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1. 发明公开

EP1446748A2 BALANCING ARBITRAGABLE TRACKING SECURITIES 审中-公开
标题翻译：补偿ARBITRAGIERBARER跟踪证券
公开(公告)号：EP1446748A2
公开(公告)日：2004-08-18
申请号：EP02789392.4
申请日：2002-11-04
申请人： The Nasdaq Stock Market, Inc.
发明人： BLOOM, Steven, M. , SPECTOR, Michael, S. , JACOBS, John, L.
IPC分类号： G06F17/60
CPC分类号： G06Q40/06 , G06Q40/04
摘要： A financial product (see Fig. 1) is based on a first fund that is traded in a marketplace (16) in a first country and is registered in that country. The first fund has the characteristics of being based on an index of securities that are traded in a second different country. The first fund is arbitragable with a second fund that is based on the index and which is registered in a second country. The first fund has a basis that is the same as the second fund. The NAV of the respective funds are calculated at the same time and manner. The agent of the first fund has the option of providing or accepting second fund shares rather than cash to cover 'cash amount' obligations. Such obligations arise from the need to equate the value received or given for the first fund shares with the NAV of the first fund shares that it has issued or received.

2. 发明公开

EP0972279A1 MEDIA WALL FOR DISPLAYING FINANCIAL INFORMATION 失效
标题翻译：媒体墙于显示的财务报告
公开(公告)号：EP0972279A1
公开(公告)日：2000-01-19
申请号：EP97917866.2
申请日：1997-04-04
申请人： The Nasdaq Stock Market, Inc.
发明人： APPLE, Thomas , NOBLE, Paul , FOOTEN, John , KLEIN, Andrew
IPC分类号： G09F27/00
CPC分类号： G09F27/00
摘要： A system dynamically displays graphic identifier information, such as corporate logos, and value information for financial instruments, such as recent trade information, on a video wall having several monitors arranged to form a larger display. The system has input ports to receive feeds with identifiers and corresponding values of financial instruments, a filter to extract the identifiers and corresponding values of the financial instruments, a memory to store the extracted information and a table associating the financial instrument identifiers with graphic symbols, and processors to form a display signal with the graphic symbols and values.

3. 发明公开

EP1810236A2 CLOSING IN AN ELCTRONIC MARKET 审中-公开
标题翻译：闭幕在电子市场
公开(公告)号：EP1810236A2
公开(公告)日：2007-07-25
申请号：EP05741790.9
申请日：2005-04-27
申请人： The Nasdaq Stock Market, Inc.
发明人： HATHEWAY, Frank , MOORE, Daniel F. , COX, Timothy E. , MARTYN, Peter J. , FRANKS, Dan Barnard , NUNES, Adam Seth , ALBERS, Oliver
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q40/12
摘要： A method for trading a security in an electronic market includes receiving closing orders and orders for the security traded in the electronic market, disseminating an order imbalance indicator indicative of predicted trading characteristics of the security at the close of trading, determining a closing price for the security based on the closing orders and orders, and executing at least some of the closing orders at the determined closing price.

4. 发明公开

EP1393212A2 ARBITRAGE OF TRACKING SECURITIES 审中-公开
标题翻译：套利追踪证券的
公开(公告)号：EP1393212A2
公开(公告)日：2004-03-03
申请号：EP02704054.2
申请日：2002-01-04
申请人： The Nasdaq Stock Market, Inc.
发明人： BLOOM, Steven , M. , SPECTOR, Michael, S. , JACOBS, John, L.
IPC分类号： G06F17/60
CPC分类号： G06Q40/04 , G06Q40/00 , G06Q40/025 , G06Q40/06 , G06Q99/00
摘要： A financial product is based on a first fund (12) that is traded on a trading marketplace (16) in a first country. The financial product is registered (18) in the first country. The first fund (12) has the characteristics of being based on an index (30) of securities that are traded in a second, different country. The first fund (12) is arbitragable with a second fund (22) that is based on the index (30) and which is registered (28) in a second different country. The first fund (12) has a creation unit basis (15) that is substantially the same basis as a creation unit basis (25) for the second fund (22). The calculation of the net asset value of the first fund (12) occurs at essentially or exactly the same time that second country fund (22) has its net asset value calculated.

5. 发明公开

EP1305728A2 QUOTE/ORDER PROCESSING IN ELECTRONIC MARKET SYSTEM 审中-公开
标题翻译：股价治疗或指令输入电子系统市场
公开(公告)号：EP1305728A2
公开(公告)日：2003-05-02
申请号：EP00984518.1
申请日：2000-09-20
申请人： The Nasdaq Stock Market, Inc.
发明人： SERKIN, Stuart , MARTYN, Peter
IPC分类号： G06F17/00
CPC分类号： G06Q40/02 , G06Q40/04
摘要： A collector facility for an electronic market is described. The collector facility includes an interface for coupling order delivery systems to the order collector facility and a quote manager that manages multiple quotes/orders received from the interface at multiple price levels. The facility also includes a montage manager to display quotes received from the quote order manager in an aggregate montage or a current quote montage consistent with parameters specified in the multiple quotes.

6. 发明公开

EP1257944A1 DATA VISUALIZATION 审中-公开
标题翻译：数据显示
公开(公告)号：EP1257944A1
公开(公告)日：2002-11-20
申请号：EP00977245.0
申请日：2000-11-17
申请人： The Nasdaq Stock Market, Inc.
发明人： BERKELEY, Alfred, R., III , CHELIUS, Genevieve, A. , DANIEL, Phung, T. , KIM, Gina, S.
IPC分类号： G06F17/60 , G09G1/16
CPC分类号： G06Q40/04 , G09G1/162
摘要： A method of visually displaying data characteristic for a plurality of entities. The method includes generating one or more images from collected data. The one or more images represent each entity by a character located along a preselected direction in a field. The locations of the characters along the direction are representative of the value of the characteristic of the associated entity at a collection time associated with the data.

7. 发明公开

EP1080438A1 INDEX REBALANCING FOR A CAPITALIZATION WEIGHTED STOCK INDEX 审中-公开
标题翻译： INDEX对于重新平衡KAPITALISATIONGEWICHTETEN股指数
公开(公告)号：EP1080438A1
公开(公告)日：2001-03-07
申请号：EP99919955.7
申请日：1999-04-21
申请人： The Nasdaq Stock Market, Inc.
发明人： BLOOM, Steven, M. , CANADA, Peter, T. , GOUWS, Fanie , HOLMES, Douglas, T.
IPC分类号： G06F17/60
CPC分类号： G06Q40/04 , G06Q40/06
摘要： A computer system (10) including a processor (12) and a storage device storing a computer program product for rebalancing a capitalization weighted stock index are described. The computer program includes instructions for causing a computer to classify stocks in the index as Large Individual Stock if a stock has a capitalization weight above or equal to a first threshold or as a Small Individual Stock if the stock has a capitalization weight below the first threshold. The computer program causes the computer to scale down the Large Individual Stocks by an excess capitalization weight of the large stocks and distribute an aggregated excess capitalization weight of the Large Individual Stocks over the capitalization weights of the Small Individual Stocks. An iterative redistribution of excess capitalization over all Small Individual Stocks can be used to provided for less than proportional distribution of excess capitalization to very small capitalized stocks. The index rebalancing software (40) retains a capitalization weighting characteristic while permitting the index to conform to generally accepted accounting, economic and tax standards. Index rebalancing is accomplished while maintaining the original relative position of stocks and reducing the market impact of rebalancing on the Small Individual Stock group.

8. 发明公开

EP1008072A1 ON-LINE TRANSACTION PROCESSING SYSTEM FOR SECURITY TRADING 失效
标题翻译：联机事务处理系统为确保安全贸易程序
公开(公告)号：EP1008072A1
公开(公告)日：2000-06-14
申请号：EP97943544.3
申请日：1997-09-25
申请人： The Nasdaq Stock Market, Inc.
发明人： MARTYN, Peter , DENAT, Mark , PANG, Mei , FLYNN, Edward , WALDO, Michael , SWEET, Pamela, A. , COORDS, Deane , HALL, Diane, Geberth , SLOMOWITZ, Ira , FRANKE, Maureen
IPC分类号： G06F17/60 , G06F9/44
CPC分类号： G06Q40/04 , G06Q40/00 , G06Q40/06
摘要： A data processing system provides an interface with a securities exchange system over which securities are traded. The system allows a user to configure displays (3000) tailored for specific functions and to show displays (3050) for a particular security. The user may also view a display showing information about selected securities (3034), monitor trade activity, participate in a trade and report trades. In addition, a user may display information for a selected set of securities on a continuously updated basis (3035) and can easily select from a displayed list, a desired security and certain information and functions associated with the selected security.

9. 发明公开

EP1429270A1 Quote/order processing in electronic market system 审中-公开
标题翻译：熊贝冯·库尔斯在einem电子标记系统中的翻译
公开(公告)号：EP1429270A1
公开(公告)日：2004-06-16
申请号：EP03078756.8
申请日：2000-09-20
申请人： The Nasdaq Stock Market, Inc.
发明人： Serkin, Stuart , Martyn, Peter
IPC分类号： G06F17/60
CPC分类号： G06Q40/02 , G06Q40/04
摘要： A market system that includes an internal execution process is described. The system includes an order execution process that receives orders and matches orders against quotes posted in the system on a time priority basis and an order match-off process that checks if a market participant identification associated with a received order matched a market participant identification representing a quote in the system that is at the best bide or best offer price in the system.
摘要翻译：描述了包括内部执行过程的市场系统。该系统包括订单执行过程，其按时间优先级接收对系统中发布的报价的订单和订单，以及订单匹配过程，其检查与所接收的订单相关联的市场参与者标识是否与表示在系统中报价是系统中最好的或最优惠的价格。

10. 发明公开

EP1323083A2 LOCKED/CROSSED QUOTE HANDLING 审中-公开
标题翻译：治疗OVERLAPPING课程价格
公开(公告)号：EP1323083A2
公开(公告)日：2003-07-02
申请号：EP00966821.1
申请日：2000-09-22
申请人： The Nasdaq Stock Market, Inc.
发明人： SERKIN, Stuart , MALITZIS, John , KETCHUM, Richard, G. , MARTYN, Peter
IPC分类号： G06F17/60
CPC分类号： G06Q40/04 , G06Q40/00
摘要： A system for handling quotes in an electronic market is described. The system includes a lock/cross quote detector which determines whether a quote which is entered into the market system would lock or cross other quotes in the market system and a quote formatter that receives quotes that, if entered, would lock or cross the market and reformats the quotes as marketable liability orders. The system includes a routing process that routes reformatted quotes as marketable liability orders to a market participant whose quote was locked or crossed.

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