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1. 发明授权

US07885882B1 Enhanced matching apparatus and method for post-trade processing and settlement of securities transactions 失效
标题翻译：加强证券交易后交易处理和结算的匹配设备和方法
公开(公告)号：US07885882B1
公开(公告)日：2011-02-08
申请号：US08976159
申请日：1997-11-21
申请人： Neil Frederick Brander , Andrew John Zelenka
发明人： Neil Frederick Brander , Andrew John Zelenka
IPC分类号： G06F17/60
CPC分类号： G06Q40/04 , G06Q20/10 , G06Q40/00 , G06Q40/06
摘要： A computer-based apparatus and method for the storing, matching and communicating of post-trade settlement information for securities trades among institutional investors, broker-dealers, agents and interested parties using an enhanced matching process. With the present invention the traditional sequence of communications for trade settlement involving notices of order execution, institution allocation instructions, confirmations and affirmations is replaced by a system which matches the notice of order execution and the institution allocation instruction across designated fields within these records. Upon generating a match between a notice of order execution (or the last of a series of notices of order execution) and an institution allocation instruction, the system and method of the present invention uses in an exemplary embodiment standing instructions, disclosures, calculations, default procedures and trade information from the settlement parties to generate either a matched affirmed confirmation or a matched confirmation to effect trade settlement.
摘要翻译：一种基于计算机的设备和方法，用于使用增强的匹配过程在机构投资者，经纪商，代理商和利益相关方之间存储，匹配和传达证券交易的交易后结算信息。通过本发明，涉及订单执行通知，机构分配指示，确认和确认的贸易结算的传统通信顺序由匹配订单执行通知和这些记录内的指定字段的机构分配指令的系统所替代。在生成订单执行通知（或一系列订单执行通知的最后一个）和机构分配指令之间的匹配时，本发明的系统和方法在示例性实施例中使用站立指令，披露，计算，默认程序和交易信息，以产生匹配的确认确认或匹配确认，以实现交易结算。

2. 发明授权

US07769679B2 Method and system for measuring trade management performance 失效
标题翻译：衡量贸易管理绩效的方法和制度
公开(公告)号：US07769679B2
公开(公告)日：2010-08-03
申请号：US12257218
申请日：2008-10-23
申请人： Paul G. Skuriat , Christopher J. Walsh , Lucy A. Lynch
发明人： Paul G. Skuriat , Christopher J. Walsh , Lucy A. Lynch
IPC分类号： G06Q40/00
CPC分类号： G06Q40/02 , G06Q10/0639 , G06Q40/04 , G06Q50/188
摘要： A process for managing financial transactions involves defining the process as a series of steps that involve the transfer of information needed by each party to settle the transaction. A system for measuring the performance of participants in the management process tracks the information transferred between the parties and records the date and time that the information is transferred. Periodically, information including the date and time information is processed and used to determine measures of performance over the period. These measures of performance can include the amount of time between the completion of any of the steps in the management process, for example, from the time when transaction was initiated (e.g. a trade is executed) to the time the information to be transmitted to or received by any of the participants to the management process or the management system in any of the steps of the management process. The performance information can be compiled into predefined reports which allow a party to compare and rank the performance of counterparties with which the party had completed transactions.
摘要翻译：管理金融交易的过程涉及将流程定义为一系列步骤，涉及转让每一方解决交易所需的信息。用于衡量管理过程中参与者的绩效的系统跟踪双方之间传送的信息，并记录信息传送的日期和时间。周期性地，包括日期和时间信息的信息被处理并用于确定该期间的绩效测量。这些绩效指标可以包括在完成管理过程中的任何步骤之间的时间量，例如，从交易开始时（例如交易执行）到发送信息的时间到任何参与者在管理过程的任何步骤中接收到管理过程或管理系统。绩效信息可以编译成预定义的报告，允许一方比较和排名该方完成交易的交易对手的表现。

3. 发明授权

US07765133B1 System for facilitating trade processing and trade management 失效
标题翻译：促进贸易加工和贸易管理的制度
公开(公告)号：US07765133B1
公开(公告)日：2010-07-27
申请号：US09504803
申请日：2000-02-16
申请人： P. Howard Edelstein , Christopher J. Walsh , Christopher G. Smith , Gary S. Foster , Peter J. Tierney
发明人： P. Howard Edelstein , Christopher J. Walsh , Christopher G. Smith , Gary S. Foster , Peter J. Tierney
IPC分类号： G06Q40/00
CPC分类号： G06Q10/00 , G06Q20/10 , G06Q20/102 , G06Q20/105 , G06Q20/108 , G06Q20/40 , G06Q30/04 , G06Q40/00 , G06Q40/025 , G06Q40/04 , G06Q40/06 , G06Q40/12
摘要： A system for facilitating the processing and settlement of a securities trade is provided. The system includes a computer which receives trade execution information indicative of an executed trade by a first trading party and trade allocation information indicative of an executed trade by a second trading party. The system also includes a database of trading party profiles accessible by the computer, the trading party profiles being indicative of acceptable trade parameters for each trading party. Executing on the computer is a matching program for comparing the trade execution information with the trade allocation information and for determining that a match exists if the trade execution information and the trade allocation information correlate within the acceptable trade parameters supplied in the trading party profiles for the first trading party and the second trading party.
摘要翻译：提供了促进证券交易的处理和结算的制度。该系统包括计算机，其接收由第一交易方指示执行交易的交易执行信息，以及指示由第二交易方执行的交易的交易分配信息。该系统还包括可由计算机访问的交易方简档的数据库，交易方简档表示每个交易方可接受的交易参数。在计算机上执行的是用于将交易执行信息与交易分配信息进行比较的匹配程序，并且如果交易执行信息和交易分配信息在交易方简档中提供的可接受交易参数内相关联，则确定存在匹配第一交易方和第二交易方。

4. 发明授权

US07945493B2 Creation of pseudo block to assist in system for facilitating trade processing and trade management 失效
标题翻译：创建伪块以协助系统促进贸易加工和贸易管理
公开(公告)号：US07945493B2
公开(公告)日：2011-05-17
申请号：US09931123
申请日：2001-08-16
申请人： Gary S. Foster , Jeffrey C. Addis , Andy Luro , Matthew Snow
发明人： Gary S. Foster , Jeffrey C. Addis , Andy Luro , Matthew Snow
IPC分类号： G06Q40/00
CPC分类号： G06Q10/00 , G06Q20/10 , G06Q20/102 , G06Q20/105 , G06Q20/108 , G06Q20/40 , G06Q30/04 , G06Q40/00 , G06Q40/025 , G06Q40/04 , G06Q40/06 , G06Q40/12
摘要： A system for facilitating the processing and settlement of securities trades is provided. The system includes a computer which receives trade execution information indicative of an executed trade by a first trading party and trade order information indicative of an executed trade by a second trading party. The system also includes software for determining block level trade execution information based upon the trade execution information and for determining block level trade order information based upon the trade order information. Further software is provided for comparing the block level trade execution information with the block level trade order information, and for determining that a match exists if the block level trade execution information and the block level trade order information correlate within a set of predefined acceptable trade parameters.
摘要翻译：提供了促进证券交易加工和结算的制度。系统包括计算机，其接收由第一交易方指示执行交易的交易执行信息，以及由第二交易方指示执行交易的交易订单信息。该系统还包括用于基于交易执行信息确定块级交易执行信息并根据交易订单信息确定块级交易订单信息的软件。提供了进一步的软件，用于将块级交易执行信息与块级交易订单信息进行比较，并且如果块级交易执行信息和块级交易订单信息在一组预定义的可接受交易参数内相关联，则确定存在匹配。

5. 发明授权

US07143060B2 Trading party profiles in system for facilitating trade processing and trade management 失效
公开(公告)号：US07143060B2
公开(公告)日：2006-11-28
申请号：US09930918
申请日：2001-08-16
申请人： Gary S. Foster , Matthew Snow , Chris Stys , Jeffrey C. Addis , Andy Luro
发明人： Gary S. Foster , Matthew Snow , Chris Stys , Jeffrey C. Addis , Andy Luro
IPC分类号： G06F17/60
CPC分类号： G06Q10/00 , G06Q20/10 , G06Q20/102 , G06Q20/105 , G06Q20/108 , G06Q20/40 , G06Q30/04 , G06Q40/00 , G06Q40/025 , G06Q40/04 , G06Q40/06 , G06Q40/12
摘要： A system for facilitating the processing and settlement of a securities trade is provided. The system includes a computer which receives trade execution information and trade allocation information indicative of an executed trade by first and second trading parties. The system also includes a database of trading party profiles which are indicative of acceptable trade parameters for each trading party. A matching program compares the trade execution information with the trade allocation information and determines that a match exists if the trade execution information and the trade allocation information correlate within the acceptable trade parameters. The trading party profiles are configurable so that the trading parties can fully control enrichment of the trade information with enrichment data, and set timers to control how long the system searches for a match. Each trading party may have a plurality of profiles, from which the system may select depending upon trade criteria.

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