nasdaq workstation

NDAQ GO

Order Blotter

Market Minder

Ticker

Trade Mana...

Indices

Cross Data

Order Entry

Quote Mana...

Order/Ex Sc...

Time and Sa...

ACT Trade E...

ACT Trade S...B: Price Size A: Price Size

0.01

Forces: 33 | 650

Velocity: 683 | 324

PQT

DQT

Q 11 31.75 NBBO 31.76 9 Q

NOOP: 32.07 NOCP: lmb: 950 S Paired: 7787

PCL: 32.08 Hi: 32.24 Low: 31.75

Last: 31.75 P -0.33 12:00 Last Vol: 403,666

NSDQ

EDGX

ARCX

MSCO

CINN

FBRC

FPKI

PIPR

AUTO

GSCO

CBOE

WCHV

COWN

SDLR

UBSS

PERT

JEFF

TWPT

NSDQ

ARCX

CINN

BTRD

FPKI

EDGX

CBOE

GSCO

FBRC

PIPR

TWPT

COWN

MSCO

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NITE

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CDRG

PERT

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NASDAQ STOCK MKT INC CUSIP: 631103108 NGS Market Open

Trader

Market Minder Dynamic Quote Ticker NASDAQ Crosses Trade Manager Order Blotter Order Entry NASDAQ OE Scan Quote Management Time & Sales Indices OATS Scan

ACT ACES Reg Recon Risk Management Market Stats & News Historical Data Supervisory Help

Quoting Window• Givesuserstheabilitytomanagequoteseasilyandeffectively.u Enter a security, update the bid,

ask or both by keying in a value or incrementally or decrementally by using the up and down arrows.

u Also allows users to set up their reserve, refresh sizes and withdraw from a security

order Blotter• Viewyourordersinreal-time.Datacanbesorted,

customized and filtered quickly. u Click on the security to change or cancel your order. u Click on the checkbox on the left of each order you want to

cancel and hit cancel at the top to perform a mass cancel. u Right click on a column heading to remove it from the view. u Right click again to re-add the field. u Click on any column heading to sort by that criteria.

NASDAQ WoRkSTATIoNQ u i c k R e f e R e n c e G u i d e

Right Click

order-Entry Window• Userscanentersophisticatedorders

by customizing the order type, time-in-force and routing strategy. u Click on “Advanced” to expand the

window and get more options to make your order more sophisticated.

Dynamic Quote (DQ) Window

Trade Manager/Message Center• TradeManagerisamessagecenterthattracksyouractivity.u Trade Manager must be open to

track activity.u Customize activity by sound

and color using the Admins and Settings button.

Quick order Buttons• TheQuickOrderbuttonsallow

one-click order/routing using pre-defined criteria.

Trader

Market Minder Dynamic Quote Ticker NASDAQ Crosses Trade Manager Order Blotter Order Entry NASDAQ OE Scan Quote Management Time & Sales Indices OATS Scan

ACT ACES Reg Recon Risk Management Market Stats & News Historical Data Supervisory Help

NoII Window• UsingNOII,WorkstationcustomerscangainaccesstotheimbalancedataleadinguptotheNASDAQOpening,Closing,IPOandHaltCrosses.Userscanalso“view50byhighestimbalances”and“50byhighestpricevariance”.u Type in symbol or series of symbols separated by semi-colons and hit “go” to view imbalance

data. Opening Cross – Every 5 seconds from 9:28 a.m. ET - 9:30 a.m. ET Closing Cross – Every 5 seconds from 3:50 p.m. ET – 4:00 p.m. ET

Ticker• Displaysreal-time,streaminglasttradereportsinsecuritiesacrossmarkets.Eachwindowincludesvolume,tradingsymbol,priceandmarketcenteridentifier.Userscanfilterbypriceandsecurity.u Click on a symbol to see a heat map of last-sale information.u Click “pause” to get a more detailed view. u Use the menu in the upper left corner to customize your font and ability to

close the zoom view.

Time and Sales Window• Getquotingandtrading

information across markets. Queries include Trade, Inside, Combo, Daily Summary and Weekly Summary Statistics.

• TimeandSalesqueriescanbe emailed directly to you for record keeping and research.

oATS Scan• CustomerscandownloadascanofthedataassociatedwithordersthatfirmshaveplacedthroughtheNASDAQWorkstation(only).u Click on the export icon in the lower left corner to export your trades to your

preferred format.

Market Minder• Viewdynamicinformationforuptothreeseparatelistsof25

securities at once. u Click on any one of the symbols to display that security in the DQ window. u Click on “Manage Lists” to update the securities and data displayed in

your Market Minder.

• ThemainwindowoftheWorkstation.Userscanseereal-timeLevel1andLevel2data,seedepthofbook(intheBookviewer),updatequotes,enterorders,seecrossdata,Cusip#s,RegSHOparticipation,MarketVelocity/Forces,etc.u Customize quick launch buttons to access the functions you use the most.u Use the settings menu to pre-set your quantities, routing strategies, TIFs and order types with customizable quick

order entry. u Save your last 20 security look-ups.u Improve your quoting with integrated real-time printsu Left click on any MPID in the montage to see contact info.u Right click in the montage to launch an order for displayed quantity or full depth for the price level. u Right clicking on a price level allows users to select the option of moving their quote to that price level. u Use the up and down arrow keys to move your quote. Set the increment by typing a value in the free form box.

INET home system stats help

GET STOCK

NDAQ

NDAQgo

Aggregate by Price

Price

Time

32.7600

12:22:09

SHARES

(336 more)

As of 12:22:12

(396 more)

PRICE SHARES PRICE

19,129

728,538

Orders

Volume

LAST MATCH

BUY ORDERS

TODAY’S ACTIVITY

SELL ORDERS

2,000200200

4100200200100100125100

4100300100

96200

1,400200200200300100100500100100100100

1,800

32.770032.770032.770032.770032.780032.790032.790032.790032.790032.800032.810032.810032.810032.830032.8300

32.760032.760032.760032.760032.760032.750032.750032.750032.750032.740032.740032.740032.740032.730032.7300

BookViewer• ViewNASDAQ’sfulldepth

of book. All quotes and orders on the NASDAQ book are at your fingertips.

Velocity• Volumecomparedtotheexpectedvolume

overthelast30days

Forces• Indicatessurgesinbuyordersorsellorders

Charting• ChartspriceoverminutessinceMarketOpen

Real-Time Prints

Indices• Displaysrealtimeindicesforthe

NASDAQCompositeandDowJonesandvolumeforNASDAQandtheNewYorkStockExchange(NYSE).

NDAQ GO

Order Blotter

Market Minder

Ticker

Trade Mana...

Indices

Cross Data

Order Entry

Quote Mana...

Order/Ex Sc...

Time and Sa...

ACT Trade E...

ACT Trade S...B: Price Size A: Price Size

0.01

Forces: 33 | 650

Velocity: 683 | 324

PQT

DQT

Q 11 31.75 NBBO 31.76 9 Q

NOOP: 32.07 NOCP: lmb: 950 S Paired: 7787

PCL: 32.08 Hi: 32.24 Low: 31.75

Last: 31.75 P -0.33 12:00 Last Vol: 403,666

NSDQ

EDGX

ARCX

MSCO

CINN

FBRC

FPKI

PIPR

AUTO

GSCO

CBOE

WCHV

COWN

SDLR

UBSS

PERT

JEFF

TWPT

NSDQ

ARCX

CINN

BTRD

FPKI

EDGX

CBOE

GSCO

FBRC

PIPR

TWPT

COWN

MSCO

CANT

NITE

UBSS

CDRG

PERT

11

3

1

1

2

1

1

1

9

1

1

1

1

1

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31.62

31.57

31.51

31.51

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31.50

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31.76

31.76

31.85

31.87

31.89

31.89

31.89

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32.10

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32.25

32.34

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32.50

31.75

31.75

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31.75

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S 100@MKT

S 1000@MKT

NASDAQ STOCK MKT INC CUSIP: 631103108 NGS Market Open order Execution Scan• UsetheOEscantoscanandmanage

your orders on the NASDAQ book. Searches can be customized based on severalpiecesofcriteria.

Save Layout• ArrangethewindowsoftheWorkstationtobestsuityourtradingneeds.Click“SaveLayout”tosaveand then each time you open your Workstation, yourwindowswillberightwhereyouleftthem.

Dynamic Quote (DQ) Window


NASDAQ NASDAQ

INTL MSFT AAPLMSFTclose

25.20

100

100 MSFT 30.06 P 400 MSFT 30.06 Q 100 AMZN 61.81 Q 100 AMZN 61.82 P

100 AMZN 61.80 P 200 AMZN 61.80 P 100 AMZN 61.80 P 860 MSFT 30.06 D

100 AMZN 61.79 P 100 AMZN 61.79 P 100 AMZN 61.80 D 100 AMZN 61.80 D

100 AMZN 61.80 D 600 AMZN 61.80 D 620 MSFT 30.06 D 100 AMZN 61.80 D100 AMZN 61.79 D 100 AMZN 61.79 D 100 AMZN 61.79 D 100 AMZN 61.79 D

100 AMZN 61.79 D 100 AMZN 61.80 D 200 AAPL 100.16 D 100 AMZN 61.79 Q

100 AMZN 61.80 Q 100 AMZN 61.80 Q 100 AMZN 61.80 Q 100 AMZN 61.80 Q

900 AAPL 100.16 P 100 AAPL 100.06 P 300 MSFT 30.06 Q 100 AMZN 61.80 P

30.07

4,000

30.06

100

100.17

100

a a a

Select Portfolio:

Reg Recon• RegReconisareal-timesurveillancealertandreportmodulethatassistsfirmswithcompliance.RegReconprovidesreal-timewarningsthatnotifyfirms

whentherearepotentialFINRA/NASDAQTradeReportingFacilityTM (TRFTM)trade-throughsandwhentheirfirmhaspotentiallyerroneoustradesthatwereexecutedontheNASDAQExchange.Usingtheseclearlyerroneousalerts,firmscannowelectronicallyfilerequestswithNASDAQMarketWatch.

© Copyright 2009. The NASDAQ Workstation is a registered trade mark of The NASDAQ OMX Group, Inc. FINRA, Trade Reporting Facility and TRF are trademarks of Financial Industry Regulatory Authority, Inc. Q09-0538

Trade Reporting/Risk Management

Trade Entry• UsetheTradeEntryWindowtoenteryourtradereportsvia

NASDAQ ACT. You can enter sophisticated reports such as Step-Outs,No/Wasandreversals.

NASDAQ InterACT• NASDAQInterACTisanew

real-time compliance tool that assistsfirmswithsupervisionoftradeactivityreportedtothe FINRA/NASDAQ Trade Reporting FacilityTM (TRF). InterACT summarizes and consolidates data for your over-the-counterTRFtradereports, helping you stay on topofyourtradingactivityandavoidregulatoryfines.

Trade Scan• TheTradeScanwindowallowsuserstoscanfor tradesandreconcileoriginalT,T+1,T+2…N,Reversals,Step-Outs, and As-Of trades. Trade Scan can be used to performthefollowing:u View trades entered into the system. u Accept, decline, cancel or error open trades and No/Was

Market Maker trades. u Accept, decline, cancel and update order entry trades. u Break a matched or accepted trade.

Risk Management• RiskManagementisintendedtoprovideprotectiontoallACTparticipants.

Clearing Firm Functions u The Risk Management window allows clearing firms to monitor all trades entered

by or against each of their correspondent brokers. The clearing broker assigns each of its executing brokers a buy and a sell net-trade threshold amount.

Executing Firm Functionsu The Risk Management window allows executing firms to query the system to display

the following risk management data that is pertinent to itself: u Buy/Sell Trade Thresholds u Buy/Sell Compared Trade Amounts u Buy/Sell Trade Amounts u State and Super Cap Status


Support Numbers

NASDAQ Market Sales+1 800 846 [email protected]

Technical Support/Subscriber Services+1 212 231 [email protected] | [email protected]

Trade Support/Market Operations+1 212 231 [email protected]

www.NASDAQworkstation.com | www.NASDAQTrader.com/nnw

nasdaq workstation

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