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UTP SIPACCEPTANCE TEST PLANJUNETH13

UTP SIPACCEPTANCE TEST PLAN Overview NTF Testing Weekend Production Test Plans Migration2

ACCEPTANCE TESTPLAN3

ACCEPTANCE TESTINGOVERVIEWMigration Period 7/9-10/10 Parallel Comparison 7/9-8/8– Live production data transferred sent from legacy toINET SIP– Internally comparing legacy feeds to INET SIP feeds Parallel Production 8/8-10/7– Participants dual disseminate to both legacy and INETSIPs– Legacy and INET SIP feeds available via multicast.Legacy SIP feeds are primary. INET SIP feeds are betatesting only.Early Customer Test Period 5/25-6/24 NTF Testing during production hoursAcceptance Test Period 6/24 - 9/22 NTF Testing during production hours 6 weekend production tests: 7/9, 7/23, 8/6, 8/20, 9/10,9/24 Participant should start to legacy and INET SIP connectionsduring weekend testsGo-Live 10/8-10/24 Go/No-Go call on 10/7 Final weekend confidence test 10/8 Go-Live Monday 10/10. Legacy SIP available until 10/22.4

INET SIP UPGRADE PROJECT PLANPROJECT TIMELINE2016MayJunMay 25 EarlyCustomer TestBeginsJulAugJun 24AcceptanceTest BeginsEarly Customer Test in NTFSepOctSept 22SoftwareAcceptanceOct 7Go/No-GoCallAcceptance Test in NTF and ProductionStep 1- ParallelComparison TestStep 3 – Oct 10Go-Live AllChannelsMigrationCompleteOct 22Step 2- Parallel ProductionWeekend Production TestsJul 9thConnectivitytestAug 6Functional TestJul 23Functional Test5Aug 20Non-functionalTestNovSep 10Non-functionalTestOct 8ConfidenceTestSep 24MigrationFallback TestDec

INET SIP UPGRADE PROJECT PLANKEY DATESEvent 1 Month Early Customer Test 3 Months Acceptance Testing &Parallel System Test Final Confidence test beforeGo/No-Go Call6Contract Sign‘Early Customer TestAcceptance Test PeriodParallel Comparison TestParallel ProductionSoftware AcceptanceGo/No-Go CallSaturday Confidence TestGo-Live All ChannelsMigration CompleteNasdaq Market Technology – Confidential Trade SecretExpectedStart ected 22-Sep-167-Oct-168-Oct-1622-Oct-1622-Oct-16

NTF TESTINGNasdaq Market Technology – Confidential Trade Secret7

NTF TESTING PLAN Nasdaq Test Facility available for testing during production hours startingMay 25th through go-live All inbound and outbound messaging will be supported Input IPs and Ports have been set up and sent out to each participant Dissemination channel groups, including automatic rewind serviceaddresses, can be found or%20UTP%20Data%20Feed%20Services.pdf Contact for help or to report any bugs: [email protected]

WEEKEND PRODUCTIONTESTSNasdaq Market Technology – Confidential Trade Secret9

WEEKEND TEST SCHEDULEJUL 9 – CONNECTIVITY TEST Test Plan1.2.3.4. Weekend ProductionTest DatesParticipants will connect to primary portsSIP will confirm connectionParticipants will connect to backup and DR ports.Successful connectivity to primary and DR ports by eachparticipant will end the test.Participants will also connect to their legacy SIP ports.10DateTest7/9/16UAT – Connectivity Only7/23/16UAT – Full Functionality8/6/16UAT – Full Functionality8/20/16UAT - Non-Functional Testing9/10/16UAT - Non-Functional Testing9/24/16UAT – Migration Fallback Test10/8/16Confidence Test

WEEKEND TEST SCHEDULEJUL 23, AUG 6 – FUNCTIONAL TEST Test Plan1. UTDF and UQDF Test plans provided.2. Participants will run through the scripts and provideconfirmation of successful test by sending back thecompleted scripts3. Open conference call during July 23rd and August 6th4. Participant may run through other tests that meets theirown daily operational functionality.Participants will also connect to their legacy SIP ports.11Weekend ProductionTest DatesDateTest7/9/16UAT – Connectivity Only7/23/16UAT – Full Functionality8/6/16UAT – Full Functionality8/20/16UAT - Non-Functional Testing9/10/16UAT - Non-Functional Testing9/24/16UAT – Migration Fallback Test10/8/16Confidence Test

WEEKEND TEST SCHEDULEAUG 20, SEP 10 – NON FUNCTIONAL TESTInput Failover Test:1.Participant will connect to primary port2.SIP will simulate primary port failure3.Participant will fail over to secondary port in primary site.4.SIP will simulate secondary port failure5.Participant will fail over to DR site.Output Failover Test:Weekend ProductionTest DatesDateTest7/9/16UAT – Connectivity Only7/23/16UAT – Full Functionality8/6/16UAT – Full Functionality1.Participant send quotes and trades2.SIP will fail over primary site dissemination channels8/20/16UAT - Non-Functional Testing3.Participant will continue to receive data9/10/16UAT - Non-Functional Testing9/24/16UAT – Migration Fallback Test10/8/16Confidence TestSite Failover Test1.Participant send quotes and trades2.SIP will failover the primary engine to the DR engine.3.Dissemination will continue in DR and participant will continue to receive data12

WEEKEND TEST SCHEDULESEP 24 – MIGRATION FALLBACK TESTFallbackFallback procedure:1. Participants submit quotes and trades to both legacyand new SIP.2. SIP will issue statement that it is falling back to legacyfeeds. SIP will inform participants we will be performingquote wipeouts for each symbol on the legacy SIP.3. SIP Operations will shutdown INET SIP dissemination4. Legacy SIP will increment outbound sequence numbers 100k on quote and trade feeds, to avoid confusion.OperationsSRO SRO SRO SRO SRO SRO SRO SROSRO SRO SRO SRO SRO SRO SRO SRO1Admin UI4Legacy SIPINET SIP325. Legacy SIP will perform quote wipeout using the AdminUI.6. Participants should confirm they are sending to thelegacy SIP, and processing the multicast feeds from thelegacy SIP.13FallbackLegacy Multicast GroupsASCII FormatLIVENEW Multicast GroupsBinary Format

WEEKEND TEST SCHEDULEOCT 8 – CONFIDENCE TESTWeekend ProductionTest DatesConfidence Test PlanDateTest1. Participants will connect to their primary and DR ports7/9/16UAT – Connectivity Only7/23/16UAT – Full Functionality8/6/16UAT – Full Functionality8/20/16UAT - Non-Functional Testing9/10/16UAT - Non-Functional Testing9/24/16UAT – Migration Fallback Test10/8/16Confidence Test2. Participants may run through final tests to ensure readinessfor go-live.3. Go/No-go call will be conducted14

MIGRATION15Nasdaq Market Technology – Confidential Trade Secret

MIGRATION STRATEGYJUL 9 – AUG 8: PARALLEL COMPARISON TESTParallel comparison test withproduction data No Production Impact - Nosoftware or hardware changes tolegacy SIP Transition Handler forwardsproduction SRO inputtransactions to INET SIPInternal Parallel Comparison TestLegacy SIPINET SIPSROSROSROSROSRO1Legacy 2SIP3TRANSITIONHANDLER STEP 1INET SIP4SRO inputs will be processed bythe new platform as if it were liveResults of this processing will becompared at the end of each dayto the outputs from the UTP SIPNightly replay of old & newformats16UQDFUTDFComparison Toolcompares Legacyand New FeedsUTDFUQDFComparisonToolLive5Internal Only w/Nightly ReplayNasdaq Market Technology – Confidential Trade SecretParallel Comparison TestProcedure1. Participants continue to send tolegacy SIP.2. Legacy Business Logic Units(BLUs) process and provides asequenced stream of quotesand trades3. Transition Handler converts thesequenced stream of quotesand trades to input to the newsystem Customer Ports asregular input.4. Customer Ports consume quoteand trade data in the exactsame order as Legacy system,allowing the new SIP to performthe exact same calculations.5. Legacy and New output arerecorded separately forcomparison. A comparison toolwill validate the output islogically equivalent.

MIGRATION STRATEGYAUG 8 - OCT 7: PARALLEL SYSTEMSSTEP 2Parallel SystemsLegacy SIP Active participants send quoteand trade data to both Legacyand INET SIPSROSROSROSROSROLegacySIP New SIP uses new multicastgroups and new binary format No Fallback requiredINET SIPUQDFUTDFComparison Toolcompares Legacyand New Os send all quotes andtrades for all symbols toboth systems Legacy SIP remains live Participants and Datafeed clientsshould use new feeds for testingwith production dataINET SIPDisseminatingTest OnlyNasdaq Market Technology – Confidential Trade SecretPrerequisites: Successful parallelcomparison test Successful connectivityand functional testsperformed by participanttesting in NTF andweekend prod tests

MIGRATION STRATEGYOCT 10-22: GO-LIVE ALL CHANNELSSTEP 3GO-LIVE – ALL CHANNELSSRO SRO SRO SRO SRO SRO SRO SROSRO SRO SRO SRO SRO SRO SRO SRO All channels live on new multicastgroups and binary format Legacy data feeds stilldisseminating for FallbackLegacy SIPINET SIP Completes migrationFallbackLegacy Multicast GroupsASCII Format18LIVENEW Multicast GroupsBinary FormatNasdaq Market Technology – Confidential Trade Secret

INET SIPPrimary Source In the event that a failure can not be resolved on the new systemwe have a plan for fallback to the legacy system.o Fallback not required for steps 1 & 2.o In Step 3, fallback all Quote and Trade channelsLegacySIPStandby SourceMIGRATION STRATEGYFALLBACK OVERVIEWData Feed Client19Nasdaq Market Technology – Confidential Trade Secret

MIGRATION STRATEGYFALLBACK PROCEDUREFallbackFallback procedure:1.Issue statement to Fallback to legacy feeds. Inform participants we will beperforming quote wipeouts for each symbol within the channel(s) beingfailed back. This will ensure fresh quotes will be disseminated, even forthinly traded stocks.2.Shutdown INET SIP dissemination3.Increment outbound sequence numbers 100k on quote and trade feeds,to avoid confusion.4.Perform quote wipeout using the Admin UI. Participants continue submitting quotes and trades throughout. NoFallback is required, as connections have already been made. Trades which were not disseminated will be retransmitted after 4PM. Inaddition, a flat file of all trades will be provided EOD. If any trades data was disseminated incorrectly or corrupt, AS-OFcorrections will be sent. OperationsSRO SRO SRO SRO SRO SRO SRO SRO1Admin UI4LULD bands are published every 30 seconds, correcting the case whereany LULD bands were not disseminated, or were corrupt.20SRO SRO SRO SRO SRO SRO SRO SRONasdaq Market Technology – Confidential Trade SecretLegacy SIPINET SIP32FallbackLegacy Multicast GroupsASCII FormatLIVENEW Multicast GroupsBinary Format

MIGRATION STRATEGYDR SITE AVAILABILITYLegendNOT LIVELIVESTEP 1&2 PARALLEL SYSTEMSSTEP 1&2 PARALLEL SYSTEMS DR and Failover will remain as they today withno changes. Legacy SIP system will only be used forproduction purposesCARTERETCHICAGONEWALLNEWASHBURNOLDSTEP 3 Go-Live: All ChannelsSTEP 3 Go-Live: All Channels DR and Failover will now be on the NEWsystem. The NEW system will only be used forproduction purposes21Nasdaq Market Technology – Confidential Trade SecretCARTERETCHICAGONEWOLDNEWASHBURNOLD

Comparison Test Step 2- Parallel Production Step 3 – Oct 10 Go-Live All Channels . Oct 7 Go/No-Go Call Migration Complete Oct 22 Jul 9. th. Connectivity test . Jul 23 Functional Test Aug 20 Non-functional Test . Sep 24 Migration Fallback Test Oct 8 Confidence Test Aug 6 . Functional Test . Sep 10 Non-functional Test