TRADING TECH EXHIBIT 2214
`TD Ameritrade v. Trading Technologies
`CBM2014-00137
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`Page 1 of 17
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`Publication 2
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`Futures/Options Trading System
`Guidelines for Operating the Trading Terminals
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`Tokyo Stock Exchange
`Business Systems DepaItment
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`Table of Contents
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`I:
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`Table of Contents
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`|
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`Chapter 1: System Overview ---~-—------------------------------..---.............................. 1.1
`1~1 System Structural Diagram-------------------------—--------------------------.......... 1.1
`1-2 System Operating Hours-------------------------------------------------------------- 1-2
`1-3 Constraints in Operating With Old Terminals..................................__ 1-3
`
`Chapter 2: Devices That Structure the Terminal System -------------------_-----------.. 2-1
`2-] Overview of the Structure of the Terminal System ----------_------------.--.-......-- 2-1
`2-2 Terminal Servers--.-------------------------------------------------------------- 2-3
`2-3 Clients —-------------------------------------------------------------------- -- 2-5
`2-4 Printers ------------------------------------------------------------------------ 2-12
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`2-5 Receipt Printers --------------------------------------------------------------------2-16
`2-6 Circuit Switching Equipment --------~---------—----—---——----------------------------------- 2-]?
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`Chapter 3: Basic Operations ------------------------------------------------------------------- 3-1
`3-1 Selecting Menu Items"---------------------------------------------------------- 3-1
`3-2 Pointing Operations in Operating Windows ------------------------------------- 3-4
`3-3 Moving Windows-------------------------------------------------_-------------------- 3-5
`3-4 Double Clicking With the Mouse ------------—--—-———--»---------~---—--------m 3-6
`3-5 Displaying Shortcut Menus by Right Clicking With the Mouse ---------------- 3-7
`3-6 Operations when the “Send (Entei-)” Key is Pressed --—-—~---—-————-----—---- 3-8
`3-?‘ How to Close Windows---------------------------------------------------------- 3-9
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`Chapter 4: Trading Products --------------------------------------------------------------~- 4-1
`4-1 The Bond Futures Market -------------------------------------------------------- 4-2
`4-2 The Bond Futures Options Market ------------------------------------------------ 4-5
`4-3 The Index Futures Market--------------------------------------------------------- 4-6
`4-4 The Index Options Market ---------------------------------------------------- 4-9
`4-5 The Stock Options Market -----------------------------------------------------4-10
`
`Chapter 5: Screen Structures ————————————————————————————————————————————————————————-- 5-1
`5-1 The Main Window -----------------------------------------------------------~ 5-1
`5-2 Various Entry Window -----——---—----~--—-———-—------—--------—--------—-~--~——--- 5-3
`5-3 Various Query Response Windows -------------------------------------------- 5- 14
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`Table of Contents — 1
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`Table of Contents
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`Chapter 6: User Settings When Using the Terminals --———————-——-——-—————--—------- 6-1
`6-] Setting Up the Types of Ancillary Information on Boardz’Quotation Screens ——--—-- 6-1
`' 6-2 Setting Up the Board Screen Price Display Method------------—-—------—--— 5-3
`6-3 Format Settings for the Order Entry Windows —------——-——---------—-—- 6-5
`6-4 Automatic Setup for the Control Items (Either Self or Consigned) For Order Entry -- 6-7
`6-5 Setting Up the Entry Limit Quantities When Inputting New Orders ---------—-——-- 6-9
`6-6 Setting Up the Destination Printer for Orderfcontract Related Notifications —--—-----6-ll
`6-7 Setting Up the Destination Printer for One-way Communications Notifications,
`Such As Purchase Contract_Balar1ce Notifications————-——-——-~—-—--—----—------'---6-1 6‘
`6-8 Setting Up the Destination Virtual Server for Orderfcontract Related Notifications——6-19
`6-8 [sic] Setting Up the Notification Output Timing for the Page Printer --——----—---—--6-22
`6-9 Setting Up the Buzzer Tone For When a Notification Has Arrived in the
`_ Notification Display Area--—-----—--—--———————————-——-————6-24
`6-10
`Setting Up the Mouse Opemticns—-
`-—------——---—----—-——--——~———-~—6-25
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`Chapter 7: Board»’Quotat:ion Information Queries -----~-——-—--wwww---~—-------—- 7-1
`7-1 Page Registration -—————-—-—-»————--—--—--———————-----————~-—------—---—- '}‘-1
`7-2 Split Format --—-——————-——-——-——————————~——-—-—mmmmmmmm-——--——--—-T-13
`'1'-3 Board Screen
`—-—---——-—---——-—-—---—-——--—-——--—----—-7-17
`',+"-'4 Quotation Screen ---—-----—-----------—-—------—--——---—mmmm-—-7-2?
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`_
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`Chapter 8: The Notification Display Area-—--------——---—-—---—-------—------ 8-1
`8-] Structure of the Notification Display Area -—_--——-———-----——--—--—————-—-—-—- 8-1
`8-1 Method of Displaying in the Notification Display Area
`—---------------— 8-3
`8-3 Notification Display in the Notification Display Area —-——---—————-———-——- 8-5
`8-4 Inputting Corrected Orders From the Notification Display Area -----—--——--8-12
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`Inputting Orders -------------mmmmmmmmm-—--———-------——-——- 9-1
`Chapter 9:
`9-1 Displaying the Order Entry Window -—-—-—————————------—-—-————---------— 9-1
`9-2 Entering New Orders —---—--------——-————---————--————-------—-----— 9-2
`9-3 Inputting Sales/Purchase Lump Orders --—————-———-—-----—----mmmm---9-16
`9-4 Entering Edited (Canceled or Modified) Orders ——————-----------------—--9-23
`9-5 Group Cancellation Instructions ——-—-———————--—---—--------—----—--—--9-36
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`Chapter 10: Queries ——-—-—-—-—---———-——-————---—-—-————-——--—---—-———--——— 10-1
`10-1
`The Query Function
`-—-——--—--—---—------—-j———--.-.-..--. 1 0.1
`10-2
`Board Detail Queries
`————————————.........'__:._..........1o-5
`10-3
`Query of the Table of Orders By the Firm (Time Sequence) ---—---—---——--— 10-8
`10-4
`Query of Order and Contract Histories --—-—------—-----------~----—-—-—--..--...— 10-11
`10-5
`Query of Order Fulfillment Status --———————————----—-————-........ 10-15
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`-----.——————......._.....--...._..._............. 10-13
`Query of Contact Statuses ——--
`10-6
`Query of High Volume Conn-act Data Table ———————................-.___._._._ 10-22
`10-’?
`Query of Contract Records —————-.—..'____________________ 1044
`I0-8
`Query of Settlement Price Table ----——--—--————.—.—..—-_....-...._-....-........._. 10.25
`10-9
`10-10 Query of Secufity Money Calculation Base Price Table ..._________--..... 10-27
`10-1 1 Query of Order Infonnation—————--—--———.—..——-.._._.__.___.-._.____-... 10-29
`I0-12 Query of Settlement Information----——-—----——............................ 10.30
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`Chapter 1 1: Inputting Resaleffiuyback Quantities, Etc.--—---—--—---.--........_...} 1-}
`1 1-1
`Overview of Inputting Resaleffluyback Quantities, Etc. --.__._........._....-..1 1-1
`1 1-2
`Points of Caution When Inputting Resale!Buybac1c Quantities, Etc.--—------------- 1 1-2
`1 1-3
`Inputting Resale!Buyback of Futures Transactions-—-——----—-——---—------1 1-7
`11-4
`Inputting Resalez’Buyback/Execution of Rights for Options Transactions -----——--1 1-9
`1 1-5
`Inputting Resa.1er'Buyback of Futures Accompanying the Execution of Rights to the
`Corresponding Options Transactions---—
`--——---.---------------.— 11-12
`Ending the Inputting of Resa1efBuybac1<, etc. -----—-------------—-—.-—.-— 1 1-14
`Inputting the Consigned Portion Transaction Security Money Calculation Basis Balance
`1 1-15
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`11-6
`1 1-7
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`1 1-8
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`Ending the Entry ofthe Consignment Portion Transaction Security Money Calculation Basis
`Balance ---—--—-—--------------—--—--—-—----—---—--—---————— 11-15
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`‘“~.
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`Chapter 12: Querying Contract Balances, Etc. ---.-----—-—-—-------------------12-1
`12-1
`The “Contract Balance Table (For the Firm)” for Futures Transactions ------12-1
`12-2
`The “Contract Balance Table (For the Finn)" For Options Transactions -——--—---12-3
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`12-3
`The “Contract Balance Table” for Futures Transactions —
`————-———--12-6
`12-4
`The “Contract Balance Table”-for Options Transactions
`-12-8
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`Chapter 13: Notifications-----------—----------------—-—--—-----------— 13-1
`13-1
`Types of Output Notifications —-———————----——------------------ 13-1
`~~~~~~~~~—————-——----——-- 13-2
`13-2
`Notification Output Destinations
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`13-3
`Notification Serial Numbers —-------—-'----——--------—--
`13-4
`13 -4
`Notifications Pertaining to Order Entry-—--—--—--—-—-——-—-------—--«-13-5
`13-6
`Notifications Pertaining to Transaction Status -—---—-—--—----———-_—---- 13-2'?
`13-7
`Notifications Pertaining to ResalefBuybackfI-Execution of Rights ---—----—-—- 13-36
`13-8
`Notifications of Dividends ------——-—-———---———-——-—--——--———--——---—---- 13-46
`13-9
`Notifications Pertaining to Contract Balances
`-'--—--—_-———————-———-— 13-4?
`'13-10 Notifications Pertaining to Transaction Security Money Calculation Base
`Contract Balances —————————---------—-—-------—-—-—--—- 13-55
`13-11 Final Settiernent Index (SQ) Messages -------———--—-----------------— 13-55
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`' -—---—---——-—---wwwwww-----————--14-1
`Chapter 14: Operating Functions
`14-]
`Final Serial Number Description -—--—--—-Z-—-------—-———-—----~« 14-1
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`14-2 Retransmission Request/Cancellation-------------------------------------------~ 14-5
`14-3
`Substitute Instructions/Cancellation-----------------------------------------—— 14-7
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`Searching Notifications ---------------------4--------------------------------- 14-9
`14-4
`[sic] Printing Notifications-------------------------------------------------- 14-13
`14-6
`Forced Printing of Notifications --------------------------------------------- 14-17
`14-7
`14-8 Clearing Notifications -----------------------------------------------------— 14-18
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`. Actions in the Event of Faults ------------------------------------------ 15-1
`Chapter 15:
`15-1
`Fault of the Transaction Terminal Equipment ------------------------------- 15-1
`15-2
`Fault of the Communications Circuits --------------------------------------- 15-4
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`-Fault of the Central System-------------------------------------------------- 15-4
`15-3
`15-4 Operations When Recovering From Faults ---------------------------------- 15-5
`15-5 Use of Terminals When There is a Fault ------.--------------------------- 15-6
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`Fault Messages in the Terminal System -----------------------------_-----------15-7
`15-6
`15-’? Handling When There Is :1 "Fault In a Terminal Supplied By the Company 15-8
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`'
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`<<Appendix 1>>
`Messages
`<<Appendix 2>>
`Pattern for Automatically Set Up Pages
`<<Appendix 3>>
`Functions (Optional Functions)
`<<Appendix 4>>
`Numbers Related to the System
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`Table of Error
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`Issue Record
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`Password
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`Telephone
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`August 1998
`Tokyo Stock Exchange
`Business Systems Department
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`Chapter 2: Devices That Structure the Terminal System
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` C11-ap1c1“Z-E: Devices That S11‘L|I2iLl1'C"[i1t.‘ 'l"ermin:-1} S}-'ste11'1
`2-1 Overview of the Structure of the Terminal System
`2-1-1 Terminal S stem Structure Diagram
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`When there are
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`Chapter 3: Basic Operations
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`3-4 Double Clicking the Mouse
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`Several operations can be simplified by double clicking the mouse (successively pressing the left button on the
`mouse).
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`_
`* Double clicking i.n specific areas on the boardsfquotation screens
`-9 This will display the new order entry window, and automatically iii] in the issue name, sellfbuy, ‘and price,
`etc., from the position that was double clicked.
`* Double clicking in the notification area
`-) This will display the corrected order entry window, and automatically fill in the issue name and the order
`number from the notification information from the place that is double clicked.
`* Double clicking the order-related query response window
`-3 This will display the corrected order entry window, and automatically fill in the issue name and order
`number from the order information from the query response in the position that was double clicked.
`* Double clicking the response display field in the resalefbuyback entry window, etc.
`9 This will display, in the entry area for the resalefbuyback quantity, etc., and autornatically fill in the
`“expiration month, etc.” and the “selfl'consigned” fields from the response information in the position that
`was double clicked.
`
`<'.Example ofAntoma1icaIly Filling In From the Position That is Double Clicked>
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`Note that it is possible to set the interval for double clicking the mouse.
`-) See Section 6-] 1, Setting Up Mouse Operations-
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`Chapter 5: Screen Structures
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`Chapter 5: Screen SI.I‘L.lClLI1'-'35;
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`The operating screens that are displayed on the monitors are structured fiorn the (1) main
`window, the (2) various types of entry windows, and (3) various types of query response
`windows.
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`5-1 The Main Window
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`5-] The Main Window
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`_
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`_,_....-..,_ ———— —— __________
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`,
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`- ',1§_‘ Seliings Contracts Split Select Issue Select Page Query New Urdu Revised Order Mulfiple Orders
`l.Eutry Credentials Request
`2. Entry Ca'eIiem:ia]s Release
`,
`3. Nuiificafinnfsubsfibxhe
`’
`Operaiiofin
`4. Secunty Management
`S.5etNoIifiI:a1ion Destination r
`I5. Paws: OF?
`‘I’. Save
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`Prew_in_u§_ jfi
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`fi._.._..——
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`.1: 6-btaining Issue Infonnation ._
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`Chapter 7: Board/Quotation Information Queries
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`‘'-'.._a’
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` C'hapte1' T": Board.-‘Queunion ln.l‘on11atioii Queries
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`The boardfquotation screens can be displayed in six difierent formats, with a maximum of six issues
`for the board data and information for a maximum,-of 24 issues for the quotation information displayed
`simultaneously.
`
`The boardfquotation information displays have the following main characteristics:
`
`The boardfquotation information is updated automatically at three second intervals.
`In the boardfquotation screens, corresponding codes are displayed.
`In the board screens, automatic updating continues even when the board information is scrolled
`up or down.
`* The index orders with closing conditions are displayed continuously in the board screen.
`In the board screen, the actual order prices are displayed, without compiling the orders for
`quotation into a compiled display for the quotation prices.
`
`Moreover, queries for the boardfquotation information fill in the issue name into each ofthe
`registered pages and call the applicable pages.
`'
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`7-1 Page Registration
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`When querying boardfquotation information, the set up of the applicable issue name is fundamental
`as the registration information for each ofthe registered pages, and by calling each of the registered pages
`it is possible to query boardfquotation information for the issue name that has been registered into the
`applicable pages.
`The issue name registration pages have custom settings pages and automatic settings pages, where it
`is possible for the user to select and register issue names as desired for each client in the custom settings
`pages, where, in the automatic settings pages, the issues that have been set up in advance by the Tokyo
`Stock Exchange are registered [automatically].
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`m Re isters an -desired 24 issue names for each client
`50 - 51
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`Bonds futureslo tions transactions automatic setu a ; es.
`55 — 60
`70 — 71 ‘
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`Automatic Settings
`Pages
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`<Exa.mple>: Page “1801"
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`-) Automatic setup page for “Taisei Construction options
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`stock codes Stock options transactions automatic setup pages.
`transactions”
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`Various source
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`Chapter 7: BoaIcUQuotation Information Queries
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`7-3 Board Screen
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`7-3-1 Board Screen Display Items
`*
`2—sp1it Board Screen
`This is displayed when‘-the split format (board It 2) is selected.
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`10
`© Caution
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`250
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`A13”;
`*‘M““‘°‘
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`250
`10
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`Chapter 7:. Board/Quotation Information Queries
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`(7)
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`(8)
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`(9)
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`(10)
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`(1 1)
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`*
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`The applicable raw stock for the OP issue is truncated depending on the level, and displayed.
`*
`If less than 100,000 yen: All digits are displayed.
`-
`*
`If 100,000 yen or more: Last three digits are tnmcated for display.
`* When it comes to the price of the raw securities, delays in the timing of sending the updated
`data may cause different prices to be displayed between issues for the same raw security.
`
`Daily Volume:
`The daily volume is displayed in only the 6-partition board screen.
`
`Unfiilfilled Order Quantity Order:
`Displays the total quantity of unfulfilled orders.
`*
`For the unfulfilled orders, the various designated prices for the designated price orders are
`totaled and displayed, and also, in the applicable display field, the total quantities are
`displayed as well.
`‘
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`Message Indicating Caution Information
`When caution information has been generated, “Caution” will be displayed.
`* When this message is displayed, query the “Caution Information” to check the details.
`-) See Section 10-] 1, “Caution Information Query.”
`
`Board Automatic Update Paused Message
`If the automatic updating processes for the board information are interrupted due to a fault in the
`central system, for example, the “Board Paused” message will be displayed.
`* When the automatic updating process for the board information has been interrupted and this
`message is displayfid, a query of the board inforrnation for the most recent status of the issue
`displayed can be performed by pressing the “Send” (Enter) key.
`
`'
`Order Price
`This displays the order price (marketfclosingfdcsignated).
`Moreover, for the designated part, the 2—partition board screen will display 20 prices, and the 4.36-
`partition board screens willdisplay 6 prices.
`-
`*
`The designated prices will be displayed in the price units for the issue that is displayed.
`-) See Chapter 4, “Transaction Products”
`’
`For the order price display method, one of the following can be selected:
`* ' “Non-compressed price display method” (A method that displays all methods.)
`*
`“Compressed price display method” (A method that displays only the specified prices,
`such as the prices for which there are orders.
`'9 See Section 6-2, “Setting Up the Board Screen Price Display Method”
`
`*
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`7—2_1
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`Chapter 7: Board!Quotation Information Queries
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`*
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`The last contract price (or the day’s reference price if prior to the first settlement for the day) will be
`displayed in yellow.
`-
`There is a “basic board screen” that displays the prices in the center ofthe “board display center
`prices" and a “scroll screen” when scrolling has been performed.
`-9 See Section 7-3-2, “Board Display Center Prices."
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`(I6) Quotation Codes
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`In the quotation display, the following codes are displayed to the left of the
`prices for sales quotations, and displayed to the right of the prices for
`purchase quotations:
`Bond {Bond Futures OP Issues-
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`*
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`*
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`*
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`Special quotations that do not depend on the board
`*
`Special quotations for sales: “U” E Special quotations for
`purchases: “K"
`*
`Special quotations that depend on the board
`*
`Special quotations for sales: “['Japanese Katakana “U”] 1
`Special quotation for sales: [Japanese Katakana “Ka”]
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`Index Futuresflndex Optionsfstock Options Issues
`*
`Caution quotations
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`*
`Caution quotations for sales: “U” I Caution quotations for
`ptnchases: “K”
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`*
`Special quotations
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`*
`Special quotations for sales: “[Japanese Katakana “U”] I
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`S . ecial
`otation for sales: Ja anese Kaiakana “Ka"]
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`(12) Order Quantities}
`(13) Order Event!
`(14) Closing Specified
`Price Order Quantities
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`(15) Corresponding Codes
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`*
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`*
`*
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`*
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`*
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`The number of orders, the number of order events, and the number of closing
`specified price orders will be displayed for each order price.
`For unfulfilled orders, the specified price orders are totaled and displayed
`for the specified prices, and the total quantity is displayed in the
`“unfulfilled order quantity total" field.
`In the “closing” field, only the “At market closing" orders are displayed.
`The total number of orders for which the prices exceed the displayed
`prices is displayed in the “OVER” field, and the total number of orders
`for prices that are less than the displayed prices is displayed in the
`“UNDER” field.
`The “ VER" and “UNDER” fields are not displayed when the board
`information is scrolled. (These are displayed only in the basic hoard
`screen display.)
`* When a caution quotation or a special quotation is displayed, the orders to
`_which'said quotations apply are not displayed in aggregate in the
`flotation prices, but rather are actually displayed in the order rices.
`When in a matching state, the following codes are displayed at the strike
`prices.
`“#”: Prices for which a strike is possible.
`“""’: Prices requiring a" decision by the Tokyo Stock Exchange as to
`whether or not a stri.ke is possible.
`
`* However, when there are multiple strike prices on the board, the “ill” will
`
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`be displayed at the strike price that is nearest the reference price, and “*"
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`will be disla ed for the other rices.
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`Chapter 7: Board/Quotation Information Queries
`
`7'-3-2 Board Display Center Prices
`* The board screen wherein scrolling has not be performed is termed the “basic board screen,” and
`the display of the board information is constantly updated to be displayed in the center part of the
`board for the “board display center prices.” The “board display center prices” are determined in
`the priority sequence in the table below.
`
`
`
`
`
`Se I uence of the Prices for the Board Dis la Center Prices
`Priori
`(1) Special quotation prices
`
`2 Reference rices
`
`(1) Cautionfspecial quotation prices
`(2) The applicable order prices if there has been a purchase order or
`sales order with priority over the most recent contract price.
`3 Most recent contract rice.
`
`
`
`(1) Last special quotation prices.
`(2) Last prices
`(3) The days reference price if there is neither a contract for the day nor
`a final s - ecial - uotation a rice
`
`_
`
`*
`
`*
`
`
`
`
`
`In the “Basic board screen” of the “Non-compressed price display method,” “Three prices above
`and below" is set for the “Floating display area” of the “Board display center prices” for the two
`partition board display, and “one price above and below" is set for the four or six partition board
`display, and when that range is exceeded, the prices in the center part of the board are compiled
`automatically.
`In the “compressed price display method,’.’ the “board display center prices” are always compiled
`automatically in the center part of the board.
`.
`* Moreover, in the “scroll screen," the display positions for the prices do not change automatically.
`
`
`
`
`
`Session Status
`Prior to the first
`contract
`
`After closing
`
`<Example ofAutomatically Compiled Display: The Non-compressed Price Display.*'6 Partition Board
`Screen (With one price above andbelow in the floating display area)>
`
`01 Sony -PO12-9500
`v
`sea
`
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`or
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`I
`
`GM:thecontractat the“4500,”thepriceinthe
`FIIIEIPI
`
`
`
`
`
`center of the board display changes from “47U0"
`to “4500.” and because this exceeds the “floating
`display area,“ the "4500" is automatically’
`compiled and displayed in the center of theboard.
`
`
`
`REFCO 0006710
`
`TSE00O0000640
`
`Page 14 of 17
`
`Page 14 of 17
`
`

`
`Chapter 7: BoardfQuotation Information Queries
`
`7’-3-3 Board Display Scrolling
`The board information scroll operations are performed using the method below in order to see
`information on the prices above and below the display range of the prices that are displayed in the
`“Basic board screen."
`
`* Use the mouse to click the scroll- buttons (the A or V) on the board screen.
`-) Scrolls by one price each.
`Press the arrow keys on the keyboard to move the cursor on the board screen up and down.
`-) Scrolls by on price each.
`Press the “ p” or “Down” key on the keyboard.
`-) Scrolls by ten prices each for the 2 partition board display, or three" prices each for the four or
`six partition board display.
`'
`
`* i
`
`t
`
`Moreover, the display can be returned to the “Basic board screen” from the “Scroll screen” using the
`method described below:
`
`* Use the mouse to click the “H” (Home) button on the board screen.
`*
`Press the “Home" key on the keyboard.
`
`9 Even when scrolling is performed, the board information still updates automatically.
`6 The “Over” and “Under” field infonnation is not displayed when scrolling.
`
`on the board screen when the scroll sereen is displayed.
`
`-O» The “H" ‘button is cfisplayed in
`
`gtlhrarnple ofscroll Operation?
`
`0' S°"=’~P°*2*95°° Ah
`u47oo(13:1‘n
`
`1E
`
`
`2
`1
`
`2
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`
`to
`3
`
`2
`
`_
`
`A‘
`
`i”
`53
`-. 52cc
`51
`490
`43::
`41
`
`1
`'
`7 .
`l
`3
`
`45
`3
`2
`
`'
`
`__ ’ 5 it
`
`To the basic board
`mean
`
`7-26
`
`'
`
`UN '
`
`'
`
`Tothescrollscreen
`
`p
`
`Page 15 of 17
`
`. °
`
`* S°“*'*P°*2-950° V »—-~5
`1
`Al. Close ‘
`""'
`
`U47
`
`2
`
`_
`
`‘
`
`88
`u410o(1:s:17) fl
`2
`.ALClose
`2
`-I
`“Wm
`OVER
`
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`,.-
`
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`
`4500
`
`UNDER
`
`lo
`
`l2
`
`'
`
`.
`
`2 REFCO 0005711
`
`3
`
`TSE0000000641
`
`Page 15 of 17
`
`

`
`Chapter 9: Order Entry
`
`9-2-2 Ordering From the New Order Entry Window
`9-2-2.1 Displaying the New Order Entry Window
`There are the two following ways to display the new order entry window:
`* Use the mouse to double click the special area in the boardfquotation screen.
`-) Depending on the location that has been double clicked, the “issue name,
`prices,” and “execution conditions” will be" filled in automatically.
`*
`If the double clicking on the boardfquotation screen is at a location wherein board
`information is not displayed, then a new order entry window will be displayed with
`nothing filled in automatically.
`
`93 (C
`
`II it
`
`sellfbuy,
`
`order
`
`<An Example ofmltomaiic Fill-in Depending on the Double Click Pc-sition>
`
`_ '_ oILons'I‘u'n1Gov.Bond 012 Basic. 13293
`Kl 3320 (I3: 11)
`
`
`
`
`
`
`I K
`I?
`?
`
`3
`I
`
`Double click
`(13:15)
`+13
`c
`
`
`
`
`
`
`
` The information from
`the locafion the": is
`double clicked is filed
`in automatically.
`
`
`-
`
`. . '
`
`mouse on a specific boardfquotation screen again.
`
`Even afler the new order entry window has been displayed,
`it is possible to change the
`by double clicking the
`
`9_5
`
`REFCO 0006712
`
`TSE0000000642
`
`Page 16 of 17
`
`Page 16 of 17
`
`

`
`<<Appendix 4>> System-related Telephone Numbers
`
`
`
` ai-==:'Ap}..ie11rli.\'
`S_\_-'s1cm~1‘elated '1‘-elsrplumc Nu in bL".1‘>3
`
`As of August, 1998
`
`*
`
`Inquiries regarding repairs/maintenance ofthe transaction terminals
`(Hitachi Denshi Service):
`Main: 3271-2701
`Ext.:
`658
`
`*There is no maintenance for tenninals supplied by your firm, so maintenance should be
`handled by the participant.
`'
`
`I
`* Queries regarding purchasing replacement parts
`3464-7119
`(Hitachi Data Systems):
`Telephone:
`* For replacement parts, the “Hitachi Data Systems” is presented as a vendor, but
`replacement parts can be purchased from other companies as well as long as they do not
`cause problems in use.
`
`* Queries regarding increasing the number of transaction tenninals or moving the transaction
`terminals.
`
`(Tokyo Stock Exchange Business Systems Department):
`
`Telephone:
`
`3665-1363
`
`* Other queries
`(Tokyo Stock Exchange Business Systems Department):
`Ext:
`
`Telephone:
`187, 8
`
`3808-2571, 2
`
`* Use of terminals during emergencies and faults
`(Tokyo Stock Exchange Business Systems Department):
`Ext.:
`
`.
`Telephone:
`137 — 9
`
`380 8-2571 - 5
`
`A
`dix 4-1
`W“
`
`REFCO 0005713
`
`TSE000000O643
`
`Page 17 of 17
`
`Page 17 of 17