SMB2与SMB3协议规范详解

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"SMB2 Protocol Specification" Server Message Block (SMB) 协议是网络上计算机共享文件、打印机、串行端口和其他资源的主要通信协议。SMB2 是 SMB 协议的一个重大改进版本，旨在提供更高的性能、更强的安全性和更低的延迟。SMB2 规范详细描述了如何实现和交互这种协议，特别是在Windows操作系统环境中，微软在2012年发布了此版本的规范。 SMB2 提供的功能包括： 1. **多通道支持**：允许多个并行连接来提高数据传输速率，从而增强了网络性能。 2. **压缩**：协议支持数据压缩，减少网络带宽的使用，尤其是在低带宽环境中。 3. **缓存协调**：客户端和服务器之间的缓存同步机制，确保文件的一致性，即使在断开连接后也能正确处理。 4. **增强的安全特性**：支持更强大的加密和身份验证机制，如NTLMv2和Kerberos，提高了数据安全。 5. **元数据查询**：允许更快地获取文件属性，而无需实际读取文件内容。 6. **批量IO操作**：通过批量请求和响应，减少网络往返次数，提高效率。 7. **锁定优化**：改进的文件锁定管理，允许更灵活的并发访问控制。 8. **取消请求**：允许客户端取消尚未完成的操作，提高了系统响应速度。 9. **改变通知**：服务器可以主动通知客户端文件或目录的更改，减少了不必要的轮询。 10. **树连接**：对共享资源的逻辑组织，允许在一个连接下访问多个共享。 MS-SMB2 规范还涵盖了知识产权声明，微软允许开发人员在遵循一定条款的情况下使用这些技术进行实施。开发人员可以复制文档，创建实现，并在他们的实现中包含必要的部分来充分记录。此外，他们还可以在自己的实现中，无论是否修改，分发文档中的任何模式、IDL（接口定义语言）或代码示例。 SMB2 进一步发展到SMB3，增加了更多功能，如加密的网络流量、持续可用性支持以及对分布式文件系统复制（DFS-R）的改进。随着技术的发展，SMB 协议不断演进以适应现代企业环境的需求，如云存储和大数据应用场景。

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[MS-SMB2] — v20120705

Server Message Block (SMB) Protocol Versions 2 and 3 Specification

Release: Thursday, July 5, 2012

Share: A local resource that is offered by an SMB 2 Protocol server for access by SMB 2 Protocol

clients over the network. The SMB 2 Protocol defines three types of shares: file (or disk)

shares, which represent a directory tree and its included files; pipe shares, which expose

access to named pipes; and print shares, which provide access to print resources on the

server. A pipe share as defined by the SMB 2 Protocol must always have the name "IPC$". A

pipe share must only allow named pipe operations and DFS referral requests to itself.

Tree Connect: A connection by a specific session on an SMB 2 Protocol client to a specific

share on an SMB 2 Protocol server over an SMB 2 Protocol connection. There could be

multiple tree connects over a single SMB 2 Protocol connection. The TreeId field in the

SMB2 packet header (section 2.2.1) distinguishes the various tree connects.

WorldSid: A SID with the specific value of S-1-1-0.

MAY, SHOULD, MUST, SHOULD NOT, MUST NOT: These terms (in all caps) are used as

described in [RFC2119]. All statements of optional behavior use either MAY, SHOULD, or

SHOULD NOT.

1.2 References

References to Microsoft Open Specifications documentation do not include a publishing year because

links are to the latest version of the documents, which are updated frequently. References to other

documents include a publishing year when one is available.

1.2.1 Normative References

We conduct frequent surveys of the normative references to assure their continued availability. If

you have any issue with finding a normative reference, please contact dochelp@microsoft.com. We

will assist you in finding the relevant information. Please check the archive site,

http://msdn2.microsoft.com/en-us/library/E4BD6494-06AD-4aed-9823-445E921C9624, as an

additional source.

[FIPS180-2] Federal Information Processing Standards Publication, "Secure Hash Standard", FIPS

PUB 180-2, August 2002, http://csrc.nist.gov/publications/fips/fips180-2/fips180-2.pdf

[MS-CIFS] Microsoft Corporation, "Common Internet File System (CIFS) Protocol Specification".

[MS-DFSC] Microsoft Corporation, "Distributed File System (DFS): Referral Protocol Specification".

[MS-DTYP] Microsoft Corporation, "Windows Data Types".

[MS-ERREF] Microsoft Corporation, "Windows Error Codes".

[MS-FSCC] Microsoft Corporation, "File System Control Codes".

[MS-KILE] Microsoft Corporation, "Kerberos Protocol Extensions".

[MS-NLMP] Microsoft Corporation, "NT LAN Manager (NTLM) Authentication Protocol Specification".

[MS-PCCRC] Microsoft Corporation, "Peer Content Caching and Retrieval: Content Identification".

[MS-RPCE] Microsoft Corporation, "Remote Procedure Call Protocol Extensions".

[MS-SMB] Microsoft Corporation, "Server Message Block (SMB) Protocol Specification".

[MS-SPNG] Microsoft Corporation, "Simple and Protected GSS-API Negotiation Mechanism (SPNEGO)

Extension".

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[MS-SMB2] — v20120705

Server Message Block (SMB) Protocol Versions 2 and 3 Specification

Release: Thursday, July 5, 2012

[MS-SRVS] Microsoft Corporation, "Server Service Remote Protocol Specification".

[SP800-108] National Institute of Standards and Technology. "Special Publication 800-108,

Recommendation for Key Derivation Using Pseudorandom Functions", October 2009,

http://csrc.nist.gov/publications/nistpubs/800-108/sp800-108.pdf

[RFC1002] Network Working Group, "Protocol Standard for a NetBIOS Service on a TCP/UDP

Transport: Detailed Specifications", STD 19, RFC 1002, March 1987,

http://www.ietf.org/rfc/rfc1002.txt

[RFC2104] Krawczyk, H., Bellare, M., and Canetti, R., "HMAC: Keyed-Hashing for Message

Authentication", RFC 2104, February 1997, http://www.ietf.org/rfc/rfc2104.txt

[RFC2119] Bradner, S., "Key words for use in RFCs to Indicate Requirement Levels", BCP 14, RFC

2119, March 1997, http://www.rfc-editor.org/rfc/rfc2119.txt

[RFC2743] Linn, J., "Generic Security Service Application Program Interface Version 2, Update 1",

RFC 2743, January 2000, http://www.ietf.org/rfc/rfc2743.txt

[RFC4178] Zhu, L., Leach, P., Jaganathan, K., and Ingersoll, W., "The Simple and Protected Generic

Security Service Application Program Interface (GSS-API) Negotiation Mechanism", RFC 4178,

October 2005, http://www.ietf.org/rfc/rfc4178.txt

[RFC4309] Housley, R., "Using Advanced Encryption Standard (AES) CCM Mode with IPsec

Encapsulating Security Payload (ESP)", RFC 4309, December 2005,

http://www.ietf.org/rfc/rfc4309.txt

[RFC4493] Song, JH., Poovendran, R., Lee, J., and Iwata, T., "The AES-CMAC Algorithm", RFC 4493,

June 2006, http://www.ietf.org/rfc/rfc4493.txt

[RFC5084] Housley, R., "Using AES-CCM and AES-GCM Authenticated Encryption in the

Cryptographic Message Syntax (CMS)", RFC 5084, November 2007,

http://www.ietf.org/rfc/rfc5084.txt

[UNICODE] The Unicode Consortium, "Unicode Home Page", 2006, http://www.unicode.org/

1.2.2 Informative References

[FSBO] Microsoft Corporation, "File System Behavior in the Microsoft Windows Environment", June

2008, http://download.microsoft.com/download/4/3/8/43889780-8d45-4b2e-9d3a-

c696a890309f/File%20System%20Behavior%20Overview.pdf

[MS-AUTHSO] Microsoft Corporation, "Windows Authentication Services System Overview".

[MS-FSA] Microsoft Corporation, "File System Algorithms".

[MS-GLOS] Microsoft Corporation, "Windows Protocols Master Glossary".

[MS-LSAD] Microsoft Corporation, "Local Security Authority (Domain Policy) Remote Protocol

Specification".

[MS-PCCRR] Microsoft Corporation, "Peer Content Caching and Retrieval: Retrieval Protocol

Specification".

[MS-SMBD] Microsoft Corporation, "SMB2 Remote Direct Memory Access (RDMA) Transport Protocol

Specification".

[MS-SWN] Microsoft Corporation, "Service Witness Protocol Specification".

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[MS-SMB2] — v20120705

Server Message Block (SMB) Protocol Versions 2 and 3 Specification

Release: Thursday, July 5, 2012

[MS-WSO] Microsoft Corporation, "Windows System Overview".

[MSDFS] Microsoft Corporation, "How DFS Works", March 2003, http://technet.microsoft.com/en-

us/library/cc782417%28WS.10%29.aspx

[MSDN-IMPERS] Microsoft Corporation, "Impersonation" http://msdn.microsoft.com/en-

us/library/ms691341.aspx

[MSDN-IoCtlCodes] Microsoft Corporation, "Defining I/O Control Codes",

http://msdn.microsoft.com/en-us/library/ms795909.aspx

[MSDN-SOCKADDR_STORAGE] Microsoft Corporation, "SOCKADDR_STORAGE structure",

http://msdn.microsoft.com/en-us/library/ms740504(VS.85).aspx

[OFFLINE] Microsoft Corporation, "Offline Files", January 2005,

http://technet2.microsoft.com/WindowsServer/en/Library/830323a2-23ca-4875-af3c-

06671d68ca9a1033.mspx

1.3 Overview

The Server Message Block (SMB) Protocol Versions 2 and 3, hereafter referred to as "SMB 2

Protocol", is an extension of the original Server Message Block (SMB) Protocol (as specified in [MS-

SMB] and [MS-CIFS]). Both protocols are used by clients to request file and print services from a

server system over the network. Both are stateful protocols in which clients establish a connection

to a server, establish an authenticated context on that connection, and then issue a variety of

requests to access files, printers, and named pipes for interprocess communication.

The SMB 2 Protocol is a major revision of the existing SMB Protocol, as specified in [MS-SMB]. The

packet formats are completely different from those of the SMB Protocol; however, many of the

underlying concepts are carried over. The underlying transports that are used to initiate and accept

connections are either Direct TCP or NetBIOS over TCP transports as specified in [MS-SMB] section

2.1.

To retain compatibility with existing clients and servers, the existing SMB Protocol can be used to

negotiate the use of the SMB 2 Protocol, as described in section 1.7. However, the two protocols will

never be intermixed on a specified connection after one is selected during negotiation.

Like its predecessor, which was the original SMB Protocol (as specified in [MS-SMB]), the SMB 2

Protocol supports the following features:

Establishing one or more authenticated contexts for different security principals on a connection.

Connecting to multiple shared resources on the target server on a connection.

Opening, reading, modifying, or closing multiple files or named pipes on the target server.

Using the opportunistic locking of files to allow clients to cache data for better performance.

Querying and applying attributes to files or volumes on the target server.

Canceling outstanding operations.

Passing through IO control code operations to the underlying object store on the server machine.

Validating the integrity of requests and responses.

Support for share scoping and server aliases to allow a single server to appear as multiple

distinct servers, as described in [MS-SRVS] section 1.3.

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[MS-SMB2] — v20120705

Server Message Block (SMB) Protocol Versions 2 and 3 Specification

Release: Thursday, July 5, 2012

The SMB 2 Protocol provides several enhancements in addition to the preceding features:

Allowing an open to a file to be reestablished after a client connection becomes temporarily

disconnected.

Allowing the server to balance the number of simultaneous operations that a client can have

outstanding at any time.

Providing scalability in terms of the number of shares, users, and simultaneously open files.

Supporting symbolic links.

Using a stronger algorithm to validate the integrity of requests and responses.

The SMB 2.1 dialect introduces the following enhancements:

Allowing a client to indicate support for multiple SMB 2 dialects in a multi-protocol negotiate

request.

Allowing a client to obtain and preserve client caching state across multiple opens from the same

client.

Allowing a client to mark individual write operations on unbuffered handles to be treated as

write-through.

Allowing a client to retrieve hashes of a file for use in branch cache retrieval, as specified in [MS-

PCCRC] section 2.3.

The SMB 3.0 dialect introduces the following enhancements:

Allowing a client to retrieve hashes for a particular region of a file for use in branch cache

retrieval, as specified in [MS-PCCRC] section 2.4.

Allowing a client to obtain lease on a directory.

Supporting the encryption of traffic between client and server on a per-share basis.

Supporting the use of Remote Direct Memory Access (RDMA) transports, when the appropriate

hardware and network are available.

Supporting enhanced failover between client and server, including optional handle persistence.

Allowing a client to bind a session to multiple connections to the server. A request can be sent

through any channel associated to the session, and the corresponding response is sent through

the same channel as used by the request. The following diagram shows an example of two

sessions using multiple channels to the server.

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[MS-SMB2] — v20120705

Server Message Block (SMB) Protocol Versions 2 and 3 Specification

Release: Thursday, July 5, 2012

Figure 1: Two sessions using multiple channels

1.4 Relationship to Other Protocols

The SMB 2 Protocol may be negotiated by using an SMB negotiate, as specified in [MS-SMB] section

1.7. After a dialect of the SMB 2 Protocol is selected during negotiation, all messages that are sent

on the connection (including the negotiate response) will be SMB 2 Protocol messages, as specified

in this document, and no further SMB traffic will be exchanged on the connection.

For authentication, the SMB 2 Protocol relies on Simple and Protected GSS-API Negotiation

(SPNEGO), as specified in [RFC4178] and [MS-SPNG], which in turn may rely on the Kerberos

Protocol Extensions (as specified in [MS-KILE]) or the NT LAN Manager (NTLM) Authentication

Protocol (as specified in [MS-NLMP]).

The SMB 2 Protocol uses either TCP or NetBIOS over TCP as underlying transports. The SMB 3.0

dialect also supports the use of RDMA as a transport.

Machines using the SMB 2 Protocol can use the Distributed File System (DFS): Referral Protocol as

specified in [MS-DFSC] to resolve names from a namespace distributed across many servers and

geographies into local names on specific file servers.

DFS clients communicate with DFS servers via referral requests/responses conveyed in SMB2 IOCTL

messages, analogous to a file system client performing control operations on a remote object store

via requests/responses conveyed in SMB2 IOCTL messages. The communication between the SMB2

server and the DFS server (or SMB2 server and object store), for the purpose of performing the

specified IOCTL operations, is local to the server machine, and takes place via implementation-

dependent means.

The Remote Procedure Call Protocol Extensions, as specified in [MS-RPCE], define an RPC over SMB

Protocol or SMB 2 Protocol sequence that can use SMB 2 Protocol named pipes as its underlying

transport. The selection of protocol is based on client behavior during negotiation, as specified in

section 1.7.

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