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SUPPLEMENT TO PC TRS USER’S MANUAL CONTENTS
An IBM-compatible PC running the Windows NT 4.0 or Windows 95 operating system (OS). PC TRS will not run under the Windows NT 3.51 or Windows 3.1 OS. NOTE: PC TRS will not run reliably on a network. We strongly recommend that the PC you use for file transmission be configured as a stand-alone. INFORMATION NEEDED TO TRANSMIT FILES You must have a Submitter Identification (ID) code and a two-digit Site Code before installing the PC TRS software. PC TRS will automatically include these codes in files it creates for transmission to the MSRB. If the Submitter ID and Site Code were not included with these instructions, contact the MSRB Help Desk at (703) 797-6600. Each dealer using the PC software is considered a separate submitter for transaction reporting purposes. However, if you need to use more than one Submitter ID, or if you plan to send files to the MSRB from more than one location, please request an additional Submitter ID or Site Code from the MSRB Help Desk. NOTE: See Section 3, page 19 of the User’s Manual for information about Submitter ID’s, Dealer ID’s, Site Codes, Account ID’s, and Passwords. Be aware that in most cases, the Submitter ID and Dealer ID will be identical, and that they will always consist of four capital letters. The Account ID is a combination of the Dealer ID and the Site Code and consists of four capital letters and two numerals with no spaces. Before using the PC software you must obtain a password by calling the MSRB Help Desk at (703) 797-6600 (for security reasons, passwords are not distributed by mail). When you call us to obtain your password, we will ask you how you wish to receive your receipt file (by fax, by downloading a file, or both) and for the names and fax numbers of persons to contact regarding system operations. Submitting Data Using Both NSCC and PC TRS Software If your firm reports customer trade data to the MSRB through NSCC (by a direct NSCC connection or via a clearing broker or service bureau), you may also use the PC software to report additional customer trade data. For example, you may send directly to NSCC trade records automatically generated by your record-keeping system and may supplement this with Amend, Cancel and Verify records that you manually enter into the PC software. In this case, certain procedures must be followed to ensure that the CTRS system receives and processes your records in the correct order. Specifically, CTRS must process the first report (F record) of a trade before it can amend, cancel or verify that trade. Otherwise, it will not know which trade you intend to change or cancel. If an F record and a Cancel, Amend or Trade record for the same trade are in different files, the file with the F record must be processed first. If you use more than one method of file transmission, you may require multiple Submitter IDs or Site Codes. Please talk with an MSRB staff member if you plan to use the PC software and, in addition, you plan to do any of the following: " Transmit customer trade data over a direct connection between your firm’s computer system and NSCC, " Use the services of another dealer (such as a clearing dealer) to transmit such data, " Use a service bureau to transmit such data. Your firm must have an executing broker symbol, assigned by the NASD, to identify itself when reporting transactions effected with customers. Have this symbol available before beginning the setup procedure. You should have four (4) diskettes containing the PC TRS software. Begin the setup by closing all programs running under Windows. Insert diskette #1 into the diskette drive, e.g., drive A:. Select Start, then Run... Type A:SETUP. This will bring up the Setup Wizard screens which prompt you to provide various inputs. The Setup Wizard will create a directory called CTRS on drive C: unless instructed otherwise. If you wish to use a different drive or directory, enter its name when prompted to do so. Next, the MSRB Defaults screen appears. Press the Caps Lock key to be sure all letters entered on this screen are capital letters. Enter your firm’s four-character Submitter ID (e.g., ABCD or ABC1). In the Dealer field, enter your firm’s four-letter executing broker symbol. In the Site Code field, enter your two-digit Site Code (the Submitter ID and Site Code are provided by the MSRB Help Desk). If you will be reporting trades effected by more than one broker or dealer, enter the symbol most frequently used. The symbol you enter here will be displayed later on the transaction data entry screen, but may be overridden. Enter the MSRB phone number by following instructions in the appropriate box below: Instructions for the Windows 95 OS
Instructions for the Windows NT 4.0 OS
Once installation is complete, click Start in the corner of the Windows screen. Under Programs, click on CTRS. Alternatively, from the Start menu, choose Run, then type CTRS into the field for program name. See Section 2 of the User’s Manual for the next steps. If you have difficulty installing and running the software, refer to the PC TRS Troubleshooting Guide included with this package. If you still cannot resolve the problem, please call MSRB Technical Support at (703) 797-6600. PC-TRS TROUBLESHOOTING GUIDE Revised July 27, 1998 CONTENTS
MOST COMMON INSTALLATION PROBLEMS
PHONEBOOK ENTRY NOT SET UP PROPERLY Possible error message(s):
To correct this problem, ensure that the phone book entry is set up as described in the SUPPLEMENT TO PC TRS USER’S MANUAL. DIAL-UP NETWORKING NOT INSTALLED Possible error message(s):
For users of Windows 95, if Dial-Up Networking is not installed, you will not be able to make a new phone book entry (make a new connection) in the My Computer window. If you try to upload a file before setting up the phone book entry, you will receive an error message. Follow these steps to determine if Dial-Up Networking is installed: Go to the Start menu, click on Settings, and click on Control Panel. Double-click on Add/Remove Programs. There will be three tabs at the top of the text box. They are Install/Uninstall, WindowsSetup, and Startup Disk. Click on Windows Setup. Double-click on Communications. One of the options in the white text box should be Dial-Up Networking. If the box next to this option is checked, then Dial-Up Networking is already installed. If it is not there, it has not been installed; you will need a Windows 95 CD or set of diskettes. To install Dial-Up Networking: Click the box next to Dial-Up Networking; a check mark should appear there. Click OK at the bottom of the screen; you should see a prompt asking for your Windows 95 CD or one of the Windows installation diskettes. Follow the instructions. After the files are copied, you will be prompted to reboot your computer. You must reboot your computer for these changes to take effect. CLIENT FOR MICROSOFT NETWORKS NOT INSTALLED Possible error message(s):
Follow these steps to determine if Client for Microsoft Networking is installed:
In the white text box, one of the options should be Client for Microsoft Networks. If this is present (you may have to scroll down to see the entire list), then the client is installed. If it is not installed, then:
After the files are copied, you will be prompted to reboot your computer. You must reboot your computer for these changes to take effect. NETBEUI NOT INSTALLED OR NOT BOUND TO THE DIAL-UP ADAPTER Possible error message(s):
Go to the Start menu, click on Settings, then click on Control Panel. Double-click on Network. In the white text box, one of the options should be Dial-Up Adapter. Click on Dial-Up Adapter, then click on Properties. Click on the tab called Bindings. You should see a white text box in the middle of the screen. One of the options in the text box should be NetBEUI:
Go back to the Network window. To add NetBEUI, click on Add, then double-click on Protocol. On the left, under Manufacturers, single click on Microsoft. On the right, under Network Protocols, double-click on NetBEUI. You might be prompted for your Windows 95 CD or diskettes. After the files are copied, you will be prompted to reboot your computer. You must reboot your computer for these changes to take effect. An error message indicating "CTRSBind Error 5" is sometimes seen when users sign on as the System Administrator. If this occurs, log out and log in again as a regular user. If you have any comments or questions about this Guide, or have suggestions for improvements or corrections, please call MSRB Technical Support at (703) 797-6600. Back to TRS User's Manual
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