DTC LENS Notice Field Enhancements


On Oct. 24, DTC issued new input field enhancement on IAP portal.


  • DTC reported enhancement of Issuer agent portal (IAP) with the addition of a new input field called Notice title, will be required for submission of all LENS notice types.
  • New Notice Type
  • Legal notices, tax notices, transfer agent notices to comply with SEC Rule 17Ad-16.
  • Free form field to include issuer name, security name, notice type, notice description.
  • Field will be displayed in LENS user interface as notice description on the search results page to help assist LENS user with better identifying contents of the document.
  • Notice title field will be available for testing in DTC’s PSE region on Oct. 24, 2024.
  • Effectiveness
  • Production deployment is planned for Nov. 7, 2024.

Regulators DTC
Entity Types B/D; Depo; Exch
Reference RN B#20890-24, 10/24/2024; Citation: SEC Rule 17Ad-16;
Functions Financial; Reporting; Risk; Treasury
Countries United States of America
Category
State
Products Custody; Securities
Regions Am
Rule Type Final
Rule Date 10/24/2024
Effective Date 11/7/2024
Rule Id 231166
Linked to N/A
Reg. Last Update 10/24/2024
Report Section US Investment

Last substantive update on 10/29/2024