公开(公告)号：US20090132410A1

公开(公告)日：2009-05-21

申请号：US12117922

申请日：2008-05-09

申请人： Neill Penney ,  David Wright ,  Paul Hasenfus

发明人： Neill Penney ,  David Wright ,  Paul Hasenfus

IPC分类号： G06Q40/00

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 providers with up-to-date settlement and 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 提供商在收到先前执行的金融交易时提供最新的结算和分配细节。

公开(公告)号：US20080288308A1

公开(公告)日：2008-11-20

申请号：US12118002

申请日：2008-05-09

申请人： Neill Penney ,  David Wright ,  Paul Hasenfus

发明人： Neill Penney ,  David Wright ,  Paul Hasenfus

IPC分类号： G06Q40/00 ,  G06Q10/00

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 providers with up-to-date settlement and 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 提供商在收到先前执行的金融交易时提供最新的结算和分配细节。

公开(公告)号：US08160950B2

公开(公告)日：2012-04-17

申请号：US10703090

申请日：2003-11-07

申请人： Neill Penney ,  David Wright

发明人： Neill Penney ,  David Wright

IPC分类号： G06Q40/00

CPC分类号： G06Q40/04 ,  G06Q40/00 ,  G06Q40/06

摘要： Method and apparatus for trading financial assets, such as foreign exchange and money market instruments, commodities and securities. 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, receives customer requirements, automatically combines and organizes those requirements into a batch of orders according to a set of customer preferences, and displays the batch of orders to the customer, along with indicative or actual price quotes, such that the customer may select and process multiple orders and multiple requirements simultaneously. Orders are priced and booked automatically.

摘要翻译： 交易金融资产的方法和手段，如外汇和货币市场工具，商品和证券。 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接收客户需求，自动地将这些需求组合并组织成一批订单 一组客户偏好，并向客户显示一批订单，以及指示性或实际价格报价，以便客户可以同时选择和处理多个订单和多个要求。 订单定价并自动预订。

公开(公告)号：US20050114258A1

公开(公告)日：2005-05-26

申请号：US10959406

申请日：2004-10-07

申请人： Neill Penney

发明人： Neill Penney

IPC分类号： G06F20060101 ,  G06F17/60

CPC分类号： G06Q40/04

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. The identification, selection and execution steps are initiated automatically in response to receiving the requirements without further participation from the customer. 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 Worldwide Interbank Financial Telecommunication (SWIFT) communications standards.

摘要翻译： 一种用于管理市场订单的计算机实现的方法和装置，其在接收到一组客户需求时将自动地从多个提供商候选者中识别并选择获胜提供者，并且在适当的时候执行交易以填补所述要求集合 。 识别，选择和执行步骤是自动启动的，以响应于接收到的要求，而不需要客户的进一步参与。 此外，本发明被设计为根据各种非专有消息和通信标准进行操作，包括例如财务信息交换（FIX）和全球银行间金融电信协会（SWIFT）通信标准。

公开(公告)号：US20050114257A1

公开(公告)日：2005-05-26

申请号：US10959401

申请日：2004-10-07

申请人： Neill Penney

发明人： Neill Penney

IPC分类号： G06F20060101 ,  G06F17/60

CPC分类号： G06Q40/04

摘要： The present invention provides an order management and execution system and computer-implemented method for managing orders in an environment where the customer may utilize internal accounting and trading procedures that require filling a number of internal and external trading requirements for a number of internal and external trading accounts. The invention, which may be used in a variety of different trading contexts and for a variety of asset classes, automatically converts the internal trading requirements to external trading requirements and builds external orders, which are optionally netted and executed in the market using an asset trading execution system. Then the invention automatically converts the executed external requirements back to the appropriate internal requirements, records the internal requirements as filled, and optionally downloads the appropriate execution completion records to the customer's trading system.

摘要翻译： 本发明提供了一种在客户可以利用内部会计和交易程序的环境中管理订单的订单管理和执行系统以及计算机实现的方法，该程序需要填写若干内部和外部交易的内部和外部交易要求 帐户。 可用于各种不同交易环境和各种资产类别的发明自动将内部交易要求转换为外部交易要求，并构建外部订单，这些订单可选择性地在市场上使用资产交易扣除和执行 执行系统。 然后，本发明将执行的外部要求自动转换为适当的内部要求，记录内部需求为填充，并可选择将适当的执行完成记录下载到客户的交易系统。

公开(公告)号：US07761363B2

公开(公告)日：2010-07-20

申请号：US10959401

申请日：2004-10-07

申请人： Neill Penney

发明人： Neill Penney

IPC分类号： G06Q40/00

CPC分类号： G06Q40/04

摘要： The present invention provides an order management and execution system and computer-implemented method for managing orders in an environment where the customer may utilize internal accounting and trading procedures that require filling a number of internal and external trading requirements for a number of internal and external trading accounts. The invention, which may be used in a variety of different trading contexts and for a variety of asset classes, automatically converts the internal trading requirements to external trading requirements and builds external orders, which are optionally netted and executed in the market using an asset trading execution system. Then the invention automatically converts the executed external requirements back to the appropriate internal requirements, records the internal requirements as filled, and optionally downloads the appropriate execution completion records to the customer's trading system.

摘要翻译： 本发明提供了一种在客户可以利用内部会计和交易程序的环境中管理订单的订单管理和执行系统以及计算机实现的方法，该程序需要填写若干内部和外部交易的内部和外部交易要求 帐户。 可用于各种不同交易环境和各种资产类别的发明自动将内部交易要求转换为外部交易要求，并构建外部订单，这些订单可选择性地在市场上使用资产交易扣除和执行 执行系统。 然后，本发明将执行的外部要求自动转换为适当的内部要求，记录内部需求为填充，并可选择将适当的执行完成记录下载到客户的交易系统。

公开(公告)号：US20060015440A1

公开(公告)日：2006-01-19

申请号：US11155897

申请日：2005-06-20

申请人： Neill Penney

发明人： Neill Penney

IPC分类号： G06Q40/00

CPC分类号： G06Q40/06 ,  G06Q40/04 ,  G06Q40/08

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.

摘要翻译： 本发明提供流动性提供者可以用来管理和减少他们的整体市场风险的系统和方法，当多个交易要约基本同时被接收时。 本发明根据供应商指定的参数自动处理要约交易，包括客户交易限制，全球交易限额和交易期限的要约。 配置为根据本发明的原理操作的计算机系统包括用于接收提供商指定的客户和全球交易限制的提供者通信接口，用于存储当前客户和全球交易水平的流动性状态数据库，用于接收要交易的报价的客户通信接口 来自客户交易系统，交易价值的交易，以及流动性管理者被配置为如果当前交易水平和价值之一的总和超过供应商指定的交易限制之一，则拒绝交易要约。 在优选实施例中，提供交易或存储在交易数据库的报价中，并根据交易限制和指定的报价周期性地检查交易持续时间。

公开(公告)号：US20050137962A1

公开(公告)日：2005-06-23

申请号：US10996613

申请日：2004-11-26

申请人： Neill Penney ,  Philip Weisberg

发明人： Neill Penney ,  Philip Weisberg

IPC分类号： G06F20060101 ,  G06Q40/00 ,  G06F17/60

CPC分类号： G06Q40/04

摘要： Apparatus and methods for use by a customer for trading assets, such as foreign exchange instruments, using a variety of trading protocols on an interconnected computer network, such as the Internet. The invention generates and displays easy-to-use, context-sensitive and meaningfully organized panels or windows containing visibly distinctive, user-activatible selectors and input controls the customer can manipulate to select and execute trades against the best available quotes as they are supplied by multiple providers. In a single-bank execution mode, the invention automatically determines the best quotes received from a multiplicity of providers and helps the customer submit a single-bank order to one of those providers. In a multi-bank execution mode, the invention automatically identifies and helps customers submit a best multi-bank order, which may comprise a combination single-bank orders split up among multiple providers who have each submitted quotes having insufficient sizes. The user also may specify other trading terms, such as trading accounts and order sizes, for the assets to be traded.

摘要翻译： 客户用于交易资产的设备和方法，例如在互联计算机网络（例如因特网）上使用各种交易协议的外汇工具。 本发明生成和显示易于使用，上下文相关且有意义地组织的面板或窗口，其中包含明显独特的，用户敏感的选择器和输入控件，客户可以根据最佳可用报价来操作来选择和执行交易，因为它们由 多个提供商 在单行执行模式下，本发明自动确定从多个提供商接收的最佳报价，并帮助客户向其中一个提供商提交单一银行订单。 在多银行执行模式中，本发明自动识别并帮助客户提交最佳的多银行订单，其可以包括在提交报价不足的多个提供商中分离的单个银行订单组合。 用户还可以为要交易的资产指定其他交易条款，如交易账户和订单大小。

公开(公告)号：US20090076945A1

公开(公告)日：2009-03-19

申请号：US12235743

申请日：2008-09-23

申请人： Neill Penney ,  Philip Weisberg

发明人： Neill Penney ,  Philip Weisberg

IPC分类号： G06Q40/00

CPC分类号： G06Q40/04

摘要： Apparatus and methods for use by a customer for trading assets, such as foreign exchange instruments, using a variety of trading protocols on an interconnected computer network, such as the Internet. The invention generates and displays easy-to-use, context-sensitive and meaningfully organized panels or windows containing visibly distinctive, user-activatible selectors and input controls the customer can manipulate to select and execute trades against the best available quotes as they are supplied by multiple providers. In a single-bank execution mode, the invention automatically determines the best quotes received from a multiplicity of providers and helps the customer submit a single-bank order to one of those providers. In a multi-bank execution mode, the invention automatically identifies and helps customers submit a best multi-bank order, which may comprise a combination single-bank orders split up among multiple providers who have each submitted quotes having insufficient sizes. The user also may specify other trading terms, such as trading accounts and order sizes, for the assets to be traded.

摘要翻译： 客户用于交易资产的设备和方法，例如在互联计算机网络（例如因特网）上使用各种交易协议的外汇工具。 本发明生成和显示易于使用，上下文相关且有意义地组织的面板或窗口，其中包含明显独特的，用户敏感的选择器和输入控件，客户可以根据最佳可用报价来操作来选择和执行交易，因为它们由 多个提供商 在单行执行模式下，本发明自动确定从多个提供商接收的最佳报价，并帮助客户向其中一个提供商提交单一银行订单。 在多银行执行模式中，本发明自动识别并帮助客户提交最佳的多银行订单，其可以包括在提交报价不足的多个提供商中分离的单个银行订单组合。 用户还可以为要交易的资产指定其他交易条款，如交易账户和订单大小。

公开(公告)号：US20050137960A1

公开(公告)日：2005-06-23

申请号：US10996603

申请日：2004-11-26

申请人： John Brann ,  Neill Penney

发明人： John Brann ,  Neill Penney

IPC分类号： G06F20060101 ,  G06F17/60

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。