Clearing Corporation Web-based Applications

 

Trade Management

1.       Show main menu

2.       Inquire on a trade with specific card order; make change to account number

3.       Demonstrate search line and wild card searches

4.       Show regulatory information

5.       Request online reports (Prelim, matched trade report)

6.       Mark a trade for give-up

 

ACT

1.       Multi allocate trade that was marked as give-up

2.       Claim a trade in the accept screen

3.       Reject a trade

4.       Memo add a give up with average price information

5.       Review transfer screen and rules

6.       EFP/EFS trade entry

 

Position Management (Open Interest)

1.       Explain submission deadlines

2.       Show main menu

3.       Show online Position Validation report

4.       Enter adjustment for each separate time frame: before 8pm, before 10am, intraday

5.       Enter Intra-firm position adjustment

6.       Review reports (trade register, new position)

 

Option Expiration

1.       Overview of process and schedule

2.       Auto exercise

3.       In-the-money, out-of-the money

4.       Exercise entry

5.       Exercise inquiry

6.       Exercise cancellation

7.       Authorization code

 

Infopac

1.       Accessing Infopac

2.       Reports available

3.       Viewing reports

4.       Searching within reports: find command

5.       Viewing archived reports (past dates0

6.       Printing reports

 

Pay/Collect

1.       Accessing the Pay/Collect system

2.       Real time information, Mid-day variation numbers

3.       Viewing detail on pay/collect numbers

 

 

Clearing Corporation 3270-based Applications

 

GAINS

1.       Overview of system functionality

2.       Accessing the system

3.       Agreements: creating and reviewing

4.       Agreement account maintenance: define specific accounts under an agreement

5.       Rates: view, add, modify, delete rates

6.       Overview rate hierarchy

7.       Trade entry screen

8.       Trade review and corrections screen

9.       Cash adjustments

10.   Action notifications

11.   Payment review screen

 

Delivery

1.       Overview of system functionality

2.       Accessing the system

3.       Inventory Edit/Tender submission screen: create, modify, delete inventory; Submit tenders for given contract month

4.       Tender Confirmation screen: confirm tenders for current delivery date

5.       Inventory Summary screen: create, modify, delete, submit tenders for given contract month

6.       Long Position Reporting screen: add, update, change long position detail

7.       Assignment Notices: buying firm can view current day assignments

8.       Invoice Preparation: selling firm can prepare, review, and confirm selling invoices

9.       Report Request

 

Large Trader

1.       Submitting the FTP file

2.       Overview of P1 and P2 personal information set up for large trader, one time entry

3.       Overview of P5 and P6 records reported on daily basis

4.       Add, change and delete large trader records on the 3270 emulation screen

 

Preliminary Settlements

1.       Accessing the Preliminary Settlements screen from the main menu

2.       Overview of the preliminary settlements screen: mid-day variations

 

Infopac

1.       Accessing Infopac

2.       Different types of reports available (CLR, GNS, TER, etc.)

3.       Viewing reports

4.       Searching within reports: find command

5.       Viewing archived reports (past dates)

6.       Printing reports