• Triparty Exposure Detail Screen

    The Triparty Exposure Detail screen is the complete Triparty record. The screen provides various details including enrichment information, instructions sent to the Triparty agent (MT527), and any Triparty agent status updates already received via MT558 message. The Triparty Exposure Detail screen is labled with an MTU system generated unique Transaction ID...
  • Message Submission

    Manually Uploading a Message Submission using Spreadsheet Upload Once the message has been created, the next step is to submit it into the GTR. How you do this will depend on the format the message has been created in and whether or not you are automating this submission. Spreadsheet Upload Follow these steps to access the GTR Portal and submit by uploading spreadsheets: 1. Go to the...
  • Collateral Reporting FAQs

    Q: Which changes will be adopted for Collateral submission? Will we still continue with Collateral Value and Link files? A: GTR will continue to support collateral reporting, as it does today, by either linking the collateral to the trade through the Collateral Portfolio code submitted on the trade message or via the Collateral Link message. Refer to the Functional Change Document,...
  • EOD CSV Sample

    EOD Sample CSV File
  • Adjustments to a Required Participants Fund Deposit

    DTC may increase the Required Participants Fund Deposit of a Participant as provided in Rule 9(A), including due to a credit, market, operational, or other concern regarding the Participant. For illustrative purposes, typically, the following factors may be taken into consideration for such an increase: The Participant’s liquidity arrangements, The Participant’s overall financial...
  • Memo Segregation DO Reason Codes

    The following is a listing of descriptions of the reason codes referred to in the “Memo Segregation” section above. 10 (Stock Loan) 11 (Stock Loan Reclaim-DK) 12 (Stock Loan Reclaim-Wrong Quantity) 13 (Stock Loan Reclaim-Wrong Security) 14 (Stock Loan Reclaim-Wrong Money) 15 (Stock Loan Reclaim-Partial) 16 (Stock Loan Reclaim-Needs Account Information) 17 (Stock Loan...
  • New Field FAQs

    Q: For ESMA RTS 2.0 , DTCC have introduced two new fields for Credit derivatives. Version and index Factor . These fields are changed during the life cycle of trade therefore I would like to know which values we should use in our reports . * The value we received at the point of contract or * The value which changes during the life cycle of trade - It means we need to send modify...
  • Re-Architecture FAQs

    Q: Will retraction messages still be supported on the new architecture? A: There is no retraction message type for ESMA. Q: Why are the Re-Architecture and RTS go-live dates the same? A: Re-Architecture simplifies GTR and gives us the ability to respond to regulatory changes more quickly for better future maintenance. Instead of asking clients to change their systems twice, we are...
  • Message Template FAQs

    Q: Will Collibra templates be decommissioned? A: Collibra templates won't be made available. Our improved message specifications should have all the information required. We are investigating if we can make an online interactive metadata viewer available. Q: Can we make modifications to old reports with the old templates after migration? A: Post migration, modification of trades must...
  • Business FAQs

    Q: Is Position Reporting a mandatory requirement per revised EMIR RTS for ETD? Or will it still be optional like it is currently? A: Please refer to the ESMA Q&A TR-17 which still reflects that this is optional.  However it should be noted if collateral and valuation messages are reported they should be reported with Level P otherwise firms will need to report MTM and Collateral...
  • Data Access FAQs

    Q: Do you know whether Emission Allowance trades will appear in the same reports as Commodities? Or will there be new dedicated reports? A: There is no plan to segregate products in reports. Q: I see these new fields from the trade state report as part of the FCD as well which are not in the OTC Harmonized Template. Can you provide some definition for these fields? Trade Party...
  • Message Specification FAQs

    Q: We have a query regarding the re-architecture details published by DTCC. As mentioned in EMIR OTC Core message specifications excel sheet (OTC Core  EMIR Message Specifications v1.1.xlsx), for the field 'Action' (field ID  number 0.01), column T - 'Exit will not be supported on legacy templates as a valid value. To exit the message firms will have to submit a short snapshot...
  • Account Set-Up FAQs

    Q: Could you please advise if we need to report when a client changed his name but the LEI didn’t change? Are we required by the regulator ESMA to report this change? A: If the LEI is same then we don’t need to change your reports.  You will need to inform the on boarding team  to update our Account Management system.
  • NSCC Equity Trade Capture Fee Descriptions

    Units (fee ID 2481) Units is a tiered fee that decreases as unit volume increases. Rate Tier (items) $0.021593 0 to 35,000 $0.001197 35,001 to 42,000,000 $0.000628 More than 42,000,001 Units is the gross number of transactions for which a broker is buyer or seller. Before passing the amounts to billing UTC deducts non-DTCC settling trades (“Z” trades),...
  • Introduction to the Securities Industry and DTCC Webinar

    Course Description This is a three-day course that provides attendees with a broad understanding of the financial marketplace.  It examines the paper work crisis, marketplace players and governing bodies that helped with the creation and stabilization of the exchanges and marketplaces in the United States. The course is divided into the following topical areas: (1) The Securities...
  • Introduction to Continuous Net Settlement (CNS) Webinar

    ® Course Description This course provides an overview of NSCC’s Continuous Net Settlement (CNS®). CNS® is an accounting and fail control system used for settling equities and fixed-income securities that are NSCC- and DTC-eligible. This course describes how CNS® centralizes the settlement of compared security transactions and maintains an orderly flow of security and money balances....
  • DTC Settlement 101: Introduction to Settlement

    Course Description DTC provides the settlement architecture for most equities and municipal and corporate bond transactions in the U.S. These services are available through DTC’s Settlement Web application. In this course you will be introduced to DTC's role in the settlement process, as well as certain aspects of its system architecture.   What You Will Learn: At the completion of...
  • DTC Settlement I: Risk Management Controls Webinar

    Course Description This course provides a high-level overview of how DTC manages risk in the settlement process. Topics include the method by which DTC collateralizes all securities, as well as specific control mechanisms such as the Collateral Monitor, Net Debit Cap and Largest Provisional Net Credit (LPNC).   What You Will Learn: At the completion of the course students should be...
  • DTC Settlement II: Transactions and Systems Webinar

    Course Description This course provides an overview of the common transaction types that impact settlement at DTC, as well as introduces the systems that support their processing.  Deliver Orders (DO), Payment Orders (PO), Reclaims (DK) and Collateral Loans are defined within the context of DTC’s processing systems workflow. The course is divided into the following topical areas: (1)...
  • DTC Settlement III: End-of-Day Processing Webinar

    Course Description This course provides an overview of the end-of-day settlement process at DTC.  Topics include consolidated settlement, processing deadlines and the role of the settling bank.   What You Will Learn: At the completion of the course students should be able to: Understand how transactions are processed via DTC system and their impact on end-of-day...
  • CMU FAQs

    The CMU team here at DTCC™ Learning have compiled a list of frequently asked questions that you yourself may be asking.  Please read the CMU FAQs and let us know if you have any questions. Click here to see the CMU FAQs online; or Click here to download a copy in a guide format.
  • FICC CMU RTTM Overview Webinar

    Course Description The Corporate, Municipal, and UITs (CMU) system provides all of its customers with RTTM® - a single pipeline, a common processing platform, and a standardized message format for the U.S. fixed income markets.  This webinar shows learners how to use FICC’s RTTM® system for CMU processing.    What You Will Learn: At the completion of the course...
  • CMU RTTM Web User Guide

    The Real-Time Trade Matching System (RTTM) increases the efficiency of trade operations and reduces your firm’s clearing and settlement risk. All activity is validated and matched in real-time, so processing time is reduced to a fraction of what it had taken in the past. The latest development in the evolution of Real-Time Trade Matching is CMU RTTM Web. This browserbased interface is...
  • CMU CSV Trade Batch Upload Quick Reference Guide

    In extraordinary situations, when a participant who submits MQ MT515 trade messages is not able to submit trades to RTTM® via interactive messaging, DTCC™ CNS Operations will enable access to the CSV Trade Batch Upload screen.  This screen will allow for trades, stored in a CSV file, to be uploaded to the CMU website and submitted to RTTM®. This guide will review the CSV upload...
  • CMU FAQs

    The CMU team here at DTCC™ Learning have compiled a list of frequently asked questions that you yourself may be asking.  Please read the CMU FAQs and let us know if you have any questions. Click here to see the CMU FAQs online; or Click here to download a copy in a guide format.
  • New CMU Learner – CMU RTTM Super Access Coordinator

    The purpose of this document is to describe how to use the Customer Registration System (CRS) as a Super Access Coordinator or Access Coordinator to provision Operator ID’s with CMU RTTM® products. Super Access Coordinator- You are able to create/modify/delete Super Access Coordinator, Access Coordinator or Operator ID’s. Access Coordinator- You are able to create/modify/delete...
  • Introduction to Government Securities Division (GSD) Overview Webinar

    Course Description FICC's Government Securities Division (GSD) is the leading provider of trade comparison, netting and settlement for the Government securities marketplace.  This course includes an overview of the Fixed Income Clearing Corporations, Government Securities Division core services and functions. Topics reviewed are inclusive of the Real-Time Trade Matching (RTTM®) service,...
  • FICC’s GSD Risk Management Overview Webinar

    Course Description The services offered by GSD provides risk mitigation benefits and operational efficiencies to GSD’s members by offering automated, binding comparison of trades, multilateral netting of trades, and guaranteed settlement of all compared trades submitted by netting members.  This webinar provides an overview of key risk management points they need to know. ...
  • Delivery vs. Payment (DVP) Service Overview Webinar

    Course Description The DVP Service offered by FICC’s Government Securities Division (GSD) supports and facilitates the submission, comparison, risk management, netting and settlement of trades executed by its Members in the U.S. Government securities market.  This webinar includes overview of the Fixed Income Clearing Corporation, FICC’s Government Securities Division and related DVP...
  • DVP RTTM System Navigation Webinar

    Course Description The DVP Service offered by FICC’s Government Securities Division (GSD) supports and facilitates the submission, comparison, risk management, netting and settlement of trades executed by its Members in the U.S. Government securities market.  This webinar shows learners how to use FICC’s RTTM® system for DVP processing.  What You Will Learn: At the...
  • DVP Reports Overview Webinar

    Course Description The DVP Service offered by FICC’s Government Securities Division (GSD) supports and facilitates the submission, comparison, risk management, netting and settlement of trades executed by its Members in the U.S. Government securities market.  This webinar shows learners how to access, identify, and explain all elements of DVP reporting provided by FICC’s GSD. ...
  • General Collateral Finance (GCF) Repo Service Overview Webinar

    Course Description The GCF Repo® service enables dealers to trade general collateral repos, based on rate, term, and underlying product, throughout the day without requiring intra-day, trade-for-trade settlement on a Delivery-versus-Payment (DVP) basis.  This webinar includes overview of the Fixed Income Clearing Corporation, FICC’s Government Securities Division and GCF Repo®...
  • GCF Repo RTTM System Navigation Webinar

    Course Description The GCF Repo® service enables dealers to trade general collateral repos, based on rate, term, and underlying product, throughout the day without requiring intra-day, trade-for-trade settlement on a Delivery-versus-Payment (DVP) basis.  This webinar shows learners how to use FICC’s RTTM® system for DVP processing.    What You Will Learn: At the...
  • GCF Repo Service Reports Webinar

    Course Description The GCF Repo® service enables dealers to trade general collateral repos, based on rate, term, and underlying product, throughout the day without requiring intra-day, trade-for-trade settlement on a Delivery-versus-Payment (DVP) basis.  This webinar shows learners how to access, identify, and explain all elements of GCF reporting provided by FICC’s GSD. ...
  • Centrally Cleared Institutional Tri-Party (CCIT) Service Overview Webinar

    Course Description FICC is the only central counterparty (CCP) platform in the U.S. that clears tri-party repo and debt transactions. The CCP service is an extension of the GCF Repo® service which brings ICC’s existing trade guarantee service to the bilateral tri-party repo market. The service will be called “Centrally Cleared Institutional Tri-party” or “CCIT™”.  This...
  • Centrally Cleared Institutional Tri-Party (CCIT) Service Reports Overview Webinar

    Course Description FICC is the only central counterparty (CCP) platform in the U.S. that clears tri-party repo and debt transactions. The CCP service is an extension of the GCF Repo® service which brings ICC’s existing trade guarantee service to the bilateral tri-party repo market. The service will be called “Centrally Cleared Institutional Tri-party” or “CCIT™”.  This...
  • DVP RTTM WFE RAC User Guide

    Each firm must delegate at least one Remote Access Coordinator to provide initial access and privileges for all employees who will use the GSD RTTM® Web Front End (WFE) application. This document should be reviewed by the Remote Access Coordinator (RAC). It explains, in detail, the User Security function in the GSD DVP RTTM® WFE, including how to: Add a New User Reset a...
  • GCF RTTM WFE RAC User Guide

    Each firm must delegate at least one Remote Access Coordinator to provide initial access and privileges for all employees who will use the GCF RTTM® Web Front End (WFE) application This document should be reviewed by the Remote Access Coordinator (RAC). It explains, in detail, the User Security function in the GCF RTTM® WFE, including how to: Add a New User Reset a Password Inquire or...
  • Introduction to Mortgage-Backed Securities (MBS) I Webinar

    Course Description This course provides an overview of how Mortgage-Backed Securities are securitized.   What You Will Learn: At the completion of the course students should be able to: Define the financial instruments known as Mortgage-Backed Securities, with a special emphasis on the marketplace, players and processes involved in the securitization of these instruments Explain...
  • Introduction to Mortgage-Backed Securities (MBS) II Webinar

    Course Description The objective of this webinar is to provide students with the fundamentals of mortgage-backed securities trade processing through the MBS Division of the Fixed Income Clearing Corporation (FICC). Attendees will gain an understanding of To-Be-Announced (TBA) trade processing, including clearing, trade comparison and notification of settlement (NOS).   What You Will...
  • MBSD TBA Processing Webinar

    Course Description This course provides an overview of how TBA transactions are processed through FICC's Mortgage-Backed Securities Division (MBSD) via the Real-Time-Trade Matching (RTTM®) system. Topics include bilateral matching, netting and reports. This course leverages extensive screenshots to detail processing specifics; it is not a demonstration of the live system.   What You...
  • Introduction to Electronic Pool Notification (EPN) and EaSyPool Webinar

    Course Description This course provides attendees with an understanding of how mortgage-backed securities (MBS) pool information is transmitted. Topics include EPN messaging, EPN master files and how to process pool substitutions using the Fixed Income Clearing Corporation’s (FICC) EasyPool application.   What You Will Learn: At the completion of the course students should be able...
  • MBSD Pool Netting Webinar

    Course Description This course provides an overview of how to manage To-Be-Announced (TBA) pools through the Real-Time-Trade Matching (RTTM®) system.  Topics include pool instructs, advisories and actions taken. This course leverages extensive screenshots to detail processing specifics; it is not a demonstration of the live system.   What You Will Learn: At the completion of...
  • MBSD Notification of Settlement (NOS) Webinar

    Course Description This course explains the MBSD’s Notice of Settlement (NOS) within the context of To-Be-Announced (TBA) processing, as well as how to utilize the Real-Time-Trade Matching (RTTM®) system to facilitate this action. This course leverages extensive screenshots to detail processing specifics; it is not a demonstration of the live system.   What You Will Learn: At the...
  • Introduction to Electronic Pool Notification (EPN) and EaSyPool Webinar

    Course Description This course provides attendees with an understanding of how mortgage-backed securities (MBS) pool information is transmitted. Topics include EPN messaging, EPN master files and how to process pool substitutions using the Fixed Income Clearing Corporation’s (FICC) EasyPool application.   What You Will Learn: At the completion of the course students should be able...
  • Clearing Fund Management (CFM) Quick Reference Guide

    The Clearing Fund Management (CFM) application allows you to view your clearing fund requirements and to calculate the effect on the fund of depositing a specific security. GSD and MBSD customers can access real-time information. The benefits include: Real-time access to the Clearing Fund requirement and deposits Ability to calculate the Clearing Fund required deposit value based on...
  • CFM Quick Reference Guide

    The Clearing Fund Management (CFM) application allows you to view your clearing fund requirements and to calculate the effect on the fund of depositing a specific security. GSD and MBSD customers can access real-time information. The benefits include: Real-time access to the Clearing Fund requirement and deposits Ability to calculate the Clearing Fund required deposit value based on...
  • MBS RTTM Remote Access Coordinator User Guide

    Each firm must delegate a Remote Access Coordinator(s) to provide initial access and privileges for all employees who require access to the MBS RTTM® Web Front End (WFE) application. This document should be reviewed by the Remote Access Coordinator (RAC). It explains, in detail, the User Security function in MBS RTTM WFE, including how to: Add a New User Reset a Password Inquire or...
  • MT558 Settlement Transfer Status Definitions

      Status Description Pending Transfer Reaching Pending Transfer Status Just as margin calls are updated to Pending Call status once Settlement Instructions are sent to customers as ISO SWIFT so are the underlying transfers  Change of transfer status depends on the type of confirmation: Receiver confirmations change the transfer status from Pending...
  • Viewing LENS Notices (video tutorial)

    This video explains how to view LENS Notices. The total length is 5:37 minutes.  Introdution 0:00 to 1:25 Notice Types 1:28 Notice Results 1:56  Today's Notices 2:38  Yesterday's Notices 3:05  Notices Since Last Login 3:27  Downloading Notices 3:52  Viewing Preferences 4:20 Conclusion 5:22

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GTR Global Portal User Guide

This document describes the implementaion, functionality and operation of the GTR Global Portal.& ...
In GTR Global Portal Downloads: 1304

GTR Global Portal Report Formats

Version 1.3; This spreadsheet contains the fields and columns defined in the EMIIR Jurisdiction, Har ...
In GTR Global Portal Downloads: 835

OTC Core EMIR Message Specifications

Version 1.3.2 of the Zip file containing the OTC Core EMIR Message Specification template. Provides ...
In EMIR_RTS_2 Downloads: 5097

Credit Supported Templates

Cross-jurisdiction.OTC Core only. Credit only. Contains templates for the creation of Credi ...
In Credit Downloads: 4094

Credit Future Templates

Cross-jurisdiction. OTC Core only. Credit only. ZIP of PDF and XLS docs. Guide and components for th ...
In Future Templates Downloads: 918

MT558 Status Message Samples

Version 1.0 (Current for Release 6). The spreadsheet includes field mapping for Margin Call and Tran ...
In MT558_samples Downloads: 4

ALERT® Upload Guide and ALERT Plus for Global Custodians

Describes uploading ALERT Plus files to the ALERT platform (global custodians). ...
In Omgeo ALERT® Plus Downloads: 71

Exception Data Processing: Reference and Message Specification

Provides inbound exception data message formats, channels, and responses to the messages. ...
In Technical Downloads: 3

ETF PCF FAQ and File Definitions

In ETF Portfolio Services (Daily) Downloads: 432

EMIR RTS 2.0 .CSV Samples for OTC Core and EU Lite

EMIR RTS 2.0 Sample .CSV files for various products. The samples are based on the OTC Core, and EU L ...
In EMIR RTS 2.0 .CSV Samples Downloads: 1886

GMEI Utility: Portal User Guide

This document describes how to use the GMEI Utility portal to register and renew entities.  ...
In GMEI Utility Downloads: 566

EU Lite Message Specifications

Version 1.3.2 (Amended) of the Zip file containing the EU LITE message template. Provides instructio ...
In EMIR_RTS_2 Downloads: 5387

Product Release Information: Release 3

Describes new and updated functionality for debt/equity and repurchase agreements (repos) asset clas ...
In 2017 Downloads: 185

UTC Common Trade FIX Input Format

In Universal Trade Capture (UTC) Downloads: 6

EMIR RTS 2.0 FpML Samples for OTC Core

EMIR RTS 2.0 Sample FpML for various products. The Samples are based on the OTC Core EMIR Message Sp ...
In EMIR RTS 2.0 FpML Samples Downloads: 1186

Universal Trade Capture (UTC) Specifications Document v3.4

In Universal Trade Capture (UTC) Downloads: 17

XSD File for ALERT GC Direct Interface

XSD file for the ALERT GC Direct 1.0 Interface. ...
In Omgeo ALERT® GC Direct Downloads: 419

Commodities Future Templates

Cross-jurisdiction. OTC Core only. Commodities only. ZIP of XLS docs. Guide and components for the c ...
In Future Templates Downloads: 1064

Data Dictionary

Dictionary of all debt and equity elements in the direct XML interface and of all fields in MTI for ...
In Data Reference Downloads: 1106

EMIR Collateral Message Specifications

This zip file contains the GTR EMIR Collateral message template and user guide. The user guide provi ...
In EMIR_RTS_2 Downloads: 3243

UTC Common Trade Date FIX Output Format

In Universal Trade Capture (UTC) Downloads: 4

Common Reference Data

Contains a cumulative listing of the allowed field values in the CTM service. ...
In Data Reference Downloads: 2758

MTI Specification: Debt/Equity for Broker/Dealers

A  detailed specification of the CTM message translation interface for broker/dealers. ...
In Message Translation Interface (MTI) Downloads: 952

EMIR RTS 2.0: ESMA Substantiation Report Overview

This document provides the field layout of both ETD and OTC substantiation reports below which is us ...
In ESMA Substantiation Report Overview Downloads: 107

HKMA Phase 2 / Template / HKTR Field Mapping

This specification (version 2.2) covers the GTR-to-HKTR mappings for HKMA Phase 2 Reporting - it cov ...
In Hong Kong (HKMA) Downloads: 1156

System Requirements

Describes the system requirements for the DTCC Exception Manager service. ...
In Technical Downloads: 61

Advice of Cancellation or Correction Message Specification

Provides broker/dealers with a status of all affirmed or unaffirmed confirmations. ...
In TradeSuite ID 8.0 Downloads: 700

Operating Procedures

This document describes the legally binding roles that the broker, agent, institution (also known as ...
In TradeSuite ID 8.0 Downloads: 1124

Product Release Information: Release 6

Version 2.0. This document describes the enhancements included in Release 6 of DTCC-Euroclear Global ...
In Support Tools and Product Updates Downloads: 34

TradeSuite ID/SWIFT Integration Guide

Details each SWIFT message and the values for its counterpart at DTCC. ...
In TradeSuite ID/SWIFT Downloads: 1160

Guide for 10b-10 Certification

Lists the fields, including 10b-10 fields, that machine-readable clients must send and receive to co ...
In TradeSuite ID 8.0 Downloads: 546

FX Future Templates

Cross-jurisdiction. OTC Core only. FX only. ZIP of PDF and XLS docs. Guide and components for the cr ...
In Future Templates Downloads: 1842

Security Master File Data Service - MMI Intraday File - File Specification

The MMI Intraday File is a consolidation of the existing MMIMST and MMIECM files into a comprehensiv ...
In Security Master File Data Services Downloads: 64

FX Supported Templates

Cross-jurisdiction.OTC Core only. FX only. Contains templates for the creation of FX CSV & F ...
In FX Downloads: 6576

EMIR RTS 2.0 Defect List

This spreadsheet contains list of the currently known defects in UAT for the EMIR RTS 2.0 implementa ...
In EMIR RTS 2.0 Defect List Downloads: 3167

Research Commissions: Best Practices

This document describes the process of applying research amounts on all, some, or none of investment ...
In General Downloads: 2671

ALERT - Managing LEIs - Job Aid

This document describes how to use the ALERT platform Data Search report to help determine what acce ...
In Omgeo ALERT® Product Guide Downloads: 35

Confirm Trade Input Message Specification

Describes the format of TradeSuite ID input messages. ...
In TradeSuite ID 8.0 Downloads: 974

Confirm Trade Output Message Specification

Describes the format of TradeSuite ID output messages. ...
In TradeSuite ID 8.0 Downloads: 1002

GTR Prod Release Notes December 1, 2017

Version 2 of the Release notes for the December 1, 2017 release. ...
In Upcoming Changes Downloads: 256

Cross jurisdictional reporting fixes and guidelines

This document contains a list of cross jurisdictional changes used in ingestion & reporting. ...
In EMIR RTS 2.0 Defect List Downloads: 69

Overview of Roles: Institutional Trade Matching

Describes roles available to clients who use Institutional Trade Matching services as follows: AL ...
In Institutional Trade Matching Cross-Product Downloads: 722

DTCC Institutional Trade Processing Services: Overview of Roles

Describes roles available to clients who use DTCC's Omgeo services as follows: ALERT Platform AL ...
In Cross-Product Resources Downloads: 234

SGDC ROR - User Guide v2.0

Version 2.0. The report is designed to provide reporting entities with the same view of their positi ...
In Singapore (MAS) Downloads: 312

Obligation Warehouse: OW REORG Functionality And OW Web Navigation Webinar - Presentation Materials

You need to be a registered user and logged into the learning center to download the presentation. T ...
In OW User Guides & Webcast Transcripts Downloads: 6

Input/Output Information

Describes the input and output information required for TradeSuite ID. ...
In TradeSuite ID 8.0 Downloads: 1347

OTC Harmonized EMIR Message Specifications

This is Version 1.2.2 (Amended) of the zip file for the OTC Harmonized EMIR Message Specifications. ...
In EMIR_RTS_2 Downloads: 4433

ETF Test Plan Guidelines For Agents and Authorized Participants

This document represents NSCC’s suggested guide for testing the ETF Near Real Time Create/Rede ...
In ETF Guides Downloads: 1

Service Overview

Provides a high-level overview of the DTCC Exception Manager service, including business and technic ...
In Technical Downloads: 7

Research Commissions: Best Practices

Describes the process of applying research amounts on all, some, or none of investment manager's all ...
In Institutional Trade Matching Cross-Product Downloads: 2418

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Image Course Name Category Enroll
Reorganization Service 205: Put Options
DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to put options.
Corporate Actions
Reorganization Service 304: Positional Removal Service
DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to the Positional Removal Service.
Corporate Actions
Reorganization Service 305: RTOP Service
DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to the RTOP Service.
Corporate Actions
Withdrawals Service 201: Preparing to Make a Withdrawal-by-Transfer
DTC's Withdrawals Service facilitates the transfer of book-entry and physical securities that are depository-eligible. This course gives you a thorough understanding of the necessary steps prior to making a Withdrawal-by-Transfer.
Dividend and Income Processing
Reorganization Service 204: Rights Subscriptions
DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to rights subscriptions.
Corporate Actions
Deposits Service 201: Making, Rejecting and Tracking Deposits
This course will demonstrate how to enter regular, mandatory reorganization, and legal deposits into the DAM system, research and troubleshoot rejected deposits, identify which securities are DTC eligible, track regular, mandatory reorganization, and legal deposits using PTS.
Dividend and Income Processing
Stock Loans and REPOs 101: Introduction to Stock Loans and REPOs
DTC enables participants to process stock loans and REPOs through its system. As part of this service, DTC maintains accurate positional information, ensuring that the appropriate income distributions are made. These services are available through DTC’s Settlement Web application. In this course, you will be introduced to the basics of processing stock loans and REPOs via DTC.
Settlement Services
Stock Loans and REPOs 102: Processing Stock Loans and REPOs
DTC enables participants to process stock loans and REPOs through its system. As part of this service, DTC maintains accurate positional information, ensuring that the appropriate income distributions are made. These services are available through DTC’s Settlement Web application. In this course, you will learn how to accurately process stock loans and REPOs through DTC systems
Settlement Services
Stock Loans and REPOs 103: Tracking and Adjustments
DTC enables participants to process stock loans and REPOs through its system. As part of this service, DTC maintains accurate positional information, ensuring that the appropriate income distributions are made. These services are available through DTC’s Settlement Web application. In this course, you will learn how DTC handles income tracking within the context of stock loans and REPOs, how to make ad-hoc adjustments, and how to track stock loan and REPO deliveries.
Settlement Services
DTC Settlement 101: Introduction to Settlement
This course will provide an overview of the role of DTC in the settlement process, describe the main aspects of risk management at DTC, and key characteristics of DTC settlement systems.
Settlement Services
Global Trade Repository (GTR) Certification Curriculum
DTCC Learning’s Global Trade Repository (GTR) Certification program is designed to provide candidates with an in-depth knowledge of the GTR and how it facilitates the regulatory reporting of derivatives transactions in multiple jurisdictions.
Global Trade Repository
CTM Confirm Archive - New User Training
The CTM Confirm Archive - New User Training course will provide you with an overview of the Confirm Archive service, as well as demonstrating how to retrieve and download your CTM archived trades.
Omgeo Central Trade Manager (Omgeo CTM)
Omgeo ALERT for Broker Dealers – FX and Cash
The Omgeo ALERT for Broker/Dealers – FX and Cash will get you started using the Omgeo ALERT for Brokers application, or provide you with a refresher of the basics.
Omgeo ALERT®
Corporate Actions (CA) Web Data Services - New User Training
The Corporate Action (CA) Web - New User Training course will provide you with an overview of CA Web service, as well as demonstrating how to search and view corporate action events.
Corporate Actions (CA) Web Data Service
Omgeo ALERT for Broker Dealers - Securities
The Omgeo ALERT for Broker/Dealers Training Curriculum will get you started using the Omgeo ALERT for Brokers application, or provide you with a refresher of the basics.
Omgeo ALERT®
GTR (NAT): Reconciliation
This course will provide you with an overview of the Inter/Intra TR Reconciliation process (ESMA only) as well as the client Books and Records Reconciliation process (Cross-Jurisdiction)
New Account Training (GTR)
GTR (NAT): Collateral Service (ESMA/ASIC Only)
This New Account Training will provide you with: 1- An overview of the Collateral service and its associated reports. For ESMA and ASIC reporting only. 2- Collateral Link and Collateral Value submission video tutorials and simulation-based assessments. - This course does not contain ESMA RTS 2 updates -
New Account Training (GTR)
GTR (NAT): OTC Core Service - Cross Jurisdictional
This New Account Training will provide you with: 1- An overview of the GTR OTC Core service and its associated reports. Cross jurisdictional. 2- Rates, FX and Credit trade submission video tutorials and simulation-based assessments. - This course does not contain ESMA RTS 2 or HKMA phase 2 updates -
New Account Training (GTR)
Withdrawals Service 101: Introduction to DTC Withdrawals Service
DTC's Withdrawals Service facilitates the transfer of book-entry and physical securities that are depository-eligible. This course gives you a thorough understanding of the importance, benefits, and operations of DTC's Withdrawals Service.
Dividend and Income Processing
MBS Certification: MBS TBA Trade Processing Certification Exam
This exam will test your competance in topics such as: Being able to define and understand the different types of mortgage-backed securities that are out there; Understanding and explaining how mortgage backed securities are traded; Explaining the securitization process; Understanding and explaining what the SIFMA Calendar represents; Explaining the concept of SIFMA Good Delivery Guidelines; Giving examples of TBA's with STIPS and SPTs; Explaining what the MBSD is and its role in the industry; Walking through the typical life-cycle of a TBA trade from execution and comparison through pool netting to CSD delivery vs. payment; Defining the TMPG charge
Mortgage-Backed Securities (MBS)
Reorganization Service 306: Risk Analysis Service
DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to the Risk Analysis Service.
Corporate Actions
MBS Certification: MBS Settlement Services Certification Exam
This exam will test your competance in topics such as: Explaining the notification process within the context of the TBA processing lifecycle; Defining and explaining to others the notification of settlement process and why it exists; Identifying and reviewing reports applicable to the notification of settlement process; Processing notification of settlement through the FICC/MBSD's RTTM system; Understanding and explaining what the SIFMA Calendar represents; Explaining the concept of SIFMA Good Delivery Guidelines; Walking through the typical life-cycle of a TBA trade from execution and comparison through pool netting to CSD delivery vs. payment; Understanding and prioritizing notification of settlement compliance and associated processing fees Risks facing post-trade MBS settlement processing
Mortgage-Backed Securities (MBS)
Reorganization Service 101: Fundamentals
DTCC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTCC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services and products that DTCC offers to its participants.
Corporate Actions
Reorganization Service 102: Mandatory Reorganizations
DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to mandatory reorganizations.
Corporate Actions
Reorganization Service 201: Voluntary Reorganizations
DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to voluntary reorganizations.
Corporate Actions
MBS Certification: MBS Risk Certification Exam
This exam will test your competance in topics such as: Being able to define and understand the different types of risk mitigation efficiencies afforded to members of the FICC/MBSD; Understanding and explaining the different types of risks facing the MBS marketplace and how those risks are mitigated; Explaining transaction types; Understanding and explaining trade submission; Explaining what novation is and how it works; Giving examples the different risk management regimes that exist; Understanding the different components of the clearing fund; Understanding liquidity risk management; Walking through what events occur during a termination of membership of a member; Defining steps of the loss allocation process; Understanding and being able to explain the components of cash settlement
Mortgage-Backed Securities (MBS)
MBS Certification: MBS Pool Netting Certification Exam
This exam will test you competance in topics such as: Being able to define and understand how pool netting fits into the life cycle of a TBA trade; Determining when and how to submit pool instruct via RTTM; Idenitfying when transactions have matched; Reviewing advisory and uncompared pool instructs; Explaining actions that may be taken on previously submitted pool instructs such as affirmations, DKs, modifies, cancels, CDRs and substitutions; Reviewing conditions in which pool instructs would be pending pool adds; Discussing the pool netting and settlement process; Differentiating between PMAT and FMAT transactions; Explaining the netting process; Discussing the locations, functions, and outputs of reports; Identifying MBSD margins, cash settlements and MBS settlement dates
Mortgage-Backed Securities (MBS)
Custody Service 101: Introduction to Custody
This course will provide an overview of the DTC's Custody Service, traditional custody deposit process, full and partial custody withdrawal processes, custody reorganization deposit process, and process custody activities.
Custody
Reorganization Service 103: Unit Investment Trust Services
DTC’s Reorganization receives and distributes information to participants about reorganization activities, and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service (PBS). In this course you will be introduced to the Reorganization services and Unit Investment Trust Services.
Corporate Actions
MBS Certification: MBS Electronic Pool Notification Certification Exam
This exam will test you competence in topics such as: Being able to define and understand the different methods are for achieving pool notification; Understanding and explaining Electronic Pool Notification; Differentiate between EPN and EaSy Pool; Explain EPN messaging; Explain how to use EaSy Pool to manage TBA Allocation needs; Explaining the pool notification process; Understanding and explaining what the SIFMA Calendar represents; Explaining the concept of SIFMA Good Delivery Guidelines
Mortgage-Backed Securities (MBS)
Reorganization Service 202: Tender Offers
DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to tender offers.
Corporate Actions
Reorganization Service 203: Conversions
DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to conversions.
Corporate Actions
Reorganization Service 208: CNS Reorganizations
NSCC processes reorganizations via its Continuous Net Settlement (CNS) system. These services are available through the Participant Terminal System (PTS) and the Participant Browser Services (PBS). In this course, you will learn how NSCC handles reorganizations using CNS, and be presented with detailed information regarding the reports and functions used to process reorganizations.
Corporate Actions
Deposits Service 101: Basic Concepts
This course will provide an overview of DTC's Deposits Service.
Dividend and Income Processing
Reorganization Service 207: Inquiries
DTC’s Reorganization receives and distributes information to participants about reorganization activities, and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS). In this course you will be introduced to the Reorganization products, including the PTS inquiry and update functions which DTC offers to it’s participants
Corporate Actions
Withdrawals Service 303: Using Direct Mail Services
DTC's Withdrawals Service facilitates the transfer of book-entry and physical securities that are depository-eligible. This course gives you a thorough understanding of DTC's Direct Mail Services.
Dividend and Income Processing
Withdrawals Service 203: Urgent Withdrawals of Physical Securities
DTC's Withdrawals Service facilitates the transfer of book-entry and physical securities that are depository-eligible. This course gives you a thorough understanding of the processing of urgent withdrawals for physical securities.
Dividend and Income Processing
Reorganization Service 206: Warrants
DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to warrants.
Corporate Actions
Reorganization Service 301: Mandatory Reorganization Deposits
DTC’s Reorganization Service receives and distributes information to participants about reorganization activities and processes instructions on their behalf. These services are available through DTC’s Participant Terminal System (PTS) and Participant Browser Service PBS). In this course, you will be introduced to the Reorganization services pertaining to mandatory reorganization deposits.
Corporate Actions
Deposits Service 301: Case Study
This course will provide an overview of Restricted Deposits Service, how to Enter, update, view and delete restricted deposits, overview of Branch Deposit Service, how to view previously entered brand deposits. The course will also focus on benefits and features of the DWAC program, enter and cancel DWAC deposits and how to request copies of deposits documents.
Dividend and Income Processing
NSCC Envelope Settlement 101
NSCC's Envelope Settlement Service enables participants to settle transactions for securities that are not depository eligible. These services are available through DTC’s Settlement Web application. In this course, you will be introduced to the basics of the service as well as procedural information regarding the processing of physical deliveries.
Settlement Services

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