Source: https://dtcclearning.com/products-and-services/equities-clearing.html
Timestamp: 2017-02-20 10:49:51
Document Index: 545215575

Matched Legal Cases: ['art 1', 'art 1', 'art 2', 'art 2', 'art 3', 'art 3', 'art 4', 'art 4', 'arts 1', 'art 1', 'art 1', 'art 2', 'art 2', 'art 7', 'art 6', 'art 5', 'art 4', 'art 3', 'art 2', 'art 1', 'art 4', 'art 3', 'art 2', 'art 1', 'art 5', 'art 3', 'art 2', 'art 1']

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Find a learning asset, event, video, or document Search SHORTENING THE SETTLEMENT CYCLE: THE MOVE TO T+2
The U.S. financial services industry is working to reduce operational and systemic risk by implementing the T+2 settlement cycle.
CONTINUOUS NET SETTLEMENT (CNS) OVERVIEW
Log in to the Learning Center and watch the two-part CNS Overview webcast series to learn more about Continuous Net Settlement.
STAY ON TOP OF THE LATEST ACATS UPDATES
Looking for the latest information regarding the Automated Customer Account Transfer Service (ACATS)? You'll find it in the ACATS Documentation section of the Learning Center!
The learning content in this section includes the 7-part CBRS Overview webcast series and other procedural and function-focused training resources designed to help you use the Cost Basis Reporting Service (CBRS).
Equities Clearing Events Register Now
Home	/	Products & Services	/	Equities Clearing	Equities Clearing Learning Center Details	Category: Equities Clearing	Last Updated: 16 September 2016	Equities Clearing DTCC clears and settles virtually all broker-to-broker equity, listed corporate and municipal bond and unit investment trust (UIT) transactions in the U.S. equities markets, advancing new initiatives and driving development of products and services that mitigate risk, reduce costs and enhance processing efficiencies for market participants.
The Automated Customer Account Transfer Service (ACATS) is a system that automates and standardizes procedures for the transfer of assets in a customer account from one brokerage firm and/or bank to another. ACATS enables participants to efficiently and automatically enter, review, and generate instructions to settle the transfer of customer accounts. Use the menu below to learn more about ACATS.
ACATS OverviewThis ACATS Overview content is intended to serve as an introduction to ACATS processing. We also recommend reviewing the ACATS User Guide.ACATS Overview - Part 1...The ACATS Overview: Understanding The Automated Customer Account Transfer Service - Part 1 webcast is approximately 10 minutes in length.ACATS Overview - Part 2...The ACATS Overview: Understanding The Automated Customer Account Transfer Service - Part 2 webcast is approximately 20 minutes in length.ACATS Overview - Part 3...The ACATS Overview: Understanding The Automated Customer Account Transfer Service - Part 3 webcast is approximately 15 minutes in length.ACATS Overview - Part 4...The ACATS Overview: Understanding The Automated Customer Account Transfer Service - Part 4 webcast is approximately 15 minutes in length. ACATS DocumentationView ACATS important notices, membership documents, user guides & FAQs, and record layouts. Login to view this content.ACATS Important Notices...View important notices pertaining to the Automated Customer Account Transfer Service (ACATS).ACATS Membership Documents...View membership documentation pertaining to the Automated Customer Account Transfer Service (ACATS).ACATS User Guides & FAQ Documents...View user guides and FAQs pertaining to the Automated Customer Account Transfer Service (ACATS).ACATS Record Layouts...View ACATS record layouts for both fixed and variable input and output data formats, and the ACATS Participant Master File (MRO). ACATS For Fund/SERVLearn how ACATS Fund/SERV standardizes mutual fund and transferred fund positions re-registration. Consolidated Trade Summary (CTS)
The Consolidated Trade Summary (CTS) defines the expected settlement path for each transaction received by Universal Trade Capture (UTC) as eligible for the Continuous Net Settlement (CNS) or non-CNS. The CTS is a legacy application which is being re-written for release in mid-2017. Use the menu below to learn more about CTS.
CTS DocumentationView CTS technical documentation, working group meeting notes, and important notices. Login to view this content.CTS Important Notices...View important notices pertaining to Consolidated Trade Summary (CTS).CTS Business Documents...View business documentation pertaining to Consolidated Trade Summary (CTS).CTS Technical Documents...View file layouts, business requirements, the CTS timeline and other technical documentation pertaining to Consolidated Trade Summary (CTS).CTS User Guides & FAQ Documents...View user guides and FAQs pertaining to the Consolidated Trade Summary (CTS).CTS Working Group Meeting Notes...View the working group meeting schedule and notes pertaining to Consolidated Trade Summary (CTS). Continuous Net Settlement (CNS)
The Continuous Net Settlement (CNS) System is NSCC’s core netting, allotting and fail-control engine. Within CNS, each security is netted to one position per participant, with NSCC as its central counter-party (novation). Use the menu below to learn more about CNS.
CNS OverviewWatch the CNS Overview webcasts, Parts 1 and 2, to learn more about Continuous Net Settlement (CNS).CNS Overview - Part 1...The Continuous Net Settlement (CNS) Overview Webcast - Part 1 (of a series) is approximately 15 minutes in length.CNS Overview - Part 2...The Continuous Net Settlement (CNS) Overview Webcast - Part 2 (of a series) is approximately 15 minutes in length. CNS Ancillary ServicesView a list of frequently asked questions regarding CNS ancillary services. CNS ACATS DTCView information regarding risk reduction for ACATS transfers of CNS-eligible securities and assets that are eligible for settlement at DTC. CNS Corporate ActionsView information that supports members throughout the CNS SMART/Track enhancement initiative with updates, training, benefits, & planned roll-out dateSMART/Track For CNS CA Liability Notification Service Webcast...Watch this short webcast to learn more information about the enhancements being rolled out to the SMART/Track for CNS application.SMART/Track CNS CA Web Simulation...Use this simulation to navigate, click to learn, and read about how the SMART/Track for CNS CA web application works.About SMART/Track CNS CA Web...View this section to familiarize yourself with the SMART/Track for CNS Corporate Actions system.CNS Corporate Actions Important Notices...View the important notices relevant to CNS Corporate Actions.CNS Corporate Actions FAQ...View frequently asked questions about CNS corporate actions. Cost Basis Reporting Service (CBRS)
The Cost Basis Reporting Service (CBRS) is an automated system that gives financial firms the ability to transfer customer cost basis information from one firm to another on any asset transfer. Be sure to watch the CBRS Overview webcast to learn about the important features of the CBRS application. Use the menu below to learn more about CBRS.
Using CBRSView a seven-part CBRS overview webcast, tutorials, and helpful tools for using the Cost Basis Reporting Service (CBRS). Login to view this content.CBRS Overview...View this seven-part CBRS overview webcast series to learn about the important features of the CBRS application.CBRS Procedures...Explains how to use CBRS via WebDirect, the secure Internet portal. Provides editing data, managing transactions, and uploading spreadsheet details. CBRS Documentation View CBRS important notices & fee schedule, user guides & FAQs, record layouts and other technical documents. Login to view this content.CBRS Important Notices & Fee Schedule...View CBRS important notices & fee schedule pertaining to Cost Basis Reporting Service (CBRS).CBRS User Guides & FAQ Documents...View CBRS user guides & FAQ documents pertaining to Cost Basis Reporting Service (CBRS).CBRS Technical Documents...View CBRS technical documents pertaining to Cost Basis Reporting Service (CBRS). DTCC Limit Monitoring
DTCC Limit Monitoring is a risk mitigation tool that leverages the largest aggregate equity trading information in the industry to bring users unprecedented post-trade insights. Leveraging NSCC's role as the central counterparty for the U.S. equities market, DTCC Limit Monitoring provides member firms with near real-time trade information in a centralized and standard method. Use the menu below to learn more about DTCC Limit Monitoring.
Using Limit MonitoringWatch a video and view documentation about accessing clearing accounts, risk entities & trade arrays, and other limit monitoring tools.Limit Monitoring Tool Webcast...Watch a 15-minute interactive webcast explaining DTCC's Limit Monitoring tool.Accessing Clearing Accounts...Learn how to display clearing accounts using the DTCC Limit Monitoring tool.Risk Entities & Trade Arrays...Explains how to organize trades into units, known as risk entities, and assign risk limits to those units. Use trade arrays to set trade criteria.Viewing Alerts...Explains how to monitor your positions. If trading nears or exceeds the established tolerance levels, Limit Monitoring notifies you of these events.Start-Of-Day Positions...Provides trade details and describes how to submit your start-of-day positions to Limit Monitoring by file or web interface.Monitoring Positions...Inquire about and monitor your positions. Get alerts if trading nears or exceeds the warning thresholds and established limits.Email Functionality...Shows how to facilitate a near real-time notification of email alerts and alert-resolutions, a similar service as electronic MQ message alerts. End-Of-Day Reporting...Limit Monitoring provides a broad range of end-of-day reporting options and breakdowns, including analyses of breach and near-breach trends.Limit Monitoring Glossary...View a glossary of DTCC Limit Monitoring terms and definitions. Access Coordinator ProvisioningDescribes how to use CRS as a super access or access coordinator to provision operator ID’s with the DTCC Limit Monitoring products. Limit Monitoring DocumentationThis section is dedicated to Limit Monitoring important notices, user guides & FAQs, and technical documentation. Login to view this content.Limit Monitoring Important Notices...View important notices pertaining to DTCC Limit Monitoring.Limit Monitoring User Guides & FAQ Documents...View user guides and FAQs pertaining to the DTCC Limit Monitoring tool.Limit Monitoring Technical Documents...View technical documents pertaining to the DTCC Limit Monitoring tool. Exchange Traded Fund (ETF)
An Exchange Traded Fund (ETF) is a security that trades on an exchange as an equity that seeks to replicate the performance of an index without the need to purchase the underlying components. The NSCC process for clearing ETFs includes the ability to review, either on-line or in a data file, the ETF’s portfolio constituents, thus automating the creation and redemption of ETF shares and their subsequent settlement. Use the menu below to learn more about Exchange Traded Funds (ETF).
ETF ProcessingLearn more about NSCC's ETF processing, including the TRM system, Participant roles and responsibilities, and ETF Reports.TRM System...The TRM system automates the method by which members establish, monitor & maintain relationships with NSCC QSR, CC, ETF Agents & Auth. Participants.Roles & Responsibilities...Identify Index Receipt Agent and Authorized Participant responsibilities for each stage of the ETF lifecycle.ETF Reports...Learn what protocols may be used to obtain various ETF reports. ETF Portfolio PortalLearn how NSCC is enhancing its ETF system in order to meet the needs of the changing marketplace and to accommodate future growth. ETF Historical PCFDTCC has expanded its ETF Portfolio Services with the addition of the ETF Historical Portfolio Composition File. ETF DocumentationView Exchange Trade Fund (ETF) information, including FAQs, key definitions, sample reports, and technical documents. Login to view this content.ETF FAQs & Key Definitions...View ETF FAQs and key definitions pertaining to Exchange Traded Funds (ETF).ETF Guides...View documentation such as user guides, process walkthroughs or other explanatory information pertaining to Exchange Traded Funds (ETF) or DTCC's ETF ETF Historical MRO File Specifications...View ETF historical MRO file specifications pertaining to Exchange Traded Funds (ETF).ETF Record Layouts...View record layout documentation pertaining to Exchange Traded Funds (ETF).ETF Sample Reports...View ETF sample reports pertaining to Exchange Traded Funds (ETF). Obligation Warehouse (OW)
Obligation Warehouse (OW) is a non-guaranteed, automated service of NSCC that facilitates the matching of broker-to-broker ex-clearing trades and provides Members with the ability to track, manage and resolve their failed obligations in real-time. Use the menu below to learn more about Obligation Warehouse (OW).
Using Obligation WarehouseLearn about how to perform specific tasks and use specific features of Obligation Warehouse (OW) Web.OW Web - Interactive Learning Tool...Learn about existing OW Web features while emulating the application. Practice navigation within the OW Web and view help about special features. OW Documentation View important notices, user guides, webcast transcripts, SWIFT messaging specifications and other technical documents. Login to view this content.OW Important Notices ...View important notices pertaining to Obligation Warehouse (OW).OW User Guides & Webcast Transcripts...View user guides & webcast transcripts pertaining to Obligation Warehouse (OW).OW Technical Documents...View technical documents pertaining to Obligation Warehouse (OW). T+2
Use the link above to visit the T+2 section of the Learning Center where you will find links to resources about the T+2 industry initiative, including Test Cycles, Test Forms, and a T+2 Whitepaper.
Universal Trade Capture (UTC) is a service that validates and reports equity transactions that are submitted to NSCC by an exchange or by Qualified Special Representatives (QSRs) that is an NSCC Member. Use the menu below to learn more about UTC.
UTC DocumentationProvides UTC guides & notices, and UTC input/output message formats, and other Technical documentation. Login to view this content.UTC User Guides & Notices...View UTC user guides & notices pertaining to Universal Trade Capture (UTC).UTC MRO File Specifications...View UTC MRO file specification documents pertaining to Universal Trade Capture (UTC).UTC Input/Output Message Formats...View UTC input/output message formats pertaining to Universal Trade Capture (UTC). UTC TestingThis article provides contact information and documents related to UTC testing. Trading Relationship Management (TRM)View Trade Relationship Management (TRM) roles, processing, and accessing information. Login to view this content.Using TRM...Learn how to use the Trading Relationship Management application. pdf
T+2 Testing Counterparty Requests Document Download (pdf, 88.00 KB)
DTCC will consolidate all Member input submitted via the T+2 Testing Counterparty Request form into ... Published on 13 February 2017
In T+2 Downloads: 31
The T+2 Test Approach: Detailed Testing Framework Download (pdf, 1.17 MB)
The purpose of this paper is to provide DTCC Members with a detailed plan for testing T+2 changes wi ... Published on 06 February 2017
In T+2 Downloads: 346
Test CUSIPs For T+2 Industry Testing Download (pdf, 1.37 MB)
To facilitate Industry testing, DTCC has identified test CUSIPs (“T+2 test CUSIPs”) that ... Published on 05 February 2017
In T+2 Downloads: 68
Trade Capture Portal Test Input User Guide Download (document, 989.51 KB)
Universal Trade Capture (UTC) is the primary vehicle for markets and clearing firms to submit transa ... Published on 05 January 2017
In T+2 Downloads: 207
CBRS 2017 Holiday Schedule (1/4/2017) Download (pdf, 207.03 KB)
The Cost Basis Reporting Service (CBRS) will be closed on the following holidays in 2017. No CBRS re ... Published on 04 January 2017
In CBRS Important Notices & Fee Schedule Downloads: 96
Consolidated Trade Summary (CTS) - Unexpected Close Test for the Consolidated Trade Summary (CTS) Re-write (12/8/2016) Download (pdf, 0 bytes)
As part of the NSCC Member UAT testing of the CTS, an unexpected close event has been scheduled for ... Published on 08 December 2016
In CTS Important Notices Downloads: 104
DTCC Limit Monitoring Elimination Of End-Of-Day Participant Position MRO File (November 17, 2016) Download (pdf, 207.40 KB)
As of December 1st, 2016, DTCC will decommission the ‘DTCC Limit Monitoring - End of Day Parti ... Published on 17 November 2016
In Limit Monitoring Important Notices Downloads: 145
Subscriptions To NSCC Inputs And Outputs Download (document, 85.12 KB)
NSCC Test Environments Input &amp; Output Subscription Request Form ... Published on 16 November 2016
In T+2 Downloads: 696
ACATS Shortened Cycle Enhancements (10/26/2016 - #A8274) Download (pdf, 0 bytes)
NSCC’s Automated Customer Account Transfer Service (ACATS) is planning for the launch, subject ... Published on 25 October 2016
In ACATS Important Notices Downloads: 422
Subscriptions To Corporate Actions Inputs And Outputs Download (pdf, 243.22 KB)
This form contains the instructions for connectivity to Corporate Actions functionality in DTCC&rsqu ... Published on 02 August 2016
In T+2 Downloads: 414
Request For Router Exchange Form Download (document, 57.01 KB)
This document should be filled out to request a router exchange form. DTCC will distrubute Router Ex ... Published on 02 August 2016
In T+2 Downloads: 416
File Format For The Upload Feature Download (spreadsheet, 117.35 KB)
&nbsp; ... Published on 02 August 2016
In T+2 Downloads: 312
Entitlements Request Form Download (default, 127.44 KB)
This form allows you to request entitlements. ... Published on 02 August 2016
In T+2 Downloads: 378
Subscriptions To Omgeo Outputs Download (spreadsheet, 238.30 KB)
This form contains the directions for requestion new ID instructions. ... Published on 02 August 2016
In T+2 Downloads: 321
MQ Page 1 Form Download (spreadsheet, 30.67 KB)
This form is used to request a NEW MQ channel, modify and existing MQ channel (e.g.: change an IP ad ... Published on 02 August 2016
In T+2 Downloads: 327
DTCC Super Access Coordinator Form Download (document, 740.12 KB)
Super Access Coordinator authorization form for DTCC systems, applications, products, and services. ... Published on 02 August 2016
In T+2 Downloads: 430
Subscriptions To DTC Inputs And Outputs Download (document, 68.32 KB)
DTC test environmants input and output subscription request form. ... Published on 01 August 2016
In T+2 Downloads: 439
DTCC Limit Monitoring Changes To Daily Output (July 21, 2016) Download (pdf, 208.72 KB)
Effective Monday, August 1st, 2016, NSCC will implement changes to the DTCC Limit Monitoring Risk En ... Published on 21 July 2016
In Limit Monitoring Important Notices Downloads: 124
ACATS Enhancements 2016 (07/18/2016 - #A8229) Download (pdf, 0 bytes)
Testing for the ACATS 2016 enhancements begins on Friday, September 16, 2016. The first day of produ ... Published on 16 July 2016
In ACATS Important Notices Downloads: 171
DTCC Limit Monitoring Elimination of the 50% Alert Level (July 8, 2016) Download (pdf, 210.42 KB)
On June 3rd, 2016, the Securities and Exchange Commission (“SEC”) approved the rule fili ... Published on 07 July 2016
In Limit Monitoring Important Notices Downloads: 126
Consolidated Trade Summary (CTS) - New File Formats Will Replace Legacy Reports, Planned for June 2017 (6/23/2016) Download (pdf, 216.90 KB)
The National Securities Clearing Corporation (NSCC) is proposing to modernize the Consolidated Trade ... Published on 23 June 2016
In CTS Important Notices Downloads: 259
CBRS Phase 6 Production Postponed to July 15, 2016 (06/20/2016) Download (pdf, 66.57 KB)
The Cost Basis Reporting Service (CBRS) is preparing deployment of CBRS Phase 6 to support the chang ... Published on 20 June 2016
In CBRS Important Notices & Fee Schedule Downloads: 57
CBRS Phase 6 Production (06/06/2016) Download (pdf, 56.02 KB)
The Cost Basis Reporting Service (CBRS) is preparing deployment of CBRS Phase 6 to support the chang ... Published on 06 June 2016
In CBRS Important Notices & Fee Schedule Downloads: 52
ACATS DTCC Web Portal Enhancements 2016 (05/17/2016 - #A8201) Download (pdf, 0 bytes)
On June 17, 2016, NSCC’s Automated Customer Account Transfer Service (ACATS) introduces severa ... Published on 17 May 2016
In ACATS Important Notices Downloads: 221
CBRS Phase 6 Testing (04/19/2016) Download (pdf, 145.31 KB)
The Cost Basis Reporting Service (CBRS) is preparing participant testing to support the changes on t ... Published on 19 April 2016
In CBRS Important Notices & Fee Schedule Downloads: 45
ACATS Enhancements 2016 (04/15/2016 - #A8189) Download (pdf, 0 bytes)
This is a follow-up to Important Notice #A8164 (published 2/11/16). Effective Friday, November 4, 20 ... Published on 15 April 2016
In ACATS Important Notices Downloads: 130
Participant Services Environment (PSE) Web Portals for Equities Clearing - Change URL (02/19/2016) Download (pdf, 211.69 KB)
The Depository Trust and Clearing Corporation (DTCC) and DTCC Solutions LLC will be updating the Par ... Published on 19 February 2016
In CBRS Important Notices & Fee Schedule Downloads: 42
Participant Services Environment (PSE) Web Portals for Equities Clearing Change URL (02/12/2016) Download (pdf, 215.78 KB)
The Depository Trust and Clearing Corporation (DTCC) will be updating the Participant Services Envir ... Published on 12 February 2016
In OW Important Notices Downloads: 155
ACATS Enhancements 2016 (02/11/2016 - #A8164) Download (pdf, 0 bytes)
Effective on or about Friday, November 4, 2016, NSCC’s Automated Customer Account Transfer Ser ... Published on 10 February 2016
In ACATS Important Notices Downloads: 132
Rule Filing - SR-NSCC-2015-009 - Obligation Warehouse Fees (12/29/2015) Download (pdf, 218.11 KB)
Modify Addendum A (Fee Schedule) to adjust fees related to NSCCs ACATS, OW, FundSERV, Insurance and ... Published on 29 December 2015
In OW Important Notices Downloads: 139
CBRS 2016 Holiday Schedule (12/29/2015) Download (pdf, 205.16 KB)
The Cost Basis Reporting Service (CBRS) will be closed on the following holidays in 2016. No CBRS re ... Published on 29 December 2015
In CBRS Important Notices & Fee Schedule Downloads: 46
CBRS Phase 6 Announcement (12/17/2015) Download (pdf, 163.89 KB)
DTCC plans to enhance the Cost Basis Reporting Service (CBRS), to further support the transfer of co ... Published on 17 December 2015
Consolidated Trade Summary (CTS) - Re-write Canned Output & Updates to the CTS Layouts & Descriptions (12/15/2015) Download (pdf, 296.49 KB)
The National Securities Clearing Corporation (NSCC) has announced the plans for replacing the legacy ... Published on 15 December 2015
In CTS Important Notices Downloads: 224
ACATS Fund/SERV Enhancements (10/27/2015 - #A8106) Download (pdf, 0 bytes)
Effective February 29, 2016, NSCC’s Wealth Management Services (WMS) implements an enhancement ... Published on 26 October 2015
In ACATS Important Notices Downloads: 197
CBRS Phase 5 Production (10/21/2015) Download (pdf, 181.24 KB)
The Cost Basis Reporting Service (CBRS) is scheduled to migrate the changes to align with the publis ... Published on 21 October 2015
In CBRS Important Notices & Fee Schedule Downloads: 49
CBRS Phase 5 Testing (09/14/2015) Download (pdf, 194.74 KB)
The Cost Basis Reporting Service (CBRS) is preparing to make changes to align with the recently publ ... Published on 14 September 2015
In CBRS Important Notices & Fee Schedule Downloads: 51
ACATS Enhancements 2015 (08/20/2015 - #A8070) Download (pdf, 0 bytes)
Several new enhancements will be offered to NSCC’s Automated Customer Account Transfer Service ... Published on 19 August 2015
Testing Available for Obligation Warehouse Web (08/17/2015) Download (pdf, 188.41 KB)
The National Securities Clearing Corporation (NSCC) is migrating to Microsoft Internet Explorer vers ... Published on 17 August 2015
In OW Important Notices Downloads: 118
Year 2016 Obligation Warehouse RECAPS Schedule (08/11/2015) Download (pdf, 235.51 KB)
The dates for NSCC’s monthly Reconfirmation and Re-pricing Service (RECAPS) have been schedule ... Published on 11 August 2015
In OW Important Notices Downloads: 180
CBRS Phase 5 Update (05/08/2015) Download (pdf, 71.90 KB)
As previously announced in DTCC Solutions Important Notice, # CBRS002.2015, dated April 16, 2015; th ... Published on 08 May 2015
In CBRS Important Notices & Fee Schedule Downloads: 43
DTCC Limit Monitoring Enhancments - Unassigned Risk Entity Drill-Down Screen Re-Activation (04/28/2015) Download (pdf, 27.63 KB)
As previously noted in Important Notice A#7934, P&amp;S#7509, dated November 21, 2014, DTCC deac ... Published on 28 April 2015
In Limit Monitoring Important Notices Downloads: 101
CBRS Phase 5 Announcement (04/16/2015) Download (pdf, 73.90 KB)
The Cost Basis Reporting Service (CBRS) will be making changes to align with the recently published ... Published on 16 April 2015
ACATS Reversal Testing - Additional Testing Dates Added (03/30/2015 - #A8006) Download (pdf, 0 bytes)
In Important Notice A#7869 P&amp;S#7439, NSCC announced the participant testing of the ACATS rev ... Published on 29 March 2015
In ACATS Important Notices Downloads: 124
ACATS Settling Location and Reason Modification (03/26/2015 - #A8007) Download (pdf, 0 bytes)
In the effort to improve usability and efficiency in the Automated Customer Account Transfer Service ... Published on 25 March 2015
In ACATS Important Notices Downloads: 125
DTCC Limit Monitoring Enhancements - MRO Output Update (03/19/2015) Download (pdf, 30.16 KB)
Effective Friday, March 13, 2015, DTCC released additional functionality as a part of its effort to ... Published on 19 March 2015
In Limit Monitoring Important Notices Downloads: 115
CBRS Enhancement Affects Tax Lot Input Record (03/16/2015) Download (pdf, 68.90 KB)
The Cost Basis Reporting Service (CBRS) will be enhancing the Tax Lot Input Record layout to add con ... Published on 16 March 2015
DTCC Limit Monitoring Enhancements - March 2015 (03/06/2015) Download (pdf, 105.82 KB)
Effective Friday, March 13, 2015, DTCC will release the following enhancements to DTCC Limit Monitor ... Published on 06 March 2015
In Limit Monitoring Important Notices Downloads: 129
Reclaim Processing Now Available for Banks (02/19/2015 - #A7984) Download (pdf, 0 bytes)
In response to client requests and DTCC’s continuing effort to bring greater efficiencies to t ... Published on 18 February 2015
In ACATS Important Notices Downloads: 126
Revised Schedule for Participant Testing of the Reversal of ACATS Obligations (11/26/2014 - #A7937) Download (pdf, 0 bytes)
In Important Notice A#7869/P&amp;S#7439, NSCC announced the participant testing of the ACATS rev ... Published on 25 November 2014
In ACATS Important Notices Downloads: 108
DTCC Limit Monitoring Enhancements (11/21/2014) Download (pdf, 95.15 KB)
As previously noted in Important Notice A#7913, P&amp;S#7483, dated October 16, 2014, DTCC imple ... Published on 21 November 2014
In Limit Monitoring Important Notices Downloads: 113
DTCC Limit Monitoring Enhancements (11/17/2014) Download (pdf, 28.31 KB)
Effective Friday, November 21, 2014, NSCC will implement a new notification type sent to users of th ... Published on 17 November 2014
In Limit Monitoring Important Notices Downloads: 116
DTCC Limit Monitoring Enhancements (10/16/2014) Download (pdf, 37.20 KB)
Starting on October 17, resolution notifications that trading activity has fallen back below thres ... Published on 16 October 2014
In Limit Monitoring Important Notices Downloads: 112
Timeline for CBRS Modifications (09/12/2014) Download (pdf, 78.31 KB)
DTCC’s has made modifications to the file layouts for the Cost Basis Reporting Service (CBRS) ... Published on 12 September 2014
In CBRS Important Notices & Fee Schedule Downloads: 47
Implementation of Corporate Action Processing on SMART/Track for CNS Corporate Actions (07/31/2014) Download (pdf, 193.31 KB)
Members are reminded that on August 8, 2014, NSCC will be implementing enhancements to its CNS corpo ... Published on 31 July 2014
In CNS Corporate Actions Important Notices Downloads: 106
Participant Testing of the Reversal of ACATS Obligations (07/17/2014 - #A7869) Download (pdf, 0 bytes)
In response to events relating to a close-out in 2008, National Securities Clearing Corporation (&ld ... Published on 16 July 2014
In ACATS Important Notices Downloads: 134
Implementation of Corporate Action Processing on SMART/Track for CNS Corporate Actions (06/24/2014) Download (pdf, 276.53 KB)
In Important Notice A# 7403, P&amp;S# 7833 dated May 5, 2014 the National Securities Clearing Co ... Published on 24 June 2014
In CNS Corporate Actions Important Notices Downloads: 114
DTCC Limit Monitoring Email Sign-up Process (06/05/2014) Download (pdf, 76.95 KB)
As previously announced in Important Notice A#7824, P&amp;S#7394, dated April 24, 2014, NSCC imp ... Published on 05 June 2014
In Limit Monitoring Important Notices Downloads: 114
Obligation Warehouse Enhancement to Communication with DTC's IMS Processing (06/04/2014) Download (pdf, 58.56 KB)
National Securities Clearing Corporation (NSCC)’s Obligation Warehouse (OW) will enhance its c ... Published on 04 June 2014
In OW Important Notices Downloads: 128
Reminder Regarding the Elimination of the ACATS Default Pricing Table (06/03/2014 - #A7851) Download (pdf, 0 bytes)
In a number of Important Notices posted in 2012, including Important Notice A#7550/P&amp;S#7120, ... Published on 02 June 2014
In ACATS Important Notices Downloads: 111
Layout Changes for November Release (06/02/2014) Download (pdf, 73.89 KB)
DTCC’s modifications of the file layouts for the Cost Basis Reporting Service (CBRS) to furthe ... Published on 02 June 2014
In CBRS Important Notices & Fee Schedule Downloads: 44
CNS ACATS and DTC Settling Assets - Addendum Notice (05/19/2014) Download (pdf, 119.24 KB)
Important Notice 0916-14 outlined the key process changes associated with the May 30th, 2014 impleme ... Published on 19 May 2014
In CNS ACATS DTC Important Notices Downloads: 131
Implementation of Optional Dividends on SMART/Track for CNS Corporate Actions (05/08/2014) Download (pdf, 257.71 KB)
In Important Notice A# 7403, P&amp;S# 7833 dated May 5, 2014 the National Securities Clearing Co ... Published on 08 May 2014
In CNS Corporate Actions Important Notices Downloads: 103
DTC Settlement Changes for the CNS ACATS and DTC Settling Assets Project (05/08/2014) Download (pdf, 1.43 MB)
Beginning on settlement date May 30, 2014, subject to Securities and Exchange Commission (SEC) appro ... Published on 08 May 2014
In CNS ACATS DTC Important Notices Downloads: 303
Participant Testing for CBRS Enhancements for Planned Production of July (04/14/2014) Download (pdf, 68.33 KB)
Participant testing of input and output for the Cost Basis Reporting Service (CBRS) changes to suppo ... Published on 14 April 2014
Set-up of CNS Exemptions for New Sub-Account (04/10/2014) Download (pdf, 212.82 KB)
Beginning on settlement date May 30, 2014, subject to Securities and Exchange Commission (SEC) appro ... Published on 10 April 2014
In CNS ACATS DTC Important Notices Downloads: 129
DTCC Limit Monitoring Launch Date and Webinars (04/01/2014) Download (pdf, 83.61 KB)
As previously announced in Important Notice A #7703, P&amp;S #7373 dated March 20, 2014, on Febr ... Published on 01 April 2014
In Limit Monitoring Important Notices Downloads: 119
Enhancements to CNS Corporate Action Database - Registration for SMART/Track for CNS Corporate Actions (03/27/2014) Download (pdf, 256.30 KB)
As previously announced in Important Notice A#7806, P&amp;S# 7376 dated March 24, 2014, the Nati ... Published on 27 March 2014
In CNS Corporate Actions Important Notices Downloads: 119
Implementation and Registration for SMART/Track for CNS Corporate Actions (03/24/2014) Download (pdf, 62.30 KB)
In Important Notice A#7671, P&amp;S# 7341 dated January 28, 2014 the National Securities Clearin ... Published on 24 March 2014
In CNS Corporate Actions Important Notices Downloads: 192
DTCC Limit Monitoring Onboarding Timetable (03/20/2014) Download (pdf, 89.53 KB)
As previously announced in Important Notice A# 7688, P&amp;S# 7358, dated February 24, 2014, DTC ... Published on 20 March 2014
In Limit Monitoring Important Notices Downloads: 136
Enhancements to Mutual Fund-Related ACATS (03/17/2014 - #A7700) Download (pdf, 0 bytes)
National Securities Clearing Corporation (“NSCC”) is making three enhancements to its Au ... Published on 16 March 2014
In ACATS Important Notices Downloads: 137
DTCC Limit Monitoring User Testing (03/04/2014) Download (pdf, 171.25 KB)
As previously announced in Important Notices #7734, dated November 15, 2013; #7738, dated November 2 ... Published on 04 March 2014
Approval of Rule Filing (SR-NSCC-2013-12) (03/03/2014) Download (pdf, 24.44 KB)
On February 28, 2014, the Securities and Exchange Commission (“SEC”) approved1 the rule ... Published on 03 March 2014
In Limit Monitoring Important Notices Downloads: 108
DTCC Limit Monitoring Onboarding Timetable (02/24/2014) Download (pdf, 34.55 KB)
As previously announced, subject to regulatory approval, NSCC will provide a risk management tool, D ... Published on 24 February 2014
In Limit Monitoring Important Notices Downloads: 117
Obligation Warehouse's Pair Off Function Production Launch on March 7, 2014 (02/13/2014) Download (pdf, 258.82 KB)
As previously announced in Important Notice A# 7684, P&amp;S# 7302, dated August 15, 2013, Natio ... Published on 13 February 2014
In OW Important Notices Downloads: 115
Training on SMART/Track for CNS Corporate Actions - Proposed Enhancements to CNS Corporate Action Database (02/13/2014) Download (pdf, 58.41 KB)
In Important Notice A#7671, P&amp;S#7341, dated January 28, 2014, the National Securities Cleari ... Published on 13 February 2014
In CNS Corporate Actions Important Notices Downloads: 112
NSCC Rule Filing (SR-NSCC-2014-01) - Fee Changes for OW Pair Off Function (02/12/2014) Download (pdf, 27.99 KB)
On November 14, 2013, National Securities Clearing Corporation (“NSCC”) filed a proposed ... Published on 12 February 2014
In OW Important Notices Downloads: 117
Testing in Production Environment for Proposed DTCC Limit Monitoring Risk Management Tool (02/10/2014) Download (pdf, 119.49 KB)
As previously announced in Important Notices #7734, dated November 15 2013, #7738, dated November 21 ... Published on 10 February 2014
Testing and Production Dates for June 2014 Implementation (02/07/2014) Download (pdf, 152.13 KB)
This Notice replaces # CBRS002.14, which included changes to the Cost Basis User Master File for Jun ... Published on 07 February 2014
In CBRS Important Notices & Fee Schedule Downloads: 35
Enhancements to CNS Corporate Action Database (01/28/2014) Download (pdf, 272.21 KB)
Subject to approval from the Securities and Exchange Commission (“SEC”) of a proposed ru ... Published on 28 January 2014
In CNS Corporate Actions Important Notices Downloads: 158
Testing Obligation Warehouse's Pair Off Function (01/27/2014) Download (pdf, 220.29 KB)
The 2014 dates for National Securities Clearing Corporation (NSCC)’s monthly Reconfirmation an ... Published on 26 January 2014
In OW Important Notices Downloads: 123
Approval of Rule Filing (SR-NSCC-2014-01) - OW Pair Off Function (01/09/2014) Download (pdf, 62.05 KB)
Subject to required regulatory approval, the National Securities Clearing Corporation (NSCC) is prop ... Published on 08 January 2014
In OW Important Notices Downloads: 131
CBRS 2014 Holiday Schedule (01/07/2014) Download (pdf, 182.13 KB)
The Cost Basis Reporting Service (CBRS) will be closed on the following holidays in 2014. No CBRS re ... Published on 07 January 2014
In CBRS Important Notices & Fee Schedule Downloads: 37
Reminder: Testing Obligation Warehouse's Proposed Pair Off Function (01/07/2014) Download (pdf, 57.86 KB)
As previously announced in Important Notice A# 7665, dated January 9, 2014, the National Securities ... Published on 06 January 2014
In OW Important Notices Downloads: 156
Access to DTCC Limit Monitoring Through the Portal (12/05/2013) Download (pdf, 54.82 KB)
As previously announced in Important Notice A# 7734, P&amp;S#7304 dated, November 15, 2013, on t ... Published on 05 December 2013
DTCC Limit Monitoring Advance Access and Risk-Entity Pre-populating (11/29/2013) Download (pdf, 56.23 KB)
As previously announced in Important Notice A# 7734, P&amp;S#7304 dated, November 15, 2013, on t ... Published on 29 November 2013
In Limit Monitoring Important Notices Downloads: 120
Timeline for Testing Obligation Warehouse's Proposed Pair Off Function (11/22/2013) Download (pdf, 28.80 KB)
On February 12, 2014, National Securities Clearing Corporation (“NSCC”) filed a proposed ... Published on 22 November 2013
In OW Important Notices Downloads: 110
DTCC Limit Monitoring Access and Risk-Entity Pre-populating (11/21/2013) Download (pdf, 58.55 KB)
As previously announced in the Important Notice A# 7734, P&amp;S# 7304, dated November 15, 2013, ... Published on 21 November 2013
In Limit Monitoring Important Notices Downloads: 104
New Settling Location Reason on ACATS Output Record Layouts (11/21/2013 - #A7737) Download (pdf, 0 bytes)
In Important Notice A#7556/P&amp;S# 7126 dated December 21, 2012, the National Securities Cleari ... Published on 20 November 2013
In ACATS Important Notices Downloads: 138
Participant Testing of the CNS ACATS and DTC Settling Assets Project (11/18/2013) Download (pdf, 78.23 KB)
In May 2014, subject to Securities and Exchange Commission (SEC) approval, the National Securities C ... Published on 18 November 2013
In CNS ACATS DTC Important Notices Downloads: 139
Rule Filing (SR-NSCC-2013-12) - DTCC Limit Monitoring (11/15/2013) Download (pdf, 28.23 KB)
On November 15, 2013, National Securities Clearing Corporation (“NSCC”) filed a proposed ... Published on 15 November 2013
In Limit Monitoring Important Notices Downloads: 111
Rule Filing (SR-NSCC-2013-11) - OW Pair Off Function (11/14/2013) Download (pdf, 359.10 KB)
As previously announced in Important Notice, A#7739, P&amp;S# 7309, dated November 22, 2013, tes ... Published on 14 November 2013
In OW Important Notices Downloads: 178
DTCC Limit Monitoring Webinars and DTCC Learning Center (10/31/2013) Download (pdf, 78.00 KB)
As previously announced in the Important Notice A#7698, P&amp;S#7268, dated September 12, 2013, ... Published on 31 October 2013
In Limit Monitoring Important Notices Downloads: 106
Revised CBRS Record Layouts for June 2014 Enhancements (10/22/2013) Download (pdf, 242.02 KB)
DTCC plans to change the record layouts for the Cost Basis Reporting Service (CBRS), to further supp ... Published on 22 October 2013
Year 2014 Obligation Warehouse RECAPS Schedule (10/01/2013) Download (pdf, 28.17 KB)
On January 7, 2014, the Securities and Exchange Commission (“SEC”) approved the rule fil ... Published on 01 October 2013
In OW Important Notices Downloads: 137
Proposed DTCC Limit Monitoring Risk Management Tool (09/12/2013) Download (pdf, 45.78 KB)
Subject to regulatory approval, NSCC will provide its Members with a risk management tool to monitor ... Published on 12 September 2013
Obligation Warehouse Proposes to Enhance Service With Pair Off Function (08/15/2013) Download (pdf, 53.73 KB)
As previously announced in Important Notice, #7739, P&amp;S# 7309, dated November 22, 2013, test ... Published on 15 August 2013
In OW Important Notices Downloads: 104
Updates to ACATS Fund Registration (FR) Input Record (07/08/2013 - #A7668) Download (pdf, 0 bytes)
DTCC is making changes to the list of valid values in the Social Code field on the ACATS Transfer (0 ... Published on 07 July 2013
In ACATS Important Notices Downloads: 129
Updates to ACATS Transaction Inquiry Portal Screen (06/10/2013 - #A7647) Download (pdf, 0 bytes)
The Depository Trust and Clearing Corporaiton (DTCC) is making changes to the WebDirect Portal ACATS ... Published on 09 June 2013
New Settling Location Reason on ACATS Output Record Layouts (06/07/2013 - #A7645) Download (pdf, 0 bytes)
In Important Notice A#7556/P&amp;S# 7126, dated December 21, 2012, the National Securities Clear ... Published on 06 June 2013
In ACATS Important Notices Downloads: 142
Record Layouts for the CNS ACATS and DTC Settling Assets Project (05/03/2013 - #A7630) Download (pdf, 0 bytes)
In Important Notice A#7556/P&amp;S#7126 dated December 21, 2012, the National Securities Clearin ... Published on 02 May 2013
Obligation Warehouse Phase II Enhancements Release Reminder (04/04/2013) Download (pdf, 216.70 KB)
Please be reminded that, as announced in Important Notice A# 7600, P&amp;S# 7170, dated March 8, ... Published on 04 April 2013
In OW Important Notices Downloads: 111
Obligation Warehouse Phase II Enhancements Release Date Changed to May 2, 2013 (03/08/2013) Download (pdf, 198.16 KB)
The National Securities Clearing Corporation (NSCC) will implement into production the Phase II Enha ... Published on 08 March 2013
Documentation Modification to Withhold Indicator Fields - Mutual Funds ACATS, Fund/SERV and Networking (03/01/2013 - #A7592) Download (pdf, 0 bytes)
National Securities Clearing Corporation (NSCC) will modify description language in record layouts f ... Published on 01 March 2013
In ACATS Important Notices Downloads: 118
Participant Services Environment Availability for Equities Clearance (01/09/2013 - #A7568) Download (pdf, 0 bytes)
On January 15, 2013, National Securities Clearing Corporation (NSCC) will re-open the Participant Se ... Published on 08 January 2013
In ACATS Important Notices Downloads: 119
Obligation Warehouse Phase II Enhancements Testing and Production Implementation Timeline (01/08/2013) Download (pdf, 43.24 KB)
National Securities Clearing Corporation (NSCC) will be adding Phase II Enhancements to its Obligati ... Published on 08 January 2013
In OW Important Notices Downloads: 135
Requirements for the CNS ACATS and DTC Settling Assets Project (12/21/2012 - #A7556) Download (pdf, 0 bytes)
In response to events relating to the close-out of Lehman Brothers in 2008, National Securities Clea ... Published on 20 December 2012
In ACATS Important Notices Downloads: 146
Obligation Warehouse RECAPS Schedule for 2013 (12/18/2012) Download (pdf, 22.94 KB)
The 2013 dates for National Securities Clearing Corporation (NSCC)’s monthly Reconfirmation an ... Published on 18 December 2012
Elimination of ACATS Default Pricing Table (12/14/2012 - #A7550) Download (pdf, 38.09 KB)
In Important Notice A#7379/P&amp;S#6949&nbsp;dated February 15, 2012 and Important Notice A# ... Published on 13 December 2012
In ACATS Important Notices Downloads: 127
Obligation Warehouse December 7, 2012 RECAPS Test CANCELLED (11/27/2012) Download (pdf, 33.74 KB)
National Securities Clearing Corporation (NSCC) has cancelled the test for the enhancements to Oblig ... Published on 27 November 2012
Year 2012 Obligation Warehouse RECAPS Schedule (11/19/2012) Download (pdf, 38.69 KB)
The National Securities Clearing Corporation (NSCC) is adding an additional Reconfirmation and Repri ... Published on 19 November 2012
In OW Important Notices Downloads: 109
CANCELLED: Obligation Warehouse Industry-wide RECAPS Test (11/06/2012) Download (pdf, 52.86 KB)
Due to the effects of Superstorm Sandy, National Securities Clearing Corporation has cancelled the f ... Published on 06 November 2012
In OW Important Notices Downloads: 103
Rescheduled Implementation Date - Elimination of ACATS Default Pricing Table (11/06/2012 - #A7528) Download (pdf, 0 bytes)
As previously announced in Important Notice A#7505/P&amp;S# 7075&nbsp;dated October 12, 2012 ... Published on 05 November 2012
Elimination of ACATS Default Pricing Table (10/12/2012 - #A7505) Download (pdf, 0 bytes)
In Important Notice A#7379/P&amp;S# 6949 dated February 15, 2012, the National Securities Cleari ... Published on 11 October 2012
Approval of Rule Filing (SR-NSCC-2012-06) - ACATS Default Pricing Methodology (10/02/2012 - #A7497) Download (pdf, 19.89 KB)
On September 28, 2012, the Securities and Exchange Commission (“SEC”) approved1 the prop ... Published on 01 October 2012
In ACATS Important Notices Downloads: 112
Year 2012 Obligation Warehouse Participant Training and Testing (09/17/2012) Download (pdf, 42.04 KB)
The National Securities Clearing Corporation (NSCC) introduced the Obligation Warehouse (the “ ... Published on 17 September 2012
In OW Important Notices Downloads: 120
Rule Filing (SR-NSCC-2012-06) - ACATS Default Pricing Methodology (08/07/2012 - #A7468) Download (pdf, 19.92 KB)
On August 7, 2012, National Securities Clearing Corporation (“NSCC”) filed a proposed ru ... Published on 06 August 2012
In ACATS Important Notices Downloads: 122
Rescheduled Implementation Date - Elimintation of ACATS Default Pricing Table (06/01/2012 - #A7433) Download (pdf, 0 bytes)
As previously announced in Important Notice A#7379/P&amp;S#6949 dated February 15, 2012, subject ... Published on 31 May 2012
Year 2012 Obligation Warehouse 2012 Plans for Enhancements (05/21/2012) Download (pdf, 35.26 KB)
The National Securities Clearing Corporation (NSCC) introduced the Obligation Warehouse (OW) in earl ... Published on 21 May 2012
Year 2012 Obligation Warehouse Planned Industry Test for RECAPS on June 8, 2012 (05/15/2012) Download (pdf, 34.21 KB)
The Obligation Warehouse (OW) service will be conducting an industry-wide test for the Repricing and ... Published on 15 May 2012
In OW Important Notices Downloads: 98
Year 2012 Obligation Warehouse RECAPS Schedule (04/20/2012) Download (pdf, 93.00 KB)
As previously announced, the first run of National Securities Clearing Corporation (NSCC)’s Re ... Published on 20 April 2012
In OW Important Notices Downloads: 108
Year 2012 Obligation Warehouse RECAPS Scheduled (03/26/2012) Download (pdf, 22.25 KB)
As previously announced, the first run of National Securities Clearing Corporation (NSCC)’s Re ... Published on 26 March 2012
Elimination of ACATS Default Pricing (02/15/2012 - #A7379) Download (pdf, 0 bytes)
Subject to approval of a rule filing by the U.S. Securities and Exchange Commission (the “SEC& ... Published on 15 February 2012
Year 2012 Obligation Warehouse RECAPS Schedule Revised (01/27/2012) Download (pdf, 94.77 KB)
As previously announced, the first run of NSCC’s Reconfirmation and Re-pricing Service (RECAPS ... Published on 27 January 2012
In OW Important Notices Downloads: 121
Automated Customer Account Transfer Service (ACATS) - Changing Processing Date in the Participant Services Environment (PSE) (01/27/2012 - #A7366) Download (pdf, 0 bytes)
In Important Notice A#7358/P&amp;S#6928, dated January 18, 2012, the National Securities Clearin ... Published on 26 January 2012
In ACATS Important Notices Downloads: 113
Automated Customer Account Transfer Service (ACATS) - Changing Processing Date in the Participant Services Environment (PSE) (01/18/2012 - #A7358) Download (pdf, 0 bytes)
In order to more closely simulate production, the National Securities Clearing Corporation (“N ... Published on 17 January 2012
In ACATS Important Notices Downloads: 98
Scheduling Change to Distribution of ACATS Master File (12/21/2011 - #A7341) Download (pdf, 0 bytes)
On February 24, 2012, National Securities Clearing Corporation (“NSCC”) will be making a ... Published on 20 December 2011
In ACATS Important Notices Downloads: 109
CBRS Fee Schedule Download (pdf, 52.26 KB)
This document provides a breakdown of the Cost Basis Reporting Service (CBRS) fee schedule, includin ... Published on 01 December 2011
Year 2012 Obligation Warehouse RECAPS Schedule (11/29/2011) Download (pdf, 45.20 KB)
National Securities Clearing Corporation (NSCC)’s Reconfirmation and Re-pricing Service (RECAP ... Published on 29 November 2011
In OW Important Notices Downloads: 102
NSCC Rule Filing SR-NSCC-2011-07 - Adjustment to ACATS Settlement Timing for Partial Transfers of Mutual Fund Assets (09/28/2011 - #A7291) Download (pdf, 0 bytes)
On Monday, September 26, 2011, the U.S. Securities and Exchange Commission approved National Securit ... Published on 27 September 2011
NSCC Rule Filing SR-NSCC-2011-07 - Adjustment to ACATS Settlement Timing for Partial Transfers of Mutual Fund Assets (09/13/2011 - #A7285) Download (pdf, 0 bytes)
On Monday, September 12, 2011, National Securities Clearing Corporation (“NSCC”) submitt ... Published on 12 September 2011
In ACATS Important Notices Downloads: 114
ACATS Participant Service Environment (PSE) Test Accounts 122 and 123 (09/09/2011 - #A7280) Download (pdf, 0 bytes)
Due to internal testing purposes, Members are advised NSCC will be suspending the utilization of ACA ... Published on 08 September 2011
In ACATS Important Notices Downloads: 115
ACATS Modifications regarding Non-CNS ACATS Mutual Fund Transactions (ACATS Settlement Location 10 - Fund/SERV) (09/09/2011 - #A7279) Download (pdf, 0 bytes)
In Important Notice #A7213/P&amp;S#6783 dated May 19, 2011 (Revised June 8, 2011) and Important ... Published on 08 September 2011
Mutual Funds Networking, ACATS and ACATS-Fund/SERV Enhancments to Assist in Facilitating the Transfer of Cost Basis Information (07/29/2011 - #A7256) Download (pdf, 0 bytes)
Effective December 5, 2011, National Securities Clearing Corporation (NSCC) will implement enhanceme ... Published on 29 July 2011
Change in Common Data Transfer System (CDTS) Input End-of-Day Job for Automated Customer Account Transfer Service (ACATS) (07/19/2011 - #A7248) Download (pdf, 0 bytes)
The Common Data Transfer Service, or CDTS, is National Securities Clearing Corporation’s (NSCC ... Published on 19 July 2011
ACATS Modifications regarding Non-CNS ACATS Mutual Fund Transactions (ACATS Settlement Location 10 - Fund/SERV) (07/13/2011 - #A7244) Download (pdf, 0 bytes)
In Important Notice #A7213/P&amp;S#6783 dated May 19, 2011 (Revised June 8, 2011), National Secu ... Published on 12 July 2011
In ACATS Important Notices Downloads: 121
Obligation Warehouse - Testing and Introduction of CNS Eligibility Check Planned for August 15, 2011 (06/28/2011) Download (pdf, 47.67 KB)
Obligation Warehouse (OW) was launched in production on March 4, 2011 for all full service Members o ... Published on 28 June 2011
In OW Important Notices Downloads: 105
Obligation Warehouse - Fees Effective July 1, 2011 (06/28/2011) Download (pdf, 49.17 KB)
Rule Filing SR-NSCC-2011-05 - Obligation Warehouse Fees (06/23/2011) Download (pdf, 50.96 KB)
On Monday, June 20, 2011, National Securities Clearing Corporation (NSCC) submitted rule filing SR-N ... Published on 23 June 2011
In OW Important Notices Downloads: 113
Year 2011 Obligation Warehouse RECAPS Schedule (06/23/2011) Download (pdf, 45.53 KB)
As previously announced, the first run of National Securities Clearing Corporation (NSCC)’s Re ... Published on 23 June 2011
In OW Important Notices Downloads: 94
ACATS Modifications regarding Non-CNS ACATS Mutual Fund Transactions (ACATS Settlement Location 10 - Fund/SERV) (05/19/2011 - #A7213) Download (pdf, 0 bytes)
Subject to approval from the U.S. Securities and Exchange Commission (“SEC”), National S ... Published on 19 May 2011
In ACATS Important Notices Downloads: 120
ACATS Fund Registration (FR) Record Modification (03/11/2011 - #A7179) Download (pdf, 0 bytes)
Effective June 13, 2011, National Securities Clearing Corporation (NSCC) will implement the followin ... Published on 10 March 2011
Obligation Warehouse Launches (03/03/2011) Download (pdf, 55.96 KB)
As previously announced in NSCC Important Notice A# 7135, P&amp;S # 6705, dated January 7, 2011, ... Published on 03 March 2011
In OW Important Notices Downloads: 119
Enhancements to ACATS Transfers Processed Through CNS (10/19/2010 - #A7081) Download (pdf, 40.50 KB)
On October 15, 2010, the National Securities Clearing Corporation (“NSCC”) filed a rule ... Published on 18 October 2010
Rule Filing SR-NSCC-2010-12 - Technical Correction to ACATS Enhancements (10/18/2010 - #A7078) Download (pdf, 39.88 KB)
On October 15, 2010, National Securities Clearing Corporation (“NSCC”) filed a proposed ... Published on 17 October 2010
Changes to CBRS & ACATS Master File as Results of the CBRS Enhancement Project (10/05/2010 - #A7074) Download (pdf, 34.38 KB)
The Depository Trust and Clearing Corporation (DTCC) plans to change the current Cost Basis Reportin ... Published on 05 October 2010
Implementation Date Change for ACATS Enhancements (09/22/2010 - #A7062) Download (pdf, 39.38 KB)
National Securities Clearing Corporation (NSCC) has previously announced the addition of a new Autom ... Published on 21 September 2010
In ACATS Important Notices Downloads: 116
ACATS - Foreign Asset Extension Modifications - Optional Changes (02/20/2009 - #A6792) Download (pdf, 0 bytes)
In its continuing effort to bring greater efficiencies to the Automated Customer Account Transfer Se ... Published on 20 February 2009
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Views: 7 The ACATS Overview: Understanding The Automated Customer Account Transfer Service - Part 4 webcast is... Category: Automated Customer Account Transfer Service (ACATS)
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Views: 2 In this short video, Hank answers the question, "What is NSCC's role in processing ETFs?" Category: ETF FAQ
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Expand All	Collapse All	How To Access CNS “Fully Paid For Accounts"
To access "Fully Paid For accounts", you need to be able to access DTCC’s Customer portal. If you do not have access, contact your access coordinator and request access to the portal and under available products, “CNS”.
When you have access to the portal, click on “CNS” under Available Production Products.
What Is The Fully Paid For Account?
The Fully Paid For Account is a special subaccount within NSCC's Continuous Net Settlement (CNS) System that assists participants in maintaining compliance with possession and control requirements pursuant to Rule 15(c)3-3 of the Securities Exchange Act.
The Fully Paid For Account allows participants to complete settlement obligations based on anticipated same-issue allocations from CNS. Third-party deliveries for credit through the Institutional Delivery (Omgeo) system are facilitated by this CNS subaccount.
The Fully Paid For Account is available for CNS-eligible equities, corporate bonds, unit investment trusts, rights, and warrants.
Who Can Use The Fully Paid For Account Service?
How Does The Fully Paid For Account Work?
Click To Enlarge	CNS ACATS DTC
Expand All	Collapse All	1. Are These Changes Optional?
No. The changes associated with this project are not optional. If your firm is an ACATS participating broker-dealer, you will have to make these changes.	CNS Corporate Actions
Search...	Expand All	Collapse All	1. Where can I access SMART/Track for CNS Corporate Actions?
SMART/Track for CNS Corporate Actions may be accessed via DTCC's Web Portal, formerly known as Web Direct. The URL is https://portal.dtcc.com.	2. Is SMART/Track for CNS Corporate Actions different than the existing SMART/Track for Corporate Action Liability Notification (CALN) Service?
Although SMART/Track for CNS Corporate Actions is part of the SMART/Track for Corporate Action Liability Notification (CALN) Service, it has its own product ID that must be requested in order to gain access to it. The product ID is "CNR" - which stands for "SMART/Track for CNS Corporate Actions."	3. Whom should I contact to request access to SMART/Track for CNS Corporate Actions (CNR)?
For access assistance, please contact your internal access coordinator to ensure you have the CNR product. See FAQ #1 to learn where to access CNR.	4. As a Member of CNS, do I need to get access to SMART/Track for CNS Corporate Actions (CNR)?
Yes. Every member of CNS must have at least one staff person from their firm registered for SMART/Track for CNS Corporate Actions. Once implemented, all potential and final liability as well as preliminary and final protect information on a voluntary offer will only be reported to members by NSCC via SMART/Track for CNS Corporate Actions (CNR).	5. I am experiencing issues logging on to SMART/Track for CNS Corporate Actions, whom should I contact?
Contact your internal access coordinator for SMART/Track for CNS Corporate Actions. Access coordinators may call 888-382-2721 and select option 5, then option 5. Alternatively, contact your relationship manager.	6. I am able to access the system and a voluntary offer exists, but am unable to enter my instructions in SMART/Track for CNS Corporate Actions. Whom should I contact?
Contact your internal access coordinator to ensure you possess the proper entitlements for Smart/Track for CNS Corporate Actions. Access coordinators may call 888-382-2721 and select option 5, then option 5. Alternatively, contact your relationship manager.	7. Where can I find more information about a specific voluntary offer?
Information (including terms) about voluntary offers will be available via SMART/Track for CNS Corporate Actions.	8. I have a question about the terms of a voluntary offer. Whom should I contact?
NSCC members may call CNS Cashiering at 888-382-2721 option 2, then option 2.	9. What CNS reorganization sub-account should I use to enter instructions on a voluntary offer?
In SMART/Track for CNS Corporate Actions, the CNS reorganization sub-account will be pre-populated; the options available to you are based on the terms of the offer. Generally speaking, the G sub-account will be available for primary offer entitlements while the H sub-account will be available for subsequent offers and/or secondary offer entitlements. Select a sub-account based on your preference.	10. What is the deadline for entering my instructions into SMART/Track for CNS Corporate Actions for any given voluntary offer?
The standard time to submit instructions on a voluntary offer is from 3:10 p.m. to 6:00 p.m. eastern time on the day prior to the CNS end date for that offer.	11. What is my deadline for reducing my instructions on a voluntary offer?
The deadline for reducing instructions on a voluntary offer is 12:00 p.m. eastern time on the CNS end date for that offer.	12. Where can I verify if I am potentially being held liable on a voluntary offer?
In SMART/Track for CNS Corporate Actions you will be able to view your potential liability via a selection from the main menu.	13. Where can I verify if I am finally being held liable on a voluntary offer?
In SMART/Track for CNS Corporate Actions you will be able to view your final liability via a selection from the main menu.	14. Can CNS tell me before recycle cutoff if I will be allocated my shares for my long position on the CNS end date for a voluntary offer?
No. CNS does not know when or if members who have short position(s) will cover their CNS obligations before recycle cutoff.	15. What happens to my elections if a voluntary offer is extended?
When a voluntary offer is extended, all elections previously submitted on a long position(s) will become null and void and the new expiration date for that offer will be reflected on SMART/Track for CNS Corporate Actions. Members will be required to re-enter their instructions.	16. Is it possible to enter instructions on a voluntary offer for a share quantity greater than my current CNS position?
The quantity instructed cannot exceed the total number of shares held in each individual sub-account, inclusive of new trades settling on the next business date. Ultimately, CNS will only accept your liability based on your actual long position held at the close of business on the CNS end date.	17. How can I protect shares I have moved into sub-accounts other than my free account (Sub-Account A) on a voluntary offer?
You may submit protect instructions for any sub-account provided that you have a long position (or will have a long position) in that sub-account on the day prior to the CNS end date.	18. Can I move shares between my free account (Sub-Account A) to my fully paid-for account (Sub-Account E) or vice versa on the CNS end date for a security undergoing a voluntary offer?
No. Any instructions to move shares for a security between CNS sub-accounts (e.g., from Sub-Account A to Sub-Account E) on the CNS end date of a voluntary offer will be rejected by CNS.	19. Once final liability and final protect have been determined and reported, when can I expect payment to occur in CNS?
Payment in CNS will be allocated concurrently with DTC payment of the offer.	20. Where can I view my payment on a voluntary offer?
Payment may be found on your Miscellaneous Report/MRO and SMART/Track for CNS Corporate Actions.	21. When CNS cannot process a Voluntary Corporate Action, when will I receive my balance order and where can I locate it?
Generally CNS will set up balance orders three business days prior to the CNS end date of that offer. Balance orders are found on the CNS Night Miscellaneous Activity Report/MRO.	22. Why am I receiving a CNS receive and deliver order while a security is subject to a voluntary offer?
Although SMART/Track for CNS Corporate Actions now offers enhanced processing of voluntary corporate actions, it may be necessary for CNS to issue receive and deliver orders for members to resolve broker to broker.	23. I want to pass a liability on a security that is not eligible for CNS. How do I do this?
Receive and deliver orders must be resolved broker to broker. Any receive and deliver orders generated by CNS are reported on your CNS Night Miscellaneous Report/MRO. The passing of liability notifications for non-CNS offers will continue to be processed on the SMART/Track for Corporate Action Liability Notification (CALN) Service as they are today.
24. How will I submit optional dividend instructions on a CNS long position? Will I still use WINS?
Optional Dividend instructions will now be submitted on a link from the main menu of the SMART/Track for CNS Corporate Actions system. Instructions should no longer be submitted via WINS as they will not be accepted or processed.	25. When can I expect to receive payment on my optional dividend?
Payment in CNS will be allocated concurrently with DTC payment of the optional dividend.	26. Where can I view my optional dividend payment?
You may continue to view your payments using the CNS Dividend Activity Report/MRO and your CNS Miscellaneous Report/MRO.	Exchange Traded Fund (ETF)
Expand All	Collapse All	What Information Is On The Files?
Additional file details are available in documents available on dtcc.com – follow the link below and click on "ETF" (you may need to scroll down) to reveal/access them.http://dtcc.com/clearing-services/equities-clearing-services/user-documentation/client-center-formats/file-formats.aspx	Are Sample Test Files Available For The Enhanced ETF Output File?
Yes. Here and in the ETF Documentation section we provide both a specification document and a text file showing canned test output of the new Enhanced File Layout – 02261256 via the following links:
Single Consolidated PCF Test Data
The ETF agent may submit either the ISIN or SEDOL number. In most instances ETF agents will provide both. If one of the values is not submitted for a component we generate a zero for that component. If the component does not have a registered ISIN or SEDOL number the agent and product sponsor may provide a “dummy” value. NSCC only validates components that are registered as a U.S. security and contains a valid ISIN. Except for that, NSCC does not validate the ISIN or SEDOL number and cannot guarantee its accuracy.	Why Are Symbols & CUSIPs For Components Not On Asset Master Files Sometimes Seen?
Occasionally, there are ETF portfolios that have components that are experiencing a corporate action and in order to process the portfolio we must derive a user ticker symbol and CUSIP. These user tickers may include ZZZZ’s or XXXX’s at the end of the symbol or contain numerics.	How Are Cash Amounts Calculated?
All the cash amounts are submitted to NSCC by the ETF Agents and NSCC redistributes the information to its subscribers. We cannot validate the Issuer, Sponsor or the Agents calculation. However, Key Definitions beyond what is available in our file formats is included in this document. Should you need additional information as to a particular calculation please contact the ETF Agent or Issuer for that particular ETF.	Does The PCF Contain The ETF Trading Symbol Or The IPV (Intraday Portfolio Value) Symbol?
The Portfolio Composition File (PCF) contains the ETF Trading Symbol.	Who Do I Call For Information About NSCC's ETF Process?
For more information regarding NSCC’s ETF process, please contact Relationship Management at 800-422-0582 or the Customer Support Center Hotline at 888-382-2721.	What Does A Header Record Zero Signify For An ETF Fund?
When NSCC does not receive a component based PCF from the Index Receipt Agent, we use the previous day's PCF and zero out the fund values. All the porfolio header records are zero. The only portfolio header records that are not zero are the CUSIP number and number of components. For Domestic portfolios, this alerts subscribers that the previous business days file will be used should any creation or redemptions occur for the particular ETF.	Which Files Show Newly Launched ETFs?
This is a decision made by the product sponsor and the ETF Agent. Generally, if the basket components are ineligible to clear through DTC they will be noted as an "F" in the Foreign and Domestic Field in the Portfolio Composition File. In the case of ETFs that contain corporate, municipal, mortgage-backed and U.S. Government fixed income securities, they will be almost always on the Portfolio Composition File.	How Are Newly Launched ETF Portfolios Signified On The PCF?
When a new ETF is added to the PCF file you will see a new Portfolio Header (Type 2) that introduces the portfolio. There may be instances where a sponsor and ETF agent provide the portfolio before it has begun trading. When new components are added to an ETF's portfolio in the PCF file, the Component Record (Type 3) New Security Indicator field will contain an "N."	Does The PCF Show The Component's Closing Price?
No - PCFs are distributed the night before trade date (or T-1) and apply to tomorrow’s portfolio.	Are All U.S. Exchange-listed ETFs Available On NSCC's ETF PCF?
Virtually every U.S. listed ETF’s portfolio are on the files including the converted HOLDRs product to an ETF structure. Exchange Traded Notes and ETFs that are backed by physical commodities, such as GLD and SLV are unavailable because there isn’t a port folio to distribute.	What Are The Transmission Options For Receiving PCFs?
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