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CMT TRF Customer User Manual

1. Rep Firm Status v J Branch Seq Contra Branch Seq Symbol Price Volume Side v Trade Report Class Zal Tape zj Price Override i v Short Sale v J Exec Time 00 00 00 to 23 59 59 Report Time 00 00 00 to 23 59 59 OnBehalf Contra Clearing v J Capacity Own L v J Capacity Contra v Trade Cati zal Trade Cat2 v Trade Cat3 v Trade Cat4 v m E Clear J Search Status Report Class Date Reported Executed Tape Symbol Side Short Size Price Rep Firm Contra OnBehalf Sender ClOrderID Branch K d Pagel p gt E No records lt gt 2012 NYSE Euronext All Rights Reserved If there is no report here you can also check the Reports page to confirm successful proccessing VIII Engine Rejected Reports Reports can be rejected by the reporting engine for a variety of reasons If you find that either a CMT Created Report or an existing Report sent through your FIX connection to the TRF ends up on the TRF Rejected Reports tab the following is true 32 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 1 Your reports has not been presented to either SIAC or SIP 2 Your report has not been presented to Finra for audit trail purposes These reports instead have been stopped at the engine gateway GW and thus requires the customer to correct any unacceptable tags or details before attempting to resubmit In the highlighted example below a report in AAPL was rejected by the TRF engine w
2. 3 You will need to enter in the PIN number you setup earlier when downloading from the Comodo site Also check the box Mark this key as exportable this will allow you to back up the key if needed Click Next 9 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 Certificate Import Wizard SEE A lt Back J Next gt Il cancel 10 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 4 Allow the system to select where to store the certificate by choosing Automatically select and click Next Certificate Import Wizard Certificate Store Certificate stores are system areas where certificates are kept Windows can automatically select a certificate store or you can specify a location For L Place all certificates in the Following store Gerbificabe store Ps B ro d S S S 5 You will receive a pop up that you have completed the import of the certificate Click Finish to exit from the Import Wizard If an additional pop up confirmation appears click OK 11 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 Mozilla Firefox 1 Go to Tools gt Options gt Advanced Select the Encryption tab and click on View Certificates Content Applications Privacy Security Advanced Protocols Use SSL 3 0 Use TLS 1 0 Certificates When a server requests my personal certificate C 7 Select one automatical
3. CMT TRF Customer User Manual NOVEMBER 2012 To order additional copies of this document contact NYSE Arca 100 South Wacker Drive Suite 1800 Chicago IL 60606 Copyright 2011 NYSE Euronext All rights reserved No part of this publication may be reproduced transmitted transcribed stored in a retrieval system or translated into any language in any form by any means without the written permission of NYSE Euronext Other third party product names used herein are used to identify such products and for descriptive purposes only Such names may be marks and or registered marks of their respective owners TRF CMT Customer User Manual November 1 2012 VI E VII Contents CONTEM PP A om 2 A O o PA ene ence A ee ere ee ree eee cree err es ee ee 5 FS IS Ul AU OU D 5 ege 6 Client Management TOO EE 16 FO EE 21 FSO PP e o o 22 Sel A A O UC o E EA 25 Excel Report ODU jairo 26 Era tee DOM SCORE 27 SOME FG CIE AP rn e E E E E e UI 28 Silo UE 29 Subm cion COMTMMALON TTT 30 BA AL AK E e Ree E 32 2 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 IX Aa A e el E O e 36 Ae E A IA UE 5 O itoiae srs ounce inenoueeon E ton ieiti iat ieieseaa stat nese eats T 37 R E T oc RE 37 Be MOAN REDON GE 38 xI BO UNE TT 41 A BUSECON IMA NON rr ETE E ita 41 XII A A TE EN E EE E ane oe E A EE E E T E E 43 Ae ASO Tale KEE 43 XIV Message E ee ERT 45 XV Message Flow for Previous Day E 48 AVE 261p T AE
4. A Report Fields Rep Fi ABCD p Firm All Revisions Submitted Your 4 Letter FINRA NYSE TRF MPID Status reports based on current status Branch Seq OATS12345 Contra Branch Seq OATS id Contra OATS id 22 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 Short Sale Trade Report Class Contra Short sl Contra Short Exe NAS DA G Dealer Short HSE Dealer Short Exe As Of Reversal Standard ee AMEX Selling Short Search for special report classes Filter Publish Indicator Short Sale Reasons Exec Time og ET 00 P to 15 59 59 CS Report Time 00 00 00 Gi to 23 59 59 View reports by execution time or by acknowledgment of FINRA NYSE TRF Symbol ABC Price 25 35 Volume 95000 Search by basic report details OnBehalf MYSETREF N Contra DEFG View reports by your TRF FIX connection ID Find reports by specific contra parties 23 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 Clearing WI AGU Locked in Capacity Own Customer GSR Client QSR clear Market Maker y Self Clear Riskless View by Clearing arrangement View by capacity Own or Contra Trade Cati e Trade Cat Trade Cat4 e 7 Err Correct Trade Cat3 A Acquisition a j 2 ae _ Regular L S Prt Protect D Distribution P mc Cash F Init Sweep T Form T I Cap Election ON Next Day F LISO F LE Ext Sold P Prior Ref R Seller l Subpe
5. Getting access to CMT for the first time is a two step process 1 ArcaVision if you are new to ArcaVision you will need to access the email sent with instructions on creating a password Click on the link in the email to go to the password creation page enter your username and passcode provided in the email and a password of your choosing must contain at least ONE upper case letter and ONE number You may test your username password by logging in to ArcaVision at www arcavision com 2 Comodo Email Certificate Validation you will receive an email invitation which contains a link to download the browser certificate which validates your email address a Click on the link in the email which opens your default browser and will access the Certificate Manager on the Comodo website 6 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 ries Ba roe Certificate Manager Proceed Invitation Code gt inw Euz Y 3PWIUcP4Nol1C1Hgio E Mail PIN 7 characters max PIN repeat PassPhrase repeat PassPhrase b You will be required to enter a PIN and Passphrase Enter PIN 7 character max and re enter to confirm The PIN is a secure password that you will use to install the certificate to the browser c Enter passphrase and re enter to confirm The Passphrase is meant to be a hint to your PIN may be used to help you remember a forgotten PIN d Click submit e The Digital Certificate download
6. lofi E Export to Excel Gi Clear 53 Create Report Total Records 31857 52 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 XVII FINRA NYSE TRF Clearing Definitions Finra NYSE TRF provides customers with several clearing and non clearing options when reporting to the facility Customer must designate whether their reports fall into one of the following clearing categories Customer QSR QSR N AGU Locked In or Self Clear A 53 Page AGU Lock In Customers may send reports to the FINRA NYSE TRF if they have agreements in place which authorize them to act on behalf of other Finra members These agreements establish the reporting relationship with the FINRA SRO and are required before a Reporting Firm can report on behalf of another broker dealer AGU Lock In reports are cleared directly to DTCC by the Finra NYSE TRF QSR Qualified Special Representatives Customers may send reports to the FINRA NYSE TRF if they have agreements in place which authorize them to act on behalf of other Finra members These agreements establish the reporting relationship with the FINRA SRO and are required before a Reporting Firm can report on behalf of another broker dealer QSR reports are treated as locked in non clearing transactions QSR N Customers may send reports to the FINRA NYSE TRF if they have agreements in place which authorize them to act on behalf of other Finra members These agreements es
7. Create Report page which will be pre populated with the details of your rejected report 34 Page ReportTime 13 03 09 294 13 02 48 376 13 02 29 409 13 02 10 313 13 01 51 657 Exec Time 13 01 09 000 09 30 01 000 09 40 01 000 09 30 00 000 09 30 00 000 Drac La57REGQ LatcREGt La57REGQ CONFIDENTIAL November 1 2012 TRF CMT Customer User Manual November 1 2012 Create Report Trade Info Report Class Standard T Side Buy Short Sale Reason Dealer Short T Tape TRF Print Symbol AAPL Size 3500 Price 35 Price Override No Rep Firm ABCD T Conta WEYI Execution Date 270110425 EH Execution Time UTC GMT 00 00 52 TT Exempt Ho L InterMarket Trade No T Trade Type Cat 1 REGL T Trade Type Cat 3 T Post Trade Info Branch Seq AXS2REGO35U Contea Branch Seq Capacity Own Market Maker e Capacity Contra Client L Clearing Indicator Self Clear e Own Clearing po a Cancel Clear EE Show Additional Make the necessary change as per the Reject message Trade Catz T Form T LI Ext Sold 2 Sold submit And click Submit After receiving the submission confirm pop up check the Reports or the TRF Engine Rejects tab again to ensure that the proper correction was made 35 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 IX Finra Rejected Reports A trade report accepted by the TRF engine may not neces
8. Firm Status Branch Seq Symbol Price Volume Side Trade Report Class Tape v Price Override Short Sale KEE ch E HA D SEENEN DN PERIANA A Exec Time 00 00 00 E to 23 59 59 E Report Time 00 00 00 E to 23 59 59 E OnBehalf Contra Clearing v Capacity Own Capacity Contra Trade Cati v Trade Cat2 v Trade Cat3 Trade Cat4 Gd Fix Selected E Bust Selected Q Clear 2 Search Status Date Reported Executed Tape Symbol Side Short OnBehalf Sender ClOrderID Branch Sed Clearing Fill 04 25 11 12 49 34 417 12 49 33 000 TRF Print AAPL Buy Dealer Short CLO1 TRF1 124930 0342 AXS2REGO1 QSR Fill 04 25 11 12 49 15 166 12 49 14 000 TRF Print H T Buy Dealer Short CLO1 TRF1 124913 0342 LAS2REGO17 QSR Fill 04 25 11 12 45 49 026 12 45 47 000 TRF Print AAPL Buy Dealer Short CLO1 TRF1 124545 0342 AXS2REGO1 Self Cle A Fix Selected After you have selected your report click on Fix Selected the button will remain un lit until you select a report Trade Cati Ej Fix Selected Eg Bust Date Reported Exec 04 25 11 12 49 34 417 12 49 04 25 11 12 49 15 166 12 49 04 25 11 12 45 49 026 12 45 37 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 B Modify Report You will now see a Modify Report screen pop up with your report information at the top under Trade Info Below that under Update you will find several pre populated fields which you can edit and re submit After you ve modified the
9. Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 You can also monitor your activity by clearing type and keep track of any changes you may have made during the day Clearing for ABCD Current Date Type Self Clear Customer AGU Locked In QSR Clear Bust 41 32 30 30 23 Correction Trade Report Previous Day Type Self Clear Customer AGU Locked In QSR Clear Bust 1 zo Correction Reversal Trade Report Additionally you can easily track all of your intraday submitted revisions to same day or as of reports by clicking here 58 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 All Revisions Submitted Today After clicking this button you will be transferred to the Reports Current Day tab automatically filtered for All Revisions Resubmitted for the corresponding MPID highlighted on the Summary Dashboard Busts and adjusts on same day trades reversals and corrections on an as of basis will all be visible here XX Support Please contact the NYSE Arca Trade Desk at 888 513 9873 for any questions regarding the Finra NYSE TRF or contact Chris Mazzacano directly at 312 442 7053 XXI Appendix A Trade Category Key Trade Cat1 Regular C Cash N Next Day R Seller Trade Cat2 4 Deriv Price 7 Err Correct 8 Prt Protect F Init Sweep F ISO J Subpenny Self Help V Q Contingent Trade Cat3 T Form T U Ext Sold Z Sold Trade Cat4 R
10. Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal OO T_T TTT Audit Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal DTCC T 1 only Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Tape Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal o 5 AGU Lock In 40 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 XI Busting Reports When busting an individual report simply highlight the report in question and click Bust Selected aa Fix Selected Eg Bust Selected Status Date Reported Executed Tape Symbol Side 04 19 11 17 10 12 922 11 00 00 000 Clear Only IB A Bust Confirmation A confirmation screen will pop up before completing the action Fade Late Confirm Bust Are you sure you want to Bust the following report Symbol IBM Side Buy CI FdID OnBehalt Time Inky IBM IBM 41 Page Shares 100 ABCD CMT Rep Firm 11 00 00 000 Buy Sell Contra Short Branch Seq oats 123 A Price 166 Trade ID 165 BAED 0 BAED CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 Click Yes to proceed A confirmation pop up will follow Bust Request Sent Kai Bust request successfully sent
11. for all credentials The latest Flash plug in can be obtained at the Adobe Flash website http get adobe com flashplayer For the certificate we use Comodo Email Certificate Validation you will receive an email with a link to access this certificate You will use your ArcaVision username and password to login to the CMT Make sure your ArcaVision username and password are active BEFORE you attempt access to CMT by accessing the ArcaVision site at www arcavision com and login with your username password ArcaVision accounts expire after 90 days of inactivity and because CMT uses your ArcaVision login you will need to make sure your account does not expire In the event your account is expired you will need to have your ArcaVision username and password reset This can be accomplished at the ArcaVision website In addition due to the sensitive nature of the data you will need to complete a CMT user agreement If you do not have an active ArcaVision account or do not have the CMT agreement on file please contact Client Relationship Services or your Relationship Manager 5 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 IV Access Once your CMT documentation is approved you will receive an email containing your CMT credentials email certificate validation If you are new to ArcaVision you will also receive a separate email with Welcome to ArcaVision which contains your username and instruction on creating a password
12. screen appears click on Download 7 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 Digital Certificate download 1 Save certificate to the default location specified by your computer Take note of the file location of the certificate e Install certificate into Browser You will need to install this certificate in the browser located on the computer you will use to access the CMT This will allow you and only you to access your firm s order and execution data You will only need to install the certificate once after that the browser will be certified and you can directly access the Client Management tool Internet Explorer 1 Locate the Digital Certificate you downloaded and double click the filename This will initiate the Certificate Import Wizard Click Next 2 Pop up screen requesting you specify the file to import will appear and will already contain the name of the certificate Click Next to continue 8 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 Certificate Import Wizard File to Import Specify the file you want to import File name Vin home CH hbarounisiMy Documentshelen_nyvse_com pl2 i Browse Note More than one certificate can be stored in a single File in the Following Formats Personal Information Exchange PKCS 12 PFs P12 Cryptographic Message Syntax Standard PKCS 7 Certificates DAD Microsoft Serialized Certificate Store t 55T
13. 0110817 12433 17 Verify the Reversal by searching under the Reports Current Day tab and filtering for Trade Report Class Reversal 46 Page CONFIDENTIAL 47 Page Rep Firm Symbol Report Class Reversal v Exec Time 00 00 00 Contra e aa to Trade Cati v Status Date Fill 08 17 11 08 17 11 08 17 11 08 17 11 9 Reported 19 14 16 050 16 06 25 682 15 23 43 810 15 21 21 079 TRF CMT Customer User Manual Status Price Tape 23 59 59 Report Time 23 59 59 Le Clearing Trade Cat2 Executed Side 12 33 17 000 Buy 12 33 04 000 Sell 09 30 00 000 Sell 09 30 00 000 Sell CONFIDENTIAL November 1 2012 TRF CMT Customer User Manual November 1 2012 XV Message Flow for Previous Day Fixes Find and select the message you wish to fix as above The following example screen will pop up Modify As of Report Tape L Short Sale T Contra of Modify As Of Report Trade Info Size 100 Price 30 000000 Contra DEF G Clearing Indicator T Capacity Own Agency Capacity Contra Agency Short Sale Reason Trade Type Cat 1 Regular L Trade Type Cat 2 Trade Type Cat 3 Trade Type Cat 4 Additional Details Branch 5eq 920110818 Contra Branch Zeg 920110818 Rep Firm Saco Execution Date 20110817 Execution Time 12 33 15 Gi TT Exempt No Price Override No Exec Firm Give Up Contra Setidement Date E 3 Hide Additional submit Gi
14. 34 Contra Branch Seq Capacity Own Agency v Capacity Contra Agency v Clearing Indicator QSR clear v Own Clearing Contra Clearing O Submit Cancel Clear 3 Show Additional The options for each field mirror those found on the Reports search page A Show Additional The most commonly used fields are available at first glance However more specialized reports are facilitated by clicking the Show Additional button at the bottom of the report entry screen N Submit Cancel Clear 23 Show Additional 28 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 Additional fields will appear below Post Trade Info with the option to re hide by clicking on Hide Additional Additional Details Trade Type Cat 2 T Trade Type Cat 4 T Exec Firm Give Up Contra Setdement Date EH a Cancel Clear Ga Hide Additional B Submit The Submit button will remain lit up unless your Created report does not conform to certain reporting guidelines Example Customer enters Standard report with a prior Execution Date Result Submit button becomes inoperable Create Report Trade Info Report Class As Of v Side lanla Short Sale Reason v Tape Eo ly Rep Firm v Contra E Execution Date 20110421 5 Report Class cannot be As Of if execution date is today TT Exempt Co lv InterMarket Trade Ely Trade Type Cat 1 Co ly Post Trade Info Cancel Clear 3 Show Addi
15. 40 44 B0 67 6 3 04 Valid from 1 6 2011 18 00 00 PM to 141207 2 17 59 59 PM Purposes Sign Encrypt Certificate Ley Usage Signing keu Encipherment E mal helentanpee com Lauer bur CASA SF Furnnest O Net Frurnnest Inr lt l l Remember this decision OR Firefox 17 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 Choose a digital certificate Identification The website you want to view requests identification Please choose a certificate Issuer MYSE Euronext View Certificate If you attempt to access CMT without having downloaded or establishing your certificate you will get an error message either not acknowledging the website or denying you access 18 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 1 Secure Connection Failed An error occurred during a connection to cmtool nyx com SSL peer was unable to negotiate an acceptable set of security parameters Error code ssl_error_handshake_failure_alert The page you are trying to view can not be shown because the authenticity of the received data could not be verified Please contact the web site owners to inform them of this problem Alternatively use the command found in the help menu to report this broken site If the certificate is installed properly you will get the login screen Please login using your ArcaVision username and password 19 Page CONFIDENTIAL TRF CMT Customer User Ma
16. A PxUnrelated RS Option Ex A Acquisition D Distribution I Cap Election P Prior Ref S Split Trade W Avg Price W Stopped 59 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 B Tape Designation Key TRF report to Tape executed OTC and printed as ADF No Non tape report to Finra executed OTC Related Markets Nasdaq NYSE AMEX BSX Boston BATS BATSY EDGA EDGX NSX National ISX CHX Midwest PSE NYSEArca CBSX Unknown Uspecified ACT Nasdaq PSX ADF Foreign E Clearing Indicators Key AGU Locked In Reporting Firm has established AGU relationship with Contra and Finra Finra NYSE TRF will submit reports on behalf of Reporting Firm directly to DTCC Customer Clearing will be fulfilled by customer QSR Reporting Firm has established QSR relationship with Contra and Finra Contra must be Finra member No clearing QSR Clear Reporting Firm has established QSR relationship with Contra and Finra NYSE TRF will submit reports on behalf of Reporting Firm directly to DTCC Self Clear Reporting Firm is a self clearing participant 60 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 D Report Status Key Any All reports reflected within the selected parameters Fill Reports which have been accepted by Finra and reported to the tape if Tape Yes Bust Report which has been removed from Finra audit trail and the tape if Tape Yes Adj Orig
17. Cancel Clear 48 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 Select the field you wish to fix In this case we will increase the share size Modify As Of Report Trade Info Size 150 Clearing Indicator QSR clear Short Sale Reason Submit the fix Create report sent Trade Report successfully sent to the reporting engine for processing Please check the reports gt a or reject tab to be sure it was successfully processed The TRF CMT engine will submit a reversal for the original QSR N report and issue a new report with the requested fix 49 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 Rep Firm Status s Branch Seq Symbol Price Volume Report Class T Tape T Price Override Exec Time 00 00 00 to 23 59 59 Report Time 00 00 00 Ka to 23 59 59 OnBehalf Contra Clearing T Capacity Own Trade Cati F Trade Cat L Trade Cat Status Report Class Date Reported Executed Symbol Side Size Price Rep Firm Fill Reversal 08 17 11 14 14 20 614 12 33 15 000 XYZ Sell 100 230 00000 ABCD Fill As Df 03 17 11 14 14 20 594 12 33 15 000 XYZ Buy 150 30 00000 ABCD The reports page will feature both the Reversal opposite side of original report and the As Of fix as seen here 50 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 XVI EOD Trade Report Chronicles CMT users have the capability o
18. RD MONICE E 51 AVIE FINRA NYSE TRECET me OE ONE san E nus eavannineaeanaeicveseecdonnseauagnis ioauneieoneaden eens 53 Ae ACU TE 1 eae E E AA E E T E E 53 B OSR Qu alified Special Representatives E 53 SR e WEE 53 D e TLS ei EE SE 3 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 XVIII XX Aal EITE ol lt eee IP A ee en ee ee eee eee 53 Sa dde lado o e o ro UE O A 54 AGU LOCK BENGI E 54 OS ET Ee EE 54 ST IBS i FO eege 54 Customer SOIR CIE Ar ING EL E 55 ETS gg Rule ds vend 55 A PP ec ua soos seen cence eee tesear T TT 55 o PP PP PP 55 SUPPO 5 A A E O e CI UU e A saree neers arneneeecouens 59 APPEN APP o A no 59 ES PP e ro ene ee eee eee renee aren ener 59 Tape Desienation eV art icons 60 Elearine Maca lors Ne toca oie osas 60 IST e 61 4 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 II Overview The Client Management Tool CMT is an online web tool that provides the ability to view create cancel and re submit reports sent to the FINRA NYSE TRF You can choose to view reports under a variety of filters and export details to Excel UL Registration CMT is a Flash Flex based application that runs in a web browser via HTTPS While it is not necessary to download install any third party software on your local machine you will need to download the Flash Player plug in ver 10 as well as a browser certificate verifying the email address used
19. RRECT REGQ_CORRECT Reg correct TRF CMT Customer User Manual VII Create Report Screen Create new TRF reports or modify and resumbit TRF rejects ftom this screen NYSE Euronext Client Management Tool TRF TRF Reports Current Day Create Report Trade Info Report Class Symbol Rep Firm TT Exempt Post Trade Info Branch Seq Clearing Indicator d EOD Trade Report Chronicles amal ET Side Size Contra Trade Type Cat 1 Contra Branch Seq Own Clearing Q Cancel Clear 33 Show Additional 27 Page As Of Repairs Reversals BEZ TRF Rejected Reports sl Short Sale Reason Price Execution Date Trade Type Cat 3 Capacity Own Contra Clearing CONFIDENTIAL FINRA Rejected Reports 20121031 jf BEE zJ November 1 2012 I Log Off p Change Password Create Report Bulk Bust Summary Dashboard Tape Price Override Execution Time ET Capacity Contra TRF CMT Customer User Manual November 1 2012 The Create Report entry screen is divided into two categories Trade Info and Post Trade Info Create Report Trade Info Report Class As Of v Side Short Sale Reason v Tape No Symbol XYZ Size Price 34 00 Price Override No v Rep Firm Contra Execution Date 20110725 2 Execution Time ET 12 00 00 lt TT Exempt InterMarket Trade Trade Type Cat 1 Regular v Trade Type Cat 3 v Post Trade Info Branch Seq OATS 12
20. anch Seq Side Reported Executed 44 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 XIV Message Flow for Previous Day Reversals Client Management Tool TRF TRE Reports Current Day As Df Repairs Rewersals TRF Rejected Reports FINRA Rejected Reports Create Report Summary Dashboard Exec Date 20110317 EAH Rep Firm ABCD ka Branch Seq Contra Branch Seq Side T Symbol Price Trade Report Class As Of T Tape Yes T Short Sale Contra Volume Clearing T Capacity Own Capacity Contra Trade Cati a Regular K Trade Cat T Trade Catz Trade Cat4 3 i Gi Clear J Search Date Reported Executed Side Price Rep Firm OnBehalf sender ClOrder 08 18 201 12 33 22 01108 17 12 Buy 30 00000 ABCD TRFTEST TRF1 344 08 18 201 12 33 21 20110817 12 Buy 30 00000 ABCD TRFTEST TRF1 343 08 18 201 12 33 20 20110817 12 Buy 30 00000 ABCD TRFTEST TRF1 342 08 18 201 12 33 09 0110817 12 Buy 30 00000 ABCD TRFTEST TRF1 341 Filter and select the report you wish to correct or reverse 45 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 Confirm the report you are reversing and click Yes Confirm As Of Reversal S El Are you sure you want to Send in the As of Reversal for the following report Symbol XYZ Side Buy Branch Seq 020110818 Cd 344 Shares 100 Price 30 000000 OnBehalf TRFTEST Rep bm ABCD Contra DEFG Trade ID TA110818000003d 0001 Time 2
21. and Finra Audit Trail 54 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 D Customer Self Clearing Behavior When busting or canceling adjusting a same day Customer Self Clearing report TRF will submit to Finra a trade a Cancel message and a new Trade Report if applicable Additionally the Tape will be automatically rectified by the TRF For previous day fixes or busts a reversal will be submitted to the Tape and to Finra followed by a new As Of trade report if applicable XIX Summary Dashboard A Overview The Summary Dashboard is designed to provide TRF Reporting firms key information about their report flow at a glance with the option of retrieving detailed information about any and all such reports which may be considered an exception B Screen The Summary Dashboard can be accessed from the tab at the far right of your screen 55 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 Client Management Tool TRF Z Leg Off Change Password TRE Reperts Current Dey As Of Repairs Reversals TRE Rejected Reports FINRA Rejected Reports Create Report Select Rep Firm Published for ABCD Clearing for ABCD Current Date Current Date Type Type AGU Locked In QSR Clear Tape Trade Modifiers for SGMA z Trade Report a Trade Report 2 Bust Bust Modifier Cash N Next Day R Seller W Avg Price i Correction Previo
22. appropriate detail s submit the modified report and return to the Reports tab to verify Modify Report Modify Report Trade Info Symbol Original Shares 10 Original Price 100 Original Contra Original Clearing Indicator QSR clear Original Capacity Own Agency Original Capacity Contra Original Short Sale Reason Side Buy Branch Seq 12345 On Behalf Of Cl Order ID Time 20 00 00 000 Update Shares 10 Price 100 Contra ARCH Clearing Indicator OSR clear L Execution Date 07 25 11 9 Execution Time 20 00 00 Capacity Own Agency v Capacity Contra y Short Sale Reason v Side Buy v Trade Type Cat 1 Regular Y Trade Type Cat 2 L Trade Type Cat 3 v Trade Type Cat 4 v Submit Cancel HZ ron Eau tte ng A IS rer The Reports page will show two reports when you conduct a search using a common identifier on both reports e g Branch Seq 38 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 Fe Date Reported Executed Tape Side Short 04 19 11 17 10 12 922 11 00 00 000 Clear Only Buy Contra Short 041911 17 10 12 922 11 00 00 000 Clear Only Buy Contea Short Adj 04 19 11 17 10 12 92 04 19 11 17 10 12 92 PLEASE NOTE THAT CORRECTED TRADE REPORTS ARE PRESENTED TO FINRA AUDIT TRAIL AS A CANCEL AND NEW TRADE 39 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 Modified Report Behavior Modified reports are presented to Tape where applicable A
23. ave successfully restored your certificate Click OK 6 The Certificate Manager will display the certificate in the pop up screen Click OK to exit Certificate Manager ou Certificates People Servers Suthorities Others TOU have certificates from these organizations that identify your Certificate Name Security Device Serial Number Expires Un Nys Helen Barou Software Security Device 22 21 94 09 TU 22 B 172072 View Backup Backup All Delete 15 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 You are now ready to access the Client Management Tool V Client Management Tool To login to CMT for TRF go to https cmtool nyx com The FIRST time you log in to the site you may encounter messages affirming your security certificate simply click OK to continue on to the CMT login screen Affirmation screens may look like the following Internet Explorer 16 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 User Identification Request This site has requested that you identify pourself with a certificate nys Com 44 3 Organization NYSE Euronext Inc lssued Under COMODO CA Limited Choose a certificate to present as identification Details of selected certificate lssued to Eshelentanyee com CN N Helen Baroun CUS Lchew York Deh DD 2 5 4 9 240 Broad Street Det Euronext Inc postalCode 1 0005 Serial Number 32 31 04 08 10 3354 70 66 34
24. es for Request DS Se After receiving such information TRF Operations will forward the request to Finra for approval XIII As Of Repairs and Reversals Breaks Customers are able to repair or reverse TRF reports that have occurred in the following time range Y Reports marked with a Clearing Indicator of AGU or QSR N can be acted on within a maximum T 1 timeframe 43 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 v All other reports may be repaired or reversed from T 1 through T 365 However beyond T 180 the customer is required to provide their own original report record for the sake of repairs or reversals NYSE Euronext Client Management Tool TRF Mr Le chee So TRF Reports Current Day EOD Trade Report Chronicles As Of Repairs Reversals TRF Rejected Reports FINRA Rejected Reports Create Report Bulk Bust Summary Dashboard Reported Date 20171030 E Exec Date 201271050 GC Rep Firm Branch Seq Contra Branch Seq Side A Symbol Price Trade Report Class Tape T Short Sale Contra Volume Clearing T Capacity Own Capacity Contra Trade Cati Trade Cat2 Trade Cat3 Trade Cat4 Y g a Clear J Search Report Class Reported Executed Symbol Side Price Rep Firm Contra OnBehalf Sender ClorderID Branch Seq Cor Reports Current Day EOD Trade Report Chronicles As Of Repairs Reversals Reported Date 201271030 Exec Date 20121030 Contra Br
25. f downloading their daily reporting activity as Reporting Firm or as Contra using the EOD Trade Report Chronicle Reporting Firm View Customers can query all Finra NYSE TRF reports by a single Reporting Firm MPID Total records are available with maximum 250 000 per file downloadable to Excel Data available going back six months NYSE Euronext Client Management Tool TRF TRF Reports Current Day EOD Trade Report Chronicles As Of Repairs Reversals TRF Rejected Reports FINRA Rejected Reports Reporting Party Trade Journal Contra Party Trade Journal Select Rep Firm Select Date Files to Download 5 ABCD Report Date 20121025 if 1of5 sl Export to Excel Files to Download 5 1lof5 T E Export to Excel 2 of 5 Q Clear 3 Create Report Total Records 1061024 3of5 d of S 5 of 5 51 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 Contra Firm View Customers can query all Finra NYSE TRF reports where their MPID is reported as contra party to a trade report Total records available and maximum 250 000 per file downloadable to Excel Data available going back six months NYSE Euronext Client Management Tool TRF Reports Current Day EOD Trade Report Chronicles As Of Repairs Reversals TRF Rejected Reports FINRA Rejected Reports d Reporting Party Trade Journal Contra Party Trade Journal Contra Firm Select Date Files to Download 1 XXXX Report Date 20121031 44
26. he appropriate tape plan as required PLEASE NOTE AGU LOCK INS may only be rectified on a maximum timeframe of T 1 through the TRF You will need to make arrangements directly with DTCC for any changes to reports which were originally submitted T 2 or earlier Furthermore any changes made directly with DTCC must also be rectified with the tape and Finra Audit Trail B QSR Behavior When busting or canceling adjusting a same day QSR non clearing report TRF will submit to Finra a trade Cancel message and a new Trade Report if applicable Additionally the Tape will be automatically rectified by the TRF For previous day changes fixes or busts a reversal will be submitted to the Tape and to Finra followed by a new As Of trade report if applicable C QSR N Behavior When busting or canceling adjusting a same day QSR N report TRF will submit a Cancel message to the Tape and Finra and then submit a Reversal record directly to DTCC on your behalf A new Trade Report will be submitted on your behalf if applicable For previous day changes fixes or busts the same scenario will apply PLEASE NOTE QSR N Reports may only be rectified on a maximum timeframe of T 1 through the TRF You will need to make arrangements directly with DTCC for any changes to reports which were originally submitted T 2 or earlier Furthermore any changes made directly with DTCC must also be rectified with the tape
27. inal trade report which has since been modified All Revisions Resubmitted Busts adjusts reversals and cancels combines in one report 61 Page CONFIDENTIAL
28. ith the error Sold out of Seq not applicable Rep Firm ABCD Exec Time range 00 00 00 to 23 59 59 Contra Symbol Price Volume Q Re Subrnit 3 Clear fal Search Date ReportTime ExecTime Br5eq OnBehalfOf Symbol Yolume Price ClOrderID Reject Reason O4 25 11 13 03 09 294 13 01 09 LASZ2 REGOS CLOI HYT 3900 39 130305 0342909 U Extened Hours has invalid execution ti g 04 25 11 13 02 48 376 00 30 01 AXRS2 REGO CLO AAPL 3800 38 130244 0342068 U Extened Hours has invalid execution ti 04 25 11 13 02 29 469 09 30 01 LAS2 REGOS CLD HYT 3800 38 130225 03429067 U Extened Hours has invalid execution ti 04 25 11 13 02 10 313 09 30 00 AXRS2 REGO CLO1i AAPL 3700 37 130206 03742066 U Extended Hours can not be Prior Refere 0425 11 13 01 51 657 09 30 00 LAS2 REGOS CLD HWT 3700 37 130147 0342965 U Extended Hours can not be Prior Refere 04 25 11 13 00 53 281 13 00 52 AXS2 REGO CLO1 AAPL 3500 35 130049 0342062 Sold Out of Seq not applicable 04 25 11 13 00 34 406 13 00 33 LEASZ2REGOS CLO1 HWT 3500 35 130030 0342961 Sold Out of Seq not applicable Click on the Re Submit button after highlighting your rejected report 33 Page CONFIDENTIAL TRF Reports TRF Rejected Reports TRF CMT Customer User Manual Client Manage Create Report Rep Firm ABCD Y Exec Time range Symbol Date 04 25 11 04 25 11 04 23 11 04 25 11 04 25 11 After clicking Re Submit you will be taken to the
29. ly Ask me every time View Certificates Revocation Lists Validation Security Devices 12 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 2 Select the Your Certificates tab and click on the Import button 71 Certificate Manager ou Certificates People Servers Authorities Others You have certificates from these organizations that identity you Certificate Name Security Device Serial Number Expires On View Backup Backup All Delete 13 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 3 The File to Restore pop up will appear locate the Digital Certificate you downloaded select the file and click Open File Name to Restore a att connect 3 The KMPlayer SW Bobs RealTick O TMBRAGuote 111810_filez 3 Downloads ei O gegl 0 0 EC My Data Sources Desktop My Downloads Mu Documents NYSE Bonds Materials Pershing Files oy Photo Stuff d Photos of Whiteboard Mu Computer a File name helen nuse corm pl2 N My Network Files of type PKCS12 Files y 4 You will need to enter in the PIN number you setup earlier when downloading from the Comodo site Enter the PIN and click OK 14 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 Password Entry Dialog Please enter the password that was used to encrypt this certificate backup Password 5 You will receive a pop up that you h
30. nny 2 Sold S Split Trade View by Trade Categories 24 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 B Reports Grid The Reports grid provides the results of your customized query exportable into an Excel spreadsheet at the click of a button Date Reported Executed Tape Symbol Side Size Status Price Rep Firm OnBehalf 04 19 11 12 50 30 693 12 48 00 000 MSFT Buy 120 Fill 23 00 ABCD ABCD CMT 04 19 11 12 49 51 224 12 49 00 000 5 MSFT Buy 100 Fill 25 00 ABCD ABCD CMT Sender ClOrderID Branch Seq Clearing Clearing 2 ClearNumb OwnerCat Contea Cat Owner Cat 2 Contea Cat 2 LC MT 0AT59999 QSR 12345 Client Client CMT OATS9999 USR 12345 Client Client SS EE Export to Excel Record 1 2 Refresh the grid page through or export your results to an Excel spreadsheet 25 Page CONFIDENTIAL C Excel Report Output fe A El tradesearch 1 A B E D E Status Date Reported Executed Tape Fill 07 27 11 11 35 11 443 20 20 00 000 N Fill 07 27 11 11 27 16 744 20 20 00 000 WN Fill 07 28 11 11 26 25 388 10 20 03 000 5 5 END OF FILE Total 3 Record s 26 Page TRF CMT Customer User Manual t H l J K L Symbol Side Short Size Price RepFirm Contra IBM Buy 301 30 ABCD IBM Buy 501 30 ABCD IBM 501 30 ABCD a CONFIDENTIAL WXYZ WXYZ WXYZ November 1 2012 N N U p OnBehalf Sender cClordiD BranchSeq ABCD CMT CMT ABCD CMT CMT ABCD CMT CMT REGQ_ CO
31. nual November 1 2012 MSN com Windows Internet Explorer OBRA CR e WE http Dron msn com ws x Google plz e lt E gt z dei El MSN com EN e E deb gt Page 7 Tools Connect to NYSE User Name helen nyx com Password PERH kk ON Select Site NYSE TRF v _ By clicking beds w s di sehr to the CMT Terms of Use NYSE TRE Terms of Use E Internet 20 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 VI Reports Screen NYSE Euronext Client Management Tool TRF Log Off gt Change Password TRF Reports Current Day EOD Trade Report Chronicles As Of Repairs Reversals TRF Rejected Reports FINRA Rejected Reports Create Report Bulk Bust Summary Dashboard Rep Firm Status v Branch Seq Contra Branch Seq Symbol Price Volume Side v Trade Report Class v Tape v Price Override v Short Sale v Exec Time 00 00 00 to 23 59 59 Report Time 00 00 00 to 23 59 59 OnBehalf tO Contra Clearing v Capacity Own v Capacity Contra v Trade Cati v Trade Cat2 v Trade Cat3 v Trade Cat4 v Gi 3 Q Clear 2 Search Status Report Class Date Reported Executed Tape Symbol Side Short Size Price Rep Firm Contra OnBehalf Sender ClOrderID Branch K q Pagel p e No records 2012 NYSE Euronext All Rights Reserved Filter reports for any combination of categories 21 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012
32. sarily be accepted by Finra for audit trail reporting purposes These rejects will populate the Finra Rejects tab on your CMT screen The following is true regarding Finra rejects 1 If Tape was designated Yes the report has already been sent to SIP or SIAC for processing to the tape 2 The Finra audit trail obligation s regarding both the tape and non tape if applicable related reports remains to be fulfilled Contrary to Engine Rejects Finra Rejected Reports are not fix able on the CMT The NYSE TRF Operations group will fix and re submit these reports on your behalf presuming there are no extenuating circumstances with Finra or the customer which may prevent re submission In such case a member of TRF Operations will contact you to determine the best course of action to ensure you are meeting your reporting obligation Rep Firm Exec Time range 00 00 00 to 23 59 59 Kos Contra Symbol Price Volume Gi Clear J Search ReportTime ExecTime BrSeq OnBehalfOf Symbol Volume Price ClOrderID Contra RepFirm Tape Reject Reason 15 00 32 847f11 12345 1000 1 Finra test reject volume gt 500 15 04 36 5 04 12345 1000 J Finra test reject volume gt 500 15 15 45 4164 12345 IBM 600 200 01 J Finra test reject volume gt 500 36 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 X Fixing Reports Visit the Reports page and highlight the individual report you wish to correct Rep
33. tablish the reporting relationship with the FINRA SRO and are required before a Reporting Firm can report on behalf of another broker dealer QSR N reports are treated as locked in clearing eligible transactions FINRA NYSE TRF will report these transactions directly to DTCC on behalf of the customer Customer Non clearing transaction typically used for agency crosses in which the Reporting Firm is also listed as the Contra on executions that will be assigned to an internal customer of the Reporting Firm Self Clearing The reporting firm is Self Clearing the transaction CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 XVIII Clearing Non Clearing Processing A AGU Lock In Behavior When busting or canceling adjusting a same day AGU Lock In report TRF sends a trade Break message to Finra which Finra in turn reverses on your behalf to DTCC If you have elected to Fix the report TRF then submits a new Trade Report on your behalf with the information you have provided on the rectified report When making a previous day bust or fix TRF will submit to Finra a Reversal message Finra NYSE TRF forwards to DTCC and if the report is being fixed TRF will submit to Finra an As Of Trade Report with your specified changes to the original report which Finra will then forward to DTCC on your behalf Additionally a prior day cancel as of cancel new Trade Report will be submitted to t
34. tional 29 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 Cancel Clear 3 Hide Additional Execution Date 20110421 Report Class cannot be As Of if execution date is today C Submission Confirmation After creating your report and submitting a pop up confirmation will indicate if preliminary logic has been satisfied 30 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 Create report sent Trade Report successfully sent to the trading engine for processing Please check the reports a or reject tab to be sure it was successfully processed This however is not a confirmation that your manual report has been accepted as a good report by the engine The Create report sent message window only confirms that the report has been successfully presented to the reporting engine After submitting your report customers are advised to consult the TRF Rejected Reports screen to verify that your message did not fail additional validations made by the reporting engine 31 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 A I Log Off JLS Change Password j NYSE Euronext Client Management Tool TRF TRF Reports Current Day EOD Trade Report Chronicles As Of Repairs Reversals TRF Rejected Reports FINRA Rejected Reports Create Report Bulk Bust Summary Dashboard
35. to the trading engine for processing Return to the Reports page to confirm that the bust has taken place Gi Fix Selected y Bust Selected Status Symbol Side i L EL E k A A ei F A B ei A E d d k dl ia dk h i B Y dk dh dk di wf J Jh T KE A A T T STE rh ee CIS hn nr d Wa H dr d r d 3 F F D Eh ch Ra ina R up ALA DR EA LS Fos Lifa LC C o LP Ae UR e LF OR OI LAA WI Ge alt Bel CA UD TI 2s A A Pe Os he Pe A Ae o s LP AP U T MI LPD T r d 8 8 D a m L L 42 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 XII Bulk Busts Customers are prohibited from busting trade reports in bulk on CMT Customers may however provide written notification to TRF Operations requesting that multiple reports be canceled by TRF Operations from the tape and or audit trail utilizing the CMT This written request must be accompanied by an Excel Spreadsheet delineating each report to be busted containing at minimum the following information Time of Execution and or Submission Side Symbol Size Price Contra Br Sequence OATS ID ae oe A The representative of the Reporting Firm making this request must also include the following in the body of the e mail Full Name Firm Name Title Phone Number E mail Address Explanation of Circumstanc
36. udit and DTCC where applicable Modified Field USAS Clearing shares Price Contra ExecDate Execfime Gegen CapContra shortReason side l Trade Cats 1 4 l a Tape Cancel Cancel Cancel Cancel Cancel Cancel Cancel Cancel Cancel Cancel Cancel Audit Cancel Cancel Cancel Cancel Cancel Cancel Cancel Cancel Cancel Cancel Cancel OO oS Cancel Cancel Cancel Cancel Cancel Cancel Cancel Cancel Cancel Cancel Cancel Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Cancel Cancel Cancel Cancel Cancel Cancel Cancel Cancel Cancel Cancel Cancel QQ Break Break Break Break Break Break Break Break Break Break Break Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Cancel Cancel Cancel Cancel Cancel Cancel Cancel Cancel Cancel Cancel Cancel ed As Of Result QsR Customer Self_ a Tape Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Audit Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal T __ Audit Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal DTCC T 1 only Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Reversal Tape
37. us Day P Prior Ref Type AGU Locked In QSR Clear RX Option Ex As of 1 F 150 Bust 1 Bust 4 Derry Price Reversal Reversal Self Help Trade Report Trade Report F eet Sweep W Stopped A Acquisition 5 Split Trade 1 Cap Election Correction Correction oe Riskless Principal for ABCD All Revisions Submitted Today Type Count kW d RA PxUnvelated J Subpenmy TRF Assigned sold 7 Err Correct 8 Prt Protect Regubar Y Q Contingent T Form T U Ext Sold 2 Sold 4 H D D 2 2 3 3 2 2 D D 2 1 2 2 s D 2 it D Distribution 2011 NYSE Euronext All Rights Reserved A closer look at the categories 56 Page CONFIDENTIAL TRF CMT Customer User Manual November 1 2012 Published for ABCD Current Date Type Non Tape Bust 172 a0 Correction Trade Report Select Rep Firm Ts E Previous Day for ABCD Type Tape Non T ape Bust 16 13 Correction Trade Modifiers for ABCD Modifier Z Sold U Ext Sold Z Reversal 0 2 Trade Report F 150 k 4 d Deriv Price Riskless Principal for ABCD Self Help W Stopped Type count D Distibution Bust 50 I Cap Election Correction Regular Reversal T Form T As Of Click on any number to link you to the reports contained therein Your totals will automatically refresh every 30 seconds Monitor by Trade Modifiers Current and T 1 data and Riskless Principal transactions 57

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