price of gold; via UnionBanc Investment Services, LLC; pricing Jan. 27; Cusip 90521AEK0
• Zero-coupon principal-protected quarterly capped return market-linked certificates of deposit due July 31, 2014 linked to the Dow Jones - UBS Commodity index; via UnionBanc Investment Services, LLC as agent and Incapital LLC as distributor; pricing Jan. 27; Cusip 90521AEB0
WELLS FARGO BANK, NA
• 0% contingent annual interest market-linked notes due Jan. 31, 2017 linked Alcoa Inc., Home Depot, American Express Co., Intel Corp., Apple Inc., Lockheed Martin Corp., AT&T Inc., Merck & Co., Inc., Bank of America Corp., Philip Morris International Inc., Eli Lilly and Co., Schlumberger NV, Exelon Corp., Verizon Communications Inc., General Electric Co. and Wal-Mart Stores, Inc.; via Wells Fargo Securities, LLC and Incapital LLC; pricing Jan. 24; Cusip 949748B55
• Market-linked certificates of deposit due Jan. 31, 2017 linked Australian dollar, Brazilian real, Canadian dollar and Norwegian krone; via Incapital LLC; pricing Jan. 24; Cusip 949748B22
• 0% contingent annual interest market-linked notes due Jan. 29, 2016 based S&P GSCITM Crude Oil Index Excess Return, gasoline, sugar, soybeans, S&P GSCITM Wheat Index Excess Return, S&P GSCITM Livestock Index Excess Return, zinc gold, platinum and nickel; via Wells Fargo Securities, LLC and Incapital LLC; pricing Jan. 24; Cusip 949748B63
WELLS FARGO & CO.
• 0% access securities due Jan. 30, 2015 linked to the S&P 500 index; via Wells Fargo Securities LLC; pricing Jan. 25; Cusip 94986RCQ2
• Floating-rate notes due January 2021 with cap and floor; via Wells Fargo Securities LLC; pricing in January; Cusip 94986RCE9
• 0% enhanced growth securities due August 2014 based on iShares MSCI Emerging Markets index fund; 85% trigger; via Wells Fargo Securities, LLC; settlement in February; Cusip 94986RCH2
• 0% enhanced growth securities due August 2013 based on Russell 2000 index; 90% trigger; via Wells Fargo Securities, LLC; settlement in February; Cusip 94986RCK5
• 0% enhanced growth securities due August 2014 linked to the SPDR S&P 500 ETF trust, iShares Russell 2000 index fund, iShares MSCI EAFE index fund and iShares MSCI Emerging Markets index fund; via Wells Fargo Securities, LLC; settlement in February; Cusip 94986RCL3
• 0% access securities due February 2015 linked to a basket of the SPDR S&P 500 ETF trust, the iShares Russell 2000 index fund, the iShares MSCI EAFE index fund and the iShares MSCI Emerging Markets index fund; via Wells Fargo Securities LLC; settlement in February; Cusip 94986RCN9
• 0% enhanced growth securities due August 2013 linked to the iShares Dow Jones U.S. Real Estate index fund; via Wells Fargo Securities, LLC; pricing in February; Cusip: 94986RCM1
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