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Futures Industry Disaster Recovery Test Briefings June 8, 2011

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Title: Futures Industry DR Test Symposium Subject: FIA DR Test Symposium Author: John Rapa, Exchange Reps Last modified by: sproctor Created Date – PowerPoint PPT presentation

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Title: Futures Industry Disaster Recovery Test Briefings June 8, 2011


1
Futures Industry Disaster Recovery Test
Briefings June 8, 2011 DR VIII Prepared and
Moderated by John Rapa, CBCP Tellefsen and
Company, L.L.C.
2
AGENDA
  1. Introduction and Welcome
  2. Testing Goals and Objectives
  3. Review of Testing Protocol
  4. Member Firm Readiness Discussion
  5. Timeline and Next Steps

3
I. INTRODUCTION AND WELCOME
CBOE Futures Exchange Dushone Embrey-Thomas MEFF Arturo Pinera
CME Group Bethany Netzel Minneapolis Grain Exchange Todd Posthuma
ELX Futures Christopher Curtin Montreal Exchange / CDCC Edwige Poupart
ICE Exchanges / ICE Clear US / ICE Clear EU Russ Cotton, Brian Sayler NYSE Liffe US/ New York Portfolio Clearing Steve Torretti
Intl Derivatives Clearing Group Gino DiCarlo, Gerard Kopera Options Clearing Corp. Fabria Dean
Kansas City Board of Trade Dan Umstattdt Tellefsen and Company John Rapa
4
II. TESTING GOALS AND OBJECTIVES
  • Test the basic ability to conduct business (order
    entry through clearing) from alternate/back-up
    facilities simultaneously
  • Test disaster recovery capabilities among futures
    commission merchants, back-office service
    providers, recovery services providers and
    trading system vendors
  • Test the connectivity between exchanges,
    clearinghouses and their constituents back- up
    facilities (back-up to back-up), and confirm
    member firms ability to send/receive information
    to/from their back-up facilities/interfaces
  • Test end-to-end processing by exchanges through
    to, and including clearing houses process actual
    test trades, produce test end of day reports with
    the test data.

5
GOALS AND OBJECTIVES Continued
  • Enter a small but meaningful sampling of orders
    and trades, carried out by a limited number of
    essential personnel from alternate locations
  • Confirm the receipt/transmission of information
    to/from clearing members
  • Transmit key clearing reports and information to
    clearing firms to verify round-trip
    communications.

6
III. REVIEW OF TESTING PROTOCOL
  • Exchanges will specify products available for
    order entry/trading
  • All exchanges will use their electronic trading
    venues for the test and process test data through
    to end-of-day reports for clearing members.
    Testing will take place between 900 AM and 300
    PM EDT, unless otherwise specified.
  • The FIA will manage the test via an open
    conference bridge (conference bridge number to be
    announced)
  • Member firms will confirm connectivity with their
    respective exchanges/clearinghouses
  • Pre-test connectivity testing will be offered, as
    applicable
  • Unless so noted, firms will execute a pre-defined
    script of orders. Firms will use test accounts
  • Exchanges will generate fill reports on the
    orders
  • All firms will report results and confirm
    post-test production connectivity to the
    respective exchanges.

7
CBOE FUTURES EXCHANGE (CFE)
  • Will use CBOEdirect back up ETS
  • Trade entry via scripts
  • Products to be traded VIX futures
  • Pre-test requirement - Users must register via
    the FIA website and establish back-up
    connectivity to CFE via the CBOE API Client
    Relations Group
  • Order entry systems will reflect October 29th
    trade date
  • Will accept either October 28th or October 29th
    trade date on order input.

8
CBOE FUTURES EXCHANGE (Contd)
  • The session will open at 930 AM EDT
  • Transmission of trades to OCC via MQ
  • Transmission of regulatory data to NFA via SFTP
  • Pre-test connectivity tests will be offered on
    Tuesdays and Thursdays in October and on an
    ad-hoc basis. Please contact us to schedule a
    date/time
  • Test plans will be distributed by August 31st.
  • Contact CBOE Client Relations Group with any test
    related questions 312 786 7300.
  • Dushone Embrey-Thomas contact info
  • 312 786 8816, embreyd_at_cboe.com

9
CME GROUP
  • Test Scope
  • Outage Scenario reflects Chicago Downtown not
    being available, including CME Jackson Direct and
    LNet. We will operating GLOBEX via the remote
    data center.
  • There will not be any Open Outcry testing.
  • Test Preparation
  • Ping testing will be held on August 27th and
    September 24th.
  • Firms must register via the FIA website.
  • Contact CME Clearing Support (CCS) team at (312)
    207-2525 to obtain MQ and FTP DR IP addresses or
    RDC URL address.
  • General questions may be directed to the Business
    Continuity Team - BCP_at_cmegroup.com.
  • Support During the Exercise
  • Members should contact the Clearing Support Team
    (312) 207-2525 to report any issues with
    Clearing.
  • Members should contact the GLOBEX Control Center
    at (312) 456-2391 to report any trading
    problems encountered throughout the test.

10
CME GROUP (Contd)
  • Test Execution - Globex
  • a) Verify firm connectivity
  • All GLOBEX Markets will be open at approximately
    730 AM EDT.
  • Any trades done prior to the start of the test
    will not be captured.
  • October 28th or the 29th are valid order entry
    dates.
  • All fills will be sent back to the Firms with the
    trade date of October 28th.
  • Firms can send a test order in any market.
  • b) Order entry via test script as follows
  • Enter bids as customer and offers as house at the
    settlement price in any market
  • Enter a total of 10 trades.
  • Firms should send orders in on Floor Only
    Contracts, like the SPH2 that will be listed on
    GLOBEX for the test.
  • Firms may receive crossed trades and/or trades
    with other counterparties.

11
CME GROUP (Contd)
  • Test Execution - Clearing
  • a) Trade reporting to firms back office systems
  • Firms will verify receipt and delete them.
  • b) To connect to CMEs FTP server via the RDC,
    change your FTP IP address to CMEs remote site
    IP address
  • 1) Using Fridays data, FTP the PCS and Large
    Trader reports.
  • CME staff will verify receipt and delete them.
  • 2) CME will transmit Thursdays Trade Register
    and SPAN files.
  • Firms will verify receipt of these files and
    delete them.
  • 3) Connect to RDC URL and enter a block trade for
    5000 EDH _at_9900.0.
  • CME staff will verify receipt of the block trades
    and delete them.
  • 4) CME staff will submit a series of OTC trades
    via ClearPort.

12
CME GROUP (Contd)
  • Conclusion of the Exercise
  • Delete any testing files.
  • Switch back to CME production site IP address.
  • Firms should contact the GCC at (312) 456-2391 to
    recap the test results.

13
ELX FUTURES
  • ELX will participate in the October 29th 2011 FIA
    Disaster Recovery Test.
  • Firms must register via the FIA website.
  • All questions should be directed to the ELX
    Support - 212-915-1200, 877-359-6610 (U.S. only)
    or support_at_elxfutures.com
  • Firms should verify connectivity via Ping
    testing. Contact ELX Support to set up a ping
    test with ELX. Ping testing is available upon
    request.
  • Trade date will be October 31st .
  • Testing will occur between 900 AM 1200 PM EDT
    on Saturday, Oct. 29th
  • All ELX UST and Eurodollar futures products will
    be available via eSpeed or supported APIs No
    BLK or EFP type trades will be accepted.
  • OCC will provide an end-of-day file for ELX test
    trades
  • Specific testing guidelines will be provided to
    registrants script will be a simple enter bid
    hit bid scenario
  • Post-Testing Testers should confirm
    transmission of trades via the OCC to their
    respective back offices. ELX Support will be
    available to confirm trade details via EIS
    system.

14
ICE EXCHANGE
  • The ICE Exchange secondary site in Atlanta will
    be used for the FIA DR Test on Saturday, October
    29th.
  • The following markets will be available for
    testing
  • ICE Futures US Sugar11
  • ICE Futures US Russell 2000
  • ICE Futures Europe WTI
  • ICE Futures Canada Canola
  • Test markets will follow the schedule below (all
    times in EDT)
  • 0001 PRE-OPEN
  • 0900 OPEN
  • 1200 CLOSE
  • Interface availability
  • All front-end trading interfaces (WebICE, ICE
    Block 2.0, FIX, Pricefeed)
  • All reporting interfaces (Deal Reports, Position
    Reports, etc) accurate based on test (and live
    OTC/NGX) trading activity
  • Back-office interfaces NOT available (Credit
    Management, Trader Admin, etc)
  • IMPORTANT NOTE
  • All OTC and NGX markets will be open and live
    throughout the testing. NO testing is permitted
    in these markets. Any trades entered in these
    markets are valid trades and will be honored as
    such.

15
ICE EXCHANGES (Contd) (2 of 3)
  • Registration and user setup
  • Registration for the ICE Exchange is not required
  • All existing customers with valid trading IDs are
    welcome to participate
  • Existing production User ID and password will be
    used for login
  • No test/temporary IDs or access will be
    provisioned for the FIA DR testing
  • Test administration and support
  • All participants MUST clean up all backend system
    data after testing
  • No futures trades performed during testing hours
    will be valid
  • At the end of the DR testing period, all futures
    trade data will be deleted from the ICE Exchange
    and databases and no record of those test
    transactions will persist
  • The ICE Helpdesk (770-738-2101) will be available
    0800-1300 EDT
  • No network, DNS, or IP changes will be required
    to connect to the ICE Exchange secondary site
    during the ping test or the FIA DR Test
  • IMPORTANT NOTE
  • All OTC and NGX markets will be open and live
    throughout the testing. NO testing is permitted
    in these markets. Any trades entered in these
    markets are valid trades and will be honored as
    such.

16
ICE EXCHANGES (Contd) (3 of 3)
  • Clearing Information
  • All ICE Futures US trades will be submitted to
    the ICE Clear US secondary site
  • ICE Futures Europe and OTC cleared trade
    submissions to the secondary site are being
    evaluated
  • All ICE Futures Canada trade submission to the
    KCBOT backup site are being evaluated
  • Ping test overview
  • Atlanta DR site will be available for the second
    ping test ONLY (SEP-24)
  • All futures markets will be closed, only ping and
    system logins will be permitted
  • OTC/NGX markets will be open for production
    trading no test trades permitted
  • The system will be available for testing between
    0900-1200 EDT
  • The ICE Helpdesk (770-738-2101) will be available
    between 0900-1200 EDT
  • No network, DNS, or IP changes will be required
    to connect to the DR site during the ping test or
    the FIA DR Test
  • IMPORTANT NOTE
  • All OTC and NGX markets will be open and live
    throughout the testing. NO testing is permitted
    in these markets. Any trades entered in these
    markets are valid trades and will be honored as
    such.

17
ICE CLEAR US
  • Firms must register via the FIA website
  • Trade date will be Saturday, October 29th
  • Clearing members will use production URLs for the
    following clearing applications
  • - AFTS - ECS
  • - PTMS/ACT - eReports (Crystal)
  • TIPS uses a different DR URL and hostname see
    the documentation distributed to clearing members
    prior to the test
  • MQ changes will be completed prior to the start
    of the test.

18
ICE CLEAR US (Contd)
  • Ping Testing
  • Clearing members must verify connection to
    online clearing applications, using production
    URLs.
  • Ping testing will be conducted on Saturday,
    August 27th and September 24th from 9-12 PM
  • These applications include
  • - AFTS - TIPS
  • - PTMS/ACT - ECS
  • - MQ - eReports (Crystal)
  • For MQ, Clearing members must verify connection
    by sending an MQ ping through their channel.

19
ICE CLEAR US (Contd)
  • ICE Clear US applications will be available at
    800 AM on Saturday, October 29th
  • BCP/DR support staff will be available up to and
    including test day. Please direct any questions
    to ICEClearUS_at_theice.com
  • ICE will make a conference bridge available to
    clearing members on test day. Details will be
    distributed to registered CM participants prior
    to the test day.
  • Beginning at 100 PM, ICE will revert all trading
    and clearing applications, including MQ channels,
    back to production.
  • An advisory will be sent to test participants and
    announced on the ICE and FIA bridge call.
  • Clearing members are strongly encouraged to
    confirm their reconnection to production at the
    conclusion of the testing.

20
ICE CLEAR US (Contd)
  • Test Cases Test Day
  • - Clearing members will use the post trade
    management systems (PTMS/ACT and TIPS) to accept
    test trades passed through to clearing by the
    ETS.
  • Clearing Members will login to ECS and eReports
    to verify connectivity.
  • Test Files and Messages
  • FIXML trade messages will be sent to CMs via MQ.
  • CMs will access AFTS to deliver and receive files
    (production files from Friday, October 28th)
  • PCS and Large Trader
  • Match off files
  • Clearing Reports (latest instance only eReports
    and AFTS)
  • SPAN file (available through AFTS and CME web
    site)
  • CMs are required to complete and submit the
    checklist of results.

21
ICE CLEAR CANADA
  • Firms must provide ICE Clear Canada the name(s)
    and phone number(s) of staff who will perform the
    testing by emailing CanadaClearingSupport_at_theice.c
    om
  • Connectivity pre-testing (ping testing) will be
    scheduled in advance of the test date. Firms will
    be advised of the date once scheduled.
  • Clearing members will use production URLs to
    access reports and TEMS.
  • The URLs will be re-directed to the DR site.
  • Applications will be available between 800 AM
    and 1000 AM CDT on Saturday, October 29th
  • ICCA support staff will be available up to and
    including test day. Please direct any questions
    to CanadaClearingSupport_at_theice.com

22
ICE CLEAR CANADA (Contd)
  • Test Cases Test Day
  • ETS trades executed on the test day will flow to
    TEMS.
  • Clearing members must demonstrate their ability
    to log into the ICCA website and TEMS.
  • Test Script
  • Participants will enter both matching sides of a
    transfer and verify the transfer matches.
  • Participants will download a report file from the
    main reports page of the ICCA website.
  • Once complete, participants will advise ICCA they
    have completed the test by emailing
    CanadaClearingSupport_at_theice.com

23
ICE CLEAR EUROPE
  • Firms must register via the FIA website
  • Verification of connectivity between firm and DR
    site via ping testing is scheduled for Saturday,
    August 27th from 9-12 PM (EDT)
  • Trade date will be Saturday, October 29th
  • Clearing members will use production URLs for the
    following clearing applications
  • ECS (https//ecs.euclearing.theice.com/trade/log
    in)
  • AFTS (https//afts.euclearing.theice.com and
    SFTP)
  • Crystal Reports (https//reports.euclearing.theice
    .com)
  • PTMS (https//ptms.euclearing.theice.com/client/)
  • ACT (https//act.euclearing.theice.com/AllocateCla
    im/login.jsp)

24
ICE CLEAR EUROPE (Contd)
  • ICE Clear Europe applications will be available
    at 800 AM EDT on Saturday, October 29th
  • No IP address changes will be necessary to
    connect to ICEU applications, including
  • - ECS
  • - AFTS
  • - Crystal Reports
  • - PTMS
  • - ACT
  • BCP/DR support staff will be available up to and
    including test day. Please direct any questions
    to ICEClearEurope_at_theice.com
  • ICE will make a conference bridge available to
    clearing members on test day. Details will be
    distributed to registered CM participants prior
    to the test day.
  • At 100 PM, ICE will revert all trading and
    clearing applications back to production. An
    advisory will be sent to test participants and
    announced on the ICE conference bridge call.

25
ICE CLEAR EUROPE (Contd)
  • Test Cases Test Day
  • Trades executed on the test day will not flow
    into TRS, as the TRS/CPS systems are not within
    the scope of this test. Trade flow to PTMS/ECS
    is being evaluated for this test.
  • Members will be able to instruct bank transaction
    in ECS (banking instructions will NOT be sent to
    SWIFT), put and take reports, PCS and LGTR files
    from AFTS, and pull reports from Crystal.
  • Clearing members must demonstrate their ability
    to log into AFTS, Crystal, PTMS, ACT, and ECS to
    pass this portion of the test.
  • Test Files
  • CMs will submit Large Trader files via AFTS
    (production files from Friday, October 28th)
  • Banking and delivery reports delivered through
    AFTS
  • Banking and delivery Reports delivered through
    Crystal reports
  • SPAN file (available through AFTS and ICE web
    site)

26
INTERNATIONAL DERIVATIVES CLEARING
GROUP (NFX/IDEX IDCH)
  • Ping testing must be scheduled with IDCG.
  • Ping testing will be offered on August 27th, with
    an optional date of September 24th
  • Will use the IDEX XT trading system from the DR
    site.
  • Trade orders can be received at IDEX Market
    Operations.
  • Trades can be reported and automatically matched
    and executed with a trade date of Saturday,
    October 29th
  • Trade confirmations will be generated and
    transmitted to firms.
  • NFX/IDEX trades will be automatically processed
    for clearing and settlement to the IDCH.
  • Firms must notify the IDCG Market Operations
    Group upon completion of the test via phone
    (212-933-9800) or email marketoperations_at_idcg.com
  • Contact information for testing
  • Gerard Kopera(Director of Operations)
    646/867-2537,
  • Gerard.kopera_at_idcg.com
  • Gino DiCarlo (Principal Network Engineer)
    646/867-2533
  • Gino.DiCarlo_at_idcg.com

27
KANSAS CITY BOARD OF TRADE (KCBT)
  • Two components of Kansas City Board of Trade
    test
  • Injection of GLOBEX trades into KCBT clearing
    remote data center
  • Entry of open outcry trades into KCBT clearing
    remote data center
  • For GLOBEX portion of test
  • Refer to CME Group information for hours and
    procedures on CME GLOBEX.
  • Trades will be injected from GLOBEX to KCBT
    clearing
  • Trade date sent from GLOBEX will be October 28th
  • Enter bids and offers in KCBT Wheat (KE) or Wheat
    Options (OKE) at the previous days settlement
    price (this will ensure your trade matches with
    other participants). Either October 28th or 29th
    may be used for trade date, but the KCBT Clearing
    Corporation will be running on a business date of
    October 29th.

28
KANSAS CITY BOARD OF TRADE (Contd)
  • KCBT open outcry portion of test
  • KCBT Clearing will contact designated firm
    representatives for KCBT and provide details on
    trades that will need to be entered for open
    outcry
  • Request that each firm work with their people
    responsible for daily interaction/operation at
    KCBT to ensure continuity of documentation and
    communication
  • Clearing login information and instructions have
    been provided to those responsible for
    interaction with the KCBT/KCBT Clearing Corp.
  • Clearing will determine any pre-testing
    requirements with firms
  • Upon completion of trade entry for GLOBEX and
    open outcry, ex-pit, trade files will be
    generated and be made available for download.
  • NOTE Failover from KCBT primary data center to
    remote data center uses DNS. Firms requiring
    explicit IP information should work directly with
    KCBT Clearing to ensure connectivity.

29
MEFF
  • Trade date will be Saturday October 29th
  • Will use the MEFF production ETS environment
  • Members will be able to trade
  • During the test MEFF will failover to the backup
    system
  • Once the failover is complete, members will be
    able to continue trading
  • Members will be able to get reports of their
    trades
  • Back office systems will be prevented to enter
    this test
  • MEFF contacts
  • Enric Padro epadro_at_meff.com (34 93 412 1128)
  • Arturo Pinera apinera_at_meff.com (34 91 709 5503)

30
MINNEAPOLIS GRAIN EXCHANGE (MGEX)
  • Firms must register on the FIA website to
    participate in MGEX clearing test.
  • Firms having technical issues with MGEX Clearing
    may call the MGEX Clearing group at (800)
    827-4746 (option 3 then option 1), for support.
  • Trades entered for MGEX products into the CME
    GLOBEX platform will be cleared by MGEX Clearing
    using the MGEX DR Site.
  • MGEX Open Outcry trades will be entered in the
    TEMS system.
  • Trade date should be the previous days date
    (October 28th).
  • After Trade Entry is completed, trade files (TREX
    files) will be generated by the MGEX DR Clearing
    Server and placed on the MGEX DR FTP server. The
    MGEX DR FTP server is accessible via IP with the
    same logins and passwords as the production
    system.
  • Please contact MGEX Clearing group for
    information or support pertaining to the FIA DR
    Test. Email clearing_at_mgex.com

31
TMX GROUP MONTREAL EXCHANGE (MX)
  • MX will recover to its Toronto Back-Up Site
  • Firms will verify connectivity and can
    send/receive messages
  • No network, DNS, or IP changes will be required
    to connect to the DR site during the connectivity
    test or the FIA DR Test
  • Firms must register via the FIA website
  • MX Markets will be in Pre-Opening state. This
    will happen at approximately 900 AM EDT
  • No trades will occur during the Pre-Opening
    period
  • MX Market test are completely automated
  • The market will open 930 AM EDT
  • Orders must be entered with a October 29, 2011
    Trade Date (day orders only)
  • Broadcast of trades transmitted to firms via SOLA
    Trading protocols (HSVF, ATR)
  • No trades performed during testing hours will be
    valid
  • All participants MUST clean up all backend system
    data after testing
  • No give-ups will be processed during the day of
    the test

32
CANADIAN DERIVATIVES CLEARING CORP. (CDCC)
  • CDCC will recover to its Toronto Back-Up Site
  • Members will verify connectivity and can
    send/receive messages
  • No network, DNS, or IP changes will be required
    to connect to the DR site during the connectivity
    test or the FIA DR Test
  • Members must register via the FIA website
  • There will be NO access to the member FTP site
    nor Reporting environments
  • Markets will be in Pre-Opening state. This will
    happen at approximately 900 AM EDT
  • No trades will occur during the Pre-Opening
    period
  • MX Market test are completely automated
  • The market will open 930 AM EDT
  • No trades performed during testing hours will be
    valid
  • All members MUST clean up all backend system data
    after testing
  • Trades will flow from MX to CDCCs environment
  • Trades Positions will be available for
    validation via Clearing Manager
  • No give-ups will be processed during the day of
    the test

33
MX / CDCC (contd)
  • Important Dates
  • Connectivity testing will be offered on October
    1st, 2011 for both MX and CDCC participants/member
    s
  • Contact
  • Contact Edwige Poupart with any Montreal Exchange
    business 514-871-3590 epoupart_at_m-x.ca
  • Contact Michael Barbara with any CDCC business
    questions 514-871-4949 ext. 620
    mbarbara_at_cdcc.ca
  • Contact Sara Hoffland with any technical
    questions 416-947-4259 sara.hoffland_at_tmx.com

34
NYSE LIFFE U.S. / NEW YORK PORTFOLIO CLEARING
  • NYSE Liffe Connect will be failed over to the
    secondary site in NY for the duration of this
    test.
  • Users must register via the FIA website and be
    able to establish back-up connectivity to NYSE
    Liffe U.S.
  • Order entry only will be permitted by the
    exchange in the MSCI Pan Euro contract (CFMPP) on
    the day of the test.
  • Daily orders to be entered only by members
    participating no GTC orders.
  • The NYSE Liffe U.S. Market will be brought up
    into a pre-open state for the duration of the
    test, 0900 to 1300 EDT to allow order entry.
  • NYSE Liffe U.S. Market will reflect October 28th
    trade date for order entry

35
NYSE LIFFE U.S. AND NEW YORK PORTFOLIO CLEARING
(Contd)
  • NYPC TRS Will be available for members to login
    and view TRS reports from October 28th.
  • Back office members will also have the
    opportunity to perform PC Gateway downloads for
    the October 28th also.
  • NYSE Liffe U.S. will support ping testing on
    08/27 and 09/24.
  • NYSE Liffe U.S. contact for any test related
    queries
  • Steven Torretti
  • 1 212 656 5633
  • storretti_at_nyx.com

36
OCC
  • OCC will test from their DR site
  • Pre-testing will take place on October 1st.
  • In order to test from your DR/alternate site, OCC
    requires the following mandatory information
  • Identify if you will be testing from DR or
    Production for the pre-test the main test
  • Confirm all connectivity method(s) that apply
    (e.g., FTP Pull/Push, SFTP, NDM, MQ)
  • Provide test day contacts for each of the
    connectivity methods selected above
  • Provide IP addresses of your DR location (per
    service/host)
  • DR Node (NDM and FTP Push testers) with login ID
    and password
  • Port Number (NDM, FTP Push, and MQ testers)
  • Identify any MQ configuration changes from your
    production environment
  • Provide the dataset file name you will use for
    testing outbound (from OCC) transmissions
  • Do you send inbound transmissions directly to
    OCC?
  • If Yes Dataset name you plan to send to test
    Inbound (to OCC) transmission (if applicable).
    Please use a production dataset name with a
    trailing .test.
  • If No No action required.

37
OCC (Contd)
  • Test scripts will be issued to all registered
    participants
  • All IP addresses and TCP Ports for the OCC will
    remain the same as they are in production for
    this test
  • When all testing is complete, email your
    confirmation to occDRtest_at_theocc.com
  • ENCORE will be available for testing, but is not
    a requirement to successfully test with OCC
  • Should you have any questions prior to or on the
    scheduled test day, feel free to contact your
    Member Services Representative at (800) 621-6072
    option 2.

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EXCHANGE AND CLEARING HOUSE TESTING MATRIX
39
EXCHANGE AND CLEARING HOUSE TESTING MATRIX
40
IV. MEMBER FIRM READINESS
  • Discussion with member firms as to their state of
    readiness
  • Back-up systems/communications links
  • Order entry and routing
  • Give up processing
  • Clearance and settlement
  • Use of third party service providers
  • Major issues or concerns
  • Info on 2011 SIFMA DR test
  • Potential date 2012 industry test.

41
V. TIMELINE AND KEY DATES
42
19 WEEKS TO GO !
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