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1. 发明申请

US20050114258A1 Fix-enabled order management method and apparatus 审中-公开
标题翻译：修订启用的订单管理方法和装置
公开(公告)号：US20050114258A1
公开(公告)日：2005-05-26
申请号：US10959406
申请日：2004-10-07
申请人： Neill Penney
发明人： Neill Penney
IPC分类号： G06F20060101 , G06F17/60
CPC分类号： G06Q40/04
摘要： A computer-implemented method and apparatus for managing market orders which, upon receiving a set of customer requirements, will automatically identify and select a winning provider from a multiplicity of provider candidates and, at the appropriate time, execute trades to fill the set of requirements. The identification, selection and execution steps are initiated automatically in response to receiving the requirements without further participation from the customer. Moreover, the invention is designed to operate according to a variety of non-proprietary messaging and communication standards, including, for example, the Financial Information eXchange (FIX) and Society for the Worldwide Interbank Financial Telecommunication (SWIFT) communications standards.
摘要翻译：一种用于管理市场订单的计算机实现的方法和装置，其在接收到一组客户需求时将自动地从多个提供商候选者中识别并选择获胜提供者，并且在适当的时候执行交易以填补所述要求集合。识别，选择和执行步骤是自动启动的，以响应于接收到的要求，而不需要客户的进一步参与。此外，本发明被设计为根据各种非专有消息和通信标准进行操作，包括例如财务信息交换（FIX）和全球银行间金融电信协会（SWIFT）通信标准。

2. 发明申请

US20050114257A1 Internal trade requirement order management and execution system 有权
标题翻译：内部贸易需求订单管理和执行系统
公开(公告)号：US20050114257A1
公开(公告)日：2005-05-26
申请号：US10959401
申请日：2004-10-07
申请人： Neill Penney
发明人： Neill Penney
IPC分类号： G06F20060101 , G06F17/60
CPC分类号： G06Q40/04
摘要： The present invention provides an order management and execution system and computer-implemented method for managing orders in an environment where the customer may utilize internal accounting and trading procedures that require filling a number of internal and external trading requirements for a number of internal and external trading accounts. The invention, which may be used in a variety of different trading contexts and for a variety of asset classes, automatically converts the internal trading requirements to external trading requirements and builds external orders, which are optionally netted and executed in the market using an asset trading execution system. Then the invention automatically converts the executed external requirements back to the appropriate internal requirements, records the internal requirements as filled, and optionally downloads the appropriate execution completion records to the customer's trading system.
摘要翻译：本发明提供了一种在客户可以利用内部会计和交易程序的环境中管理订单的订单管理和执行系统以及计算机实现的方法，该程序需要填写若干内部和外部交易的内部和外部交易要求帐户。可用于各种不同交易环境和各种资产类别的发明自动将内部交易要求转换为外部交易要求，并构建外部订单，这些订单可选择性地在市场上使用资产交易扣除和执行执行系统。然后，本发明将执行的外部要求自动转换为适当的内部要求，记录内部需求为填充，并可选择将适当的执行完成记录下载到客户的交易系统。

3. 发明授权

US07761363B2 Internal trade requirement order management and execution system 有权
标题翻译：内部贸易需求订单管理和执行系统
公开(公告)号：US07761363B2
公开(公告)日：2010-07-20
申请号：US10959401
申请日：2004-10-07
申请人： Neill Penney
发明人： Neill Penney
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04
摘要： The present invention provides an order management and execution system and computer-implemented method for managing orders in an environment where the customer may utilize internal accounting and trading procedures that require filling a number of internal and external trading requirements for a number of internal and external trading accounts. The invention, which may be used in a variety of different trading contexts and for a variety of asset classes, automatically converts the internal trading requirements to external trading requirements and builds external orders, which are optionally netted and executed in the market using an asset trading execution system. Then the invention automatically converts the executed external requirements back to the appropriate internal requirements, records the internal requirements as filled, and optionally downloads the appropriate execution completion records to the customer's trading system.
摘要翻译：本发明提供了一种在客户可以利用内部会计和交易程序的环境中管理订单的订单管理和执行系统以及计算机实现的方法，该程序需要填写若干内部和外部交易的内部和外部交易要求帐户。可用于各种不同交易环境和各种资产类别的发明自动将内部交易要求转换为外部交易要求，并构建外部订单，这些订单可选择性地在市场上使用资产交易扣除和执行执行系统。然后，本发明将执行的外部要求自动转换为适当的内部要求，记录内部需求为填充，并可选择将适当的执行完成记录下载到客户的交易系统。

4. 发明申请

US20060015440A1 Dynamic liquidity management system 审中-公开
标题翻译：动态流动性管理系统
公开(公告)号：US20060015440A1
公开(公告)日：2006-01-19
申请号：US11155897
申请日：2005-06-20
申请人： Neill Penney
发明人： Neill Penney
IPC分类号： G06Q40/00
CPC分类号： G06Q40/06 , G06Q40/04 , G06Q40/08
摘要： The present invention provides systems and methods liquidity providers can use to manage and reduce their overall market exposure when multiple offers to deal are received substantially simultaneously. The invention automatically processes offers to deal according to provider-specified parameters, including a customer trading limit, a global trading limit and an offer to deal duration. Computer systems configured to operate according to principles of the invention include a provider communications interface for receiving provider-specified customer and global trading limits, a liquidity status database for storing current customer and global trading levels, a customer communications interface for receiving an offer to deal from a customer trading system, the offer to deal having a value, and a liquidity manager configured to reject the offer to deal if the sum of one of the current trading levels and the value exceeds one of the provider-specified trading limits. In preferred embodiments, the offers to deal or stored in an offer to deal database and periodically rechecked against the trading limits and the specified offer to deal duration.
摘要翻译：本发明提供流动性提供者可以用来管理和减少他们的整体市场风险的系统和方法，当多个交易要约基本同时被接收时。本发明根据供应商指定的参数自动处理要约交易，包括客户交易限制，全球交易限额和交易期限的要约。配置为根据本发明的原理操作的计算机系统包括用于接收提供商指定的客户和全球交易限制的提供者通信接口，用于存储当前客户和全球交易水平的流动性状态数据库，用于接收要交易的报价的客户通信接口来自客户交易系统，交易价值的交易，以及流动性管理者被配置为如果当前交易水平和价值之一的总和超过供应商指定的交易限制之一，则拒绝交易要约。在优选实施例中，提供交易或存储在交易数据库的报价中，并根据交易限制和指定的报价周期性地检查交易持续时间。

5. 发明申请

US20050137962A1 Quick-filling customer asset trading system 审中-公开
标题翻译：快速填写客户资产交易系统
公开(公告)号：US20050137962A1
公开(公告)日：2005-06-23
申请号：US10996613
申请日：2004-11-26
申请人： Neill Penney , Philip Weisberg
发明人： Neill Penney , Philip Weisberg
IPC分类号： G06F20060101 , G06Q40/00 , G06F17/60
CPC分类号： G06Q40/04
摘要： Apparatus and methods for use by a customer for trading assets, such as foreign exchange instruments, using a variety of trading protocols on an interconnected computer network, such as the Internet. The invention generates and displays easy-to-use, context-sensitive and meaningfully organized panels or windows containing visibly distinctive, user-activatible selectors and input controls the customer can manipulate to select and execute trades against the best available quotes as they are supplied by multiple providers. In a single-bank execution mode, the invention automatically determines the best quotes received from a multiplicity of providers and helps the customer submit a single-bank order to one of those providers. In a multi-bank execution mode, the invention automatically identifies and helps customers submit a best multi-bank order, which may comprise a combination single-bank orders split up among multiple providers who have each submitted quotes having insufficient sizes. The user also may specify other trading terms, such as trading accounts and order sizes, for the assets to be traded.
摘要翻译：客户用于交易资产的设备和方法，例如在互联计算机网络（例如因特网）上使用各种交易协议的外汇工具。本发明生成和显示易于使用，上下文相关且有意义地组织的面板或窗口，其中包含明显独特的，用户敏感的选择器和输入控件，客户可以根据最佳可用报价来操作来选择和执行交易，因为它们由多个提供商在单行执行模式下，本发明自动确定从多个提供商接收的最佳报价，并帮助客户向其中一个提供商提交单一银行订单。在多银行执行模式中，本发明自动识别并帮助客户提交最佳的多银行订单，其可以包括在提交报价不足的多个提供商中分离的单个银行订单组合。用户还可以为要交易的资产指定其他交易条款，如交易账户和订单大小。

6. 发明申请

US20090132410A1 Method and Apparatus for Prime Brokering Financial Transactions 审中-公开
标题翻译：主要经纪金融交易的方法和设备
公开(公告)号：US20090132410A1
公开(公告)日：2009-05-21
申请号：US12117922
申请日：2008-05-09
申请人： Neill Penney , David Wright , Paul Hasenfus
发明人： Neill Penney , David Wright , Paul Hasenfus
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q40/025
摘要： Method and apparatus for managing financial transactions for multiple counterparties that allows traders, market makers, dealers, and prime brokers to negotiate with multiple liquidity providers simultaneously, and to receive and respond to transaction processing directives and settlement instructions in real time. The invention, which may be accessed over an interconnected data communications network, such as the Internet, using a standard Web browser, as well as via a proprietary user interface, automatically provides customers, traders, executing banks, funding banks, prime brokers and liquidity providers with up-to-date settlement and allocation details for previously-executed financial transactions as they are received.
摘要翻译：用于管理多个交易对手的金融交易的方法和设备，允许交易者，制造商，经销商和主要经纪商同时与多个流动性提供者进行谈判，并实时接收和响应交易处理指令和结算指令。可以通过互连的数据通信网络（例如因特网）使用标准Web浏览器以及经由专有用户界面访问的本发明自动地为客户，交易者，执行银行，资金银行，主要经纪人和流动性提供提供商在收到先前执行的金融交易时提供最新的结算和分配细节。

7. 发明申请

US20090076945A1 QUICK-FILLING CUSTOMER ASSET TRADING SYSTEM FOR BOOKING ORDERS WITH MULTIPLE PROVIDERS 审中-公开
标题翻译：快速填写客户资产交易系统，为多个提供者订购订单
公开(公告)号：US20090076945A1
公开(公告)日：2009-03-19
申请号：US12235743
申请日：2008-09-23
申请人： Neill Penney , Philip Weisberg
发明人： Neill Penney , Philip Weisberg
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04
摘要： Apparatus and methods for use by a customer for trading assets, such as foreign exchange instruments, using a variety of trading protocols on an interconnected computer network, such as the Internet. The invention generates and displays easy-to-use, context-sensitive and meaningfully organized panels or windows containing visibly distinctive, user-activatible selectors and input controls the customer can manipulate to select and execute trades against the best available quotes as they are supplied by multiple providers. In a single-bank execution mode, the invention automatically determines the best quotes received from a multiplicity of providers and helps the customer submit a single-bank order to one of those providers. In a multi-bank execution mode, the invention automatically identifies and helps customers submit a best multi-bank order, which may comprise a combination single-bank orders split up among multiple providers who have each submitted quotes having insufficient sizes. The user also may specify other trading terms, such as trading accounts and order sizes, for the assets to be traded.
摘要翻译：客户用于交易资产的设备和方法，例如在互联计算机网络（例如因特网）上使用各种交易协议的外汇工具。本发明生成和显示易于使用，上下文相关且有意义地组织的面板或窗口，其中包含明显独特的，用户敏感的选择器和输入控件，客户可以根据最佳可用报价来操作来选择和执行交易，因为它们由多个提供商在单行执行模式下，本发明自动确定从多个提供商接收的最佳报价，并帮助客户向其中一个提供商提交单一银行订单。在多银行执行模式中，本发明自动识别并帮助客户提交最佳的多银行订单，其可以包括在提交报价不足的多个提供商中分离的单个银行订单组合。用户还可以为要交易的资产指定其他交易条款，如交易账户和订单大小。

8. 发明申请

US20080288308A1 Method and Apparatus for Outsourcing Liquidity Transactions 审中-公开
标题翻译：流动性交易外包方法与设备
公开(公告)号：US20080288308A1
公开(公告)日：2008-11-20
申请号：US12118002
申请日：2008-05-09
申请人： Neill Penney , David Wright , Paul Hasenfus
发明人： Neill Penney , David Wright , Paul Hasenfus
IPC分类号： G06Q40/00 , G06Q10/00
CPC分类号： G06Q40/04 , G06Q40/025
摘要： Method and apparatus for managing financial transactions for multiple counterparties that allows traders, market makers, dealers, and prime brokers to negotiate with multiple liquidity providers simultaneously, and to receive and respond to transaction processing directives and settlement instructions in real time. The invention, which may be accessed over an interconnected data communications network, such as the Internet, using a standard Web browser, as well as via a proprietary user interface, automatically provides customers, traders, executing banks, funding banks, prime brokers and liquidity providers with up-to-date settlement and allocation details for previously-executed financial transactions as they are received.
摘要翻译：用于管理多个交易对手的金融交易的方法和设备，允许交易者，制造商，经销商和主要经纪商同时与多个流动性提供者进行谈判，并实时接收和响应交易处理指令和结算指令。可以通过互连的数据通信网络（例如因特网）使用标准Web浏览器以及经由专有用户界面访问的本发明自动地为客户，交易者，执行银行，资金银行，主要经纪人和流动性提供提供商在收到先前执行的金融交易时提供最新的结算和分配细节。

9. 发明申请

US20050137960A1 Protocol-independent asset trading system and methods 有权
标题翻译：独立于协议的资产交易系统和方法
公开(公告)号：US20050137960A1
公开(公告)日：2005-06-23
申请号：US10996603
申请日：2004-11-26
申请人： John Brann , Neill Penney
发明人： John Brann , Neill Penney
IPC分类号： G06F20060101 , G06F17/60
CPC分类号： G06Q40/04
摘要： Systems and methods for executing trades on an interconnected computer network, such as the Internet, using a catalog of protocol-independent fundamental asset trading messages, called “gestures,” that support multiple higher-level trading protocols which characterize most asset trading transactions. Trading transactions requiring protocol-dependent workflows are composed from protocol-independent gestures selected from the catalogue of gestures and then passed one at a time to an online asset trading server. The online asset trading server transitions pending quotes and trades through a series of distinct states, based on the current state, the selected protocol-independent gestures it receives and a set of state transition rules, thereby implementing the higher-level protocol-dependent workflows.
摘要翻译：使用协议无关的基本资产交易信息的目录（称为“手势”）在互连的计算机网络（例如因特网）上执行交易的系统和方法，其支持表示大多数资产交易交易的多个更高级别的交易协议。需要协议相关工作流的交易交易由从手势目录中选择的独立于协议的手势组成，然后一次通过一个到在线资产交易服务器。在线资产交易服务器根据当前状态，所接收的所选择的与协议无关的手势和一组状态转换规则，通过一系列不同状态转移待处理的报价和交易，从而实现更高级别的协议相关工作流。

10. 发明授权

US07634438B2 Dynamic account mapping system for computerized asset trading 有权
标题翻译：用于计算机化资产交易的动态帐户映射系统
公开(公告)号：US07634438B2
公开(公告)日：2009-12-15
申请号：US11316385
申请日：2005-12-23
申请人： Neill Penney
发明人： Neill Penney
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q20/10 , G06Q40/00 , G06Q40/06 , G06Q40/10 , Y10S707/99933 , Y10S707/99953
摘要： Methods and apparatuses for processing orders in a computerized asset trading system when the order contains trading requirements for trading accounts that do not map to trading accounts recognized by the provider trading system. The invention books trading requirements associated with the unrecognized trading accounts against a default trading account set up for the customer by the provider, thereby allowing the order to be processed instead of rejected merely because one or more of the customer-specified trading accounts has not yet been approved by the provider. The invention also allows providers to specifically block customer trading accounts, and to dynamically create approved trading accounts as they are needed so that subsequent transactions involving the previously unapproved trading accounts will be executed without using the default trading account. The invention also rejects orders for customer trading accounts that have been specifically blocked by the provider.
摘要翻译：在计算机化资产交易系统中处理订单的方法和装置，当该订单包含不提供交易系统认可的交易账户的交易账户的交易要求时。该发明将与未被识别的交易账户相关联的交易要求与由供应商为客户设置的默认交易账户相关联，从而允许订单被处理而不是仅由于一个或多个客户指定的交易账户尚未被拒绝经提供商批准。本发明还允许提供商专门阻止客户交易账户，并根据需要动态创建已核准的交易账户，以便在不使用默认交易账户的情况下执行涉及以前未经批准的交易账户的后续交易。本发明还拒绝了由提供商专门阻止的客户交易账户的订单。

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