Method for creating and delivering customized compliance information

• US 20080195516A1
• Filed: 01/28/2008
• Published: 08/14/2008
• Est. Priority Date: 06/25/2003
• Status: Abandoned Application

• Current Assignee: Alex Magary, Anil Gupta, Brigitte Tuller, Craig Leclair, Garett Wiley, Jeffrey B. Levering, Larry Kunz
• Original Assignee: Alex Magary, Anil Gupta, Brigitte Tuller, Craig Leclair, Garett Wiley, Jeffrey B. Levering, Larry Kunz
• Inventors: Levering, Jeffrey B., Gupta, Anil, Kunz, Larry, Magary, Alex, LeClair, Craig, Tuller, Brigitte, Wiley, Garett
• Application Number:
  US12/011,588
• Publication Number:
  US 20080195516A1
• Time in Patent Office: Days
• US Class Current: 705/35
• CPC Class Codes: G06Q 30/00 Commerce
• CPC Class Codes: G06Q 30/018 Certifying business or products
• CPC Class Codes: G06Q 40/00 Finance; Insurance; Tax strategies; Processing of corporate or income taxes
• CPC Class Codes: G06Q 40/04 Trading; Exchange, e.g. stocks, commodities, derivatives or currency exchange
• CPC Class Codes: G06Q 40/06 Asset management; Financial planning or analysis
• CPC Class Codes: G06Q 40/12 Accounting
• CPC Class Codes: H04L 5/0051 of dedicated pilots, i.e. pilots destined for a single user or terminal
• CPC Class Codes: H04W 24/10 Scheduling measurement reports ; Arrangements for measurement reports
• CPC Class Codes: H04W 72/23 in the downlink direction of a wireless link, i.e. towards a terminal
• CPC Class Codes: H04W 72/542 using measured or perceived quality
• CPC Class Codes: H04W 76/14 Direct-mode setup
• CPC Class Codes: H04W 92/18 between terminal devices

Abstract

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.

Claims

1. In a system comprising an information manager which accesses securities and/or compliance information and a fulfillment manager which accesses information relating to at least one entity, a method for providing securities and/or compliance information comprising acts of:

(A) in response to an occurrence of an event which does not include a request by an entity to send securities and/or compliance information, identifying, based on the information relating to the at least one entity accessed by the fulfillment manager, at least one of the entities to be given access to the securities and/or compliance information;

(B) customizing, based on the information relating to the at least one entity, the securities and/or compliance information; and

(C) making the securities and/or compliance information customized in the act (B) available to the at least one entity identified in the act (A).

2. The method of claim 1 wherein the act (C) further comprises sending the information relating to the at least one security electronically to the at least one entity.

3. The method of claim 1 wherein the act (C) further comprises sending the information relating to the at least one security on paper to the at least one entity.

4. The method of claim 1, 2, or 3 wherein the information relating to at least one entity includes one or more of the following types of information:

contact information,

holdings information,

display preferences,

or delivery preferences.

5. The method of claim 1 wherein the fulfillment manager accesses information obtained from a user.

6. The method of claim 1 wherein the fulfillment manager accesses information obtained from a brokerage.

7. The method of claim 1 wherein the information manager accesses information obtained from EDGAR.

8. The method of claim 1 wherein the information manager accesses information obtained from a brokerage.

9. The method of claim 1 wherein the information manager accesses information obtained from a publicly traded corporation.

10. The method of claim 1, wherein the event comprises at least one event selected from of a group which includes a time event, a transfer event and a market event.

11. The method of claim 1, wherein the at least one entity comprises at least one user.

12. The method of claim 1, wherein the at least one entity comprises at least one brokerage.