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    • 76. 发明授权
    • Record retention and post-issuance compliance system and method for municipal bonds
    • 市政债券记录保留和发行后合规制度和方法
    • US08799117B2
    • 2014-08-05
    • US12265512
    • 2008-11-05
    • Paula StuartWilliam Mark ScottSharda Hebbar
    • Paula StuartWilliam Mark ScottSharda Hebbar
    • G07F19/00G06Q40/00
    • G06Q40/02G06Q40/00G06Q40/12G06Q50/18
    • Systems and methods to facilitate record retention and compliance requirements mandated by law, rules or regulations, company policy, or other guidance for maintaining records using electronic storage systems is herein described. The systems and methods may facilitate tracking and documenting of relevant municipal bond activities (e.g., use of proceeds of the bond, use of bond financed facilities, etc.) by bond issue; determining when compliance-related calculations need to be made over the life of the bond; making the necessary calculations in a timely manner; collecting, organizing and maintaining information to support the calculations; storing documents to support the information and calculations; determining if the calculated results indicate that the use of proceeds are in compliance; making filings; and generating alerts and/or notices and/or taking other actions relating to compliance requirements.
    • 这里描述了利用法律,规则或法规,公司政策或使用电子存储系统维护记录的其他指导来促进记录保留和合规性要求的系统和方法。 系统和方法可以通过债券发行方便跟踪和记录有关的市政债券活动(例如使用债券所得,使用债券融资设施等); 确定何时需要在债券期限内进行合规性计算; 及时进行必要的计算; 收集,组织和维护信息以支持计算; 存储文件以支持信息和计算; 确定计算结果是否表明使用收益符合规定; 提交文件; 并生成警报和/或通知和/或采取与合规性要求相关的其他操作。