DTC/NSCC/FICCDISASTER RECOVERY GUIDEOCTOBER 24, 2023

Disaster Recovery Guide

TABLE OF CONTENTS
Purpose of this Guide .......................................................................................................................................... 4
DTCC Disaster Recovery ..................................................................................................................................... 5
What to Expect When DTCC Activates its Disaster Recovery Plan ....................................................................5
Installation and Communication Instructions for Leased Line Users ..................................................................5
Leased Line Access ............................................................................................................................................5
How to Ensure Connectivity to the DTCC Out-of-Region Data Center ...............................................................6
How to Connect to the DTCC Web Portals When Processing Has Resumed in the DTCC Out-of-Region
Data Center .........................................................................................................................................................6
DTC ........................................................................................................................................................................ 7
Automated Output Files ......................................................................................................................................7
DTFMTX Output ................................................................................................................................................7
DTFTAP Output for Transfer Agents .................................................................................................................7
Corporate Actions Instructions Balance Report .................................................................................................8
How to Access Screen-Based Monitoring Tools .................................................................................................8
Corporate Action Web (“CA Web”) ....................................................................................................................8
Settlement Web .................................................................................................................................................8
How to Access the Activity Inquiry Tool ..............................................................................................................9How to Access the Inventory Management Service/IMS ..................................................................................10
How to Access the Risk Management Controls Inquiry Function .....................................................................11
How to Access the Receiver Authorized Delivery Function ..............................................................................12
How to Access the MMI Issuance Processing/MMII Function...........................................................................13
How to Access the MMI Tracking/MMIT Function .............................................................................................14
How to Access the MMI IPA Decision Making Function/IPA DMA ....................................................................15
How to Access the Position Inquiry Function ....................................................................................................16
How to Access the Participant Account Statement ...........................................................................................17
How to Access the Settling Bank Statements ...................................................................................................18
FICC ..................................................................................................................................................................... 19
How to Access Fixed Income Applications ........................................................................................................19
FICC RTTM Web .............................................................................................................................................19

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How to Access Fixed Income Applications Using RTTM Web .......................................................................... 19
GSD RTTM Web ............................................................................................................................................... 20
MBSD RTTM ..................................................................................................................................................... 23
MBSD Electronic Pool Notification ("EPN") Application .................................................................................... 24
General Out-of-Region Recovery Advice for the EPN Application (Recovery-Restart Considerations) ........... 25
MQ ................................................................................................................................................................... 25
NSCC.................................................................................................................................................................... 26
NSCC Clearing Dashboard Overview ............................................................................................................... 26
Clearing Dashboard – Consolidated Trade Summary ...................................................................................... 27
Clearing Dashboard – Continuous Net Settlement ........................................................................................... 28
CNS Position Inquiry Function ......................................................................................................................... 28
Reconciliation .................................................................................................................................................... 29
Cash Reconciliation Statement ........................................................................................................................ 29
Participant Instructions ...................................................................................................................................... 30
Fully-Paid-For Instructions ............................................................................................................................... 30
Priority Instructions .......................................................................................................................................... 30
Exemptions Instructions ................................................................................................................................... 30
How to Access ETF Portfolio Files .................................................................................................................... 31
How to Access SMART/Track for Buy-Ins......................................................................................................... 31
How to Access SMART/Track for Corporate Actions ("CNR") .......................................................................... 31
How to Access Obligation Warehouse .............................................................................................................. 32
How to Access CMU RTTM .............................................................................................................................. 32
How to Access ACATS...................................................................................................................................... 33
Definition Of Terms ............................................................................................................................................ 34
MYDTCC Access................................................................................................................................................. 35

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Disaster Recovery Guide

PURPOSE OF THIS GUIDEThe purpose of this document is to provide guidance to DTC, FICC, and NSCC clients for reconcilingtransactions in the event of DTCC's recovery from a disaster.
DTCC considers a disaster to be a disruptive event with a significant business impact, including the possibilityof data discrepancies with clients' books and records due to data loss. This guide delivers an overview of themonitoring and reconciling tools available, as well as links to the online reference materials that provide
additional assistance.
For any questions regarding the content of this guide, please contact your DTCC Relationship Manager or the
DTCC Client Contact Center at (888) 382-2721.

PURPOSE OF THIS GUIDE

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DTCC DISASTER RECOVERY
What to Expect When DTCC Activates its Disaster Recovery Plan
In the event of a disaster, DTCC will undertake the following general steps:
1.

At the time of disaster declaration, DTCC will prioritize the recovery process for its most critical services.

2.

DTCC will advise clients when resumption is complete. At that point, clients can commence reconcilingtheir data.

3.

Clients can use the tools as defined in this guide to identify transactions that need resubmission due to thedisaster.

4.

DTCC will resume normal processing, which includes trade capture and recording activities for the day.

As participants of DTC, FICC, and/or NSCC (the “Clearing Agencies”), clients are required to participate in data
reconciliation under the applicable Clearing Agency rules, which establish the responsibility of participants tocheck the accuracy of reports received from the Clearing Agencies and to report any discrepancies. See eachof the Rule Books or service guides:•

NSCC Rule 5, Section 5•

GSD Rule 5, Section 5 and Rule 11, Section 12•

DTC Settlement Service Guide (page 4)•

MBSD Rule 5, Section 2, and Rule 6, Section 4

Under certain circumstances, the Market Disruption and Force Majeure Rule under each of the Clearing
Agencies’ rules also allow the Clearing Agencies to take certain actions following the occurrence of a “Market
Disruption Event,” as defined in those rules, and to require participants to take actions “appropriate to prevent,address, correct, mitigate or alleviate the event and facilitate the continuation of services as may bepracticable.”
For more information, see:•

DTC Rule 38•

FICC/GSD Rule 50•

FICC/MBSD Rule 40•

NSCC Rule 60

Installation and Communication Instructions for Leased Line Users
Leased Line AccessAll applications are reachable via the DTCC communications infrastructure. If there is a disaster, it is possiblethat network configuration changes may be required to access DTCC services. This configuration can include,
but is not limited to:•

Network routes

•

DNS

•

Firewall security•

Proxy server settings

These procedures presume that there is a working connection to DTCC.

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Note
Regularly validating the ability to establish end-to-end connectivity between client sites and the DTCC out-of-region data
center is the only way to ensure that appropriate communications and network security configurations are in place. Thisvalidation should be regularly tested as part of the client’s business continuity plans.

How to Ensure Connectivity to the DTCC Out-of-Region Data Center
To take advantage of DTCC business continuity capabilities, the ability to interact with DTCC is required via
one of the following:•

DTCC SMART network•

SFTI network•

BT Radianz infrastructure that interconnects with SMART

•

ANIRA

To avoid delays accessing monitoring tools or corresponding reference materials, DTCC recommends proper
maintenance of valid user IDs and passwords for access to its applications.
In addition, clients should regularly test the ability to establish end-to-end connectivity with the DTCC out-ofregion data center. This validation is the only way to ensure that appropriate communications and network
security are in place. It is important that clients' business continuity exercises include a fail-over to the DTCC
out-of-region data center.
Clients may be required to participate in periodic operational testing performed by the Clearing Agencies,
which could include, for example, testing connectivity or data reconciliation in the event of an out-of-region
failover. These testing requirements are broadly set forth in:•

DTC Rule 2; FICC/GSD Rule 3, Section 6•

FICC/MBSD Rule 3, Section 5•

NSCC Rule 2B, Section 3

How to Connect to the DTCC Web Portals When Processing Has
Resumed in the DTCC Out-of-Region Data Center
Depending upon the DTCC application and network used to connect to DTCC, clients may be required toaccess a different URL or IP address than normally accessed in the Production environment.
See MyDTCC Access for information on the different web portals and corresponding applications required toaccess the systems in the DTCC out-of-region data center.
The remainder of this document lays out the client tools available by Clearing Agency.

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DTC
In the case of a disaster, clients will be given the opportunity to confirm their settlement-related transactions
that have been received by DTC. These transactions can be from a variety of sources, such as DTCC
Institutional Trade Processing (“ITP”), NSCC’s Continuous Net Settlement system (“CNS”), a service provider
or submitted directly by the client. These transactions may also be in various processing states, such as
awaiting receiver approval in the Receiver Authorized Delivery (“RAD”) function and pending for position,
among others. As a result, DTC offers two ways that clients can reconcile: through output files or a variety ofscreen-based monitoring tools, as described in this chapter.

Automated Output Files
DTFMTX Output
In the event of a disaster, DTC will make available a machine-readable file, called the DTFMTX file, to allclients who currently receive automated outputs. The DTFMTX file will include all settlement transactions
received on that business day by DTC, as well as the status of these transactions at the time the report was
generated. Clients that receive DTC’s DTFPART output are automatically subscribed to this file and canaccess it leveraging network data mover (“NDM”) or file transfer protocol (“FTP”) capabilities when the DTC
systems become available. The information received through the DTFMTX will be in the same format as the
DTFPART output.
Questions on testing with this file can be made by contacting DTCIntegration@dtcc.com.
See the Disaster Recovery Settlement Participant Activity (5.11 DR) User's Guide, available within the
Settlement: CCF Document Repository on the DTCC Learning Center, for further information, including filespecifications.

DTFTAP Output for Transfer Agents
DTC will make available the DTFTAP output to Transfer Agents ("TAs"). The DTFTAP output reports all current
business day securities processing transactions completed and pending on DTC’s books and records at thetime the output was generated. Specifically, the DTFTAP includes:•

DWAC requests•

DRS Profile requests•

Deposits, Withdrawals by Transfer•

Custody Transfers•

Both FAST Adds-To-Balances and Drawdowns

This output can be generated on an ad-hoc basis for TA reconciliation in a disaster scenario. To assist TAs
with daily processing with DTC, this output is also available for retrieval at five different times each businessday (at 9:00 ET, 11:00 ET, 13:00 ET, 15:00 ET and 18:00 ET). Each successor file is cumulative, with the final
one at 18:00 ET containing the full day’s activities. This output is available on-line via the new Securities
Processing Application (“SPA”), where it will be retained for 5 business days and can be downloaded directlyfrom the SPA system.
Transfer agents who want to retrieve the file should contact DTC Support at DTCSupport@dtcc.com.
Questions on testing with this file can be made by contacting DTCIntegration@dtcc.com.
See DTFTAP Disaster Recovery Transfer Agent Activity User’s Guide, available within the Asset Services CCF
Document Repository on the DTCC Learning Center for further information, including file specifications.

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Corporate Actions Instructions Balance Report
Upon a disaster, DTC will make the Corporate Actions Instructions Balances Report available to clients. This
report contains pertinent data for reconciliation of voluntary corporate actions instructions. It also lists
mandatory corporate actions with options instructions that were processed by DTC at the point the report was
generated. The output will be e-mailed to clients upon request. Clients can utilize this output to compare to
their own internal records, locate discrepancies, and resubmit the corporate actions instructions lost by DTC
due to the reset.
Clients who want to receive this output should contact DTCSupport@dtcc.com following a business disruption
event.

How to Access Screen-Based Monitoring Tools
Corporate Action Web (“CA Web”)
The CA Web enables clients to manage the lifecycle of corporate action events by searching for corporate action
event announcements, submitting instructions, and viewing entitlements and allocations using various dashboard
overviews.
The CA Web can be used to access notifications for:•Distributions – including cash and stock dividends, principal and interest payments, and capital gain
distributions•

Redemptions – including full and partial calls, final paydowns, and maturities•

Reorganizations – including exchange offers, conversions, and Dutch Auctions

In data loss scenarios, where DTC needs to reprocess the CA events announcements & CA cash and securities
allocations lost due to the impact, clients can utilize the CA Web to reconcile to DTC’s updated books and records. In
such instances, DTC will ensure that new events are re-announced with new Corporate Action Identification
Numbers (CA ID), that were not utilized prior to the data loss impact. This step will prevent potential client
reconciliation issues that can occur if DTC reassigns the same identification number to a different corporate actions
event post the impact. DTC will provide the range of CA IDs for corporate actions event announcements that should
be reviewed by clients as possible exceptions. The CA ID for events that not impacted by the data loss, will remainunchanged. Additionally, updates to existing events will be re-processed without requiring any change to theoriginally assigned CA ID.
See the - CA Web section on the DTCC Learning Center for more information

Settlement Web
DTC processes the transmissions it receives within various systems and monitors the processing of thesetransactions—or "activity"—using several activity-type Settlement monitoring tools.
The Settlement Web is DTC's primary Settlement user interface, through which clients can access the various
screen-based monitoring tools. The Settlement Web Navigation Bar allows participants to select from thefollowing categories:•

Activity•

Position•

Cash and Balances

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Transaction Submission•

Commands•

ProfilesThe Navigation Bar also provides access to the Participant Browser Services (“PBS”) for functions that have
not yet been incorporated into the new Settlement Web.

Table 3.1 lists the Settlement Web functions needed for certain DTC Settlement monitoring activities. The
sections that follow contain links to the relevant documentation for these functions.
Table 3.1 DTC Activity Monitoring Tools
To View DTC Settlement Activity…

Use this Settlement Web Application/Function

Activity items processed or pending in ATP

Activity Inquiry Tool

Activity items received

Inventory Management Services ("IMS") application

Collateral management monitoring

Risk Management Controls Inquiry function

Delivery Orders ("DO") awaiting receiver’s
authorization

Receiver Authorized Delivery ("RAD") function

Payment Order ("PO")/DO Output

Participant Activity Research Tool ("PART") function

Money Market Instruments ("MMI") Issuances
Processing

MMI Issuance Processing (“MMII”), Money Market Underwriting(“MMUW”) functions

MMI tracking for Issuing Paying Agents ("IPA")

MMI Tracking (“MMIT”) function

MMI Funding Decisions

IPA Decision Making Application (IPA DMA)

Security Positions

Security Position Inquiry function

Participant Settlement Balances

Participant Account Statement function

How to Access the Activity Inquiry Tool
The Activity Research function allows clients to view current day activity or the activity history for up to 60
business days by:•

CUSIP number•

Activity type•

Collateral group•

Transaction number

The Activity Research function is accessible through the Activity Inquiry option under the Activity menu in the
Settlement Web. Clients can use this function to view:

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Collateral group's payment orders•

Pledges•

Positions•Search by CUSIP

Figure 3.1 Accessing the Activity Inquiry Tool

Figure 3.2 Activity Inquiry Tool

See the Settlement Web online help for more information.

How to Access the Inventory Management Service/IMS
The Transaction Authorization function of the IMS application within the Settlement Web offers clients options
to view, authorize, or exempt transactions at DTC submitted for processing. The Transaction Authorization
function is accessible through the Activity menu in the Settlement Web. Clients can also access several of theoptions to manage the processing of transactions from the Profiles menu in the Settlement Web.

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Figure 3.3 Accessing the Transaction Authorization Function

Figure 3.4 Transaction Authorization Function

See the Settlement Web online help for more information.

How to Access the Risk Management Controls Inquiry Function
The Risk Management Controls Inquiry function can be used to view the current settlement balance and Risk
Management Control-related balances for a client's collateral group. The Risk Management Controls Inquiry
function is accessible through the Cash and Balances menu in the Settlement Web.

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Figure 3.5 Accessing the Risk Management Controls Inquiry Function

Figure 3.6 Risk Management Controls Inquiry Function

See the Settlement Web online help for more information.

How to Access the Receiver Authorized Delivery Function
The Receiver Authorized Delivery (“RAD”) function can be used to review, approve, or cancel incoming
deliveries before they are processed in a client's account. The following can be routed through RAD:•

Valued delivery orders•

Payment orders•

Valued pledges•

Matched Institutional Deliveries•

Money Market Instruments

Transactions subject to RAD are accessible through the RAD Transactions option under the Activity Menu in
the Settlement Web. Clients have the option to inquire by Transaction Type.

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Figure 3.7 Accessing the Receiver Authorized Delivery Function

Figure 3.8 Transaction Inquiry Function

See the Settlement Web online help for more information.

How to Access the MMI Issuance Processing/MMII Function
IPAs can use the MMII function to initiate the processing of MMI Issuance transactions, specifically:•

Issuance instructions•

Cancellation instructions, and•Withdrawal instructions

In addition to processing, the IPAs can leverage the MMII function to perform inquiries on:•

MMI Issuance Instructions•

MMI Issuance Control, and•

MMI Underwriting Notices, which can also be accessed using the MMUW function

The MMI Issuance Processing MMII and MMUW functions is accessible by the IPAs through DTC’s
PBS/Settlement Web application.

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Figure 3.9 Accessing MMII and MMUW Functions

The MMI documentation is available on dtcc.com.

How to Access the MMI Tracking/MMIT Function
IPAs can use the MMIT function as an inquiry tool to monitor MMI transactions processed through DTC
systems that affect their accounts. The MMI Tracking function is accessible through the Activity menu within
the Settlement Web.

Figure 3.10 Accessing the MMI Tracking Function
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Figure 3.11 MMI Tracking Function

See the Settlement Web online help for more information

How to Access the MMI IPA Decision Making Function/IPA DMA
The IPA DMA function provides IPAs with the ability to choose whether an acronym for a maturity presentment
is fully funded, partially funded, or issue a Refusal to Pay (“RTP”). For income presentments andreorganization presentments, the IPAs will have the capability to choose between fully funded or issue an RTP.
The IPA DMA is accessible from the Activity menu within the Settlement Web.

Figure 3.12 Accessing the IPA Decision Making Application

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Figure 3.13 IPA Decision Making Application

Information related to MMI is available on dtcc.com.

How to Access the Position Inquiry Function
The Position Inquiry function within the Settlement Web can be used to view snapshots of the current andhistorical balances for any DTC-eligible security. Clients can view historical account balances for up to two
years.
Using the Participant ID, CUSIP, and business date as search criteria, the page displays position information
across a series of tabs. A brief description of each tab appears below it.
The Position Inquiry is accessible from the Position menu within Settlement Web.

Figure 3.14 IPA Accessing the Position Inquiry Function

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Figure 3.15 Participant Account Statement Function

See the Settlement Web online help for more information.

How to Access the Participant Account Statement
The Participant Account Statement function on the Settlement Web can be used to view current settlement
activity for the individual participant, collateral groups, or legal entity.
Clients can access options of the Participant Account Statement function through the Settlement Web, under
the Cash and Balances menu tab.

Figure 3.16 Accessing the Participant Account Statement Function

Figure 3.17 Participant Account Statement Function

See the Settlement Web online help and the Settlement Participant Activity (DTFPART) Function User's Guide,available within the Settlement: CCF Document Repository on the DTCC Learning Center for more information.

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How to Access the Settling Bank Statements
The Settling Bank Statement function on the Settlement Web can be used by settling banks to view their endof-day settlement balances in one centralized place. It also allows the acknowledgment of settlement balancesand viewing of Bulletin Board messages from the DTC Settlement department. The Settling Bank Statement
function is accessible through the Settlement Web, under the Cash and Balances menu tab.
By default, the current day’s figures appear. However, settling banks can also view history for up to 60 days.

Figure 3.18 Accessing the Settling Bank Statement Function

See the Settlement Web online help for more information.

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FICC
In the event of a disaster, clients will be given the opportunity to ensure that all trades sent from submittershave been received and processed by FICC. These trades are submitted either directly from the client or
through a third-party vendor. Clients can use a screen search and/or a report output to reconcile theirtransactions with FICC. “Good night” messages are provided by FICC to signal end of day processing.

How to Access Fixed Income Applications
All Fixed Income applications require a dedicated network connection through either DTCC SMART, SFTI, BT
Radianz or AT&T ANIRA networks. Clients can connect to the FICC Real-Time Trade Matching (“RTTM®”)Web or the EaSy Pool ("ESP") Web using these networks. The table below lists the access methods to theFixed Income.
Table 4.1 Fixed Income Access Methods
Application

RTTM Web

EaSy Pool ("ESP") Web

FICC GSD RTTM Web

Yes

N/A

FICC Report Center

Yes

N/A

FICC MBSD RTTM Web (Mortgage-Backed Securities)

Yes

N/A

EPN (Electronic Pool Notification)

No

Yes

FICC RTTM Web
The FICC RTTM Web provides secure, real-time trade entry and management tools for most fixed income
products. It provides search capabilities and statistical reporting to facilitate the trade reconciliation process.
After verification and establishment of communication, clients can connect to FICC RTTM Web applications at
https://login.dtcc.net.
Table 4.2 FICC RTTM Web Access
Application

FICC Web URL

Description

DTCC Portal

https://login.dtcc.net

Generic URL to Applications

https://portal.online.dtcc.net
FICC GSD RTTM Web

https://gsd-ficcweb.dtcc.net

Direct FICC GSD Web Application URL

FICC MBSD RTTM Web

https://mbsd-ficcweb.dtcc.net

Direct FICC MBSD Web Application URL

FICC Report Center

https://fhrweb.dtcc.net

Direct FICC Report Center Application URL

How to Access Fixed Income Applications Using RTTM Web
1.

Type the application URL into the browser address field.

2.

Log into MyDTCC to access FICC GSD and FICC MBSD RTTM Web.
The FICC GSD RTTM Web tile launches the FICC GSD Dashboard. The FICC MBSD RTTM Web tile
launches the FICC MBSD Dashboard.

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Figure 4.1 MyDTCC Welcome Screen
Notes•

Clients can launch the RTTM application for each of the Fixed Income products from this screen, provided they havethe appropriate entitlements.

•

For security purposes, the DTCC Portal locks the user out after three unsuccessful login attempts. If users are locked
out, they can contact their access coordinators.

GSD RTTM Web
The GSD RTTM Web provides a secure, real-time trade entry and management tool for government securities.
When accessing GSD RTTM Web, clients land on the Dashboard page, which provides clients with real-time
information on trade and obligation statistics for DVP activity and trade and position statistics for GCF
Repo®/CCIT™ activity.

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Figure 4.2 GSD RTTM Web (DVP Dashboard Section)

Figure 4.3 GSD RTTM Web (GCF Dashboard Section)

The Trade Search Engine (within the ‘Trades’ tab) gives clients the ability to search for specific trades orgroups of trades within the DVP or GCF/CCIT products, using various filters (Submission Date, Trade Type,etc.) to help manage their trade and settlement activity.

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Figure 4.4 Trade Search Menu

Figure 4.5 DVP Trade Query

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Figure 4.6 GCF/CCIT Trade Query

Figure 4.7 GSD Members can also access GSD Reports via the main tool bar.

MBSD RTTM
The MBSD RTTM Web provides secure, real-time trade entry and management tool for mortgage-backed
securities ("MBS").
Clicking on FICC MBSD Web link directs clients to the MBS Home Statistics page, which provides counts ofpartially matched and uncompared trades, as well as advisories, cancels, and don’t know (“DK”) requests. In
addition, the dashboard provides comparison percentages, TBA pair off potential, the SIFMA calendar, and thestatus of MBS system events.

Figure 4.7 MBSD RTTM Web

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The MBS Trade Search Engine (within the ‘Trades’ tab) provides clients the ability to search for specific tradesor groups of trades using various filters (for example, Submission Date, and Trade type) to help reconcile
systems.

Figure 4.8 MBS Trade Search Menu

Figure 4.9 MBS Trade Search Query

MBSD Electronic Pool Notification ("EPN") Application
The MBSD EPN application is a real-time, store and forward message switch that provides an electronic
communication network that is located in FICC MBSD RTTM Web. EPN can transmit MBS pool allocation
information quickly, efficiently, and reliably through this network.
The EaSy Pool (ESP) is a communication front-end to the EPN application. Clients can access the ESP
application through MyDTCC. Select the FICC MBSD RTTM Web tile, which launches the FICC the MBSD
Dashboard.

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Figure 4.10 DTCC Portal

Select the EPN menu option to view the EPN/EaSy Pool Dashboard.

Figure 4.11 EPN/EaSyPool Dashboard

General Out-of-Region Recovery Advice for the EPN Application(Recovery-Restart Considerations)
MQ
1.

Start of Day (SOD) TX (Text) messages will be sent to all MQ-configured clients.

The body of the SOD TX message will include the following:•

START OF BUSINESS DAY message•

Current Business Date

Sample Message:
TX0000010020105110522START OF BUSINESS DAY 08082022
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NSCC
NSCC utilizes automated balancing controls to ensure that all trades sent from submitters have been received
and processed. These controls include gap checking in NSCC’s FIX engine (the system which processes
exchange trades); gap sequencing in NSCC’s Universal Trade Capture application (“UTC”), which is NSCC’s
core trade processing application; and end-of-day balancing through “good night” messages. In the case of adisaster, clients can leverage the UTC Reporting to reconcile trades submitted and processed by NSCC before
and after the disaster event. UTC validates and reports clearance activity to clients throughout the day, which
members may elect to receive via FIX or MQ message, or a unified output file. This reporting includes the trade
ID and the order ID submitted by the executing markets to support reconciliation.
From a trade processing perspective, subsequent to transaction receipt and reporting, transactions areincluded in NSCC’s Consolidated Trade Summary (“CTS”) to identify netting disposition. CTS reporting will
result in processing in the Continuous Net Settlement (“CNS”) or Obligation Warehouse (“OW”) systems. In
addition to the trade processing and reporting, NSCC offers Exchange Traded Funds (“ETF") portfolio
composition reporting, Corporate, Municipal and UITs (“CMU”) Real-Time-Trade-Matching (“RTTM”) service
and Automated Customer Accounts Transfer Service (“ACATS”). The systems supporting these services
include input and reporting structures, and tools to support client reconciliation.
In general, application reporting can be re-sent to customers for certain time period that depends on thereporting type and application settings. Customers can call the DTCC Client Center to request a replay of theoutput if they believe data was not sent or received.

NSCC Clearing Dashboard Overview
The Clearing Dashboard (“CLD”) is a landing page that hosts several NSCC web-based products. The CLD isavailable from the DTCC Web Portal (https://portal.dtcc.com).
The CLD supports customer reconciliation in the Consolidated Trade Summary (“CLD”), Continuous Net
Settlement (“CNS”), and Exchange Traded Funds (“ETF”) sections.

Figure 5.1 Consolidated Trade Summary ("CTS") Totals Page

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Clearing Dashboard – Consolidated Trade Summary
NSCC participants can use the CTS screens located under the Clearing Dashboard to view and query CTS
information for both current and historical trading activities, by settlement date. The CTS web tool provides
Settlement Date Totals as well as customizable query capabilities for CTS transactions, based on searchfilters. The CTS web is updated with new feeds from the Universal Trade Capture application following theSame Day Settlement cutoff (11:30 AM EST), completion of the 9:00 PM EST Trade Capture Reporting Cycle,
and at the Close-of-Business (after Midnight EST).
Figure 5.2 displays the CTS Totals screen, which can be used to compare against known amounts for various
aggregations (such as Market).

Figure 5.2 Consolidated Trade Summary (CTS) Totals Page

Figure 5.3 displays the CTS Inquiry screen, which can be used to search for transactions using various criteria(such as the Settlement Date).

Figure 5.3 CTS Inquiry Page

See the Equities Clearing - Consolidated Trade Summary section on the DTCC Learning Center for more
information.

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Clearing Dashboard – Continuous Net Settlement
NSCC Participants can use the CNS Positions, Reconciliation and Participant Instructions tabs on theContinuous Net Settlement (“CNS”) web application, which is located on the Clearing Dashboard, formonitoring of their activities and reconciliation of their positions. The applicable functions within these tabs arelisted below.

Figure 5.4 CNS Positions Inquiry Page

CNS Position Inquiry Function
The Position Inquiry function under the CNS Positions tab can be used to view snapshots of the current andhistorical balances for any DTC-eligible security. Clients can view historical account balances for up to two
years.
Using the Participant ID, CUSIP, and business date as search criteria, the page displays position information
across a series of tabs. A brief description of each tab appears below it.
Figure 5.4 and Figure 5.6 display the CNS Positions section, which allows customers to search for specific
CNS positions and view search results.

Figure 5.5 CNS Positions Inquiry Page

Figure 5.6 CNS Position Inquiry – Search Results

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Reconciliation
Cash Reconciliation Statement
The Cash Reconciliation Statement screen can be used to view the various cash balance values for a given
Settlement Date.
See the CNS Documentation on the DTCC Learning Center for more information.
Figure 5.7 and Figure 5.8 display the CNS Reconciliation Section, which provides a CNS position summary.

Figure 5.7 Cash Reconciliation Statement

Figure 5.8 Cash Reconciliation Statement -Search Results per Selected Search Values

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Participant Instructions
Fully-Paid-For Instructions
The Fully-Paid-For Instructions screen can be used to search/add/update/delete Fully-Paid-For Instructions.

Figure 5.9 Fully-Paid-For Instructions Page

Priority Instructions
The Priority Instructions screen can be used to search/add/update/delete Priority Instructions.

Figure 5.10 Fully-Paid-For Instructions Page

Exemptions Instructions
The Exemption Instructions screen can be used to search/add/update/delete Exemption Instructions.

Figure 5.11 Exemptions Instructions Page

See the CNS Documentation on the DTCC Learning Center for more information.

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How to Access ETF Portfolio Files
Following the completion of the ETF Portfolio Composition File (“PCF”) Primary Cycle, PCF transmissions canbe verified by accessing the ETF web application within the DTCC Portal and searching for PCFs by tradedate. Supplemental ETFs can be verified at any time via the ETF web screen.

Figure 5.12 Access to the ETF Portfolio Files

See the Equities Clearing - Exchange Traded Fund section of the DTCC Learning Center for more information.

How to Access SMART/Track for Buy-Ins
SMART/Track for Buy-ins is a Web-based system that enables automated communication and tracking of
NSCC CNS and non-CNS (for example, NYSE, AMEX, NASD, and NSCC Non-CNS) buy-in notices as well as
Municipal Securities Rulemaking Board (“MSRB”) closeouts. Through the system, participants can easily
create, send, process and track notices throughout its lifecycles. For reconciliation purposes, all notices are
stored and available to view the most recent action.
SMART/Track is used to add Buy-in intents, Buy-in orders, Buy-in executions, and Re-transmittals for CNS andnon-CNS failing obligations.
SMART/Track for Buy-ins is accessible from MyDTCC at https://portal.dtcc.org/wpsnew/portal/mainpage.do.

How to Access SMART/Track for Corporate Actions ("CNR")
SMART/Track for Corporate Action Liability Notification is a Web-based system that provides automatedcommunication and tracking of corporate action liability notices for securities undergoing a voluntary corporate
action event. Participants can easily create, send, process and track broker-to-broker/bank and CNS liability
notices through the service. For reconciliation purposes, all notices are stored and available to view the mostrecent action.
SMART/Track is used to submit instructions on CNS long fails for Voluntary Reorg expirations and elections on
CNS long fails on the record date for Optional Dividends.
SMART/Track for Corporate Actions is accessible from MyDTCC at
https://portal.dtcc.org/wpsnew/portal/mainpage.do.

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How to Access Obligation Warehouse
The Obligation Warehouse service facilitates the matching of broker-to-broker ex-clearing trades. The
Obligation Warehouse Search Engine page provides a utility to allow clients to search for obligations or groupsof obligations using various filters (Obligation Status, Submission Date, and so on) to help with reconciliation.
Obligation Warehouse web functionality is available from MyDTCC (https://portal.dtcc.com).

Figure 5.13 Access to the Obligation Warehouse

See the Equities Clearing - Obligation Warehouse section of the DTCC Learning Center for more information.

How to Access CMU RTTM
Clients can utilize the options available under the Home Statistics page of the CMU RTTM web to reconcile
CMU trades. The Morning Report tab under the Home Statistics page of the CMU RTTM Web provides clients
counts of trades submitted, matched and sent to settlement for the current business day. The Trade SearchEngine option allows clients to search for specific or groups of trades using various filters (for example,
Submission Date and Trade Type).

Figure 5.14 CMU RTTM

CMU RTTM is accessible from MyDTCC at https://portal.dtcc.org/wpsnew/portal/mainpage.do.

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See the CMU RTTM® Users resource page for more information.

How to Access ACATSThe ACATS system automates and standardizes procedures for the transfer of assets in a customer accountfrom one brokerage firm and/or bank to another. In the ACATS portal, customers can search and view ACATS
transactions to reconcile with internal records.
ACATS is accessible from MyDTCC at https://portal.dtcc.org/wpsnew/portal/mainpage.do.
Information about the ACATS system is available within the Equities Clearing section of the DTCC Learning
Center.

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DEFINITION OF TERMS
Table 6.1 provides a definition of terms.
Table 6.1 Definition of Terms
Term

Definition

AutoRoute

Output software used by DTCC to transmit files externally.

Clearing Dashboard

DTCC web portal product that provides Members with a centralized
location to access various clearance web screens, including CNS andCTS.

DataTrak

Input software used by DTCC for receiving data from external sources.

File Transfer Protocol ("FTP")

A TCP/IP application utility for transferring computer data files acrossnetworks. Using FTP, you log in to another network site and then either
send or receive files.

MQ

The IBM messaging software product, WebSphere MQ Series.

Network Data Mover ("NDM")/Connect: Direct

A family of data-transfer software products that distributes informationand manages production activities among multiple mainframes,
minicomputers, and personal computers in diverse operating system
environments.

Participant Browser Service ("PBS")

A browser-based interface that provides functionality comparable to
DTCC Participant Terminal System ("PTS").

Settlement Web

Primary settlement interface (browser-based)

DEFINITION OF TERMS

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MYDTCC ACCESS
Table 7.1 MyDTCC Access
Production
Portals

Portal Accessin a LOR

portal.dtcc.com

portalr6.dtcc.com

Internet Accessibility

Applications Available
•
•
•
•
•
•
•
•
•
•
•
•
•
•

login.dtcc.net

loginr6.dtcc.net

SMART: 207.45.47.40 SMART: 207.45.47.74
SFTI: 167.188.134.40

SFTI: 167.188.134.74

BT: 167.188.47.40

BT: 167.188.47.172

MYDTCC ACCESS

•
•
•
•
•
•

ACATS
ACATS Transaction Inquiry
Autoroute and Datatrak Utilities
Common Data Transfer
Service (CDTS)
Continuous Net Settlement(CNS)
Clearing Fund Management(CFM)
Client Identifier CrossReference
Commission Billing
Consolidated Trade Summary(CTS)
Correspondent Clearing
Cost Basis
DTCC Limit Monitoring
Direct Clearing System
Easy Pool
Clearing Fund Management
CMU
Easy Pool
NUWS
FICC GSD RTTM Web
FICC MBSD RTTM Web• Equity Commission Billing (ECB)• European Pre-Issuance

Messaging (EPIM)
Exchange Traded Funds (ETF)
Interactive Billing (IBIL)
Margin Transit Utility
Obligation Warehouse
RecapsRisk FICC Customer Reporting
SMART/Track for Buy-Ins
SMART/Track for CNS Corporate
Actions• Self-Service Customer
Confirmation• Self-Service for Trading
Relationships• Universal Trade Capture (UTC)
•
•
•
•
•
•
•
•

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© 2023 DTCC. All rights reserved. DTCC, DTCC (Stylized), ADVANCING FINANCIAL MARKETS. TOGETHER, and theInterlocker graphic are registered and unregistered trademarks of The Depository Trust & Clearing Corporation.
The services described herein are provided under the “DTCC” brand name by certain affiliates of The Depository Trust &Clearing Corporation (“DTCC”). DTCC itself does not provide such services. Each of these affiliates is a separate legal
entity, subject to the laws and regulations of the particular country or countries in which such entity operates. Please see
www.dtcc.com for more information on DTCC, its affiliates and the services they offer.
Doc Date: October 26,2022
Publication Code: CP200
Service: DTC/NSCC/FICC
Title: Disaster Recovery Guide

For More Information
Email DTCC Learning at:

DTCCLearning@dtcc.com
or visit us on the web at:www.dtcclearning.com