Industry Foundations

The Securities Industry Background and Concepts video series provides an overview of the securities industry. Here, you will learn how the paperwork crisis spurred the automation of the financial services industry and DTCC’s role in revolutionizing securities processing. These segments will also help you to identify major types of investments such as stocks, bonds and additional investment products and explain key industry players and their roles.

This series of topics provides a working understanding of how securities processing is accomplished at DTC (Depository Trust Company). You will step through the lifecycles of deposits and withdrawals and learn about the various types and how they are processed. You can also explore how to avoid deposit rejections and reduce risks.

Learn about the life cycle of a corporate action and gain skills for successfully handling a transaction from announcement through payment and distribution in this selection of videos. You will also gain an in-depth understanding of U.S. corporate actions processing including income events, interest payments, cash and stock distributions, and stock splits. You will also learn the difference between Redemptions and Reorganizations (Mandatory and Voluntary) events, along with what triggers these events and how to process them within the Corporate Actions Web Dashboard.

(Coming Soon)

In this series of topics, you will gain an understanding of NSCC’s CNS and DTC’s Settlement process. You will learn about the role of a central counterparty (NSCC) and the multi-lateral netting process, along with the DTC Settlement events leading to end-of-day settlement (Final Figures). Additionally, you will become familiar with DTC’s Risk Management controls, the types of transactions processed in DTC’s same day fund system and gain an introduction to DTC’s Settlement Web application.