-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, PYxlUfy84AnsRxi0Cn2/gxsiQjP5wBf5aERnm4uJ35yrAfrxZ7w0+qjE4W8WGCSR 0R8qvUxubh9JpSm8YYqd7A== 0000947871-07-001437.txt : 20071114 0000947871-07-001437.hdr.sgml : 20071114 20071114164228 ACCESSION NUMBER: 0000947871-07-001437 CONFORMED SUBMISSION TYPE: 424B3 PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20071114 DATE AS OF CHANGE: 20071114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MERRILL LYNCH PIERCE FENNER & SMITH INC CENTRAL INDEX KEY: 0000728612 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 424B3 SEC ACT: 1933 Act SEC FILE NUMBER: 333-36480 FILM NUMBER: 071245634 BUSINESS ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER STREET 2: NORTH TOWER CITY: NEW YORK STATE: NY ZIP: 10080 BUSINESS PHONE: 2126702273 MAIL ADDRESS: STREET 1: 4 WORLD FINANCIAL CENTER STREET 2: NORTH TOWER CITY: NEW YORK STATE: NY ZIP: 10080 424B3 1 f424b3_110807-regionalbank.htm

 

PROSPECTUS SUPPLEMENT

REGISTRATION NO. 333-36480

(To Prospectus dated August 15, 2007)

Filed Pursuant to Rule 424(b)(3)

 

 

 

 

1,000,000,000 Depositary Receipts

Regional Bank HOLDRS (SM) Trust

 

This prospectus supplement supplements information contained in the prospectus dated August 15, 2007 relating to the sale of up to 1,000,000,000 depositary receipts by Regional Bank HOLDRS (SM) Trust.

The share amounts specified in the table in the “Highlights of Regional Bank HOLDRS” section of the base prospectus shall be replaced with the following:

 

Name of Company

Ticker

Share
Amounts

Primary
Trading
Market

BB&T Corporation

BBT

10

NYSE

Comerica Incorporated

CMA

5

NYSE

Fifth Third Bancorp

FITB

13.5

NASDAQ

Bank of America

BAC

27.765

NYSE

JPMorgan Chase & Co.

JPM

43.56

NYSE

Key Corporation

KEY

13

NYSE

Marshall & Ilsley Corporation(1)

MI

6

NYSE

The Bank of New York Mellon Corporation

BK

14

NYSE

National City Corporation

NCC

18

NYSE

Northern Trust Corporation

NTRS

7

NASDAQ

Piper Jaffray Companies

PJC

0.5683

NYSE

Regions Financial Corporation

RF

9.5688

NYSE

State Street Corporation

STT

10

NYSE

SunTrust Banks, Inc.

STI

9

NYSE

Synovus Financial Corp.

SNV

8

NYSE

The PNC Financial Services Group, Inc.

PNC

9

NYSE

US Bancorp

USB

56.83

NYSE

Wachovia Corp.

WB

41

NYSE

Wells Fargo & Co.

WFC

48

NYSE

 

 

 

 

 

 

 

 

 

(1)

The merger/separation of Marshall & Ilsley Corporation (NYSE ticker “MI”) became effective November 1, 2007. As a result, effective November 2, 2007, (New) Marshall & Ilsley Corporation replaced Marshall & Ilsley Corporation as an underlying security of the Regional Bank HOLDRS Trust. For the 6 shares of Marshall & Ilsley Corporation per 100 share round lot of Regional Bank HOLDRS, The Bank of New York will receive 2 shares of (New) Metavante Technologies, Inc. and 6 shares of (New) Marshall & Ilsley Corporation. Creations and cancellations of Regional Bank HOLDRS will require 2 shares of (New) Metavante Technologies, Inc. and 6 shares of (New) Marshall & Ilsley Corporation.

 

The share amounts listed in the table above reflect all previous stock splits, dividends and business combination transactions.

The date of this prospectus supplement is September 30, 2007.

 

 

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