Obtaining consent for electronic delivery of compliance information

• US 7,885,874 B2
• Filed: 05/21/2007
• Issued: 02/08/2011
• 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:
  US11/804,785
• Publication Number:
  US 20070226102A1
• Time in Patent Office: 1,359 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 system for electronic delivery of compliance information, the system comprising at least one processor programmed to:

request consent of a plurality of recipients to deliver compliance information electronically,

wherein requesting consent being unrelated to security measure; and

upon receiving consent from the plurality of recipients, make available to the plurality of recipients an address at which the compliance information is accessible, the address being the same for each of the plurality of recipients.

2. The system of claim 1, wherein the at least one processor is programmed to request consent by sending the plurality of recipients a communication requesting consent over a computer communications link.

3. The system of claim 2, wherein the communication is an email.

4. The system of claim 2, wherein the communication is content presented on a web site accessible by the plurality of recipients.

5. The system of claim 1, wherein making available the address comprises sending an email to at least a portion of the plurality of recipients, the email including a web address at which the information is accessible.

6. The system of claim 1, further comprising at least one storage element operable to store an indication of consent received from any of the plurality of recipients.

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

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

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

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

(A) requesting consent of a plurality of recipients to deliver compliance information electronically, wherein requesting consent being unrelated to security measure; and

(B) upon receiving consent from the plurality of recipients, making available to the plurality of recipients an address at which the compliance information is accessible, the address being the same for each of the plurality of recipients.

11. The at least one computer-readable medium of claim 10, wherein (A) comprises sending the plurality of recipients a communication requesting consent over a computer communications link.

12. The at least one computer-readable medium of claim 11, wherein the communication is an email.

13. The at least one computer-readable medium of claim 11, wherein the communication is content presented on a web site accessible by the plurality of recipients.

14. The at least one computer-readable medium of claim 10, wherein (B) comprises sending an email to at least a portion of the plurality of recipients, the email including a web address at which the compliance information is accessible.

15. The at least one computer-readable medium of claim 10, further comprising instructions defining:

(C) storing an indication of consent received from any of the plurality of recipients.

16. The at least one computer-readable medium of claim 10, wherein the compliance information comprises one or more documents from a securities issuer.

17. The at least one computer-readable medium of claim 10, wherein the compliance information comprises a compliance document.

18. The at least one computer-readable medium of claim 10, wherein the compliance information comprises information relating to a security.