TRADING TECH EXHIBIT 2050
`TD Ameritrade v. Trading Technologies
`CBM2014-00133
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`Page 1 of 6
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`Q’ UNITED STATES PATENT AND TRADEMARK OFFICE
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`Commissioner for Patents
`United States Patents and Trademark Office
`P.0.Box 1450
`Alexandria, VA 22313-1450
`www.uspto.g0v
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`THIRD PARTY REQUESTER'S CORRESPONDENCE ADDRESS
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`Date:
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`BRINKS HOFER GILSON & LIONE
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`NBC TOWER, SUITE 3600
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`455 NORTH CITYFRONT PLAZA DRIVE
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`AGO,
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`1
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`M I3\iLE.t:3'
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`JAN 1 5 2005
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`CEl"lTFL4L R'EEXr'-\M.'.’\l.4'\T=”£‘i".l L'."'lT
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`EX PARTE REEXAMINATION COMMUNICATION TRANSMITTAL FORM
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`REEXAMINATION CONTROL NO. : 90008576
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`PATENT NO. : 6772132
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`ART UNIT : 3900
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`Enclosed is a copy of the latest communication from the United States Patent and Trademark Office in the
`above identified ‘ex parte reexamination proceeding (37 CFR 1.550(f)).
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`Where this copy is supplied after the reply by requester, 37 CFR 1.535, or the time for filing a reply has
`passed, no submission on behalf of the ex parte reexamination requester will be acknowledged or
`considered (37 CFR 1.550(9)).
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`Ex Parte Reexamination Certificate
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`Patent Under Reexamination
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`Examiner
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`Jeanne Clark
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`Art Unit
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`3993
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`Control No.
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`90/008,576
`6,772,132
`Notice of Intent to Issue
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`-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address --
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`1. [XI Prosecution on the merits is (or remains) closed in this ex parte reexamination proceeding. This proceeding is
`subject to reopening at the initiative of the Office or upon petition. Cf. 37 CFR 1.313(a). A Certificate will be
`issued in view of
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`(a) D Patent owner’s communication(s) filed:
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`(b) E] Patent owner's late response filed:
`(c) D Patent owner’s failure to file an appropriate response to the Office action mailed:
`(d) [I Patent owner's failure to timely file an Appeal Brief (37 CFR 41.31).
`(e) IX Other: Patent Owner did not file a patent owner’s statement.
`Status of Ex Parte Reexamination:
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`I] Yes [XI No
`(f) Change in the Specification:
`(Q) Change in the Drawing(s): D Yes [XI No
`(h) Status of the Claim(s):
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`(1) Patent claim(s) confirmed: fig.
`(2) Patent claim(s) amended (including dependent on amended claim(s)):
`(3) Patent claim(s) cancelled:
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`-(4) Newly presented claim(s) patentablez
`(5) Newly presented cancelled claims:
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`2. [Z Note the attached statement of reasons for patentability and/or confirmation. Any comments considered
`necessary by patent owner regarding reasons for patentability and/or confirmation must be submitted promptly
`to avoid processing delays. Such submission(s) should be labeled: “Comments On Statement of Reasons for
`Patentability and/or Confirmation."
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`3. D Note attached NOTICE OF REFERENCES CITED (PTO-892).
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`’
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`4. [3 Note attached LIST OF REFERENCES CITED (PTO/SB/08).
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`5. I:] The drawing correction request filed on
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`is:
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`[:1 approved
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`E] disapproved.
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`6. El Acknowledgment is made of the priority claim under 35 U.S.C. § 119(a)-(d) or (f).
`a)D All
`b)EI Some*
`c)I:I None
`of the certified copies have
`El been received.
`D not been received.
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`[:1 been filed in Application No.
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`I:I been filed in reexamination Control No.
`[I been received by the International Bureau in PCT Application No.
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`* Certified copies not received:
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`7. CI Note attached Examiner's Amendment.
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`8. D Note attached Interview Summary (PTO-474).
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`9. C] Other:
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`PTOL-469 (Rev.08-06)
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`Notice of Intent to Issue Ex Parte Reexamination Certificate
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`Part of Paper No --
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`Application/Control Number: 90/008,576
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`*
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`Art Unit: 3993
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`Page 2
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`‘
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`STATEMENT OF REASONS FOR PATENTABILITY AND/OR CONFIRMATION
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`The following is an examiner's statement of reasons for patentability and/or confirmation
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`of the claims found patentable in this reexamination proceeding: The prior art of record fails to
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`teach a method, computer readable medium, or a system having a dynamic display ofbids and
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`asks in a commodity market aligned with a static display of prices corresponding thereto,
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`wherein the static display of prices does not move in response to a change in the inside market in
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`combination with the other claim limitations in independent claims 1, 8 and 14. Dependent
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`claims 2-7, 9-13, and 15-56 are found patentable for the same reason.
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`Although TSE (Orientation) A, TSE (Operation) B, Amazon, and Friesen raised a
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`substantial new question of patentability as set" forth in the order granting reexamination dated
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`August 1, 2007, these references do not anticipate the above-mentioned claim limitations and do
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`not render the claims obvious. TSE (Orientation) A and TSE (Operation) B clearly teach that the
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`display ofprices is automatically updated every three seconds so as to keep the “center price” in
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`the middle of the screen. This teaching is directly counter to the static display ofU.S. Patent No.
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`6,772,132, which uses the static display of prices so that the user does not accidentally place an
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`order at the unintended price (see column 2 lines 56-63). The requester relies on the one
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`statement in TSE (Operation) B on page 640, which states that in the scroll screen the price
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`display locations do not change automatically, for the teaching of a “static” display of prices.
`This teaching does not meet the claim limitations, as it is only a teaching that the automatically
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`centering of the “center price” does not occur when the user is in the scroll mode. If it did, the
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`user would not be able to scroll to the desired price, because the scrolling would result in the
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`Application/Control Number: 90/008,576
`Art Unit: 3993
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`Page 3
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`“center price” not being in the center of the screen. Amazon and Friesen also do not teach such
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`claim limitations nor render the claims obvious.
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`Any comments considered necessary by PATENT OWNER regarding the above
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`statement must be submitted promptly to avoid processing delays. Such submission by the
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`patent owner should be labeled: "Comments on Statement of Reasons for Patentability and/or
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`Confirmation" and will be placed in the reexamination file.
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`Court related documents
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`On October 24, 2007, Patent owner’s representative and the examiner discussed the
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`submission of court related documents and documents material to the examination. To date, the
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`Patent owner has not submitted any such documents. While the examiner does not disagree
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`with the patent owner’s summary of the interview on October 24, 2007, the examiner would like
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`to clarify that the representative was informed that unduly large submissions of documents
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`‘tmay” be returned or not entered in accordance with MPEP 2282. In addition, the examiner is
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`unclear what the patent owner’s representative is suggesting in the last paragraph of their
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`summary. To the extent that the patent owner’s representative is suggesting that the examiner
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`stated that they are excused from their duty of disclosure under 37 CFR 1.56 and 1.555, such is
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`not the case. The examiner has no authority to do so. The patent owner is advised that entry of
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`prior art submissions or any other documents related to the merits of the proceedings must be
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`filed with a petition under 37 CFR '1.182 in accordance with MPEP 2287.
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`Application/Control Number: 90/008,576
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`Page 4
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`Art Unit: 3993
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`Please mail any communications to:
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`Conclusion
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`Attn: Mail Stop “Ex Parte Reexam”
`Central Reexamination Unit
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`Commissioner for Patents
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`P.O. Box 1450
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`Alexandria, VA 22313-1450
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`Please FAX any communications to:
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`(571) 273-9900
`Central Reexamination Unit
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`Please hand-deliver any communications to:
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`Customer Service Window
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`Attn: Central Reexamination Unit
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`Randolph Building, Lobby Level
`401 Dulany Street
`'
`Alexandria, VA 22314
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`Any inquiry concerning this communication or earlier communications from the Examiner, or as
`to the status of this proceeding, should be directed to the Central Reexamination Unit at
`telephone number (571) 272-7705.
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`Signed:
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`__/Jearme M. Clark!
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`Jeanne M C-lark
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`CRU Examiner
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`GAU 3993
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`(571) 272-7714
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`Conferee:
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`Conferee:
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`fig 4 ‘
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