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1. 发明申请

US20080195516A1 Method for creating and delivering customized compliance information 审中-公开
标题翻译：创建和提供定制化合规信息的方法
公开(公告)号：US20080195516A1
公开(公告)日：2008-08-14
申请号：US12011588
申请日：2008-01-28
申请人： Jeffrey B. Levering , Alex Magary , Craig LeClair , Larry Kunz , Anil Gupta , Brigitte Tuller , Garett Wiley
发明人： Jeffrey B. Levering , Alex Magary , Craig LeClair , Larry Kunz , Anil Gupta , Brigitte Tuller , Garett Wiley
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q30/00 , G06Q30/018 , G06Q40/00 , G06Q40/06 , G06Q40/12
摘要： A method and system to create personalized investor information packages, based on investor information, to be delivered to the investor to satisfy both compliance regulations and investor preferences. The method and system may deliver information in a paper or electronic format.
摘要翻译：一种基于投资者信息创建个性化投资者信息包的方法和系统，将交付给投资者以满足合规规定和投资者偏好。该方法和系统可以以纸或电子格式传送信息。

2. 发明授权

US08396785B2 Method for creating and delivering customized compliance information 有权
标题翻译：创建和提供定制化合规信息的方法
公开(公告)号：US08396785B2
公开(公告)日：2013-03-12
申请号：US13169692
申请日：2011-06-27
申请人： Jeffrey B. Levering , Alex Magary , Craig LeClair , Larry Kunz , Anil Gupta , Brigitte Tuller , Garett Wiley , Patricia Rosch
发明人： Jeffrey B. Levering , Alex Magary , Craig LeClair , Larry Kunz , Anil Gupta , Brigitte Tuller , Garett Wiley , Patricia Rosch
IPC分类号： G06Q20/10
CPC分类号： G06Q40/04 , G06Q30/00 , G06Q30/018 , G06Q40/00 , G06Q40/06 , G06Q40/12
摘要： A method and system to create personalized investor information packages, based on investor information, to be delivered to the investor to satisfy both compliance regulations and investor preferences. The method and system may deliver information in a paper or electronic format.
摘要翻译：一种基于投资者信息创建个性化投资者信息包的方法和系统，将交付给投资者以满足合规规定和投资者偏好。该方法和系统可以以纸或电子格式传送信息。

3. 发明授权

US07979333B2 Method for creating and delivering customized compliance information 有权
标题翻译：创建和提供定制化合规信息的方法
公开(公告)号：US07979333B2
公开(公告)日：2011-07-12
申请号：US12875002
申请日：2010-09-02
申请人： Jeffrey B. Levering , Alex Magary , Craig LeClair , Larry Kunz , Anil Gupta , Brigitte Tuller , Garett Wiley , Patricia Rosch
发明人： Jeffrey B. Levering , Alex Magary , Craig LeClair , Larry Kunz , Anil Gupta , Brigitte Tuller , Garett Wiley , Patricia Rosch
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q30/00 , G06Q30/018 , G06Q40/00 , G06Q40/06 , G06Q40/12
摘要： A method and system to create personalized investor information packages, based on investor information, to be delivered to the investor to satisfy both compliance regulations and investor preferences. The method and system may deliver information in a paper or electronic format.
摘要翻译：一种基于投资者信息创建个性化投资者信息包的方法和系统，将交付给投资者以满足合规规定和投资者偏好。该方法和系统可以以纸或电子格式传送信息。

4. 发明申请

US20110258141A1 METHOD FOR CREATING AND DELIVERING CUSTOMIZED COMPLIANCE INFORMATION 有权
公开(公告)号：US20110258141A1
公开(公告)日：2011-10-20
申请号：US13169692
申请日：2011-06-27
申请人： Jeffrey B. Levering , Alex Magary , Craig LeClair , Larry Kunz , Anil Gupta , Brigitte Tuller , Garett Wiley , Patricia Rosch
发明人： Jeffrey B. Levering , Alex Magary , Craig LeClair , Larry Kunz , Anil Gupta , Brigitte Tuller , Garett Wiley , Patricia Rosch
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q30/00 , G06Q30/018 , G06Q40/00 , G06Q40/06 , G06Q40/12
摘要： A method and system to create personalized investor information packages, based on investor information, to be delivered to the investor to satisfy both compliance regulations and investor preferences. The method and system may deliver information in a paper or electronic format.

5. 发明申请

US20100161508A1 PROCESSING SECURITIES-RELATED INFORMATION 有权
标题翻译：处理证券相关信息
公开(公告)号：US20100161508A1
公开(公告)日：2010-06-24
申请号：US12508987
申请日：2009-07-24
申请人： Russell E. Planitzer , Mark Asdoorian , David Brown , Ying Chen , Leonard Driscoll , Jeffrey B. Levering , Alex Magary
发明人： Russell E. Planitzer , Mark Asdoorian , David Brown , Ying Chen , Leonard Driscoll , Jeffrey B. Levering , Alex Magary
IPC分类号： G06Q40/00
CPC分类号： G06Q40/06 , G06Q30/018 , G06Q30/02
摘要： Embodiments of the invention provide techniques for improving clarity of disclosure materials provided to investors, by enabling securities issuers, intermediaries and/or other entities to create and disseminate clear and concise summary-level information on individual securities to investors to enable informed investment decisions. The information may include a summary version of the full statutory prospectus (a “summary prospectus”). A summary prospectus may include a concise, “plain English” synopsis and/or representation of certain information contained in the full statutory prospectus, such as a security's investment objectives and strategies, costs, risks and/or other information.
摘要翻译：本发明的实施例提供了用于提高向投资者提供的披露材料的清晰度的技术，使得证券发行人，中间商和/或其他实体能够向投资者创建和传播关于个人证券的简明扼要的概要级信息，从而使投资者能够做出明智的投资决策。该信息可能包括完整的法定招股说明书的简要版本（“简要招股说明书”）。简要招股说明书可能包括简明扼要的“简明英文”概要和/或完整法定招股说明书中所载某些信息的表示，例如证券的投资目标和策略，成本，风险和/或其他信息。

6. 发明授权

US08521632B2 Processing securities-related information 有权
标题翻译：处理与证券有关的信息
公开(公告)号：US08521632B2
公开(公告)日：2013-08-27
申请号：US12508987
申请日：2009-07-24
申请人： Russell E. Planitzer , Mark Asdoorian , David Brown , Ying Chen , Leonard Driscoll , Jeffrey B. Levering , Alex Magary
发明人： Russell E. Planitzer , Mark Asdoorian , David Brown , Ying Chen , Leonard Driscoll , Jeffrey B. Levering , Alex Magary
IPC分类号： G06Q40/00
CPC分类号： G06Q40/06 , G06Q30/018 , G06Q30/02
摘要： Embodiments of the invention provide techniques for improving clarity of disclosure materials provided to investors, by enabling securities issuers, intermediaries and/or other entities to create and disseminate clear and concise summary-level information on individual securities to investors to enable informed investment decisions. The information may include a summary version of the full statutory prospectus (a “summary prospectus”). A summary prospectus may include a concise, “plain English” synopsis and/or representation of certain information contained in the full statutory prospectus, such as a security's investment objectives and strategies, costs, risks and/or other information.
摘要翻译：本发明的实施例提供了用于提高向投资者提供的披露材料的清晰度的技术，使得证券发行人，中间商和/或其他实体能够向投资者创建和传播关于个人证券的简明扼要的概要级信息，从而使投资者能够做出明智的投资决策。该信息可能包括完整的法定招股说明书的简要版本（“简要招股说明书”）。简要招股说明书可能包括简明扼要的“简明英文”概要和/或完整法定招股说明书中所载某些信息的表示，例如证券的投资目标和策略，成本，风险和/或其他信息。

7. 发明申请

US20110060697A1 METHOD FOR CREATING AND DELIVERING CUSTOMIZED COMPLIANCE INFORMATION 有权
标题翻译：创建和交付自定义合规信息的方法
公开(公告)号：US20110060697A1
公开(公告)日：2011-03-10
申请号：US12875002
申请日：2010-09-02
申请人： Jeffrey B. Levering , Alex Magary , Craig LeClair , Larry Kunz , Anil Gupta , Brigitte Tuller , Garett Wiley , Patricia Rosch
发明人： Jeffrey B. Levering , Alex Magary , Craig LeClair , Larry Kunz , Anil Gupta , Brigitte Tuller , Garett Wiley , Patricia Rosch
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q30/00 , G06Q30/018 , G06Q40/00 , G06Q40/06 , G06Q40/12
摘要： A method and system to create personalized investor information packages, based on investor information, to be delivered to the investor to satisfy both compliance regulations and investor preferences. The method and system may deliver information in a paper or electronic format.
摘要翻译：一种基于投资者信息创建个性化投资者信息包的方法和系统，将交付给投资者以满足合规规定和投资者偏好。该方法和系统可以以纸或电子格式传送信息。

8. 发明申请

US20090125449A1 Systems and methods for determining investment product suitability 审中-公开
标题翻译：确定投资产品适用性的制度和方法
公开(公告)号：US20090125449A1
公开(公告)日：2009-05-14
申请号：US12148983
申请日：2008-04-24
申请人： Jeffrey B. Levering , Jonas Burton , Stephen Powell
发明人： Jeffrey B. Levering , Jonas Burton , Stephen Powell
IPC分类号： G06Q40/00
CPC分类号： G06Q40/06
摘要： Techniques and systems are disclosed for determining the suitability of one or more investment products for an investor. One embodiment provides a method which includes receiving (e.g., via a graphical user interface, or GUI) information defining one or more characteristics of the investor, receiving (e.g., retrieving from an electronic file storage) information defining, for each of the investment products, at least one policy which pertains to investors in the product in a manner based at least in part on the characteristic(s) of the investor, processing the information to determine whether and/or how one or more policies apply to the investor, and presenting to a user (e.g., via the GUI) an indication of whether and/or how the policy(ies) apply(ies) to the investor, thus enabling the user to evaluate the suitability of the investment product(s) for the investor.
摘要翻译：披露技术和系统来确定投资者的一种或多种投资产品的适用性。一个实施例提供了一种方法，其包括接收（例如，经由图形用户界面或GUI）定义投资者的一个或多个特征的信息，从每个投资产品接收（例如，从电子文件存储检索）信息至少一种至少部分基于投资者特征的方式处理产品中的投资者的政策，处理信息以确定是否和/或如何对投资者适用一种或多种政策;以及向用户呈现（例如，通过GUI）指示是否和/或如何将策略应用于投资者，从而使用户能够评估投资产品对投资者的适用性。

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