We have begun back-up testing of member firm connections with the CME. We require that EVERY member firm and software/service bureau test all their back-up connections with the CME on a quarterly basis. We are testing back-up connections for both the old leased line AND frame relay connections. The CME has always required that all member firms and facilities-managing service/software vendors maintain STATIC back-up circuit connections to the Exchange.

Testing Schedule and Requirements � Leased Line and Frame Relay

The first quarterly test which began Friday, May 21 st is being extended through June 15 th. There are TWO separate networks being tested.

For frame relay connections, CME network engineers have been dialing in and testing access to your POTS line numbers and ISDN connections over the weekends. Firm staff presence is NOT required for this test. Results of our test will be reported to the firm.

What is crucial to all the above tests is that the firms provide/confirm valid POTS(dial-up) line numbers for both your leased line AND your frame relay connections. For non-Chicago connections, we also need to verify the ISDN numbers, in that those were ordered by the firm, not the CME. No firm is exempt from testing! If your firm fails to successfully complete a back-up test with the CME, it will be required to send a letter connection to the President of the Clearing House, explaining why it does not have a viable back-up. In addition, sanctions may be levied.

SNA Leased Line Connections - Those firm that still have 9.6 or 19.2 leased line connections, will test on weekday mornings ONLY, between the hours of 6:45 am and 9:00 am. Firms must have a staff person available for the test, in order to take down the primary circuit, so we can dial-up your modem using the back-up number.

• We store those numbers in both a primary and back-up modem here at the CME. If the POTS line number that you provided to the CME is inaccurate or not connected to the modem, the CME cannot test your back-up.
• We must verify those number(s) before we test.
• On the attached form, please indicate the date and time you will be available to test.

FIN SNA and IP Connections - All FIN (frame relay) connections, have an ISDN line that automatically switches over when the primary 56kb or T-1 line at the firm site fails. There is also a dial-up line that is connected to a modem that monitors the FIN router, which allows us to maintain and troubleshoot the connection.

• If your connection is in Chicago, the CME ordered that circuit and we have those numbers. However, if the circuits have been moved without our knowledge, we cannot re-establish a connection. We must verify both the ISDN and POTS number(s) before we test.
• For non-Chicago connections, the ISDN and POTS lines were ordered locally by the firm. We must verify both the ISDN and POTS number(s) before we test.

Each of these dial-up numbers is very critical for a smooth transition when primary circuit problems occur. In order to confirm/update our records, please enter your dial-up and/or ISDN circuit information for each location in the form (text boxes) provided below, and return it to Client Management by June 6, 2001.

Please be aware that firms should never move or change any circuits that are utilized for trade submission or production TOPS without first notifying Client Management in writing! If circuits, modems or routers are changed in any way without our knowledge, it can SIGNIFICANTLY DELAY our ability to assist you in re-establishing communications for your firm. As a result, your ability to send to or receive any data from the CME is terminated.

Note: Clearing members already know that failure to submit trade data or meet other data processing deadlines, such as GUS acceptances, can result in a fine from the Clearing House. Furthermore, without a back up, firms are unable to submit orders to TOPS or download critical information from the CME such as GLOBEX and GUS confirmation records. Therefore, it is critically important that recovery from communication problems is expeditious.

If you have any questions, please contact Karen F. McCoy at (312) 930-4524 (kmccoy@cme.com) or Farris Oweimrin at (312) 648-4780 (foweimri@cme.com) Thank you. Your cooperation is most appreciated.

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• Leased Line Testing