TRADING TECH EXHIBIT 2063
`TD Ameritrade v. Trading Technologies
`CBM2014-00133
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`Amendments to the Claims
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`In accordance with 37 CFR 1.121, please amend claims 41, 46, 50-51, 53-55, and
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`59-60 as set forth below.
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`1.-40.
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`(Cancelled).
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`41.
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`(Currently amended) A method of canceling an order entered for a commodity at
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`an electronic exchange, the method comprising:
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`receiving data relating to the commodity from the electronic exchange, the data
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`comprising an inside market having a current highest bid price and a current lowest ask
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`price available for the commodity;
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`setting a trade order parameter;
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`dynamically displaying a first indicator at a first area corresponding to a first price
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`level along a static price axis, the first indicator being associated with the current highest
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`bid price for the commodity;
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`dynamically displaying a second indicator at a second area corresponding to a
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`second price level along the static price axis, the second indicator being associated with
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`the current lowest ask price for the commodity;
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`updating the dynamic display of the first and second indicators such that at least
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`one of the first and second indicators is moved relative to the static price axis to a
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`different area corresponding to a different price level along the static price axis in
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`response to the receipt of new data representing a new inside market;
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`displaying an order entry region comprising a plurality of areas, each area
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`corresponding to a price level along the static price axis and each area being selectable by
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`a user input device so as to receive a command to send an order message based on the
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`trade order parameter and the price level that corresponds with the selected area to the
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`electronic exchange;
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`displaying an entered order indicator at a location corresponding to a particular
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`price level along the static price axis, the entered order indicator being associated with an
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`order entered at the electronic exchange at the particular price level; and
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`receiving a single action command that selects the location associated with the
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`entered order indicator so as to cancel the order at the electronic exchange.
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`42.
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`(Previously presented) The method of claim 41, wherein the single action
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`command consists of a single click of a user input device.
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`43.
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`(Previously presented) The method of claim 41, wherein the single action
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`command consists of a double click of a user input device.
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`44.
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`(Previously presented) The method of claim 41, wherein the single action
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`command comprises one or more clicks of a user input device within a short period of
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`time .
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`45.
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`(Previously presented) The method of claim 41, wherein the single action
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`command consists of an action taken by a user within a short period of time.
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`46.
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`(Currently amended) The method of claim 41, further comprising:
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`displaying an entered order region for displaying the entered order indicator, the
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`entered order region comprising a plurality of locations, such that each location
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`corresponds to a price level along the static price axis.
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`47.
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`(Previously presented) The method of claim 41, wherein the entered order
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`indicator displays a current status of the order at the electronic exchange.
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`48.
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`(Previously presented) The method of claim 47, wherein displaying the current
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`status comprises dynamically displaying a number of ordered lots of the commodity that
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`have been bought or sold since the order was placed at the electronic exchange.
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`49.
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`(Previously presented) The method of claim 47, wherein displaying the current
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`status comprises dynamically displaying a number of ordered lots of the commodity that
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`are currently working at the particular price level since the order was placed at the
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`electronic exchange.
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`50.
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`(Currently amended) The method of claim 47, wherein price levels along the
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`static price axis are displayed.
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`51.
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`(Currently amended) The method of claim 10, wherein the static price axis is
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`positioned vertically, horizontally, or at some other angle.
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`52.
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`(Previously presented) The method of claim 41, further comprising:
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`receiving a command to enter the order at the electronic exchange, the command
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`resulting from selecting a particular area in the order entry region corresponding to a
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`desired price level as part of a single action of a user with a pointer of the user input
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`device positioned over the particular area to both set an order price parameter for the
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`order based on the desired price level and send the order to the electronic exchange.
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`53.
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`(Currently amended) The method of claim 1, further comprising:
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`receiving of [[an]] a re-positioning instruction causing the price levels to change
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`positions along the static price axis.
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`54.
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`(Currently amended) The method of claim 53, wherein the re-positioning
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`instruction is a re-centering command.
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`55.
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`(Currently amended) The method of claim 54, wherein as a result of the first and
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`second indicators moving away from the center portion of the static price axis because of
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`changes in the inside market, the re-centering command positions the first and second
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`indicators back in a center portion of the static price axis.
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`56.
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`(Previously presented) The method of claim 16, wherein the re-centering
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`command is further based on receipt of a manual command from a user input device.
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`57.
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`(Previously presented) The method of claim 53, wherein the price levels change
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`positions when a value for each price level dynamically changes to a different value for
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`each price level.
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`58.
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`(Previously presented) The method of claim 41, wherein the trade order parameter
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`is an order quantity.
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`59.
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`(Currently amended) A computer readable medium having program code
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`recorded thereon for execution on a computer having a graphical user interface and a user
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`input device, the program code causing a machine to perform the following method steps:
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`receiving data relating to the commodity from the electronic exchange, the data
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`comprising an inside market having a current highest bid price and a current lowest ask
`
`price available for the commodity;
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`setting a trade order parameter;
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`dynamically displaying a first indictor at a first area corresponding to a first price
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`level along a static price axis, the first indicator being associated with the current highest
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`bid price for the commodity;
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`dynamically displaying a second indicator at a second area corresponding to a
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`second price level along the static price axis, the second indicator being associated with
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`the current lowest ask price for the commodity;
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`updating the dynamic display of the first and second indicators such that at least
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`one of the first and second indicators is moved relative to the static price axis to a
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`different area corresponding to a different price level along the static price axis in
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`response to the receipt of new data representing a new inside market;
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`displaying an order entry region comprising a plurality of areas, each area
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`corresponding to a price level along the static price axis and each area being selectable by
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`a user input device so as to receive a command to send an order message based on the
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`trade order parameter and the price level that corresponds with the selected area to the
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`electronic exchange;
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`displaying an entered order indicator at a location corresponding to a particular
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`price level along the static price axis, the entered order indicator being associated with an
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`order entered at the electronic exchange at the particular price level; and
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`receiving a single action command that selects the location associated with the
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`entered order indicator so as to cancel the order at the electronic exchange.
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`60.
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`(Currently amended) The computer readable medium of claim 59, further
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`comprising causing the program code causing a machine to perform the following
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`method step:
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`receiving a command to enter the order at the electronic exchange, the command
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`resulting from selecting a particular area in the order entry region corresponding to a
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`desired price level as part of a single action of a user with a pointer of the user input
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`device positioned over the particular area to both set an order price parameter for the
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`order based on the desired price level and send the order to the electronic exchange.
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`REMARKS
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`I.
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`Summagv_ of the Office Action
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`In the Office Action mailed April 18, 2008 (“Office Action”), (1) claims 41-60
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`were rejected under 35 U.S.C. 112, first paragraph, as failing to comply with the written
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`description requirement; (2) claim 53 was rejected under 35 U.S.C. § 112, second
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`paragraph, as being indefinite for failing to point out and distinctly claim the subject
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`matter which Applicants regard as the invention; (3) claims 41-60 were rejected on the
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`ground of nonstatutory obviousness-type double patenting; and (4) claims 41-60 were
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`rejected under 35 U.S.C. § 103(a) as being unpatentable over Tokyo Stock Exchange
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`Futures/Options Trading System.
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`II.
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`Status of the Claims
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`Upon entry of the foregoing amendment, claims 41-60 are currently pending.
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`Claims 41, 46, 50-51, 53-55, and 59-60 are currently amended. Support for the
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`amendment is found throughout the specification, more of which is described below, and
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`therefore no new matter is added.
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`III.
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`Substance of the Interview
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`Applicants thank Examiner Weisberger for the telephone interview held on May
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`12, 2008 and briefly continued on May 15, 2008 with Applicants’ representative, Mark
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`Triplett. The presently pending claims and specification, in addition to the Office Action,
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`were the subject of the discussion. The discussion resulted in an agreement between Mr.
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`Triplett and the Examiner that all rejections are overcome with the addition of a few
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`clarifying amendments. The amendments to the claims and many of the remarks made in
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`this response reflect the discussion with the Examiner. Additionally, the Examiner was
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`made aware that an Information Disclosure Statement will soon be filed and that
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`Applicants would rely on the priority date of the provisional application, serial no.
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`60/186,322 filed on March 2, 2000, when making decisions as to whether art may be
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`material to patentability of the present claims. Examiner acknowledged that claims of the
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`present application are entitled to the March 2, 2000 priority date.
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`IV.
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`Claim Amendments
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`Applicants agreed to a few clarifying amendments during the Interview. For
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`example, Applicants agreed to add the words “static” in relation to the claimed “price
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`axis” and “dynamically displaying” and “dynamic” in relation to the display of the first
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`and second indicators. These amendments are being made for the purpose making
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`explicit that the price axis in the claims is “static” as opposed to “dynamic,” which was
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`already implicit in the claims. Specifically, as discussed with the Examiner, these
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`amendments do not substantively narrow the claim because the step of updating in the
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`previously presented claims provided for at least one of the first and second indicators to
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`move relative to the price axis in response to the receipt of new data representing a new
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`inside market. This amendment was agreed upon with the understanding that “static”
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`means what is stated in the specification — that the price levels “do not normally change
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`positions unless a recentering command is received.” The Examiner acknowledged that
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`the term “static” is not limited to situations where the price levels do not change positions
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`unless a manual recentering command is received, but includes situations where the price
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`levels change positions in response to either a manual (under the control of the user) or
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`automatic (outside of the user’s control) re-positioning command.
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`V.
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`Rejections made under 35 U.S.C. § 112, first paragraph
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`As indicated above, claims 41-60 were rejected under 35 U.S.C. § 112, first
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`paragraph, as failing to comply with the written description requirement. Particularly, the
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`Office Action contended that the claims contain subject matter that is not described in the
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`specification in such a way as to reasonably convey to one skilled in the relevant art that
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`the inventor(s), at the time the application was filed, had possession of the claimed
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`invention. The subject matter referred to in the Office Action was: “displaying an
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`entered order indicator at a location corresponding to a particular price level along the
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`price axis, the entered order indicator being associated with an order entered at the
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`electronic exchange at the particular price level; and receiving a single action command
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`that selects the location associated with the entered order indicator so as to cancel the
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`order at the electronic exchange.” During the interview and upon further consideration,
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`the Examiner withdrew the rejection. Applicants cited to various portions of the
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`specification that provide adequate support. For example, page 13, lines 20-31, page 19,
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`lines 2-6, and Figs. 3-5 of the specification provides support for the aforementioned claim
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`features. Likewise, support is found at various places in the provisional application fiom
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`which this case claims priority. For example, page 25, pages 32-35 of the provisional
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`provides support for the aforementioned claim features.
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`The Office Action also contended that the dependent claims 42-46, 48, 49, 55, 57,
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`and 58 are not described in the specification. Again, upon further consideration and
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`during the interview, the Examiner withdrew this rejection. Support is found throughout
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`the specification, including, for example, page 6, line 22 to page 7, line 2, page 13, lines
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`14-31, page 14, lines 9-1 1, page 15, lines 7-15 and 25-29, page 19, lines 2-6, and Figs. 3-
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`5. Support is also found within the provisional application, which includes for example,
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`page 25 and pages 30-35.
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`The Office Action singled out dependent claim 53 to allege that the feature
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`“automatic recentering” is critical to the practice of the invention, but is missing fiom the
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`claim. During the interview and upon further consideration, the Examiner agreed that
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`automatic recentering is not critical to the practice of the invention, and withdrew the
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`rejection during the interview. At the Examiner’s request, Applicants agreed to add the
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`term re-positioning to the claim to clarify that the instruction is a “re-positioning
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`instruction” and that instruction causes price levels to change positions “along the static
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`price axis.”
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`Applicants submit that the rejections under § ll2, first paragraph, are properly
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`withdrawn and that the identified claims satisfy the written description requirement.
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`VI.
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`Rejections made under 35 U.S.C. § 112, second paragraph
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`As indicated above, claim 53 was rejected under 35 U.S.C. § 112, second
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`paragraph, as being indefinite for failing to point out and distinctly claim the subject
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`matter which Applicants regard as the invention. It is worth noting on the record that the
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`Office Action contains a typographical error, because claim 53 does not include “a short
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`period of time.” As made clear during the interview, however, the rejection was made
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`with respect to those dependent claims that do include the term “a short period of time” in
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`addition to other claim elements, and not claim 53. At the interview and upon further
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`consideration, the Examiner withdrew the rejection. Therefore, Applicants submit that
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`the rejection under § 112, second paragraph, is properly withdrawn and that the language
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`“short period of time,” as it appears in the claims, satisfies the definiteness requirement.
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`VII.
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`Double Patenting
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`Mr. Triplett agreed to file a terminal disclaimer in View of U.S. Patent Nos.
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`6,772,132 and 6,766,304 to remove the double patenting rejection.
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`VIII. Rejections made under 35 U.S.C. § l03ga1
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`As indicated above, claims 41-60 were rejected under 35 U.S.C. § l03(a) as being
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`unpatentable over Tokyo Stock Exchange Futures/Options Trading System. During the
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`interview and upon further consideration, the Examiner agreed that the discussed claims
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`are patentable over the cited art.
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`V1111. Conclusion
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`All the stated grounds of objections and rejections have been accommodated or
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`rendered moot. Applicants submit that after the Examiner reviews the art cited in the
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`soon to be filed IDS, Examiner will agree that the present application is in condition for
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`allowance. Applicants, therefore request that a notice of allowance be issued promptly.
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`If the Examiner believes that further dialog would expedite further processing of the
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`application, the Examiner is invited to contact Trading Technologies in-house Patent
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`Counsel Mark Triplett at 312-476-l l5l, or the undersigned attorney or agent.
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`Date: Ma 20 2008_
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`By:
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`Respectfully submitted,
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`/JosephA.Hemdon/
`Joseph A. Hemdon
`Reg. No. 50,469
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