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  • Approving or Rejecting A Trading Relationship

    • Exchange Traded Fund (ETF)
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  • Are Sample Test Files Available for the Enhanced ETF Output File?

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    Yes. Locate input and output record layout information, including canned test data in the NSCC File Formats for ETF section.You can also download the following links: ETF Historical File Specification Sample Files
  • Creating a New Trading Relationship

    • Exchange Traded Fund (ETF)
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  • Deleting a Trading Relationship

    • Exchange Traded Fund (ETF)
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  • How Are Cash Amounts Calculated?

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    All the cash amounts are submitted to NSCC by the ETF Agents and NSCC redistributes the information to its subscribers. We cannot validate the Issuer, Sponsor or the Agents calculation. However, Key Definitions beyond what is available in our file formats is included in this document. Should you need additional information as to a particular calculation please contact the ETF Agent or Issuer...
  • Maintaining a Relationship Contact

    • Exchange Traded Fund (ETF)
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  • Updating a Trading Relationship

    • Exchange Traded Fund (ETF)
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  • What Does A Header Record Zero Signify For An ETF Fund?

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    When NSCC does not receive a component based PCF from the Index Receipt Agent, we use the previous day's PCF and zero out the fund values. All the porfolio header records are zero. The only portfolio header records that are not zero are the CUSIP number and number of components. For Domestic portfolios, this alerts subscribers that the previous business days file will be used should any...
  • What Information Is On The Files?

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    Additional file details are available in documents available on dtcc.com – follow the link below and click on "ETF" (you may need to scroll down) to reveal/access them. http://dtcc.com/clearing-services/equities-clearing-services/user-documentation/client-center-formats/file-formats.aspx
  • Who Do I Call For Information About NSCC's ETF Process?

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    For more information regarding NSCC’s ETF process, contact Relationship Management at 800-422-0582 or the Customer Support Center Hotline at 888-382-2721.
  • Which Files Show Newly Launched ETFs?

    • Exchange Traded Fund (ETF)
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  • Does The PCF Show The Components Closing Price?

    • Exchange Traded Fund (ETF)
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  • Are All U.S. Exchange-listed ETFs Available On NSCC's ETF PCF?

    • Exchange Traded Fund (ETF)
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  • Why Are Symbols & CUSIPs For Components Not On Asset Master Files Sometimes Seen?

    • Exchange Traded Fund (ETF)
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  • Why Do Some SEDOL/ISIN Fields On Foreign PCF Contain Zeros Or Incorrect Data?

    • Exchange Traded Fund (ETF)
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  • How Are Newly Launched ETF Portfolios Signified On The PCF?

    • Exchange Traded Fund (ETF)
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  • Does The PCF Contain The ETF Trading Symbol Or The IPV (Intraday Portfolio Value) Symbol?

    • Exchange Traded Fund (ETF)
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  • Index Receipt Agents

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  • Authorized Participants

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  • Evolution of ETF Clearing

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    The Depository Trust Clearing Corporation has worked diligently over the past 20+ years to innovate and modernize its range of ETF products and services. On January 22, 1993, DTCC cleared and settled the first trades placed on ETFs. Fast-forward nearly 25 years later, the ETF industry has matured both in terms of product availability and assets under management with the latter continuing to...

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ETF Near Real-Time Create & Redeem Enhancements and Controls Client Testing & Output File Configuration (January 22, 2018 #A8507)

This Notice contains several critical announcements for the ETF Near Real-Time Create/Redeem Enhance ...
In ETF Important Notices Downloads: 2576
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Instructions For Onboarding to the DTCC ETF Portfolio Service

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ETF FAQs and Expanded ETF File Format Definitions

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ETF CUSIP and Symbol Upload Template

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Exchange Traded Funds (ETF) Near Real-Time Create/Redeem Enhancements and Controls: Customer Business Requirements

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ETF Industry Working Group Meeting Notes - February 6, 2020

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ETF Industry Working Group Meeting Notes - August 19, 2020

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ETF Industry Working Group Meeting Notes - September 22, 2020

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ETF Industry Working Group Meeting Notes - June 26, 2019

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Exchange Traded Fund (ETF): DTCC ETF Initiatives September 2018

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Enhanced ETF Create and Redeem Instruction Input MRO: DATATRAK Production 11300/PSE 41300

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PCF Enhancements to Support Multiple Baskets, Order Customization, and Clearance of ETFs with Corporate and Municipal Bond Components (June 18, 2019 #A8720 / P&S 8295)

As discussed with ETF Agents and Authorized Participants (APs) at the April 11, 2019 ETF Industry Wo ...
In ETF Important Notices Downloads: 1249
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PCF Enhancements to Support Multiple Baskets, Order Customization, and Clearance of ETFs with Corporate and Municipal Bond Components (December 21, 2018 #A8657)

As discussed with ETF agents and authorized participants at the DTCC ETF Industry Working Group Agen ...
In ETF Important Notices Downloads: 1028
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PCF Enhancements to Support Multiple Baskets Testing Information (August 22, 2019 #A8738 / P&S P&S 8313)

As previously announced (see Important Notice A8720 on June 18, 2019), NSCC is preparing for Client ...
In ETF Important Notices Downloads: 1176
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NSCC ETF PCF Reporting Fee Modification (August 20, 2020 #A8890 / P&S 8463)

On July 21, 2020, National Securities Clearing Corporation (“NSCC”) filed a proposed rul ...
In ETF Important Notices Downloads: 435
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ETF Industry Working Group Meeting Notes - December 15, 2020

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ETF Test Guidelines For PCF Enhancements for Processing Multiple Basket Types

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ETF Test Plan Guidelines For Agents and Authorized Participants

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ETF Industry Working Group Meeting Notes - January 20, 2021

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ETF Phase 2 Enhancements to Support Clearance of Fixed Income ETFs and Collateralization of Trade-for-trade Components (April 9, 2021 #A8989 / P&S 8562)

The scheduled launch date for Phase 2 deployment is Friday, April 23, 2021, for effective date Monda ...
In ETF Important Notices Downloads: 479

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