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  • FICC New User Training

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    The content in this section explains topics and tasks involved in the post-trade processing of the products, services, and systems provided by the Fixed Income Clearing Corporation, specifically related to Government Securities (GS), Mortgage-Backed Securities (MBS), Corporate Securities, Municipal Securities, and Unit Investment Trusts (CMU). The content in these three categories assumes prior...
  • Equities Clearing Learning Center

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    DTCC clears and settles virtually all broker-to-broker equity, listed corporate and municipal bond and unit investment trust (UIT) transactions in the U.S. equities markets, advancing new initiatives and driving development of products and services that mitigate risk, reduce costs and enhance processing efficiencies for market participants. CNS® The CNS® system is NSCC’s core netting,...
  • Fixed Income Clearing Learning Center

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    The Fixed Income Clearing Corporation (FICC) was created in 2003 to reduce costs and give DTCC customers a common approach to fixed income transaction processing by integrating the Government Securities Clearing Corporation and the Mortgage-Backed Securities Clearing Corporation. Corporate, Municipals, and UITs (CMU) The Corporate, Municipal, and UITs (CMU) system provides all of its customers...
  • Institutional Trade Processing Learning Center

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    DTCC’s Institutional Trade Processing (ITP) service suite has its origins in the set of trade processing solutions that constituted the Omgeo business. Combining DTCC's global solution for legal entity identifiers and its settlement capabilities with the formerly Omgeo-branded pre-trade and matching services, ITP offers buy-side, sell-side and custodian firms an end-to-end...
  • Settlement Learning Center

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    Settlement, a consolidated end-of-day process and the final step of a securities trade, completes the transfer between trading parties of securities ownership and cash. DTC, the central securities depository subsidiary of DTCC, provides settlement services for virtually all broker-to-broker equity and listed corporate and municipal debt securities transactions in the U.S., as well as...
  • Mutual Fund Services Learning Center

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    Mutual Fund Services (MF) delivers a broad range of innovative transactional and information services to automate, standardize and centralize processes to create efficiencies and reduce cost and risk for the mutual fund marketplace. MF solutions drive business relationships between asset managers and their distributors, linking a vast network including fund companies, investment managers,...
  • Alternative Investment Product Services Learning Center

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    Alternative Investment Product (AIP) Services is a platform that links global market participants — including broker/dealers, fund managers, fund administrators and custodians — to provide one standard, efficient end-to-end process for alternative investments such as hedge funds, funds of funds, private equity, non-traded real estate investment trusts (REITs), managed futures and limited...
  • Insurance and Retirement Services Learning Center

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    DTCC's Insurance & Retirement Services (I&RS) offers a suite of streamlined processing and compliance-driven solutions for carriers and their distribution partners -- broker/dealers, banks, brokerage general agencies, independent broker/dealers and other firms -- through a secure, centralized and automated infrastructure. This infrastructure enables insurance carriers and distributors to...
  • Global Trade Repository (GTR) Learning Center

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    GTR Services Because of the inherent complexity of the derivatives market, coupled to the unique demands that every regulator has, GTR offers clients the option to report via two discreet service offerings. OTC Core (available in all jurisdictions) & EU Lite (which combines and replaces OTC and ETD) and is only available for ESMA reporting. GTR Membership Sign up for the GTR service that will...
  • Trade Information Warehouse (TIW) Learning Center

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    The Warehouse comprises a robust infrastructure that provides market participants across the globe with a wide range of automated operational capabilities. It also offers tailored solutions that allow customers and third-party service providers to subscribe to the relevant service that meets their specific needs. The Warehouse provides lifecycle event processing services for approximately 98%...
  • DTCC Data Services Learning Center

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    DTCC Data Services offers referential and activity-based data provisioning that delivers fixed and configurable data solutions sourced from DTCC’s transaction, reference, position and asset servicing data covering all major asset classes. As the largest depository in the world and the primary infrastructure in the U.S. for clearing, settlement and asset servicing, DTCC is uniquely positioned to...
  • Cyber Security Data Learning Center

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    Soltra’s mission is to design and deliver solutions that increase resiliency to cyber and physical risks and threats for critical sector entities worldwide. Soltra is an FS-ISAC and DTCC Company. Soltra Edge takes large amounts of complex threat information across communities, peoples and devices. Soltra Edge analyzes, prioritizes and routes it to users in real-time. To learn more about soltra,...
  • Obligation Warehouse (OW)

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    Familiarize yourself with the benefits and features of the Obligation Warehouse and DTCC's Obligation Warehouse (OW) Web application. Learn More The Obligation Warehouse webcasts provide background information about OW and a high-level overview of the OW Web application. For a comprehensive (200+ page) reference to the OW, view OW Documentation , including the Obligation Warehouse (OW) User...
  • Exchange Traded Fund (ETF)

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    Learn More View About ETF the NSCC ETF service. ETF Processing explains the PCF creation/submission process. ETF Portfolio Portal and ETF Historical provide detailed walkthroughs of tasks performed using the ETF Portfolio Service Web Interface. View Trade Relationship Management (TRM) to learn more about accessing the sytem, using the dashboard, creating new trading relationships, and other...
  • Universal Trade Capture (UTC)

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    Getting Started Learn how to initiate UTC Input Testing , review UTC Documentation , including record formats and input/output message formats, and explore all the features and functionality of the Trade Relationship Management web-based application. You will need to log in to view UTC content. About Universal Trade Capture (UTC) The Universal Trade Capture (UTC) initiative has consolidated and...
  • Consolidated Trade Summary (CTS)

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    Learn More To learn more about Consolidated Trade Summary (CTS) see CTS Important Notices , CTS Documentation and CTS Working Group Meeting Notes . Log in to view Consolidated Trade Summary (CTS) content in this Learning Center. The Consolidated Trade Summary (CTS) defines the expected settlement path for each transaction received by Universal Trade Capture (UTC) as eligible for the Continuous...
  • DTCC Limit Monitoring

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    When DTCC undertook a pivotal multi-year consolidation to streamline its equity trade capture systems, the result was the ground breaking Universal Trade Capture (UTC) system. As a result of this new benchmark in trade-capture and reporting processes, the foundation was also laid for a breakthrough in risk management in the post-trade environment: DTCC Limit Monitoring . Learn More About DTCC...
  • Government Securities Division (GSD)

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    Looking for information about GSD Enhancements implemented in 2018? Click on GSD Enhancements - 2018 in the What Members Need To Know section (below) to watch several short informational videos explaining the enhancements. If you have questions after watching the videos you may contact the FICC Product Risk team ( ficcproductrisk@dtcc.com ) or speak with your Relationship Manager to set up a...
  • Onboarding

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    This section of the learning center provides you with detailed information on preparing your firm to do business with the Global Trade Repository. This includes: Onboarding tutorials for both asset and non-asset managers End-user access coordination guides and instructional videos Detailed information on connectivity options for trade submission {loadposition testmenu}
  • Who do I contact for CMU questions?

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    For CMU matching questions , do one of the following: Call DTCC Client Support at 1-888-382-2721 (select option 5, and then 4). Email CNS Operations at cashiering@dtcc.com . Enter an inquiry using the DTC PBS WINS system. For RTTM Web Password issues : If you are not a super access coordinator (SAC) or access coordinator at your firm, contact your firm’s SAC or AC to reset your password. If you...

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Overview of Roles: Institutional Trade Processing

Describes roles available to clients who use Institutional Trade Processing services as follows: ...
In Cross-Product (ITP) Downloads: 3731

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Research Commissions: Best Practices

Describes the process of applying research amounts on all, some, or none of investment manager's all ...
In Cross-Product (ITP) Downloads: 6811

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ANIRA Setup

This document provides instructions for setting up an ATT Global Network Client connection, AT&a ...
In Membership (I&RS) Downloads: 20

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DTCC Solutions LLC Insurance Requirement Sheet Checklist

This document provides a documentation requirement checklist and basic guidelines on becoming a DTCC ...
In Membership (I&RS) Downloads: 36

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EPayment for DTCC Solutions

This is a sample of the form that is used to authorize payment of DTCC Solutions LLC invoices via de ...
In Membership (I&RS) Downloads: 18

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I&RS Super Access Coordinator Guide

This guide helps you in your role as a Super Access Coordinator (Super AC) for your firm. ...
In Membership (I&RS) Downloads: 118

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GTR Learning Center Quick Start Guide

In Membership (GTR) Downloads: 3844

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Common Reference Data

Contains a cumulative listing of the allowed field values in the CTM service. ...
In Data Reference Downloads: 9667

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Error Code Data Reference

Contains a cumulative listing of client-facing error codes including synchronous, asynchronous, noti ...
In Data Reference Downloads: 5867

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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: 4959

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OASYS Import/Export Conformance Guide

Details the import/export process between the OASYS workstation and the in-house trading systems of ...
In Guides Downloads: 2823

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Code of Practice for Confirming Electronic Trades

Outlines response times, deadlines, system availability and staffing for the OASYS service. ...
In Guides Downloads: 3045

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TradeSuite ID: DTCC Post Trade Analytics

This document defines how to analyze the Post Trade Analytics benchmarks data for the TradeSuite ID ...
In TSID Post-Trade Analytics Downloads: 4217

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TradeSuite ID Conformance Guide

Provides a series of tests that can verify an application's compatibility with the TradeSuite ID ser ...
In TradeSuite ID 8.0 Downloads: 2410

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Affirmation Input File Specification

Describes the format of the affirmation input file. ...
In TradeSuite ID 8.0 Downloads: 2947

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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: 2813

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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: 2907

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Confirm Trade Input Message Specification

Describes the format of input messages for the TradeSuite ID service. ...
In TradeSuite ID 8.0 Downloads: 4427

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Confirm Trade Output Message Specification

Describes the format of output messages for the TradeSuite ID service. ...
In TradeSuite ID 8.0 Downloads: 4603

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TradeSuite ID Operating Procedures

This document describes the legally binding roles that the broker, agent, institution (also known as ...
In TradeSuite ID 8.0 Downloads: 4085

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Image Course Name Category Enroll
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
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
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
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 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
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
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
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
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
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

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