Welcome! In this section of the Learning Center you will find resources to support your use of the ALERT^® service to create your own Standing Settlement Instructions and to view those of your counterparty. 

To find the content you need, either use the Search field, view the relevant topics below or browse all learning content from Resources.

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The ALERT^® platform is the industry’s largest and most compliant online global database for the maintenance and communication of account and standing settlement instructions (SSI), enabling a global community of investment managers, brokers/dealers and custodian banks to share account and SSI data accurately and automatically.

This overview section is aimed at those getting started with the ALERT product family. You can explore the ALERT services either by Role, further down the page, or by Product offering, under the Related Content section. You can find Technical documentation to support your implementation and set-up at the bottom of this page. 

For functionality and SSI data set-up, follow the SSI Management menu and select the path most appropriate to your needs. 

ALERT Services by Role

How your team interacts with ALERT will depend on your role and the ALERT feature you elect to utilise. Learn more about the different flavours of ALERT, by clicking the appropriate section, below:  

Technical Guidance

The below documents are key resources for any ALERT initial implementation. 

Find service-specific indepth technical guidance by selecting your required service from the Related Content Section on this page.

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The below documents outline the most recent ALERT enhancements:

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User and product management is instrumental in the successful adoption and implementation of ALERT. Find out what each entails below, and where to find guidance and support:

DART Requests

All ALERT client types who require an extract of data from ALERT can submit a request for a DART report, output in the format of a Microsoft Excel file. Please note this service is chargeable and you will be requested to provide billing details when submitting a request.

Full details on how to request a DART report are below, including which fields to populate depending on the type of data you are requesting. You can also review the ALERT Data Search reports documentation. 

Welcome! In this section of the Learning Center you will find resources to support broker/dealer users of inSITE who need to upload their disclosures and investment manager users who want to view the broker/dealer disclosures linked to their trade confirms. To find the content you need, either use the Search field, view the relevant topics below or browse all learning content from Resources.

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Welcome! In this section of the Learning Center you will find the resources you need to maximize your use CTM, our strategic central matching platform. To find the content you need either use the Search field or navigate to your area of interest to learn more about how to integrate CTM into your back/middle-office infrastructure or use the CTM UI to manage your matching exceptions. 

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Welcome! In this section of the Learning Center you will find the resources you need to maximize your use of TradeSuite ID, our trade confirmation system supporting the U.S. equity and fixed income markets. To find the content you need either use the Search field or navigate to your area of interest to learn more about how TradeSuite ID can be used as part of the ITP no-touch workflow.

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TradeSuite ID is the U.S. domestic industry-standard post trade processing service automating the electronic distribution of trade details between counterparties to facilitate electronic settlement and regulatory compliance. It can be used as a standalone service by both brokers and investment managers, or as a part of the ITP 'No-touch' workflow for U.S. domestic trades.

To learn more about the combined workflow between CTM and TradeSuite ID, please visit CTM Workflows - US-Specific Workflows.

To learn more about using the features and functionality of TradeSuite ID, including using the web-based user interface, please access the resources available under Related Content.

Welcome! In this section of the Learning Center you will find resources to support your use of archival services to retrieve archived trade records from both the CTM and TradeSuite ID services.

To find the content you need, either use the Search field, view the relevant topics below or browse all learning content from Resources.

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Welcome! In this section of the Learning Center you will find the resources you need to maximize your use of the Settlement Instruction Manager service.

To find the content you need either use the Search field or navigate to your area of interest to learn more about how Settlement Instruction Manager can be used as part of the ITP no-touch workflow.

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Welcome! In this section of the Learning Center you will find the resources you need to maximize your use of ITP Data Analytics. To find the content you need either use the Search field or navigate to your area of interest to learn more about how to use Data Analytics to undestand the operational performance of your ITP services.

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Welcome! In this section of the Learning Center you will find resources that support features, functionality and best practices that apply across multiple ITP products and services. To find the content you need, either use the Search field, view all relevant topics below or navigate to all available content by accessing Resources.

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IMS allows you to inquire about, authorize, or exempt securities eligible for settlement during the 6 business days beginning with S-1 (the day before settlement), and ending with S+5 (5 days after settlement).  

The Settlement Web is DTC's primary Settlement user interface. Clients have the ability to view their settlement activity as well as to submit transactions to DTC For end of day settlement.  

SMART/Track provides a centralized communications hub for the transmission of various message types between clients.

Access technical specification documents outlining the data format required in order to send and receive data.

Welcome! In this section of the DTCC Learning Center, access resources that you need to maximize your knowledge of NSCC Risk Management.

Welcome to the ETF Processing section of the Learning Center! Through our Exchange Traded Fund (ETF) process, you can safely and securely move ETFs and their underlying securities through the settlement process for clearing through NSCC. This automated process generates clearance instructions that are validated through Universal Trade Capture (UTC). Locate the content that you need by using Search to filter or access Resources to navigate to all of the ETF content.

Welcome to the CMU Division section of the Learning Center! Corporate, Municipal, and UIT (CMU) is a secure, trade entry management tool that incorporated robust search capabilities, statistical reporting, and exception processing. Locate the content that you need by using Search to filter or access Resources to navigate to all of the CMU content.

Welcome to the Universal Trade Capture (UTC) section of the Learning Center! The UTC service validates and reports equity transactions that are submitted to NSCC throughout the trading day by exchange or qualified special representatives (QSRs) that are NSCC members. Locate the content that you need by using Search to filter and view all relevant content or access Resources to navigate to all of the UTC content.

Welcome to the Consolidated Trade Summary (CTS) section of the Learning Center! The CTS system defines the expected settlement path for each transaction received by the Universal Trade Capture (UTC) service as eligible for CNS^® or non-CNS. Locate the content that you need by using Search to filter or access Resources to navigate to all of the CTS content.

Welcome to the CNS^® section of the Learning Center! The CNS system is the core netting, allotting, and fail-control engine operated by NSCC. It is the standard for clearing and settling equities, fixed income, and other eligible securities at DTC. Locate the content that you need by using Search to filter or access Resources to navigate to all of the CNS content.

Welcome to the Obligation Warehouse section of the Learning Center! Obligation Warehouse provides an automated service for matching obligations submitted by members for U.S. securities classified as equities, corporates, or unit investment trusts (UITs). In addition, Obligation Warehouse receives matched trades through Consolidated Trade Summary (CTS). Locate the content that you need by using Search to filter or access Resources to navigate to all of the Obligation Warehouse content.

Welcome to the ACATS section of the Learning Center! The Automated Customer Account Transfer Service (ACATS) system automates and standardizes procedures for transferring assets in a customer account from one brokerage firm or bank to another. Locate the content that you need by using Search to filter or access Resources to navigate to all of the ACATS content.

Welcome to the Cost Basis Reporting Service (CBRS) section of the Learning Center! CBRS is an automated system that supports the transfer of cost basis information from one firm to another for any asset transfer. Locate the content that you need by using Search to filter or access Resources to navigate to all of the CBRS content.

Welcome to the SFT Clearing section of the Learning Center! The Securities Financing Transaction (SFT) Clearing service provides central clearing for equity lending and borrowing transactions, leveraging the clearing capabilities, risk management, and efficient infrastructure of the DTCC equities clearing subsidiary, National Securities Clearing Corporation (NSCC). Locate the content that you need by using Search to filter or access Resources to navigate to all of the SFT Clearing content.

US Government Securities is the largest sector of the fixed income market. The GSD Learning Center is designed as an educational resource to better equip Fixed Income Clearing Corporation's (FICC's) Government Securities Division (GSD) Members and stakeholders with tools needed to use GSD's products and services.

MBSD's mission is to reduce the costs and risks associated with trading in the agency mortgage-backed securities market. To accomplish this mission, MBSD provides high-quality and value-added services that are driven by the needs of its members and industry participants.

Welcome! In this section of the DTCC Learning Center you will find the resources you need to maximize your use of DTCC’s Underwriting Services offerings. You can use Search, the Resources tab (includes filters to help narrow your search), and Quick Links to learn more.

Underwriting is the entry point for depository and book-entry transfer services at The Depository Trust Company (DTC). UW SOURCE is the system that gives you access to Underwriting functions. The Underwriting Central (UWC) application integrates data validation, electronic vaulting, and e-signatures to create a better experience for brokers and issuers. It improves upon UW SOURCE with a more streamlined user interface, fewer operational touch-points, improved data quality, and added transparency into the DTC eligibility life cycle.

The Resources tab at the top of this page includes items related to Underwriting Services in general, but not those specific to the UW SOURCE or Underwriting Central (UWC) applications.

• For a view of resources pre-filtered to show only those specific to UWC, see the Resources tab at the top of the Underwriting Central (UWC) page (see also Underwriting Services menu).
• For a view of resources pre-filtered to show only those specific to UW SOURCE, see the Resources tab at the top of the UW SOURCE page (see also Underwriting Services menu). These views can then be filtered to show resources by topic, format (document, video, etc.), and sorted by title, date of publication, etc.

Underwriting Services and Asset Services - Flow Diagram (excerpt)

Welcome! In this section of the DTCC Learning Center you will find the resources you need to maximize your use of DTCC’s Securities Processing services. Use Quick Links, the Securities Processing Resources tab (utilize filters to help narrow returned results), and Search to learn more.

Welcome to the Securities Processing section of this Learning Center. Through its suite of Securities Processing services The Depository Trust Company (DTC) provides its participant firms a range of safekeeping and processing services for various types of securities. Securities Processing services deliver efficient and cost-effective solutions for deposits, withdrawals, electronic direct registration and custody. 

The Custody Service is a unified service that allows you to perform physical deposits, withdrawals and more. See the Custody Service Overview section below to access links to available Custody Service learning solutions. You may also wish to view the  Custody Conversion Checklist  to track your readiness for using the Custody Service. This spreadsheet outlines the sequence of events that must take place, as well as the party or parties responsible for each step.

Custody Service Overview

Use the links below to begin learning more about Custody Services:

Custody Service
Explains benefits, asset eligibility and components of the Custody Service. Includes information about Restricted Deposits/Transfers and Custody Reorg.

Custody Eligibility
Includes videos demonstrating the Custody Eligibility system which allows you to obtain Custody CUSIPs through self-service, speeds your ability to make deposits quickly, and promotes straight-through processing of Custody deposits.

Custody in PBS
Learn about using the Custody functionality in the Participant Browser System (PBS).

Custody Safekeeping
These videos provide in-depth explanations of the deposit, withdrawal, transfer and inquiry aspects of the Custody Safekeeping functionality.

New York Window
Learn about processing receives and delivers, as well as viewing and cancelling physical settlement items.

Welcome! In this section of the DTCC Learning Center you will find the resources you need to maximize your use of DTCC’s Corporate Actions Processing solutions. Use Quick Links, the Corporate Actions Processing Resources tab (utilize filters to help narrow returned results), and Search to learn more.

Welcome to the Corporate Actions Processing section of this Learning Center. The Corporate Actions Processing section contains learning resources about the Depository Trust Company's (DTC) wide array of services for processing corporate action events for approximately 1.3 million active DTC-eligible securities. These services include announcing details of upcoming events and providing participants with information about their entitlements, accepting and acting on their instructions, and collecting, allocating, and reporting payments across various corporate action event types, including distributions, redemptions, and reorganizations. Use the Corporate Actions Processing menu at left to learn more about:

CA Web

• Learning content specific to the Corporate Actions browser-based user interface (CA Web), from announcements through the entire lifecycle, and links to learning resources such as user guides, help files, eLearning, FAQs and other supporting documentation.

Agent Announcement Portal

• Learning content specific to the Agent Announcement Portal allowing agents, issuers, and third parties to provide Corporate Action Event Announcement information directly to DTCC’s announcement and processing systems. 

ClaimConnect^TM

• User guides, eLearning and other resources supporting the ClaimConnect™ service, a solution to the industry's challenges in handling claims that may not be tracked by DTC (and eliminates the need for dedicated departments and e-mail reconciliation).

Distributions

• DTC’s Corporate Actions Processing Service for Distributions provides full lifecycle processing, including announcing details of upcoming events, providing participants with information about their entitlements, accepting and acting on their instructions, and collecting, allocating and reporting payments.

Dividend and Income Processing

• DTC's Dividend services include announcing, collecting, allocating and reporting dividend, interest and certain principal payments on behalf of its participants with securities in DTC custody. Includes resources related to CTAS, Interim Accounting and PUT Bonds.

ISO 20022 Messaging

• Resources related to ISO 20022, an international messaging standard that simplifies global business communication by creating a common language for financial information.

Redemptions

• DTC’s Corporate Actions Processing Service for Redemptions provides full lifecycle processing, including announcing details of upcoming events, providing participants with information about their entitlements, and collecting, allocating, and reporting payments. 

Reorg

• DTC’s Corporate Actions Processing Service for Reorganizations provides full lifecycle processing, including sourcing and announcing the details of upcoming events, accepting and acting on instructions, and collecting, allocating, and reporting on the resulting entitlements. 

Welcome! In this section of the DTCC Learning Center you will find the resources you need to maximize your use of DTC’s Issuer Services. You can use Search, the Resources tab (includes filters to help narrow your search), and Quick Links to learn more.

DTC's Issuer Services provide an array of central communication and information resources for depository-eligible securities that facilitate outreach by issuers to shareholders. Through its efficient, cost-effective and risk-mitigating offerings, Issuer Services help achieve timely and accurate communication among interested parties with respect to securities held and serviced at DTC.

DTC’s Legal Notice System (LENS) service offers access to a comprehensive online library of notices concerning DTC-eligible securities that are published and furnished by third-party agents, courts and security issuers.

DTC's Security Position Reports (SPR) provide issuers, trustees and authorized third-party agents with valuable information on the position holdings of DTC participants in the issuer’s security as of a specified time period.

DTC's Issuer Agent Portal provides a means for Agents, Trustees, Issuers, and Third-Party Partners to submit notices directly to LENS.  The portal allows for entry of Legal and Tax Notices  as well as Transfer Agent 17Ad-16 Notices . 

The Resources tab at the top of this page includes items related to Issuer Services in general and also those specific to the Legal Notice System (LENS) and Security Position Reports (SPR).

• For a view of resources pre-filtered to show only those specific to LENS, see the Resources tab at the top of the LENS page (see also Issuer Services menu).
• For a view of resources pre-filtered to show only those specific to SPR, see the Resources tab at the top of the SPR page (see also Issuer Services menu). These views can then be filtered to show resources by topic, format (document, video, etc.), and sorted by title, date of publication, etc.

For answers to general Issuer Services questions, see the FAQs on this page.

Issuers can also learn more about DTC and its role as a central securities depository at the DTCC website.

Welcome! In this section of the DTCC Learning Center you will find the resources you need to maximize your use of DTCC’s Global Tax Services. Use Quick Links, the Global Tax Services Resources tab (utilize filters to help narrow returned results), and Search to learn more.

Welcome! In this section of the DTCC Learning Center you will find the resources you need to maximize your use of DTCC’s Agent Services. Use Quick Links, the Agent Services Resources tab (utilize filters to help narrow returned results), and Search to learn more.

Welcome to the Agent Services section of this Learning Center. It is designed to facilitate communication with the agent community by providing information and reference documentation that is necessary to interact with The Depository Trust Company (DTC). If you haven't already, DTCC Learning recommends you familiarize yourself with the Agent Services page on DTCC.com, as it provides information related to:

• becoming a DTC-eligible agent,
• the FAST program (see also FAST Agent Learning Resources below),
• the Direct Registration System (DRS), and
• important forms and reference information about Corporate Actions.

The Agent Services section of the Learning Center assumes you have familiarized yourself with the information available on DTCC.com and are either ready to apply for FAST Agent membership, or are already a FAST Agent. In the latter case, be sure to access the FAST Agent Learning Resources, below.

The following library constitutes the CCF (Computer to Computer File Transmission) record formats for DTC Asset Services and DTC Masterfile products.

The following library constitutes the PTS (Participant Terminal Systems) library. Click a link in the left column to download a PTS Function guide relevant to Asset Services.

Welcome! In this section of the Learning Center you will find resources that support features, functionality and best practices that apply across multiple MFS products and services. Scroll down to read the brief descriptions and click Learn more to go to the related page.

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Fund/SERV^® is the U.S. industry standard for processing and settling mutual fund, bank collective fund and other pooled investment product transactions between fund companies and distributors.

DTCC Payment aXis^® automates and streamlines the processing of commissions and various mutual fund fee types, including the transmission and settlement of invoices for broker controlled and retirement plan accounts.

DTCC’s MF Info Xchange facilitates and centralizes the delivery and receipt of time-critical mutual fund, bank collective fund and other pooled investment product notifications to reduce risk throughout the communication process.

In the section, you will find all the resources you need to make the most of MF Info Xchange including a user guide and how to videos.  

Mutual Fund Profile Service I Daily Price and Rate File (MFPS I) provides fund companies with an automated solution for delivering prices and daily distribution rates to their intermediaries.

Mutual Fund Profile Service II (MFPS II) is a multi-dimensional repository of two databases that allows funds, broker/dealers and other distribution firms to automate and streamline the exchange of accurate and timely information on securities, participants and distributions.

Networking, offered by DTCC’s Wealth Management Services (WMS), is the industry standard for mutual fund account reconciliation and dividend processing.

Omni/SERV^® provides a streamlined communication platform for the transmission of Activity and Position files for fund accounts held in Omnibus, enabling participating trading partners to share sub-account information.

Welcome! In this section of the Learning Center you will find resources to support your use of the Commissions (COM) service. To find the content you need, either use the Search field, view the relevant topics below or browse all learning content from Resources.

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Welcome! In this section of the Learning Center you will find resources to support your use of the Licensing and Appointments (LNA) service. To find the content you need, either use the Search field, view the relevant topics below or browse all learning content from Resources.

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Welcome! In this section of the Learning Center you will find resources to support your use of the Producer Management Portal (PMP). To find the content you need, either use the Search field, view the relevant topics below or browse all learning content from Resources.

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Welcome! In this section of the Learning Center you will find resources to support your use of the Applications and Premium (AAP) service. To find the content you need, either use the Search field, view the relevant topics below or browse all learning content from Resources.

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Welcome! In this section of the Learning Center you will find resources to support your use of the Attachments (ATT) service. To find the content you need, either use the Search field, view the relevant topics below or browse all learning content from Resources.

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Welcome! In this section of the Learning Center you will find resources to support your use of the Initial Application (APP) and Subsequent Premium (SUB) services. To find the content you need, either use the Search field, view the relevant topics below or browse all learning content from Resources.

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Welcome! In this section of the Learning Center you will find resources to support your use of the Financial Activity Reporting (FAR) service. To find the content you need, either use the Search field, view the relevant topics below or browse all learning content from Resources.

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Welcome! In this section of the Learning Center you will find resources to support your use of the Insurance Information Exchange (IIEX) platform. To find the content you need, either use the Search field, view the relevant topics below or browse all learning content from Resources.

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Welcome! In this section of the Learning Center you will find resources to support your use of the Positions and Valuations (POV) service. To find the content you need, either use the Search field, view the relevant topics below or browse all learning content from Resources.

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Welcome! In this section of the Learning Center you will find resources to support your use of the Account Transfers for Insurance (ACATS/IPS) service. To find the content you need, either use the Search field, view the relevant topics below or browse all learning content from Resources.

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Welcome! In this section of the Learning Center you will find resources to support your use of the In-Force Transactions (IFT) service. To find the content you need, either use the Search field, view the relevant topics below or browse all learning content from Resources.

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Welcome! In this section of the Learning Center you will find resources to support your use of the Settlement Processing for Insurance (STL) service. To find the content you need, either use the Search field, view the relevant topics below or browse all learning content from Resources.

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Welcome! In this section of the Learning Center you will find resources to support your use of the Commission Schedule Transmittal (CST) service. To find the content you need, either use the Search field, view the relevant topics below or browse all learning content from Resources.

Welcome! In this section of the Learning Center you will find resources to support your use of the Fee and Expense Transmittal (FET) service. To find the content you need, either use the Search field, view the relevant topics below or browse all learning content from Resources.

Welcome! In this section of the Learning Center you will find resources to support your use of Insurance and Retirement Services. To find the content you need, either use the Search field, view the relevant topics below or browse all learning content from Resources.

You are reporting derivatives trade data to CFTC / Canada / SEC.

You are reporting derivatives trade data to ESMA under the EMIR Refit regulation.

You are reporting derivatives trade data to FCA under the EMIR Refit regulation.  

You are reporting SFT Transactions, CCP Margin, and Collateral Reuse data to ESMA or FCA under the SFTR regulation.

You are reporting derivatives trade data to Australia (ASIC) under the ASIC Rewrite regulation.

You are reporting derivatives trade data to Singapore (MAS) under the MAS Rewrite rules.

You are reporting derivatives trade data to JFSA.

You are reporting derivatives trade data to HKMA.

You are reporting derivatives trade data to FINMA under the FINFraG regulation.

DTCC CDS Kinetics provides market risk perspectives on credit derivatives traded globally, by utilizing position data sourced from DTCC’s Trade Information Warehouse (TIW). TIW is a centralized infrastructure for reporting and asset servicing on approximately 98% of all credit derivative transactions outstanding worldwide.

DTCC Equity Kinetics enables users to view, track and analyze aggregated U.S. equities trade volumes over time and in the context of broader market activity.

DTCC’s Money Market Kinetics provides a single, daily feed of anonymized CP and CD secondary settlement transactions data–excluding IPA to dealer–to enhance analysis of this enormous market.

DTCC Treasury Kinetics enhances the transparency of the U.S. Treasury repurchase agreement (repo) market by delivering a daily summary of aggregated and anonymized repo trade activity.

DTCC’s OTC Direct Connect provides subscribers with a systematic delivery mechanism for OTC derivatives transaction data published on DTCC Data Repository (U.S.) LLC’s (DDR) public price dissemination dashboard (PPD Dashboard).

DTCC’s CA 20022 Service utilizes Corporate Action Identifier and the ISO 20022 common messaging language to deliver near-real-time messaging on corporate action announcements for 1.3 million active security issues.

DTCC's CA Web Service offers a near-real-time, consolidated source for DTC-eligible announcements in a feature-rich browser.

DTCC’s ETF Portfolio Data Service enhances users’ decision-making in the management of Exchange-Traded-Fund (ETF) portfolios with a consolidated, convenient and consistent feed of U.S.-listed ETFs.

DTCC’s Legal Notice System (LENS) Data provides a comprehensive, searchable library, updated daily, of legal notices concerning DTC-eligible securities that are published and furnished by third-party agents, courts and security issuers.

DTCC’s Security Master File Data service provides the most up to date, comprehensive, centralized and reliable source of DTCC eligible securities' information to the market.

DTCC’s Liquidity Coverage Ratio (LCR) Service provides a calculation of commercial paper (CP) market exposure that helps market participants determine optimal capital obligations.