This website sets cookies on your device. By continuing to use our site, you consent to our use of cookies in accordance with our Privacy Policy.
Menu Learning Center
  • A Tour of IFT Access

    0.00 ( 0 votes )
    IFT Access allows Distributors to submit brokerage identification number (BIN) or representative of record (REP) changes. Click the image to launch this video tour. Watch from start to finish or use navigation tabs to select topic.
  • A Tour of LNA Access

    5.00 ( 1 votes )
    LNA Access enables distributors to submit licensing and appointment requests and producer information transactions. Watch from start to finish or use navigation tabs to select a topic. Click the image to launch the presentation.
  • Requesting Information from Profile

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
    0.00 ( 0 votes )
  • Record Types

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
    0.00 ( 0 votes )
  • Distribution Declaration Database Process Flow Example

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
    0.00 ( 0 votes )
  • About Matrix Level Controls

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Networking
    0.00 ( 0 votes )
  • Firm or Trust Company Capabilities - Account Maintenance

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Networking
    0.00 ( 0 votes )
  • Dividend Privileges

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Networking
    0.00 ( 0 votes )
  • Shareholder Privileges

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Networking
    0.00 ( 0 votes )
  • Participant Database

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
    0.00 ( 0 votes )
  • Record Types

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
    0.00 ( 0 votes )
  • Participant Database Process Flow Example

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
    0.00 ( 0 votes )
  • How will price corrections be reflected for batch clients when multiple corrections are submitted for the same Security Issue ID in different cycles?

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
    0.00 ( 0 votes )
  • How will price corrections be reflected for batch clients when multiple corrections are submitted for the same Security Issue ID within the same cycle (with the exception of Cycle 98 – the final cycle)?

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
    0.00 ( 0 votes )
  • How will price corrections be handled for MQ data recipients?

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
    0.00 ( 0 votes )
  • How will price corrections be reflected for batch clients when multiple corrections are submitted for the same Security Issue ID within the Cycle 98 (the final cycle)?

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
    0.00 ( 0 votes )
  • Will the 98 Cycle (the final cycle) of the multi-batch contain everything that has been submitted?

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
    0.00 ( 0 votes )
  • Will the 98 Cycle of the single batch contain everything that has been submitted?

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
    0.00 ( 0 votes )
  • What are ISO and SWIFT?

    • Mutual Fund Services
    • Broker/Dealer
    • Transfer Agent
    • Mutual Fund Profile Service
    0.00 ( 0 votes )
  • Canceling RAD Transactions

    • Settlement
    • Broker/Dealer
    • Bank
    • Settlement Web
    • DTC Settlement Risk Management Controls
    0.00 ( 0 votes )

Load more results

No Results Found. For best results please ensure you are logged in.

pdf
0.00 ( 0 votes )

Inventory Management System

pdf
0.00 ( 0 votes )

Connect July 2020 Q3 RC1 Product Release Information

Describes new support for CTM Auto-Affirmation and includes enhancements to Email Instruction Notifi ...
In 2020 Downloads: 238
pdf
0.00 ( 0 votes )

DTCC Exception Manager in the New Integrated UI: Product Release Information 1

pdf
0.00 ( 0 votes )

DTCC Exception Manager Product Release Information: Release 1

pdf
0.00 ( 0 votes )

DTCC Exception Manager Product Release Information: Settlement Exceptions Data Feed

pdf
0.00 ( 0 votes )

DTCC Exception Manager Product Release Information: Release 2

pdf
0.00 ( 0 votes )

Exchange Traded Fund (ETF) Web User Guide for Phase 1

pdf
0.00 ( 0 votes )

ETF Canned PCF 02261256 Sample Output Files

pdf
0.00 ( 0 votes )

Custodial to Non-Custodial - Sample Message (with Sept 2000 requirement)

This is an XML Sample of a Policy Administration Transaction (TXLife) response message for Broker De ...
In Broker Dealer of Record Change Downloads: 172
pdf
0.00 ( 0 votes )

Processing Rules for Broker Dealer of Record Change: B2B Client Transmission

This guide provides guidelines for building the B2B Policy Administration (TXLife 113) request messa ...
In Broker Dealer of Record Change Downloads: 204
pdf
0.00 ( 0 votes )

Sample Carrier Day 1 Response Message for Broker Dealer of Record Change (Carrier Accepted for Further Processing)

This is an XML Sample of a Policy Administration Transaction (TXLife) response message for Broker De ...
In Broker Dealer of Record Change Downloads: 167
pdf
0.00 ( 0 votes )

Sample Carrier Day 1 Response Message for Broker Dealer of Record Change (Carrier Reject for Business Reason)

This is an XML Sample of a Policy Administration Transaction (TXLife) response message for Broker De ...
In Broker Dealer of Record Change Downloads: 179
pdf
0.00 ( 0 votes )

CTM UI Product Release Information: UI 4.0 Release 13 (2020)

In User Interface 4.0 Downloads: 434
pdf
0.00 ( 0 votes )

ITP Overview of Roles: Institutional Trade Processing

Describes roles available to clients who use Institutional Trade Processing services as follows: ...
In Cross-Product (ITP) Downloads: 5996
pdf
0.00 ( 0 votes )

MTU Service Description

This document provides an overview of the Margin Transit Utility (MTU) services and onboarding proce ...
In General Downloads: 7178
pdf
0.00 ( 0 votes )

DTCC Exception Manager: Partial Settlement Overview

pdf
0.00 ( 0 votes )

DTCC Exception Manager: Exception Data Processing: Reference and Message Specification

pdf
0.00 ( 0 votes )

CTM: Automatic Confirmation Creation with Proration: Best Practices

Describes how the CTM service can automatically create, prorate, and truncate confirmations for brok ...
In General Downloads: 3592
pdf
0.00 ( 0 votes )

CTM: FIX 4.4 Interface Message Specification: Broker/Dealers (Legacy)

Describes the legacy, query-response FIX 4.4 interface for broker/dealers using the CTM service. ...
In Financial Information eXchange (FIX) Downloads: 5540
pdf
0.00 ( 0 votes )

CTM: MTI Batch Scheduler: Broker/Dealers

Describes how to install and configure the batch scheduler to import and export trade information fo ...
In Batch Schedulers Downloads: 3828

Load more results

No Results Found. For best results please ensure you are logged in.

No Results Found. For best results please ensure you are logged in.