Participant Browser Services (PBS) Update

1. DTC Participant Browser Services (PBS) Update Steve Manise Relationship Management A service offering of the Depository Trust Company, a subsidiary ofThe Depository Trust & Clearing Corporation [Classification]

2. Agenda • PTS Ticket Printing • Screen Scraping and Downloads • Deposit Tickets • Future Enhancements • PINS Replacement [Classification]

3. PTS Ticket Printing Reason for the initiative • Clients seeking better technology options • 3270 printer hardware not freely available • DTCC averages 120,000 PTS messages printed per day Proposed Solution • Develop a dynamic ticket print solution • Leverage DTCC’s current Smart Messaging application to provide the ability for customers to receive continuous PTS ticket printing to a local or Network printer [Classification]

4. Dynamic Ticket Printing-Requirements System Requirements To set up Dynamic Ticket Printing, you must have the following: • Access to DTCC’s PBS service • Allow Java Applet download • If you use JPTS, you already have an applet • Internet Explorer, version 6.0 or higher • Java Plug-in, version 1.5.0 or higher • Local/Network PC printers configured to your PC Operations • One or more authorized users can “enable” printer (s) • Tickets will print just as they do today based on the existing info file • Printer configuration and control given to customer - Set up once/ Update when necessary • Monitoring of tickets by printer [Classification]

5. Proposed Solution – Dynamic Ticket Printing [Classification]

6. Proposed Solution – Dynamic Ticket Printing • Upon initiation of the Printing Applet, user gets a list of all available destinations based on the Participant ID • User assigns local PC printer(s) to the destinations indicated as Disabled/not yet active • User updates the configuration and starts the printing Destinations cannot be configured to multiple printers [Classification]

7. Required Information from the Firm RACF ID’s that will need the new SMXD entitlement Pilot scheduled for October 2008 [Classification]

8. Participant Browser Services PBS Download Functionality [Classification]

9. PBS Download Functionality Reason for the initiative • Eliminate the need for customers to screen scrape PTS. • Customer Satisfaction - Clients seeking better technology options via PBS Solution • Leverage DTCC’s current PBS application to provide the ability for customers to download data from the PBS “ART” function to a Excel Spreadsheet Requirements • Have access to DTCC’s PBS service • Entitlement for PBS “ART” function • Access to Excel on your desktop [Classification]

10. PBS ART Screen The “Download” button will always start a new download from the first Transaction ID based upon the current search criteria. Each download retrieves 1,000 transactions at a time. Data is placed within a Excel worksheet. Notes: No changes are being made to the ART function Each download will open a new Excel spreadsheet. User can cut and paste to pull all data together The “Download More” button will retrieve additional data starting from where the previous download left off. This also retrieves 1,000 transactions at a time. Data is placed into a separate worksheet for each request. [Classification]

11. Sample Excel Spreadsheet Download [Classification]

12. PBS Download Functionality Current Status • On-line help created • General Release Date – 06/20/08 • All firms/individuals with the required entitlement will have access to the functionality Future enhancements • PEND function scheduled for release Q4 • Currently exploring and defining a timeline for additional download capabilities for future functions • Determine the scope of work for upload capabilities (“DO” function) [Classification]

13. Participant Browser Services Deposit Bar Code Printing [Classification]

14. Deposit Bar Code Printing • Reason for the Initiative/Benefits • Retirement of SNA connections • Customer Satisfaction - Clients seeking better technology options • Eliminate the need for “Sticky label” processing • Proposed Solution • Develop a PDF ticket print solution • Leverage DTCC’s current PBS application to provide the ability for customers to print PDF Deposit Tickets to a local PC printer or Network Printer [Classification]

15. Deposit Bar Code Requirements • Requirements • Access to DTCC’s PBS service • Entitlement to PBS Deposit Processing function (PTS function “DAMP”) • Requires a connection of a Network or Local attached Laser Jet Printer • Requires Adobe Acrobat Reader [Classification]

16. Current Deposit Bar Code Ticket Printing Workflow Customer Input Options Cut-off Times PTS/PBS input over DAMP: 4:00 am to 8:00pm CF2DEP File: 3:00am – 8:00pm Note: All input options requires the customer to request release of the Deposit Tickets from the DB2 Table to the printers. Customer logs into DTCC PTS/PBS DAMP Function and keys in expectancy Deposit data Sticky Label Customer Non Sticky Label Customer Automated process DTCC CF2DEP File (Expectancy File) Deposit Expectancy data – stays in the system for 10 days DB2 Local PC Printer for sticky label PTS Printer for sticky label customer VPS Printer for non-sticky label customer Tickets are wanded into DAMP and updates file from expected to received. SNA Connection SNA Connection Deposit tickets with certificates attached are sent to DTCC for Processing [Classification]

17. Proposed Workflow Solution Customer Input Options Customer logs into DTCC PTS/PBS DAMP Function and keys in expectancy Deposit data DTCC Automated process/ customer submits file CF2DEP File (Expectancy File) Deposit Expectancy data – stays in the system for 10 days Print Selection JAVA Print Print Details PDF Tickets Tickets are wanded into DAMP and updates file from expected to received. Network or Local PC Printer PDF Ticket w/physical cert attached is sent to DTCC for Processing [Classification]

18. Current Status • Business Requirements Approved • Feasibility estimate completed • Development– October 2008 • General release February 2009 [Classification]

19. Participant Browser Services PINS Replacement [Classification]

20. PINS Replacement Background • The Participant Inquiry Notification System (PINS) allows Participants to notify DTC of differences between their records and ours • In 2007, approximately 80,000 inquires were received and answered Objectives • Modernize PINS interface • Update interface customers use to submit inquiries and review their status in order to address existing usability issues • Implement Self Service capabilities • Provide On-line help allowing participants to obtain the information themselves • Knowledge base of previous inquiries • Map PINS inquiry types to corresponding DTCC data sources (e.g. PBS functions) [Classification]

21. PINS Replacement Benefits • Streamlined internal processes • Help firms reduce the number of PINS inquires and phone calls received • Reduce the number of “unnecessary” inquires that are billable ($55.00 per unnecessary inquiry) • Increase customer satisfaction [Classification]

22. PINS Replacement Current Status Front-end Development scheduled to begin in October Phase I General Release scheduled for March 2009 [Classification]

23. Example PINS Menu [Classification]