• Quality Control Reports

    TradeSuite ID provides agents, brokers, and institutions with monthly online quality control reports to allow them to compare performance against that of the industry. Sample reports enable users to see how to access useful information online. For more information, access the Quality Control Reports.    
  • Liquidity Coverage Ratio Data Service

    The DTCC Liquidity Coverage Ratio (LCR) Data Services webcast  provides an overview of the calculation of commercial paper (CP) market exposure that helps market participants determine optimal capital obligations. LCR delivers transparency to firms and provides visibility to CP outstanding, CP maturity dates and the ability to manage cash coverage for CP obligations.
  • Corporate Actions Web Data Service

    CORPORATE ACTIONS A corporate action is any event that brings material change to a company and affects its stakeholders. This includes shareholders, both common and preferred, as well as bondholders. These events are generally approved by the company's board of directors; shareholders are permitted to vote on some events as well. DTC’s Corporate Actions Messaging provides...
  • Corporate Actions ISO 20022 Messaging Data Service

    WHAT IS ISO 20022? ISO 20022 is a standard for developing financial services messages which provides the financial industry with a common language to capture business transactions and associated message flows. ISO 20022 includes both securities and payments messages within its scope, and is founded on modern data modeling techniques and business process analysis. BENEFITS OF ISO...
  • Legal Notice System Data Service

    DTCC’s Legal Notice System Data Service (LENS) provides a comprehensive, searchable library, updated daily, of legal notices concerning DTC-eligible securities that are published and furnished by third-party agents, courts and security issuers.  
  • Corporate Actions Data Model - Multiple Events

    In the first generation DTC model, some complex events are defined using multiple "envelopes" and "function codes." The new model is able to define a single event with multiple options and payouts to account for the complexity of the event. In situations where the event is split into multiple events to facilitate processing, the events will be linked by reference. Where the market itself...
  • Corporate Actions Data Model - Event Identification

    The ISO 20022 data model includes a number of identifiers for an event. The Corporate Action Event Identification must be populated by any institution (data providers or account servicers) that sends announcement notifications. This identifier is then referenced in any further communication (replacement announcements, or subsequent processing) for that event by that institution. In...
  • Corporate Actions Data Model - Event Types

    DTCC’s first generation system makes announcements using proprietary Function and Activity Codes that relate to event types.  DTC also has specific function codes for issue types. For example, Partial Call is announced under FC 74 for a corporate bond and FC 76 for a municipal bond. The reengineering initiative introduces the ISO aligned corporate action event types which replace...
  • CSD (DTCC) and Market (Issuer) Data

    ISO market practice views information based upon the sender of the message (usually an Asset Servicer); therefore, two types of the message have been created to support the needs of the different roles DTCC plays. DTCC will issue announcements for corporate actions in two product types: CSD Data: The event data is being issued by DTCC in its role as a Central Securities Depository...
  • CSD (DTCC) and Market (Issuer) Data - Key Data Elements

    There are 7 key data elements that may take different values based on the variant selected by the participant. Each data element is provided in the message in both CSD and Market product. The following table lists the data elements and defines for each product whether the element can be found in the core message or in the extension. Click image to enlarge In most cases, the same options...
  • CSD (DTCC) and Market (Issuer) Data - Data Element Ownership

    The primary creators of corporate action content are the issuer/agent, depository and the stock exchange. DTCC’s data model, and to some extent ISO, accommodates the different owners of the information either explicitly or implicitly. While the ‘ownership’ of specific data elements is mostly straightforward, there are some concepts that DTCC will differentiate, as DTC data...
  • Message Structure

    The DTCC corporate actions data model is aligned with ISO. There are, however, differences in the representation. This section will explain the relationship between the two models using a corporate actions announcement as an example. The DTCC Corporate Action Model has several "levels" (noted in the diagram below in blue rectangular boxes e.g. Event, Certificate, Option, etc.). The levels are...
  • Network Protocols for ISO 20022 Message Transport

    The reengineered platform employs ISO 20022 messaging and a browser-based Graphical User Interface (GUI). Messages will be transported via either the DTCC SMART or the SWIFT network, with the following protocols: SMART (DTCC Proprietary Network) MQ NDM FTP SWIFT InterAct Store and Forward FileAct SMART Participants considering the SMART network should contact their...
  • Announcement Subscription Options

    Message subscriptions are available to enable participants to control the flow of data to them. Subscription options exist for three main event groups – Distributions, Reorganizations, and Redemptions. Announcements are broken down into eight specific event groups for which subscriptions can be separately specified. The event groups are: Distributions Factors Municipals...
  • 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...
  • Regulatory Compliance

    DataPro | Regulatory Compliance data services deliver a number of configurable data solutions designed to help firms access information they need to comply with a number of global regulatory initiatives including Basel III and Office of the Comptroller of the Currency (OCC) 5% rules.    
  • ETF Portfolio Data Service

      Inside Your ETFs - an overview of the DTCC ETF Portfolio Composition File and ETF Historical data products.
  • 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

    There is no currently active 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...
  • 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.
  • 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.
  • Security Master File Data Service

    DTCC’s Security Master File Data Service provides the most up to date, comprehensive, centralized and reliable source of DTCC eligible securities' information to the market..   To learn about this DTCC DataPro offering, please visit:  Security Master File Data Service page on dtccdata.com
  • Structured Finance Data Service

    DTCC's Structured Finance Data Service provides a single, streamlined feed of anonymized structured-finance transactions data to enhance user analysis of this complex market. To learn about this DTCC DataPro offering, please visit:  Structured Finance Data Service page on dtccdata.com
  • Commercial Paper (CP) and Institutional Certificates of Deposit (CD) Data Service

    DTCC’s Commercial Paper (CP) and Institutional Certificates of Deposit (CD) Data Service provides a single, daily feed of anonymized CP and CD secondary settlement transactions data–excluding primary IPA to dealer–to enhance analysis of this enormous market. To learn about this DTCC DataPro offering, please visit:  Commercial Paper (CP) and Institutional Certificates of...
  • Government Securities Data Service

    DTCC’s Government Securities Data Service aggregates and enriches transaction data for U.S. government securities trades that are matched, netted and settled through DTCC’s Fixed Income Clearing Corporation’s (FICC) Government Securities Division. To learn about this DTCC DataPro offering, please visit:  Government Securities Data Service page on dtccdata.com
  • New Issue Information Dissemination Data Service

    DTCC’s New Issue Information Dissemination Data Service (NIIDS) is an automated system designed to improve the trade reporting and price transparency of transactions for new issues of municipal securities through near-real-time dissemination. To learn about this DTCC DataPro offering, please visit:  New Issue Information Dissemination Data Service page on dtccdata.com
  • Equity Data Service

    DTCC’s Equity Data Service facilitates performance analysis of U.S. equity trading, by providing a daily, multi-perspective data feed for activity that clears through DTCC’s National Securities Clearing Corporation (NSCC) subsidiary. To learn about this DTCC DataPro offering, please visit:  Equity Data Service page on dtccdata.com
  • TradeHub F5 SSLVPN Device Upgrade

    DTCC is committed to provide secure and efficient access to TradeHub users. Since F5 Fire Pass is out of support we've upgraded the F5 SSL VPN device to BIG IP Edge to improve security when connecting to our service. As a result TradeHub users will need to take appropriate actions before the deadline to avoid disruption and loss of connection to TradeHub in Production. Client Action TradeHub...

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Singapore Exchange Identification of On- and Off-Exchange Trades: Best Practices

Describes best practices for clients to comply with Singapore Exchange (SGX) requirements. ...
In Market-Specific Downloads: 189

OASYS-TradeMatch Service Guide for OASYS 7.0

OASYS-TradeMatch Service Guide for OASYS 7.0 ...
In OASYS TradeMatch Downloads: 591

Equity Trade Commissions: Best Practices

Describes how Omgeo CTM handles equity trade commissions. ...
In General Downloads: 170

User Guide—Investment Managers

Describes how to use the OASYS workstation. ...
In Workstation 7 Downloads: 254

Import/Export Conformance Guide (6.1)

Validates the interface that imports and exports of data from OASYS. ...
In Direct 6 Downloads: 158

Common Message Infrastructure MQ Programmer's Guide

Describes how to submit direct XML messages using CMI over MQ. ...
In Message Queue (MQ) Downloads: 242

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: 381

Code of Practice for Confirming Electronic Trades (6.1)

Guidelines for a defined set of performance standards. ...
In Both 6 Downloads: 159

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: 97

Product Overview

Describes the features and functionality of Omgeo CTM. ...
In Data Reference Downloads: 226

Common Reference Data (6.1)

Lists the common reference data for OASYS. ...
In Both 6 Downloads: 160

Version 5.10 Product Release Information

Describes the enhancements in version 5.10 of Omgeo Connect. ...
In Version 5 Downloads: 170

Common Reference Data

Contains a cumulative listing of the allowed field values in Omgeo CTM. ...
In Data Reference Downloads: 467

Message Specification Appendix—Omgeo OASYS-TradeMatch Version 4.0

Explains the interaction of Omgeo Connect with Omgeo OASYS-TradeMatch. ...
In Message Specification Appendices Downloads: 166

Version 5.0 Product Release Information

Describes the support for exchange traded derivatives provided in version 5.0 of Omgeo Connect. ...
In Version 5 Downloads: 160

User Guide Version 4.0

Describes how Omgeo Connect manages trades. Also describes features and options that you can customi ...
In Ancillary Downloads: 159

TBA (To Be Announced) Mortgage-Backed Securities: FAQs

Answers the questions that clients most commonly ask about how to implement TBAs in Omgeo CTM. ...
In FAQs Downloads: 178

Omgeo Benchmarks Trade Analytics™ for Omgeo CTM Product Release Information

This document provides a high-level description of new features and updates in DTCC's Omgeo Benchmar ...
In Omgeo Benchmarks™ for Omgeo Central Trade Manager® Downloads: 239

Product Release Information - 2016Q1RC2

Describes the enhancements in this version of Omgeo Connect version 2016Q1RC2.  ...
In 2016 Downloads: 157

Equity Swaps: Best Practices

Describes best practices and provides guidelines for matching equity swaps using Omgeo CTM. ...
In General Downloads: 251

USDI Domestic Trade Processing: Reference and Best Practices

Describes best practices and serves as a reference for clients who use Omgeo CTM for DTC-settled tra ...
In Market-Specific Downloads: 168

Common Reference Data (6.4)

Lists tables of values for controlled fields in OASYS. ...
In Both 6 Downloads: 158

XML Message Specification: Debt/Equity and Common Messages (7.0)

A comprehensive reference for debt/equity messages and common messages. ...
In Direct 7 Downloads: 279

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: 336

Common Message Infrastructure: MQ Administrator's Guide

Describes the process for developing an MQ transport layer to the common message infrastructure. ...
In Message Queue (MQ) Downloads: 259

Product Release Information - 2016Q2RC3

Describes the enhancements in this version of Omgeo Connect version 2016Q2RC3. ...
In 2016 Downloads: 134

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: 328

Product Release Information (6.4)

Describes the contents of the OASYS 6.4 release. ...
In Both 6 Downloads: 160

System Requirements—Workstation (6.1)

Describes the certified software and hardware for the OASYS 6.1 workstation. ...
In Both 6 Downloads: 158

Integration Guide (6.1)

Describes how to integrate OASYS with your in-house trading system. ...
In Direct 6 Downloads: 195

Installation Guide—Workstation (7.1)

Describes the procedures for installing the OASYS 7.1 workstation. ...
In Workstation 7 Downloads: 181

Message Specification Appendix—Settlements Management Version 4.0

Explains Omgeo Connect messages and how they function in the Settlements Management module. ...
In Message Specification Appendices Downloads: 160

Message Specification: Appendix—Omgeo Central Trade Manager Version 4.0

Explains the interaction of Omgeo Connect with Omgeo Central Trade Manager. ...
In Message Specification Appendices Downloads: 160

Credit Supported Templates

Cross-jurisdiction.OTC Core only. Credit only. Contains templates for the creation of Credi ...
In Credit Downloads: 2118

Rates Supported Templates

Cross-jurisdiction.OTC Core only. Rates only. Contains templates for the creation of Interest Rates ...
In Rates Downloads: 2712

FIX 4.4 Interface Message Specification: Investment Managers (Legacy)

Describes the legacy, query-response FIX 4.4 interface for investment managers using Omgeo CTM. ...
In Financial Information eXchange (FIX) Downloads: 169

Margin Transit Utility Super Access Coordinator Guide

Use this guide to add and manage users in the MTU as a Super Access Coordinator. ...
In Onboarding Guides Downloads: 21

MIFID II Research Commissions: Best Practices

Describes the process of applying research amounts on all, some, or none of investment mana ...
In General Downloads: 35

Product Release Information: Release (6.3)

Describes the contents of the OASYS 6.3 release. ...
In Both 6 Downloads: 171

Product Release Information (6.1)

Describes the OASYS 6.1 release. ...
In Both 6 Downloads: 173

User Guide—Investment Managers (6.3)

Describes how to use the OASYS workstation. ...
In Workstation 6 Downloads: 160

Functional Change Document Cleared Swaps V 2.0

In Upcoming Changes FAQs Downloads: 52

Fixed Income: Best Practices

Describes best practices, with examples, for fixed income trades in Omgeo CTM. ...
In General Downloads: 224

DCIGate for .NET User Guide

Describes the DCIGate implementation for the .NET framework. ...
In .NET Framework Downloads: 164

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: 298

Settlement Location: Best Practices and Recommendations

Recommends how to use Omgeo CTM to reduce settlement exceptions based on settlement location. ...
In General Downloads: 292

Version 4.1 Product Release Information

Describes the enhancements in version 4.1 of Omgeo Connect. ...
In Version 4 Downloads: 147

Installing and Configuring Two Java Runtime Environments

Describes how to install and configure two JREs for trade blotter clients. ...
In Installation and Configuration Downloads: 174

Omgeo ALERT® Investment Manager’s Guide to GC Direct Onboarding

This document focuses on GC Direct information, the onboarding steps required to implement GC Direct ...
In Omgeo ALERT® GC Direct Downloads: 178

FX Supported Templates

Cross-jurisdiction.OTC Core only. FX only. Contains templates for the creation of FX CSV & F ...
In FX Downloads: 3018

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