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Good planning kept NASDAQ network running during attacks

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When disaster struck the twin towers of the World Trade Center on Sept. 11, NASDAQ CIO Gregor Bailar was in Greenwich Village in a car en route to one of the stock site's NYC locations. After finding out that all 127 employees had been safely evacuated from NASDAQ's 1 Liberty Plaza headquarters, which are adjacent to the Trade Center complex, his first order of business as the top tech guru was to make sure the network was up and running.

Within 20 minutes, Bailar was able to secure a temporary command post at the Marriott Marquis, complete with multiple phone and Internet connection lines. The news was good immediately: NASDAQ's network had not gone down. And the fact that it didn't was a combination of good planning, a distributed architecture, and superior back up.

"Having a plan in place to respond to crisis immediately is critical," Bailar says. "At NASDAQ, every person from a Web site coder to the chairman of the company has a card with our crisis line number on it," he says. "And that infrastructure is a culture here."

Bailar points out that NASDAQ, which is really a vast distributed network, was designed for resilience. It is also a network that has long considered security a high priority.

"We know we are a target, and should consider ourselves a target, and right now that is at a heightened state," Bailar says. "We are putting in certain provisions of perimeters around both our primary and secondary data centers. There has to be a whole discipline to how you manage these large infrastructures, and now we have to be even more vigilant about both physical access and forensic readiness. We have cameras and monitoring systems so if something does happen, you know what happened. It's a difficult task, because there are so many points of potential threats - you almost can't (enumerate them all)."

Bailar says one key factor in NASDAQ's ability to stay up and running was a close partnership with its telco provider, Worldcom. "Worldcom really was an interchange provider," says Bailar, who points out that businesses whose networks rely heavily on telco providers for communications and connectivity must make sure that when they think they have access to different networks for redundancy, they really do.

"The same conduit going to what is actually the same local office location does not provide real diversity," he says. "And there is considerable work to be done and concern about the last mile."

Network Details:

NASDAQ is a network with more than 7,000 workstations from 2,400 to 2,700 sites connected to market maker servers, which provide information to traders. The workstations connect through at least 20 different points of presence, and those 20 POPs are dually and triply connected to NASDAQ's primary and secondary data centers in Connecticut and Maryland.

Every participant on the NASDAQ has a T-1 connection. The data center mirror site, which provides backup in case of a failure at the primary site has dual T-1 lines. The POPs are connected through WorldCom with 300M bits/sec connection rate in a wholly reserved network of OC/12 connections.

When a visitor, or market participant, comes into the NASDAQ data center there are three different types of computing:

  • Quotations system: This is where market makers exchange the best prices they are willing to advertise. This is really part of the original system designed for NASDAQ. It consists of a Unisys mainframe capable of producing up to 2,000 quotes per second. On its highest day, when three billion shares of stock were traded, the system handled about 800 quotes per second.

  • The Unisys mainframe quotation system is connected to a Tandem system that is made up of about 60 actual Tandem servers with about 800 processors.

    The Tandem systems handle:

  • An auto execution system - finds a match and distributes quotes.

  • A negotiation system, called SelectNet, which is actually a formal e-mail system that allows market makers to barter over stock prices.

  • A trade reporting system that reflects and confirms trades.

    All of the trading information is monitored and put into repositories for market regulation, where suspect behavior can be researched. A 20-50T byte on-line Oracle database provides the holding tank for that information. That database resides on a Sequent server that runs a BSD derivative operating system.

    There is also a Surveillance Delivery in Real-Time application residing on a cluster of Intel-based machines running Windows NT with three identical machines in Connecticut and Maryland.

    The NASDAQ Web site, which sends out data to market participants, consists of 400-500 Intel-based servers running both Windows NT, or Windows 2000.

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