PDF NASDAQ WoRkSTATIoN
NASDAQ Workstation
Quick Reference Guide
Trader
ACT ACES Reg Recon Risk Management Market Stats & News Historical Data Supervisory
Market Minder Dynamic Quote Ticker NASDAQ Crosses Trade Manager Order Blotter
Order Entry NASDAQ OE Scan
Help Quote Management
Time & Sales Indices OATS Scan
Order Blotter
? View your orders in real-time. Data can be sorted, 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.
Order-Entry Window
? Users can enter sophisticated orders 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.
Quoting Window
? Gives users the ability to manage quotes easily and effectively. 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. uAlso allows users to set up their reserve, refresh sizes and withdraw from a security
Dynamic Quote (DQ) Window
NDAQ
GO
NASDAQ STOCK MKT INC CUSIP: 631103108
NGS Market Open
Cross Data Order Entry Quote Mana... Order/Ex Sc... Time and Sa... ACT Trade E... ACT Trade S...
Last: 31.75
P
PCL: 32.08
Hi:
NOOP: 32.07 NOCP:
-0.33 12:00 Last Vol: 403,666
32.24
Low:
31.75
lmb: 950 S Paired: 7787
Q
11
31.75 NBBO 31.76
9
Q
DQT
PQT
B: Price
Size
A: Price
Size
0.01
Order Blotter Market Minder
Ticker Trade Mana...
Indices
Forces: 33 | 650
Velocity: 683 | 324
NSDQ
11
EDGX
3
B 10@MKT
ARCX
1
B 100@MKT
MSCO
1
B 1000@MKT
CINN
2
FBRC
1
FPKI
1
PIPR
1
AUTO
9
GSCO
1
CBOE
1
WCHV
1
COWN
1
SDLR
1
UBSS
11
PERT
3
JEFF
1
TWPT
1
31.75
31.76
9
31.75
31.76
2
31.74
31.76
2
31.74
31.85
1
31.73
31.87
1
31.73
31.89
3
31.72
31.89
1
31.71
31.89
1
31.70
32.00
1
31.66
32.04
1
31.62
32.10
1
31.57
32.11
1
31.51
32.25
1
31.51
32.34
1
31.50
32.35
1
31.50
32.40
55
31.50
32.45
10
31.50
32.50
3
NSDQ ARCX CINN BTRD FPKI EDGX CBOE GSCO FBRC PIPR TWPT COWN MSCO CANT NITE UBSS CDRG PERT
S 10@MKT S 100@MKT S 1000@MKT
31.75 31.75 31.75 31.75 31.75 31.75 31.75 31.75 31.75 31.75 31.75 31.75 31.75 31.75
100 P 100 P 300 P 100 P 100 P 200 D 100 Q 100 P 200 D 100 P 200 P 100 Q 200 P 200 D
Quick Order Buttons
? The Quick Order buttons allow one-click order/routing using pre-defined criteria.
Right Click
Trade Manager/Message Center
? Trade Manager is a message center that tracks your activity.
u Trade Manager must be open to track activity.
u Customize activity by sound and color using the Admins and Settings button.
NASDAQ Workstation
Quick Reference Guide
Time and Sales Window
Market Minder
NASDAQ
Select Portfolio: NASDAQ
25.20
30.07
30.06
100.17
INTL
MSFT
MSFT
AAPL
100
4,000
100
100
a a a
close
100 MSFT 30.06 P 400 MSFT 30.06 Q 100 AMZN 61.81 Q 100 AMZN 61.82 P 900 AAPL 100.16 P 100 AAPL 100.06 P 300 MSFT 30.06 Q 100 AMZN 61.80 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 D 100 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
Ticker
? Displays real-time, streaming last trade reports in securities across markets. Each window includes volume, trading symbol, price and market center identifier. Users can filter by price and security.
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.
? Get quoting and trading information across markets. Queries include Trade, Inside, Combo, Daily Summary and Weekly Summary Statistics.
? Time and Sales queries can be emailed directly to you for record keeping and research.
? View dynamic information for up to three separate lists of 25 securities at once.
Trader
ACT ACES Reg Recon Risk Management Market Stats & News Historical Data Supervisory
Market Minder Dynamic Quote Ticker NASDAQ Crosses Trade Manager Order Blotter
Order Entry NASDAQ OE Scan
Help Quote Management
Time & Sales Indices OATS Scan
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.
Order Execution Scan
? Use the OE scan to scan and manage your orders on the NASDAQ book. Searches can be customized based on several pieces of criteria.
Dynamic Quote (DQ) Window
NDAQ
GO
NASDAQ STOCK MKT INC CUSIP: 631103108
NGS Market Open
Cross Data Order Entry Quote Mana... Order/Ex Sc... Time and Sa... ACT Trade E... ACT Trade S...
Last: 31.75
P
PCL: 32.08
Hi:
NOOP: 32.07 NOCP:
-0.33 12:00 Last Vol: 403,666
32.24
Low:
31.75
lmb: 950 S Paired: 7787
Q
11
31.75 NBBO 31.76
9
Q
DQT
PQT
B: Price
Size
A: Price
Size
0.01
Order Blotter Market Minder
Ticker Trade Mana...
Indices
Forces: 33 | 650
Velocity: 683 | 324
Save Layout
? Arrange the windows of the Workstation to best suit your trading needs. Click "Save Layout" to save and then each time you open your Workstation, your windows will be right where you left them.
Charting
? Charts price over minutes since Market Open
Forces
? Indicates surges in buy orders or sell orders
Velocity
OATS Scan
? Customers can download a scan of the data associated with orders that firms have placed through the NASDAQ Workstation (only).
u Click on the export icon in the lower left corner to export your trades to your preferred format.
INET home
system stats
help
NDAQ
GET STOCK
NDAQ
go
Aggregate by Price
LAST MATCH
Price
32.7600
Time 12:22:09
BUY ORDERS
SHARES
PRICE
2,000 32.7600
200 32.7600 200 32.7600
4 32.7600
100 32.7600 200 32.7500 200 32.7500
100 32.7500 100 32.7500 125 32.7400
100 32.7400 4 32.7400
100 32.7400
300 32.7300 100 32.7300
TODAY'S ACTIVITY
Orders
19,129
Volume 728,538
SELL ORDERS
SHARES
PRICE
96 32.7700
200 1,400
200
32.7700 32.7700 32.7700
200 32.7800 200 32.7900 300 32.7900
100 32.7900 100 32.7900 500 32.8000
100 32.8100 100 32.8100 100 32.8100
100 32.8300 1,800 32.8300
(336 more)
BookViewer As of 12:22:12
(396 more)
NSDQ
11
B 10@MKT
EDGX
3
ARCX
1
B 100@MKT
MSCO
1
B 1000@MKT
CINN
2
FBRC
1
FPKI
1
PIPR
1
AUTO
9
GSCO
1
CBOE
1
WCHV
1
COWN
1
SDLR
1
UBSS
11
PERT
3
JEFF
1
TWPT
1
31.75
31.76
9
31.75
31.76
2
31.74
31.76
2
31.74
31.85
1
31.73
31.87
1
31.73
31.89
3
31.72
31.89
1
31.71
31.89
1
31.70
32.00
1
31.66
32.04
1
31.62
32.10
1
31.57
32.11
1
31.51
32.25
1
31.51
32.34
1
31.50
32.35
1
31.50
32.40
55
31.50
32.45
10
31.50
32.50
3
NSDQ ARCX CINN BTRD FPKI EDGX CBOE GSCO FBRC PIPR TWPT COWN MSCO CANT NITE UBSS CDRG PERT
S 10@MKT S 100@MKT S 1000@MKT
31.75 31.75 31.75 31.75 31.75 31.75 31.75 31.75 31.75 31.75 31.75 31.75 31.75 31.75
100
P
100
P
300
P
100
P
100
P
200 D
100 Q
100
P
200 D
100
P
200
P
100 Q
200
P
200 D
? The main window of the Workstation. Users can see real-time Level 1 and Level 2 data, see depth of book (in the Bookviewer), update quotes, enter orders, see cross data, Cusip #s, Reg SHO participation, Market Velocity/Forces, etc.
? Volume compared to the expected volume over the last 30 days
Real-Time Prints
Indices
? Displays real time indices for the NASDAQ Composite and Dow Jones and volume for NASDAQ and the New York Stock Exchange (NYSE).
NOII Window
? Using NOII, Workstation customers can gain access to the imbalance data leading up to the NASDAQ Opening, Closing, IPO and Halt Crosses. Users can also "view 50 by highest imbalances" and "50 by highest price variance".
uType 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
Reg Recon
? Reg Recon is a real-time surveillance alert and report module that assists firms with compliance. Reg Recon provides real-time warnings that notify firms when there are potential FINRA/NASDAQ Trade Reporting FacilityTM (TRFTM) trade-throughs and when their firm has potentially erroneoustrades that were executed on the NASDAQ Exchange. Using these clearly erroneous alerts, firms can now electronically file requests with NASDAQ MarketWatch.
? View NASDAQ's full depth of book. All quotes and orders on the NASDAQ book are at your fingertips.
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 prints u 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.
NASDAQ Workstation
Quick Reference Guide
Trade Reporting/Risk Management
Risk Management
? Risk Management is intended to provide protection to all ACT participants. 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 Functions u The Risk Management window allows executing firms to query the system to display the following risk management data that is pertinent to itself: uBuy/Sell Trade Thresholds u Buy/Sell Compared Trade Amounts u Buy/Sell Trade Amounts u State and Super Cap Status
Trade Scan
? The Trade Scan window allows users to scan for trades and reconcile original T, T+1, T+2...N, Reversals, Step-Outs, and As-Of trades. Trade Scan can be used to perform the following:
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.
Trade Entry
? Use the Trade Entry Window to enter your trade reports via NASDAQ ACT. You can enter sophisticated reports such as Step-Outs, No/Was and reversals.
NASDAQ InterACT
? NASDAQ InterACT is a new real-time compliance tool that assists firms with supervision of trade activity reported to the FINRA/NASDAQ Trade Reporting FacilityTM (TRF). InterACT summarizes and consolidates data for your over-the-counter TRF trade reports, helping you stay on top of your trading activity and avoid regulatory fines.
Support Numbers
NASDAQ Market Sales +1 800 846 0477 sales@
Technical Support/Subscriber Services +1 212 231 5180 techhelpdesk@ | subscriber@
Trade Support/Market Operations +1 212 231 5100 tradingops@
| nnw
? 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
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