TRACE Securitized Products Production Test Script for User Testing Saturday, April 30, 2011
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1 TRACE Securitized Products Production Test Script f User Testing Saturday, April 30, 2011 Test Date: Saturday April 30, 2011 Testing Time: Starting 9:00 a.m. ET, ending 12:00 p.m. ET Conference Call: (877) Passcode: # Please note the current Trade Date will be 4/30/2011. All submissions entered via CTCI FIX will be viewable and amendable on the TRAQS web application (Trade Management function). Trades submitted April via TRAQS will be available f Reversal transactions during the April 30 test. Firms wishing to test Reversals can choose any of those trades to reverse via CTCI/FIX TRAQS (note: trades submitted via TRAQS after April 27 cannot be reversed, but can be Cancelled Crected). Firms may use this script and/ utilize their own test cases. All securities found in the TRAQS Security Scan and SP API files will be available f use testing. FINRA TRACE - SP 1 Sat 4/30 UAT Test Script
2 Please also note the following: Test cases where Contra Party ID = C are customer trades. On interdealer trade test cases, enter any valid MPID as the contra party. F Execution Time, you may enter the current time any earlier time during the day on same-day trades. Fmat must be in military time fmat. Clearing numbers are optional fields and may be left blank entered on all trades. Commission must be entered depending on the Side (Buy/Sell Indicat). F example, if the test case Side is a Buy, and the test case specifies that Commission is entered, it must be entered as Buyer s Commission. Firms are encouraged to enter Client Trade Identifiers and may perfm Cancels and Crections using the TRACE their, as detailed in the CTCI and FIX specifications. Preparation Time is not included in this script. As this is an optional field, firms may elect to submit a time omit. FINRA TRACE - SP 2 Sat 4/30 UAT Test Script
3 Field TEST CASE 1 TEST CASE 2 TEST CASE 3 Sub Product ABS ABS ABS Repting Party ID Enter Firm MPID Enter Firm MPID Enter Firm MPID Side (Buy/Sell) BUY BUY BUY CUSIP 14313HAG HAB CTY9 Symbol CMAA CMAA SBIE Quantity 5, ,500, ,000, Contra Party ID C C Enter Firm MPID Capacity (P/A) P A P Price Price Override Execution Time Settlement Date 5/4/2011 5/3/2011 5/2/2011 As Of Indicat Trade Date Current date Current date Current date Commission Enter Firm MPID Special Price Indicat Modifier 4 Fact Contra Contra Accepted Rejected YES Executed away from the market FINRA TRACE - SP 3 Sat 4/30 UAT Test Script
4 Field TEST CASE 4 TEST CASE 5 TEST CASE 6 Sub Product ABS ABS ABS Repting Party ID Enter Firm MPID Enter Firm MPID Enter Firm MPID Side (Buy/Sell) SELL SELL SELL CUSIP 10620NCF AA KAD1 Symbol BRZX CLFG WOMA Quantity 5,000, ,500, , Contra Party ID Enter Firm MPID C Enter Firm MPID Capacity (P/A) P A P Price Price Override YES YES Execution Time 11:55:56 Settlement Date 5/6/2011 5/13/2011 4/29/2011 As Of Indicat YES Trade Date Current date Current date 4/29/2011 Commission 7, Special Price Indicat Modifier 4 W Fact Contra Contra Accepted Rejected FINRA TRACE - SP 4 Sat 4/30 UAT Test Script
5 Field TEST CASE 7 TEST CASE 8 TEST CASE 9 Sub Product CMO CMO CMO Repting Party ID Enter Firm MPID Enter Firm MPID Enter Firm MPID Side (Buy/Sell) BUY BUY BUY CUSIP 81744RAD BAC HFQ2 Symbol SEQG ACPV C Quantity 50, ,000, ,500, Contra Party ID C C C Capacity (P/A) A A P Price Price Override YES Execution Time 08:43:00 Settlement Date 5/2/2011 5/4/2011 5/11/2011 As Of Indicat YES Trade Date 4/22/2011 Current date Current date (Holiday) Commission Special Price Indicat Modifier 4 Fact Contra Contra Accepted Rejected Rejected due to commission entered on Principal capacity FINRA TRACE - SP 5 Sat 4/30 UAT Test Script
6 Field TEST CASE 10 TEST CASE 11 TEST CASE 12 Sub Product CMO CMO CMO Repting Party ID Enter Firm MPID Enter Firm MPID Enter Firm MPID Side (Buy/Sell) SELL SELL SELL CUSIP 12645KBC DAA WAA5 Symbol CSHV FDIY MZST Quantity 2,000, ,695, , Contra Party ID C Enter Firm MPID C Capacity (P/A) A P P Price Price Override YES Execution Time 17:38:04 Settlement Date 4/29/2011 5/3/2011 5/20/2011 As Of Indicat YES Trade Date 4/26/2011 Current date Current date Commission Special Price Indicat YES Executed away from the market Modifier 4 W Fact Contra Contra Accepted Rejected FINRA TRACE - SP 6 Sat 4/30 UAT Test Script
7 Field TEST CASE 13 TEST CASE 14 TEST CASE 15 Sub Product MBS MBS MBS Repting Party ID Enter Firm MPID Enter Firm MPID Enter Firm MPID Side (Buy/Sell) SELL SELL SELL CUSIP 3128H6F GL KVQ5 Symbol FMCC FMCC GNMB Quantity 999, ,000, ,500, Contra Party ID Enter Firm MPID Enter Firm MPID C Capacity (P/A) P P P Price Price Override YES Execution Time 14:20 Settlement Date 5/17/2011 5/12/2011 5/23/2011 As Of Indicat YES Trade Date Current date 4/23/2011 (Saturday) Current date Commission Special Price Indicat Modifier 4 W O Fact Contra Contra Accepted Rejected FINRA TRACE - SP 7 Sat 4/30 UAT Test Script
8 Field TEST CASE 16 TEST CASE 17 TEST CASE 18 Sub Product MBS MBS MBS Repting Party ID Enter Firm MPID Enter Firm MPID Enter Firm MPID Side (Buy/Sell) BUY BUY BUY CUSIP 31378PZ LLE RLD9 Symbol FNMA FNMA FNMA Quantity 10,000, ,250, ,795, Contra Party ID Enter Firm MPID C C Capacity (P/A) P A P Price Price Override YES Execution Time Settlement Date 5/12/2011 5/23/2011 5/17/2011 As Of Indicat Trade Date Current date Current date Current date Commission 15, Special Price Indicat YES Away from the Market Modifier 4 O Fact Contra Contra Accepted Rejected FINRA TRACE - SP 8 Sat 4/30 UAT Test Script
9 Field TEST CASE 19 TEST CASE 20 TEST CASE 21 Sub Product TBA TBA TBA Repting Party ID Enter Firm MPID Enter Firm MPID Enter Firm MPID Side (Buy/Sell) SELL SELL BUY CUSIP 01F F F Symbol FNMA FNMA FNMA Quantity 5,000, ,000, ,000, Contra Party ID Enter Firm MPID C C Capacity (P/A) P P A Price Price Override YES Execution Time Settlement Date 5/17/2011 5/12/2011 5/23/2011 As Of Indicat Trade Date Current date Current date Current date Commission Special Price Indicat Modifier 4 N L D Fact Contra Contra Accepted Rejected FINRA TRACE - SP 9 Sat 4/30 UAT Test Script
10 Field TEST CASE 22 TEST CASE 23 TEST CASE 24 Sub Product TBA TBA TBA Repting Party ID Enter Firm MPID Enter Firm MPID Enter Firm MPID Side (Buy/Sell) BUY BUY SELL CUSIP 16H N R Symbol GNMB GNMA FMCC Quantity 10,000, ,000, ,000, Contra Party ID TEST Enter Firm MPID Enter Firm MPID Capacity (P/A) P P P Price Price Override YES Execution Time 12:00:23 Settlement Date 5/23/2011 5/17/2011 5/12/2011 As Of Indicat YES Trade Date 4/29/2011 Current date Current date Commission Special Price Indicat YES Away from Market Modifier 4 Fact Contra Contra Accepted Rejected REJECTED due to Invalid CPID FINRA TRACE - SP 10 Sat 4/30 UAT Test Script
11 CANCEL Field TEST CASE 25 TEST CASE 26 TEST CASE 27 Cancel trade entered in Test Case 1 Cancel trade entered in Test Case 17 Cancel trade entered in Test Case 21 Sub Product ABS MBS TBA Repting Party ID Side (Buy/Sell) CUSIP Symbol Quantity Contra Party ID Capacity (P/A) Price Price Override Execution Time Settlement Date As Of Indicat Trade Date Commission Special Price Indicat Modifier 4 Fact Contra Contra Accepted Rejected FINRA TRACE - SP 11 Sat 4/30 UAT Test Script
12 CORRECTION Field TEST CASE 28 TEST CASE 29 TEST CASE 30 Crect trade entered in Test Case 2 (Settlement Date) Crect trade entered in Test Case 4 (Quantity and Price) Crect trade entered in Test Case 8 (Side) Sub Product ABS ABS CMO Repting Party ID Side (Buy/Sell) SELL CUSIP Symbol Quantity 7,500, Contra Party ID Capacity (P/A) Price Price Override Execution Time Settlement Date 5/5/2011 As Of Indicat Trade Date Commission Special Price Indicat Modifier 4 Fact Contra Contra Accepted Rejected FINRA TRACE - SP 12 Sat 4/30 UAT Test Script
13 CORRECTION Field TEST CASE 31 TEST CASE 32 TEST CASE 33 Crect trade entered in Test Case 10 (CUSIP) Crect trade entered in Test Case 16 (Fact) Crect trade entered in Test Case 20 (Modifier 4) Sub Product CMO MBS TBA Repting Party ID Enter Firm MPID Enter Firm MPID Enter Firm MPID Side (Buy/Sell) CUSIP Symbol Quantity Contra Party ID Capacity (P/A) Price Price Override Execution Time Settlement Date As Of Indicat Trade Date Commission Special Price Indicat Modifier 4 L Fact Contra Contra Accepted Rejected REJECTED CUSIP cannot be amended FINRA TRACE - SP 13 Sat 4/30 UAT Test Script
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