Obtaining consent for electronic delivery of compliance information

• US 7,890,399 B2
• Filed: 05/21/2007
• Issued: 02/15/2011
• Est. Priority Date: 02/12/1998
• Status: Expired due to Fees

• Current Assignee: Broadridge Investor Communication Solutions, Inc. (Broadridge Financial Solutions Incorporated)
• Original Assignee: Broadridge Investor Communication Solutions, Inc. (Broadridge Financial Solutions Incorporated)
• Inventors: Burakoff, Stephen V., Fein, Robert A., Simmel, Sergiu S.
• Primary Examiner(s): APPLE, KIRSTEN SACHWITZ
• Application Number:
  US11/804,782
• Publication Number:
  US 20070226100A1
• Time in Patent Office: 1,366 Days
• Field of Search: 705/35, 705/17
• US Class Current: 705/35
• CPC Class Codes: G06F 21/606 by securing the transmission between two devices or processes
• CPC Class Codes: G06F 21/6209 to a single file or object, e.g. in a secure envelope, encrypted and accessed using a key, or with access control rules appended to the object itself
• CPC Class Codes: G06F 21/6245 Protecting personal data, e.g. for financial or medical purposes
• CPC Class Codes: G06F 40/134 Hyperlinking
• CPC Class Codes: G06Q 10/107 Computer-aided management of electronic mailing [e-mailing]
• CPC Class Codes: G06Q 20/40 Authorisation, e.g. identification of payer or payee, verification of customer or shop credentials; Review and approval of payers, e.g. check credit lines or negative lists
• 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 40/02 Banking, e.g. interest calculation or account maintenance credit or loans G06Q40/03
• CPC Class Codes: G06Q 40/03 Credit; Loans; Processing thereof
• 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 99/00 Subject matter not provided for in other groups of this subclass
• CPC Class Codes: H04L 51/18 Commands or executable codes

Abstract

A method and related system obtains consent from an individual for computer-aided delivery of compliance information. Initially, a computer-readable data storage device is provided to the individual. The device stores the compliance information and computer-executable instructions. By inserting the device into a computer, the instructions are executed and the individual is prompted by the computer to consent to the computer-aided delivery of additional compliance information. 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 compliance information can be delivered to the individual'"'"'s computer as, for example, a file attachment to an email message.

Claims

1. A computing system comprising at least one computer that:

(A) to meet a legal requirement for electronic delivery of compliance information, requests consent of a user to the electronic delivery of the compliance information, wherein the request of consent being unrelated to a security measure; and

(B) upon receiving consent from the user, as distinguished from the security measure, automatically and electronically delivers to the user the compliance information.

2. The computing system of claim 1, wherein the at least one computer is programmed to request the user'"'"'s consent by sending a request over a computer communications link.

3. The computing system of claim 2, wherein the request is included in an email.

4. The computing system of claim 2, wherein the request is included in content presented on a web site accessible by the user.

5. The computing system of claim 1, wherein automatically and electronically delivering the compliance information comprises sending the user an email.

6. The computing system of claim 1, wherein automatically and electronically delivering the compliance information comprises making the compliance information accessible via a web site.

7. The computing system of claim 1, wherein the at least one computer stores an indication of the consent received from the user.

8. The computing system of claim 1, wherein the compliance information comprises one or more documents from a securities issuer.

9. The computing system of claim 1, wherein the compliance information comprises a compliance document.

10. The computing system of claim 1, wherein the compliance information comprises information relating to a security.

11. At least one computer-readable storage medium having instructions encoded thereon which, when executed by at least one computer, performs a method comprising:

(A) to meet a legal requirement for electronic delivery of compliance information, requesting consent of a user to the electronic delivery of the compliance information, wherein the request of consent being unrelated to a security measure; and

(B) upon receiving consent from the user, as distinguished from the security measure, automatically and electronically delivering to the user the compliance information.

12. The at least one computer-readable medium of claim 11, wherein (A) comprises requesting the user'"'"'s consent by sending a request over a computer communications link.

13. The at least one computer-readable medium of claim 12, wherein the request is included in an email.

14. The at least one computer-readable medium of claim 12, wherein the request is included in content presented on a web site accessible by the user.

15. The at least one computer-readable medium of claim 11, wherein automatically and electronically delivering the compliance information comprises sending the user an email.

16. The at least one computer-readable medium of claim 11, wherein (B) comprises making the compliance information accessible via a web site.

17. The at least one computer-readable medium of claim 11, further comprising:

(C) storing an indication of the consent received from the user.

18. The at least one computer-readable medium of claim 11, wherein the compliance information comprises one or more documents from a securities issuer.

19. The at least one computer-readable medium of claim 11, wherein the compliance information comprises a compliance document.

20. The at least one computer-readable medium of claim 11, wherein the compliance information comprises information relating to a security.