SYSTEM FOR MAPPING FINANCIAL DISCLOSURE DATA INTO COMPLIANCE INFORMATION

• US 20090132431A1
• Filed: 05/19/2008
• Published: 05/21/2009
• Est. Priority Date: 04/30/2002
• Status: Abandoned Application

• Current Assignee: Newriver Incorporated (Broadridge Financial Solutions Incorporated)
• Original Assignee: Newriver Incorporated (Broadridge Financial Solutions Incorporated)
• Inventors: Kumar Vaish, Manish, Magary, Alex
• Application Number:
  US12/123,045
• Publication Number:
  US 20090132431A1
• Time in Patent Office: Days
• US Class Current: 705/36.R
• CPC Class Codes: G06Q 30/02 Marketing; Price estimation or determination; Fundraising
• CPC Class Codes: G06Q 40/06 Asset management; Financial planning or analysis

Abstract

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.

Claims

1. A method for preparing a computer-readable source document having at least one portion identified as including a particular data element, the method comprising acts of:

(A) defining a manner of preliminarily identifying a portion of a source document in which at least one data element resides, the source document comprising information, relating to at least one security, obtained directly and/or indirectly from an electronic file storage comprising securities information;

(B) identifying at least one portion of the source document in which the at least one data element resides, one or more of the at least one portions comprising less than the entire source document, the act of identifying comprising;

(B1) preliminarily identifying, in a manner which is at least partially automated and based at least in part on the manner defined in the act (A), the at least one portion;

(B2) providing access to the at least one portion preliminarily identified in (B1); and

(C) creating at least one computer-readable marker indicating the at least one portion of the source document, identified in the act (B), in which the at least one data element resides.

2. The method of claim 1, wherein the act (C) further comprises inserting the at least one computer-readable marker into the source document.

3. The method of claim 2, wherein the at least one computer-readable marker comprises at least one markup language tag.

4. The method of claim 1, wherein (B2) further comprises receiving an indication that the at least one portion is identified.

5. The method of claim 4, wherein (B2) further comprises receiving the indication from an operator.

6. The method of claim 1, wherein the act (C) comprises creating a computer-readable marker for each of the at least one portions.

7. The method of claim 1, wherein the at least one portion comprises a first portion and a second portion, and the first portion does not overlap with the second portion.

8. The method of claim 1, further comprising an act of:

(D) providing access to the source document.

9. The method of claim 8, wherein the act (D) further comprises transmitting the source document to a user.

10. The method of claim 1, further comprising an act of:

(E) providing access to at least one of the data elements using the computer-readable marker created in the act (C).

11. The method of claim 1, wherein the act (E) further comprises transmitting the at least one of the data elements to a user.

12. The method of claim 10, further comprising an act of:

(F) processing the at least one data element to which access is provided in the act (E) to produce a graphical representation of the at least one data element.

13. The method of claim 12, further comprising an act of:

(G) inserting the graphical representation of the at least one data element into the source document.

14. The method of claim 13, further comprising an act of:

(H) displaying the source document including the graphical representation of the at least one data element to a user.

15. The method of claim 12, further comprising an act of:

(I) inserting the graphical representation of the at least one data element into a document other than the source document.

16. The method of claim 1, further comprising an act of:

(J) inserting the at least one data element into a document other than the source document.

17. The method of claim 1, wherein (B1) further comprises preliminarily identifying at least one section within the source document in which the at least one data element customarily resides.

18. The method of claim 1, wherein (B1) further comprises locating a word or phrase within the source document which is typically located in a same portion of the source document as the at least one data element.

19. The method of claim 1, wherein the at least one data element is selected from a group of data elements.

20. The method of claim 19, wherein the group of data elements comprises annual return, average return, fund manager, monetary information, net assets and investment objective data elements.

21. The method of claim 1, wherein the source document comprises information filed with an Electronic Data Gathering, Analysis and Retrieval (EDGAR) database.

22. The method of claim 1, wherein the information relating to at least one security comprises compliance information.

23. The method of claim 1, wherein (B2) further comprises providing an operator access to the at least one portion identified in (B1).

24. The method of claim 23, wherein the operator is a human being.