PTS Document Repository

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.

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Underwriting Frequently Asked Questions

Download this resource for answers to frequently asked questions about: Closing (New) Issues Chills Denomination Changes Eligibility ILOR MMI's UW SOURCE and more.
Modified September 26, 2025

Securities Processing DWAC Participant API: Sample JSONs

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AnnounceDirect Help

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Information on PTS Migration and Upcoming Transition Plans

As part of our ongoing efforts to modernize our technologies and provide the best client experience, DTCC will sunset access to its legacy Participant Terminal Services (PTS), also known as TN3270 Terminal, in Q3 of 2025. Services available in PTS can be accessed through the DTCC Mainframe Portal or MyDTCC, as the point of entries to DTCC services.
Modified September 18, 2025

IVORS Product Guide

Read the IVORS Product Guide (Investors Voluntary Redemption and Sales) to learn how a UIT hoder may surrender whole and fractional units for value via book-entry. The units' issuer (sponsor) and transfer agent (TA) can decide how the transaction will occur (as either a redemption for cash payment at the transfer agent or as a sale back to the sponsor).
New September 03, 2025

Underwriting Central (UWC) Help

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Securities Processing Application API: DWAC for Participants

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Asset Services: REDCAL (9.24) Redemption Call Processing

This function allows Agent banks to communicate Redemption Call notices to DTC.
July 21, 2025

LENS Help

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Asset Services: BMA1/5 (8.25): DTC Agent Files

This function allows Dividend and Redemption Paying Agents to send revised rates, late call and revised call information to DTC.
May 29, 2025

Issuer Agent Portal - Submitting Transfer Agent 17Ad-16 Notices

Learn how to submit Transfer Agent 17Ad-16 Notices to the Issuer Agent Portal.
May 20, 2025

92-Day Exemption Qualified Notice General Information Announcement User Guide

 The 92-Day Exemption Qualified Notice Announcement User Guide includes FAQs about 92-Day Exemption Qualified Notice Announcements, explains how to search for them via CA Web and review their Event Level information.    
May 20, 2025

Issuer Agent Portal - Submitting Legal and Tax Notices

Learn how to submit Legal and Tax Notices to the Issuer Agent Portal.
May 20, 2025

1446(F) Excess Of Cumulative Net Income Tax Event Announcement User Guide

The 1446(F) Excess Of Cumulative Net Income Tax Event Announcement User Guide includes FAQs about 1446(F) ECNI Tax Event Announcements, explains how to search for them via CA Web and review their Event Level information.
May 15, 2025

PBS Custody User Guide

DTC's Custody Service allows you to outsource all or part of your physical securities inventory for safekeeping. Use this guide to learn how to use the PBS Custody system to make deposits, withdrawals,  transfers, change customer account numbers, enter document information for a security, and perform New York Window settlement. 
May 07, 2025

Security Position Reports (SPR) Online Help

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ClaimConnect (TM) User Guide

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SPR Registration User Guide

The primary purpose of this user guide is to familiarize clients with Security Position Reports registration. This guide is not intended to serve as a legal document. No statement in this guide should be construed as a legally binding rule or regulation, or as creating an obligation on the part of DTCC or any of its subsidiaries. In addition, any time schedules or time requirements set forth herein are subject to change without notice.Topics include: Registration for New Company / New User, set up payment via EPY, add a CUSIP to SPR, technology information.
March 21, 2025

ClaimConnect™ On-Boarding Guide

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ClaimConnect™ Settlement Quick Help

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Underwriting Central (UWC) Quick Guide (MMI)

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Securities Processing Participant Help

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Securities Processing Application - Agent Help

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SPA Securities Processing Application - Participant Help

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