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Structured Products Calendar
BANK OF AMERICA CORP.
• Five-year variable-coupon notes linked to the stocks of Abercrombie & Fitch Co., Altria Group, Inc., Archer-Daniels-Midland Co., Barrick Gold Corp., Boeing Co., Caterpillar Inc., Deere & Co., JPMorgan Chase & Co., McDonald's Corp., Monsanto Co., Nokia Corp., Reynolds American Inc., Verizon Communications Inc. and Wal-Mart Stores, Inc.; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
• Six-year variable coupon notes linked to a basket of stocks Altria Group, Inc., Archer-Daniels-Midland Co., Barrick Gold Corp., Boeing Co., Caterpillar Inc., Deere & Co., Ford Motor Co., General Electric Co., Goldcorp Inc., JPMorgan Chase & Co., McDonald's Corp., Monsanto Co., Motorola, Inc., Verizon Communications Inc. and Wal-Mart Stores, Inc.; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
• 0% currency-linked step up notes due October 2012 linked to the exchange rate of the Brazilian real relative to the euro; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
• Fixed- to floating-rate notes due November 2020 linked the 10-year Constant Maturity Swap rate; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
• Callable capped notes due October 2030 linked to the difference between the 30-year and two-year Constant Maturity Swap rates; via Merrill Lynch, Pierce, Fenner & Smith Inc.; settlement in October; Cusip 06048WDX5
• 8% 53-week coupon-bearing notes linked to the common stock of Deere & Co.; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
• Two-year 0% Capped Leveraged Index Return Notes linked to the price of gold; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
• 0% Strategic Return Notes due October 2015 linked to the Investable Volatility index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
• 0% Capped Leveraged Index Return Notes due October 2012 linked to the Rogers International Commodity Index - Excess Return; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
• 14-month 0% Accelerated Return Notes due December 2011 linked to S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
• Two-year 0% market-linked step up notes linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
• Four-year 0% market-linked step up notes linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
• 0% Capped Leveraged Index Return Notes linked to a basket of the S&P 500 index, the MSCI EAFE index and the MSCI Emerging Markets index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
• 0% Capped Leveraged Index Return Notes due October 2012 linked to the S&P BRIC 40 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
• Six-year variable coupon notes linked to a the common stocks of Barrick Gold Corp., Blackstone Group LP, Coca-Cola Co., Dell Inc., Exxon Mobil Corp., Ford Motor Co., Goldman Sachs Group, Inc., JPMorgan Chase & Co., Merck & Co., Inc., Microsoft Corp., Mosaic Co., Oracle Corp., Pfizer Inc., Procter & Gamble Co., Research In Motion Ltd. and Wal-Mart Stores, Inc.; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October or November
• Two-year 0% Capped Leveraged Index Return Notes linked to the price of silver; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October or November
• Step-up callable notes due November 2025; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in November; Cusip: 06048WEH9
BANK OF THE WEST
• Market-linked certificates of deposit due Oct. 31, 2016 linked to the common stock of Altria Group, Inc., Amazon.com, Inc., AT&T Inc., ConocoPhillips, JPMorgan Chase & Co., Merck & Co., Inc., Pfizer, Inc., Procter & Gamble Co., U.S. Bancorp and Verizon Communications Inc.; via BNP Paribas Securities Corp. and Advisors Asset Management, Inc.; pricing Oct. 26; Cusip: 06426XAC4
BARCLAYS BANK PLC
• 0% double short leverage securities due Oct. 31, 2013 linked to the Barclays Capital 30Y Treasury Futures index; via UBS Financial Services Inc. and Barclays Capital Inc.; pricing Oct. 25; Cusip 06740PUW4
• 0% Performance Leveraged Upside Securities due Nov. 28, 2011 linked to S&P 500 index; via Morgan Stanley Smith Barney LLC and Barclays Capital Inc.; pricing Oct. 25; Cusip 06740L154
• 10.25% reverse convertible notes due Oct. 28, 2011 linked to AK Steel Holding Corp. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740P2C9
• 10% reverse convertible notes due April 29, 2011 linked to Alcoa Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PUN4
• 10.75% reverse convertible notes due April 29, 2011 linked to Alpha Natural Resources, Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PST4
• 8.5% reverse convertible notes due Oct. 28, 2011 linked to American Express Co. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PUE4
• 10.5% reverse convertible notes due Oct. 28, 2011 linked to Arch Coal, Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740P2B1
• 12.5% reverse convertible notes due Oct. 28, 2011 linked to Assured Guaranty Ltd. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PTD8
• 11.5% reverse convertible notes due April 29, 2011 linked to Baidu, Inc. (American depositary shares) stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PSR8
• 10.5% reverse convertible notes due April 29, 2011 linked to Baker Hughes Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PSS6
• 9.25% reverse convertible notes due April 29, 2011 linked to Bank of America Corp. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PUM6
• 0% Barclays Perpetual Rolling Open Structure Protecting Equity Returns exchange-traded fund notes due Oct. 21, 2011; via Barclays Capital Inc.; pricing Oct. 26; Cusip 06740PTC0
• 10.25% reverse convertible notes due April 29, 2011 linked to Barnes & Noble, Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PTG1
• 10.25% reverse convertible notes due April 29, 2011 linked to Capital One Financial Corp. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PUK0
• 12.5% reverse convertible notes due April 29, 2011 linked to Cliffs Natural Resources Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PSQ0
• 11.75% reverse convertible notes due Oct. 28, 2011 linked to Delta Airlines, Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740P2D7
• 9.5% reverse convertible notes due Oct. 28, 2011 linked to Dow Chemical Co. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PSP2
• 14% reverse convertible notes due Jan. 31, 2011 linked to Elan Corp., plc (American Depository Shares) stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PSY3
• 10.5% reverse convertible notes due April 29, 2011 linked to Ford Motor Co. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PTZ9
• 12.25% reverse convertible notes due April 29, 2011 linked to Ford Motor Co. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PUJ3
• 9.5% reverse convertible notes due Oct. 28, 2011 linked to Ford Motor Co. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740P2E5
• 15.25% reverse convertible notes due Jan. 31, 2011 linked to Genworth Financial, Inc. (Class A) stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PSX5
• 12% reverse convertible notes due April 29, 2011 linked to Goodyear Tire & Rubber Co. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PSN7
• 10.25% reverse convertible notes due Oct. 28, 2011 linked to International Paper Co. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740P2F2
• 15.5% reverse convertible notes due Jan. 31, 2011 linked to InterOil Corp. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PSW7
• 0% performance securities with contingent protection due Oct. 30, 2015 linked to the iShares MSCI EAFE index fund and the iShares MSCI Emerging Markets index fund; via UBS Financial Services Inc. and Barclays Capital Inc.; pricing Oct. 26; Cusip 06740L121
• 0% knock-in Super Track digital notes due Jan. 31, 2012 linked to the iShares MSCI Emerging Markets index fund; via Barclays Capital Inc.; pricing Oct. 26
• 0% buffered Super Track digital notes due April 30, 2012 linked to the iShares MSCI Emerging Markets index fund; via Barclays Capital Inc.; pricing Oct. 26; Cusip 06740PTP1
• 0% buffered Super Track digital notes due April 30, 2012 linked to the iShares MSCI Emerging Markets index fund; via Barclays Capital Inc.; pricing Oct. 26; Cusip 06740PTL0
• 11.25% reverse convertible notes due April 29, 2011 linked to Janus Capital Group Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PTY2
• 10% reverse convertible notes due April 29, 2011 linked to Joy Global Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PSM9
• 14.5% reverse convertible notes due April 29, 2011 linked to Las Vegas Sands Corp. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PSK3
• 10% reverse convertible notes due April 29, 2011 linked to Lennar Corp. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PTH9
• 10% reverse convertible notes due April 29, 2011 linked to Lincoln National Corp. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PSL1
• 11% reverse convertible notes due Oct. 28, 2011 linked to Massey Energy Co. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PTE6
• 10.5% reverse convertible notes due April 29, 2011 linked to MetLife, Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PTX4
• 12.25% reverse convertible notes due April 29, 2011 linked to MetLife, Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PUH7
• 15% reverse convertible notes due Jan. 31, 2011 linked to MGM Resorts International stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PSV9
• 10% reverse convertible notes due April 29, 2011 linked to Morgan Stanley stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PUF1
• 10% reverse convertible notes due April 29, 2011 linked to Motorola, Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PUG9
• 8.5% reverse convertible notes due Oct. 28, 2011 linked to Noble Corp. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PUD6
• 9.5% reverse convertible notes due Oct. 28, 2011 linked to Nokia Corp. (American Depository Share) stock; via Barclays Capital; pricing Oct. 26; Cusip 06740P2G0
• 9.75% reverse convertible notes due Oct. 28, 2011 linked to Nokia Corp. (American Depository Share) stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PUC8
• 17.5% reverse convertible notes due April 29, 2011 linked to Patriot Coal Corp. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PSJ6
• 9% reverse convertible notes due April 29, 2011 linked to Peabody Energy Corp. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PUA2
• 10.75% reverse convertible notes due April 29, 2011 linked to Peabody Energy Corp. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PUL8
• 0% buffered Super Track digital notes due Nov. 1, 2011 linked to the Russell 2000 index; via Barclays Capital Inc.; pricing Oct. 26; Cusip 06740PUU8
• 0% buffered Super Track digital notes due April 30, 2012 linked to the Russell 2000 index; via Barclays Capital Inc.; pricing Oct. 26; Cusip 06740PTQ9
• 0% buffered Super Track digital notes due April 30, 2012 linked to the Russell 2000 index; via Barclays Capital Inc.; pricing Oct. 26; Cusip 06740PTM8
• 0% Super Track digital notes due Nov. 3, 2011 linked to the Russell 2000 index; via Barclays Capital Inc.; pricing Oct. 26; Cusip 06740P3F1
• 0% buffered Super Track digital notes due April 30, 2012 linked to the S&P 500 index; via Barclays Capital Inc.; pricing Oct. 26; Cusip 06740PTN6
• 0% buffered Super Track digital notes due Oct. 31, 2012 linked to S&P 500 index; 80% trigger; via Barclays Capital Inc.; pricing Oct. 26; Cusip 06740P2L9
• 0% return optimization securities with contingent protection due Oct. 31, 2012 linked to the S&P 500 index; via UBS Financial Services Inc. and Barclays Capital Inc.; pricing Oct. 26; Cusip 06740L139
• 0% annual autocallable notes due Oct. 31, 2013 linked to the S&P 500 index; via Barclays Capital Inc.; pricing Oct. 26; Cusip 06740PUT1
• 0% performance securities with contingent protection due Oct. 30, 2015 linked to a basket of the S&P MidCap 400 index and the S&P SmallCap 600 index; via UBS Financial Services Inc. and Barclays Capital Inc.; pricing Oct. 26; Cusip 06740L113
• 11.25% reverse convertible notes due April 29, 2011 linked to Saks Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PSH0
• 8.75% reverse convertible notes due Oct. 28, 2011 linked to Schlumberger N.V. (Schlumberger Ltd.) stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PUB0
• 10.75% reverse convertible notes due April 29, 2011 linked to Seagate Technology stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PSF4
• 17.5% reverse convertible notes due Jan. 31, 2011 linked to Stillwater Mining Co. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PSU1
• 18% reverse convertible notes due April 29, 2011 linked to Stillwater Mining Co. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PTV8
• 16.5% reverse convertible notes due April 29, 2011 linked to SunPower Corp. (Class A) stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PSG2
• 10.5% reverse convertible notes due April 29, 2011 linked to SunTrust Banks, Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PTW6
• 12.25% reverse convertible notes due April 29, 2011 linked to Titanium Metals Corp. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PSE7
• 12% reverse convertible notes due Oct. 28, 2011 linked to TRW Automotive Holdings Corp. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740P2H8
• 9.5% reverse convertible notes due Oct. 28, 2011 linked to United States Steel Corp. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740P2J4
• 10% reverse convertible notes due Oct. 28, 2011 linked to Verifone Systems Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740PTF3
• 11.25% reverse convertible notes due April 29, 2011 linked to Walter Energy, Inc. stock; via Barclays Capital; pricing Oct. 26; Cusip 06740P2A3
• 0% return optimization securities with contingent protection due Jan. 30, 2015 linked to the iShares MSCI Emerging Markets index fund, iShares MSCI EAFE index fund and SPDR S&P 500 exchange-traded fund trust; via UBS Financial Services Inc. and Barclays Capital Inc.; pricing Oct. 27; Cusip 06740L162
• 0% buffered Super Track notes due May 2, 2014 linked to the Barclays Capital Multi-Strategy DJ-UBSCI with Seasonal Energy Excess Return index; via Barclays Capital Inc.; pricing Oct. 29; Cusip 06740PVB9
• Two-year 0% Capped Leveraged Index Return Notes linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October or November
• 0% buffered Super Track notes due May 14, 2013 linked to the Dow Jones - UBS Commodity index; via Barclays Capital Inc.; pricing Nov. 9; Cusip 06740P2Y1
• 0% buffered Super Track notes due Nov. 15, 2012 linked to the performance of a basket of commodities including gold, platinum and palladium; via Barclays Capital Inc.; pricing Nov. 9; Cusip 06740P2W5
• 0% buffered Super Track notes due May 14, 2012 linked to the iShares MSCI Brazil index fund; via Barclays Capital Inc.; pricing Nov. 9; Cusip 06740P2U9
• 0% buffered Super Track notes due Nov. 15, 2012 linked to the S&P 500 index; via Barclays Capital Inc.; pricing Nov. 9; Cusip 06740P2V7
CITIBANK, NA
• Callable leveraged market-linked certificates of deposit due 2030 linked to the 10-year and two-year Constant Maturity Swap rates; via Citigroup Global Markets Inc.; pricing in October; Cusip 172986CJ8
CITIGROUP FUNDING, INC.
• 8%-10% Equity LinKed Securities due April 20, 2011 linked to the common stock of Best Buy Co., Inc.; via Citigroup Global Markets Inc.; pricing Oct. 25; Cusip 17316G750
• 10%-12% Equity LinKed Securities due April 20, 2011 linked to the common stock of MetLife, Inc.; via Citigroup Global Markets Inc.; pricing Oct. 25; Cusip 17316G768
• 0% Equity LinKed Securities due Oct. 27, 2016 linked to the Dow Jones Industrial Average; via Citigroup Global Markets Inc.; pricing in October; Cusip 17316G784
• Libor and S&P 500 index-linked range accrual notes due Oct. 25, 2025; via Citigroup Global Markets Inc.; pricing in October; Cusip 1730T0KM0
• 0% Leading Stockmarket Return Securities due Oct. 29, 2013 linked to equal weights of the S&P 500 index, the iShares MSCI EAFE index fund and the iShares MSCI Emerging Markets index fund; via Citigroup Global Markets Inc.; pricing in October; Cusip 17316G743
• Callable notes due Oct. 29, 2025 with a contingent coupon based on S&P 500 index; via Citigroup Global Markets Inc.; settlement in October; Cusip 1730T0KS7
• 0% notes due November 2013 linked to a long short basket containing the Morningstar Wide Moat Focus Total Return Index and the S&P 500 Total Return Index; via Citigroup Global Markets Inc.; pricing in November; Cusip: 17316G735
• 0% Premium Mandatory Callable Equity-linked Securities due November 2012 linked to the S&P 500 index; via Citigroup Global Markets Inc.; pricing in November; Cusip: 1730T0KQ1
• 0% jump securities due March 23, 2011 linked to the common stock of Symantec Corp.; via Citigroup Global Markets Inc.; Cusip 17316G818
CREDIT SUISSE AG, NASSAU BRANCH
• 0% Buffered Accelerated Return Equity Securities due April 29, 2016 linked to the CS/RT Emerging Infrastructure Index powered by HOLT; via Credit Suisse Securities (USA) LLC; pricing Oct. 25; CUSIP 22546EYR9
• 9.5%-12% annualized callable yield notes due April 29, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip 22546EB29
• 9.75%-11.75% annualized callable yield notes due April 29, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip 22546EZX5
• 9.75%-12.25% callable yield notes due April 29, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip 22546EB37
• 8%-10% callable yield notes due Oct. 31, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip 22546EA95
• 8.5%-11% callable yield notes due Oct. 31, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip 22546EZY3
• 10.25% callable yield notes due Oct. 31, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; 65% trigger; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip 22546ED43
• High/low coupon notes due Oct. 31, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip 22546EA53
• High/low coupon notes due Oct. 31, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip 22546EA38
• 10%-12% callable yield notes due Oct. 31, 2011 linked to the S&P 500 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip 22546EA87
• 8%-10% callable yield notes due Oct. 31, 2011 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip 22546EA79
• 9.5%-11.5% callable yield notes due Oct. 31, 2011 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip 22546EA20
• 0% Buffered Accelerated Return Equity Securities due Oct. 30, 2013 linked to the SPDR Gold trust; 85% trigger; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip 22546EYZ1
• 0% Buffered Accelerated Return Equity Securities due Oct. 30, 2013 linked to the SPDR Gold trust; 85% trigger; via Credit Suisse Securities (USA) LLC; pricing Oct. 26; Cusip 22546EZA5
• 7.75% callable yield notes due Nov. 3, 2011 linked to the Energy Select Sector SPDR fund and the Health Care Select Sector SPDR fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 29; Cusip 22546EC77
• 7.5% callable yield notes due Nov. 3, 2011 linked to the iShares Silver trust and the iShares MSCI Australia index fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 29; Cusip 22546EC51
• 7% callable yield notes due Feb. 3, 2011 linked to the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 29; Cusip 22546ED50
• 10%-12% annualized callable yield notes due May 3, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 29; Cusip 22546EZR8
• 8.5%-11% callable yield notes due Nov. 3, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 29; Cusip 22546EZU1
• High/low coupon notes due Nov. 3, 2011 linked to the Russell 2000 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 29; Cusip 22546EZV9
• 9.5%-11.5% callable yield notes due Nov. 3, 2011 linked to the S&P 500 index and the Market Vectors Gold Miners exchange-traded fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 29; Cusip 22546EZT4
• 9.5%-11.5% callable yield notes due Nov. 3, 2011 linked to the S&P 500 index and the Russell 2000 index; via Credit Suisse Securities (USA) LLC; pricing Oct. 29; Cusip 22546EZS6
• 9% callable yield notes due Nov. 3, 2011 linked to the Utilities Select Sector SPDR fund and the iShares Russell 2000 index fund; via Credit Suisse Securities (USA) LLC; pricing Oct. 29; Cusip 22546EC69
DEUTSCHE BANK AG, LONDON BRANCH
• 0% market-linked notes due May 1, 2012 tied to the Brazilian real, Russian ruble, Indian rupee and Chinese renminbi, equally weighted relative to the dollar; via UBS Financial Services Inc. and Deutsche Bank Securities; pricing Oct. 26; Cusip 25154N134
• 0% autocallable optimization securities with contingent protection due Oct. 30, 2015 linked to the SPDR S&P 500 ETF trust; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Oct. 26; Cusip 25154P204
• 0% return optimization securities with contingent protection due Jan. 30, 2015 linked to the iShares MSCI Emerging Markets index fund, iShares MSCI EAFE index fund and SPDR S&P 500 exchange-traded fund trust; via UBS Financial Services Inc. and Deutsche Bank Securities Inc.; pricing Oct. 27; Cusip 25154N217
• 0% market contribution securities due Nov. 1, 2013 linked to the Deutsche Bank Liquid Commodity Index - Mean Reversion Total Return; via Deutsche Bank Securities Inc.; pricing Oct. 29; Cusip 2515A07J6
• 0% alpha overlay securities due Jan. 10, 2012 linked to a basket holding 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 Nov. 5; Cusip: 2515A1AT8
• 0% capped Buffered Underlying Securities due Nov. 9, 2012 based on iShares MSCI Emerging Markets index fund; 85% trigger; via Deutsche Bank Securities Inc.; pricing Nov. 5; Cusip 2515A1AU5
• 0% capped Buffered Underlying Securities due May 10, 2012 linked to the S&P 500 index; via Deutsche Bank Securities Inc.; pricing Nov. 5; Cusip: 2515A1AS0
EKSPORTFINANS ASA
• 0% Accelerated Return Notes due December 2011 linked to Energy Select Sector index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
• 0% access securities with fixed buffered downside due Nov. 7, 2012 linked to the iShares Russell 2000 index fund; via Wells Fargo Securities; pricing in October
• 14-month 0% Accelerated Return Notes linked to the Rogers International Commodity Index-Excess Return; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
• 0% auto callable access securities with fixed percentage buffered downside due Nov. 7, 2012 linked to S&P 500; via Wells Fargo Securities, LLC; pricing in October
• Six-month 0% Strategic Accelerated Redemption Securities linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October or November
• One-year 0% Strategic Accelerated Redemption Securities linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October or November
• 14-month 0% Accelerated Return Notes linked to the S&P MidCap 400 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October or November
EATON VANCE eUNITS
• Two-year international equity market participation trust enhanced upside to cap/buffered downside units of beneficial interest linked to the MSC EAFE index; via Eaton Vance Distributors, Inc.
• Two-year U.S. equity market participation trust enhanced upside to cap/buffered downside units of beneficial interest linked to the S&P 500 Composite Stock Price index; via Eaton Vance Distributors, Inc.
GOLDMAN SACHS GROUP, INC.
• 2% equity index-linked notes due Oct. 30, 2017 tied to the Dow Jones Industrial Average; via Goldman, Sachs & Co.; pricing Oct. 25; Cusip 38143UNH0
• Callable step-up fixed-rate notes due Oct. 29, 2025; via Goldman, Sachs & Co. and Incapital LLC; pricing Oct. 27; Cusip 38143UNR8
• Callable step-up fixed-rate notes due Oct. 29, 2018; via Goldman, Sachs & Co. and Incapital LLC; pricing Oct. 27; Cusip 38143UNS6
• 0% autocallable buffered index-linked notes tied to the Russell 2000 index; via Goldman, Sachs & Co.; pricing in October; Cusip: 38143UNP2
• Seven-year 0% leveraged equity index-linked notes linked to the Dow Jones Industrial Average; via Goldman, Sachs & Co.
• 13-month floating-rate index-linked notes tied to the Dow Jones - UBS Commodity Index Total Return; via Goldman, Sachs & Co.
• 0% commodity-linked trigger notes due Oct. 14, 2011 tied to the spot price of gold; via Goldman, Sachs & Co.
• Five-year fixed and floating-rate notes linked to Libor; via Goldman, Sachs & Co.; Cusip 38143UNV9
• Fixed- and floating-rate notes due 2020 linked to Libor; via Goldman, Sachs & Co.; Cusip 38143UNT4
• Fixed- and floating-rate notes due 2020 linked to Libor; via Goldman, Sachs & Co.; Cusip: 38143UNU1
• 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.
• Seven- to nine-month 0% buffered equity index-linked notes tied to the S&P 500 index; via Goldman, Sachs & Co.
• 13- to 15-month 0% buffered equity index-linked notes tied to the S&P 500 index; via Goldman, Sachs & Co.
• 15-month 0% buffered equity index-linked notes tied to the S&P 500 index; via Goldman, Sachs & Co.; Cusip 38143UNL1
• 18- to 21-month 0% leveraged buffered index-linked notes tied to the S&P 500 index; via Goldman, Sachs & Co.
• 24- to 27-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.
• 15-year callable quarterly range accrual notes based on the S&P 500 index; via Goldman, Sachs & Co.; Cusip 38143UNQ0
HARRS NA
• Annual digital yield generator certificates of deposit due Oct. 28, 2016 linked to the common stocks of Altria Group, Inc., Apple, Inc., Barrick Gold Corp., Coca-Cola Co., ConocoPhillips, McDonald's Corp., Merck & Co., Verizon Communications Inc., Wal-Mart Stores, Inc. and Wells Fargo & Co.; via Incapital LLC as distributor; pricing Oct. 26; Cusip 41456TKF5
• Semiannual digital yield generator certificates of deposit due Oct. 28, 2016 linked to the common stocks of Altria Group, Inc., Apple, Inc., Barrick Gold Corp., Coca-Cola Co., ConocoPhillips, McDonald's Corp., Merck & Co., Verizon Communications Inc., Wal-Mart Stores, Inc. and Wells Fargo & Co.; via Incapital LLC as distributor; pricing Oct. 26; Cusip 41456TKG3
• Annual digital yield generator certificates of deposit due Oct. 30, 2015 linked to the common stocks of Altria Group, Inc., Barrick Gold Corp., Caterpillar Inc., Coca-Cola Co., Home Depot Inc., Intel Corp., JPMorgan Chase & Co., Merck & Co., Inc., McDonald's Corp., Verizon Communications Inc.; via Incapital LLC as distributor; pricing Oct. 26; Cusip 41456TKE8
• Callable contingent semiannual digital payout certificates of deposit due Oct. 29, 2025 linked to the S&P 500 index; via Incapital LLC as distributor; pricing Oct. 26; Cusip 41456TKD0
HSBC BANK USA, NA
• Annual income opportunity certificates of deposit with auto cap feature due Oct. 30, 2017 linked to a basket of the stocks of Abbott Laboratories, Avon Products, Inc., CME Group Inc., Eli Lilly & Co., Exelon Corp., Exxon Mobil Corp., General Electric Co., KLA-Tencor Corp., Northern Trust Corp., Paychex Inc., Vulcan Materials Co. and Western Union Co.; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip 40431GFF1
• Annual income opportunity certificates of deposit with auto cap feature due Oct. 31, 2015 linked to a basket of the common stocks of Alcoa Inc., Altria Group Inc., Centurylink Inc., Consolidated Edison, Inc., General Mills Inc., Gilead Sciences Inc., Intel Corp., The Mosaic Co., Pfizer Inc., Schlumberger Ltd., US Bancorp. and Yum! Brands Inc.; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip 40431GFX2
• Annual income opportunity certificates of deposit with auto cap feature due Oct. 31, 2016 linked to a basket of the common stocks of Alcoa Inc., Altria Group Inc., Centurylink Inc., Consolidated Edison, Inc., General Mills Inc., Gilead Sciences Inc., Intel Corp., The Mosaic Co., Pfizer Inc., Schlumberger Ltd., US Bancorp. and Yum! Brands Inc.; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip 40431GFS3
• Annual income opportunity certificates of deposit with auto cap feature due Oct. 31, 2016 linked to a basket of the common stocks of China Mobile Ltd., CIA Siderurgica NACL, Duke Energy Corp., Encana Corp., Goldcorp. Inc., Home Depot Inc., Honda Motor Co. Ltd., Lorillard Inc., Novartis AG, Toronto-Dominion Bank, Total SA and Unilever NV; via HSBC Securities (USA) Inc.; pricing Oct. 26; Cusip 40431GFV6
HSBC USA INC.
• 0% Accelerated Market Participation Securities due Nov. 30, 2011 linked to the iShares FTSE/Xinhua China 25 index fund; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip 4042K96J9
• 0% buffered Accelerated Market Participation Securities due Jan. 30, 2012 linked to iShares FTSE/Xinhua China 25 index fund; 80% trigger; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip 4042K06M2
• 0% Accelerated Market Participation Securities due Jan. 30, 2012 linked to iShares FTSE/Xinhua China 25 index fund; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip 4042K06F7
• 0% buffered Accelerated Market Participation Securities due April 30, 2012 linked to the iShares FTSE/Xinhua China 25 index fund; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip 4042K06R1
• 0% buffered Accelerated Market Participation Securities due Jan. 30, 2012 linked to iShares MSCI Brazil index fund; 80% trigger; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip 4042K06N0
• 0% buffered Accelerated Market Participation Securities due April 30, 2012 linked to the iShares MSCI Brazil index fund; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip 4042K06S9
• 0% Accelerated Market Participation Securities due Nov. 30, 2011 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip 4042K96H3
• 0% Accelerated Market Participation Securities due Jan. 30, 2012 linked to Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip 4042K06E0
• 0% buffered Accelerated Market Participation Securities due Jan. 30, 2012 linked to Russell 2000 index; 80% trigger; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip 4042K06L4
• 0% buffered Accelerated Market Participation Securities due April 30, 2012 linked to the Russell 2000 index; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip 4042K06Q3
• 0% buffered Accelerated Market Participation Securities due Jan. 30, 2012 linked to S&P 500 index; 80% trigger; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip 4042K06K6
• 0% buffered Accelerated Market Participation Securities due April 30, 2012 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip 4042K06P5
• 0% Accelerated Market Participation Securities due Nov. 30, 2011 linked to the S&P 500 index; via HSBC Securities (USA) Inc.; pricing Oct. 25; Cusip 4042K96G5
• 0% return optimization securities with contingent protection due Oct. 31, 2012 linked to the iShares MSCI Emerging Markets index fund; via UBS Financial Services Inc.; pricing Oct. 26; Cusip 40432R534
• 0% optimization securities with contingent protection due April 30, 2012 linked to the Russell 2000 index; via UBS Financial Services Inc.; pricing Oct. 26; Cusip 40432R492
• 10% callable yield notes due Nov. 1, 2011 linked to the Russell 2000 index, iShares FTSE/Xinhua China 25 index fund and iShares MSCI Brazil index fund; 50%-55% trigger; via HSBC Securities (USA) Inc.; pricing Oct. 27; Cusip 4042K07B5
• 7% callable yield notes due Nov. 1, 2011 linked to the Russell 2000 index and the S&P 500 index; 50%-55% trigger; via HSBC Securities (USA) Inc.; pricing Oct. 27; 4042K07C3
• 0% best-of performance notes due Nov. 1, 2012 linked to the iShares MSCI EAFE index fund; via HSBC Securities (USA) Inc.; pricing Oct. 29; Cusip 4042K06Y6
• 0% participation notes linked to gold; via HSBC Securities (USA) Inc.; Cusip 4042K07D1
JPMORGAN CHASE BANK, NA
• Contingent coupon market-linked certificates of deposit due Oct. 25, 2016 linked to a basket of commodities and commodity indexes including silver, copper, zinc, nickel, platinum, soybean meal, sugar, the S&P GSCI Brent Crude Index Excess Return, the S&P GSCI Corn Index Excess Return and the S&P GSCI Livestock Index Excess Return; via J.P. Morgan Securities LLC; pricing Oct. 25; Cusip 48123YPV
• Contingent coupon certificates of deposit due Oct. 31, 2017 linked to equal weights of the shares of Altria Group, Inc., Amazon.com, Inc., Barrick Gold Corp., Baxter International Inc., General Mills, Inc., Intel Corp., Time Warner Cable Inc., Verizon Communications Inc., Wells Fargo & Co. and Whole Foods Market, Inc.; via J.P. Morgan Securities Inc. and distributor Incapital LLC; pricing Oct. 26; Cusip 48123YQF6
• Digital contingent coupon certificates of deposit due Oct. 31, 2016 linked to the common stocks of Altria Group, Inc., Amazon.com, Inc., Barrick Gold Corp., Baxter International Inc., General Mills, Inc., Intel Corp., Time Warner Cable Inc., Verizon Communications Inc., Wells Fargo & Co. and Whole Foods Market, Inc.; via J.P. Morgan Securities LLC and distributor Incapital LLC; pricing Oct. 26; Cusip 48123YPZ3
• Digital contingent coupon certificates of deposit due Oct. 31, 2017 linked to the common stocks of Altria Group, Inc., Amazon.com, Inc., Barrick Gold Corp., Baxter International Inc., General Mills, Inc., Intel Corp., Time Warner Cable Inc., Verizon Communications Inc., Wells Fargo & Co. and Whole Foods Market, Inc.; via J.P. Morgan Securities LLC and distributor Incapital LLC; pricing Oct. 26; Cusip 48123YPY6
• Digital contingent coupon notes due Oct 27, 2016 linked to an equally weighted basket of stocks including Altria Group, Inc., BCE Inc., Bristol-Myers Squibb Co., Hasbro, Inc., Hormel Foods Corp., Newmont Mining Corp., PNC Financial Services Group, Inc., Southern Co. and UnitedHealth Group Inc. and the class B shares of Berkshire Hathaway Inc.; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip 48124AP68
• 0% commodity-linked certificates of deposit due Oct. 31, 2016 linked to the JPMorgan Optimax Market-Neutral index; via J.P. Morgan Securities Inc. and distributor Incapital LLC; pricing Oct. 26; Cusip 48123YQE9
• Callable six-month Libor and S&P 500 index accrual certificates of deposit due Oct. 29, 2025; via J.P. Morgan Securities LLC and distributor Incapital LLC; pricing Oct. 26; Cusip 48123YQL3
JPMORGAN CHASE & CO.
• 0% buffered Performance Leveraged Upside Securities due Oct. 29, 2012 linked to the iShares MSCI Emerging Markets index fund; via J.P. Morgan Securities LLC; pricing Oct. 25; Cusip 46634X815
• 16% reverse convertible notes due Jan. 31, 2011 linked to AK Steel Holding Corp. stock; via JPMorgan; pricing Oct. 26; Cusip 48124AP84
• 11.25% reverse convertible notes due April 29, 2011 linked to Alcoa Inc. stock; via JPMorgan; pricing Oct. 26; Cusip 48124AQ42
• 14.75% reverse convertible notes due Jan. 31, 2011 linked to Allegheny Technologies Inc. stock; via JPMorgan; pricing Oct. 26; Cusip 48124AP92
• 10.15% reverse convertible notes due Oct. 28, 2011 linked to Bank of America Corp. stock; via JPMorgan; pricing Oct. 26; Cusip 48124AQ83
• Digital contingent coupon notes due Oct 27, 2017 linked to an equally weighted basket of stocks; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip 48124AM79
• 11% reverse convertible notes due April 29, 2011 linked to Dow Chemical Co. stock; via JPMorgan; pricing Oct. 26; Cusip 48124AQ59
• 13.25% reverse convertible notes due Jan. 31, 2011 linked to DryShips Inc. stock; via JPMorgan; pricing Oct. 26; Cusip 48124AQ26
• 10.5% reverse convertible notes due April 29, 2011 linked to Ford Motor Co. stock; via JPMorgan; pricing Oct. 26; Cusip 48124AQ67
• 13.25% reverse convertible notes due April 29, 2011 linked to International Paper Co. stock; via JPMorgan; pricing Oct. 26; Cusip 48124AQ75
• 0% notes due Oct. 31, 2014 linked to the J.P. Morgan Alternative Index Multi-Strategy 5 (USD); via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip 48124AM38
• 0% notes due Oct. 31, 2016 linked to the J.P. Morgan Alternative Index Multi-Strategy 5 (USD); via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip 48124AM46
• 0% bearish notes due Oct. 31, 2016 linked inversely to the J.P. Morgan US Treasury Note Futures (G) Tracker; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip 48124AM53
• Capped floating-rate notes due Oct. 29, 2020 linked to Libor; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip 48124AT80
• Capped floating-rate notes due Oct. 29, 2015 linked to Libor; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip 48124AU62
• Callable range accrual notes due Oct. 29, 2025 linked to six-month Libor; via J.P. Morgan Securities LLC; pricing Oct. 26; Cusip 48124AS73
• 15.75% reverse convertible notes due Jan. 31, 2011 linked to Massey Energy Co. stock; via JPMorgan; pricing Oct. 26; Cusip 48124AQ34
• 10% reverse convertible notes due Oct. 28, 2011 linked to Monsanto Co. stock; via JPMorgan; pricing Oct. 26; Cusip 48124AQ91
• 0% buffered return enhanced notes due April 30, 2012 linked to Russell 2000 index; 90% trigger; via J.P. Morgan Securities Inc.; pricing Oct. 26; Cusip 48124AL88
• 0% buffered return enhanced notes due April 30, 2012 linked to S&P 500 index; 90% trigger; via J.P. Morgan Securities Inc.; pricing Oct. 26; Cusip 48124AL62
• 0% buffered return enhanced notes due Oct. 31, 2012 linked to S&P 500 index; 90% trigger; via J.P. Morgan Securities Inc.; pricing Oct. 26; Cusip 48124AL7
• 10%-12% annualized callable yield notes due April 29, 2011 linked to S&P 500 index and Nasdaq 100 index; 75% trigger; via J.P. Morgan Securities LLC; pricing Oct. 26
• 10% reverse convertible notes due Oct. 28, 2011 linked to Valero Energy Corp. stock; via JPMorgan; pricing Oct. 26; Cusip 48124AR25
• 10% reverse convertible notes due Oct. 28, 2011 linked to Wells Fargo & Co. stock; via JPMorgan; pricing Oct. 26; Cusip 48124AR33
• Callable fixed-rate step-up notes due Nov. 8, 2030; via J.P. Morgan Securities LLC; pricing Nov. 3; Cusip: 48124AU47
• 10% single observation reverse exchangeable notes due Nov. 15, 2011 linked to Alcoa Inc. common stock; via J.P. Morgan Securities LLC; pricing Nov. 9; Cusip 48124AS99
• 0% buffered return enhanced notes due Nov. 15, 2012 linked to the Brazilian real, Chinese renminbi, Indian rupee and Russian ruble relative to the dollar; via J.P. Morgan Securities LLC; pricing Nov. 9; Cusip 48124AT49
• 0% buffered return enhanced notes due May 15, 2012 linked to the iShares MSCI Emerging Markets index fund; via J.P. Morgan Securities LLC; pricing Nov. 9; Cusip 48124AS81
• 10% single observation reverse exchangeable notes due Nov. 15, 2011 linked to Newmont Mining Corp. common stock; via J.P. Morgan Securities LLC; pricing Nov. 9; Cusip 48124AT23
• 10% single observation reverse exchangeable notes due Nov. 15, 2011 linked to Netflix, Inc. common stock; via J.P. Morgan Securities LLC; pricing Nov. 9; Cusip 48124AT31
MORGAN STANLEY
• 8%-10% annualized Equity LinKed Securities due April 25, 2011 linked to Halliburton Co. shares; via Morgan Stanley & Co. Inc.; pricing Oct. 25; Cusip 61759G380
• 11%-14% annualized Equity LinKed Securities due April 25, 2011 linked to Nvidia Corp. shares; via Morgan Stanley & Co. Inc.; pricing Oct. 25; Cusip 61759G372
• Leveraged CMS curve and Russell 2000 index-linked callable notes due Oct. 29, 2030 linked to the 30-year Constant Maturity Swap rate and the two-year CMS rate; via Morgan Stanley & Co. Inc.; settlement Oct. 29; Cusip 61745EQ79
• 0% Commodity Leading Stockmarket Return Securities due October 2012 linked to gold; via Morgan Stanley & Co. Inc.; pricing in October; Cusip: 617482NZ3
• 0% buffered jump securities due October 2012 linked to the S&P 500 index; via Morgan Stanley & Co. Inc.; pricing in October; Cusip 617482NU4
• 0% index Leading Stockmarket Return Securities due October 2013 linked to the S&P 500 index; 80% trigger; via Morgan Stanley & Co. Inc.; pricing in October; Cusip 61759G414
• Range accrual step up notes due Oct. 22, 2030 linked to the S&P 500 index; via Morgan Stanley & Co. Inc.; pricing in October; Cusip 61745EM73
• 0% capped equity index-linked notes due Oct. 9, 2015 based S&P 500 index, the Russell 2000 index, the Euro Stoxx 50 index and the iShares MSCI Emerging Markets index fund; via Morgan Stanley & Co. Inc.; pricing in October; Cusip 617482NW0
• Senior floating-rate callable Sifma Municipal Swap index and Libor accrual notes due Oct. 26, 2025; via Morgan Stanley & Co. Inc.; pricing in October
• 7.2%-9.2% annualized Equity LinKed Securities due April 2011 linked to Yahoo! Inc. shares; via Morgan Stanley & Co. Inc.; pricing in October; Cusip 61759G430
ROYAL BANK OF CANADA
• 19.5% reverse convertible notes due Jan. 31, 2011 linked to Apollo Group, Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KPW7
• 13.75% reverse convertible notes due April 29, 2011 linked to Arch Coal, Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KQP1
• 21.25% reverse convertible notes due Jan. 31, 2011 linked to ATP Oil & Gas Corp. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KPX5
• 12.25% reverse convertible notes due Jan. 31, 2011 linked to Baidu, Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KPY3
• 13% reverse convertible notes due April 29, 2011 linked to Bank of America Corp. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KQQ9
• 11.5% reverse convertible notes due Jan. 31, 2011 linked to Boston Scientific Corp. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KPZ0
• 11.5% reverse convertible notes due April 29, 2011 linked to Freeport-McMoRan Copper & Gold Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KQR7
• 13.5% reverse convertible notes due April 29, 2011 linked to Garmin Ltd. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KQS5
• 15% reverse convertible notes due Jan. 31, 2011 linked to Genworth Financial Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KQB2
• 20% reverse convertible notes due Jan. 31, 2011 linked to Green Mountain Coffee Roasters, Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KQA4
• 11% reverse convertible notes due Jan. 31, 2011 linked to Hartford Financial Services Group, Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KQC0
• 12.75% reverse convertible notes due Jan. 31, 2011 linked to Imax Corp. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KQD8
• 13.5% reverse convertible notes due April 29, 2011 linked to Joy Global Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KQT3
• 12.25% reverse convertible notes due Jan. 31, 2011 linked to Las Vegas Sands Corp. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KQE6
• 12% reverse convertible notes due April 29, 2011 linked to Lincoln National Corp. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KQU0
• 15.75% reverse convertible notes due Jan. 31, 2011 linked to Massey Energy Co. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KQF3
• 21.75% reverse convertible notes due Jan. 31, 2011 linked to McMoRan Exploration Co. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KQH9
• 14% reverse convertible notes due Jan. 31, 2011 linked to MercadoLibre Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KQG1
• 11.75% reverse convertible notes due Jan. 31, 2011 linked to Mosaic Co. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KQJ5
• 15.5% reverse convertible notes due Jan. 31, 2011 linked to Netflix Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KQK2
• 12.25% reverse convertible notes due April 29, 2011 linked to Northern Oil and Gas, Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KQV8
• 17.5% reverse convertible notes due Jan. 31, 2011 linked to Rackspace Hosting, Inc. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KQL0
• 11.25% reverse convertible notes due April 29, 2011 linked to Research In Motion Ltd. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KQX4
• 0% buffered bullish notes due Oct. 30, 2015 linked to S&P 500 index; 80% trigger; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip 78008KMX8
• 0% return optimization securities due Nov. 30, 2011 based on S&P 500 index; via UBS Financial Services Inc. and RBC Capital Markets Corp.; pricing Oct. 26; Cusip 78009C126
• 13.5% reverse convertible notes due Jan. 31, 2011 linked to Titanium Metals Corp. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KQM8
• 18.75% reverse convertible notes due Jan. 31, 2011 linked to Trina Solar Ltd. stock; via RBC Capital Markets Corp.; pricing Oct. 26; Cusip: 78008KQN6
• 0% currency-linked notes due Oct. 30, 2015 tied to the bullish performance of equal weights of the Brazilian real, the Australian dollar, the Canadian dollar and the Norwegian krone relative to the U.S. dollar; via RBC Capital Markets Corp.; pricing Oct. 27; Cusip 78008KPH0
• Fixed- to floating-rate notes due Oct. 28, 2015; via RBC Capital Markets Corp.; settling Oct. 28; Cusip 78008KPT4
• Redeemable step up notes due Oct. 28, 2022; via RBC Capital Markets Corp.; settling Oct. 28; Cusip 78008KQY2
• 0% Bear Accelerated Return Notes due April 2011 linked to S&P 500 index; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
• 14-month 0% Accelerated Return Notes linked to the Russell 2000 index; via Merrill Lynch, Pierce, Fenner and Smith Inc.; pricing in October
• 14-month 0% Accelerated Return Notes linked to the S&P 500 index; via Merrill Lynch, Pierce, Fenner and Smith Inc.; pricing in October
• 0% direct investment notes due Dec. 8, 2011 linked to the EquityCompass Equity Risk Management Strategy; via RBC Capital Markets Corp.; pricing Nov. 3; Cusip 78008KPJ6
• 16%-21% reverse convertible notes due May 12, 2011 linked to Freeport-McMoRan Copper & Gold Inc. stock; via RBC Capital Markets Corp.; pricing Nov. 9; Cusip: 78008KPS6
ROYAL BANK OF SCOTLAND NV
• 10.75% reverse convertible notes due April 29, 2011 linked to American Express Co. stock; via RBS Securities Inc.; pricing Oct. 26; Cusip: 78009KNM0
• 10.25% reverse convertible notes due Jan. 28, 2011 linked to Bank of America Corp. stock; via RBS Securities Inc.; pricing Oct. 26; Cusip: 78009KNG3
• 11% reverse convertible notes due Jan. 28, 2011 linked to Freeport-McMoRan Copper & Gold Inc. stock; via RBS Securities Inc.; pricing Oct. 26; Cusip: 78009KNE8
• 12.75% reverse convertible notes due Jan. 28, 2011 linked to Goodyear Tire & Rubber Co. stock; via RBS Securities Inc.; pricing Oct. 26; Cusip: 78009KND0
• 13.75% reverse convertible notes due April 29, 2011 linked to International Paper Co. stock; via RBS Securities Inc.; pricing Oct. 26; Cusip: 78009KNJ7
• 14.25% reverse convertible notes due April 29, 2011 linked to Joy Global Inc. stock; via RBS Securities Inc.; pricing Oct. 26; Cusip: 78009KNH1
• 15.25% reverse convertible notes due Jan. 28, 2011 linked to Las Vegas Sands Corp. stock; via RBS Securities Inc.; pricing Oct. 26; Cusip: 78009KNC2
• 12.25% reverse convertible notes due April 29, 2011 linked to Research in Motion Ltd. stock; via RBS Securities Inc.; pricing Oct. 26; Cusip: 78009KNK4
• Annual reset coupon securities due Oct. 30, 2015 linked to the S&P 500 index; via RBS Securities Inc.; pricing Oct. 26; Cusip 78009KMT6
• 10.5% reverse convertible notes due Jan. 28, 2011 linked to United States Steel Corp. stock; via RBS Securities Inc.; pricing Oct. 26; Cusip: 78009KNF5
• 11.75% reverse convertible notes due April 29, 2011 linked to Wells Fargo & Co. stock; via RBS Securities Inc.; pricing Oct. 26; Cusip: 78009KNL2
• 0% buffered bullish enhanced return notes due May 14, 2012 linked to the iShares MSCI EAFE index fund; via RBC Capital Markets Corp.; pricing Nov. 9; Cusip 78008KPR8
SUNTRUST BANKS, INC.
• Contingent coupon notes due Oct. 31, 2016 linked to the S&P 500 index; via SunTrust Robinson Humphrey Inc.; pricing Oct. 26; Cusip 86802WAA6
AB SVENSK EXPORTKREDIT
• 53-week 8% STEP Income Securities linked to the common stock of Cisco Systems, Inc.; via Merrill Lynch, Pierce, Fenner & Smith Inc.; pricing in October
UBS AG, JERSEY BRANCH
• 0% performance securities with contingent protection due Oct. 30, 2015 linked to the S&P 500 index; 50% trigger; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 26; Cusip 90267F162
• 0% performance securities due Oct. 29, 2013 linked to the UBS V10 Currency Index with Volatility Cap; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 26; Cusip 902669217
• Exchange-traded access securities due Oct. 29, 2040 linked to the Wells Fargo Master Limited Partnership index; via UBS Securities LLC and Wells Fargo Securities, LLC; pricing Oct. 29; Cusip 902664408
UBS AG, LONDON BRANCH
• 9.75% to 11.75% yield optimization notes with contingent protection due Oct. 31, 2011 linked to the common stock of Alpha Natural Resources, Inc.; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 27; Cusip: 90267F642
• 7.25% to 9.25% yield optimization notes with contingent protection due Oct. 31, 2011 linked to the common stock of Boeing Co.; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 27; Cusip: 90267F634
• 8.25% to 10.25% yield optimization notes with contingent protection due Oct. 31, 2011 linked to the common stock of Carnival Corp.; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 27; Cusip: 90267F667
• 8% to 10% yield optimization notes with contingent protection due Oct. 31, 2011 linked to the common stock of Citigroup Inc.; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 27; Cusip: 90267F659
• 7.25% to 9.25% yield optimization notes with contingent protection due Oct. 31, 2011 linked to the common stock of Gap, Inc.; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 27; Cusip: 90267F675
• 0% performance securities with contingent protection due Oct. 31, 2013 linked to the S&P 500 index; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 26; Cusip 90267F170
• 0% return optimization securities with contingent protection due Jan. 30, 2015 linked to the iShares MSCI Emerging Markets index fund, iShares MSCI EAFE index fund and SPDR S&P 500 exchange-traded fund trust; via UBS Financial Services Inc. and UBS Investment Bank; pricing Oct. 27; Cusip 90267C870
UNION BANK, NA
• Zero-coupon principal-protected market-linked certificates of deposit due Oct. 27, 2015 linked to equal weights of the Brazilian real, Russian ruble, Indian rupee and Chinese renminbi; via UnionBanc Investment Services, LLC; pricing Oct. 25; Cusip 90521ADC9
• 0% market-linked certificates of deposit due Oct. 25, 2017 linked to a basket of the Brazilian real, Russian ruble, Indian rupee and Korean won; via UnionBanc Investment Services, LLC; pricing Oct. 25, Cusip 90521ADD7
• Zero-coupon principal-protected quarterly capped return market-linked certificates of deposit due April 28, 2014 linked to the Dow Jones - UBS Commodity index; via UnionBanc Investment Services, LLC and distributor Incapital LLC; pricing Oct. 25; Cusip 90521ACZ9
• Zero-coupon capped return market-linked certificates of deposit due Oct. 27, 2014 linked to gold; via UnionBanc Investment Services, LLC; pricing Oct. 25; Cusip 90521ADB1
WELLS FARGO BANK, NA
• Certificates of deposit due Oct. 31, 2017 linked to the SGI WISE US Vol Target 8% (USD-Excess Return) index; via Incapital LLC as distributor; pricing Oct. 25; Cusip 949748ZZ3
WELLS FARGO & CO.
• Adjustable annual coupon notes due November 2017 linked to Libor; via Wells Fargo Securities, LLC; pricing in November; Cusip 94986RBH3
• 0% enhanced growth securities due May 2014 linked to the S&P 500 index; via Wells Fargo Securities, LLC; pricing in November; Cusip 94986RBF7
• 0% enhanced growth securities due May 2014 linked to the SPDR S&P 500 ETF trust with a 45% weight, the iShares Russell 2000 index fund with a 20% weight, the iShares MSCI EAFE index fund with a 20% weight and the iShares MSCI Emerging Markets index fund with a 15% weight; via Wells Fargo Securities, LLC; pricing in November; Cusip 94986RBE0
• 0% access securities with upside participation and partial downside protection due May 2016 linked to the Rogers International Commodity Index - Excess Return; via Wells Fargo Securities, LLC; settlement in November; Cusip 94986RBC4
• 0% enhanced growth securities due May 2014 linked to the Russell 2000 index; via Wells Fargo Securities, LLC; settling in November; Cusip 94986RBG5
WEST BANK
• Annual income opportunity certificates of deposit with auto cap feature due Oct. 26, 2016 linked to equal weights of Altria Group, Inc., Broadcom Corp., Exxon Mobil Corp., Google Inc., Johnson & Johnson, Kellogg Co, Merck & Co., Inc., Streettracks Gold Trust, U.S. Bancorp and Verizon Communications Inc.; via Advisors Asset Management, Inc.; pricing Oct. 26; Cusip: 95144PCV1
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