Technical Guidance Note

Pre-Technical Readiness Testing (TRT) Checklist

1.Background Information

This document has been written to support customers who are preparing for their first Technical Readiness Test (TRT) over Extranex. The TRT allows customers to test that their system can connect to the Exchange's network and systems and allows confirmation of the customer enablement details.

Customers should aim to connect their hosts to the Extranex SAP over network infrastructure “as production like” to that which will be used to connect to the production service. This will enable the TRT to test that both the host and the customer’s internal network infrastructure (such as intermediary routers or firewalls) are configured correctly for accessing the Trading and Information services.

If a customer will use resilience gateway devices to connect their host device to the production services we would recommend that this configuration be used during the TRT.

2.The Service Access Point (SAP)

The Ethernet port of a customers SAP will be configured for 100mbits/s Full Duplex as default. If you require this to be either 10mbit/s or Half Duplex, 5 days notice is required to make the changes. Alternatively this can be incorporated with the SAP installation if notice is given prior to the installation date. Customers will experience intermittent message loss on the information broadcast service and slow performance over the interactive services if the interface is not configured correctly.

If a customer will use a gateway device to connect the Extranex SAP to the internal network where the host device is located this information must be provided to the Exchange prior to the TRT session being booked. This will enable the SAP to be configured to route messages via the customer’s gateway. The information should clearly state if a single or resilient gateway is installed and should be provided once you have confirmed the details of the enablement form.

It is important to note that Network Address Translation from the Exchanges subnet host addresses to customers host addresses will need to be made on a customer device i.e. the Firewall or Router

Prior to the first test session the ports on a SAP will be blocked. Therefore network connectivity cannot be confirmed prior to a test session. This is enabled on the day prior to the start of the TRT.

3.Pre-Testing Readiness

To ensure that customers are able to make the most of the testing services, the processes detailed overleaf should each be completed in the order that is presented.

i. The network definition - TIS103

Customers should have studied the Network Specification – TIS103 as it includes important information on the configuration and design of the Exchanges network.

This provides live multicast addresses, subnet address allocation range and physical aspects of the Extranex service.

Prior knowledge of this information is essential in order to allow a customer to connect to the testing services.

ii. Confirm customer host addresses

It is important to identify whether the Interactive and Secure Interactive Interfaces share the same host device and if they need to share the same IP address.

iii.Confirm host enablements

You will only be able to receive services, which either your in-house software or your Accredited Software Providers have conformed against.

You will not be able to pass a TRT if you have enablements for services that your software has not conformed against. If this situation occurs you will have to conform your software in your own right.

The services that your Independent Software Vendor (ISV) has conformed for should be identified prior to any test sessions being booked, and can be found on the Exchange website technical library.

iv. Confirm gateway addresses

If you have any gateway devices between the SAP and your hosts these will need to be allocated to the appropriate IP address as detailed in TIS103 prior to undertaking any testing.

The Exchange must be informed that a gateway device(s) is being used so that the SAP can be correctly configured prior to the start of the TRT session. The Exchange will need to know if a single or resilient gateway is being used – this must be confirmed at the time of verifying the CEIF.

Any devices added after SAP installation will require 5 days notice to be configured on the SAP.

v. Receive enablement forms

A Customer Enablement Information Form (CEIF) provides a single source of configuration information for each system that connects to the Exchange.

A customer will be sent a CEIF once all relevant information has been received for each individual service and system.

Each CEIF will be prefixed with a code whichcode that identifies the type of connection it is enabled for. Please see overleaf for the different prefixes that will be used.

Prefix / Description
INF9 / Live Information
TRD8 / Live Trading
TWS8 / Trading Workstation
VAC8 / Vendor Access Customer Trading
VAP8 / Vendor Access Provider Trading
TBK9 / Test Booking Information
TBK8 / Test Booking Trading

vi. Confirm enablement forms

It is important to check the enablement form as changes may take up to 5 days to resolve and may hamper successful completion of test sessions.

A test booking will not be possible until the customer has verified and confirmed each CEIF, has provided the Customer Gateway information and the Ethernet Port Configuration information.

vii. Confirm TRT bookings

Test bookings, whether for Conformance or TRT, require 5 days notice and can be booked via the Live Service Help Desk on 020 7797 3100 on Option 2.

A customer can book a maximum of 4 sessions per enablement at any one time and each session is subject to availability. A session can consist of a Trading or Information enablement or both.

4.Troubleshooting Guide

The following are some initial checks that should be made prior to a TRT.

General Issues

  • Please be aware of testing start times (08:00 and 14:00), and be ready to connect 15 minutes before testing.
  • Confirm that the Customer Enablement Information form (CEIF) is available prior to and during testing.

Network Issues

  • Confirm that the Default Gateway to the Exchange SAP is correctly configured. For Conformance and CDS testing on a resilient SAP this should be set to .61 (test router). For Conformance and CDS testing on a dedicated Test SAP this should be .62. Any other configuration for testing (e.g. .59, .60 are commonly found) is incorrect.
  • Confirm that the Enablement IP address is set up correctly, as per the CEIF, prior to testing.
  • Confirm that for broadcast data, correct IP addresses and Port numbers are configured for all subscribed groups on the CEIF.

Application Issues

  • Be aware of the content and length of the First Eyecatcher for IP messages sent to the Exchange.
  • Be aware of the specific message field lengths and content for Orders and Trades, this can be found in the Data Formats (TIS104 Issue 9) document.
  • Confirm that the correct KEKs are being used for testing. Customers using the same USAP for IP as X25 are able to use the same KEK’s. Customers requesting new USAPS will be issued with new KEK’s
  • Please be fully aware of the latest versions of the Interface Specification (TIS102 Issue 9), Test Scripts (STS Documentation Issue 7) and Data Formats (TIS104 Issue 9) documentation.

The customer should also have copies available for reference during the test. This information is available on the Exchanges website:

If you are aware of problems that may prevent testing during a session, please inform the Customer Test Team prior to the test.

5.The TRT Schedule

The table below illustrates the order of events that will be carried out during a Technical Readiness Test:

Customer / B/C / Connects to relevant broadcast services
Exchange / Confirm with customer they are connected to all relevant BDG's and receiving Idle Polls on all except SOD BDGs
Customer / IRI & S/I / Logs on to interactive
Exchange / Warn customer before SOD downloads are disseminated
Begin sending data
Confirm correct final message sequence numbers
Warn customer before high volume begins
Begin sending data
Check that no re-requests have been made
Confirm correct final message sequence numbers
Customer / B/C, IRI & S/I / Logs off and disconnects from interactive and broadcast
Exchange / Logs customer on
Customer / IRI & S/I / Initiates a log on to interactive
Exchange / Check E146A - 'USAP already logged on' error code
Customer / B/C / Initiates a log off and disconnects from broadcast groups
Exchange / Disconnect connection
Suspend customer USAP
Ensure that the customer is disconnected from all his broadcast groups
(continued overleaf)
Customer / B/C, IRI & S/I / Connects to broadcast and attempts to logon to interactive
Exchange / Check E147A - 'USAP is not authorised to logon' error
Unsuspend customer USAP
Customer / B/C, IRI & S/I / Logs on to interactive and B/C lines, and re-requests missed data
Exchange / Check range re-requested from idle polls
Confirm correct final message sequence numbers
Warn customer lines will be blocked
Lines are blocked - customer is disconnected
Lines are unblocked - customer automatically reconnects, and re-requests missed data
Customer / S/I / Send MAC’ced message

6.Customer Support

The Client Technology Group will provide technical support during the transition to Extranex through the following:

  • The Technical Information Desk - Tel: 020 7797 3939, STX 33939
  • E-mail Client Technology Group at
  • Technical queries may also be raised directly through your Technical Account Manager/Adviser
  • Customer Testing can be contacted on 020 7797 3100 on Option 2.

1 LONDON STOCK EXCHANGE