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61. 发明授权

US08024259B1 Method and apparatus for agreement netting 有权
标题翻译：协议网的方法和装置
公开(公告)号：US08024259B1
公开(公告)日：2011-09-20
申请号：US12831749
申请日：2010-07-07
申请人： Scott Wilce , Patrick E Harris
发明人： Scott Wilce , Patrick E Harris
IPC分类号： G06Q40/00
CPC分类号： G06Q40/02 , G06Q20/10 , G06Q40/04
摘要： A system, method, apparatus, computer program code and means for performing a netting analysis of an agreement is provided. Pursuant to some embodiments, the netting analysis is performed by receiving agreement information, the agreement information identifying a party and a counterparty. The agreement information is compared with a netting rule. A netting determination for the agreement is generated based at least in part on a result of the comparing.
摘要翻译：提供了一种用于执行协议的网络分析的系统，方法，装置，计算机程序代码和装置。根据一些实施例，通过接收协议信息，识别一方和协议方的协议信息来执行网络分析。将协议信息与净额规则进行比较。至少部分地基于比较的结果来生成协议的净额确定。

62. 发明授权

US07996290B2 Financial transaction modeling system 有权
标题翻译：金融交易建模系统
公开(公告)号：US07996290B2
公开(公告)日：2011-08-09
申请号：US11075229
申请日：2005-03-08
申请人： Jay S. Dweck , Pantelis G. Tsoucas
发明人： Jay S. Dweck , Pantelis G. Tsoucas
IPC分类号： G06Q40/00
CPC分类号： G06Q20/405 , G06Q40/00
摘要： Systems and methods are provided to model financial transactions. According to some embodiments, simple events, branch events, composite events, and/or contingent events associated with a financial transaction are defined. The events may then be used to automatically manage the transaction during the transaction's lifecycle. In one embodiment, at least one simple event associated with an asset transfer is defined, including a transfer amount and a transfer date. At least one branch event associated with a set of simple events is also defined, including a branch date and a branch selector. In addition, at least one composite event associated with a plurality of the simple events or branch events is defined. The transaction may then be automatically managed during the transaction's lifecycle based at least in part on the simple events, the branch events, and the composite events.
摘要翻译：提供系统和方法来模拟金融交易。根据一些实施例，定义与金融交易相关联的简单事件，分支事件，复合事件和/或或有事件。然后，事件可用于在事务的生命周期内自动管理事务。在一个实施例中，定义与资产转移相关联的至少一个简单事件，包括转移金额和转移日期。还定义了与一组简单事件相关联的至少一个分支事件，包括分支日期和分支选择器。此外，定义与多个简单事件或分支事件相关联的至少一个复合事件。然后可以至少部分地基于简单事件，分支事件和复合事件，在事务的生命周期期间自动地管理事务。

63. 发明授权

US07974911B2 Model-based selection of trade execution strategies 有权
标题翻译：基于模型的贸易执行策略选择
公开(公告)号：US07974911B2
公开(公告)日：2011-07-05
申请号：US11290973
申请日：2005-11-30
申请人： Georghios A. Sofianos
发明人： Georghios A. Sofianos
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q40/00 , G06Q40/06
摘要： Effective selection of trade execution strategies using a multi-dimensional model is disclosed. A relationship exists between order difficulty and execution strategy. Execution strategy depends on order difficulty, and order difficulty has many dimensions. The multi-dimensional model classifies trade orders according to the dimensions, and then maps these classified trade orders into suitable execution strategies. For each trade order, one or more appropriate strategies are automatically selected and presented to the trader to assist the trader in making an informed and timely decision.
摘要翻译：公开了使用多维模型有效选择贸易执行策略。订单难度与执行策略之间存在关系。执行策略取决于订单难度，订单难度有很多维度。多维模型根据维度对交易订单进行分类，然后将这些分类交易订单映射为合适的执行策略。对于每个交易订单，一个或多个适当的策略被自动选择并提交给交易者，以协助交易者做出明智和及时的决定。

64. 发明授权

US07958027B2 Systems and methods for managing risk associated with a geo-political area 有权
标题翻译：用于管理与地理政治领域相关风险的系统和方法
公开(公告)号：US07958027B2
公开(公告)日：2011-06-07
申请号：US10459655
申请日：2003-06-11
申请人： David Lawrence
发明人： David Lawrence
IPC分类号： G06Q40/00
CPC分类号： G06Q30/02 , G06Q20/10 , G06Q40/00 , G06Q40/025 , G06Q40/04 , G06Q40/06 , G06Q40/08 , G06Q40/10
摘要： Methods and systems are presented for managing Risks, including regulatory and reputational risk. The methods can be implemented in a computer and include receiving data descriptive of informational artifacts with content related to at least one of reputational and regulatory risk into the computer system. The computer system can have one or more geo-political areas defined within it. The computer system can also receive data descriptive of details of a financial transaction, wherein the details include an indication of at least one geopolitical area associated with the financial transaction. At least one informational artifact related to at least one of reputational and regulatory risk can be associated with the at least one geopolitical area associated with the financial transaction and the computer system can generate a report comprising data descriptive of the informational artifacts associated with the at least one geopolitical area associated with the financial transaction.
摘要翻译：提出了管理风险的方法和系统，包括监管和声誉风险。这些方法可以在计算机中实现，并且包括将与信息和监管风险中的至少一个有关的内容的信息文物描述到计算机系统中。计算机系统可以在其中定义一个或多个地理政治领域。计算机系统还可以接收描述金融交易的细节的数据，其中细节包括与金融交易相关联的至少一个地缘政治区域的指示。与声誉和管理风险中的至少一个有关的至少一个信息工件可以与与金融交易相关联的至少一个地缘政治区域相关联，并且计算机系统可以生成包括描述与至少与该金融交易相关联的信息工件的数据的报告与金融交易相关的一个地缘政治区域。

65. 发明授权

US07958025B2 Method and system for processing raw financial data streams to produce and distribute structured and validated product offering objects 有权
标题翻译：用于处理原始财务数据流以生成和分发结构化和验证的产品提供对象的方法和系统
公开(公告)号：US07958025B2
公开(公告)日：2011-06-07
申请号：US09871427
申请日：2001-05-31
申请人： Andrew J. R. Smith , Deane Thomas , Randy Cowan
发明人： Andrew J. R. Smith , Deane Thomas , Randy Cowan
IPC分类号： G06Q40/00
CPC分类号： G06F17/30861 , G06Q40/00 , G06Q40/04 , G06Q40/06 , H04L12/1859 , H04L12/1895 , H04L41/0604 , H04L67/26
摘要： A real time information manager which processes raw data from data providers, such as feeds of current information about financial product offerings, is provided. Raw data objects received from various data providers are analyzed, formatted, and a current version of each unique data object is stored in an object storage pool. Information about the state of each objects is transmitted on a particular output data channel in accordance with the type of object. A subscriber process can access one or more of the data channels and utilize the broadcast data. In one configuration, one or more client managers are provided which subscribe to particular data channels and serve as an intermediary between the real time information manager and sets of clients.
摘要翻译：提供了处理来自数据提供者的原始数据的实时信息管理器，例如关于金融产品的当前信息的馈送。分析，格式化从各种数据提供者接收的原始数据对象，并将每个唯一数据对象的当前版本存储在对象存储池中。根据对象的类型，在特定的输出数据信道上发送关于每个对象的状态的信息。用户进程可以访问一个或多个数据信道并利用广播数据。在一个配置中，提供了一个或多个客户端管理器，其订阅特定的数据信道并且用作实时信息管理器和客户机组之间的中介。

66. 发明授权

US07904361B2 Risk management customer registry 有权
标题翻译：风险管理客户注册表
公开(公告)号：US07904361B2
公开(公告)日：2011-03-08
申请号：US10463918
申请日：2003-06-18
申请人： David Lawrence
发明人： David Lawrence
IPC分类号： G06Q40/00
CPC分类号： G06Q30/02 , G06Q40/00 , G06Q40/025 , G06Q40/04 , G06Q40/06 , G06Q40/08 , G06Q40/10
摘要： Methods and systems are provided for managing Risk associated with a financial account initiated by an intermediary institution. Risk related information descriptive of a customer of the intermediary can be registered with a neutral entity and a certification can be generated that is associated with the customer and includes the registered information. An instruction can be received to convey the certification associated with the customer to a Primary Financial Institution after which the certification can be conveyed to the Primary Financial Institution.
摘要翻译：提供了方法和系统，用于管理与中介机构发起的财务帐户相关的风险。描述中间人的客户的风险相关信息可以向中立实体注册，并且可以生成与客户相关联的认证并且包括登记信息。可以收到一条指示，将与客户相关的认证传达给主要金融机构，之后可将证明转交给主要金融机构。

67. 发明授权

US07778914B1 Method and apparatus for agreement netting 有权
标题翻译：协议网的方法和装置
公开(公告)号：US07778914B1
公开(公告)日：2010-08-17
申请号：US10045964
申请日：2002-01-14
申请人： Scott Wilce , Patrick E. Harris
发明人： Scott Wilce , Patrick E. Harris
IPC分类号： G06Q40/00
CPC分类号： G06Q40/02 , G06Q20/10 , G06Q40/04
摘要： A system, method, apparatus, computer program code and means for performing a netting analysis of an agreement is provided. Pursuant to some embodiments, the netting analysis is performed by receiving agreement information, the agreement information identifying a party and a counterparty. The agreement information is compared with a netting rule. A netting determination for the agreement is generated based at least in part on a result of the comparing.
摘要翻译：提供了一种用于执行协议的网络分析的系统，方法，装置，计算机程序代码和装置。根据一些实施例，通过接收协议信息，识别一方和协议方的协议信息来执行网络分析。将协议信息与净额规则进行比较。至少部分地基于比较的结果来生成协议的净额确定。

68. 发明授权

US07747488B2 Method and apparatus for conducting a transaction 有权
标题翻译：进行交易的方法和装置
公开(公告)号：US07747488B2
公开(公告)日：2010-06-29
申请号：US10766315
申请日：2004-01-27
申请人： Emerson P. Jones , Karen Schoen
发明人： Emerson P. Jones , Karen Schoen
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q40/00
摘要： Systems, methods, apparatus, computer program code and means for conducting a transaction are provided. In some embodiments, a unit is issued to a holder including a forward contract and a note, in which the note specifies an initial capped remarketing, at least a first subsequent capped remarketing, and an uncapped remarketing, the uncapped remarketing performed only if each of the capped remarketings fail.
摘要翻译：提供了系统，方法，设备，计算机程序代码和进行交易的手段。在一些实施例中，单元被发行到持有者，其包括远期合约和票据，其中该票据指定初始上限再营销，至少第一次后续上限再营销和未限制再营销，仅当每个上限表决失败。

69. 发明申请

US20100138354A1 Construction Industry Risk Management Clearinghouse 有权
标题翻译：建筑业风险管理信息交换机构
公开(公告)号：US20100138354A1
公开(公告)日：2010-06-03
申请号：US12464083
申请日：2009-05-11
申请人： David Lawrence
发明人： David Lawrence
IPC分类号： G06Q10/00 , G06Q50/00
CPC分类号： G06Q40/08 , G06Q30/018 , G06Q30/02
摘要： Systems, methods, apparatus, computer program code and means for gathering, organizing and presenting on a real time basis information pertinent to Risks associated with subjects related to the Construction Industry. Risks associated with the Construction Industry can be managed by gathering data relevant to the Construction Industry from multiple sources and aggregating the gathered data according to one or more Risk variables. An inquiry relating to a Risk subject can be received and portions of the aggregated data can be associated with the Risk subject. The associated portions of the aggregated data can be transmitted to an entity placing the inquiry or other designated destination.
摘要翻译：系统，方法，设备，计算机程序代码和用于实时收集，组织和呈现与建筑业有关的风险相关的信息的信息的手段。可以通过从多个来源收集与建筑业相关的数据，并根据一个或多个风险变量汇总收集的数据来管理与建筑行业相关的风险。可以接收与风险主题相关的查询，并且可以将部分汇总数据与风险主题相关联。聚合数据的相关部分可以被发送到放置查询或其他指定目的地的实体。

70. 发明授权

US07729968B1 Method for obtaining and/or providing a liquidity commitment 有权
标题翻译：获得和/或提供流动性承诺的方法
公开(公告)号：US07729968B1
公开(公告)日：2010-06-01
申请号：US10112640
申请日：2002-03-29
申请人： George H. Butcher, III
发明人： George H. Butcher, III
IPC分类号： G06Q40/00
CPC分类号： G06Q40/06 , G06Q40/00 , G06Q40/04 , G06Q40/10
摘要： One embodiment of the present invention relates to a method for structuring a debt service reserve fund, comprising: investing at least part of the debt service reserve fund in a tax-exempt investment; and obtaining a liquidity commitment on at least part of the tax-exempt investment. Another embodiment of the present invention relates to a method for providing a liquidity commitment on a debt service reserve fund, comprising: obligating a debt issuer associated with the debt service reserve fund to invest at least part of the debt service reserve fund in a tax-exempt investment; and furnishing a liquidity commitment to the debt issuer on at least part of the tax-exempt investment.
摘要翻译：本发明的一个实施例涉及一种构建偿债储备基金的方法，包括：将至少部分偿债储备基金投资于免税投资; 并至少部分免税投资获得流动性承诺。本发明的另一个实施例涉及一种为债务偿还准备金提供流动性承诺的方法，包括：责任与偿债储备金有关的债务发行人至少将部分债务偿还准备金投资于纳税担保，豁免投资; 并向债务发行人提供至少部分免税投资的流动性承诺。

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