UNITED STATES PATENT AND TRADEMARK OFFICE
`_______________
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`_______________
`
`BLOOMBERG INC.; BLOOMBERG L.P.;
`BLOOMBERG FINANCE L.P.;
`THE CHARLES SCHWAB CORPORATION;
`CHARLES SCHWAB & CO., INC.;
`E*TRADE FINANCIAL CORPORATION; E*TRADE SECURITIES LLC;
`E*TRADE CLEARING LLC; OPTIONSXPRESS HOLDINGS INC.;
`OPTIONSXPRESS, INC.; TD AMERITRADE HOLDING CORP.;
`TD AMERITRADE, INC.; TD AMERITRADE IP COMPANY, INC.; and
`THINKORSWIM GROUP INC.
`Petitioners,
`
`v.
`
`MARKETS-ALERT PTY LTD.
`Patent Owner.
`____________
`
`Case CBM2013-00005 (JYC)
`Patent 7,941,357
`____________
`
`
`
`
`
`
` Before JAMESON LEE, SALLY C. MEDLEY, and JONI Y. CHANG,
`Administrative Patent Judges.
`
`
`
`PATENT OWNER MARKETS-ALERT
`MOTION TO AMEND
`
`
`

`

`Case No. CBM2013-00005 (JYC)
`Patent 7,941,357
`
`
`
`On March 29, 2013, the Board issued its Decision, Institution Of Covered
`
`Business Method Patent Review (“Decision”) on the Petition For Post-Grant
`
`Review Of A Covered Business Method (“CBM Review”) Under 35 U.S.C. §321
`
`and §18 (“Petition”). The Board granted CBM Review of Claims 1-4 of U.S.
`
`Patent No. 7,941,357 (“‘357 Patent”) on four grounds:
`
`(i.) Whether the ‘357 Patent is anticipated by PCT Publication No. WO
`00/11587, Mar. 2, 2000 (“Satow”) (Ex. 1004) under 35 U.S.C. §102;
`
`
`(ii.) Whether the ‘357 Patent is anticipated by Product Review:
`TradeStation 4.0 Build 15, Stocks & Commodities, Dec. 1996 at 649
`(“S&C Review”) (Ex. 1005) under 35 U.S.C. §102;
`
`
`(iii.) Whether the ‘357 Patent is anticipated by AIQ Opening Bell Monthly,
`Vol. 8 Issue 10, October 1999 (“Opening Bell”) (Ex. 1014) under 35
`U.S.C. §102; and
`
`
`(iv.) Whether the ‘357 Patent is obvious under 35 U.S.C. §103 over U.S.
`Patent No. 5,954,793, Sep. 21, 1999 (“Stutman”) (Ex. 1015) and
`Opening Bell.
`
`
`Decision at 40. All other grounds were denied. Decision at 40.
`
`Pursuant to the Board’s Scheduling Order (No. 19), Order, Conduct of the
`
`Proceedings (No. 22), and 37 C.F.R. §42.221, Patent Owner Markets-Alert Pty.
`
`Ltd. (“Markets-Alert”) hereby moves to amend the ‘357 Patent.
`
`I.
`
`INTRODUCTION
`
`The ‘357 Patent currently contains originally issued Claims 1-4 (“Original
`
`Claims”). Pursuant to 37 C.F.R. §42.221 (a), Markets-Alert hereby cancels Claims
`
`
`
`1
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`Case No. CBM2013-00005 (JYC)
`Patent 7,941,357
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`1-4 and adds new Claims 5-8 (“New Claims”) in order to more particularly point
`
`out the claimed invention and the distinctions over the prior art references cited in
`
`this proceeding.1 All of the subject matter in the New Claims are fully supported
`
`by the original and earlier-filed disclosures of the ‘357 Patent. The amendments
`
`do not enlarge the scope of the claims or introduce new subject matter. The
`
`amendments respond to and overcome grounds (i) to (iv) of the Decision.
`
`Therefore, Markets-Alert respectfully requests the Board to grant this Motion to
`
`Amend and conduct these proceedings based on the New Claims.
`
`II. CLAIM LISTING
`
`Pursuant to 37 C.F.R. §42.221 (b), a claim listing showing the changes is set
`
`forth below. The claims of the ‘357 Patent are hereby amended, cancelled and
`
`substituted as follows:
`
`Claims 1-4 are cancelled.
`
`(cancelled) A method of informing users of stock market events
`1.
`comprising the steps of:
`
`(a) receiving real-time stock market data on a network of computers;
`
`
`
`(b) receiving on the network of computers instructions from a user to
`
`specify watch data defining an event, the watch data including a stock
`market technical analysis request specifying technical analysis formulae to
`be applied to the real-time stock market data;
`
`
`
`1 Only one substitute claim has replaced each challenged claim.
`
`
`
`2
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`(c) using the network of computers to periodically apply the user-
`
`specified watch data including the stock market technical analysis formulae
`to the real-time stock market data in real-time to ascertain whether a valid
`response to the watch data has occurred based on the real-time stock market
`data, thereby determining an occurrence of the event defined by the user-
`specified watch data; and
`
`
`(d) causing a real-time notification by the network of computers to be
`provided to the user via a remote communications device upon the
`occurrence of the event defined by the user-specified watch data, the real-
`time notification directed to a remote communications device of the user so
`that the user can then provide instructions for share market transactions on
`an instantaneous basis.
`
`(cancelled) A method as claimed in claim 1, wherein receiving step
`2.
`(b) includes receiving instructions from the user to provide technical
`analysis criteria for specific stocks, and providing the requested technical
`analysis criteria for the specific stocks via the remote communications
`device.
`
`(cancelled) A method as claimed in claim 1, wherein receiving step
`3.
`(b) includes receiving instructions from the user to provide technical
`analysis criteria of overall stock market trends, and providing the requested
`technical analysis criteria of the overall stock market trends via the remote
`communications device.
`
`(cancelled) A method as claimed in claim 1, wherein the remote
`4.
`communications device comprises a users fixed or mobile telephone, a
`personal computing device, a facsimile or pager of the user.
`
`New Claims 5-8 are proposed as substitute claims. For the Board’s
`
`convenient reference, the language in New Claims 5-8 that was not previously
`
`contained in the original claims is underlined.
`
`
`
`3
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`Case No. CBM2013-00005 (JYC)
`Patent 7,941,357
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`(new – proposed substitute claim) A real-time method of providing
`5.
`technical analysis and notification of stock market events comprising the
`steps of:
`
`receiving real-time stock market data on a provider’s network of
`
`computers, which is server-based, scalable and redundant;
`
`receiving watch data specified by a user on the provider’s network of
`
`computers, from a user system in remote communication with the provider’s
`network of computers, wherein the user-specified watch data comprises a
`request to apply more than one technical analysis formula for predicting
`price trends based on market action and defines a valid stock market event;
`
`
`applying the watch data to the real-time stock market data as the real-
`time stock market data is received by the provider’s network of computers to
`determine if the valid stock market event has occurred; and
`
`generating a notification in real-time when the valid stock market
`event has been determined to have occurred by the provider’s network of
`computers, wherein the notification is provided in real-time by the
`provider’s network of computers to a remote communication device of the
`user.
`
`
`(new – proposed substitute claim) The method of Claim 5 further
`6.
`comprising the steps of:
`
`updating a cache of stock market data on a data server on the
`
`provider’s network of computers in real time;
`
`
`applying the technical analysis formula to the cache of stock market
`data on the provider’s network of computers based on the user specified
`watch data to generate a technical analysis indicator;
`
`updating the technical analysis indicator in real-time as the stock
`market data is received; and
`
`
`
`
`4
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`Case No. CBM2013-00005 (JYC)
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`
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`determining in real-time as the stock market data is received if a valid
`stock market event has occurred based on the technical analysis indicator
`and user specified watch data.
`
`(new – proposed substitute claim) The method of Claim 6 wherein
`7.
`the step of generating a real-time notification further comprises the step of:
`
`including in the real-time notification a live link between the user’s
`remote communication device and the provider’s network of computers, to
`enable the user to provide an instruction for a stock market transaction from
`the notification.
`
`(new – proposed substitute claim) A real-time system for providing
`8.
`technical analysis and notification of stock market events comprising:
`
`a network guardian, which comprises one or more switches, for
`
`receiving watch data specified by a user from a user system in remote
`communication with the system and for routing and load balancing across
`the system, wherein the user-specified watch data comprises a request to
`apply more than one technical analysis formula for predicting price trends
`based on market action and defines a valid stock market event;
`
`a history database subsystem, which comprises one or more history
`clients, for receiving, storing and distributing stock market data in real-time,
`throughout the system;
`
`an alert managing subsystem, which comprises one or more alert
`clients and is networked to the history database subsystem by the network
`guardian, for requesting stock market data from the history clients in
`accordance with the user-specified watch data, for applying technical
`analysis in real-time to the stock market data to determine if the valid stock
`market event has occurred in accordance with the user-specified watch data,
`and for generating a notification in real-time when the valid stock market
`event has been determined to have occurred; and
`
`an output connector, which is networked to the alert managing
`subsystem by the network guardian, for providing the notification in real-
`time to a remote communication device of the user.
`
`5
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`Case No. CBM2013-00005 (JYC)
`Patent 7,941,357
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`III. SUPPORTING DISCLOSURE
`
`Pursuant to 37 C.F.R. §42.221 (b), each of New Claims 5-8 is fully
`
`supported by the original and earlier-filed disclosures of the ‘357 Patent, including
`
`U.S. Application No. 10/415,022, PCT Publication No. WO 02/35400A1, and
`
`Australian Application No. 2001100512A4. As the Board rejected all of the 35
`
`U.S.C. § 112 challenges by Petitioners against the Original Claims, Decision at 23-
`
`26, Markets-Alert hereby demonstrates the support for the New Claims with
`
`respect to the claim language not previously contained in the Original Claims (as
`
`shown in the Claim Listing), as supported by the Declaration of Neal Goldstein
`
`(“Goldstein Decl.”) (Ex. 2023).
`
`A. New Claim 5
`
`New Claim 5 recites the steps of:
`
`receiving real-time stock market data on a provider’s network of
`
`computers, which is server-based, scalable and redundant;
`
`receiving watch data specified by a user on the provider’s network of
`
`computers, from a user system in remote communication with the provider’s
`network of computers, wherein the user-specified watch data comprises a
`request to apply more than one technical analysis formula for predicting
`price trends based on market action and defines a valid stock market event;
`
`
`applying the watch data to the real-time stock market data as the real-
`time stock market data is received by the provider’s network of computers to
`determine if the valid stock market event has occurred; and
`
`
`
`
`6
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`Case No. CBM2013-00005 (JYC)
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`generating a notification in real-time when the valid stock market
`event has been determined to have occurred by the provider’s network of
`computers, wherein the notification is provided in real-time by the
`provider’s network of computers to a remote communication device of the
`user.
`
`
`The language not previously contained in the Original Claims include
`
`“provider’s” and “which is server-based, scalable and redundant,” with respect to
`
`the network of computers. In its Decision, the Board construed “network of
`
`computers” to mean “a plurality of interconnected computers… includ[ing] any
`
`number of computers connected together to communicate which includes a PC
`
`connected to the Internet, which itself is a network of computers.” Decision at 15.
`
`However, the Original Claims were never intended to cover such an overly broad
`
`scope for network of computers, as evidenced by the embodiments described in the
`
`specification, e.g., Figures 1 and 2, and the prosecution history.
`
`In response to the Board’s claim construction, New Claim 5 explicitly
`
`recites that the network of computers is a server-based, scalable and redundant
`
`infrastructure provided by a provider of the claimed system. The amended
`
`language excludes a third-party personal computer (PC) connected to the Internet
`
`by itself or just the Internet in general, as comprised by multiple third-party PCs.
`
`That is, while a third-party PC connected to the Internet or multiple, inter-
`
`networked third-party PCs may be part of, connected to, or in communication with
`
`
`
`7
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`the claimed network of computers, they do not by themselves constitute the
`
`claimed network of computers.
`
`This clarifying language is fully supported by the specification of the ‘357
`
`Patent, which describes that a “provider” receives the stock market data on a
`
`network of computers and provides the various functionalities recited in the claim.
`
`See e.g., Ex. 2001 at Col. 1:55-65 (“According to the present invention there is
`
`provided a method of share trading comprising the steps of: (a) a provider
`
`receiving stock market data on a network of computers… (c) the provider
`
`providing a message to the user…”). Thus, the specification supports a network of
`
`computers provided by a provider.
`
`The ‘357 Patent also describes “[a] plurality of integrated and related
`
`systems… provided to achieve information transfer” comprising a “server switch
`
`box,” “exchange data server,” and “drone computers” connected in a scalable and
`
`redundant fashion to allow the server infrastructure and its various components to
`
`be scaled up or down as needed, and ensure high availability, as further illustrated
`
`in network configurations show in Figures 1 and 2 below. Ex. 2001 at Cols. 2:26-
`
`47, 3:1-15 and 3:65-67; Ex. 2023 at ¶73 . “Any switches main job is keeping the
`
`network free from traffic bouncing between many erroneous servers before getting
`
`
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`to its destination. Switchboxes are also used to apply ‘load balancing’ to
`
`components of the network which are connected to it.” Ex. 2001 at Col. 4:21-27.
`
`
`
`
`
`Figure 1 above shows a Server Switch Box 2 networked to Drone
`
`Computers 3 according to one aspect of the invention. Data is sent to the Drone
`
`Computers and messages are sent from the Switch Box to the SMS Server. Figure
`
`2 below shows an extended embodiment in which a series of History Clients and
`
`Alert Clients are networked by Switch #1. An Alert Manager manages the Alert
`
`Clients. The Guardian balances the network across Switches #1 and #2. Ex. 2001
`
`
`
`9
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`Case No. CBM2013-00005 (JYC)
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`at Col. 4:4-9 (“The guardian keeps track of all major servers on the network.
`
`Major servers being single within the given locality. The guardian also has the
`
`ability to funnel small amounts of data from loan management tools and
`
`administrator tools directly to the switchbox for routing and processing.”).
`
`
`
`The network of computers is therefore server-based. In addition, the
`
`configuration and interconnection of the elements and components of the network
`
`teaches a person of ordinary skill in the art that the network may be scaled up or
`
`down as needed and provides redundancy, which leads to high availability.
`
`
`
`10
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`Ex.2023 at ¶74 . Thus, the specification supports a network of computers that is
`
`server-based, scalable and redundant.
`
`New Claim 5 also recites a “more than one technical analysis formula for
`
`predicting price trends based on market action.” In its decision, the Board
`
`construed “technical analysis” to mean “any analysis of price and volume” and
`
`“technical analysis formula” to mean the “corresponding formula to perform the
`
`technical analysis,” Decision at 18-19, including determining that “price and
`
`volume are met or matched” for buy and sell orders, Decision at 28. However, the
`
`Original Claims were never intended to cover such an overly broad scope for
`
`technical analysis.
`
`In response to the Board’s claim construction, New Claim 5 explicitly
`
`recites that technical analysis requires more than just any analysis of price and
`
`volume. Technical analysis is a term of art and would be understood by a person
`
`of ordinary skill in the art to require using a technical analysis formula on data
`
`(such as price and/or volume) to predict price trends based on market action, in an
`
`analytical fashion. Ex. 2027 at 1 (“Technical analysis is the study of market action,
`
`primarily through the use of charts, for the purpose of forecasting future price
`
`trends.”); Ex. 2023 at ¶40. Here, prediction requires an analytical approach to
`
`predicting price trends, as opposed to just “eyeballing” the stock market data. Ex.
`
`
`
`11
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`2001 at Col. 4:59-60 (“The system is more accurate and mathematical in its
`
`interpretation of results.”); Ex. 2023 at ¶42; Ex. 2025 at 36:10-14 (contrasting just
`
`looking at a ticker of information and charting the information). Neither raw stock
`
`market data nor buy and sell orders involve any analytical prediction of price
`
`trend. Ex. 2023 at ¶42. Even Petitioners’ expert ultimately admits that technical
`
`analysis means more than just price and volume. For example, in discussing
`
`Stutman, Petitioners’ expert conceded that even though Stutman disclosed stock
`
`information, that alone did not mean Stutman disclosed technical analysis. Ex.
`
`2025 at 202:17-204:15. Thus, the amended language is not met by just viewing
`
`raw stock market data and matching buy and sell order by themselves.
`
`This clarifying language is supported by the ‘357 Patent specification. A
`
`provider’s network of computers receives watch data including technical analysis
`
`formulas and indicators. Ex. 2001 at Col. 2:47-58. Traders use technical analysis
`
`to generate indicators or signals, which in turn may inform decisions on whether or
`
`not to transact (e.g., buy, sell or hold). Ex. 2027 at 11; see e.g., Ex. 2001 at Cols.
`
`1:30-35 and 4:43-63 (“Technical Analysis indicators… can inform you of an
`
`‘indicated’ signal to do whatever the indicator was designed to inform the user
`
`of….”); Ex. 2023 at ¶ 45. Therefore, the foregoing disclosures provide support for
`
`
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`12
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`the clarification that technical analysis is an analytical approach to predicting price
`
`trends based on market action.
`
`New Claim 5 further clarifies that user-specified watch data is received
`
`“from a user system in remote communication with the provider’s network of
`
`computers.” As described in the specification of the ‘357 Patent, “[t]he network of
`
`computers can include components that receive user input commands,” Ex. 2001 at
`
`Col. 2:6-9, such as a switch, switching box, or server switch box, id. at Col. 2:29-
`
`38; see e.g., id. at Figures 1 and 2. Ex. 2023 at ¶76. The input switch receives
`
`watch data from a “second system,” such as a user’s mobile device or personal
`
`computing device, Ex. 2001 at Col. 2:3-5, which is in remote communication with
`
`the provider’s network of computers, id. at Col. 2:6-14. Exhibit 2023 at ¶76.
`
`Therefore, the foregoing disclosures provide support for receiving watch data from
`
`a user system in remote communication with the provider’s network of computers.
`
`New Claim 5 also introduces “a valid stock market event,” which merely
`
`combines and makes explicit the language in the Original Claims with respect to an
`
`event and a valid response. This claim term is supported by the Original Claims.
`
`New Claim 5 also changes “causing” to “generating” with respect to the
`
`real-time notification, which is supported by the description that the alert client is
`
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`“responsible for generating the final alert which is sent via the output service.” Ex.
`
`2001 at Col. 4:34-39; see also id. at Col. 4:10-11; Ex. 2023 at ¶79.
`
`New Claim 5 also clarifies the language in the Original Claims with respect
`
`to real-time. Technical analysis is applied in real-time “as the real-time stock
`
`market data is received.” A notification is generated in real-time “when the valid
`
`stock market event has been determined to have occurred.” The real-time
`
`notification is “provided in real-time” by the network of computers. These
`
`clarifications of real-time are supported by the Original Claims and the
`
`descriptions that the drone computers apply the technical analysis at a specified
`
`interval, Ex. 2001 at Col. 3:47-51, including as the data is received, and that
`
`“[t]echnical analysis indicators can be set to ‘repeat’ over a certain period and can
`
`be told to alert the user when an ‘event’ happens,” Ex. 2001 at Col. 4:49-51. Thus,
`
`New Claim 5 is fully supported.
`
`B. New Claim 6
`
`New Claim 6 recites the dependent steps of:
`
`updating a cache of stock market data on a data server on the
`
`provider’s network of computers in real time;
`
`
`applying the technical analysis formula to the cache of stock market
`data on the provider’s network of computers based on the user specified
`watch data to generate a technical analysis indicator;
`
`
`
`
`14
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`Case No. CBM2013-00005 (JYC)
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`updating the technical analysis indicator in real-time as the stock
`market data is received; and
`
`determining in real-time as the stock market data is received if a valid
`stock market event has occurred based on the technical analysis indicator
`and user specified watch data.
`
`Since New Claim 6 depends from New Claim 5, it is therefore supported for
`
`the same reasons with respect to subject matter from New Claim 5. New Claim 6
`
`includes the additional steps of “updating a cache of stored stock market data on a
`
`data server,” generating and updating “a technical analysis indicator,” and
`
`“determining in real-time as the stock market data is received if a valid stock
`
`market event has occurred based on the technical analysis indicator and user
`
`specified watch data.” These additional steps are supported by the specification of
`
`the ‘357 Patent.
`
`The network of computers may include “history servers,” which “scoop”
`
`data from a data feed so that the data is stored and accessible on the network. Ex.
`
`2001 at Col. 3:1-12; Ex. 2023 at ¶82. “A central data storage has been created to
`
`house the databases created by the history server.” Ex. 2001 at Col. 3:16-17; Ex.
`
`2023 at ¶82. Therefore, the foregoing disclosures support the additional step of
`
`updating a cache of stored stock market data on a data server.
`
`As explained previously with respect to New Claim 5, technical analysis
`
`provides the user with technical analysis indicators or signals. The ‘357 Patent
`
`
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`15
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`specification also describes that the formulas, indicators and signals are applied,
`
`generated and updated. Ex. 2001 at Col. 2:51 (“To repetitively calculate users
`
`requested ‘watch data’….”), 3:47-53 (“The drone then analyzes[sic] the stock
`
`market at a specified interval[sic]….”), and 4:49-52 (“Technical analysis indicators
`
`can be set to ‘repeat’ over a certain period….”). A person of ordinary skill in the
`
`art would understand that technical analysis indicators are part of the analytical
`
`approach of technical analysis. Ex. 2023 at 83. Therefore, the foregoing
`
`disclosures provide support for the additional step of generating and updating a
`
`technical analysis indicator.
`
`The ‘357 Patent specification further describes that users provide “technical
`
`indicator instructions,” which include technical analysis formula. Ex. 2001 at Col.
`
`3:47-5 (“The drone processes messages from users (sent via the switch). These
`
`messages are technical indicator instructions. The drone… applies the users[sic]
`
`chosen technical analysis indicators formulas to the data.”); Ex. 2023 at ¶84. Thus,
`
`technical analysis is applied to stock market data to determine “[i]f the data is a
`
`valid technical response” based on the user-specified watch data. Ex. 2023 at ¶84;
`
`Ex. 2001 at Col. 2:51-58 (“To repetitively calculate users requested ‘watch data’
`
`(an event set by the user to trigger an alert which is sent to the users[sic] mobile or
`
`static device).”); Ex. 2023 at ¶84. A person of ordinary skill in the art would
`
`
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`understand that determination of a valid stock market event would be based on the
`
`technical analysis indicator and user specified watch data. Ex. 2023 at ¶85.
`
`Therefore, the foregoing disclosures provide support for the additional step of
`
`determining in real-time as the stock market data is received if a valid stock market
`
`event has occurred based on the technical analysis indicator and user specified
`
`watch data. Thus, New Claim 6 is fully supported.
`
`C. New Claim 7
`
`New Claim 7 recites the dependent step of:
`
`including in the real-time notification a live link between the user’s
`remote communication device and the provider’s network of computers, to
`enable the user to provide an instruction for a stock market transaction from
`the notification.
`
`Since New Claim 7 depends from New Claim 6, which depends from New
`
`Claim 1, it is therefore supported for the same reasons with respect to subject
`
`matter from New Claims 5-6. New Claim 7 includes the additional step of
`
`including a “live link” to “enable the user to provide an instruction for a stock
`
`market transaction from the notification.” This additional step is supported by the
`
`specification of the ‘357 Patent.
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`The claimed network of computers is set up to exchange data and receive
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`instructions from a user. Ex. 2001 at Col. 2:12-14 (“The users[sic] second system
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`software component can send input commands to a software environment that is
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`running on the network of computer systems.”); Ex. 2023 at ¶87. For example,
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`from a “Wap enabled phone or mobile input device, the user sends a message or
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`command from a second system device, which is then intercepted by the switching
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`box.” Ex. 2001 at Col. 2:29-33 and Figure 1; Ex. 2023 at ¶87.
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`Instructions going from the user to the network of computers include those
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`instructions related to setting up the watch data, see e.g., Ex. 2001 at Col. 3:47-55,
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`as well as “instructions for share market transactions,” id. at Col. 6:3-4. Ex. 2023
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`at ¶88. As noted by the Board, a person of ordinary skill in the art would
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`understand that a share market transaction refers to a stock market transaction.
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`Decision at 25. In addition, a person of ordinary skill in the art would understand
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`that being able to input commands to a software environment would include a link
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`between the network of computers and the remote communication device. Ex.
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`2023 at ¶88; see e.g., Ex. 2001 at Figures 1 and 2 (showing pathway configuration
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`to and from the user for instructions and notifications).
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`For example, element 1 (Internet, WAP Phone or Mobile Input Device) and
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`element 6 (SMS Communication Device) may refer to the same element. See Ex.
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`2001 at Col. 2:3-5 and 2:41-42 (showing that the alerts are routed to user
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`computers or mobile handsets, which may also comprise the second system used to
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`input the user instructions); Ex. 2023 at 89. That link may further be “live” and
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`included with the notification that is already sent to the user, in order to enable the
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`user to send back an instruction. Id. at ¶89. Therefore, the foregoing disclosures
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`provide support for the additional step of including in the real-time notification a
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`live link between the user’s remote communication device and the provider’s
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`network of computers, to enable the user to provide an instruction for a stock
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`market transaction from the notification. Thus, New Claim 7 is fully supported.
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`D. New Claim 8
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`New Claim 8 recites a system with structural and functional limitations
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`substantially the same as those described in Claims 5-7:
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`a network guardian, which comprises one or more switches, for
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`receiving watch data specified by a user from a user system in remote
`communication with the system and for routing and load balancing across
`the system, wherein the user-specified watch data comprises a request to
`apply more than one technical analysis formula for predicting price trends
`based on market action and defines a valid stock market event;
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`a history database subsystem, which comprises one or more history
`clients, for receiving, storing and distributing stock market data in real-time,
`throughout the system;
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`an alert managing subsystem, which comprises one or more alert
`clients and is networked to the history database subsystem by the network
`guardian, for requesting stock market data from the history clients in
`accordance with the user-specified watch data, for applying technical
`analysis in real-time to the stock market data to determine if the valid stock
`market event has occurred in accordance with the user-specified watch data,
`and for generating a notification in real-time when the valid stock market
`event has been determined to have occurred; and
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`an output connector, which is networked to the alert managing
`subsystem by the network guardian, for providing the notification in real-
`time to a remote communication device of the user.
`It is therefore supported for the same reasons with respect to the subject
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`matter in Claims 5-7. In particular, based on the descriptions cited in the previous
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`sections, the functional limitations are similarly supported in the system
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`environment. Ex. 2023 at ¶90. The language not previously contained in the
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`Original Claims or New Claims 5-7 are supported by the specification of the ‘357
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`Patent, particularly Figures 1 and 2.
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`As illustrated in Figure 2 below, the ‘357 Patent specification describes a
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`“Guardian” that “keeps track of all major servers on the network” and “has the
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`ability to funnel small amounts of data from load management tools and
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`administrator tools directly to the switchbox for routing and processing.” Ex. 2001
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`at Col. 4:4-9. The specification further describes a plurality of “switch server(s),”
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`which are “routing device[s]” whose main job is “keeping the network free from
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`traffic bouncing” and applying “load balancing” across the network. Ex. 2001 at
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`Col. 4:21-27; Ex. 2023 at ¶92. “A server switch box can receive all messages sent
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`from any computer or device connected or connecting to the system.” Ex. 2001 at
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`Col. 2:36-38; Ex. 2023 at ¶92. “The network of computers can include
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`components that receive user input commands for a software environment
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`component residing on the network of computers controlled by the users second
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`system.” Ex. 2001 at Col. 2:6-9.
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`
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`As shown in Figure 1 below, a “Server Switch Box” receives a message
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`from “Internet, WAP phone or Mobile Input Device,” which is then sent to/from
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`“Drone Computers.” Ex. 2001 at Figure 1. A message is then sent to the “SMS
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`Server Software” to be sent to the “SMS Communication Device.” Id.; Ex. 2023 at
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`¶93. Thus, the foregoing disclosures provide support for the network guardian
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`element and its limitations.
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`The history server subsystem is supported by the description of the
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`alternative configuration. Ex. 2001 at Col. 3:1-20 (“[O]ne or more ‘history servers’
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`can be added, the purpose of which is to provide data to any of the computers
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`connected to the network.”). “The history server is in place so that it can act as a
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`gateway to the exchange of data feed.” Id. at Col. 3:5-6. “The history server
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`scoops all of the data out of the data feed as it comes along, so that the data never
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`needs to be requested from an outside source more than once.” Id. at Col. 4:7-9;
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`Ex. 2023 at ¶ 94. Figure 2 shows that there ar