Website, system for and method of providing marketing material for securities to authorized users & method of selling access to, including the right to copy and distribute copied marketing material

• US 20080235112A1
• Filed: 03/22/2007
• Published: 09/25/2008
• Est. Priority Date: 03/22/2007
• Status: Abandoned Application

• Current Assignee: Peter Montoya
• Original Assignee: Peter Montoya
• Inventors: Montoya, Peter
• Application Number:
  US11/726,705
• Publication Number:
  US 20080235112A1
• Time in Patent Office: Days
• US Class Current: 705/27
• CPC Class Codes: G06Q 30/02 Marketing; Price estimation or determination; Fundraising
• CPC Class Codes: G06Q 30/0601 Electronic shopping [e-shopping]
• CPC Class Codes: G06Q 40/06 Asset management; Financial planning or analysis

Abstract

A website on a computer network that includes an electronic library containing marketing material concerning securities that only an authorized user can access. The marketing material has been pre-approved as complying with regulations governing the sale of securities. Data concerning the marketing material is tracked to enable reporting in compliance with these regulations. The website enables uploading by a Registered Representative, or another author, who is an authorized user of unapproved marketing material for review and approval by a compliance officer of a registered Broker/Dealer of the Registered Representative who is also an authorized user. When approved, this marketing material submitted by the Registered Representative, or another author, can be accessed over the computer network by any authorized user or only a limited number of authorized users.

Claims

1. A method of providing over a computer network marketing material concerning securities to authorized users, said method comprising

(a) providing a website on the computer network that an authorized user can access,

said website including an electronic library containing marketing material that is in compliance with regulations governing securities brokers/dealers and their Registered Representatives and that is downloadable over the computer network by an authorized user for copying and distribution by said individual authorized user, and

(b) tracking data concerning the marketing material to enable reporting in compliance with regulations governing securities Brokers/Dealers and their Registered Representatives.

2. The method of claim 1 where the marketing material is identified for distribution to a limited number of selected, individual authorized users.

3. The method of claim 1 where the marketing material is identified for distribution to anyone who is an authorized user

4. The method of claim 1 where an individual authorized user who is a Registered Representative and a compliance officer of such representative'"'"'s registered Broker/Dealer who is an authorized user are in communication for reviewing marketing material for approval by said compliance officer prior to placing in the electronic library.

5. The method of claim 4 where said Registered Representative uploads to the website unapproved marketing material for review and approval by said compliance officer, and said compliance officer uploads to the website for storage in the electronic library approved marketing material submitted by said Registered Representative or others.

6. The method of claim 1 where the marketing material stored in the electronic library is in a write once read many times form.

7. The method of claim 1 where a program operates the website to track data and on demand prepare a report based on the tracked data that is suitable for submission in compliance with regulations governing securities Brokers/Dealers and their Registered Representatives.

8. The method of claim 7 where the program identifies (i) each individual item of approved marketing material stored in the library and when a copy of each such item is downloaded, (ii) the authorized user downloading each copy of such item, (iii) the source approving the content of each such item, (iv) the date of approval of each such item, (v) the nature of the contents of each such item, and (vi) when a Registered Representative who is an authorized user downloads a copy of any such individual item, that representative'"'"'s registered Broker/Dealer who is also an authorized user.

9. The method of claim 6 where the report is an electronic report downloadable from the website over the network.

10. The method of claim 1 where an authorized Registered Representative can over the network submit for approval by uploading to the website an unapproved item of marketing material that is in electronic form and downloadable from the website for review and approval, and subsequently uploaded to the website after approval.

11. A method of providing marketing material concerning securities to authorized users, said method comprising

(a) providing a website on a global computer network that an authorized user can access over said network,

said website including an electronic library containing electronic marketing material approved by a compliance officer of an authorized registered Broker/Dealer and stored in a write once read many times form, and downloadable over said network by an authorized user accessing the website, and

(b) electronically tracking of data concerning the marketing material in the electronic library to enable reporting in compliance with regulations governing securities brokers/dealers and their Registered Representatives, and

(c) on demand by accessing the website and downloadable from the website confirmation to authorized users that distribution of the marketing material through the website is in compliance with regulations governing securities Brokers/Dealers and their Registered Representatives.

12. The method of claim 11 where an individual authorized user who is a Registered Representative and a compliance officer of such representative'"'"'s registered Broker/Dealer who is an authorized user are in communication for reviewing marketing material for approval by said compliance officer prior to placing in the electronic library.

13. The method of claim 12 where said Registered Representative uploads to the website unapproved marketing material for review and approval by said compliance officer, and said compliance officer uploads to the website for storage in the electronic library approved marketing material submitted by said Registered Representative or others.

14. A system for providing marketing material concerning securities comprising

a computer network,

a website on the computer network accessible over the network by an authorized user,

said website including an electronic library containing a plurality of individual items of approved marketing material of different content stored in a memory of a server in the network in a write once read many times electronic form,

a program that operates the website (a) to track electronically data concerning the marketing material to enable reporting in compliance with regulations governing securities Brokers/Dealers and their Registered Representatives and (b) to confirm to authorized users that distribution of the marketing material through the website is in compliance with regulations governing securities Brokers/Dealers and their Registered Representatives,

a computer system connected to the computer network that enables an authorized user to access the marketing material and reports,

a computer system connected to the computer network that enables an authorized user to access the marketing material and reports.

15. The system of claim 14 where the program identifies (i) each individual item of approved marketing material stored in the library and when a copy of each such item is downloaded, (ii) the authorized user downloading each copy of such item, (iii) the source approving the content of each such item, (iv) the date of approval of each such item, (v) the nature of the contents of each such item, and (vi) when a Registered Representative who is an authorized user downloads a copy of any such individual item, that representative'"'"'s registered Broker/Dealer who is also an authorized user.

16. The system of claim 14 including means for enabling an individual authorized user who is a Registered Representative and a compliance officer of such representative'"'"'s registered Broker/Dealer who is an authorized user to give notice via E-mail concerning review of marketing material for approval by said compliance officer prior to placing in the electronic library.

17. The system of claim 16 where said enabling means allows said Registered Representative to upload to the website unapproved marketing material for review and approval by said compliance officer, and allows said compliance officer to upload to the website for storage in the electronic library approved marketing material submitted by said Registered Representative or others.

18. A website on a computer network that only an authorized user can access, said website including

an electronic library containing marketing material concerning securities approved as in compliance with laws governing the sale of securities, and

means for tracking of data concerning the marketing material to enable reporting in compliance with regulations governing securities brokers/dealers and their Registered Representatives.

19. The website of claim 18 where the website is operated by a program that identifies (i) each individual item of approved marketing material stored in the library and when a copy of each such item is downloaded, (ii) the authorized user downloading each copy of such item, (iii) the source approving the content of each such item, (iv) the date of approval of each such item, (v) the nature of the contents of each such item, and (vi) when a Registered Representative who is an authorized user downloads a copy of any such individual item, that representative'"'"'s registered Broker/Dealer who is also an authorized user.

20. The website of claim 18 including means for enabling an individual authorized user who is a Registered Representative and a compliance officer of such representative'"'"'s registered Broker/Dealer who is an authorized user to give notice via E-mail concerning review of marketing material for approval by said compliance officer prior to placing in the electronic library.

21. The system of claim 20 where said enabling means allows said Registered Representative to upload to the website unapproved marketing material for review and approval by said compliance officer, and allows said compliance officer to upload to the website for storage in the electronic library approved marketing material submitted by said Registered Representative or others.

22. A method of selling access to, including the right to copy and distribute, marketing material concerning securities, said method comprising

providing on a computer network a website having an electronic library containing marketing material concerning securities that has been pre-approved as in compliance with regulations governing the sale of securities and is downloadable over the computer network by an authorized user,

said website having a domain name and domain name owner, with said domain name owner having the legal right to control who has access to the marketing material the over the network and to download, copy and distribute said marketing material, and

entering into a legally binding agreement over the network with a legally competent party who purchases the right to become an authorized user who can access said approved marketing material over the network in the electronic library by using an identifying access code.

23. The method of claim 22 where a program operates the website to track data and on demand prepare a report based on the tracked data that is suitable for submission in compliance with regulations governing securities Brokers/Dealers and their Registered Representatives.

24. The method of claim 23 where the program identifies (i) each individual item of approved marketing material stored in the library and when a copy of each such item is downloaded, (ii) the authorized user downloading each copy of such item, (iii) the source approving the content of each such item, (iv) the date of approval of each such item, (v) the nature of the contents of each such item, and (vi) when a Registered Representative who is an authorized user downloads a copy of any such individual item, that representative'"'"'s registered Broker/Dealer who is also an authorized user.

25. The method of claim 22 where an outside author submits marketing material for approval via the website and when such approved outside author marketing material is downloaded, the outside author is compensated financially.