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    • 6. 发明授权
    • Web-based issuer support services
    • 基于Web的发行商支持服务
    • US08195542B2
    • 2012-06-05
    • US10219941
    • 2002-08-15
    • Celia F. KramerJoseph A. HawleyLisa RobertsPamela W. Skinner
    • Celia F. KramerJoseph A. HawleyLisa RobertsPamela W. Skinner
    • G06Q40/00
    • G06Q40/04G06Q40/00
    • A web-based process, residing on a server, provides issuer support services to a financial market. This web-based process includes an issue and issuer process for receiving, from a first data source, issue and issuer data concerning a specific issuer and one or more securities issued by the specific issuer. This issue and issuer data is stored on a storage device. A filings and financial process receives, from the first data source, filing and financial data concerning the specific issuer, which is also stored on the storage device. A compliance process reviews the issue and issuer data and the filing and financial data stored on the storage device to determine if the specific issuer is in compliance with the listing requirements for the market on which the one or more securities are traded. The compliance process generates compliance data indicative of the specific issuer's state of compliance. A trade process receives, from a second data source, trading data concerning the one or more securities issued by the specific issuer. This trading data is stored on the storage device.
    • 驻留在服务器上的基于Web的流程为金融市场提供发行人支持服务。 该基于网络的过程包括从第一数据源接收关于特定发行者的发行和发行人数据和由特定发行者发行的一个或多个证券的问题和发行者过程。 该问题和发行者数据存储在存储设备上。 申请和财务流程从第一个数据源收到关于存储在存储设备上的特定发行者的归档和财务数据。 合规程序审查存储在存储设备上的问题和发行者数据以及归档和财务数据,以确定特定发行人是否符合一个或多个证券交易市场的上市要求。 合规程序产生指示特定发行人合规状态的合规性数据。 交易过程从第二数据源接收关于由特定发行者发行的一个或多个证券的交易数据。 该交易数据存储在存储设备上。