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1. 发明申请

US20110022511A1 Balancing Arbitragable Tracking Securities 有权
标题翻译：平衡可追溯追踪证券
公开(公告)号：US20110022511A1
公开(公告)日：2011-01-27
申请号：US12897856
申请日：2010-10-05
申请人： Steven M. Bloom , Michael S. Spector , John L. Jacobs
发明人： Steven M. Bloom , Michael S. Spector , John L. Jacobs
IPC分类号： G06Q40/00
CPC分类号： G06Q40/06 , G06Q40/04
摘要： A financial product is based on a first fund that is traded on a trading marketplace in a first country. The financial product is registered in the first country. The first fund has the characteristics of being based on an index of securities that are traded in a second, different country. The first fund is arbitragable with a second fund that is based on the index and which is registered in a second different country. The first fund has a creation unit basis that is substantially the same basis as a creation unit basis for the second fund. The calculation of the net asset value of the first fund occurs at essentially or exactly the same time that second country fund has its NAV calculated. The agent for the first fund has the option of providing or accepting second fund shares or other securities, rather than cash, to cover “cash amount” obligations. Such obligations arise from the need to equate the value received or given for the first fund shares (e.g., the creation unit stock basket plus or minus the “cash amount”) with the NAV of the first fund shares that it has issued or received.
摘要翻译：金融产品基于在第一个国家的交易市场上交易的第一个基金。金融产品在第一个国家注册。第一个基金的特点是基于第二个不同国家交易的证券指数。第一个基金可以与基于指数的第二个基金进行仲裁，并在第二个不同的国家注册。第一个基金具有创造单位基础，与第二个基金的创造单位基础基本相同。第一笔基金的资产净值的计算与第二国家基金的净资产值计算基本完全相同。第一个基金的代理人可以选择提供或接受第二基金份额或其他证券，而不是现金，以支付“现金金额”义务。这种义务是由于需要将第一个基金份额（例如，创建单位库存加或减“现金金额”）收到或给出的价值与其发行或收到的第一个基金份额的资产净值相等。

2. 发明授权

US07827094B2 Trading of derivative secured index participation notes 有权
标题翻译：衍生证券指数参与票据交易
公开(公告)号：US07827094B2
公开(公告)日：2010-11-02
申请号：US11553549
申请日：2006-10-27
申请人： Steven M. Bloom
发明人： Steven M. Bloom
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q40/00 , G06Q40/06
摘要： Techniques are described for securitizing, administrating and trading various index shares securitized by derivative, cash-settled instruments on the underlying index.
摘要翻译：描述了用于证券化，管理和交易衍生工具，现金结算工具证券化的各种指数股票的技术。

3. 发明授权

US07792737B2 Index participation notes securitized by futures contracts 有权
标题翻译：期货合约证券化指数参考票据
公开(公告)号：US07792737B2
公开(公告)日：2010-09-07
申请号：US11553521
申请日：2006-10-27
申请人： Steven M. Bloom
发明人： Steven M. Bloom
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q20/108 , G06Q40/00 , G06Q40/06
摘要： Techniques are described for securitizing, administrating and trading various index shares securitized by derivative, cash-settled instruments on the underlying index. In some aspects, a tradable index share is backed by a fractional interest in a creation unit. The creation unit includes a derivative financial instrument and an amount of cash that secure the tradable index receipt.
摘要翻译：描述了用于证券化，管理和交易衍生工具，现金结算工具证券化的各种指数股票的技术。在某些方面，可交易指数份额由创建单位的分数利益支持。创建单位包括衍生金融工具和确保可交易指数收据的现金数额。

4. 发明授权

US07769674B2 Upside participation / downside protection index participation notes 有权
标题翻译：上升参与/下行保护指数参与票据
公开(公告)号：US07769674B2
公开(公告)日：2010-08-03
申请号：US11553557
申请日：2006-10-27
申请人： Steven M. Bloom
发明人： Steven M. Bloom
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q40/00
摘要： Techniques are described for securitizing, administrating and trading various index shares securitized by derivative, cash-settled instruments on the underlying index. In some aspects, a method includes determining in a computer system, a value for a tradable index share that tracks increases in a value of an index. The tradable index share is backed by a fractional interest in a creation unit that includes a long index futures contract and one of a long put index options contract and a long put index futures options contract. The long, put index options contract has a strike price that is the same as a mark price of the long index futures contract and each having the same expiration date.
摘要翻译：描述了用于证券化，管理和交易衍生工具，现金结算工具证券化的各种指数股票的技术。在一些方面，一种方法包括在计算机系统中确定跟踪索引值的增加的可交易索引份额的值。交易指数份额由一个创造单位的分数利益支持，其中包括长期指数期货合约和长期投资指数期权合约和长期期权期权期权合约之一。长期投资指数期权合约的行使价与长期指数期货合约的标价相同，每个具有相同的到期日。

5. 发明授权

US07680725B2 Arbitrage of tracking securities 有权
标题翻译：跟踪证券的套利
公开(公告)号：US07680725B2
公开(公告)日：2010-03-16
申请号：US11780588
申请日：2007-07-20
申请人： Steven M. Bloom , Michael S. Spector , John L. Jacobs
发明人： Steven M. Bloom , Michael S. Spector , John L. Jacobs
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q40/00 , G06Q40/025 , G06Q40/06 , G06Q99/00
摘要： A financial product is based on a first fund that is traded on a trading marketplace in a first country. The financial product is registered in the first country. The first fund has the characteristics of being based on an index of securities that are traded in a second, different country. The first fund is arbitragable with a second fund that is based on the index and which is registered in a second different country. The first fund has a creation unit basis that is substantially the same basis as a creation unit basis for the second fund. The calculation of the net asset value of the first fund occurs at essentially or exactly the same time that second country fund has its NAV calculated.
摘要翻译：金融产品基于在第一个国家的交易市场上交易的第一个基金。金融产品在第一个国家注册。第一个基金的特点是基于第二个不同国家交易的证券指数。第一个基金可以与基于指数的第二个基金进行仲裁，并在第二个不同的国家注册。第一个基金具有创造单位基础，与第二个基金的创造单位基础基本相同。第一笔基金的资产净值的计算与第二国家基金的净资产值计算基本完全相同。

6. 发明申请

US20070250435A1 Derivative Securitized Index Participation Notes 有权
标题翻译：衍生证券化指数参考票据
公开(公告)号：US20070250435A1
公开(公告)日：2007-10-25
申请号：US11553548
申请日：2006-10-27
申请人： Steven M. Bloom
发明人： Steven M. Bloom
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q40/06
摘要： Techniques are described for securitizing, administrating and trading various index shares securitized by derivative, cash-settled instruments on the underlying index.
摘要翻译：描述了用于证券化，管理和交易衍生工具，现金结算工具证券化的各种指数股票的技术。

7. 发明授权

US07249086B2 Arbitrage of tracking securities 有权
标题翻译：跟踪证券的套利
公开(公告)号：US07249086B2
公开(公告)日：2007-07-24
申请号：US09758967
申请日：2001-01-11
申请人： Steven M. Bloom , Michael S. Spector , John L. Jacobs
发明人： Steven M. Bloom , Michael S. Spector , John L. Jacobs
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q40/00 , G06Q40/025 , G06Q40/06 , G06Q99/00
摘要： A financial product is based on a first fund that is traded on a trading marketplace in a first country. The financial product is registered in the first country. The first fund has the characteristics of being based on an index of securities that are traded in a second, different country. The first fund is arbitragable with a second fund that is based on the index and which is registered in a second different country. The first fund has a creation unit basis that is substantially the same basis as a creation unit basis for the second fund. The calculation of the net asset value of the first fund occurs at essentially or exactly the same time that second country fund has its NAV calculated.
摘要翻译：金融产品基于在第一个国家的交易市场上交易的第一个基金。金融产品在第一个国家注册。第一个基金的特点是基于第二个不同国家交易的证券指数。第一个基金可以与基于指数的第二个基金进行仲裁，并在第二个不同的国家注册。第一个基金具有创造单位基础，与第二个基金的创造单位基础基本相同。第一笔基金的资产净值的计算与第二国家基金的净资产值计算基本完全相同。

8. 发明申请

US20120116995A1 Redemption of Derivative Secured Index Participation Notes 审中-公开
标题翻译：衍生担保指数参与票据赎回
公开(公告)号：US20120116995A1
公开(公告)日：2012-05-10
申请号：US13277393
申请日：2011-10-20
申请人： Steven M. Bloom
发明人： Steven M. Bloom
IPC分类号： G06Q40/04 , G06Q40/06
CPC分类号： G06Q40/04 , G06Q40/00 , G06Q40/06
摘要： Techniques are described for securitizing, administrating and trading various index shares securitized by derivative, cash-settled instruments on the underlying index.
摘要翻译：描述了用于证券化，管理和交易衍生工具，现金结算工具证券化的各种指数股票的技术。

9. 发明授权

US07848996B2 Derivative securitized index participation notes 有权
标题翻译：衍生证券化指数参与票据
公开(公告)号：US07848996B2
公开(公告)日：2010-12-07
申请号：US11553548
申请日：2006-10-27
申请人： Steven M. Bloom
发明人： Steven M. Bloom
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q40/06
摘要： Techniques are described for securitizing, administrating and trading various index shares securitized by derivative, cash-settled instruments on the underlying index.
摘要翻译：描述了用于证券化，管理和交易衍生品，现金结算工具证券化的各种指数股票的技术。

10. 发明授权

US07809627B2 Balancing arbitragable tracking securities 有权
标题翻译：平衡可仲裁跟踪证券
公开(公告)号：US07809627B2
公开(公告)日：2010-10-05
申请号：US10077182
申请日：2002-02-15
申请人： Steven M. Bloom , Michael S. Spector , John L Jacobs
发明人： Steven M. Bloom , Michael S. Spector , John L Jacobs
IPC分类号： G06Q40/00
CPC分类号： G06Q40/06 , G06Q40/04
摘要： A financial product is based on a first fund that is traded on a trading marketplace in a first country. The financial product is registered in the first country. The first fund has the characteristics of being based on an index of securities that are traded in a second, different country. The first fund is arbitragable with a second fund that is based on the index and which is registered in a second different country. The first fund has a creation unit basis that is substantially the same basis as a creation unit basis for the second fund. The calculation of the net asset value of the first fund occurs at essentially or exactly the same time that second country fund has its NAV calculated. The agent for the first fund has the option of providing or accepting second fund shares or other securities, rather than cash, to cover “cash amount” obligations. Such obligations arise from the need to equate the value received or given for the first fund shares (e.g., the creation unit stock basket plus or minus the “cash amount”) with the NAV of the first fund shares that it has issued or received.
摘要翻译：金融产品基于在第一个国家的交易市场上交易的第一个基金。金融产品在第一个国家注册。第一个基金的特点是基于第二个不同国家交易的证券指数。第一个基金可以与基于指数的第二个基金进行仲裁，并在第二个不同的国家注册。第一个基金具有创造单位基础，与第二个基金的创造单位基础基本相同。第一笔基金的资产净值的计算与第二国家基金的净资产值计算基本完全相同。第一个基金的代理人可以选择提供或接受第二基金份额或其他证券，而不是现金，以支付“现金金额”义务。这种义务是由于需要将第一个基金份额（例如，创建单位库存加或减“现金金额”）收到或给出的价值与其发行或收到的第一个基金份额的资产净值相等。

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