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1. 发明授权

US08775298B2 Methods and systems for directing and executing certified trading interests 有权
标题翻译：指导和执行认证交易利益的方法和系统
公开(公告)号：US08775298B2
公开(公告)日：2014-07-08
申请号：US13610597
申请日：2012-09-11
申请人： Henri Waelbroeck , Fred J Federspiel , James J Angel
发明人： Henri Waelbroeck , Fred J Federspiel , James J Angel
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q30/08 , G06Q40/00 , G06Q40/025
摘要： One or more aspects comprise: (a) receiving confidential information that comprises data regarding first and second market participants; (b) receiving order and targeting parameters from said first participant; (c) receiving confidential trading interest information from said second participant; (d) identifying said second participant as a participant likely to take a contra side of said order; (e) routing said order to said second participant without revealing said first participant's identity or other confidential information regarding said first market participant, and wherein no information regarding said second participant or said confidential trading interest information received from said second participant is transferred to said first participant; and (f) producing a targeted dissemination list of market participants based on said confidential information and said order and targeting parameters, and wherein identifying a second participant that is most likely to take a contra side of said order is based on said dissemination list.
摘要翻译：一个或多个方面包括：（a）接收包含关于第一和第二市场参与者的数据的机密信息; （b）从所述第一参与者接收订单和目标参数; （c）从所述第二参与者接收机密交易权益信息; （d）将所述第二参与者识别为可能违反该命令的参与者; （e）将所述订单发送给所述第二参与者而不揭示所述第一参与者的身份或关于所述第一市场参与者的其他机密信息，并且其中没有关于从所述第二参与者接收到的所述第二参与者或所述机密交易利益信息的信息被转移到所述第一参与者参与者以及（f）基于所述机密信息和所述订单和定位参数来制作市场参与者的目标传播清单，并且其中识别最可能采取所述订单的对方的第二参与者是基于所述传播列表。

2. 发明授权

US08635144B2 Confidential block trading system and method 有权
标题翻译：机密块交易系统和方法
公开(公告)号：US08635144B2
公开(公告)日：2014-01-21
申请号：US12692147
申请日：2010-01-22
申请人： Henri Waelbroeck , Fred J. Federspiel , John Lopez
发明人： Henri Waelbroeck , Fred J. Federspiel , John Lopez
IPC分类号： G06Q40/00
CPC分类号： G06Q40/00 , G06Q40/04 , G06Q40/06
摘要： Methods and systems for facilitating trading of securities, preferred methods comprising receiving a first buy or sell order from a first user; calculating a block price range; determining that said first order is reasonably priced; transmitting to a second user a notification that a reasonably priced order is present, but without notifying said second user of the side; receiving a second order from said second user, wherein said second order is a contra to said first order and nearly matches but does not cross said first order; transmitting a contra order notification to said second user after said second order is received, said contra order notification indicating that a nearly matching contra order is active; receiving a third order from said second user, said third order being a contra to said first order and crossing said first order; and executing a trade comprising said first order and said third order.
摘要翻译：用于促进证券交易的方法和系统，优选方法包括从第一用户接收第一买/卖订单; 计算块价格范围; 确定所述第一订单的价格是合理的; 向第二用户传送价格合理的订单存在但不通知所述第二用户的通知; 从所述第二用户接收第二顺序，其中所述第二顺序与所述第一顺序相反，并且几乎匹配但不跨越所述第一顺序; 在接收到所述第二次订单之后，向所述第二用户发送拒绝订单通知，所述反向订单通知指示几乎匹配的反对订单是活动的; 从所述第二用户接收第三命令，所述第三命令与所述第一命令相反，并且越过所述第一命令; 以及执行包括所述第一顺序和所述第三顺序的交易。

3. 发明授权

US08412620B1 Methods and systems related to trading engines 有权
标题翻译：与交易引擎相关的方法和系统
公开(公告)号：US08412620B1
公开(公告)日：2013-04-02
申请号：US13421269
申请日：2012-03-15
申请人： Henri Waelbroeck , Fred J. Federspiel , Stephen Marchini
发明人： Henri Waelbroeck , Fred J. Federspiel , Stephen Marchini
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q40/025
摘要： At least one exemplary aspect comprises a method comprising: (a) receiving electronic data describing a trading order; (b) receiving data describing a selection of one or more first trading algorithms from available stored algorithms for execution of the trading order; (c) commencing execution of the trading order via the one or more first trading algorithms; (d) evaluating quality of execution, during the execution, of the trading order via the one or more first trading algorithms; (e) comparing the evaluated quality of execution to a prediction of future performance of execution of the trading order by the one or more first trading algorithms; and (f) if the evaluated quality of execution compares unfavorably to the prediction of future performance, switching the execution of the trading order to one or more second trading algorithms. Other exemplary aspects comprise related computer systems and software.
摘要翻译：至少一个示例性方面包括一种方法，包括：（a）接收描述交易订单的电子数据; （b）从用于执行交易订单的可用存储算法接收描述一个或多个第一交易算法的选择的数据; （c）通过一个或多个第一交易算法开始执行交易订单; （d）在执行期间通过一个或多个第一交易算法评估交易订单的执行质量; （e）将所述评估的执行质量与由所述一个或多个第一交易算法执行所述交易订单的未来绩效的预测进行比较; 和（f）如果所评估的执行质量与预测未来绩效不利地相比较，则将交易订单的执行切换到一个或多个第二交易算法。其他示例性方面包括相关的计算机系统和软件。

4. 发明授权

US08108299B1 Methods and systems related to trading engines 有权
标题翻译：与交易引擎相关的方法和系统
公开(公告)号：US08108299B1
公开(公告)日：2012-01-31
申请号：US13071992
申请日：2011-03-25
申请人： Henri Waelbroeck , Fred J. Federspiel , Stephen Marchini
发明人： Henri Waelbroeck , Fred J. Federspiel , Stephen Marchini
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q40/025
摘要： An aspect comprises: (a) receiving data describing a trading order; (b) checking the data to determine whether a first set of conditions is satisfied, wherein the first set of conditions is associated with a first set of trading algorithms, and determining that the first set of pre-defined conditions is satisfied; (c) selecting first trading algorithms from the first set of trading algorithms, for execution of the trading order; (d) commencing execution of the trading order; (e) checking, during execution of the trading order, status of the trading order and the first set of conditions; (f) if the first set of conditions is no longer satisfied, checking whether a second set of conditions is satisfied; and (g) if the second set of conditions is satisfied, switching execution of the trading order to second trading algorithms selected from a second set of trading algorithms associated with the second set of conditions.
摘要翻译：一方面包括：（a）接收描述交易订单的数据; （b）检查数据以确定是否满足第一组条件，其中第一组条件与第一组交易算法相关联，并且确定满足第一组预定义条件; （c）从第一组交易算法中选择第一交易算法，以执行交易指令; （d）开始执行交易订单; （e）在执行交易订单期间检查交易订单的状态和第一组条件; （f）如果第一组条件不再满足，则检查是否满足第二组条件; 和（g）如果满足第二组条件，则将交易订单的执行切换到从与第二组条件相关联的第二组交易算法中选择的第二交易算法。

5. 发明申请

US20120011051A1 Methods And Systems For Directing And Executing Certified Trading Interests 有权
标题翻译：指导和执行认证交易利益的方法和系统
公开(公告)号：US20120011051A1
公开(公告)日：2012-01-12
申请号：US13235898
申请日：2011-09-19
申请人： Henri Waelbroeck , Fred J. Federspiel , James J. Angel
发明人： Henri Waelbroeck , Fred J. Federspiel , James J. Angel
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q30/08 , G06Q40/00 , G06Q40/025
摘要： One or more aspects comprise: (a) receiving confidential information that comprises data regarding first and second market participants; (b) receiving order and targeting parameters from said first participant; (c) receiving confidential trading interest information from said second participant; (d) identifying said second participant as a participant likely to take a contra side of said order; (e) routing said order to said second participant without revealing said first participant's identity or other confidential information regarding said first market participant, and wherein no information regarding said second participant or said confidential trading interest information received from said second participant is transferred to said first participant; and (f) producing a targeted dissemination list of market participants based on said confidential information and said order and targeting parameters, and wherein identifying a second participant that is most likely to take a contra side of said order is based on said dissemination list.
摘要翻译：一个或多个方面包括：（a）接收包含关于第一和第二市场参与者的数据的机密信息; （b）从所述第一参与者接收订单和目标参数; （c）从所述第二参与者接收机密交易权益信息; （d）将所述第二参与者识别为可能违反该命令的参与者; （e）将所述订单发送给所述第二参与者而不揭示所述第一参与者的身份或关于所述第一市场参与者的其他机密信息，并且其中没有关于从所述第二参与者接收到的所述第二参与者或所述机密交易利益信息的信息被转移到所述第一参与者参与者以及（f）基于所述机密信息和所述订单和定位参数来制作市场参与者的目标传播清单，并且其中识别最可能采取所述订单的对方的第二参与者是基于所述传播列表。

6. 发明授权

US07908206B2 Method for directing and executing certified trading interests 有权
公开(公告)号：US07908206B2
公开(公告)日：2011-03-15
申请号：US12219164
申请日：2008-07-17
申请人： Henri Waelbroeck , Fred J. Federspiel , James J. Angel
发明人： Henri Waelbroeck , Fred J. Federspiel , James J. Angel
IPC分类号： G06Q40/00
CPC分类号： G06Q30/08 , G06Q30/0601 , G06Q30/0633 , G06Q40/00 , G06Q40/025 , G06Q40/04 , G06Q40/06
摘要： Preferred embodiments of the subject invention comprise: (a) electronically receiving securities order-related data regarding a set of securities market participants; (b) electronically storing the received order-related data regarding the set of securities market participants; (c) electronically receiving a securities order-related query (or order parameters) from a first securities market participant; (d) based on the order-related query (or order parameters) received from the first securities market participant and on the securities order-related data regarding the set of securities market participants, computing a dissemination list of securities market participants based on ranking likely contras by probability of execution; and (e) transmitting that dissemination list to an entity who has been granted the privilege of receiving such lists in exchange for being contractually bound to respect confidentiality of the dissemination list and to use the list only for the purpose of sending securities-related information to members of the list.

7. 发明授权

US07882015B2 Block trading system and method providing price improvement to aggressive orders 有权
标题翻译：阻止交易系统和方法提高价格提升到积极的订单
公开(公告)号：US07882015B2
公开(公告)日：2011-02-01
申请号：US12181028
申请日：2008-07-28
申请人： Henri Waelbroeck , Fred J. Federspiel , Andrew Roper , Howard S. Engelhart , Sean Kirkpatrick
发明人： Henri Waelbroeck , Fred J. Federspiel , Andrew Roper , Howard S. Engelhart , Sean Kirkpatrick
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q10/0637 , G06Q30/0239 , G06Q30/0601 , G06Q40/025 , G06Q50/188
摘要： In a trading system for trading securities or the like, Contra Targeting is performed by enabling users to expose the liquidity within their order management system without divulging order management system information to a central trading server. Also, virtual orders can be placed and executed which give users price-time priority on an order without reserving the shares until the moment of execution.
摘要翻译：在交易证券等的交易系统中，通过使用户能够在其订单管理系统中公开流动性，而不向中央交易服务器泄露订单管理系统信息来执行对冲定向。此外，可以放置和执行虚拟订单，这样可以在订单上为用户提供价格优先级，而无需预留股份直到执行时刻。

8. 发明授权

US07814000B2 Method for directing and executing certified trading interests 有权
标题翻译：指导和执行认证交易权益的方法
公开(公告)号：US07814000B2
公开(公告)日：2010-10-12
申请号：US12219156
申请日：2008-07-17
申请人： Henri Waelbroeck , Fred J. Federspiel , James J. Angel
发明人： Henri Waelbroeck , Fred J. Federspiel , James J. Angel
IPC分类号： G06Q40/00
CPC分类号： G06Q30/08 , G06Q30/0601 , G06Q30/0633 , G06Q40/00 , G06Q40/025 , G06Q40/04 , G06Q40/06
摘要： Preferred embodiments of the subject invention comprise: (a) electronically receiving securities order-related data regarding a set of securities market participants; (b) electronically storing the received order-related data regarding the set of securities market participants; (c) electronically receiving a securities order-related query (or order parameters) from a first securities market participant; (d) based on the order-related query (or order parameters) received from the first securities market participant and on the securities order-related data regarding the set of securities market participants, computing a dissemination list of securities market participants based on ranking likely contras by probability of execution; and (e) transmitting that dissemination list to an entity who has been granted the privilege of receiving such lists in exchange for being contractually bound to respect confidentiality of the dissemination list and to use the list only for the purpose of sending securities-related information to members of the list.
摘要翻译：本发明的优选实施例包括：（a）电子地接收关于一组证券市场参与者的证券订单相关数据; （b）以电子方式存储有关该组证券市场参与者的收货订单相关数据; （c）从第一证券市场参与者电子接收证券订单相关查询（或订单参数）; （d）基于从第一证券市场参与者收到的与订单相关的查询（或订单参数）以及关于该证券市场参与者的证券订单相关数据，基于排名可能计算证券市场参与者的传播清单违反执行概率; 和（e）将传播名单转交给已获得接收此类名单的特权的实体，以换取合约约束尊重传播名单的保密性，并将该清单仅用于发送证券相关信息名单成员。

9. 发明授权

US07778919B2 Method for managing distributed trading data 有权
标题翻译：管理分布式交易数据的方法
公开(公告)号：US07778919B2
公开(公告)日：2010-08-17
申请号：US12463886
申请日：2009-05-11
申请人： Henri Waelbroeck , Fred J. Federspiel , John E. Lopez
发明人： Henri Waelbroeck , Fred J. Federspiel , John E. Lopez
IPC分类号： G06Q40/00
CPC分类号： G06Q40/06 , G06Q30/0251 , G06Q30/0255 , G06Q40/025 , G06Q40/04 , G06Q50/188
摘要： In a preferred embodiment, the invention comprises a computer-implemented system and method of managing market information across a network of data providers, comprising the steps of: (a) electronically receiving first data including confidential information regarding market participants in a first system that protects said first data behind a firewall; (b) electronically receiving second data including confidential information regarding market participants in a second system that protects said second data behind a firewall; (c) electronically receiving an order and targeting parameters from a first market participant; (d) electronically issuing an advertisement request message to said first system and said second system, said advertisement message comprising display attributes of said order and comprising said targeting parameters; (e) electronically prompting said first system and said second system via the advertisement request message to each send a coordination request message to a Coordination Hub, said coordination request message comprising information deduced from said confidential information regarding market participants in said first and second systems, wherein the selection of the information that is sent to the Coordination Hub is based at least in part on said first market participant's targeting parameters; (f) electronically prompting based on the coordination request message said Coordination Hub to issue permissions to advertise the order to selected market participants, wherein market participants are selected based, at least in part, on said received information regarding market participants; and (g) electronically prompting based on the permission to advertise the order said first system and said second system to route information about said order from first participant to said selected market participants.
摘要翻译：在优选实施例中，本发明包括一种计算机实现的系统和方法，用于管理数据提供者网络上的市场信息，包括以下步骤：（a）电子地接收第一数据，包括关于保护的第一系统中的市场参与者的机密信息说防火墙后面的第一个数据; （b）电子地接收第二数据，包括关于在防火墙后保护所述第二数据的第二系统中的市场参与者的机密信息; （c）以电子方式接收来自第一市场参与者的订单和定位参数; （d）向所述第一系统和所述第二系统电子地发出广告请求消息，所述广告消息包括所述订单的显示属性并包括所述目标参数; （e）经由所述广告请求消息电子地提示所述第一系统和所述第二系统，以向协调中心发送协调请求消息，所述协调请求消息包括从所述机密信息中推导出的关于所述第一和第二系统中的市场参与者的信息，其中所述发送到所述协调中心的信息的选择至少部分地基于所述第一市场参与者的目标参数; （f）基于所述协调请求消息，协调中心发布授权向所选择的市场参与者发布订单的电子提示，其中市场参与者至少部分地基于所述接收到的关于市场参与者的信息进行选择; 以及（g）基于所述第一系统和所述第二系统向所述选定市场参与者发布关于所述订单的信息的许可通知所述订单的电子提示。

10. 发明申请

US20100121759A1 Confidential Block Trading System And Method 有权
标题翻译：机密交易系统和方法
公开(公告)号：US20100121759A1
公开(公告)日：2010-05-13
申请号：US12692147
申请日：2010-01-22
申请人： Henri Waelbroeck , Fred J. Federspiel , John E. Lopez
发明人： Henri Waelbroeck , Fred J. Federspiel , John E. Lopez
IPC分类号： G06Q40/00
CPC分类号： G06Q40/00 , G06Q40/04 , G06Q40/06
摘要： Methods and systems for facilitating trading of securities, preferred methods comprising receiving a first buy or sell order from a first user; calculating a block price range; determining that said first order is reasonably priced; transmitting to a second user a notification that a reasonably priced order is present, but without notifying said second user of the side; receiving a second order from said second user, wherein said second order is a contra to said first order and nearly matches but does not cross said first order; transmitting a contra order notification to said second user after said second order is received, said contra order notification indicating that a nearly matching contra order is active; receiving a third order from said second user, said third order being a contra to said first order and crossing said first order; and executing a trade comprising said first order and said third order.
摘要翻译：用于促进证券交易的方法和系统，优选方法包括从第一用户接收第一买/卖订单; 计算块价格范围; 确定所述第一订单的价格是合理的; 向第二用户传送价格合理的订单存在但不通知所述第二用户的通知; 从所述第二用户接收第二顺序，其中所述第二顺序与所述第一顺序相反，并且几乎匹配但不跨越所述第一顺序; 在接收到所述第二次订单之后，向所述第二用户发送拒绝订单通知，所述反向订单通知指示几乎匹配的反对订单是活动的; 从所述第二用户接收第三命令，所述第三命令与所述第一命令相反，并且越过所述第一命令; 以及执行包括所述第一顺序和所述第三顺序的交易。

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