CAPITAL MARKET OPERATIONS

CIRCULAR

Circular No.: NSE/CMO/032/2009

Download No. NSE/CMTR/12605

Date: June 19, 2009

Dear Members,

Sub: Mock trading on Saturday, June 20, 2009 in Capital Market segment

New NEAT Version 9.0.7 & New NEAT Plus Version 4.0.5

The Exchange will be conducting a mock trading session in the Capital Market Segment on Saturday, June 20, 2009 to test additional functionalities on the trading system.

Important instruction with respect to New NEAT Version 9.0.7:-

• “Index trading” facility will not be available

• New file “FreeFloat.txt” containing free float factor security wise to be loaded in NEAT. (Details are provided as Annexure 1)

• New portfolio names viz “NIFTY”, “JUNIOR” & “CNX100” are provided in Security / Portfolio List to generate offline order entry file using basket trading facility based on free float market capitalization for the user defined securities under these names. (Details are provided as Annexure 2)

• Offline order entry file for user defined portfolio other than the three portfolio names mentioned above will be created for the selected portfolio of securities according to the ratios of their market capitalizations and not based on free float market capitalisation methodology.

• Members are required to delete any portfolios already created with names “NIFTY”, “JUNIOR” & “CNX100” before installing the new version.

• The file ffixddmmyyyy.xls provided in Extranet shall be discontinued w.e.f. June 22, 2009.

Important instruction with respect to New NEAT Plus Version 4.0.5:-

• “Index trading” facility will not be available

• New file “FreeFloat.txt” containing free float factor security wise to be loaded in NEAT Plus. (Details are provided as Annexure 1)

• Members will not be required to upload portf_files.zip file hence Portf_files.zip will not be available on Extranet w.e.f. June 22, 2009.

• New portfolio names viz “NIFTY”, “JUNIOR” & “CNX100” are reserved in Security / Portfolio List to generate offline order entry file using basket trading facility based on free float market capitalization for the user defined securities under these names. (Details are provided as Annexure 3)

• Offline order entry file for user defined portfolio other than the three portfolio names mentioned above will be created for the selected portfolio of securities according to the ratios of their market capitalizations and not based on free float market capitalisation methodology.

• Members are required to delete any portfolios already created with names “NIFTY”, “JUNIOR” & “CNX100” before installing the new version.

The schedule for the mock session is as follows:

Mock Market Timings
Saturday, June 20, 2009
Normal Market open time	11:00 hrs
Normal Market close time	12:00 hrs
Pre-open Time	12:05 hrs
Normal Market Re-Open time	12:10 hrs
Normal Market Re-close time	13:10 hrs
Auction Market open time	11:30 hrs
Closing Session start	13:20 hrs
Closing Session end	13:25 hrs
Re-Login start time	15:30 hrs
Broadcast of mock successful/unsuccessful message	15:40 hrs
Re-Login stop time	16:00 hrs

Members using NEAT, NEAT Plus and CTCL facility (using their CTCL software) are advised to participate actively in the mock trading session and are required to re-login into live environment. Please note that upon successful mock trading, above modifications / functionalities along with NEAT CM Version 9.0.7 and NEAT Plus Version 4.0.5 will be implemented in live environment with effect from Monday, June 22, 2009 and thus without installation of these new versions they will not be able to trade from Monday, June 22, 2009

The operational instructions are annexed herewith:

Annexure 1: Details of FreeFloat .txt file

Annexure 2: Features of Exchange defined Portfolio Names in new NEAT version 9.0.7

Annexure 3: Features of Exchange defined Portfolio Names in new NEAT Plus version 4.0.5.

Annexure 4: Important Instruction for pre and post installation of the new version

Annexure 5: Installation procedure for NEAT CM (Version 9.0.7) & NEAT Plus (Version 4.0.5)

Annexure 6: Revert process to old version

For any clarifications, members are advised to contact the following officials:

Mr. Khushal Shah, Mr. Sunil Gawde, Mr. Amit Kursija and Mr. Hasnain Khatri on 26598153 and 26598156.

In case of technical queries, members are advised to contact helpdesk no: 022-26567500.

For and on behalf of

National Stock Exchange of India Ltd.

Suprabhat Lala

Assistant Vice President

Annexure 1

Details of FreeFloat .txt file:-

• As specified in Circular No.: NSE/CMO/031/2009 dated June 18, 2009, Exchange shall be providing free float factor file with name FreeFloat.txt. The same shall be available on extranet server in the path “/common/ntneat” along with the security.gz & participant.gz.
• FreeFloat.txt will contain the free float factor of securities which are constituents of those indices which are calculated using free float weighted market capitalization methodology. Members are requested to update the above file along with security.gz & participant.gz.
• Initially free float factor will be provided only for securities constituents of CNX NIFTY JUNIOR.
• For S&P CNX Nifty & CNX 100 the free float factor will be provided in FreeFloat.txt file from June 25, 2009
• File structure of FreeFloat.txt is given below:-

Field Name	Descriptions
Token	Token number of the security. This is unique for a particular symbol-series combination.
Symbol	This field contains the symbol of a security.
Series	This field contains the series of a security
Free Float Factor	This field contains the free float factor of the security

Annexure 2

Features of Exchange defined Portfolio Names in new NEAT version 9.0.7.

· Three Exchange defined “Portfolio Names” will be provided namely, “NIFTY”, “JUNIOR”, & “CNX100”.

· These are only portfolio names and do not contain any security.

· It is mandatory to upload FreeFloat.txt before setting up a portfolio under the above portfolio names.

· While adding securities in these portfolios, it does not check whether security is constituent of the indices. Further, it also does not check that all securities of the selected indices are included in the portfolio.

· While adding securities in these portfolios it will only check that, free float factor is available for the selected security in the local database. If free float factor is not available for any security, the user will not be allowed to save the portfolio.

· Member has to take care while adding security under these portfolios.

· In “Basket trading”, on entering the value for the above portfolios (viz “NIFTY”, “JUNIOR”, & “CNX100”), offline order entry file will be generated according to the ratios of free float market capitalization for the user defined securities under these names.

· In “Basket trading”, on entering the value for all other portfolios, offline order entry file will continue to be generated according to the ratio of market capitalization for the user defined securities.

· “Index trading” facility will not be available.

Annexure 3

Features of Exchange defined Portfolio Names in new NEAT Plus version 4.0.5.

· Three Exchange defined “Portfolio Names” will be reserved namely, “NIFTY”, “JUNIOR”, & “CNX100”.

· It is mandatory to upload FreeFloat.txt before setting up a portfolio under the above portfolio names.

· While adding securities in these portfolios, it does not check whether security is constituent of the indices. Further, it also does not check that all securities of the selected indices are included in the portfolio.

· While adding securities in these portfolios it will only check that, free float factor is available for the selected security in the local database. If free float factor is not available for any security, the user will not be allowed to save the portfolio.

· Member has to take care while adding security under these portfolios.

· In “Basket trading”, on entering the value for the above portfolios (viz “NIFTY”, “JUNIOR”, & “CNX100”), offline order entry file will be generated according to the ratios of free float market capitalization for the user defined securities under these names.

· In “Basket trading”, on entering the value for all other portfolios, offline order entry file will continue to be generated according to the ratio of market capitalization for the user defined securities.

· “Index trading” facility will not be available.

ANNEXURE – 4

Important Instruction for pre and post installation of the new version

• The successful / unsuccessful outcome of the mock trading session shall be intimated to members through a message broadcast. Members are advised to also refer to the website of NSE at www.nseindia.com for any information which may be updated by the Exchange on the mock session

• Trades resulting from the mock trading session shall not attract any obligation in terms of funds and / or securities pay-in and pay-out. Members are also requested not to transfer any data files for this mock trading session.

ANNEXURE – 5

Installation procedure for NEAT CM (Version 9.0.7) & NEAT plus (Version 4.0.5)

NEAT CM Version 9.0.7

Precautions:

• Members are advised to install the new version only after end of live trading hours and after all end of day activities have been completed on Friday, June 19, 2009.
• Members are advised to take back up of all report files before upgrading the software.
• Members who wish to retain their existing market watch screen are advised to take backup of the files 'mw****.dat’ (**** = userid). This file can be found at '\NTNSECM\BACKUP' directory on the log drive.
• Members are advised to use cmneattdr.bat for installing the new NEAT exe.

Installation:

· Installation files shall be available after 17:00 hrs on Friday, June 19, 2009.

· Installation files can be taken from path /common/NEAT907 on NSE EXTRANET or internet ftp://203.199.75.110

· Download the files NTRELTDR.9.0.7 & cmneattdr.bat into (C :\) in your local hard disk

· Go to MSDOS prompt

· Execute command - cd C:\

• Type cmneattdr.bat and press "enter"
• Set up the NEATCM icon on the Desk top and click on the icon.

Updating the new version with latest data:

· Download following files from NSE EXTRANET path /common/NTNEAT onto (C :\) in your local hard disk:

1. participant.gz

2. security.gz

3. contract.gz

4. FreeFloat.txt

• Unzip the above files
• From the log on screen click on the “LOAD DB” button to update the security and participant details.

Note: - It is mandatory to upload new FreeFloat.txt file.

NEAT Plus Version 4.0.5

Precautions:

• Members are advised to install the new version only after end of live trading hours and after all end of day activities have been completed on Friday, June 19, 2009.
• Members are advised to take back up of all report files before upgrading the software.

Installation:

• Installation files shall be available after 17:00 hrs on Friday, June 19, 2009.
• Installation files can be downloaded from NSE EXTRANET path (/common/NEATPlus405)
• Download the setup file ‘NEATPlusTWSSetup.exe’ to your hard disc in the root directory (i.e. C:\ or D:\ or E:\).
• Go to the drive where NEATPlusTWSSetup.exe is copied.
• Double click on the NEATPlusTWSSetup.exe.
• The files will be extracted with the window pop up ‘NEATPlus TWS Installer extracting files’.
• It will be followed by ‘NEATPlus Installer’ pop up window. Installation drive (where application will be installed) will be C: by default.
• The user can change the default installation drive to any other local drives (e.g. D: or E:)
• Click on ‘Install’ button on this pop up window and follow the installation instructions.
• Message of successful installation will be displayed once the complete application is installed.
• The user can run NEATPlus TWS application by double clicking on either of the following:

a) NEATPlus TWS shortcut icon created on the desktop.

b) NEATPlus TWS entry in the ‘Programs’ sub-menu of the ‘Start’ menu.

c) NEATPLUS.exe located in the NeatPlusDB-TWS directory in the installation drive.

Updating the new version with latest data:

· Download following files from NSE EXTRANET path /common/NTNEAT onto (C :\) in your local hard disk:

1. contract.gz

2. participant.gz

3. security.gz

4. fo_participant.gz

• Unzip the above files
• Remove Portf_files.zip from your local hard disk path Logdrive:\NEATPlusDB-TWS\Initial
• From the log on screen click on the “UPLOAD” button to update the contract, security and participant details.

ANNEXURE – 6

Revert process to old version

These instructions are required to be followed to ensure that members are able to revert back to old version of NEAT CM & NEATPlus and trade efficiently from Monday June 22, 2009 in the unfortunate event of the mock being declared unsuccessful.

Steps to be followed for reverting to old version of NEAT CM:

· Installation files for old version can be taken from path (/common/NEAT906) on NSE EXTRANET or internet ftp://203.199.75.110

· Download the files cmneattdr.bat & ntreltdr.9.0.6 into (C :\) in your local hard disk, if prompted, choose to overwrite the existing files

· Rename the existing NTNSECM directory

· Go to MSDOS prompt

· Execute command : cd C:\

• Type: cmneattdr.bat and press "enter"
• Set up the NEATCM icon on the Desk top and click on the icon.

• Place the old ‘mw****.dat’ (****=user id) file in ‘C:\NTNSECM\BACKUP’ directory.
• Download the fresh contract.gz, security.gz & participant.gz file from NSE EXTRANET path /common/ntneat and unzip it on your log on drive (this step is very important to ensure trading on Monday, June 22, 2009)
• From the log on screen click the “LOAD DB” button to update the security and participant details.

Note: - Do not Load FreeFloat.txt file.

Steps to be followed for reverting to old version of NEAT Plus:

• Download the set up file for old version ‘NEATPlusTWSSetup.exe’ from NSE EXTRANET path folder (/common/NEATPlus404) to your hard disc in the root directory (i.e. C:\ or D:\ or E:\). If prompted, choose to overwrite the existing file. Kindly choose the same drive where the proposed new version was installed.
• Go to the drive where NEATPlusTWSSetup.exe is copied.
• Double click on the NEATPlusTWSSetup.exe.
• The files will be extracted with the window pop up ‘NEATPlus TWS Installer extracting files’.
• It will be followed by ‘NEATPlus Installer’ pop up window. Installation drive (where application will be installed) will be C: by default.
• The user can change the default installation drive to any other local drives (e.g. D: or E:)
• Click on ‘Install’ button on this pop up window and follow the installation instructions.
• Message of successful installation will be displayed once the complete application is installed.
• The user can run NEATPlus TWS application by double clicking on either of the following:

1. NEATPlus TWS shortcut icon created on the desktop.
2. NEATPlus TWS entry in the ‘Programs’ sub-menu of the ‘Start’ menu.
3. NEATPLUS.exe located in the NeatPlusDB-TWS directory in the installation drive.

· From NSE EXTRANET path (/common/NTNEAT) download contract.gz, security.gz, participant.gz, & fo_participant.gz and unzip it on your log on drive (this step is very important to ensure trading on Monday, June 22, 2009)

· Download following file from NSE EXTRANET path /common/NTNEAT onto in your local hard disk in the path Logdrive:\NEATPlusDB-TWS\Initial

1. Portf_files.zip

• Unzip the above files
• From the log on screen click on the “UPLOAD” button to update the contract, security and participant details.

Note: It is mandatory to upload the Portf_files.zip