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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