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1. 发明授权

US08165937B1 System and method for managing information related to securities and securities issuers 有权
标题翻译：管理证券和证券发行人相关信息的制度和方法
公开(公告)号：US08165937B1
公开(公告)日：2012-04-24
申请号：US11669642
申请日：2007-01-31
申请人： Sharda Hebbar , Paula Stuart
发明人： Sharda Hebbar , Paula Stuart
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q40/00
摘要： A system and method that enables a financial institution managing a money market fund to meet the requirements of SEC Rule 2a-7. The system and method may enable an issuer of an instrument or security to provide information to investors that are regulated by SEC Rule 2a-7, in such a manner that the instrument or security of the issuer may be purchased and held by money market funds. This includes enabling the money market fund to verify that one or more securities issued by one or more issuers meet the three of the basic requirements of the Rule, namely (1) portfolio maturity, (2) portfolio quality, and (3) portfolio diversification.
摘要翻译：一种使金融机构管理货币市场基金符合SEC第2a-7条要求的制度和方法。该制度和方法可以使文书或证券的发行人能够向证券交易委员会第2a-7条规定的投资者提供信息，方式是发行人的工具或证券可以由货币市场基金购买和持有。这包括使货币市场基金能够验证一个或多个发行人发行的一种或多种证券符合规则的三项基本要求，即（1）投资组合到期日，（2）投资组合质量，（3）投资组合多元化。

2. 发明申请

US20120296788A1 SYSTEM AND METHOD FOR MANAGING INFORMATION RELATED TO SECURITIES AND SECURITIES ISSUERS 审中-公开
标题翻译：用于管理与证券和证券相关的信息的系统和方法
公开(公告)号：US20120296788A1
公开(公告)日：2012-11-22
申请号：US13453424
申请日：2012-04-23
申请人： Sharda Hebbar , Paula Stuart
发明人： Sharda Hebbar , Paula Stuart
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q40/00
摘要： A system and method that enables a financial institution managing a money market fund to meet the requirements of SEC Rule 2a-7. The system and method may enable an issuer of an instrument or security to provide information to investors that are regulated by SEC Rule 2a-7, in such a manner that the instrument or security of the issuer may be purchased and held by money market funds. This includes enabling the money market fund to verify that one or more securities issued by one or more issuers meet the three of the basic requirements of the Rule, namely (1) portfolio maturity, (2) portfolio quality, and (3) portfolio diversification.
摘要翻译：一种使金融机构管理货币市场基金符合SEC第2a-7条要求的制度和方法。该制度和方法可以使文书或证券的发行人能够向证券交易委员会第2a-7条规定的投资者提供信息，方式是发行人的工具或证券可以由货币市场基金购买和持有。这包括使货币市场基金能够验证一个或多个发行人发行的一种或多种证券符合规则的三项基本要求，即（1）投资组合到期日，（2）投资组合质量，（3）投资组合多元化。

3. 发明授权

US08738492B1 Displaying status of and facilitating compliance with regulatory requirements related to municipal bonds 有权
标题翻译：显示与市政债券有关的监管要求的现状并促进遵守
公开(公告)号：US08738492B1
公开(公告)日：2014-05-27
申请号：US13632660
申请日：2012-10-01
申请人： Paula Stuart
发明人： Paula Stuart
IPC分类号： G06Q40/00
CPC分类号： G06Q30/018 , G06Q40/06
摘要： The disclosure relates to an integrated platform for obtaining and managing information and documents relating to regulatory compliance, determining compliance obligations and compliance actions, graphically providing representations of and/or tools for facilitating such compliance, including historical, current and future compliance requirements of municipal bonds and other securities and associated information. The integrated platform may receive selections of compliance templates used to determine compliance with disclosure requirements of municipal bonds, obtain securities-related information related to a municipal bond (including information related to the bond issuer), automatically populate a disclosure document with required information based on the selected compliance template related to a municipal bond using securities-related information obtained by the system, provide an indication of required information based on the compliance template, automatically determine whether provided information satisfies regulatory requirements, and graphically illustrate current and historical compliance of the municipal bond.
摘要翻译：本公开涉及一种用于获取和管理与监管合规相关的信息和文件，确定合规义务和合规行动的综合平台，以图形方式提供促进此类遵从的表示和/或工具，包括市政债券的历史，当前和未来合规要求和其他证券和相关信息。综合平台可以选择合规性模板，用于确定市政债券的披露要求是否合规，获得与市政债券相关的证券相关信息（包括与债券发行人有关的信息），自动填写披露文件，其中包含基于使用系统获得的与证券有关的信息与市政债券相关的选定合规模板，根据合规模板提供所需信息的指示，自动确定提供的信息是否满足监管要求，并以图形方式说明市政当局和历史遵守情况键。

4. 发明授权

US07801791B2 Method and apparatus for managing information and communications related to municipal bonds and other securities 有权
标题翻译：管理与市政债券和其他证券有关的信息和通信的方法和设备
公开(公告)号：US07801791B2
公开(公告)日：2010-09-21
申请号：US11672196
申请日：2007-02-07
申请人： Sharda Hebbar , Mario Camchong
发明人： Sharda Hebbar , Mario Camchong
IPC分类号： G06Q40/00
CPC分类号： G06Q40/06 , G06Q40/00 , G06Q40/04 , G06Q40/10
摘要： A method and apparatus is provided for gathering information from issuers of municipal securities and distributing information evenly to municipal disclosure repositories, regulatory bodies and the public. A computer application enables an issuer to enter ongoing information about an issue to comply with contractual obligations to bond holders and to provide Brokers and Dealers with a procedure for facilitating regulatory requirements that provide prompt notice of events relating to bonds they recommend to customers. The computer application prompts issuers to file information that is required to be submitted on a periodic basis, and publishes such information to the public, while also transmitting such information to municipal disclosure repositories and/or regulatory bodies. If an issuer does not submit required information by a due date, a failure to file notice is generated. An audit trail is established for gathered and distributed information.
摘要翻译：提供了一种方法和装置，用于收集市政证券发行人的信息，并将信息均匀地分配给市政公开信息库，监管机构和公众。计算机应用程序使得发行人能够输入正在进行的有关问题的信息，以符合债券持有人的合同义务，并向经纪商和经销商提供促进监管要求的程序，以便及时通知他们向客户推荐的债券。计算机应用程序提示发行人定期提交需要提交的信息，并向公众发布此类信息，同时将此类信息发送到市政信息库和/或监管机构。如果发行人在到期日之前未提交所需信息，则不会生成通知。为收集和分发的信息建立了审计线索。

5. 发明授权

US07155408B2 Method and apparatus for managing information and communications related to municipal bonds and other securities 有权
公开(公告)号：US07155408B2
公开(公告)日：2006-12-26
申请号：US10314863
申请日：2002-12-09
申请人： Sharda Hebbar , Mario Camchong
发明人： Sharda Hebbar , Mario Camchong
IPC分类号： G06F17/60
CPC分类号： G06Q40/06 , G06Q40/00 , G06Q40/04 , G06Q40/10
摘要： The present invention is a method and apparatus for gathering information from issuers of municipal securities and distributing information evenly to municipal disclosure repositories, regulatory bodies and the public. A central aspect of the present invention is a computer application, which can be implemented on a computer system that is attached to a network of computers and other communication devices, such as the Internet. Initially, the application accepts the full name description of a particular municipal security issue, together with a unique identifier assigned by CUSIP. The system grants a secured and encrypted user id and password to the issuer enabling the issuer to enter ongoing information about the issue. This information may include annual audits of the issuer, certain operating data, and any event notices deemed material by the issuer. Such information is provided to comply with the contractual obligations of the issuer to the bond holders and to provide Brokers and Dealers with a procedure for facilitating regulatory requirements that provide prompt notice of events relating to bonds they recommend to customers. For information that is required to be submitted on a periodic basis, the system determines when the information is due to be submitted, and prompts the issuer to file such information with the system. This information is then published to the public, and, simultaneously, transmitted to the municipal disclosure repositories and/or regulatory bodies via a one-click dissemination system. If the issuer does not submit the required information by the due date, the system files a notice that the required information was not submitted by the issuer. Additionally, the system establishes an audit trail for gathering and the distribution of the information. Another important aspect of the audit includes receiving and archiving a receipt that information was transmitted to the municipal disclosure repositories and/or regulatory body. Finally, the system provides a secure platform for communication and teleconferencing among issuers and their investors.

6. 发明申请

US20060277133A1 Method and apparatus for managing information and communications related to municipal bonds and other securities 审中-公开
公开(公告)号：US20060277133A1
公开(公告)日：2006-12-07
申请号：US11499767
申请日：2006-08-07
申请人： Sharda Hebbar , Mario Camchong
发明人： Sharda Hebbar , Mario Camchong
IPC分类号： G06Q40/00
CPC分类号： G06Q40/06 , G06Q40/00 , G06Q40/04 , G06Q40/10
摘要： The present invention is a method and apparatus for gathering information from issuers of municipal securities and distributing information evenly to municipal disclosure repositories, regulatory bodies and the public. A central aspect of the present invention is a computer application, which can be implemented on a computer system that is attached to a network of computers and other communication devices, such as the Internet. Initially, the application accepts the full name description of a particular municipal security issue, together with a unique identifier assigned by CUSIP. The system grants a secured and encrypted user id and password to the issuer enabling the issuer to enter ongoing information about the issue. This information may include annual audits of the issuer, certain operating data, and any event notices deemed material by the issuer. Such information is provided to comply with the contractual obligations of the issuer to the bond holders and to provide Brokers and Dealers with a procedure for facilitating regulatory requirements that provide prompt notice of events relating to bonds they recommend to customers. For information that is required to be submitted on a periodic basis, the system determines when the information is due to be submitted, and prompts the issuer to file such information with the system. This information is then published to the public, and, simultaneously, transmitted to the municipal disclosure repositories and/or regulatory bodies via a one-click dissemination system. If the issuer does not submit the required information by the due date, the system files a notice that the required information was not submitted by the issuer. Additionally, the system establishes an audit trail for gathering and the distribution of the information. Another important aspect of the audit includes receiving and archiving a receipt that information was transmitted to the municipal disclosure repositories and/or regulatory body. Finally, the system provides a secure platform for communication and teleconferencing among issuers and their investors.

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