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DTCC’s Legal Notice System (LENS) Data provides a comprehensive, searchable library, updated daily, of legal notices concerning DTC-eligible securities that are published and furnished by third-party agents, courts and security issuers.

  • about

    DTCC is one of the most comprehensive repositories of legal notices in the U.S. Every day issuers, agents and courts produce an abundance of securities-related notices that are sent directly to DTCC. These notices include everything from bankruptcies and defaults to class actions and 19(a) tax information. The LENS Portal grants clients access to the notices in their original, unaltered, document form shortly after they become available to DTCC. They allow clients to keep themselves and their clients informed, maintain critical compliance, identify investment opportunities and provide greater customer service.

    The LENS library contains notices categorized as follows:

    Legal (LG) Notice to Security Holders

    • Bankruptcies
    • Litigation/ Class Actions
    • Defaults
    • Letter of Credit Substitution
    • Cost Basis
    • Dissent

    Other Transfer Agent (TA)

    • Notifications under Rule 17ad-16 of the SEC Act of 1934

    Tax Information (TX)

    • Section 19(a) Notices

  • benefits

    Features

    Benefits

    Updated Daily
    Conveniently view, download or e-mail notices with colleagues or clients in a timely manner. LENS provides complete access to the information clients need affecting portfolio holdings on a daily basis.
    Easily Searchable
    Indexed and easily searchable data saves time by allowing users to locate relevant notices. Notices are searchable by CUSIP, Keyword, Notice Type or Document Number.
    Historical Access
    Increases opperational efficiency by providing five years of historical notices at user's fingertips.
    View, download or e-mail notices
    Easily view or share important notices with colleagues or clients
    Custom E-mail Alerts
    Eliminates guesswork by providing daily custom e-mail notifications based off a CUSIP interest list or notice type.
    Bulk Downloads
    Saves time by receiving notices in customized bulk downloads from one centralized source.

  • Offering

    • On-demand web repository of legal notices
    • 5 years of historical data

  • Coverage

    There are roughly 134 notices posted per day across three different categories:

    • Legal Notice to Security Holders
    • Other Transfer Agent
    • Tax Information.

    HISTORICAL DATA

    The LENS repository offers 5 years of historical data on a broad range of DTCC eligible securities.

  • How It Works

    • DTC receives notices from issuers, agents, trustees and courts.
    • DTC makes these notices available in their original document form at 7:00AM ET via LENS.

  • Delivery

    • Web interface for on-demand access

  • Resources

Request Sample Data

Legal Notice System (LENS) Data Factsheet

Learn More

TRAINING AND DOCUMENTATION

Additional Resources

  • News

    Read news about DTCC's Legal Notice System Data Service, a comprehensive & searchable library of legal notices concerning DTC-eligible securities. Visit our website.

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  • Support

    Download documentation, technical support, and other information to learn more about DTCC's Legal Notice System Data Service. Read more about our services here.

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