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Structured Products Calendar
BANK OF AMERICA CORP.
• 0% currency Market Index Target-Term Securities due November 2014 linked to the Chinese renminbi relative to the dollar; via Bank of America Merrill Lynch; pricing in October
• 0% Leveraged Index Return Notes due October 2015 linked to Dow Jones industrial average; via Bank of America Merrill Lynch; pricing in October
• 0% Market Index Target-Term Securities due October 2018 linked to the Dow Jones industrial average; via Bank of America Merrill Lynch; pricing in October
• Market-linked step-up notes due October 2014 linked to the Euro Stoxx 50 index; via Bank of America Merrill Lynch; pricing in October
• Capped Leveraged Index Return Notes due October 2014 linked to the Merrill Lynch Commodity index eXtra index - Excess Return; via Bank of America Merrill Lynch; pricing in October
• 0% Accelerated Return Notes due October 2014 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in October
• 0% market-linked step-up notes due October 2014 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in October
• Capped Leveraged Index Return Notes due October 2014 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in October
• Market-linked step-up notes due October 2014 linked to the S&P 500 index, Euro Stoxx 50 index, MSCI Emerging Markets index, S&P MidCap 400 index and Russell 2000 index; via Bank of America Merrill Lynch; pricing in October
• Capped Leveraged Index Return Notes due October 2014 linked to a basket of the S&P 500 index, the MSCI EAFE index and the MSCI Emerging Markets index; via Bank of America Merrill Lynch; pricing in October
BANK OF MONTREAL
• 0% autocallable cash-settled notes with step-up call price due Oct. 31, 2014 linked to the iShares MSCI EAFE index fund; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366RHV0
• Range accrual notes with contingent downside protection due Oct. 30, 2015 linked to the iShares Russell 2000 index fund; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366RHU2
• 14% reverse exchangeable notes due Jan. 31, 2013 linked to the Market Vectors Junior Gold Miners exchange-traded fund; via BMO Capital Markets Corp.; pricing Oct. 26; Cusip: 06366RHX6
BARCLAYS BANK PLC
• Step-up fixed-rate callable notes due Oct. 9, 2024; via Bank of America Merrill Lynch; pricing Oct. 4; Cusip: 06741THA8
• 9.6% reverse convertible notes due Oct. 9, 2013 linked to Apple Inc. stock; via Barclays Capital; pricing Oct. 4; Cusip: 06741JTM1
• 9% reverse convertible notes due Oct. 9, 2013 linked to Baker Hughes Inc. stock; via Barclays Capital; pricing Oct. 4; Cusip: 06741JTL3
• 0% notes due Oct. 9, 2015 linked to the EquityCompass Share Buyback index; via Barclays; pricing Oct. 4; Cusip: 06741TGF8
• 8.9%-11% reverse convertible notes due April 10, 2013 linked to Carpenter Technology Corp. stock; via Barclays Capital; pricing Oct. 5; Cusip: 06741JTK5
• 0% buffered Super Track notes due Oct. 11, 2018 linked to S&P 500 index, iShares MSCI EAFE index fund, Russell 2000 index, PowerShares DB Commodity Index Tracking fund, iShares iBoxx $ Investment Grade Corporate Bond fund, iShares MSCI Japan index fund, iShares MSCI Emerging Markets index fund, Consumer Staples Select Sector SPDR fund, iShares Dow Jones Select Dividend index SPDR fund, Health Care Select Sector SPDR fund, PowerShares QQQ TrustSM, Series 1 fund and iShares Barclays Treasury Inflation Protected Securities Bond fund; via Barclays; pricing Oct. 5; Cusip: 06741THF7
• 12% reverse convertible notes due Oct. 10, 2013 linked to VeriFone Systems, Inc. stock; via Barclays Capital; pricing Oct. 5; Cusip: 06741JTE9
• 8.5% reverse convertible notes due Oct. 30, 2013 linked to CF Industries Holdings, Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06741JTB5
• 8% reverse convertible notes due April 30, 2013 linked to Cummins Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06741JSZ3
• 9.25% reverse convertible notes due Oct. 30, 2013 linked to Freeport-McMoRan Copper & Gold Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06741JTD1
• 17.5% reverse convertible notes due Jan. 31, 2013 linked to Green Mountain Coffee Roasters, Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06741JSY6
• 15% reverse convertible notes due April 30, 2013 linked to United States Steel Corp. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06741JTA7
• 9% reverse convertible notes due Oct. 30, 2013 linked to Valero Energy Corp. stock; via Barclays Capital; pricing Oct. 26; Cusip: 06741JTC3
• 11.45% reverse convertible notes due Oct. 30, 2013 linked to Expedia, Inc. stock; via Barclays Capital; pricing Oct. 29; Cusip: 06741JTH2
• 14.75% reverse convertible notes due April 30, 2013 linked to Seagate Technology Public Ltd. Co. stock; via Barclays Capital; pricing Oct. 29; Cusip: 06741JTF6
• 12.3% reverse convertible notes due April 30, 2013 linked to Superior Energy Services, Inc. stock; via Barclays Capital; pricing Oct. 29; Cusip: 06741JTG4
• 9.2% reverse convertible notes due Oct. 30, 2013 linked to Titanium Metals Corp. stock; via Barclays Capital; pricing Oct. 29; Cusip: 06741JTJ8
• 8.5% STEP Income Securities due October 2013 linked to Apple Inc. shares; via Bank of America Merrill Lynch; pricing in October
• 7.5% STEP Income Securities due October 2013 linked to International Paper Co. shares; 95% trigger; via Bank of America Merrill Lynch; pricing in October
• 0% Strategic Accelerated Redemption Securities due October 2013 linked to the common stock of Freeport-McMoRan Copper & Gold Inc.; 90% trigger; via Bank of America Merrill Lynch; pricing in October
CITIGROUP FUNDING INC.
• 0% Index Lasers due October 2015 linked to the Russell 2000 index; via Citigroup Global Markets Inc.; pricing Oct. 25; Cusip: 1730T0ZB8
• 0% enhanced trigger jump securities due Oct. 30, 2017 linked to the iShares FTSE China 25 index fund; via Citigroup Global Markets Inc.; pricing Oct. 30; Cusip: 17318Q558
• 0% dual directional trigger Performance Leveraged Upside Securities due Nov. 2, 2015 linked to the S&P 500 index; via Citigroup Global Markets Inc. with Morgan Stanley Smith Barney LLC; pricing Oct. 30; Cusip: 17318Q533
CREDIT SUISSE AG, NASSAU BRANCH
• 0% absolute return barrier securities due Jan. 15, 2015 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 10; Cusip: 22546TZR5
• High/low coupon callable yield notes due April 23, 2014 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 18; Cusip: 22546TZY0
• 0% Buffered Accelerated Return Equity Securities due Oct. 31, 2014 linked to the iShares MSCI Emerging Markets index fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22546TA76
• 0% Buffered Accelerated Return Equity Securities due May 1, 2014 linked to the Materials Select Sector SPDR fund, Energy Select Sector SPDR fund and Industrial Select Sector SPDR fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22546TB26
• Daily range accrual notes due Oct. 31, 2016 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22546TZV6
• 0% digital payment securities due May 1, 2014 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22546TZZ7
• 0% Buffered Accelerated Return Equity Securities due May 5, 2014 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22546TA92
• High/low coupon callable yield notes due Jan. 31, 2014 linked to the Russell 2000 index and the United States Oil Fund, LP; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22546TA68
• 0% digital plus barrier notes due Oct. 31, 2016 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22546TA84
• High/low coupon callable yield notes due April 30, 2014 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip: 22546TA50
• 0% digital-plus barrier notes due Nov. 5, 2014 linked to the iShares MSCI Emerging Markets index fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22546TZU8
• 10%-12% callable yield notes due Feb. 5, 2014 linked to the Russell 2000 index and the United States Oil Fund, LP; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22546TZX2
• 0% digital plus barrier notes due Nov. 4, 2016 linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22546TZT1
• High/low coupon callable yield notes due Feb. 5, 2014 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 31; Cusip: 22546TZW4
• 0% Buffered Accelerated Return Equity Securities linked to the Euro Stoxx 50 index and the euro relative to the dollar; via Credit Suisse Securities (USA) LLC; pricing in October; Cusip: 22546TA35
• 0% Strategic Accelerated Redemption Securities due October 2013 linked to the Russell 2000 index; via Bank of America Merrill Lynch; pricing in October
• 0% absolute return barrier securities linked to the S&P 500 index; via Credit Suisse Securities (USA) LLC; pricing in October; Cusip: 22546TA43
DEUTSCHE BANK AG, LONDON BRANCH
• 8.5%-10.5% airbag autocallable yield optimization notes due Oct. 10, 2013 linked to ArcelorMittal; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Oct. 5; Cusip: 25154V128
• 8.5%-10.5% airbag autocallable yield optimization notes due Oct. 10, 2013 linked to Freeport-McMoRan Copper & Gold Inc.; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Oct. 5; Cusip: 25154V136
• 0% performance securities due Oct. 17, 2014 linked to the performance of the Chinese renminbi relative to the dollar; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Oct. 12; Cusip: 25154X173
GOLDMAN SACHS BANK USA
• Contingent coupon certificates of deposit due 2017 linked to a basket of stocks of Apple Inc., Barrick Gold Corp., Bristol-Myers Squibb Co., Duke Energy Corp., Google Inc., McDonald's Corp., PepsiCo, Inc., Southern Co., Target Corp. and Wal-Mart Stores, Inc.; via Goldman Sachs & Co. with Incapital LLC as distributor; pricing Oct. 26; Cusip: 38143AK61
• Contingent coupon certificates of deposit due 2018 linked to a basket of stocks of Apple Inc., Barrick Gold Corp., Bristol-Myers Squibb Co., Duke Energy Corp., Google Inc., McDonald's Corp., PepsiCo, Inc., Southern Co., Target Corp. and Wal-Mart Stores, Inc.; via Goldman Sachs & Co. with Incapital LLC as distributor; pricing Oct. 26; Cusip: 38143AK79
• Contingent coupon certificates of deposit due 2019 linked to a basket of stocks of Apple Inc., Barrick Gold Corp., Bristol-Myers Squibb Co., Duke Energy Corp., Google Inc., McDonald's Corp., PepsiCo, Inc., Southern Co., Target Corp. and Wal-Mart Stores, Inc.; via Goldman Sachs & Co. with Incapital LLC as distributor; pricing Oct. 26; Cusip: 38143AK53
• Contingent coupon certificates of deposit due 2019 linked to a basket of stocks of Apple Inc., Barrick Gold Corp., Bristol-Myers Squibb Co., Duke Energy Corp., Google Inc., McDonald's Corp., PepsiCo, Inc., Southern Co., Target Corp. and Wal-Mart Stores, Inc.; via Goldman Sachs & Co. with Incapital LLC as distributor; pricing Oct. 26; Cusip: 38143AK38
• Variable-coupon basket-linked certificates of deposit due 2019 linked to the common stocks of Apple Inc., Barrick Gold Corp., Bristol-Myers Squibb Co., Duke Energy Corp., Google Inc., McDonald's Corp., PepsiCo, Inc., Southern Co., Target Corp. and Wal-Mart Stores, Inc.; via Goldman Sachs & Co. and distributor Incapital LLC; pricing Oct. 26; Cusip: 38143AK46
• Autocallable variable contingent coupon certificates of deposit due 2022 linked the common stocks of Apple Inc., Barrick Gold Corp., Bristol-Myers Squibb Co., Duke Energy Corp., Google Inc., McDonald's Corp., PepsiCo, Inc., Southern Co., Target Corp. and Wal-Mart Stores, Inc.; via Goldman Sachs & Co. and distributor Incapital LLC; pricing Oct. 26; Cusip: 4143AJ63
• Variable-coupon basket-linked certificates of deposit due 2018 linked to copper, corn, gasoline, gold, Brent crude oil, Henry Hub natural gas, silver, soybeans, wheat and special high grade zinc; via Goldman Sachs & Co. and distributor Incapital LLC; pricing Oct. 26; Cusip: 38143AK20
• 0% equity index-linked certificates of deposit due 2019 linked to the Euro Stoxx 50 index, the MSCI Taiwan index, the S&P/TSX 60 index and the Dow Jones industrial average; via Goldman Sachs & Co. and distributor Incapital LLC; pricing Oct. 26; Cusip: 38143AJ55
• 0.2% Morningstar Wide Moat Focus Target Volatility 5 index-linked certificates of deposit due in seven years; via Goldman Sachs & Co.; Cusip: 38143AA88
• Contingent coupon certificates of deposit due 2019 linked to the Morningstar Wide Moat Focus Target Volatility 5 index; via Goldman Sachs & Co.; Cusip: 38143AB53
GOLDMAN SACHS GROUP, INC.
• 0% equity index-linked notes tied to the Dow Jones industrial average; via Goldman Sachs & Co.; Cusip: 38143U7M7
• Callable monthly range accrual notes linked to six-month Libor and the S&P 500 index; via Goldman Sachs & Co.; Cusip: 38143U7L9
• Five-year 0% leveraged notes linked to the Morningstar Wide Moat Focus Target Volatility 5 index; via Goldman Sachs & Co.; Cusip: 38143U7B1
• 13-month 0% buffered digital notes linked to the Russell 2000 index; via Goldman Sachs & Co.; Cusip: 38143U6Z9
• Four-year buffered range accrual medium-term notes linked to the Russell 2000 index; via Goldman Sachs & Co.; Cusip: 38143U5K3
• 0% leveraged buffered index-linked notes due in 42 months tied to the S&P 100 index; via Goldman, Sachs & Co.; Cusip: 38143U7Q8
• 13- to 15-month 0% digital notes tied to the S&P 500 index; 85% trigger; via Goldman Sachs & Co.; Cusip: 38147H122
• 18- to 21-month 0% digital notes tied to the S&P 500 index; via Goldman Sachs & Co.
• 18- to 21-month 0% buffered index-linked notes tied to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 38417B638
• 22- to 25-month 0% leveraged index-linked notes linked to the S&P 500 index; via Goldman Sachs & Co.
• 24- to 27-month 0% leveraged index-linked notes tied to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 38147H155
• 24- to 27-month 0% autocallable leveraged buffered index-linked notes tied to the S&P 500 index; via Goldman, Sachs & Co.
• 36-month 0% leveraged buffered index-linked notes tied to the S&P 500 index; 80% trigger; via Goldman Sachs & Co.; Cusip: 38143U4M0
• 42- to 48-month 0% buffered notes linked to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 38143U5T4
• Five-year 0% leveraged buffered index-linked notes tied to the S&P 500 index; via Goldman, Sachs & Co.; Cusip: 38143U7K1
• 0% digital notes tied to the S&P 500 index; via Goldman Sachs & Co.; Cusip: 38147H122
• 0% leveraged buffered index-linked notes tied to the S&P 500 index; via Goldman Sachs & Co.
• Three-month 0% equity index-linked notes linked to the Topix index; via Goldman Sachs & Co.
HSBC USA INC.
• 7%-9% trigger yield optimization notes due Oct. 11, 2013 linked to Autodesk, Inc. common stock; 70% trigger; via underwriter HSBC Securities (USA) Inc. and dealer UBS Financial Services Inc.; pricing Oct. 5; Cusip: 40433T877
• 7%-9% trigger yield optimization notes due Oct. 11, 2013 linked to Hess Corp. common stock; 75% trigger; via underwriter HSBC Securities (USA) Inc. and dealer UBS Financial Services Inc.; pricing Oct. 5; Cusip: 40433T851
• 0% trigger autocallable optimization securities due Oct. 12, 2017 linked to the iShares MSCI Emerging Markets index fund; via underwriter HSBC Securities (USA) Inc. and dealer UBS Financial Services Inc.; pricing Oct. 5; Cusip: 40433T844
• 0% trigger autocallable optimization securities due Oct. 12, 2017 linked to the iShares Russell 2000 index fund; via underwriter HSBC Securities (USA) Inc. and dealer UBS Financial Services Inc.; pricing Oct. 5; Cusip: 40433T836
• 7.5%-10% trigger yield optimization notes due Oct. 11, 2013 linked to JDS Uniphase Corp. common stock; 60% trigger; via underwriter HSBC Securities (USA) Inc. and dealer UBS Financial Services Inc.; pricing Oct. 5; Cusip: 40433T869
• 6.5%-8.5% autocallable yield notes due Oct. 16, 2013 linked to the Russell 2000 index and the MSCI EAFE index fund; via HSBC Securities (USA) Inc.; pricing Oct. 10; Cusip: 4042K15F6
• 6.5%-8.5% autocallable yield notes due Oct. 16, 2013 linked to the S&P 500 index and the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 10; Cusip: 4042K15G4
• 0% digital-plus performance securities due Sept. 4, 2015 linked to the Euro Stoxx 50 index; via HSBC Securities (USA) Inc.; pricing Oct. 17; Cusip: 4042K16E8
• Buffered uncapped market participation securities due Oct. 29, 2015 linked to the Dow Jones industrial average; via HSBC Securities (USA) Inc.; pricing Oct. 24; Cusip: 4042K16B4
• Buffered performance plus securities due April 29, 2015 linked to the S&P 500 index; 90% trigger; via HSBC Securities (USA) Inc.; pricing Oct. 24; Cusip: 4042K16C2
• Buffered performance plus securities due Oct. 31, 2016 linked to the S&P 500 index; 85% trigger; via HSBC Securities (USA) Inc.; pricing Oct. 24; Cusip: 4042K16D0
• Buffered uncapped market participation securities due Oct. 29, 2015 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 24; Cusip: 4042K16A6
• 0% averaging notes due Oct. 31, 2018 linked to Dow Jones industrial average, the Euro Stoxx 50 index and the Taiwan Stock Exchange Capitalization Weighted Stock index; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 4042K15Y5
• 0% buffered Accelerated Market Participation Securities due April 30, 2014 linked to the iShares MSCI Emerging Markets index fund; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 4042K15P4
• 0% buffered Accelerated Market Participation Securities due April 30, 2014 linked to the iShares MSCI Emerging Markets index fund; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 4042K15T6
• Buffered income plus notes due Sept. 28, 2016 linked to the Russell 2000 index; 80% trigger; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 4042K15Z2
• 0% buffered Accelerated Market Participation Securities due April 30, 2014 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 4042K15N9
• 0% buffered Accelerated Market Participation Securities due April 30, 2014 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 4042K15S8
• 0% buffered Accelerated Market Participation Securities due April 30, 2014 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 4042K15M1
• 0% buffered Accelerated Market Participation Securities due April 30, 2014 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 4042K15R0
• 0% buffered Accelerated Market Participation Securities due April 30, 2014 linked to the SPDR S&P Metals & Mining exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 4042K15Q2
• 0% buffered Accelerated Market Participation Securities due April 30, 2014 linked to the SPDR S&P Metals & Mining exchange-traded fund; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip: 4042K15U3
• Annual income opportunity notes due Oct. 31, 2019 linked to the common stocks of Barrick Gold Corp., Bristol-Myers Squibb Co., ConAgra Foods, Inc., FirstEnergy Corp., Halliburton Co., Intel Corp., PNC Financial Services Group, Inc., Tiffany & Co., UnitedHealth Group Inc. and Verizon Communications Inc.; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 4042K15K5
• 0% buffered return optimization securities due Oct. 31, 2014 linked to the iShares MSCI Emerging Markets index fund; via HSBC Securities (USA) Inc. with UBS Financial Services Inc.; pricing Oct. 26; Cusip: 40433T802
• 0% contingent return optimization securities due Oct. 31, 2014 linked to the S&P 500 index; via underwriter HSBC Securities (USA) Inc. and dealer UBS Financial Services Inc.; pricing Oct. 26; Cusip: 40433T885
• 0% trigger performance securities due Oct. 31, 2017 linked to the S&P 500 index; via underwriter HSBC Securities (USA) Inc. and dealer UBS Financial Services Inc.; pricing Oct. 26; Cusip: 40433T703
• 0% 50/150 performance securities due Oct. 31, 2017 linked to the S&P 500 Low Volatility index; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 4042K15W9
• 0% leveraged buffered uncapped market participation securities due Oct. 29, 2015 linked to the S&P 500 Low Volatility index; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 4042K15L3
• 0% averaging notes due Oct. 31, 2018 linked to S&P 500 Low Volatility index; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip: 4042K15X7
• 0% Accelerated Return Notes due January 2014 linked to the MSCI Brazil index; via Bank of America Merrill Lynch; pricing in October
• Capped Leveraged Index Return Notes due October 2014 linked to the PHLX Housing Sector index; 90% trigger; via Bank of America Merrill Lynch; pricing in October
• 0% Accelerated Return Notes due January 2014 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in October
JPMORGAN CHASE BANK, NA
• Contingent coupon certificates of deposit due Oct. 31, 2019 linked to the common stocks of Avon Products, Inc., Bristol-Meyers Squibb Co., Goldcorp Inc., General Mills, Inc., Newmont Mining Corp., Reynolds American Inc., Southern Co., Tiffany & Co., Verizon Communications Inc. and Whirlpool Corp.; via J.P. Morgan Securities LLC and distributor Incapital LLC; pricing Oct. 26; Cusip: 48124JLE6
• Digital contingent coupon certificates of deposit due Oct. 31, 2018 linked to the common stocks of Bristol-Meyers Squibb Co., Dow Chemical Co., Duke Energy Corp., Hasbro, Inc., Kellogg Co., Newmont Mining Corp., Nike Inc., Reynolds American Inc., Verizon Communications Inc. and Walgreen Co.; via J.P. Morgan Securities LLC and distributor Incapital LLC; pricing Oct. 26; Cusip: 48124JLC0
• Digital contingent coupon certificates of deposit due Oct. 31, 2019 linked to the common stocks of Bristol-Meyers Squibb Co., Dow Chemical Co., Duke Energy Corp., Hasbro, Inc., Kellogg Co., Newmont Mining Corp., Nike Inc., Reynolds American Inc., Verizon Communications Inc. and Walgreen Co.; via J.P. Morgan Securities LLC and distributor Incapital LLC; pricing Oct. 26; Cusip: 48124JLD8
JPMORGAN CHASE & CO.
• 10% reverse convertible notes due Oct. 10, 2013 linked to Apple Inc. stock; via JPMorgan; pricing Oct. 5; Cusip: 48126DBL2
• Trigger phoenix autocallable optimization securities due Oct. 10, 2013 linked to Apple Inc. shares; 70% trigger; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Oct. 5; Cusip: 46637G256
• Autocallable contingent interest notes due Oct. 23, 2013 linked to Caterpillar Inc. shares; 75% trigger; via J.P. Morgan Securities LLC; pricing Oct. 5; Cusip: 48126DCC1
• Trigger phoenix autocallable optimization securities due Oct. 10, 2013 linked to Corning Inc. shares; 70% trigger; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Oct. 5; Cusip: 46637G249
• 0% contingent absolute return autocallable optimization securities due Oct. 15, 2013 linked to Cummins Inc. common stock; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Oct. 5; Cusip: 48126E586
• 0% capped contingent buffered notes due Oct. 18, 2013 linked to gold; via J.P. Morgan Securities LLC; pricing Oct. 5; Cusip: 48125V5K2
• 0% notes due July 10, 2018 linked to McDonald's Corp., Kraft Foods Inc., Altria Group, Inc., Coca-Cola Co., Proctor & Gamble Co., Novartis AG, Unilever NV, Total SA, Royal Dutch Shell plc, Johnson & Johnson, Merck & Co., Inc., ConocoPhillips, Roche Holding Ltd., International Business Machines Corp. and Vodafone Group plc; via J.P. Morgan Securities LLC; pricing Oct. 5; Cusip: 48126DAN9
• Autocallable contingent interest notes due Oct. 23, 2013 linked to Priceline.com Inc. shares; 75% trigger; via J.P. Morgan Securities LLC; pricing Oct. 5; Cusip: 48126DBQ1
• Autocallable contingent interest notes due Oct. 9, 2014 linked to the lesser performing of the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 5; Cusip: 48126DBM0
• 0% contingent absolute return autocallable optimization securities due Oct. 15, 2013 linked to Saks Inc. common stock; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Oct. 5; Cusip: 48126E594
• Autocallable contingent interest notes due Oct. 23, 2013 linked to Wells Fargo & Co.shares; 75% trigger; via J.P. Morgan Securities LLC; pricing Oct. 5; Cusip: 48126DCD9
• 10% upside autocallable single observation reverse exchangeable notes due Oct. 29, 2013 linked to Joy Global Inc. common stock; via J.P. Morgan Securities LLC; pricing Oct. 24; Cusip: 48126DBP3
• 8.5% to 10.5% autocallable yield notes due Oct. 31, 2013 linked to the iShares MSCI EAFE index fund and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48126DAW9
• 7.5% to 9.5% autocallable yield notes due Oct. 31, 2013 linked to the iShares MSCI Emerging Markets index fund and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48126DAY5
• 0% notes due Oct. 31, 2017 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48126DBJ7
• 10% to 12% autocallable yield notes due Oct. 31, 2013 linked to the Market Vectors Gold Miners exchange-traded fund and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48126DAU3
• 0% optimal entry return notes due Oct. 31, 2016 linked to the S&P 500 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48126DBK4
• 0% return optimization securities due Nov. 29, 2013 linked to the S&P 500 index; via UBS Financial Services Inc. and J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48126E628
• 7%-9% autocallable yield notes due Oct. 31, 2013 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48126DAV1
• 6%-8% autocallable yield notes due Oct. 31, 2013 linked to the S&P 500 index and the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48126DAX7
• 0% capped buffered return enhanced notes due April 30, 2014 linked to the iShares MSCI EAFE index fund; 90% trigger; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48126DBE8
• 0% capped buffered return enhanced notes due April 30, 2014 linked to the iShares MSCI Emerging Markets index fund; 90% trigger; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48126DBF5
• Contingent interest notes due Oct. 31, 2018 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC and UBS Financial Services Inc.; pricing Oct. 26; Cusip: 48126DBC2
• 0% return notes due Jan. 31, 2014 linked to the J.P. Morgan Strategic Volatility index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48126DAZ2
• 0% return notes due Jan. 31, 2014 linked to the J.P. Morgan Strategic Volatility Dynamic Index (Series 1); via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48126DAG4
• 0% capped buffered return enhanced notes due April 30, 2014 linked to the Russell 2000 index; 90% trigger; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48126DBD0
• 0% capped buffered return enhanced notes due Oct. 31, 2014 linked to the Russell 2000 index; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48126DBH1
• 0% capped buffered return enhanced notes due April 30, 2014 linked to the S&P 500 index; 90% trigger; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip: 48126DBG3
• 0% notes due Oct. 31, 2018 linked to the JPMorgan ETF Efficiente 5 index; via J.P. Morgan Securities LLC; pricing Oct. 29; Cusip: 48126DBB4
MORGAN STANLEY
• Contingent income securities due Oct. 17, 2019 linked to the Russell 2000 index; via Morgan Stanley & Co. LLC; pricing Oct. 12; Cusip: 6174822Q6
• Contingent income securities due Oct. 16, 2020 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Oct. 12; Cusip: 6174822P8
• Fixed-to-floating-rate notes due Oct. 15, 2024 linked to the Consumer Price Index; via Morgan Stanley & Co. LLC; settlement Oct. 15; Cusip: 61760QBY9
• 0% notes due Oct. 31, 2019 linked to the Dow Jones - UBS Commodity index; via Morgan Stanley & Co. LLC; pricing Oct. 26; Cusip: 617482Q23
• 0% market-linked notes with quarterly capped performance due Oct. 31, 2017 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Oct. 26; Cusip: 6174822S2
• 0% trigger Performance Leveraged Upside Securities due Oct. 31, 2017 linked to the S&P 500 index; via Morgan Stanley & Co. LLC; pricing Oct. 26; Cusip: 6174822U7
• 0% lookback entry jump securities due October 2015 linked to the performance of Brent blend crude oil; via Morgan Stanley & Co. LLC; pricing in October; Cusip: 617482P81
• 0% trigger jump securities due October 2014 linked to the PHLX Housing Sector index; via Morgan Stanley & Co. LLC; pricing in October; Cusip: 61755S743
• 0% participation notes due September 2015 linked to the Asia ex Japan High Dividend Index (Price); via Morgan Stanley & Co. LLC; Cusip: 6174822M5
ROYAL BANK OF CANADA
• Redeemable step-up notes due Oct. 10, 2019; via RBC Capital Markets, LLC; settlement Oct. 10; Cusip: 78008SLA2
• 0% jump securities due May 2013 linked to the iShares MSCI Emerging Markets index fund; via RBC Capital Markets, LLC; pricing Oct. 30; Cusip: 78008W370
• 0% Strategic Accelerated Redemption Securities due November 2013 linked to the S&P 500 index; via Bank of America Merrill Lynch; pricing in October
• 18- to 21-month 0% leveraged buffered notes tied to the iShares MSCI EAFE index fund; 90% trigger; via Goldman Sachs & Co.
• 15- to 17-month 0% buffered equity index-linked notes tied to the MSCI EAFE index; 85% trigger; via Goldman Sachs & Co.
• 0% absolute return index-linked notes tied to the MSCI EAFE index; via RBC Capital Markets, LLC; Cusip: 78008SLT1
ROYAL BANK OF SCOTLAND PLC
• 0% capped enhanced participation notes due Oct. 22, 2015 linked to the S&P 500 index; via RBS Securities Inc.; pricing Oct. 17; Cusip: 78009PDE8
AB SVENSK EXPORTKREDIT
• 0% accelerated return notes due January 2014 linked to the gold spot price; via Bank of America Merrill Lynch; pricing in October
• 0% accelerated return notes due January 2014 linked to the S&P MidCap 400 index; via Bank of America Merrill Lynch; pricing in October
UBS AG, JERSEY BRANCH
• Callable step-up fixed-rate notes due Oct. 12, 2027; via UBS Securities LLC; pricing Oct. 9; Cusip: 90261JKW2
UBS AG, LONDON BRANCH
• Trigger phoenix autocallable optimization securities due Oct. 12, 2017 linked to General Electric Co. common stock; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 5; Cusip: 90269V579
• Trigger phoenix autocallable optimization securities due Oct. 12, 2017 linked to Halliburton Co. common stock; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 5; Cusip: 90269V587
• 0% capped index knock-out notes due Oct. 23, 2013 linked to the S&P 500 index; via JPMorgan Chase Bank, NA and J.P. Morgan Securities LLC; pricing Oct. 5; Cusip: 902674LU2
• 0% relative performance securities due Oct. 31, 2017 linked to the S&P 500 index and the NYSE US 5 Year Treasury Futures index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 26; Cusip: 90269V603
• 0% contingent return optimization securities due Oct. 31, 2014 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 29; Cusip: 90269V595
• 0% trigger performance securities due Oct. 31, 2017 linked to the Euro Stoxx 50 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 29; Cusip: 90269V546
• One-year short leverage securities linked to the S&P 500 Total Return index; via UBS Financial Services Inc. and UBS Investment Bank; Cusip: 90269V439
WELLS FARGO & CO.
• 0% growth securities with leveraged upside participation to a cap and fixed percentage buffered downside due April 20, 2015 linked to the S&P 500 index; via Wells Fargo Securities LLC; pricing Oct. 15; Cusip: 94986RLT6
• 0% market-linked notes due November 2019 linked to the SPDR S&P 500 ETF Trust, the iShares MSCI EAFE index fund and the iShares MSCI Emerging Markets index fund; via Wells Fargo Securities LLC; settlement in November; Cusip: 94986RLU3
• Mandatorily exchangeable securities with capped upside and contingent buffered downside due 2014 linked to the common stock of Ford Motor Co.; via Wells Fargo Securities, LLC
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