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1. 发明申请

WO2006002172A2 SHAREABLE QUOTE STREAMS 审中-公开
标题翻译：可分享的报价流程
公开(公告)号：WO2006002172A2
公开(公告)日：2006-01-05
申请号：PCT/US2005/021935
申请日：2005-06-20
申请人： FX ALLIANCE, LLC , BRANN, John, E., T. , PENNEY, Neill
发明人： BRANN, John, E., T. , PENNEY, Neill
IPC分类号： G06Q40/00
CPC分类号： G06Q40/00 , G06Q40/04
摘要： Method and apparatus for providing price quote streams to a multiplicity of customers in an online asset trading system. The invention allows providers to establish, maintain and revise only one shareable price quote stream (or, alternatively, just a relative few number of shareable price quote streams) for each currency pair and have that one shareable price quote stream (or that relative few number of shareable price quote streams) automatically converted to customer-specific price quote streams and distributed to a large number of customers simultaneously, without consuming a correspondingly large amount of additional time or resources on the providers' trading system. Each customer-specific price quote stream contains quotes having order size parts that are derived from customer-specific factors, such as the customer's credit limit and/or the customer's requested order size.
摘要翻译：向在线资产交易系统中的多个客户提供价格报价流的方法和装置。本发明允许提供商建立，维护和修改每个货币对的一个可共享价格报价流（或者只是相对较少数量的可共享价格报价流），并且具有一个可共享价格报价流（或相对较少的数字的可分享价格报价流）自动转换为客户特定的价格报价流，并同时分配给大量客户，而不会在提供商的交易系统上相应地消耗相当大量的额外时间或资源。每个客户特定的价格报价流包含订单大小部分的报价，这些报价是根据客户特定因素（如客户的信用限额和/或客户的请求订单大小）导出的。

2. 发明申请

WO2006071756A2 DYNAMIC ACCOUNT MAPPING SYSTEM FOR COMPUTERIZED ASSET TRADING 审中-公开
标题翻译：用于计算机资产交易的动态帐户映射系统
公开(公告)号：WO2006071756A2
公开(公告)日：2006-07-06
申请号：PCT/US2005/046722
申请日：2005-12-23
申请人： FX ALLIANCE, LLC , PENNEY, Neill
发明人： PENNEY, Neill
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04 , G06Q20/10 , G06Q40/00 , G06Q40/06 , G06Q40/10 , Y10S707/99933 , Y10S707/99953
摘要： Methods and apparatuses for processing orders in a computerized asset trading system when the order contains trading requirements for trading accounts that do not map to trading accounts recognized by the provider trading system. The invention books trading requirements associated with the unrecognized trading accounts against a default trading account set up for the customer by the provider, thereby allowing the order to be processed instead of rejected merely because one or more of the customerspecified trading accounts has not yet been approved by the provider. The invention also allows providers to specifically block customer trading accounts, and to dynamically create approved trading accounts as they are needed so that subsequent transactions involving the previously unapproved trading accounts will be executed without using the default trading account. The invention also rejects orders for customer trading accounts that have been specifically blocked by the provider.
摘要翻译：在计算机化资产交易系统中处理订单的方法和装置，当该订单包含不提供交易系统认可的交易账户的交易账户的交易要求时。该发明将与无法识别的交易账户相关联的交易要求与由提供商为客户设置的默认交易账户相关联，从而允许订单被处理而不是仅由于一个或多个客户指定的交易账户尚未被批准由提供者。本发明还允许提供商专门阻止客户交易账户，并根据需要动态创建已核准的交易账户，以便在不使用默认交易账户的情况下执行涉及以前未经批准的交易账户的后续交易。本发明还拒绝了由提供商专门阻止的客户交易账户的订单。

3. 发明申请

WO2006002171A3 DYNAMIC LIQUIDITY MANAGEMENT SYSTEM 审中-公开
公开(公告)号：WO2006002171A3
公开(公告)日：2006-01-05
申请号：PCT/US2005/021934
申请日：2005-06-20
申请人： FX ALLIANCE, LLC , PENNEY, Neill
发明人： PENNEY, Neill
IPC分类号： G06Q40/00
摘要： The present invention provides systems and methods liquidity providers can use to manage and reduce their overall market exposure when multiple offers to deal are received substantially simultaneously. The invention automatically processes offers to deal according to provider-specified parameters, including a customer trading limit, a global trading limit and an offer to deal duration. Computer systems configured to operate according to principles of the invention include a provider communications interface for receiving provider-specified customer and global trading limits, a liquidity status database for storing current customer and global trading levels, a customer communications interface for receiving an offer to deal from a customer trading system, the offer to deal having a value, and a liquidity manager configured to reject the offer to deal if the sum of one of the current trading levels and the value exceeds one of the provider-specified trading limits. In preferred embodiments, the offers to deal or stored in an offer to deal database and periodically rechecked against the trading limits and the specified offer to deal duration.

4. 发明申请

WO2007002022A2 SYSTEM AND METHOD FOR TRADING INTRUMENTS USING A DATA COMMUNICATIONS NETWORK 审中-公开
标题翻译：使用数据通信网络交易账户的系统和方法
公开(公告)号：WO2007002022A2
公开(公告)日：2007-01-04
申请号：PCT/US2006/023884
申请日：2006-06-20
申请人： FX ALLIANCE, LLC , FOSTER, James, R. , PENNEY, Neill
发明人： FOSTER, James, R. , PENNEY, Neill
IPC分类号： G06Q40/00
CPC分类号： G06Q40/06 , G06Q40/04
摘要： The invention provides a computer system and method for trading instruments using a data communications network which allows users to selectively view market depth information for the instruments in a plurality of different styles, each style corresponding to one of the plurality of available market depth views. The user can switch back and forth between the plurality of market depth views, as many times as he likes, by using an input device to activate a control on a trading panel to select from the plurality of available views. The system includes a network interface for receiving a set of orders for the instrument from the data communications network, a display device, and a view processor configured to display on the display device a trading panel comprising a market depth grid containing sizes and rates that are derived from the set of orders received from the data communications network. The sizes and rates displayed on the market depth grid are determined by the selected market depth view.
摘要翻译：本发明提供一种用于使用数据通信网络交易仪器的计算机系统和方法，其允许用户以多种不同风格选择性地查看所述乐器的市场深度信息，每个风格对应于所述多个可用市场深度视图中的一个。用户可以通过使用输入设备来激活交易面板上的控制以从多个可用视图中进行选择来在多个市场深度视图之间来回切换多次。该系统包括用于从数据通信网络接收用于仪器的一组订单的网络接口，显示设备和视图处理器，其被配置为在显示设备上显示交易面板，交易面板包括市场深度网格，其包含尺寸和速率是源自从数据通信网络接收的一组订单。市场深度网格上显示的尺寸和价格由所选市场深度视图确定。

5. 发明申请

WO2006071757A2 MONEY MARKET TRADING SYSTEM 审中-公开
标题翻译：货币市场交易系统
公开(公告)号：WO2006071757A2
公开(公告)日：2006-07-06
申请号：PCT/US2005/046723
申请日：2005-12-23
申请人： FX ALLIANCE, LLC , FOSTER, James, R. , PENNEY, Neill
发明人： FOSTER, James, R. , PENNEY, Neill
IPC分类号： G06Q40/00
CPC分类号： G06Q40/04
摘要： A computerized automated trading system that allows users to execute money market transactions wherein the principal trading amount for a proposed money market transaction may be distributed across a plurality of different providers. Customers can make multiple money market deposits (or loans) for different amounts, and can split the total desired principal size of the desired deposit (or loan) across the plurality of providers, all from a single interactive user interface screen. Thus, the invention puts customers in a better position to obtain the best overall rate for the principal amount. The invention may also be configured to display a list of a customer's open money market trades, and allows the customer to select and roll over maturing trades. Customers can roll over single or multiple open trades for a given currency and use a different set of providers than was used for the original trades, or use a different distribution of the funds among the original set of providers. The invention provides these benefits for all types of money market transactions, including but not limited to, cash loans and deposits, certificates of deposit, treasury bills, repurchase agreements, and commercial paper transactions.
摘要翻译：一种计算机化的自动交易系统，其允许用户执行货币市场交易，其中建议的货币市场交易的主要交易金额可以分布在多个不同的提供商中。客户可以为不同数量的多个货币市场存款（或贷款）进行多种划分，并且可以从单个交互式用户界面屏幕中分离多个提供商所需的存款（或贷款）的总需求主体大小。因此，本发明使客户更好地获得最佳的本金总额。本发明还可以被配置为显示客户的开放货币市场交易的列表，并且允许客户选择和滚动成熟的交易。客户可以针对特定货币进行单一或多个开放交易，并使用与原始交易所使用的不同的供应商集，或者在原始供应商中使用不同的资金分配。本发明为所有类型的货币市场交易提供了这些好处，包括但不限于现金贷款和存款，存单，国库券，回购协议和商业票据交易。

6. 发明申请

WO2003023564A2 METHOD AND APPARATUS FOR CONDUCTING FINANCIAL TRANSACTIONS 审中-公开
标题翻译：进行财务交易的方法和手段
公开(公告)号：WO2003023564A2
公开(公告)日：2003-03-20
申请号：PCT/US2002/028697
申请日：2002-09-10
申请人： FX ALLIANCE, LLC
发明人： PENNEY, Neill , WRIGHT, David
IPC分类号： G06F
CPC分类号： G06Q40/00 , G06Q40/04
摘要： Method and apparatus for conducting financial transactions that allows traders, market makers, dealers, and liquidity providers to negotiate with multiple customers simultaneously, and receive and respond to transaction solicitations and amendment requests in real time. The invention, which may be accessed over an interconnected data communications network, such as the Internet, using a standard Web browser, automatically provides traders with up-to-date market rates as solicitations are received, and provides a graphical user interface with sorting and filtering capabilities to organize displays to show pending and completed transactions according to user preferences. Counterparty customers engaged in transactions with the traders and dealers using the system benefit by being able to negotiate with multiple providers simultaneously, and by receiving real-time, context-sensitive transaction status messages and notifications as the negotiations take place. An optional transaction status database records transaction events in real-time and provides transaction archiving and auditing capabilities superior to conventional manual transaction systems.
摘要翻译：进行金融交易的方法和手段，允许交易者，制造商，经销商和流动性提供商同时与多个客户进行谈判，并实时接收和回复交易请求和修改请求。可以通过互连的数据通信网络（例如因特网）使用标准Web浏览器访问的本发明自动地向交易者提供收到招标的最新市场价格，并提供图形用户界面，其中分类和过滤功能来组织显示，以根据用户偏好显示待处理和已完成的事务。与交易者和经销商进行交易的对手客户通过能够同时与多个提供商进行谈判，并通过在谈判发生时接收实时的，上下文相关的交易状态消息和通知，从而使系统受益。可选的事务状态数据库实时记录事务事件，并提供优于常规手动交易系统的事务归档和审计功能。

7. 发明申请

WO2005055002A2 LATENCY-AWARE ASSET TRADING SYSTEM 审中-公开
标题翻译： LATENCY-AWARE资产交易系统
公开(公告)号：WO2005055002A2
公开(公告)日：2005-06-16
申请号：PCT/US2004/039653
申请日：2004-11-26
申请人： FX ALLIANCE, LLC
发明人： BRANN, John, E., T. , PENNEY, Neill
IPC分类号： G06F
CPC分类号： G06Q40/04
摘要： An online trading system for providers, customers and online trading servers, as well as methods of conducting online trading transactions, that incorporate processing components and steps that measure, monitor, report and utilize up-to-date network latency data to process offers to deal so that an unnecessarily large number of deals will not be refused. The systems and methods may also be used to make adjustments to the frequency and content of price quotes, based on current latency data, to improve customers' opportunity to submit offers that will arrive timely. The invention provides banks (and other liquidity providers), as well as online trading server operators, with sufficient information concerning network latencies so that price quotes issued by the banks can be "tuned" and customized so that they will not expire before the bank's customers have a reasonable opportunity to review the price quotes and submit offers to deal.
摘要翻译：用于提供商，客户和在线交易服务器的在线交易系统以及进行在线交易交易的方法，其中包含处理组件和测量，监控，报告和使用最新网络延迟数据以处理要约交易的步骤使不必要的大量交易不会被拒绝。系统和方法也可用于根据当前延迟数据调整价格报价的频率和内容，以提高客户及时提交报价的机会。本发明为银行（和其他流动性提供者）以及在线交易服务器运营商提供足够的有关网络延迟的信息，以便银行发行的报价可以“调整”并定制，以便不会在银行客户之前过期有合理的机会审查价格报价并提交交易。

8. 发明申请

WO2004001533A2 METHOD AND APPARATUS FOR MANAGING FINANCIAL TRANSACTIONS INVOLVING MULTIPLE COUNTERPARTIES AND PROCESSING DATA PERTAINING THERETO 审中-公开
标题翻译：管理涉及多个对手的财务交易和处理数据的方法和装置
公开(公告)号：WO2004001533A2
公开(公告)日：2003-12-31
申请号：PCT/US2003/018948
申请日：2003-06-18
申请人： FX ALLIANCE, LLC
发明人： PENNEY, Neill , WRIGHT, David , HASENFUS, Paul
IPC分类号： G06F
CPC分类号： G06Q40/04 , G06Q40/025
摘要： Method and apparatus for managing financial transactions for multiple counterparties that allows traders, market makers, dealers, and prime brokers to negotiate with multiple liquidity providers simultaneously, and to receive and respond to transaction processing directives and settlement instructions in real time. The invention, which may be accessed over an interconnected data communications network, such as the Internet, using a standard Web browser, as well as via a proprietary user interface, automatically provides customers, traders, executing banks, funding banks, prime brokers and liquidity allocation details for previously-executed financial transactions as they are received.
摘要翻译：用于管理多个交易对手的金融交易的方法和设备，允许交易者，制造商，经销商和主要经纪商同时与多个流动性提供者进行谈判，并实时接收和响应交易处理指令和结算指令。可以通过互连的数据通信网络（例如因特网）使用标准Web浏览器以及经由专有用户界面访问的本发明自动地为客户，交易者，执行银行，资金银行，主要经纪人和流动性提供在收到之前执行的金融交易的分配细节。

9. 发明申请

WO2005055003A2 PROTOCOL-INDEPENDENT ASSET TRADING SYSTEM AND METHODS 审中-公开
标题翻译：协议独立资产交易系统和方法
公开(公告)号：WO2005055003A2
公开(公告)日：2005-06-16
申请号：PCT/US2004/039654
申请日：2004-11-26
申请人： FX ALLIANCE, LLC
发明人： BRANN, John, E., T. , PENNEY, Neill
IPC分类号： G06F
CPC分类号： G06Q40/04
摘要： Systems and methods for executing trades on an interconnected computer network, such as the Internet, using a catalog of protocol-independent fundamental asset trading messages, called "gestures," that support multiple higher-level trading protocols which characterize most asset trading transactions. Trading transactions requiring protocol-dependent workflows are composed from protocol-independent gestures selected from the catalogue of gestures and then passed one at a time to an online asset trading server. The online asset trading server transitions pending quotes and trades through a series of distinct states, based on the current state, the selected protocol-independent gestures it receives and a set of state transition rules, thereby implementing the higher-level protocol-dependent workflows.
摘要翻译：使用协议无关的基本资产交易信息的目录（称为“手势”）在互连的计算机网络（例如因特网）上执行交易的系统和方法，其支持表示大多数资产交易交易的多个更高级别的交易协议。需要协议相关工作流的交易交易由从手势目录中选择的独立于协议的手势组成，然后一次通过一个到在线资产交易服务器。在线资产交易服务器根据当前状态，所接收的所选择的与协议无关的手势和一组状态转换规则，通过一系列不同状态转移待处理的报价和交易，从而实现更高级别的协议相关工作流。

10. 发明申请

WO2005036354A3 FIX-ENABLED ORDER MANAGEMENT METHOD AND APPARATUS 审中-公开
公开(公告)号：WO2005036354A3
公开(公告)日：2005-04-21
申请号：PCT/US2004/033143
申请日：2004-10-08
申请人： FX ALLIANCE, LLC
发明人： PENNEY, Neill
IPC分类号： G06F17/60
摘要： A computer-implemented method and apparatus for managing market orders which, upon receiving a set of customer requirements, will automatically identify and select a winning provider from a multiplicity of provider candidates and, at the appropriate time, execute trades to fill the set of requirements (Fig.1). The identification, selection and execution steps are initiated automatically in response to receiving the requirements without further participation from the customer (Fig. 2). Moreover, the invention is designed to operate according to a variety of non-proprietary messaging and communication standards, including, for example, the Financial Information eXchange (FIX) and Society for the World Interbank Financial Telecommunication (SWIFT) communications standards.

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