B3 S A Brasil Bolsa Balcão : 5/26/22090-2022-VNC-External CommunicationReplanning of the Test of Business Continuity Plan for PUMA Trading System Electronic Platform

May 26, 2022 090/2022-VNC

EXTERNAL COMMUNICATION

Listed B3 Participants

Re.: Replanning of the Test of Business Continuity Plan for PUMA Trading

System Electronic Platform

The test of the Business Continuity Plan for the PUMA Trading System electronic platform scheduled for June 4, 2022, has been cancelled, and External Communication 084/2022-VNC is hereby revoked.

The PUMA Trading System platform will be tested for business continuity on Saturday, July 30, 2022, in a mock trading session held in the contingency environment, in order to validate:

• Connectivity between brokerage houses' primary site facilities and B3's backup infrastructure;
• Execution of the mandatory test script at B3's alternative site.

The addresses for connection between B3's backup servers and participants must be properly configured and enabled. The addresses are available at www.bvmfnet.com.br, Download, Conectividade.

The entire test window is programmed to take place between 1:00 p.m. and 3:00 p.m. Participation by brokerage houses, market data distributors and independent software vendors operating on Listed B3 is mandatory.

Participants will access the environment via connectivity sessions or the trading screens they already use (ePUMA or proprietary solutions).

This document produces effects as of the date of its publication. Any specified time limits for validity shall apply.

This free translation into English from the original version in Portuguese is available for information purposes only, has not1 been reviewed by B3's legal counsel, and is therefore not legally binding. Any questions arising from this free translation

should be clarified by consulting the original version in Portuguese. In the event of any discrepancy between this free translation and the original version in Portuguese, the original version in Portuguese shall prevail.

INFORMAÇÃO PÚBLICA - PUBLIC INFORMATION

090/2022-VNC

1. Mock trading session timetable

Starts	Ends	Phase
1:00 p.m.	2:00 p.m.	Roll call and connectivity test in contingency
		environment
2:00 p.m.	2:05 p.m.	Pre-openingin contingency environment
2:05 p.m.	2:40 p.m.	Trading: mandatory script in contingency
		environment
2:40 p.m.	3:00 p.m.	Free trading in contingency environment

2. Scope of mock trading session

The test script for the mock trading session in the contingency environment will cover the following:

•	Reception of market data
•	Trading (order entry and trade execution in accordance with	the
	mandatory script

• Free mock trading (order entry and trade execution)
• Order cancellation via admin session
• Validation of trading limits (LiNe 5.0), using limits in effect at end of trading session on July 29, 2022 (Friday)
• Management of trading limits (LiNe 5.0)
• Reception of execution messages generated by trading systems
• Reception of order registration, modification and cancellation message drop copies and execution reports
• Use of Firmsoft order cancellation software
• Reception of electronic trading news
• Interaction with B3 as counterparty or to facilitate execution of specific mock trading scenario desired by participants
• Regular interaction with Trading Support by calling [phone] or 2565-5022 and emailing [e-mail] [e-mail].

The scope of the mock trading session will not coverthe following:

• Use of post-trade systems and of clearinghouse settlement, risk and margin/collateral management systems
• UMDF PUMA 2.0 protocol Feed A and Feed B

This document produces effects as of the date of its publication. Any specified time limits for validity shall apply.

This free translation into English from the original version in Portuguese is available for information purposes only, has not2 been reviewed by B3's legal counsel, and is therefore not legally binding. Any questions arising from this free translation

should be clarified by consulting the original version in Portuguese. In the event of any discrepancy between this free translation and the original version in Portuguese, the original version in Portuguese shall prevail.

INFORMAÇÃO PÚBLICA - PUBLIC INFORMATION

090/2022-VNC

• Use of SINACOR system
• Production and delivery of mock trading session reports and files
• Good Till orders entered until July 29, 2022 (Friday).

3. Interfaces to be tested in mock trading session under contingency Listed B3

• Order entry and cancellation interfaces certified for:
• • EntryPoint protocol
  • admin session
• Market data feed interfaces certified for:
• • UMDF PUMA Conflated protocol
  • PUMA UMDF 2.0 protocol Feed C
• Trading screens:
• • ePUMA
  • proprietary solutions developed by independent technology providers or participants

4. Morning test of electronic trading system

Because the mock trading session will use B3's contingency addresses and

infrastructure, the morning test on August 1, 2022 (Monday) will be held exceptionally from 7:00 a.m. to 8:00 a.m. for Listed B3 to allow participants to

validate the return of their configurations to the infrastructure address at B3's

main site.

Participation by all brokerage houses in this morning test is mandatory.

Other information

The activities to be performed during the test can be found in the script for the mock trading session in the contingency environment. Market data for these instruments will be sent during the mock trading session.

This document produces effects as of the date of its publication. Any specified time limits for validity shall apply.

This free translation into English from the original version in Portuguese is available for information purposes only, has not3 been reviewed by B3's legal counsel, and is therefore not legally binding. Any questions arising from this free translation

should be clarified by consulting the original version in Portuguese. In the event of any discrepancy between this free translation and the original version in Portuguese, the original version in Portuguese shall prevail.

INFORMAÇÃO PÚBLICA - PUBLIC INFORMATION

090/2022-VNC

Participation in the mock trading session must be confirmed no later than 12 noon on July 29, 2022 (Friday), by emailing [e-mail], with the subject line "Business Continuity Test", identifying the institution, naming the individuals who will participate, and supplying their contact details (telephone numbers and email addresses). In response to this confirmation, participants will receive the test script, and must fill it out and send it to the above email addresses.

The sender of the completed script will receive from B3 a declaration of participation, which with the script can be used as evidence in audits that include business continuity.

All participants in the mock trading session must adjust their internal systems so that its results are completely segregated from those of actual trading sessions.

Further information can be obtained from the Electronic Trading Department by calling [phone]/5022, or by emailing [e-mail] [e-mail].

Mario Palhares

Chief Operating Officer - Electronic Trading and CCP

This document produces effects as of the date of its publication. Any specified time limits for validity shall apply.

This free translation into English from the original version in Portuguese is available for information purposes only, has not4 been reviewed by B3's legal counsel, and is therefore not legally binding. Any questions arising from this free translation

should be clarified by consulting the original version in Portuguese. In the event of any discrepancy between this free translation and the original version in Portuguese, the original version in Portuguese shall prevail.

INFORMAÇÃO PÚBLICA - PUBLIC INFORMATION