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UW SOURCE

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

Related Content

  • UW SOURCE Video Resources
    Learn about Corporate Debt, Corporate Equity Sub-Issues, Enhancements and Municipal Bond functionality in UW SOURCE. Login required to view.

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 a user to transmit key data elements electronically via three submission options:

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

Through UW SOURCE users can then 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 but users must be DTC participants or correspondents.

Login to your user account, expand and review the UW SOURCE Documentation section below, then use the Related Content link at right to learn more about UW SOURCE.

The links below represent the current roster of UW SOURCE-specific training documentation, including some additional Underwriting Services content provided for context. To download Learning Center resources you'll need to login to your Learning Center user account.

archive UW SOURCE User Guide (12.92 MB) (.zip archive)

This collection of documents provides information on the following UW SOURCE topics:

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

 

Additional Underwriting Services Resources:

pdf Underwriting FAQs (435 KB)

Download this resource for answers to frequently asked questions about:

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

and more.

pdf UW SOURCE 871(M) Attestation Quick Tip (411 KB)

This Quick Tip guide shows underwriters how to make the necessary 871(m) attestations when submitting an issue for DTC eligibility in the UW SOURCE system.

 

Links to Additional Underwriting Documentation (Available on www.dtcc.com)

Underwriting Data Report

The Underwriting Service is the starting point for all securities offerings at the Depository Trust Company (DTC).

Underwriting Registration Information

Visit this page for registration information for UW SOURCE and Underwriting Central (UWC). 

Issue Eligibility

Visit this page for direct access to eligibility-related letters and forms.

Underwriting Services Technical Specification Documents

Visit the Technical Specifications Documents page on DTCC's Corporate website for documentation on such topics as:

  • CDTS
  • New Issue Information Dissemination System (NIIDS)
  • UW SOURCE Inbound Files
  • Web Upload Specifications

Adding a Collateralized Mortgage Obligation (CMO) Sub Issue Type to Create an Offering

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Adding a Corporate Bond Sub Issue Type to Create an Offering

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Adding a Security to a Collateralized Mortgage Obligation (CMO) Sub Issue Type

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Adding a Security to a Corporate Debt Sub Issue Type

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Adding a Security to an Issue in UW Source

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Adding a Security to UW Source with a Preferred Stock Sub Issue Type

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Adding an Issue to UW Source with a Preferred Stock Sub Issue Type

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Adding an Issue with a Certificate of Deposit (CD) Sub Issue Type

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Adding an Offering with a Municipal Insured Sub Issue Type

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Adding an Offering with a Municipal Insured Sub Issue Type when an Underlying Security Does Not Exist on UW Source

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Adding an Offering with a Unit Investment Trust (UIT) Sub Issue Type

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Adding an Offering with an Equity Unit Sub Issue Type

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