• ALERT Videos for Investment Managers and Hedge Funds

  • GTR Re-Architecture Fact Sheet

     
  • Video—Introducing the UI 4.0

    Watch this short, introductory video to learn more about all of these benefits and see a demonstration of the new UI.
  • How to Upgrade to the UI 4.0

    The UI 4.0 is available to all current CTM users. Follow the steps below to get access: Go to https://ctmweb.omgeo.net (Production) or https://ctmwebct.omgeo.net (Client Test). Log in using your existing CTM User ID and Password. You will be logged into the new UI. Your User ID will be permissioned with the same actions you have available when logged into your existing...
  • Features and Functionality of the UI 4.0

    In the below table you can see which functionality is available now and when additional functionality will be added. Any functionality not yet included in the CTM UI 4.0 can still be accessed using older versions of the UI. Feature/Functionality  Available Now Scheduled for 2018 Support of Equity and Debt Trades x   Trade actions: Force Pair, Force Match, Reject,...
  • Documentation—UI 4.0

    Find below our Product Release Information documents for all UI 4.0 releases to date, detailing the functionality added with each release. The most recent release, Release 6, was made available in November 2017. Product Release Information: UI 4.0 Release 6 (Release 5 was merged with Release 6) Product Release Information: UI 4.0 Release 4 Product Release Information: UI 4.0 Release...
  • DTCC Exception Manager

    The DTCC Exception Manager service is a venue to publish, manage, and communicate on exceptions throughout the trade lifecycle process. This exception and workflow management service supports all securities transactions globally. The DTCC Exception Manager service centralizes and standardizes exception processing to enable faster resolution and deliver a significant reduction in the number...
  • Triparty Exposure Detail Screen

    The Triparty Exposure Detail screen is the complete Triparty record. The screen provides various details including enrichment information, instructions sent to the Triparty agent (MT527), and any Triparty agent status updates already received via MT558 message. The Triparty Exposure Detail screen is labled with an MTU system generated unique Transaction ID...
  • Message Submission

    Manually Uploading a Message Submission using Spreadsheet Upload Once the message has been created, the next step is to submit it into the GTR. How you do this will depend on the format the message has been created in and whether or not you are automating this submission. Spreadsheet Upload Follow these steps to access the GTR Portal and submit by uploading spreadsheets: 1. Go to the...
  • EOD CSV Sample

    EOD Sample CSV File
  • Adjustments to a Required Participants Fund Deposit

    DTC may increase the Required Participants Fund Deposit of a Participant as provided in Rule 9(A), including due to a credit, market, operational, or other concern regarding the Participant. For illustrative purposes, typically, the following factors may be taken into consideration for such an increase: The Participant’s liquidity arrangements, The Participant’s overall financial...
  • Memo Segregation DO Reason Codes

    The following is a listing of descriptions of the reason codes referred to in the “Memo Segregation” section above. 10 (Stock Loan) 11 (Stock Loan Reclaim-DK) 12 (Stock Loan Reclaim-Wrong Quantity) 13 (Stock Loan Reclaim-Wrong Security) 14 (Stock Loan Reclaim-Wrong Money) 15 (Stock Loan Reclaim-Partial) 16 (Stock Loan Reclaim-Needs Account Information) 17 (Stock Loan...
  • NSCC Equity Trade Capture Fee Descriptions

    Units (fee ID 2481) Units is a tiered fee that decreases as unit volume increases. Rate Tier (items) $0.021593 0 to 35,000 $0.001197 35,001 to 42,000,000 $0.000628 More than 42,000,001 Units is the gross number of transactions for which a broker is buyer or seller. Before passing the amounts to billing UTC deducts non-DTCC settling trades (“Z” trades),...
  • Introduction to the Securities Industry and DTCC Webinar

    Course Description This is a three-day course that provides attendees with a broad understanding of the financial marketplace.  It examines the paper work crisis, marketplace players and governing bodies that helped with the creation and stabilization of the exchanges and marketplaces in the United States. The course is divided into the following topical areas: (1) The Securities...
  • Introduction to Continuous Net Settlement (CNS) Webinar

    ® Course Description This course provides an overview of NSCC’s Continuous Net Settlement (CNS®). CNS® is an accounting and fail control system used for settling equities and fixed-income securities that are NSCC- and DTC-eligible. This course describes how CNS® centralizes the settlement of compared security transactions and maintains an orderly flow of security and money balances....
  • DTC Settlement 101: Introduction to Settlement

    Course Description DTC provides the settlement architecture for most equities and municipal and corporate bond transactions in the U.S. These services are available through DTC’s Settlement Web application. In this course you will be introduced to DTC's role in the settlement process, as well as certain aspects of its system architecture.   What You Will Learn: At the completion of...
  • DTC Settlement I: Risk Management Controls Webinar

    Course Description This course provides a high-level overview of how DTC manages risk in the settlement process. Topics include the method by which DTC collateralizes all securities, as well as specific control mechanisms such as the Collateral Monitor, Net Debit Cap and Largest Provisional Net Credit (LPNC).   What You Will Learn: At the completion of the course students should be...
  • DTC Settlement II: Transactions and Systems Webinar

    Course Description This course provides an overview of the common transaction types that impact settlement at DTC, as well as introduces the systems that support their processing.  Deliver Orders (DO), Payment Orders (PO), Reclaims (DK) and Collateral Loans are defined within the context of DTC’s processing systems workflow. The course is divided into the following topical areas: (1)...
  • DTC Settlement III: End-of-Day Processing Webinar

    Course Description This course provides an overview of the end-of-day settlement process at DTC.  Topics include consolidated settlement, processing deadlines and the role of the settling bank.   What You Will Learn: At the completion of the course students should be able to: Understand how transactions are processed via DTC system and their impact on end-of-day...
  • CMU FAQs

    The CMU team here at DTCC™ Learning have compiled a list of frequently asked questions that you yourself may be asking.  Please read the CMU FAQs and let us know if you have any questions. Click here to see the CMU FAQs online; or Click here to download a copy in a guide format.
  • FICC CMU RTTM Overview Webinar

    Course Description The Corporate, Municipal, and UITs (CMU) system provides all of its customers with RTTM® - a single pipeline, a common processing platform, and a standardized message format for the U.S. fixed income markets.  This webinar shows learners how to use FICC’s RTTM® system for CMU processing.    What You Will Learn: At the completion of the course...
  • CMU RTTM Web User Guide

    The Real-Time Trade Matching System (RTTM) increases the efficiency of trade operations and reduces your firm’s clearing and settlement risk. All activity is validated and matched in real-time, so processing time is reduced to a fraction of what it had taken in the past. The latest development in the evolution of Real-Time Trade Matching is CMU RTTM Web. This browserbased interface is...
  • CMU CSV Trade Batch Upload Quick Reference Guide

    In extraordinary situations, when a participant who submits MQ MT515 trade messages is not able to submit trades to RTTM® via interactive messaging, DTCC™ CNS Operations will enable access to the CSV Trade Batch Upload screen.  This screen will allow for trades, stored in a CSV file, to be uploaded to the CMU website and submitted to RTTM®. This guide will review the CSV upload...
  • CMU FAQs

    The CMU team here at DTCC™ Learning have compiled a list of frequently asked questions that you yourself may be asking.  Please read the CMU FAQs and let us know if you have any questions. Click here to see the CMU FAQs online; or Click here to download a copy in a guide format.
  • New CMU Learner – CMU RTTM Super Access Coordinator

    The purpose of this document is to describe how to use the Customer Registration System (CRS) as a Super Access Coordinator or Access Coordinator to provision Operator ID’s with CMU RTTM® products. Super Access Coordinator- You are able to create/modify/delete Super Access Coordinator, Access Coordinator or Operator ID’s. Access Coordinator- You are able to create/modify/delete...
  • Introduction to Government Securities Division (GSD) Overview Webinar

    Course Description FICC's Government Securities Division (GSD) is the leading provider of trade comparison, netting and settlement for the Government securities marketplace.  This course includes an overview of the Fixed Income Clearing Corporations, Government Securities Division core services and functions. Topics reviewed are inclusive of the Real-Time Trade Matching (RTTM®) service,...
  • FICC’s GSD Risk Management Overview Webinar

    Course Description The services offered by GSD provides risk mitigation benefits and operational efficiencies to GSD’s members by offering automated, binding comparison of trades, multilateral netting of trades, and guaranteed settlement of all compared trades submitted by netting members.  This webinar provides an overview of key risk management points they need to know. ...
  • Delivery vs. Payment (DVP) Service Overview Webinar

    Course Description The DVP Service offered by FICC’s Government Securities Division (GSD) supports and facilitates the submission, comparison, risk management, netting and settlement of trades executed by its Members in the U.S. Government securities market.  This webinar includes overview of the Fixed Income Clearing Corporation, FICC’s Government Securities Division and related DVP...
  • DVP RTTM System Navigation Webinar

    Course Description The DVP Service offered by FICC’s Government Securities Division (GSD) supports and facilitates the submission, comparison, risk management, netting and settlement of trades executed by its Members in the U.S. Government securities market.  This webinar shows learners how to use FICC’s RTTM® system for DVP processing.  What You Will Learn: At the...
  • DVP Reports Overview Webinar

    Course Description The DVP Service offered by FICC’s Government Securities Division (GSD) supports and facilitates the submission, comparison, risk management, netting and settlement of trades executed by its Members in the U.S. Government securities market.  This webinar shows learners how to access, identify, and explain all elements of DVP reporting provided by FICC’s GSD. ...
  • General Collateral Finance (GCF) Repo Service Overview Webinar

    Course Description The GCF Repo® service enables dealers to trade general collateral repos, based on rate, term, and underlying product, throughout the day without requiring intra-day, trade-for-trade settlement on a Delivery-versus-Payment (DVP) basis.  This webinar includes overview of the Fixed Income Clearing Corporation, FICC’s Government Securities Division and GCF Repo®...
  • GCF Repo RTTM System Navigation Webinar

    Course Description The GCF Repo® service enables dealers to trade general collateral repos, based on rate, term, and underlying product, throughout the day without requiring intra-day, trade-for-trade settlement on a Delivery-versus-Payment (DVP) basis.  This webinar shows learners how to use FICC’s RTTM® system for DVP processing.    What You Will Learn: At the...
  • GCF Repo Service Reports Webinar

    Course Description The GCF Repo® service enables dealers to trade general collateral repos, based on rate, term, and underlying product, throughout the day without requiring intra-day, trade-for-trade settlement on a Delivery-versus-Payment (DVP) basis.  This webinar shows learners how to access, identify, and explain all elements of GCF reporting provided by FICC’s GSD. ...
  • Centrally Cleared Institutional Tri-Party (CCIT) Service Overview Webinar

    Course Description FICC is the only central counterparty (CCP) platform in the U.S. that clears tri-party repo and debt transactions. The CCP service is an extension of the GCF Repo® service which brings ICC’s existing trade guarantee service to the bilateral tri-party repo market. The service will be called “Centrally Cleared Institutional Tri-party” or “CCIT™”.  This...
  • Centrally Cleared Institutional Tri-Party (CCIT) Service Reports Overview Webinar

    Course Description FICC is the only central counterparty (CCP) platform in the U.S. that clears tri-party repo and debt transactions. The CCP service is an extension of the GCF Repo® service which brings ICC’s existing trade guarantee service to the bilateral tri-party repo market. The service will be called “Centrally Cleared Institutional Tri-party” or “CCIT™”.  This...
  • DVP RTTM WFE RAC User Guide

    Each firm must delegate at least one Remote Access Coordinator to provide initial access and privileges for all employees who will use the GSD RTTM® Web Front End (WFE) application. This document should be reviewed by the Remote Access Coordinator (RAC). It explains, in detail, the User Security function in the GSD DVP RTTM® WFE, including how to: Add a New User Reset a...
  • GCF RTTM WFE RAC User Guide

    Each firm must delegate at least one Remote Access Coordinator to provide initial access and privileges for all employees who will use the GCF RTTM® Web Front End (WFE) application This document should be reviewed by the Remote Access Coordinator (RAC). It explains, in detail, the User Security function in the GCF RTTM® WFE, including how to: Add a New User Reset a Password Inquire or...
  • Introduction to Mortgage-Backed Securities (MBS) I Webinar

    Course Description This course provides an overview of how Mortgage-Backed Securities are securitized.   What You Will Learn: At the completion of the course students should be able to: Define the financial instruments known as Mortgage-Backed Securities, with a special emphasis on the marketplace, players and processes involved in the securitization of these instruments Explain...
  • Introduction to Mortgage-Backed Securities (MBS) II Webinar

    Course Description The objective of this webinar is to provide students with the fundamentals of mortgage-backed securities trade processing through the MBS Division of the Fixed Income Clearing Corporation (FICC). Attendees will gain an understanding of To-Be-Announced (TBA) trade processing, including clearing, trade comparison and notification of settlement (NOS).   What You Will...
  • MBSD TBA Processing Webinar

    Course Description This course provides an overview of how TBA transactions are processed through FICC's Mortgage-Backed Securities Division (MBSD) via the Real-Time-Trade Matching (RTTM®) system. Topics include bilateral matching, netting and reports. This course leverages extensive screenshots to detail processing specifics; it is not a demonstration of the live system.   What You...
  • Introduction to Electronic Pool Notification (EPN) and EaSyPool Webinar

    Course Description This course provides attendees with an understanding of how mortgage-backed securities (MBS) pool information is transmitted. Topics include EPN messaging, EPN master files and how to process pool substitutions using the Fixed Income Clearing Corporation’s (FICC) EasyPool application.   What You Will Learn: At the completion of the course students should be able...
  • MBSD Pool Netting Webinar

    Course Description This course provides an overview of how to manage To-Be-Announced (TBA) pools through the Real-Time-Trade Matching (RTTM®) system.  Topics include pool instructs, advisories and actions taken. This course leverages extensive screenshots to detail processing specifics; it is not a demonstration of the live system.   What You Will Learn: At the completion of...
  • MBSD Notification of Settlement (NOS) Webinar

    Course Description This course explains the MBSD’s Notice of Settlement (NOS) within the context of To-Be-Announced (TBA) processing, as well as how to utilize the Real-Time-Trade Matching (RTTM®) system to facilitate this action. This course leverages extensive screenshots to detail processing specifics; it is not a demonstration of the live system.   What You Will Learn: At the...
  • Introduction to Electronic Pool Notification (EPN) and EaSyPool Webinar

    Course Description This course provides attendees with an understanding of how mortgage-backed securities (MBS) pool information is transmitted. Topics include EPN messaging, EPN master files and how to process pool substitutions using the Fixed Income Clearing Corporation’s (FICC) EasyPool application.   What You Will Learn: At the completion of the course students should be able...
  • Clearing Fund Management (CFM) Quick Reference Guide

    The Clearing Fund Management (CFM) application allows you to view your clearing fund requirements and to calculate the effect on the fund of depositing a specific security. GSD and MBSD customers can access real-time information. The benefits include: Real-time access to the Clearing Fund requirement and deposits Ability to calculate the Clearing Fund required deposit value based on...
  • CFM Quick Reference Guide

    The Clearing Fund Management (CFM) application allows you to view your clearing fund requirements and to calculate the effect on the fund of depositing a specific security. GSD and MBSD customers can access real-time information. The benefits include: Real-time access to the Clearing Fund requirement and deposits Ability to calculate the Clearing Fund required deposit value based on...
  • MBS RTTM Remote Access Coordinator User Guide

    Each firm must delegate a Remote Access Coordinator(s) to provide initial access and privileges for all employees who require access to the MBS RTTM® Web Front End (WFE) application. This document should be reviewed by the Remote Access Coordinator (RAC). It explains, in detail, the User Security function in MBS RTTM WFE, including how to: Add a New User Reset a Password Inquire or...
  • MT558 Settlement Transfer Status Definitions

      Status Description Pending Transfer Reaching Pending Transfer Status Just as margin calls are updated to Pending Call status once Settlement Instructions are sent to customers as ISO SWIFT so are the underlying transfers  Change of transfer status depends on the type of confirmation: Receiver confirmations change the transfer status from Pending...
  • MAS/ASIC Re-Architecture

    MAS has announced their compliance go-live date for MAS Equities, Commodities and the additional Location Fields. This has been set for Monday, 1st Oct 2018. Currently, we are continuing to target for the MAS and ASIC (Singapore Data Center) re-architecture (including MAS EQ/CO and Location Fields) to take place in July 2018 (final date TBC) which is ahead of the MAS compliance date of 1 Oct...
  • Documentation—OASYS Direct and Workstation 8.0

    Use the documents in the following table to learn more about version 8.0.   Workstation 

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Legal Notice System Data Service (LENS) Frequently Asked Questions

This document answers questions frequently asked about the LENS Data Service. ...
In Legal Notice System Downloads: 148

EMIR Collateral Message Specifications

Version 1.2.4. This zip file contains the GTR EMIR Collateral message template and user guide. The u ...
In EMIR_RTS_2 Downloads: 4073

ALERT Market/Business Rules FX Settlement Instructions

ALERT platform Market/Business Rules for Foreign Exchange (FX) settlement. ...
In Omgeo ALERT® Market/Business Rules Downloads: 1910

Benchmarks Trade Analytics for OASYS: Reference Investment Managers

This document is for investment managers and outsourcers who use the Benchmarks for  OASYS ...
In Benchmarks™ for OASYS™ Downloads: 671

ETF Portfolio Service PCF and Near RealTime Supplemental Files Specification

This document is a file specification for the ETF Portfolio Service PCF and Near RealTime Supplement ...
In ETF Portfolio Service Downloads: 139

MIFIR Reporting Implementation Guide

Version 1.6 This document seeks to provide an overview of DTCC’s solution to MiFIR (the regul ...
In MIFIR Downloads: 73

MBS Operational Novation Report Guide

The MBSD has introduced eight new reports with the launch of MBS Operational Novation. This guide ex ...
In MBS Novation Downloads: 3

Trustee Online Help

The online help files describe use of the ALERT web application, and are also available using contex ...
In Omgeo ALERT® Web and Online Help Downloads: 478

FX Future Templates

Cross-jurisdiction. OTC Core only. FX only. ZIP of PDF and XLS docs. Guide and components for the cr ...
In Future Templates Downloads: 1974

Exception Data Processing: Reference and Message Specification

Provides inbound exception data message formats, channels, and responses to the messages. ...
In Technical Downloads: 42

FX Supported Templates

Cross-jurisdiction.OTC Core only. FX only. Contains templates for the creation of FX CSV & F ...
In FX Downloads: 7255

ETF Portfolio Data Service Non-CUSIP Portfolio Composition File (PCF) File Specification

This document describes the Consolidated PDF MRO file (Autoroute 02262451). ...
In ETF Portfolio Service Downloads: 820

ETF Portfolio Data Service Onboarding Guide

This file documents the steps to onboard to the ETF Portfolio Data Service. ...
In ETF Portfolio Service Downloads: 522

GTR Global Portal Report Formats

Version 1.5; This spreadsheet contains the fields and columns defined in the EMIIR Jurisdiction, Har ...
In GTR Global Portal Downloads: 1607

MIFIR Upload sheet

Version 1.0.1.1 This document contains worksheets:    &nbsp ...
In MIFIR Downloads: 52

NSCC Submission of Rule Filing (SR-NSCC-2017-019) – Enhancements to the Process for Submitting and Accepting ETF Creations and Redemptions (November 21, 2017 A-8480)

On November 20, 2017, National Securities Clearing Corporation (NSCC) filed a proposed rule change ( ...
In ETF Important Notices Downloads: 106

ALERT and CTM Legal Identifier (LEI) Information Job Aid

This document describes how to set up new LEI functionality in the ALERT platform and how the enrich ...
In Omgeo ALERT® Product Guide Downloads: 509

LENS User Guide

In Issuer Services Downloads: 1

MIFIR: FpML for MIFIR Transaction Reporting (Supplemental)

This document provides information supplemental to that in "DTCC MIFIR Upload Sheet.xlsx" ...
In MIFIR Downloads: 22

MIFIR-Sample-Files

Version 1.0.2 MIFIR-Sample-Files-v.1.0.1.zipProduced to mappings: "DTCC MIFIR upload sheet v1. ...
In MIFIR Downloads: 44

ALERT 5.11 Product Release Information

This document outlines the enhancements included in the ALERT platform 5.11 release. ...
In Omgeo ALERT® Product Release Information Downloads: 713

LCR Sample Output File

This spreadsheet shows sample output data and exceptions for the DTCC DataProTM Liquidity C ...
In LCR Data Service Downloads: 478

ALERT - Managing LEIs - Job Aid

This document describes how to use the ALERT platform Data Search report to help determine what acce ...
In Omgeo ALERT® Product Guide Downloads: 483

Benchmarks Trade Analytics Client Packs for CTM

This document is for broker/dealers who use the Benchmarks data service Trade Analytics Client Packs ...
In Benchmarks™ Data Services for CTM™ Downloads: 847

ALERT® Settlement Instructions and Validation Rules

Details the extensive rules validation for settlement instruction data intended for the ALERT databa ...
In Omgeo ALERT® Market/Business Rules Downloads: 2480

Market/Business Rules

The MarketBusiness Rules describe ALERT market-specific best practices. This content is delivered in ...
In Omgeo ALERT® Market/Business Rules Downloads: 1389

TIW Market Reports: Weekly Stock and Volume Reports User's Guide

This detailed guide provides breakdown of the contents of the Weekly Stock and Volume Reports. ...
In TIW Market Reports: Weekly Stock and Volume Reports Downloads: 789

OTC Harmonized EMIR Message Specifications

This is Version 1.2.4 (Amended) of the zip file for the OTC Harmonized EMIR Message Specifications. ...
In EMIR_RTS_2 Downloads: 6032

Security Master File Data Service Basic Securities Corporate Services File Specification

This documents the ELISC (Eligible Corporate Securities) and ELISCD (Eligible Corporate Securities w ...
In Security Master File Data Services Downloads: 186

Global Portal Defect List

The list of known defects in the GTR Global Portal. Version 1.1 ...
In Reports (DATA OUT) Downloads: 63

System Requirements—Workstation (8.0)

Describes the certified software and hardware for the OASYS 8.0 workstation. ...
In Workstation 8 Downloads: 53

OTC Core EMIR Message Specifications

Version 1.3.4 (Amended) of the Zip file containing the OTC Core EMIR Message Specification template. ...
In EMIR_RTS_2 Downloads: 6777

EU Lite Message Specifications

Version 1.3.4 (Amended) of the Zip file containing the EU LITE message template. Provides instructio ...
In EMIR_RTS_2 Downloads: 7391

LCR Sample Bank Input Record

This file is sample bank input file for the LCR Data Service. Click  here&nbsp ...
In LCR Data Service Downloads: 25

Product Release Information: Release 7

This document describes enhancements in Release 7 of DTCC-Euroclear Global Collateral Ltd.’s M ...
In Support Tools and Product Updates Downloads: 2

Security Master File Data Service - MMI Securities File Specification

This document contains specifications for the MMIECM and MMIECU files. ...
In Security Master File Data Services Downloads: 199

Security Master File Data Service - Municipal Securities File Specification

This document contains specifications for the Master ELISM and ELISMD Files and the Update ELISMA fi ...
In Security Master File Data Services Downloads: 186

ETF Near Real-Time Create & Redeem Enhancements and Controls Client Testing & Output File Configuration

As previously announced in Important Notice a8346 dated March 9, 2017 and subsequently amended in Im ...
In ETF Important Notices Downloads: 32

FIX 4.4 Interface Message Specification: Investment Managers (Current)

Describes the fully-automated FIX 4.4 interface for investment managers using the CTM service. ...
In Financial Information eXchange (FIX) Downloads: 1334

Broker/Dealer Online Help

The online help files describe use of the ALERT web application, and are also available using contex ...
In Omgeo ALERT® Web and Online Help Downloads: 790

Regional Custodian Online Help

The online help files describe use of the ALERT platform's web interface for Regional Custo ...
In Omgeo ALERT® Web and Online Help Downloads: 149

Common Message Infrastructure: HTTPS User Guide

Describes the process of sending files into DTCC using Hypertext Transfer Protocol with SSL/TLS (HTT ...
In HTTP and SFTP Downloads: 1209

Investment Manager Online Help

The online help files describe use of the ALERT web application, and are also available using contex ...
In Omgeo ALERT® Web and Online Help Downloads: 882

Global Custodian Online Help

The online help files describe use of the ALERT web application, and are also available using contex ...
In Omgeo ALERT® Web and Online Help Downloads: 578

MTU Bulk Upload Template

The MTU Bulk Upload Template is a pre-formatted file that you use for bulk uploads of new positions ...
In Graphic User Interface (GUI) Downloads: 18

FIX 4.4 Interface Message Specification: Investment Managers (Legacy)

Describes the legacy, query-response FIX 4.4 interface for investment managers using the CTM service ...
In Financial Information eXchange (FIX) Downloads: 1167

Research Commissions: Best Practices

Describes the process of applying research amounts on all, some, or none of investment manager's all ...
In Cross-Product Downloads: 3393

Research Commissions: Best Practices

This document describes the process of applying research amounts on all, some, or none of investment ...
In General Downloads: 4528

Product Release Information - 2017 R3 RC4

Describes the new/additional features included in the latest enhancement release to the Connect midd ...
In 2017 Downloads: 103

EMIR RTS 2.0 Production Defects List

This spreadsheet contains list of the currently known defects in Production for EMIR RTS 2.0 Release ...
In production_defect_list Downloads: 1481

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Image Course Name Category Enroll
Reorganization Service 205: Put Options
DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to put options.
Corporate Actions
Reorganization Service 304: Positional Removal Service
DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to the Positional Removal Service.
Corporate Actions
Reorganization Service 305: RTOP Service
DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to the RTOP Service.
Corporate Actions
Withdrawals Service 201: Preparing to Make a Withdrawal-by-Transfer
DTC's Withdrawals Service facilitates the transfer of book-entry and physical securities that are depository-eligible. This course gives you a thorough understanding of the necessary steps prior to making a Withdrawal-by-Transfer.
Dividend and Income Processing
Reorganization Service 204: Rights Subscriptions
DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to rights subscriptions.
Corporate Actions
Deposits Service 201: Making, Rejecting and Tracking Deposits
This course will demonstrate how to enter regular, mandatory reorganization, and legal deposits into the DAM system, research and troubleshoot rejected deposits, identify which securities are DTC eligible, track regular, mandatory reorganization, and legal deposits using PTS.
Dividend and Income Processing
Stock Loans and REPOs 101: Introduction to Stock Loans and REPOs
DTC enables participants to process stock loans and REPOs through its system. As part of this service, DTC maintains accurate positional information, ensuring that the appropriate income distributions are made. These services are available through DTC’s Settlement Web application. In this course, you will be introduced to the basics of processing stock loans and REPOs via DTC.
Settlement Services
Stock Loans and REPOs 102: Processing Stock Loans and REPOs
DTC enables participants to process stock loans and REPOs through its system. As part of this service, DTC maintains accurate positional information, ensuring that the appropriate income distributions are made. These services are available through DTC’s Settlement Web application. In this course, you will learn how to accurately process stock loans and REPOs through DTC systems
Settlement Services
Stock Loans and REPOs 103: Tracking and Adjustments
DTC enables participants to process stock loans and REPOs through its system. As part of this service, DTC maintains accurate positional information, ensuring that the appropriate income distributions are made. These services are available through DTC’s Settlement Web application. In this course, you will learn how DTC handles income tracking within the context of stock loans and REPOs, how to make ad-hoc adjustments, and how to track stock loan and REPO deliveries.
Settlement Services
DTC Settlement 101: Introduction to Settlement
This course will provide an overview of the role of DTC in the settlement process, describe the main aspects of risk management at DTC, and key characteristics of DTC settlement systems.
Settlement Services
Global Trade Repository (GTR) Certification Curriculum
DTCC Learning’s Global Trade Repository (GTR) Certification program is designed to provide candidates with an in-depth knowledge of the GTR and how it facilitates the regulatory reporting of derivatives transactions in multiple jurisdictions. For EMIR RTS 2 Reporting & Reconciliation training, please enroll in our User Foundation Training for EMIR-RTS 2/EU Lite course.
Global Trade Repository
CTM Confirm Archive - New User Training
The CTM Confirm Archive - New User Training course will provide you with an overview of the Confirm Archive service, as well as demonstrating how to retrieve and download your CTM archived trades.
CTM™
ALERT® for Broker Dealers – FX and Cash
The ALERT® for Broker/Dealers – FX and Cash will get you started using the ALERT® for Brokers application, or provide you with a refresher of the basics.
ALERT®
Corporate Actions (CA) Web Data Services - New User Training
The Corporate Action (CA) Web - New User Training course will provide you with an overview of CA Web service, as well as demonstrating how to search and view corporate action events.
Corporate Actions (CA) Web Data Service
Global Trade Repository: User Foundation Training for HKMA Phase 2
DTCC Learning’s Global Trade Repository (GTR) User Foundation and Certification program is designed to provide registrants with an in-depth knowledge of the GTR and how it facilitates HKMA regulatory reporting of derivatives transactions.
Course Development (Not Live)
ALERT® for Broker Dealers - Securities
The ALERT® for Broker/Dealers Training Curriculum will get you started using the ALERT® for Brokers application, or provide you with a refresher of the basics.
ALERT®
Withdrawals Service 101: Introduction to DTC Withdrawals Service
DTC's Withdrawals Service facilitates the transfer of book-entry and physical securities that are depository-eligible. This course gives you a thorough understanding of the importance, benefits, and operations of DTC's Withdrawals Service.
Dividend and Income Processing
Global Trade Repository: User Foundation Training for EMIR-RTS 2/EU Lite
This program is intended for individuals at firms that are responsible for creating,maintaining and troubleshooting their CSV upload file to GTR. It is not intended for firms that upload via FpML. It should take approximately 2 hours to complete the program.
Global Trade Repository
GTR (NAT): Collateral Service (ASIC Only)
This New Account Training will provide you with: 1- An overview of the Collateral service and its associated reports. For ASIC reporting only. 2- Collateral Link and Collateral Value submission video tutorials and simulation-based assessments. - This course does not contain EMIR RTS 2 updates -
New Account Training (GTR)
GTR (NAT): OTC Core Service - Cross Jurisdictional
This New Account Training will provide you with: 1- An overview of the GTR OTC Core service and its associated reports. Cross jurisdictional. 2- Rates, FX and Credit trade submission video tutorials and simulation-based assessments. - This course does not contain EMIR RTS 2 or HKMA phase 2 updates -
New Account Training (GTR)
MBS Certification: MBS TBA Trade Processing Certification Exam
This exam will test your competance in topics such as: Being able to define and understand the different types of mortgage-backed securities that are out there; Understanding and explaining how mortgage backed securities are traded; Explaining the securitization process; Understanding and explaining what the SIFMA Calendar represents; Explaining the concept of SIFMA Good Delivery Guidelines; Giving examples of TBA's with STIPS and SPTs; Explaining what the MBSD is and its role in the industry; Walking through the typical life-cycle of a TBA trade from execution and comparison through pool netting to CSD delivery vs. payment; Defining the TMPG charge
Mortgage-Backed Securities (MBS)
Reorganization Service 306: Risk Analysis Service
DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to the Risk Analysis Service.
Corporate Actions
MBS Certification: MBS Settlement Services Certification Exam
This exam will test your competance in topics such as: Explaining the notification process within the context of the TBA processing lifecycle; Defining and explaining to others the notification of settlement process and why it exists; Identifying and reviewing reports applicable to the notification of settlement process; Processing notification of settlement through the FICC/MBSD's RTTM system; Understanding and explaining what the SIFMA Calendar represents; Explaining the concept of SIFMA Good Delivery Guidelines; Walking through the typical life-cycle of a TBA trade from execution and comparison through pool netting to CSD delivery vs. payment; Understanding and prioritizing notification of settlement compliance and associated processing fees Risks facing post-trade MBS settlement processing
Mortgage-Backed Securities (MBS)
Reorganization Service 101: Fundamentals
DTCC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTCC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services and products that DTCC offers to its participants.
Corporate Actions
Reorganization Service 102: Mandatory Reorganizations
DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to mandatory reorganizations.
Corporate Actions
Reorganization Service 201: Voluntary Reorganizations
DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to voluntary reorganizations.
Corporate Actions
MBS Certification: MBS Risk Certification Exam
This exam will test your competance in topics such as: Being able to define and understand the different types of risk mitigation efficiencies afforded to members of the FICC/MBSD; Understanding and explaining the different types of risks facing the MBS marketplace and how those risks are mitigated; Explaining transaction types; Understanding and explaining trade submission; Explaining what novation is and how it works; Giving examples the different risk management regimes that exist; Understanding the different components of the clearing fund; Understanding liquidity risk management; Walking through what events occur during a termination of membership of a member; Defining steps of the loss allocation process; Understanding and being able to explain the components of cash settlement
Mortgage-Backed Securities (MBS)
MBS Certification: MBS Pool Netting Certification Exam
This exam will test you competance in topics such as: Being able to define and understand how pool netting fits into the life cycle of a TBA trade; Determining when and how to submit pool instruct via RTTM; Idenitfying when transactions have matched; Reviewing advisory and uncompared pool instructs; Explaining actions that may be taken on previously submitted pool instructs such as affirmations, DKs, modifies, cancels, CDRs and substitutions; Reviewing conditions in which pool instructs would be pending pool adds; Discussing the pool netting and settlement process; Differentiating between PMAT and FMAT transactions; Explaining the netting process; Discussing the locations, functions, and outputs of reports; Identifying MBSD margins, cash settlements and MBS settlement dates
Mortgage-Backed Securities (MBS)
Custody Service 101: Introduction to Custody
This course will provide an overview of the DTC's Custody Service, traditional custody deposit process, full and partial custody withdrawal processes, custody reorganization deposit process, and process custody activities.
Custody
Reorganization Service 103: Unit Investment Trust Services
DTC’s Reorganization receives and distributes information to participants about reorganization activities, and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service (PBS). In this course you will be introduced to the Reorganization services and Unit Investment Trust Services.
Corporate Actions
MBS Certification: MBS Electronic Pool Notification Certification Exam
This exam will test you competence in topics such as: Being able to define and understand the different methods are for achieving pool notification; Understanding and explaining Electronic Pool Notification; Differentiate between EPN and EaSy Pool; Explain EPN messaging; Explain how to use EaSy Pool to manage TBA Allocation needs; Explaining the pool notification process; Understanding and explaining what the SIFMA Calendar represents; Explaining the concept of SIFMA Good Delivery Guidelines
Mortgage-Backed Securities (MBS)
Reorganization Service 202: Tender Offers
DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to tender offers.
Corporate Actions
Reorganization Service 203: Conversions
DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to conversions.
Corporate Actions
Reorganization Service 208: CNS Reorganizations
NSCC processes reorganizations via its Continuous Net Settlement (CNS) system. These services are available through the Participant Terminal System (PTS) and the Participant Browser Services (PBS). In this course, you will learn how NSCC handles reorganizations using CNS, and be presented with detailed information regarding the reports and functions used to process reorganizations.
Corporate Actions
Deposits Service 101: Basic Concepts
This course will provide an overview of DTC's Deposits Service.
Dividend and Income Processing
Reorganization Service 207: Inquiries
DTC’s Reorganization receives and distributes information to participants about reorganization activities, and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS). In this course you will be introduced to the Reorganization products, including the PTS inquiry and update functions which DTC offers to it’s participants
Corporate Actions
Withdrawals Service 303: Using Direct Mail Services
DTC's Withdrawals Service facilitates the transfer of book-entry and physical securities that are depository-eligible. This course gives you a thorough understanding of DTC's Direct Mail Services.
Dividend and Income Processing
Withdrawals Service 203: Urgent Withdrawals of Physical Securities
DTC's Withdrawals Service facilitates the transfer of book-entry and physical securities that are depository-eligible. This course gives you a thorough understanding of the processing of urgent withdrawals for physical securities.
Dividend and Income Processing
Reorganization Service 206: Warrants
DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to warrants.
Corporate Actions
Reorganization Service 301: Mandatory Reorganization Deposits
DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to mandatory reorganization deposits.
Corporate Actions
Deposits Service 301: Case Study
This course will provide an overview of Restricted Deposits Service, how to Enter, update, view and delete restricted deposits, overview of Branch Deposit Service, how to view previously entered brand deposits. The course will also focus on benefits and features of the DWAC program, enter and cancel DWAC deposits and how to request copies of deposits documents.
Dividend and Income Processing
NSCC Envelope Settlement 101
NSCC's Envelope Settlement Service enables participants to settle transactions for securities that are not depository eligible. These services are available through DTC’s Settlement Web application. In this course, you will be introduced to the basics of the service as well as procedural information regarding the processing of physical deliveries.
Settlement Services

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