November 13, 2007
Table of Contents: Copyright 2006, The Nasdaq Stock Market, Inc. All rights reserved.... 2 Chapter 1 - Entitlement Overview... 3 Hardware/Software Requirements...3 NASDAQ Workstation...3 Establishing Entitlement...4 Chapter 2 - Downloading your Certificate - Microsoft Internet Explorer... 5 Step 1 Logging In to the Enrollment Page...5 Step 2 - Downloading a NASDAQ Certificate Authority Certificate and Requesting a Client Certificate...9 Step 3 - Retrieving Your User Certificate...19 Chapter 3 - Logging On... 23 Chapter 4 - Security Maintenance... 25 Changing Your Password...25 Changing Your Password Instantly...25 Changing Your Password within the Five Days...27 Resetting Your Password...29 Contacts...31 Chapter 5 General Information... 32 Establishing Entitlement for New Users...32 Firm s Request to Terminate Entitlement...32 Security Tips...33 Chapter 6 - Contacts... 34 Application Support...34 Chapter 7 Form Directory... 35 The design and information contained in this manual are owned by The Nasdaq Stock Market, Inc. (NASDAQ) or one of its affiliates. Copyright 2006, The Nasdaq Stock Market, Inc. All rights reserved. 2
Chapter 1 - Entitlement Overview Hardware/Software Requirements Following are the minimum system requirements for those firms wishing to access secure NASDAQ Web sites: Framework Enrollment Site Required Internet browser: Currently IE 5.5 is the minimum version required but IE 6.0 or greater is preferred as the Browser version. Netscape 6.x and above No other browser is supported, e.g., Firefox, AOL, etc. For maximum-security protection, we recommend using a browser version that supports 128-bit encryption. 3
Establishing Entitlement During the process of establishing entitlement you will download two certificates. The first, a NASDAQ Certificate Authority Certificate, will allow the browser to accept and verify information from NASDAQ Web sites. The second certificate is the User Certificate, allows you to send encrypted data from your PC to NASDAQ. Receiving the certificates is a twofold process. 1. Upon receipt of the completed agreement, NASDAQ will email you a user ID, password, and Web address (or URL) from which a NASDAQ Certificate Authority Certificate and a User Authentication Certificate Enrollment Form can be accessed. When you receive the user Name and password, please refer to Section 1 of this guide to review the procedures for downloading and activating a NASDAQ Certificate Authority Certificate and enrolling for a User Authentication Certificate. 2. Once the NASDAQ Certificate Authority Certificate has been downloaded and the Client Authentication Certificate Enrollment Form has been submitted, you and your firm's Security Administrator will receive, via e-mail, a Personal Identification Number (PIN) and Web address (or URL) from which the User Authentication Certificate can be downloaded and activated. Please refer to Chapter 2 of this guide to review the procedures for downloading and activating a User Authentication Certificate. 4
Chapter 2 - Downloading your Certificate - Microsoft Internet Explorer Step 1 Logging In to the Enrollment Page To access the Certificate Enrollment Page, type https://security.nasdaq.com into your browser s address bar (at the top of your page). The browser will return the following login page which prompts you to type in your User Name and temporary Password provided by NASDAQ: Enter the User name and Temporary Password provided by NASDAQ Click OK 5
Upon clicking OK after entering your user name and temporary password in the Web security login screen, your browser will return the following page. You will be required to change your password at this time. Note Your new password must be at least 8 characters long and can not be one of your three previous passwords. You will also be required to enter a password hint. Note The password hint can not be the same as your password. Must be at least 8 characters long. Upon clicking OK after entering your old and new password and, password hint in the change password screen your browser will return the following page. 6
After five minutes, Click on the Back to https://security.nasdaq.com:443/ link on the screen The browser will return the following login page which prompts you to type in your User Name and new Password Click OK 7
After clicking OK the browser will return you to the Setting the 2 nd Level Password page. You must set your second level password at this time. NOTE- the 2 nd level password will remain the same for the lifetime of the account. You will need it to download your certificate, or request a reset of the primary password. Choose 1 of the 4 questions from the drop down. Answer the question in the field labeled 2 nd Level Password. Confirm the 2 nd level password by re-entering it in the field Confirm 2 nd Level Password. Click on the button Set Second Level Password. The browser will return the following page. Click on the link Return to the NASDAQ Enrollment Home Page. Proceed to Step 2 to begin the certificate download process. 8
Step 2 - Downloading a NASDAQ Certificate Authority Certificate and Requesting a Client Certificate 2A Requesting CA Certificate **When going through the certificate download process, please be sure to read each screen carefully before proceeding. * You will now be at the Enrollment Home Page. Click on the link Get My Digital Certificates. 9
The browser will return the following page: Click on the button Install The NASDAQ Certificate Authority (CA) Certificate Please refer to these NOTES while downloading your CA certificate: After clicking on "Install The NASDAQ Certificate Authority (CA) Certificate" button, the File Download Security Warning window will be displayed. Select the "Open" button. 10
The Certificate window below will be displayed. Select "Install Certificate". 11
The Certificate Import Wizard window below will be displayed. Select "Next". 12
The Certificate Store window below will be displayed. Do not change the default option. Select "Next". 13
The Complete Certificate Import window below will be displayed. Select "Finish". Click OK on the Import Was Successful dialog box displayed below. 14
The browser will return you to the Certificate window below. Select "OK". Proceed to Step 2B to begin the User Certificate download process. 15
2B Requesting User Certificate You will be returned to the following page. Each field should be reviewed for accuracy. NOTE - If any incorrect data is found, DO NOT ATTEMPT to complete this section. Instead please contact NASDAQ Subscriber Services 212-231-5180 option 1 or send emails to tradingservices@nasdaq.com or subscriber@nasdaq.com. If the data is accurate, enter the same password hint and the 2 nd level password that you set in Step 1. Click the button Submit Request to request your User Certificate. Once you have submitted your request the browser will return the following warning: 16
Click OK. The browser will return the following message: Click Yes. If you receive the following error screen, the submission was not successful. Please contact NASDAQ Subscriber Services at 212-231-5180 option 1 or send emails to tradingservices@nasdaq.com or subscriber@nasdaq.com 17
The website will automatically direct you to the page to download your User Certificate. Simultaneously, NASDAQ will then approve your request and email a Personal Identification Number (PIN) to you and your security administrator. NOTE - YOU MUST WAIT UNTIL YOU RECEIVE THE E-MAIL FROM NASDAQ WITH YOUR PIN BEFORE PROCEEDING. If you have not received your PIN after a reasonable amount of time then please contact NASDAQ at 212-231-5180 option 1 or send emails to tradingservices@nasdaq.com Once you receive this information, please proceed to Step 3 - Retrieving Your User Certificate. 18
Step 3 - Retrieving Your User Certificate The browser will automatically display the following window below: NOTE - if your browser did not take you there automatically. You can navigate to the above screen by clicking on the link https://security.nasdaq.com/retrieve.aspx 1. Type in the 2 nd Level Password you set in Step 1. 2. Type in the PIN provided by NASDAQ (to you and your Security Administrator via email). 19
3. The website will return this screen if invalid 2 nd level password is entered: 20
The website will return this screen if invalid pin is entered: 4. Click Submit PIN. The browser will return the following dialog box: Select Yes 21
The browser will return the following dialog box: Click OK. The browser will return the following screen which will indicate that your certificate has been successfully installed. To access any of the NASDAQ services that you have been authorized to utilize move on to Chapter 3 Logging On. 22
Chapter 3 - Logging On Each time you access a secure NASDAQ Web site, you will need to verify your certificate and enter your user ID and password. To access a secured site: Navigate to the appropriate Web site The browser will return the dialog box which will ask you to present your Client Certificate: Figure 3-1: Client Certificate Presentation Dialog Box Click OK The browser will return the following Web Security login Screen Figure 3-2: Web Security Login Screen Enter your user ID in the user name field Enter your password in the password field Click OK 23
Make sure you delete previous certificates otherwise if you click on the wrong certificate will get the error: If you have problems accessing a secured NASDAQ site, please contact NASDAQ Help Desk at 212-231-5180 option 1 or 800.243.4284, option #2 24
Chapter 4 - Security Maintenance Changing Your Password Due to the confidential nature of data being transmitted to and from NASDAQ via secured applications, NASDAQ would like to ensure that the data continues to be delivered through a secure environment. Therefore, each user will be asked to change their password every 90 days. Web Security Release 2.0 includes a new functionality that gives users a warning screen indicating that their password is going to expire in 10 calendar days. You will have two options: 1. Changing your password instantly, or 2. Changing your password at anytime within the 10 days. The following are the procedures for both options using Internet Explorer or Netscape. Changing Your Password Instantly Five days prior to your password expiring, you will receive the following warning screen which asks you if you would like to change your password now: Figure 4-1: Password Notification Screen Click OK. 25
The browser will bring you the following password screen page: Figure 4-2: Password Change Screen In the Login field, enter your user ID. In the Old password field, enter your existing password. In the New password field, enter the password of your choice. In the Confirm new password field, re-enter your new password. Update your password hint. Click OK. The browser will return the following password confirmation screen: Figure 4-3: Password Confirmation Screen Once you receive the above confirmation screen, you can enter into the secured browser application and use your new password. 26
Changing Your Password within the Ten Days If you choose not to change your password instantly and would like to do it at a later time, please follow the instructions below. Five days prior to your password expiring, you will receive the following warning screen which asks you if you would like to change your password now: Figure 4-4: Password Notification Screen Click Cancel. When you are ready to change your password, enter the following URL (or Web address) into your browser s address bar: https://security.nasdaq.com. The browser will return the following authorization screen: Figure 4-5: Authorization Screen Enter your user ID in the User name field. Enter your password in the Password field. Click OK. 27
The browser will return the following screen: Figure 4-6: Certificate Enrollment Page Click the Change or Reset my Existing Password link. 28
The browser will return the following password change screen: Figure 4-7: Password Change Screen In the Login field, enter your user ID. In the Old password field, enter your existing password. In the New password field, enter the password of your choice. In the Confirm new password field, re-enter your new password. Update the Password Hint. Click OK. The browser will return the following password confirmation screen: Figure 4-8 - Password Confirmation Screen Once you receive the above confirmation screen, you can enter into the secured browser application and use your new password. Resetting Your Password If you no longer remember your primary password, you can reset your password. A new one will be emailed to you upon request. Please note that, in order to reset your password, you will need to know the 2 nd level password on the account. Also, upon login with the new password, you will be forced to change it. 29
You should be at the following web page. Figure 4-9- Password Change Page Click on the link Reset Password. 30
The browser will return the following screen. Figure 4-10- Password Reset Page At the bottom, enter your User ID and your Second Level Password. Click Reset Password. A new password will be generated and emailed to both you and your Security Administrator. Use the new password to login. You will be immediately required to change the primary password on the account. Note: If you have forgotten your second level password, you may request that a hint (the question that you chose to answer) be emailed to you and your Security Administrator. If you are still unable to remember the second level password, you will need to contact NASDAQ Subscriber Services at 212.231.5180. Contacts Questions regarding the password change procedures can be directed to the NASDAQ Technical Help Desk at 212-231-5180 option 1 or send emails to tradingservices@nasdaq.com 31
Chapter 5 General Information Establishing Entitlement for New Users If an authorized manager of the firm has already registered with NASDAQ to enter trades or quote, but needs to request additional logons and certificates for new users, please follow the procedures listed below: 1. The authorized supervisor (security administrator) at your firm must sign up via the web to request a User ID, password, and certificate for a new user. Sign-up procedures and forms can be found in the Forms Directory of this document. 2. Upon receipt of the appropriate subscription information and forms, NASDAQ will email, to each user, a new user package including: a complete entitlement installation guide and a User ID/password accompanied by a Web address (URL) from which a certificate can be downloaded. If you need assistance with downloading your certificate, please contact NASDAQ Technical Help Desk at 212-231-5180 option 1 or send emails to tradingservices@nasdaq.com or subscriber@nasdaq.com Firm s Request to Terminate Entitlement When a user leaves your firm, their access to the secured site must be terminated. A new employee may not assume a prior employee s certificate or user ID and password. To terminate a user s access: 1. The authorized supervisor at the firm must submit a termination request. Termination procedures and forms can be found in the Forms Directory of this document. 2. NASDAQ will disable the user entitlements and revoke the certificate from the firm, notifying them that the specific user s access has been revoked. 32
When signing the contract to receive secure web access, your firm agreed to the following legal conditions: (a) Security Devices are personal to user. They may not be shared, lent, sold, transferred, or used by others. (b) User will change passwords and perform other actions that are necessary to prevent compromise of the Security Device and to keep it operating correctly. (c) User is liable, under regulation, contract, tort or otherwise, for all actions taken or omitted and all information submitted by user or on user s behalf from or to the Service or submitted by authorized or unauthorized persons who obtain access to the Service through user including any actions performed, or information submitted or retrieved, using your designated Security Device. (d) User will not access the Service or any portion of the Service that utilizes Security Devices after user is no longer eligible for access because of a 1) change in user s role or responsibility; 2) change in user s employer; or 3) lack of adherence to the then current requirements of the Service, or any portion of the Service. (e) Security Administrator will give all Notices to NASDAQ by telephoning NASDAQ Subscriber Services, at 212.231.5180; or by sending e-mail to User can either call 212-231- 5180 option 1 or send emails to tradingservices@nasdaq.com or subscriber@nasdaq.com (f) Security Administrator will notify NASDAQ within one business day when a user is assigned a Security Device, has their Security Device revoked, or is no longer eligible to receive the Service. (g) Security Administrator will assign only one unique Security Device per eligible user. (h) Security Administrator will receive and secure all PIN numbers needed for each certificate download. Security Tips To maintain secure NASDAQ sites and protect the information submitted to NASDAQ, it is crucial that the following security guidelines be followed: Do not let others use your workstation to do their work. Protect yourself by keeping your logon credentials and certificate only for personal use. Close your browser after ending a secure session and at the end of the day. Use password-enabled screen savers. Open connection only while performing business activity. Do not leave your browser unattended for any period of time. 33
Chapter 6 - Contacts Application Support NASDAQ Subscriber Services: 212.231.5180 Web Access Agreements/Addendums New subscribers How to gain access/entitlement into the various secured sites Listing/De-listing an employee entitlement certificate Requesting Marketing Material Requesting Additional User guides Technical Support: Assistance with downloading certificates Troubleshooting certificate download problems User can either call 212-231-5180 option 1 or send emails to tradingservices@nasdaq.com or subscriber@nasdaq.com 34
Chapter 7 Form Directory TRACE Subscriber Form: http://www.nasd.com/regulatorysystems/trace/legalagreements/index.htm *If there are any questions on the TRACE form please contact Trace Help Desk 866-776- 0800 NASDAQ Workstation, Weblink ACT 2.0 or Weblink ACES: http://www.nasdaqtrader.com/trader/tradingservices/tshome.stm NASDAQTrader.com Monthly Subscription Data: http://www.nasdaqtrader.com/trader/ptd/allwebagree.pdf NASDAQTrader.com Web-based Data: http://www.nasdaqtrader.com/trader/mds/nasdaqagreements/postdataamendment.pdf Mutual Fund Quotation Service Subscription Forms: http://www.nasdaqtrader.com/trader/tradingservices/productservices/agreements/mfqsor derform.pdf BookViewer/NOII Website Forms: https://noii.nasdaq.com/enroll/ 35