TRADING TECH EXHIBIT 2216
`TD Ameritrade v. Trading Technologies
`CBM2014-00131
`
`Page 1 of 329
`
`

`

`Chapter 1: System Overview
`
`Chapter 1: System Overview
`
`Old stock options
`
`Receipt
`printer ©
`
`|
`
`Can connect upto six
`clients
`
`
`
`
`
`1-1: System Structural Diagram
`terminal cluster
`
`PeeKewemenasaanmasnamumamns,
`.
`
`Terminal serv
`PONEROENAORAORAEDOWOD
`
` Old stock options 4
`
`
`
`‘CD
`
`HUB
`
`Dotprinter
`
`sementaretefarreeBetesny «
`
`
`
`
`
`a pea
`
`9600 bps.
`HM
`
`- dedicated line |
`Terminal
`server
`
`
` ee -
`Connection between
`.
`systems
`
`.
`
`NS
`_
`Mutual backup
`viedresp
`
`
`
`|| |
`
`|
`
`
`
`Can connect up to
`20 clients |
`
`terminal cluster
`|.
`
`
`Pageprinter
`‘I! Operation servers #1 and #2 perform error monitoring on each other, so if one
`operation server fails,
`then a process is performed. for switching over to the other
`Operation server (taking approximately one minute),
`to continue operations for the
`operation server that is down.
`
`1-1
`
`TSE0000000652
`REFCO 0009851
`
`Page 2 of 329
`
`G0080401
`
`Page 2 of 329
`
`

`

`Chapter 1: System Overview
`
`1-2:
`
`System Operating Hours
`
`eleee
`
`Operatinghours
`Bondfutures/Bondfutures options
`
`‘|
`
`Index futures/Index options/Stock options
`
`|
`
`
`eecngweweet
`
`.
`
`Futures sell/buy contracts
`
`*{
`
`a
`
`zo
`3.5
`a)
`
`On-line [operations] commence
` ewerewe yougXngyaqesarJoidis00y
`
`JapioWoIssasZuTMIOU!Joydts99yY
`
`calculations
`
`
`
`sorionbwia}sAs[eyussIsy1O
`
`
`sotionbuonejonb/preog
`
`* For a half-day market,
`endsat 11:10 am.
`A rerereremowiamewmretmofo
`ee |
`
`ynduts9pioworssas
`
`uooWsyeJoydis00y
`
`
`Nurlopieuorsses
`
`
`UOISSaSJoyseUr
`uoowsyy
`
`
`
`UOISsasyoyrEUL
`uoowsyy
`uonnoexa/yseqAndvarese.JoysatnueJoydiasay|
`
`
`
`
`10]Satnueajoydiasey
`
`
`
`
`Tt:
`Sf
`* Regarding queries that generate response data from notification information within the
`servers: Queries may be performeduntil the notification information is cleared at the
`beginning of the on-line operations the following day, regardless of the operating hours
`ofthe central system.
`
`8& g
`
`
`
`
`
`
`ee
`
`
`
`Contract calculation/options lot
`processing
`
`.
`
`.
`
` HPweeerencemeeeee:ee
`Le
`
`-
`
`ak
`
`.
`
`processing
`
`System off-line
`
`_
`
`1-2
`
`TSE0000000653
`REFCO 0009852
`
`Page 3 of 329
`
`G0080402
`
`Page 3 of 329
`
`

`

`Chapter 1: System Overview
`
`1-3.
`
`Constraints in Operating with Old Terminals
`
`In this system, for a period after startup, these terminals (including the virtual
`servers in the connections between systems) will coexist with the old futures/options
`trading system input terminals (hereinafter termed the “old futures/options terminals”)
`and the old stock index options trading system input terminals (including the virtual
`terminals for relaying orders and contracts) (hereinafter termed the “old stock options
`terminals”), and [all] will be used for order input, etc.
`However, when it comes to operating instructions and the like, from these
`terminals (or the old terminals) to the old terminals (or to these terminals), there are the
`following constraints in the system. Please be aware ofthese constraints and operate
`accordingly.
`
`A
`
`These Terminals
`
`Terminals Futures/options
`
`Old Stock
`options
`
`Terminals
`Old
`
`Futures/options
`Terminals
`
`
`
`Old Stock options
`These Terminals
`
`
`Terminals
`
`
` O (1) Corrections to orders from
`
`
`
`Ȣ
`(2) Batch cancellation
`
`instructions from “A”for that
`
`
`* Can perform a
`batch cancellation
`
`which has been input from “B”
`
`
`ofall instructions
`
`
`
`from the compan
`
`
`
`(3) Inquiries from “A”
`
`indicating “B”in inquiries
`
`
`regarding terminal number-
`
`
`specifiable orders
`
`
`
`(4) Final notification number
`reference instruction from “A”
`
`
`
`indicating “B”
`(5) Notification output
`
`
`substitute instruction from “A”
`
`to “RB”
`
`
`
`
`
`
`* Resend instructions to these terminals
`Can resend to the old terminals
`(6) Resend instruction to “A” of
`
`
`an outputnotification to “B”
`using the old terminal specifications not
`even output notifications to
`
`
`supported.
`these terminals, for only resend
`
`
`
`instructions with the serial
`* However, for output notifications to
`
`
`
`
`
`the old terminals, [the notifications] are
`numberfor the company.
`
`
`sent to, and stored in, the data servers, so
`
`
`can be outputto the printers of these
`
`terminals using a notification print
`
`instruction.
`
`
`
`| (7) Notification
`searching/printing from “A”
`
`
`indicating “B”
`
`
`Old
`
`“A”for orders input from “B”
`
`
`
`
`TSE0000000654
`REFCO 0009853
`
`Page 4 of 329
`
`G0080403
`
`Page 4 of 329
`
`

`

`
`
`
`
`
`Structuring
`Device
`Terminal server|Basic structural
`i
`Performs transmission and reception of data to/from the central
`
`system through a dedicated line, and performs terminal
`device
`
`control/notification data searching, etc., downstream.
`Used for order input and various types of queries, such as boards.
`Basic structural
`device
`
`Type
`
`
`
`
`
`Application
`
`
`
`
`
`
`
`connected.
`
`
`Circuit switching|Optional device Performs backup switching to public communicationslines if
`
`
`device
`dedicated communications lines fail.
`* Other devices in the configuration include “display terminals” (devices for maintaining the terminal
`server), and “hubs” (devices for structuring the LAN).
`
`Chapter 2: Devices that Structure the Terminal System
`
`2-1-2: Devices that Structure the Terminals
`
`The futures/options trading system terminal system (excluding the old terminals) is structured
`from the following devices:
`
`Receipt printer
`
`device
`Optional device
`
`screens.
`Used for outputting notifications pertaining to inputting of orders
`etc., for contract clearance notification, etc., and for order receipt
`notification.
`
`
`
`
`2-1-3: Terminal Numbers
`
`Various devices in the trade terminal devices have yellow stickers on which the numberofthe deviceis
`written.
`The “terminal server number + client number” is displayed on the top ofthe client screen(inthetitle bar).
`ast Sieur eas
`
`
`
`
`
`
`
`
`Terminal Server Number
`Terminal Number
`
`
`
`
`
`Meaning of Numbers
`201-399, 701-899_|Number assigned to each participant
`
`(B [0i-——_‘[ Serial number within the participants
`
`Cc 1|Client (inputterminal)
`
`
`
`
`* Serial numberwithin the participants
`Printer (Page printer or dot printer)
`* Terminal numberof control client for the printer + 1000
`Receipt printer
`,
`* Terminal numberfor the attached client for the applicable printer + 2000
`Virtual client (virtual input terminal)
`(Reference)
`
`90xx -
` * The last two digits (“xx”) are the sameas the last two digits of the virtual
`
`server number.
`A virtual client (virtual input terminal) is a virtual terminal corresponding to the individualvirtual server
`that is connected to the participant system in connecting between systems, and indicatesa virtual serverthat
`respondsin the various types ofqueries.
`
`
`
`3001 -
`
`
`
`
`
`
`
`
`
`
`
`2-2
`
`TSE0000000656
`REFCO 0009855
`
`Page 5 of 329
`
`G0080404
`
`Page 5 of 329
`
`

`

`Chapter 2: Devices that Structure the Terminal System
`
`2-2:
`
`Terminal Servers
`
`The terminal servers are connected to the central system through dedicatedlines,
`and are the core devices in the terminal systems that send and receive various types of
`data to/from the central system, and that control the clients that are connected
`downstream.
`Moreover, the terminal servers store and maintain, in internal notification storage
`files, all notifications that are sent from the central server, and so can be used for
`retrieving and printing out this notification data.
`See 14-4, “Searching Notifications” and 14-5, “Printing Notifications.”
`Moreover, when it comesto a portion of the inquiries, responses to the inquiries
`are made byretrieving notification information that is stored and maintained [within the
`terminal servers].
`See 10-1-2, “Terminal Server (Data Server) Query Functions.”
`
`2-2-1: Terminal Server Startup/Shutdown Operations
`
`The terminal server is started up/shut down by pushing the “system switch” on the
`front panel of the terminalserver.
`Note that the power supply switch on the back panelof the terminal server should
`
`alwaysbeleftin the “ON” position.
`
`Pushthe‘system switch on the front panel ofthe terminal server.
`
`>
`The lamp(green)is illuminated and the system will start up in several
`
`
`minutes.
`
`
`* Shutting Down the Terminal Server (System shutdown
`Push the system switch on the front panel of the terminalserver.
`>
`
`The lamp (red) will illuminate and the system will shut down in several minutes.
`
`the terminal server system to crash.
`
`Becausethereis the potential for a disk, etc., causing an error, avoid 24-hour
`operation, and be sure to shut downthe system at the end ofbusiness.
`Besure to confirm that the system switch is in the “OFF”state before turning the
`power supply switch OFF.
`Turning the power supply switch “OFF”with the system switch “ON” may cause
`
`2-3
`
`TSE0000000657
`REFCO 0009856
`
`Page6 of 329
`
`G0080405
`
`Page 6 of 329
`
`

`

`Chapter 2: Devices that Structure the Terminal System
`
`2-2-2: Starting Up/Shutting Downthe Display Terminals
`
`A “display terminal” is attached to the terminal server as a maintenance device.
`Startup/shutdownthe display terminal by turning the power supply switch,
`located on the side panelofthe display, either “ON”or “OFF.”
`Note that this device is used for maintenance, and cannot be used for order input,
`
`etc.
`
`occurred.
`
`This display displays messages indicating the details of errors when errors occur.
`The messages are required for ascertaining causes oferrors, so the display should be
`turned on whenthe terminalserveritself is turned on.
`* Error messages cannot be viewed by turning on the display after an error has
`
`2-4
`
`TSE0000000658
`REFCO 0009857
`
`Page7 of 329
`
`G0080406
`
`Page 7 of 329
`
`

`

`Chapter 2: Devices that Structure the Terminal System
`
`2-3:
`
`Clients
`
`Clients have functions for inputting various types oforders, for inputting
`resale/buyback/execution ofrights [instructions], for inputting various types of queries,
`for displaying inquiry response information such as various business operation
`instructions and board information, and functions for controlling printers.
`The client operations are performed using a keyboard or a mouse.
`
`2-3-1: Keyboard Layout
`
`The client can be used with either a specialized keyboard or a normal keyboard.
`* When switching between a specialized keyboard and a normal keyboardit is
`necessary to changethesettings for the type of keyboard. Please inform the Exchange
`whenit is necessary to changethe settings.
`
`2-3-1.1: Specialized Keyboard
`
`
`
`
`
`At
`
`
`
`close
`TEEIssue
`
`Page
`| LR
`order 1
`{histo
`detail
`
`
`
`
`screen
`
`
`
`U99I9$ Lig
`
`TSE0000000659
`REFCO 0009858
`
`Page 8 of 329
`
`G0080407
`
`Page 8 of 329
`
`

`

`Chapter 2: Devices that Structure the Terminal System
`
`2-3-1.2: Normal Keyboard
`
`uae,ya
`wisi]EREEEE Us9l$,o8e,Ms"oesed
`DENfaidnmypyoeNONWels[ootsmaPIOpAIONOialonss]as]-Penuo)’Aaee
`
`
`
`
`sbi
`
`2-6
`
`TSE0000000660
`REFCO 0009859
`
`Page 9 of 329
`
`G0080408
`
`Page 9 of 329
`
`

`

`2-3-1.3: Functions of Operating Keys
`
`Chapter 2: Devices that Structure the Terminal System
`
`Specialized
`
`Normal Keyboard
`
`Operation
`
`
`
`
`Function|Revs|Oo
`
`
`
`
`
`
`
`Select Page
`
`
`
`
`
`|Query|Query|DisplaysaQueryFunctionmenulist.select
`
`|Boarddetailsss[|-S|BoardDetailQueryshortcutkey.CS
`
`
`
`|Orderhistory[=|OrderContractHistoryQueryshortcutkey.
`
`
`Valid order 1
`Valid Order (sequenced by reception time) Query shortcut
`
`
`key.
`* Displays the previous page worth of pageregistration
`information in the Board/Quotation screen and Page
`
`
`Registration window.
`* Performs a query for the previous page worth ofdata
`wherein there is a “Continued from previous page”in
`
`response information.
`
`
`Displays the next page worth ofpage registration
`information in the Board/Quotation screen and Page
`
`
`Registration window.
`
`
`* Performs a query for the next page worth of data wherein
`there is a “continued on next page”in query response
`
`
`information.
`
`
`
`Scrolls the board information up by a specific value
`range.
`
`* Scrolls the Quotation screen up by a specific number of
`
`issues accordingto the registered issue numbers.
`
`* Scrolls scrollable query response information up by a
`
`specific numberof items.
`
`
`
`Scrolls the board information down bya specific value
`range.
`* Scrolls the Quotation screen down by a specific number
`
`
`of issues according to the registered issue numbers.
`
`
`* Scrolls scrollable query response information down by a
`
`specific numberof items.
`
`
`Returns a scrolled Board screen or Notification Display area
`to the original position.
`
`Displays a Board/Quotation Information area split-format
`select menulist.
`Displays a Market select menulist for selecting issues.
`
`
`
`
`
`Previous Page
`
`Previous Page
`
`Next Page
`
`Next Page
`
`Up
`
`Down
`
`Down
`
`
`
`
`
`2-7
`
`TSE0000000661
`REFCO 0009860
`
`Page 10 of 329
`
`G0080409
`
`Page 10 of 329
`
`

`

`Chapter 2: Devices that Structure the Terminal System
`
`Specialized
`Keyboard
`
`Normal
`Keyboard
`
`—
`
`Function
`
`| Displays a “.” indicating a space in the company-
`
`[—
`
`—
`
`Telenro
`
`Individual
`number keys
`- (minus sign)
`
`Delete Item
`Individual
`number keys
`- (minussign)
`
`
`
`Switch screen
`
`Switch screen
`
`Esc
`
`Esc
`
`Ctrl + Delete
`Item
`Shift + f
`
`Print Screen
`
`Help
`Ctrl + Delete
`Item
`Shift + f
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`* In the main window and in a query response
`window, movesto the previous[sic] area for the
`
`
`operation.
`
`
`
`* In an input window, movesthe cursor to the
`previous[sic] input field (area).
`
`
`In the main window andin a query response
`window, movesto the next[sic] area for the
`operation.
`
`
`* In an input window, movesthe cursor to the
`
`next [sic]
`input field (area).
`
`T*)*<*-—>|Movesthe cursor displayed in the windowin thepPerce [| up, down,left, or right direction.
`
`
`
`
`
`
`
`
`
`
`
`
`Deletes the contents of the input field.
`Displays a quantitative value in the inputfield.
`
`* Displays a “-” (minus sign)in the inputfield.
`* Ina spread trade, input the “-” (minus sign) at
`the beginning of the price when inputting a
`negative
`price.
`
`internal numberinputfield.
`Switches the focus between the various windows.
`Performs the send processfor the input
`information.
`* Closes[all] windows aside from the main
`windowthat has the focus.
`* Closes a menulist that was displayed by
`pressing a key.
`
`that has the focus.
`Prints out the screen display information to the
`printer.
`Displays the on-line help window.
`Performs the terminal reset process.
`
`-
`
`Movesthe cursor on a board screen from the
`designated price area to the at-marketarea.
`
`
`
`
`2-8
`
`TSE0000000662
`REFCO 0009861
`
`Page 11 of 329
`
`G0080410
`
`Page 11 of 329
`
`

`

`Chapter 2: Devices that Structure the Terminal System
`
`2-3-2: Starting Up/Shutting Downthe Client
`
`Startup/shut downthe client by turning on/off the “system switch”onthe front
`panel of the system device and the “power supply switch”on the display (where the
`position of the power supply switch will vary depending on the typeof the display).
`Note that when shutting downtheclient, be sure to only turn off the power supply
`after performing the “Power Supply OFF”instruction.
`Note that the “power supply switch” on the back panel of the system device
`should alwaysbeleft in the “ON”position.
`
`2-3-2.1: Starting Up the Client
`
`
` Press the system switch on the back panel of the system device and press the power
`supply switch on the display.
`
`> The default operating screen will be displayed after the operating system and the
`
`
`terminal program havestarted up.
`
`
`(1)|Press the system switch on the front panel of the system device of the client, and
`press the power supply switch on the display, to turn the power supply ON.
`
`(2)
`
`The following startup screen will be displayed after the operating system startup
`screen has been displayed and the terminal program hasstarted:
`
`Tokyo. Stock Exchange
`
`(3)
`
`After this, the initial operating screen (the main window)will be displayedafter a
`few moments, enabling operations to commence. Note that when the terminalis
`started up,the initial operating screen will show a 2-split board screen, with the
`issue with the registration number “1” ofthe first page of the registered page
`information at the top.
`
`
`1 page
`Tokyo Stock Exchange...
`New Order...
`Help Operation...
`
`
`01 Long-term Gov. Bonds|02 TOPIX 012
`012
`
`
`
`
`
`
`TSE0000000663
`REFCO 0009862
`
`Page 12 of 329
`
`G008041 1
`
`Page 12 of 329
`
`

`

`Chapter 2: Devices that Structure the Terminal System
`
`2-3-2.2: Shutting Down the Client
`
`switch on the display.
`
`Perform a Power Supply OFFinstruction,
`> After confirming the “Safe to turn off the power” message on the display, turn off
`the power supply by pressing the system switch onthe front panel of the system
`device and the power supply
`
`(1)
`
`Select “Operation” > “Power supply OFF” from the menubar.
`
` mem 6 Power supply OFF
`
`(2)
`
`After the power supply OFFinstruction windowis displayed, “Send”the
`instruction.
`
`Note that when the applicable client is a printer controlclient, the following
`confirmation window will also be displayed. Click “Send.”
`
`om ceNientrers(y}
`
`eae
`
`
`2-10
`
`TSE0000000664
`REFCO 0009863
`
`Page 13 of 329
`
`G0080412
`
`Page 13 of 329
`
`

`

`Chapter 2: Devices that Structure the Terminal System
`
`(3)
`
`After a moment, “Safe to turn off the power”will be displayed on the screen.
`After confirming this message, press the system switch on the front panel of the
`system device, and press the power supply switch on the display,to turn off the
`
`powersupply.
`
`q
`
`
`
`
`* Whenshutting downa client (turning off the powerfor the system device), be ©
`sure to do so only after confirming the “Safe to shut off power” message
`
`
`displayed on the display after performing the “power supply off instruction.”
`* Turning off the power supply before this message is displayed may
`
`
`damage the system, such as damaging the client operating system.
`* Becausethere is the potential for a disk, etc., causing an error, avoid 24-hour
`
`
`peration, and be sure to shut down the system at the end of business.
`
`2-11
`
`TSE0000000665
`REFCO 0009864
`
`Page 14 of 329
`
`G0080413
`
`Page 14 of 329
`
`

`

`Chapter 3: Basic Operations
`
`Chapter 3: Basic Operations
`
`Thebasic operationsin the client are essentially the same as for a Windows PC.
`Note that with the exception of a portion ofthe data input [operations], operations
`can be doneessentially identically using either the mouseor the keyboard.
`
`3-1:
`
`Selecting Menu Items
`
`In order to select the various functions, either select menu bar items from the
`various windows,or display and select from menulists that are displayed from the menu
`bar items.
`The menubaritemsin the various windowscanbeselected througheither a
`“method of selecting by clicking the mouse”orthe “methodofpressing a key on the
`keyboard corresponding to the individual item.”
`
`* Notethat the phrase “selecting a menubar item,” below refers both to “selecting
`through clicking the mouse”or “selecting by pressing a key on the keyboard
`correspondingto the specific item.”
`
`Of the menulist items displayed from the menubaritem, the items wherein a
`a} » is displayed on the right side thereofare those items for which there are submenus,
`and a submenulist will be displayed when the item is selected.
`
`time may cause the terminal to malfunction.
`
`Notes Regarding Selecting MenuLists
`
`* When a menulist (including a menulist displayed in a window aside from the main
`window)anda shortcut menuis displayed, the processes for updating the information
`on the screen are halted, and the processes for updating the information are restarted
`only whenthelist is closed; thus caution is required when viewing the
`Board/Quotation screen because automatic updating ofthe list display may be halted.
`Notethat leaving [a menulist or a short cut menu] open for an extended period of
`
`3-1
`
`TSE0000000672
`REFCO 0009871
`
`Page 15 of 329
`
`G0080414
`
`Page 15 of 329
`
`

`

`Chapter 3: Basic Operations
`
`3-1-1: Using the Mouse
`
`Select items from the menu baror the menulist through “clicking,”etc.
`Query
`
`(Example)
`
`()
`
`(2)
`
`Whenthe “query” menuitem is
`selected from a menubar by
`clicking, the selection menu for
`query functions will be displayed.
`
`Whenthe “contract information for
`our company”is selected, then a
`submenufor the contract
`information for the company is
`displayed, and whenanitem is
`selected from the submenu, then
`the [applicable] window will be
`displayed.
`
`3-1-2: Using the Keyboard
`
`Selections are made by pressing the various keys corresponding to menu items on
`the keyboard. Note that the items in a menulist or a submenulist displayed by selecting a
`menu bar item can be selected by pressing the number key corresponding to the number
`at the beginning of each ofthe items.
`
`
`Press the * (2)
`
`(Example)
`(1)=The query function select menuis
`displayed by pressing the “Query”
`key on the keyboard.
`
`|Asubmenufor the contract
`information for the companyis
`displayed when the “3” number key
`is pressed, as the “3” correspondsto
`the numberin front of the “Contract
`information for our company”item,—- RN
`and whenanitem is selected from
`,
`the submenu(by pressing the
`numberkey corresponding to the
`numberat the beginning of the item), then the [applicable] windowis displayed.
`3-2
`
`TSE0000000673
`REFCO 0009872
`
`Page 16 of 329
`
`G0080415
`
`Page 16 of 329
`
`

`

`Chapter 3: Basic Operations
`
`*
`
`The selection of a menulist item may also be performed through using the arrow
`keys to put the cursor on the [desired] item and then pressing the “Send” (“Enter’’)
`key. Note that when a submenuis displayed from an item on a menulist, the “>”
`key maybe pressed instead after using the arrow keysto position the cursor on
`the [desired] item.
`
`Whenpressing the key corresponding to the menuitem, instead of selecting
`through clicking the mouse, the menulist will always be displayed at the upperleft
`corner, as shown below, rather than under the menu bar item.
`
`(Example) When the “Query”key is pressed:
`
`3-3
`
`TSE0000000674
`REFCO 0009873
`
`Page 17 of 329
`
`G0080416
`
`Page 17 of 329
`
`

`

`Chapter 3: Basic Operations
`
`3-2:
`
`Pointing Operations in Operating Windows
`
`Whendisplaying multiple windows, input operations, and thelike, are performed
`after indicating the window for the operations.
`The window for the operations refers to a window that has the control authority
`(hereinafter termed the “focus’”), and by moving the focus between multiple windowsit is
`possible to switch between the windowsforthe operations.
`Note that the title bar of the window that has the focus will be displayed in blue,
`indicating that the applicable windowis the subject of the operations.
`
`3-2-1 Using the Mouse
`When the window wherein operations are to be performedis “clicked,” the focus
`will change to the applicable window.
`
`3-2-2 Using the Keyboard
`From the keyboard,
`* Pressing the “Switch Screens” key will cause the focus to change
`sequentially between the windowsthat are displayed.
`
`
`
`Stock E change Futures/Options Trading System
`
`<Movementofthe Focus Through Pressing the “Switch Screen” Key>
`okvo
`
`Main window
`
`The focus can also be movedby pressing the “ALT” and “TAB”keys.
`* The focus cannot be movedto the “Help” window bypressing the “Switch
`Screen” key. Movethe focus[to the “Help” window] by pressing the “Alt” and
`“Tab”keys.
`* The “Mouse Setup” window will be hidden behind the main window whenthe
`focus moves to another window, and cannot be redisplayed even by pressing the
`“Switch Screen” key or the “Alt” and “Tab” keys. Perform the display operations
`again in order to redisplay the “Mouse Setup” window.
`3-4
`
`TSE0000000675
`REFCO 0009874
`
`Page 18 of 329
`
`G0080417
`
`Page 18 of 329
`
`

`

`Chapter 3: Basic Operations
`
`3-3: Moving Windows
`
`Each ofthe various input/query response windows,aside from the main window,
`are displayed in predeterminedpositions for the default display; however, each can be
`moved while displayed.
`
`3-3-1: Using the Mouse
`
`Move the window byplacing the mouse pointer onthe title bar of the window to
`be moved and then dragging that window(that is, holding down the left mouse button
`while moving the pointer) to the destination position.
`
`‘Tokyo Stock Exchange Futures/Options Trading
`
`7 ,
`
`grteteHiwmnmmenetememae,
`
`Greeeeewerewe.
`
`€‘
`
`. ¢«
`
`
`
` eREMOCHONENET Ae ©
`
`
`
`=e*Pa
`3
`
`e’ae 6
`
`3-3-2: Using the Keyboard
`
`Windowscan also be moved using keyboard operations alone.
`(1)
`Press the “Alt” and “Space” keys to display the menulist from the control menu
`box of the window.
`* The menulist may instead be displayed by clicking the control menu box using
`the mouse.
`
`-
`
`oe
`
`ew Order Input
` +> Control MenuBox
`
`
`(2)
`
`(3)
`
`Select “Move” from the menulist and press the “Send” (“Enter”) key.
`
`Use the arrow keys to moveto the destination location and press the “Send”
`(“Enter’’) key to determine the position.
`
`3-5
`
`TSE0000000676
`REFCO 0009875
`
`Page 19 of 329
`
`G0080418
`
`Page 19 of 329
`
`

`

`Chapter 3: Basic Operations
`
`3-4: Double-clicking the Mouse
`
`Several operations can be simplified by double-clicking the mouse (successively
`pressing the left button on the mouse).
`
`*
`
`Double-clicking in specific areas on the boards/quotation screens
`> This will display the New Order Input window, and automatically fill in the issue
`name,sell/buy, and price, etc., from the position that was double-clicked.
`Double-clicking in the notification area
`> This will display the corrected order input window, and automatically fill in the
`issue name and the order numberfrom the notification information from the place
`that is double-clicked.
`Double-clicking the order-related query response window
`> This will display the corrected order input window,and automatically fill in the
`issue name and order number from the order information from the query response
`in the position that is double-clicked.
`Double-clicking the response display field in the Resale/Buyback Input window,etc.
`> This will display, in the input area for the resale/ouyback quantity, etc., and
`automatically fill in the “contract month,etc.” and the “self/consigned”fields
`from the response information in the position that was double-clicked.
`
`<Example of Automatically Filling In Fromthe Position that is Double-clicked>
`Long-term Gov.Bond 0 127Basi
`
` Atclosing
`
`At market
`
`16
`
`
`
`| The information is
`* automatically filled in
`from the position that °
`
`was double-clicked.
`
`
`
`Notethat it is possible to set the interval for double-clicking the mouse.
`> See Section 6-11, “Setting Up Mouse Operations.”
`
`3-6
`
`TSE0000000677
`REFCO 0009876
`
`Page 20 of 329
`
`G0080419
`
`Page 20 of 329
`
`

`

`Chapter 3: Basic Operations
`
`3-5:
`
`Displaying Shortcut Menus by Right-clicking With the Mouse
`
`Several items can be selected directly from a menulist that is displayed by
`selecting an item from the menubar, through selecting from a shortcut menuthatis
`displayed by placing the mousepointer on a specific area and then clicking the right
`mousebutton (“right-clicking”).
`Whenselecting an item from a shortcut menu using right-clicking, position [the
`pointer] on the desired item from the shortcut menu that has been displayed, while
`keeping the right button pressed, and then release.
`Notethat it is also possible to switch the functions of the right mouse button with
`those of the left mouse button.
`> See Section 6-11, “Setting Up Mouse Operations.”
`
`The following items can be selected from the shortcut menuthat is displayed by
`right-clicking in specific positions of the Board/Quotation screen in the main window:
`
`-|
`
`“Split” menulist items
`
`
`‘<Board 6>
`
`, “Query” nmenulist items a
`5(ramara“MultipleOrder”menulist
`ExampleofSelectingFromthe ShortcutMenuthatisDisplaybyRight-clicking>
`Tokyo§Stock ExchangeButures/OptionsTrading System
`:
`
`(2) Select the
`“Board x 6” from &
`the shortcut
`_ menu.
`
`+ <Board5>
`
`TSE0000000678
`REFCO 0009877
`
`Page 21 of 329
`
`G0080420
`
`Page 21 of 329
`
`

`

`Chapter 3: Basic Operations
`
`3-6:|Operations When the “Send” (“Enter”) Key is Pressed
`
`Whena windowhasthe focus, pressing the “Send”(“Enter’’) key acts as the same
`operation as clicking with the mouse with the pointer in that window.
`The operation when the “Send”(“Enter”) key is pressed will differ depending on
`the position of the cursor.
`
`3-6-1: When the Cursor is Not on a Button
`
`Whenthe cursoris not on a button (such as whenthe cursoris on an inputfield)
`and the “Send” (“Enter”) key is pressed, a button select operation that is predetermined
`for the window will be performed,
`* An input window with a “Send”button.
`> This will select the “Send” button and will perform the send process for the
`content that has been input.
`* For a query response window with an “Update”button.
`> This will select the “Update” button, which will update the response
`information and perform a (Repeat) query process.
`* For a window with only a “Close” button.
`> This will select the “Close” button, and the applicable window will close.
`
`3-6-2: When the Cursor is On a Button
`
`Whenthe cursor is on a button (when the item name on the button is enclosed in a
`dotted line), pressing the “Send”(“Enter’’) key will select the applicable button.
`
`<Whenthe Cursor is Not on a Button> <when the Cursor is on a
`New Order Input
`fF -
`
`BEENEROrecom ittae
`
`
`
`
`
`
`*|The input contentis} -
`The windowis,closed.
`,
`“Lf
`sent.
`.
`
`
`
`TSE0000000679
`REFCO 0009878
`
`Page 22 of 329
`
`G0080421
`
`Page 22 of 329
`
`

`

`Chapter 3: Basic Operations
`
`3-7:
`
`How to Close Windows
`
`After displaying the various windowsfor data input and query responses, the
`windows(except for the main window) can be closed through the following operations.
`
`3-7-1: Using the Mouse
`
`Click the “Cancel” or “Close” button displayed at the bottom of the window, or
`the (X) button displayed on the right end ofthetitle bar.
`
`the “Close” button.
`
`Clickthe(X) button.
`
`Click the “Cancel” or
`
`3-7-2: Using the Keyboard
`
`* Press the “Esc” key or the “Close” key to close the window that has the focus
`whenthe keyis pressed.
`
`3-9
`
`TSE0000000680
`REFCO 0009879
`
`Page 23 of 329
`
`G0080422
`
`Page 23 of 329
`
`

`

`Chapter 5: Screen Structures
`
`The operating screens on the display are structured from (1) the main window,(2)
`various types of input windows,and (3) various types of query response windows.
`
`Chapter 5: Screen Structures
`
`3-1: The Main Window
`
`
`
`alt,
`
`
`@ t--7,
`ack .
`ober 1998
`we,
`.
`
`‘okyo Stock Exchange
`‘~
`(20 October 1998 ot
`.
`ay
`‘ P
`1
`*
`:
`Futures/OptionsTradingSystem
`:ad yee,
`IPC1236 OL oe ue“
`i
`i
`Jb
`Be 12561
`’
`a
`age
`‘
`
`
`
`Mee ey gt
`.
`
`nnaaewenneoatnadaeonynenunernrtoonceTBeeatstoteCadnennBorennannanoeoremnee
`0 Help Operations Settings Contracts Splits SetectIssue Select Page Queries New Order Revise Order Multiple Orders Previous Page NextPage
`bape
`wh,
`
`eeereesnanereasmateetASF
`(WT08arenemeeeonnee
`
`
`1) Request input credentials
`-
`2) Cancel input credentials
`3) Notification/substitution
`
`c
`
`KA) Security control
`5) Specify notification output
`destination
`6) Power supply OFF
`7) Maintenance
`
`a
`
`3-1
`
`TSE0000000693
`REFCO 0009892
`
`Page 24 of 329
`
`G0080423
`
`Page 24 of 329
`
`

`

`Chapter 5: Screen Structures
`a. Title Bar
`*
`System Name:
`*
`Today’s Date:
`
`Terminal No.:
`
`*
`
`*
`
`b. Menu Bar
`* MenuItems
`
`Registered Page Number Currently Displayed:
`Displays the board/quotation information registered page number that
`is currently displayed.
`
`Displays “Tokyo Stock Exchange Futures/Options Trading System
`Displays the current date.
`* Not displayed whenall useable markets are off-line.
`* A date used for testing may be displayed whentesting,etc.
`Displays the terminal numberofthe applicable client.
`
`Displays menu items for selecting various functions.
`Whenthe various items are selected, menus are displayed for selecting
`the functions of the various items.
`* Help:
`Displays the on-line help window.
`* Operations:
`Displays a menufor selecting operating functions.
`* Settings:
`Displays a menu for selecting setup functions.
`* Contracts:
`Displays a menufor selecting functions pertaining to contracts.
`* Split:
`Displays a menu for selecting the area splits for displaying
`board/quotation information.
`* Select Issue:
`Displays a menu for selecting the market to which the issue
`belongs.
`* Select Page:
`Displays a window for selecting a page.
`* Query:
`Displays a menufor selecting query functions.
`* New Order:
`Displays a window for inputting a new order.
`* Revise Order:
`Displays a windowfor inputting a revision order.
`* Multiple Orders:
`Displays a menu for selecting functions for inputting Multiple
`Orders.
`* Previous Page:
`Changes the board/quotation information that is displayed to the
`previous registered page.
`* Next Page:
`Changes the board/quotation information thatis displayed to the
`next registered page.
`
`c.
`
`Information Display Area
`*
` Board/Quotation Display Area:
`Displays board information and quotation information.
`> See Chapter 7, “Board/Quotation Information Queries,”
`
`* Notification Display Area:
`
`Displays notification information, etc., pertaining to orders that have
`been input using the applicable client.
`The Notification Display area is also divided int