Settlement & Asset Services

Making Your Quarterly Financial Statements Available to Investors via DTC’s Legal Notice System (LENS)

LENS provides a means for issuers, their agents and courts to make legal notices concerning DTC-eligible issues available to investors. LENS offers a central location for legal notices and search capability that enables users to find the specific notices they need.

Potential investors often look to LENS for information as part of their due diligence when making investment decisions. DTC participants acting in the interest of their clients rely on LENS for information affecting their portfolios.

Posting your quarterly financial statements on LENS is an excellent way to connect with investors by making this vital information available to them quickly and efficiently via LENS’ electronic portal.

To post your financial statement to LENS free of charge, email the documents in PDF format, to legalandtaxnotices@dtcc.com. In order to ensure that notices are posted with the most accurate data possible, please include the following information:

  • Notice Category & Subcategory
  • CUSIP(s) as a six digit family base or full nine digits
  • A description (entered into the Subject line of the email)

You will receive confirmation via email once the notice is processed.

Note: Users must log into LENS to view notices. Please be advised that all notices posted to LENS are made available to all registered users, irrespective of whether the user holds or has never held the security referenced. Please review all notices before submitting them to DTCC to ensure that they are appropriate for LENS.

dtccdotcom