Our new, searchable Glossary of DTCC & Industry Terms will help improve your understanding of key terminology and acronyms used in DTCC and across the post-trade industry.
CFTC/Canada/SEC Trade Reporting
Single-sided regulatory reporting of your OTC trade data is mandatory for all three regulatory agencies in the North America jurisdiction (CFTC, Canada, and SEC). There are two ways to submit data to meet this requirement:
- Submitter (Direct Reporting): The trade party reports their trades directly.
- Non-Submitter (Delegated Reporting): One of the trade parties delegates their reporting to the other trade party or to a third party.
Reporting your OTC trade data into the GTR to fulfill your regulatory obligation under the CFTC, Canada, and SEC regulations requires that you:
- Complete Explicit Permissioning and set up user access to the GTR service.
- Determine your data submission requirements.
- Submit your data and manage any Exceptions you may encounter.
- Use your GTR-generated reports to reconcile your Books and Records.
This section of the Repository Services Learning Center provides information about the prerequiste setup actions needed to successfully submit your trade data into the Trade Repository. The information available includes topics such as Explicit Permissioning, UAT Testing, and how users are granted access to the service by their Super Access Coordinators (SAC).
This section of the Repository Services Learning Center explains essential concepts about how to create a trade submission message to report your OTC trade data. The information available includes topics such as choosing a template, submitting a trade, and the key/mandatory fields you need to populate.
This section of the Repository Services Learning Center describes the four stages of validation and explains how to manage any Exceptions your submissions generate (NACKs).
This section of the Repository Services Learning Center covers the fundamentals of Portfolio Reconciliation. The information available includes topics such as how to access GTR-generated reports and how to report descriptions.