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
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55
10
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31.75
31.75
31.74
31.74
31.73
31.73
31.72
31.71
31.70
31.66
31.62
31.57
31.51
31.51
31.50
31.50
31.50
31.50
31.76
31.76
31.76
31.85
31.87
31.89
31.89
31.89
32.00
32.04
32.10
32.11
32.25
32.34
32.35
32.40
32.45
32.50
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
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100
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100
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P
P
P
P
P
D
Q
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B 10@MKT
B 100@MKT
B 1000@MKT
S 10@MKT
S 100@MKT
S 1000@MKT
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
11
3
1
1
9
2
2
1
1
3
1
1
1
1
1
1
1
1
1
55
10
3
31.75
31.75
31.74
31.74
31.73
31.73
31.72
31.71
31.70
31.66
31.62
31.57
31.51
31.51
31.50
31.50
31.50
31.50
31.76
31.76
31.76
31.85
31.87
31.89
31.89
31.89
32.00
32.04
32.10
32.11
32.25
32.34
32.35
32.40
32.45
32.50
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
100
300
100
100
200
100
100
200
100
200
100
200
200
P
P
P
P
P
D
Q
P
D
P
P
Q
P
D
B 10@MKT
B 100@MKT
B 1000@MKT
S 10@MKT
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 WoRkSTATIoNQ u i c k R e f e R e n c e G u i d e
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
NASDAQ WoRkSTATIoNQ u i c k R e f e R e n c e G u i d e
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
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