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October 2006.1

Date/Time Message

10/31/2006
7:33:17 AM
  Please be advised that trade breaks that should have occurred in symbols SCOX and NKTR from Trade date 10.30.06 did not occur. NASDAQ will be sending these breaks T+1 this morning. Firms should take no action. Please refer to HTA from 10.30.06 for details on what was broken in the aforementioned securities. If you have any questions please call Support at 212-231-5100. http://www.nasdaqtrader.com/dynamic/newsindex/headlines_2006.stm        
           
10/30/2006
10:49:33 PM
  all systems operating normally        
           
10/27/2006
9:15:10 PM
  All Systems Operating Normally        
           
10/27/2006
8:58:49 AM
  Update: NSCC has corrected their issue with the missing ACT clearing slice from Trade Date 10.26.06. Firms should take no action. From 8:000 AM -NASDAQ is investigating an issue with NSCC regarding a range of submissions from the ACT System that may not have been processed by NSCC. NASDAQ at this point believes it has sent the full clearing file, and we are working with NSCC to correct the problem. Clearing firms should take no action. Please check this website for further clearing updates, or call support at 212-231-5100        
           
10/26/2006
10:15:41 PM
  All Systems Operating Normally        
           
10/23/2006
11:23:07 PM
  All Systems Operating Normally        
           
10/20/2006
9:06:01 PM
  All Systems Operating Normally        
           
10/19/2006
9:32:57 PM
  All Systems Operating Normally        
           
10/18/2006
11:48:09 PM
  All Systems Operating Normally        
           
10/18/2006
5:57:29 AM
  All Systems Operating Normally        
           
10/17/2006
8:58:47 AM
  Updated Clearing Notice: NASDAQ sent the corrected file in the 3 securities listed in the below status. NSCC has confirmed that there are no rejects in this file, and expect that breaks in these symbols from Trade date 10.13.06 have been cleared up. If you are still breaking on the below symbols from TD 10.13.06 please call 212-231-5100 Below is from 8:58 this AM, above is an update. NASDAQ needs to make a correction to the file submitted to NSCC last night in the 3 symbols listed below. We anticipate sending this corrected file intraday which should clear up breaks in the below symbols from Friday, October 13th trade date. Brokers and their Clearing Firms SHOULD NOT TAKE ACTION . This notice is an update to the previous clearing Notice entered on 10.15.06. For any support questions, please call 212-231-5100 APKT CUSIP 004764106 EHTH CUSIP 28238P109 ULTR CUSIP P94398107        
           
10/16/2006
10:01:26 PM
  All Systems Operating Normally        
           
10/15/2006
11:42:20 AM
  NASDAQ Clearing Notice: On Friday October 13 NASDAQ experienced a problem submitting Clearing via ACT for the issues: APKT CUSIP 004764106 EHTH CUSIP 28238P109 ULTR CUSIP P94398107. Note: Trades for orders executed on NASDAQ's INET and BRUT platforms clearing QSR are **unaffected** and will deliver normally. Firms should expect that Contracts for trades done via NASDAQ's Supermontage platform and trades submitted for clearing by Brokers via the ACT technology in the Nasdaq TRF will be missing after Friday's NSCC transmissions. Brokers and their Clearing Firms SHOULD NOT TAKE ACTION: NASDAQ will submit a correction file Monday October 16 "as of" for Settlement Date 10/18, which is Regular Way for these 10/13 Trade Date trades. Please note that this corrected file will be submitted after the close on 10.16.2006 For support Firms can call 212-231-5100 on Monday 10/16.        
           
10/13/2006
10:11:41 PM
  All Systems Operating Normally        
           
10/12/2006
9:00:08 PM
  All Systems Operating Normally        
           
10/11/2006
8:50:37 PM
  All Systems Operating Normally        
           
10/10/2006
11:09:12 PM
  All Systems Operating Normally        
           
10/9/2006
10:06:45 PM
  All Systems Operating Normally        
           
10/6/2006
11:04:38 PM
  All Systems Operating Normally        
           
10/5/2006
9:48:13 PM
  All Systems Operating Normally        
           
10/4/2006
9:31:08 PM
  All Systems Operating Normally        
           
10/3/2006
8:51:36 PM
  All systems are operating as expected.        
           
10/2/2006
8:44:55 PM
  All systems are operating normally        
           

 


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