UW SOURCE

The Securities Origination, Underwriting, and Reliable Corporate action Environment (UW SOURCE) online platform gives you access to Underwriting functions. UW SOURCE streamlines the underwriting process to generate further efficiencies, reduce costs, and provide greater flexibility. UW SOURCE improves the underwriting processing in the following functional areas: Underwriting Offering Activity Processing, Eligibility Processing (including Quality Assurance Processing), and Security Eligibility Determination.

UW SOURCE allows you to transmit key data elements electronically through the following submission options:

• Access the templates onscreen and populate the required data manually.
• Access the system and upload an Excel spreadsheet template.
• Use a computer to compute autofeed transmission.

Through UW SOURCE, you can monitor an issue's progress throughout the underwriting process and track the approval, processing, packaging, and closing status. There is no cost to register for UW SOURCE; however, you must be DTC participants or correspondents.

UW SOURCE Resources

View the UW SOURCE-specific training documentation, including Underwriting Services content that is provided for context. Login to view the UW SOURCE content and learn more.

FAQ

Download the Underwriting FAQs resource for answers to frequently asked questions about:

• Closing (New) Issues
• Chills
• Custody
• Denomination Changes
• Eligibility
• IPO Tracking
• ILOR
• MMI's
• UW SOURCE

Quick Tips

Underwriters should view the UW SOURCE 871(M) Attestation Quick Tip to learn about how to make the necessary 871(m) attestations when submitting an issue for DTC eligibility in the UW SOURCE system.

UW SOURCE User Guide - Part 1 - 5

View each document to learn about the UW SOURCE:

• Offering Activity Processing - Part 1
• Offering Activity Processing - Part 2
• Dashboards, Work Plans, and Work Items, User Hierarchy - Part 3
• Queries and Reports - Part 4
• Eligibility Processing - Part 5

Continue learning more about Underwriting...

The following content is available through the www.dtcc.com site.

• Underwriting Data Report
  This is the starting point for all securities offerings at the Depository Trust Company (DTC).
• Underwriting Registration Information
  Access registration information for UW SOURCE and Underwriting Central (UWC).
• Issue Eligibility
  Obtain direct access to eligibility-related letters and forms.
• Underwriting Services Technical Specification Documents
  Learn more about:
  • CDTS
  • New Issue Information Dissemination System (NIIDS)
  • UW SOURCE Inbound Files
  • Web Upload Specifications