• Trade Submission Templates (DATA IN)

    This section of the learning center provides you with templates, and other supporting documentation. This documentation is used to submit trade information to the Global Trade Repository for each asset class. The information is delineated by asset class. The submission troubleshooting section contians tools that can assist you in the resolution of exceptions that can occur when submitting...
  • Retracting A Pending Relationship Request

    You have the ability to retract trading relationship requests that your firm submitted and which are pending with other system users. To retract a pending relationship request: Login to Trading Relationship Management System. Select the appropriate participant ID. Click Go. Click on the hyperlink under the “Trading Relationships Pending with Others” section. When the detailed page...
  • Uploading Spreadsheets

    From the main menu, click Upload Tools. The Upload Trading Relationship Tools page appears. Click Browse. Locate and select your spreadsheet. Click Submit. The system validates your spreadsheet and either accepts it or rejects it. The results appear at the bottom of the page. For accepted spreadsheets, the system displays a link to your spreadsheet, and displays a status of...
  • DTCC Learning Center Frequently Asked Questions

  • Why do I need to complete my profile?

    When you complete your profile, you customize your learning experience. You will receive notifications related to the products of interest you select and recommended content based on your selections in Products, Industry Role and Content preferences.
  • Why am I getting an error when I try to access some content?

    You must login to access some content. If you do not have login credentials, click Create Account.
  • Required Preferred Stock Investment Calculation

    The following are the steps taken to calculate the Required Preferred Stock Investment Calculation: 1. The minimum investment is $2,500 per Participant which, across all Participants (the number of which may vary from time to time) adds up to an aggregate threshold amount. The difference, if any, between that aggregate threshold amount and $150,000,000 (the “PS Differential”) is then...
  • Reallocation of Preferred Stock

    On the first settlement cycle of each quarter, the aggregate of the Required Preferred Stock Investment of all Participants will be reallocated among all Participants, based up the recalculation of each Participant’s Required Preferred Stock Investments. A Participant may be credited a settlement amount if it is selling Preferred Stock or  debited as settlement amount if it is...
  • Risk Management Controls

    Risk Management Controls protect DTC and its Participants from the inability of one or more Participants to pay their settlement obligations. Risk Management Controls are based on guidelines established by the Federal Reserve Bank (FRB). DTC currently employs three primary Risk Management Controls for processing securities: Collateralization (Collateral Monitor) Net Debit...
  • How PTA Processing Works

    PTA transactions input into DTC's system are subject to DTC's normal editing and processing requirements (including DTC's Risk Management Controls) . PTA transactions that meet all of DTC's editing and processing requirements complete in DTC's system and no position is reserved in the PTA account. Likewise, transactions that recycle for an insufficient position will not affect your PTA...
  • Settling Bank Processing Schedule

    The following table shows the processing schedule for Settling Banks. All times are eastern time.   At this time... This process takes place... 3:45 p.m. (approximately) All settlement balances become final and the settlement period begins: DTC posts the final net debit or net credit for each Participant and the final net-net debit or net-net credit for each...
  • Cross-Product Documentation / Information

    The documentation and information included in this section pertain to multiple products across Mutual Fund Services.  
  • Fast Automated Securities Transfer (FAST) Membership

    Welcome to the Fast Automated Securities Transfer (FAST) Membership Section If you are interested in learning more about the Fast Automated Securities Transfer (FAST) program or have plans to apply for membership, bookmark this page so that you can refer to it, when necessary. In this section, members can learn about the steps that you can expect to complete during the onboarding...
  • Step One: FAST Agent Application Process and Requirements

    DTC-eligible agents interested in becoming a DTC FAST agent must fulfill the requirements listed below. After completing these requirements, the application is reviewed and the transfer agent is notified of their FAST agent eligibility status.  FAST Requirements for DTC-Eligible Transfer Agents The FAST Requirements document explains exactly what DTC requires of transfer agents when...
  • Step Two: Connectivity to DTC

    There are various communication protocols to establish connectivity with DTC, including mainframe and broadband Internet. Typically, large and medium-size agents elect for the mainframe connection while smaller agents elect for broadband Internet connection to DTC. AT&T Network-Based IP VPN Remote Access (ANIRA) facilitates access to DTC's systems through a broadband Internet connection....
  • Step Three: System Access

    FAST agents are required to designate at least one super access coordinator, a person responsible for requesting access to DTC functions and entitlements on behalf of other employees. To establish a super access coordinator account for DTCC systems, applications, products, and services or view the request form needed for PTS functions and entitlements, see:  Super Access Coordinator...
  • Step Four: FAST Issue Eligibility

    FAST transfer agents initiate the application process for a DTC-eligible security to be added to the FAST program by submitting a request to the FAST implementation at FAST_Implementation@dtcc.com.
  • Direct Registration System/Limited Participant Account (DRS / LPA)

    To obtain further information about DTC requirements, existing FAST transfer agents interested in opening a Direct Registration System/Limited Participant Account (DRS/LPA) should send an email request to AAonboarding@dtcc.com.
  • FAST Agent Retirement Instructions

    For DTC retirement instructions for FAST transfer agents, see the following sample letter:  Retiring a FAST Account This sample letter notifies DTC to retire the account of a FAST transfer agent and Direct Registration System/Limited Participant Account (DRS/LPA) holder. Ensure the letter is typed on the letterhead of the retiring transfer agent’s firm. 
  • Videos—Omgeo CTM Confirm Archive

    Watch the videos in this section to learn more about Omgeo CTM Confirm Archive. 
  • Deposit/Withdrawal at Custodian (DWAC) Agreement

     Deposit/Withdrawal at Custodian (DWAC) Agreement DWAC is a system used by DTC clients to send electronic requests to FAST transfer agents, requesting that they either deposit or withdraw securities from the DTC FAST balance account. Transfer agents use the system to approve or reject the transaction. In this agreement, the FAST transfer agent agrees to DTC’s terms of use of the DWAC...
  • ISO 20022 Messaging for Redemptions

    Click a Redemptions Messaging item on the left menu to view articles for that topic.   Message Specifications Corporate Actions Distributions and Redemptions Entitlements and Allocations Data Dictionary SR 2016  ISO 20022 Message Specifications for Entitlements and Allocations SR 2016 (message schemas) Subscription Options for ISO 20022 Redemptions Entitlements and Allocations...
  • Repurchase Agreements (Repos)

    The following documents review the place of Omgeo CTM in the trade life cycle, matching with counterparty information, and the benefits of Omgeo CTM. They also provide details about the technical infrastructure, including the variety of available interfaces and supported methods of connectivity. Access to the repo documents requires registration. Click Login or Register in the top...
  • Using The Dashboard

    The Dashboard displays alerts for relationships that you or your counterparty have created and require attention, or that you have saved, but not yet submitted. These can be trading relationships in "Pending Approval,” "Pending Delete Approval,” or "Saved" status. The Dashboard also displays alerts for spreadsheet upload errors. The Dashboard displays information in three sections:•...
  • GTR Contact Information

      GTR Sales Europe/UK/Middle East: GTR-EMEA@dtcc.com +44-20-7650-1545 Asia-Pacific: GTR-APAC@dtcc.com Japan: +81-3-6721-8876 Singapore: +65-6407-1224 Canada, North America and South America: GTR-Americas@dtcc.com +1-212-855-2430   GTR Support Europe/UK/Asia-Pacific:  +44-20-7136-6328 GTR Onboarding: Option 3, then 1, then 1...
  • The TBA CUSIP

    The TBA CUSIP was created in order to have a generic identifier for TBA trades submitted to FICC.**** All trades submitted to MBSD, even SPTs and Options, have to map back to and include the TBA CUSIP as one of the trade fields. The TBA CUSIP was designed to indicate product, agency, coupon, maturity and settlement month. The following is an example of a Single-Family FNMA 6% coupon with...
  • MMI Finality Through Optimization

    DTCC, through its depository, The Depository Trust Company (DTC), plans to enhance its current settlement model to eliminate risks associated with intraday reversals of transactions in DTC’s MMI system that are the result of issuer failure. The proposed MMI settlement model will require changes to DTC’s “refusal to pay” procedures and to current market practices by investors, issuers,...
  • MMI Finality

      Click to view the full list of proprietary formats and ISO 15022 messages that are impacted by the MMI Finality Through Optimization initiative.    
  • MMI Finality

      Click to view the full list of proprietary formats and ISO 15022 messages that are impacted by the MMI Finality Through Optimization initiative.    
  • Affirmation

    DTC may accept eligible affirmed institutional transactions (“Affirmed Transactions”) from a utility that provides a matching service1   (“Matching Utility”).  The Matching Utility must be (i) a clearing agency registered pursuant to Section 17A of the Securities Exchange Act of 1934, as amended (the “Act”), (ii) an entity that has obtained an exemption from such...
  • DVP Reporting, Training and RTTM® User Guides

    We encourage you to check out the DVP reporting, training and RTTM® user gudes listed below. These documents provide verbal representations of the DVP RTTM Web application, training materials explaining FOS calculations, trade matching, etc.... and details on DVP reports generating for participants. These documents can be downloaded and printed for later reference. Please select the...
  • GCF Reporting, Training and RTTM® User Guides

    We encourage you to check out the GCF reporting, training and RTTM® user gudes listed below. These documents provide verbal representations of the GCF RTTM Web application,  training materials explaining FOS calculations, trade matching, etc.... and details on GCF reports generated for participantsThese documents can be downloaded and printed for later reference. Please select...
  • Canada Public Price Dissemination Dashboard

  • DDR Billing

    CFTC Substantiation Report Overview
  • UAT Defects and Issues List

     
  • T+2 Testing Counterparty Request

    DTCC has received several requests to assist Members in finding test partners for T+2 industry testing. DTCC has established a T+2 Testing Counterparty Request Form (located at the bottom of this page) to collect basic information from firms that are seeking test counterparties and/or offering to act as test counterparties. Members that are looking for testing partner(s) and need access to...
  • T+2 Key Notifications

    DTCC has published the list of Corporate Action test events, for T+2 Testing Cycle 1 (February 13, 2017 – February 24, 2017). As part of each T+2 testing cycle, DTCC will establish Corporate Action test events in the PSE U environment utilizing T+2 test CUSIPs for Corporate Action testing. DTCC will announce the list of Corporate Action test events, with their respective CUSIPs, no later...
  • T+2 Industry Meeting

    T+2 Industry Testing Working Group - Bi-Weekly Calls  (Second Wednesday of each T+2 test cycle) Date  Time  February 22, 2017  10:00 am - 11:00 am ET March 8, 2017   10:00 am - 11:00 am ET  March 22, 2017   10:00 am - 11:00 am ET  April 5, 2017  10:00 am - 11:00 am ET  April 19,...
  • OASYS F5 SSLVPN Device Upgrade for Users of OASYS 7.0 and Above

    1. BIG IP Edge Client can be installed on your machine using either of the below 2 options. Please work with your desktop administrator to ensure you have administrator (admin) rights prior to following either of these options: Option 1 - Web Download a. Open a new web browser and enter the URL https://vpn.omgeo.net using Internet Explorer 11 b. Follow the IE 11 settings...
  • MTU Contact Information

      Interested in GlobalCollateral? If you are interested in learning more about Global Collateral, please contact: GCInfo@dtcc.com.      Are you an existing client? For existing clients with connectivity questions or requiring MTU support, please contact the Client Contact Center using any of the following contact numbers: U.S. Toll...
  • Money Market Instrument (MMI) Processing

    MMIs are subject to, and are processed in accordance with, Rule 9(A), Rule 9(B), Rule 9(C) of DTC and the Procedures set forth in this Settlement Service Guide. MMI Funding Acknowledgment by the IPA Subject to DTC risk controls, DTC processes maturing Presentments for delivery versus payment to the applicable IPA with respect to an Acronym in the Rules and these Procedures only after an...
  • OASYS F5 SSLVPN Device Upgrade for Users of OASYS 6.4 on Windows 7

    1. BIG IP Edge Client can be installed on your machine using either of the below 2 options. Please work with your desktop administrator to ensure you have administrator (admin) rights prior to following either of these options: Option 1 - Web Download a. Open a new web browser and enter the URL https://vpn.omgeo.net/my.policy using Internet Explorer 11 b. Follow the IE 11...
  • Support with Your OASYS F5 SSLVPN Device Upgrade

    If you experience any technical difficulties with your OASYS Workstation F5 Upgrade or if you have any additional questions, please contact our Client Contact Center at www.omgeo.com/ServiceCentral. Our support engineers are available to answer your call 24 hours a day, 6 days a week.
  • MTU Onboarding

    A Client’s Relationship Manager (RM) and a dedicated Integration team operating in the client’s region guides the client through the entire implementation, from initial communication to Go Live. Once the Integration team has completed the client’s documentation, the RM team works closely with the Integration team to complete the implementation. Generally, the implementation process can...
  • Client Engagement and Documentation

    This process describes the preliminary areas that need to be addressed in order for a client to subscribe to MTU. It focuses on the overall aspects of the Client engagement and Integration planning stages of the implementation process.   Determine Eligibility Eligible users include Investment Managers, Collateral Outsourcers, and Broker-Dealers.   End User Legal Agreement The...
  • Liquidity

    DataPro | Liquidity data services deliver a consolidated source of cross-asset class and anonymized transaction data that enables fast and efficient access to settled transaction pricing data. The services can increase market transparency and understanding of liquidity for some of the more complex securities.
  • Security Reference

    DataPro | Security Reference data services deliver descriptive data elements for more than 4 million DTC-eligible securities and 1,800 U.S.-listed ETFs. The services enable fast and consolidated data access to increase operational efficiency and decision support.
  • Announcement

    DataPro | Announcement data services deliver an authoritative and consolidated source of corporate action, legal notice and new issuance announcements and alerts for DTC-eligible securities. The services provide timely access to documentation as well as descriptive detail behind key corporate activity. Corporate Actions ISO 20022 Messaging Data Service Corporate Actions Web Data...
  • Risk

    DataPro | Risk data services deliver anonymized and aggregated data perspectives designed to help firms monitor risk exposure across several views including time, sub asset class and in comparison to the overall market. The services provide access to highly contextualized views of the market to enhance performance tracking.
  • Market & Benchmarks Analytics

    DataPro | Market & Benchmark Analytics data services deliver firm-specific transaction data and market aggregates across asset classes to provide fast access to timely industry performance benchmarks. The services can increase transparency and enable actionable insights.

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DTCC CA Transformation Monthly Industry Call - February 2017 Presentation

Includes Project Timeline and Schedule, PTS/PBS Retirements on March 7 2017, CA Web Redemptions Para ...
In Industry Calls Downloads: 23

Omgeo Alert Plus® for Global Custodians Upload Guide

This document describes how global custodians can upload model and account settlement instructions f ...
In Omgeo ALERT® GC Direct Downloads: 182

The T+2 Test Approach: Detailed Testing Framework

The purpose of this paper is to provide DTCC Members with a detailed plan for testing T+2 changes wi ...
In T+2 Downloads: 371

Matching Time Deposits: Best Practices

Describes best practices for matching time deposits in Omgeo CTM even when there is no registered IS ...
In General Downloads: 50

Test CUSIPs For T+2 Industry Testing

To facilitate Industry testing, DTCC has identified test CUSIPs (“T+2 test CUSIPs”) that ...
In T+2 Downloads: 91

Settlement Location: Best Practices and Recommendations

Recommends how to use Omgeo CTM to reduce settlement exceptions based on settlement location. ...
In General Downloads: 219

Common Message Infrastructure: SFTP User Guide

Describes the process of sending files into Omgeo using Secure File Transfer Protocol (SFTP). ...
In HTTP and SFTP Downloads: 265

MTI Specification: Repurchase Agreements (Repos)

Comprehensive reference for submitting and managing repo trade messages using MTI. ...
In Repurchase Agreements (Repos) Downloads: 8

Omgeo ALERT® Common Reference Data

Provides tables of values for certain fields used in Omgeo ALERT Web, Omgeo ALERT Direct, and Omgeo ...
In Omgeo ALERT® Downloads: 251

DTCC's Omgeo Services: Overview of Roles

Describes roles available to clients who use DTCC's Omgeo services as follows: Omgeo ALERT Omgeo ...
In DTTC's Omgeo Services Downloads: 90

GTR Product Release Notes March 24 2017 V2

This document describes all the changes expected in the March 24th 2017 release. Version 2 ...
In Upcoming Changes Downloads: 591

Networking Agreement

This document is a blank copy of the Networking Agreement. ...
In Networking Guides and Documents Downloads: 6

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: 452

HKMA Phase 2 Functional Change Document

HKMA Jurisdiction: Expansion of the existing Phase 1 mandatory reporting regime to cover all OTC der ...
In Upcoming Changes FAQs Downloads: 177

GSD Important Notice: GOV213-17

This document refers to the Submission of Rule Filing (SR-FICC-2017-001) and Advance Notice Filing ( ...
In GSD Legal Docs Downloads: 69

HKMA Phse 2 / HKTR Field Mapping

This specification (version 1.1) covers the GTR-to-HKTR mappings for upcoming HKMA Phase 2 Reporting ...
In HKMA Phase 2 Downloads: 91

Trading China Stock Connect Equities: Best Practices

Describes best practices for trading China-A equity shares through both the Shanghai and Shenzhen-Ho ...
In Market-Specific Downloads: 337

GTR Data Quality Projects Release Information V1.2

This document provides a consolidated list of Data Quality changes that are being released Feb 10th. ...
In Upcoming Changes Downloads: 508

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: 640

Rates Supported Templates

Cross-jurisdiction.OTC Core only. Rates only. Contains templates for the creation of Interest Rates ...
In Rates Downloads: 2265

Functional Change Document Cleared Swaps V 1.5

In Upcoming Changes FAQs Downloads: 253

Equity Future Templates

Cross-jurisdiction. OTC Core only. Equity only. ZIP of PDF and XLS docs. Guide and components for th ...
In Future Templates Downloads: 439

SR-FICC-2017-001

This document refers to the submission of a rule filing on a proposed change to amend the GSD margin ...
In GSD Legal Docs Downloads: 74

SR-FICC-2017-801

This document refers to an advanced notice filing for the proposed change to amend the GSD margin me ...
In GSD Legal Docs Downloads: 79

MTU Connectivity User Guide

This guide explains the connectivity requirements for implementing DTCC-Euroclear GlobalCollateral L ...
In Onboarding Guides Downloads: 17

MTI Specification: Repurchase Agreements

For investment managers and broker/dealers. ...
In Message Translation Interface (MTI) Downloads: 8

TIW Market Reports: Index & Index Option Activity Report User's Guide

This detailed guide provides a breakdown of the Index and Index Options Activity Report. ...
In TIW Market Reports: Index & Index Option Activity Report Downloads: 38

TIW Market Reports Frequently Asked Questions

Answers the questions that clients most commonly ask about the TIW Market Reports. ...
In TIW Market Reports Downloads: 52

TIW Market Reports: Index and Index Options Activity Report Fact Sheet

An overview of TIW Index and Index Options Activity Report, its benefits, and how it works. ...
In TIW Market Reports: Index & Index Option Activity Report Downloads: 37

FpML Sample: CFTC Clearing Swaps Amendment (2017-02-16)

Includes the CDS Snapshot XML, Exit Alpha CFTC Clearing Cleared Novation XML. and PET Credit Default ...
In FpML Samples (Future) Downloads: 148

DDRL HKMA Onboarding Pack (ASSET MANAGERS)

Hong Kong (HKMA) only. OTC Core only. FX and Rates. ZIP of PDF, XLS and Word docs. User agreements a ...
In Hong Kong (DDRL) Downloads: 33

TIW Market Reports: Index and Index Option Activity Report Data Dictionary

Dictionary of elements contained in the Index and Index Options Activity Report including field name ...
In TIW Market Reports: Index & Index Option Activity Report Downloads: 41

TIW Market Reports: Weekly Stock and Volume Data Dictionary

Dictionary of elements contained in the Index and Index Options Activity Report including report nam ...
In TIW Market Reports: Weekly Stock and Volume Report Downloads: 33

2017 Project Release Schedule

The scheduled list all of project deliverables for the 2017 calendar year. ...
In Upcoming Changes Downloads: 62

Common Message Infrastructure: HTTPS User Guide

Describes the process of sending files into Omgeo using Hypertext Transfer Protocol with SSL/TLS (HT ...
In HTTP and SFTP Downloads: 252

TIW Market Reports: Weekly Stock and Volume Report User's Guide

This detailed guide provides breakdown of the contents of the Weekly Stock and Volume Reports. ...
In TIW Market Reports: Weekly Stock and Volume Report Downloads: 41

TIW Market Reports: Weekly Stock and Volume Report Fact Sheet

An overview of TIW Weekly Stock and Volume Report , its benefits, and how it works. ...
In TIW Market Reports: Weekly Stock and Volume Report Downloads: 38

DDRL EMIR Onboarding Pack ASSET MANAGERS

EU (ESMA) only. OTC Core, OTC Lite and ETD. Cross-asset. ZIP of PDF, XLS and Word docs. User agreeme ...
In Europe (DDRL) Downloads: 160

DDR Onboarding Pack ASSET MANAGERS

USA (CFTC) only. OTC Core only. Cross-asset. ZIP of XLS and Word docs. User agreements and other for ...
In USA / Canada (DDR) Downloads: 73

DDRS Onboarding Pack THIRD PARTY PROVIDER

Singapore (MAS) only. OTC Core only. Credit, FX and Rates. ZIP of XLS and Word docs. User agreement ...
In Singapore / Australia (DDRS) Downloads: 33

MTU Workflows V2.0

A guide that explains the messaging workflows used by the MTU to process margin calls. It also inclu ...
In Messaging Guides Downloads: 15

System Requirements—Workstation 7.1 and 7.2

Describes the certified software and hardware for the OASYS 7.1 and 7.2 workstation. ...
In Both 7 Downloads: 216

T+2 Testing Counterparty Requests Document

DTCC will consolidate all Member input submitted via the T+2 Testing Counterparty Request form into ...
In T+2 Downloads: 66

DDRL HKMA Onboarding Pack

Hong Kong (HKMA) only. OTC Core only. FX and Rates. ZIP of PDF, XLS and Word docs. User agreements a ...
In Hong Kong (DDRL) Downloads: 48

DDRL EMIR Onboarding Pack

EU (ESMA) only. OTC Core, OTC Lite and ETD. Cross-asset. ZIP of PDF, XLS and Word docs. User agreeme ...
In Europe (DDRL) Downloads: 319

DDR Onboarding Pack

USA (CFTC) only. OTC Core only. Cross-asset. ZIP of XLS and Word docs. User agreements and other onb ...
In USA / Canada (DDR) Downloads: 251

DDRS Onboarding pack

Singapore (MAS) only. OTC Core only. Credit, FX and Rates. ZIP of PDF, XLS and Word docs. User agree ...
In Singapore / Australia (DDRS) Downloads: 67

DDRS Onboarding Pack ASSET MANAGERS

Singapore (MAS) only. OTC Core only. Credit, FX and Rates. ZIP of PDF, XLS and Word docs. User agree ...
In Singapore / Australia (DDRS) Downloads: 55

DDRJ Onboarding Pack

Japan (JFSA) only. OTC Core only. Credit, Equity, FX and Rates. ZIP of PDF, XLS and Word docs. User ...
In Japan (DDRJ) Downloads: 36

Rates Future Template

Cross-jurisdiction. OTC Core only. Rates only. ZIP of XLS docs. Guide and components for the creatio ...
In Future Templates Downloads: 700

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Obligation Warehouse (OW) Webinar

Webinar

Thursday, March 02, 2017 -

Thursday, March 02, 2017

11:00 am - 12:00 pm America/New_York

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