24-101F5 - Matching Service Utility Quarterly Operations Report of Institutional Trade Reporting and Matching [F - Rescinded]
| Published Date: | 2007-04-01 |
|---|---|
| Effective Date: | 2007-04-01 |
| Rescinded Date: | 2009-09-28 |
| Document(s): |
|
CALENDAR QUARTER PERIOD COVERED:
From: _____________________ to: ___________________
MATCHING SERVICE UTILITY IDENTIFICATION AND CONTACT INFORMATION:
1. Full name of matching service utility:
2. Name(s) under which business is conducted, if different from item 1:
3. Address of matching service utility's principal place of business:
4. Mailing address, if different from business address:
5. Contact employee name:
Telephone number:
E mail address:
INSTRUCTIONS:
Deliver this form together with all exhibits pursuant to section 6.4 of the Instrument, covering the calendar quarter indicated above, within 30 days of the end of the calendar quarter.
Exhibits shall be reported in an electronic file, in the following format: "CSV" (Comma Separated Variable) (e.g., the format produced by Microsoft Excel).
If any information specified is not available, a full statement describing why the information is not available shall be separately furnished.
EXHIBITS
1. SYSTEMS REPORTING
Exhibit A - External systems audit
If an external audit report on your core systems was prepared during the quarter, provide a copy of the report.
Exhibit B - Material systems failures reporting
Provide a brief summary of all material systems failures that occurred during the quarter and for which you were required to notify the securities regulatory authority under section 6.5(c) of the Instrument.
2. DATA REPORTING
Exhibit C - Aggregate matched trade statistics
Provide the information to complete Tables 1 and 2 below for each month in the quarter. These two tables can be integrated into one report.
Month/Year: ______ (MMM/YYYY)
Table 1-Equity trades:
Entered into matching service utility by dealer-users/subscribers | Matched in matching service utility by other users/subscribers | |||||||
| # of Trades | % Industry | $ Value of Trades | % Industry | # of Trades | % Industry | $ Value of Trades | % Industry |
| T | ||||||||
| T+1 | ||||||||
| T+2 | ||||||||
| T+3 | ||||||||
| andgt;T+3 | ||||||||
| Total | ||||||||
Table 2-Debt trades:
| Entered into matching service utility by dealer-users/subscribers | Matched in matching service utility by other users/subscribers | ||||||
| # of Trades | % Industry | $ Value of Trades | % Industry | # of Trades | % Industry | $ Value of Trades | % Industry |
| T | ||||||||
| T+1 | ||||||||
| T+2 | ||||||||
| T+3 | ||||||||
| andgt;T+3 | ||||||||
| Total | ||||||||
Legend "# of Trades" is the total number of transactions in the month; |
Exhibit D - Individual matched trade statistics
Using the format below, provide the percent of trades during the quarter for each user or subscriber that have been entered and matched within the time required in Part 3 of the Instrument. The percentages given should relate to both the number of trades that have been matched within the time and the aggregate value of the securities purchased and sold in the trades that have been matched within the time.
Percentage matched within timelines | ||||
Equity trades | Debt trades | |||
| User/Subscriber | By # of transactions | By value | By # of transactions | By value |
CERTIFICATE OF MATCHING SERVICE UTILITY
The undersigned certifies that the information given in this report on behalf of the matching service utility is true and correct.
DATED at _________________________ this ____ day of ______________ 20___
_______________________________________________________
(Name of matching service utility type or print)
_______________________________________________________
(Name of director, officer or partner type or print)
_______________________________________________________
(Signature of director, officer or partner)
_______________________________________________________
(Official capacity type or print)