Sec 1939 - Form Sip - Application Or Amendment To Application For Registration As Securities Information Processor Under The Securities Exchange Act Of 1934 Page 5
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6b. Furnish a description of the basis and methods used in determining the level and structure of the dues, fees and other charges listed
in paragraph a of this item.
c. If the applicant differentiates, or proposes to differentiate, among its customers, or classes of customers in the amount of any dues,
fees, or other charges imposed for the same or similar exclusive services, so state and indicate the amount of each differential.
In addition, identify and describe any differences in the cost of providing such services, and any other factors, that account for
such differentiations.
EXHIBITS — OPERATIONAL CAPABILITY
22. Attach as Exhibit K a description in narrative form, or by the inclusion of functional specifications, of each service or function
listed in item 6 and performed as an exclusive securities information processor. Include in Exhibit K a description of all procedures
utilized for the collection, processing, distribution, publication and retention (e.g., magnetic tape) of information with respect to
quotations for, and transactions in, securities on an exclusive basis.
23. Attach as Exhibit L a list of all computer hardware utilized by the applicant to perform, on an exclusive basis, the securities information
processing functions listed in item 6, indicating:
a. Manufacturer, and manufacturer’s equipment identification number
b. Whether purchased or leased (If leased, state from whom leased, duration of lease and any provisions for purchase or renewal)
c. Where such equipment (exclusive of terminals and other access devices) is physically located.
24. Attach as Exhibit M a description of the personnel qualifications for each category of professional, non-professional and supervisory
employees employed by the processor or the division, subdivision, or other segregable entity within the processor as described in item
14.
25. Attach as Exhibit N a description of the measures or procedures implemented by applicant to provide for the security of any system
employed to perform the functions of a securities information processor on an exclusive basis. Include a general description of any
physical and operational safeguards designed to prevent unauthorized access (whether by input or retrieval) to the system. Describe
any circumstances within the past year in which the described security measures or safeguards failed to prevent any such unauthorized
access to the system and any measures taken to prevent a reoccurrence. Describe any measures used to verify the accuracy of
information received or disseminated by the system.
26. Where securities information processing functions are performed by automated facilities or systems, attach as Exhibit O a description
of all backup systems or subsystems that are designed to prevent interruptions in the performance of any exclusive securities
information processing function as a result of technical malfunctions or otherwise in the system itself, in any permitted input or output
system connection, or as a result of any independent source.
Include a narrative description of each type of interruption that has lasted for more than two minutes and has occurred within the six
(6) months preceding the date of the filing, including the date of each interruption, the cause and duration. Also state the total number of
interruptions that have lasted two minutes or less.
27. Attach as Exhibit P the following:
a. For each of the exclusive securities information processing functions described in Item 6:
(i) quantify in appropriate units of measure the limits on the processor’s capacity to receive (or collect), process, store or display
(or disseminate for display or other use) the data elements included within each function (e.g., number of inquiries from
remote terminals);
(ii) identify the factors (mechanical, electronic or other) that account for the current limitations reported in answer to (i) on the
processor’s capacity to receive (or collect), process, store or display (or disseminate for display or other use) the data elements
included within each function;
b. If the applicant is able to employ, or presently employs, the central processing units of its system(s) for any use other than for
performing the functions of an exclusive securities information processor, state the priorities of assignment of capacity between
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