SECURITIES INDUSTRY BUSINESS CONTINUITY TEST October 27, 2012 Frequently Asked Questions

Test Overview
What is the Securities Industry Business Continuity Test? As part of the ongoing securities industry testing initiative, Securities Industry and Financial Markets Association (SIFMA) and the Financial Information Forum lead an annual industry-wide business continuity test. The purpose of this test is to exercise and verify the ability of firms, markets and utilities to operate through an emergency using backup sites, recovery facilities and backup communications capabilities across the industry. It is intended that firms will activate backup data centers, operations and trading sites. This is a test of market connectivity that includes some processing interactions but is not a full test of internal systems of firms and exchanges. Firms may register by visiting the SIFMA web site. What Omgeo applications are involved in the test? Omgeo TradeSuite ID, US regulated service, is the application/service being tested. If you use the following services you are interacting with Omgeo TradeSuite ID: Confirm/Affirm, TradeMatch, NearMatch, TradeSuite Server, Broker Trade Input (BTI). When will the test take place? Saturday, October 27, 2012 between 9:00 am and 1:00 pm EST. Who do I contact for further information? Please contact the following: Please contact Omgeo BCM regarding pre-testing. Your Omgeo Relationship Manager or Omgeo Account Management, Meagan McGivern 617.880.6522, regarding your use of Omgeo TradeSuite ID or counterparty request. Omgeo BCM or a Client Contact Center representative, Ken Ducharme 617.880.6509 or Kerry Flanagan 617.880.6533 regarding test format or scope Test Day Support - Omgeo Client Contact Center, 877.664.3625; DTCC Business and Production Support 888.382.2721, option 5 then option 3.

Test Scope
What does the test entail for Firms? Firms will Transmit dummy orders to markets and receive simulated execution reports and will conduct certain settlement and payment interactions Conduct test transactions with payment systems Receive and verify market data through connections at their backup sites. A note for Brokers partnering with an IM for this test: when sending confirms, please mark the Record 1 Field Description in Input Files as P for Production vs T for Test. If flagged T for Test, report distribution will not take place with your counterparty. Clients should purge all test data from systems prior to Monday market opening.

www.omgeo.com

A DTCC | Thomson Reuters Company

What is SIFMAs role in the test? SIFMA will compile and publish aggregate test results based on input from exchanges. Results for individual participants will remain strictly confidential.

Test Format and Script

What is the testing window on the test day? The testing window will be open from 9:00 a.m. to 1:00 p.m. EST on October 27, 2012. For test day support, please contact DTCC Business and Production Support - 1-888-382-2721, option 5 then option 3 or Omgeos Client Contact Center, 877.664.3625. What are the expectations for participating firms? Submit two orders for each of several designated symbols on each exchange/market using real symbols and real accounts. Firms will receive execution reports from the markets. Conduct specified interactions with payment entities. Verify market data applications from backup sites. Price data and symbols to be used for each market will be provided to participants as test scripts prior to the test. Exchanges and markets will purge all test date from systems prior to Monday market opening. Brokers, when sending confirms, please mark the Record 1 Field Description in Input Files as P for Production vs T for Test. If flagged T for Test, report distribution will not take place with your counterparty. Is there a test script that should be followed? A test script is available on the SIFMA web site as well as Omgeos website which can be followed for the day of the test. Listed below are some simple test scripts that clients may use. As an IM, if you were unable to find a buddy for the test, then someone at Omgeo would need to enter trades for you. PARTY Broker-dealers TEST SCRIPT Submit a couple of trades to Omgeo for processing (PTS, FTP, Connect: Direct, MQ Series, Workstations, etc.) Broker should coordinate with counterparties trade specifics Retrieve Confirms Investment Managers Agent Banks Interested Parties Service Bureaus Buddy up with a Broker-dealer to send in a couple of trades. Retrieve confirms Submit Affirmations or Allocations Buddy up with a Broker-dealer to send in a couple of trades Retrieve confirms Submit Affirmations Buddy up with a Broker-dealer to send in a couple of trades Retrieve confirms Submit Affirmations Submit a couple of trades for a client for Omgeo to process (PTS, FTP, Connect: Direct, MQ Series, W orkstations, etc.) Retrieve confirms Submit Affirmations or Allocations

For more information about the industry test along with further frequently asked questions, please visit the SIFMA web site.
www.omgeo.com A DTCC | Thomson Reuters Company