Patent application number | Description | Published |
20090132431 | SYSTEM FOR MAPPING FINANCIAL DISCLOSURE DATA INTO COMPLIANCE INFORMATION - A system for creating tagged financial documents which are computer readable. The system extracts compliance information and inserts tags related to particular financial data. The tags may be computer readable so the tagged information may be easily found and manipulated. | 05-21-2009 |
20100161508 | PROCESSING SECURITIES-RELATED INFORMATION - Embodiments of the invention provide techniques for improving clarity of disclosure materials provided to investors, by enabling securities issuers, intermediaries and/or other entities to create and disseminate clear and concise summary-level information on individual securities to investors to enable informed investment decisions. The information may include a summary version of the full statutory prospectus (a “summary prospectus”). A summary prospectus may include a concise, “plain English” synopsis and/or representation of certain information contained in the full statutory prospectus, such as a security's investment objectives and strategies, costs, risks and/or other information. | 06-24-2010 |
20110060697 | METHOD FOR CREATING AND DELIVERING CUSTOMIZED COMPLIANCE INFORMATION - A method and system to create personalized investor information packages, based on investor information, to be delivered to the investor to satisfy both compliance regulations and investor preferences. The method and system may deliver information in a paper or electronic format. | 03-10-2011 |
20110191435 | METHOD AND SYSTEM FOR ELECTRONIC DELIVERY OF SENSITIVE INFORMATION - A method and related system obtains consent from a user for electronic delivery of sensitive information. The user operating a first computer accesses a web page on a server system to input the consent. The web page prompts for the consent from the user. Once the consent is received at the server system, the consent is stored and sensitive information is delivered electronically to an e-mail address specified by the user. Once consent is indicated, it is communicated from the individual's computer to another computer such as a server over, for example, a modem connection. Having secured the individual's consent, the additional sensitive information may be delivered to the individual's computer as, for example, a URL attachment to an email message. | 08-04-2011 |
20110258141 | METHOD FOR CREATING AND DELIVERING CUSTOMIZED COMPLIANCE INFORMATION - A method and system to create personalized investor information packages, based on investor information, to be delivered to the investor to satisfy both compliance regulations and investor preferences. The method and system may deliver information in a paper or electronic format. | 10-20-2011 |
20130191297 | METHOD FOR CREATING AND DELIVERING CUSTOMIZED COMPLIANCE INFORMATION - A method and system to create personalized investor information packages, based on investor information, to be delivered to the investor to satisfy both compliance regulations and investor preferences. The method and system may deliver information in a paper or electronic format. | 07-25-2013 |
20130297533 | PROCESSING SECURITIES-RELATED INFORMATION - Embodiments of the invention provide techniques for improving clarity of disclosure materials provided to investors, by enabling securities issuers, intermediaries and/or other entities to create and disseminate clear and concise summary-level information on individual securities to investors to enable informed investment decisions. The information may include a summary version of the full statutory prospectus (a “summary prospectus”). A summary prospectus may include a concise, “plain English” synopsis and/or representation of certain information contained in the hill statutory prospectus, such as a security's investment objectives and strategies, costs, risks and/or other information. | 11-07-2013 |
20140101276 | METHOD AND SYSTEM FOR ELECTRONIC DELIVERY OF SENSITIVE INFORMATION - A method and related system obtains consent from a user for electronic delivery of sensitive information. The user operating a first computer accesses a web page on a server system to input the consent. The web page prompts for the consent from the user. Once the consent is received at the server system, the consent is stored and sensitive information is delivered electronically to an e-mail address specified by the user. Once consent is indicated, it is communicated from the individual's computer to another computer such as a server over, for example, a modem connection. Having secured the individual's consent, the additional sensitive information may be delivered to the individual's computer as, for example, a URL attachment to an email message. | 04-10-2014 |
20140222717 | PROCESSING SECURITIES-RELATED INFORMATION - Embodiments of the invention provide techniques for improving clarity of disclosure materials provided to investors, by enabling securities issuers, intermediaries and/or other entities to create and disseminate clear and concise summary-level information on individual securities to investors to enable informed investment decisions. The information may include a summary version of the full statutory prospectus (a “summary prospectus”). A summary prospectus may include a concise, “plain English” synopsis and/or representation of certain information contained in the full statutory prospectus, such as a security's investment objectives and strategies, costs, to risks and/or other information. | 08-07-2014 |