`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 223 I 3· I 4SO
`www.uspto.gov
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`90/008,577
`
`05/25/2007
`
`6766304
`
`95549/99998
`
`6362
`
`393IO
`7590
`01/07/2008
`MBHB/TRADING TECHNOLOGIES
`300 SOUTH WACKER DRIVE
`SUITE 3200
`CHICAGO, IL 60606
`
`EXAMINER
`
`ART UNIT
`
`PAPER NUMBER
`
`DATE MAILED: 01/07/2008
`
`Please find below and/or attached an Office communication concerning this application or proceeding.
`
`PT0-90C (Rev. 10/03)
`
`TRADING TECH EXHIBIT 2085
`TD Ameritrade v. Trading Technologies
`CBM2014-00136
`
`Page 1 of 6
`
`
`
`~
`
`...... ~ UNITED STATES PATENT AND TRADEl\I.!:ARK OFFICE
`'! -------------------------------------------------------------
`
`Commlsslonerfor Paten1s
`United States Patent and Trademark Office
`P.O. Bol<14SO
`AleKandria, VA 22313-1450
`-uspto.gov
`
`DO NOT USE IN PALM PRINTER
`
`(THIRD PARTY REQUESTER'S CORRESPONDENCE ADDRESS)
`
`JAMES L. KATZ
`BRINKS HOFER GILSON & LIONE
`NBC TOWER SUITE 3600
`NORTH CITY FRONT PLAZA DRIVE
`CHICAGO, IL 6061
`
`"''"·············:
`l
`
`EX PARTE REEXAMINATION COMMUNICATION TRANSMIITAL FORM
`
`REEXAMINATION CONTROL NO. 90/008.5n.
`
`PATENT NO. 6766304.
`
`ART UNIT 3993.
`
`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)).
`
`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(g)).
`
`PTOL-465 (Rev.07-04)
`
`Page 2 of 6
`
`
`
`Notice of Intent to Issue
`Ex Parte Reexamination Certificate
`
`Control No.
`
`90/008,577
`Examiner
`
`Patent Under Reexamination
`
`6766304
`Art Unit
`
`3993
`Jeanne Clark
`•• The MAILING DATE of this communication appears on the cover sheet with the correspondence address ••
`1. [gJ 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
`(a) 0 Patent owner's communication(s) filed: __ .
`(b) D Patent owner's late response filed: __ .
`(c) D Patent owner's failure to file an appropriate respons~ to the Office action mailed: __ .
`(d) D Patent owner's failure to timely file an Appeal Brief (37 CFR 41.31 ).
`(e) [gJ Other: Patent owner did not file comments after order grant.
`Status of Ex Parte Reexamination:
`(f) Change in the Specification: DYes [gJ No
`(g) Change in the Drawing(s): DYes [gJ No
`(h) Status of the Claim(s):
`(1) Patent claim(s) confirmed: 1-40.
`(2) Patent claim(s) amended (including dependent on amended claim(s)): __
`(3) Patent claim(s) cancelled: __ .
`(4) Newly presented claim(s) patentable: __ .
`(5) Newly presented cancelled claims: __ .
`2. [gJ 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."
`3. 0 Note attached NOTICE OF REFERENCES CITED (PT0-892}.
`4. 0 Note attached LIST OF REFERENCES CITED (PTO/SB/08).
`5. D The drawing correction request filed on __ is: 0 approved 0 disapproved.
`6. D Acknowledgment is made of the priority claim under 35 U.S. C. § 119(a)-(d) or (f).
`a)O All b}O Some*
`c)D None
`of the certified copies have
`D been received.
`0 not been received.
`0 been filed in Application No. __ .
`D been filed in reexamination Control No.
`.
`D been received by the International Bureau in PCT Application No. __ .
`*Certified copies not received: __ .
`
`7. D Note attached Examiner's Amendment.
`
`8. D Note attached Interview Summary (PT0-4 7 4 ).
`9. D Other: __ .
`
`cc: Requester (if third party requester)
`U.S. Patent and Trademark Office
`PTOL-469 (Rev.08-06)
`
`Notice of Intent to Issue Ex Parte Reexamination Certificate
`
`Part of Paper No -
`
`Page 3 of 6
`
`
`
`Application/Control Number: 90/008,577
`Art Unit: 3993
`
`Page 2
`
`STATEMENT OF REASONS FOR PATENTABILITY AND/OR CONFIRMATION
`
`The following is an examiner's statement of reasons for patentability and/or confirmation
`
`of the claims found patentable in this reexamination proceeding: The prior art of record fails to
`
`teach a method, or computer readable medium having a dynamic display of bid and ask regions
`
`in a commodity market positioned along a common static price axis, such that when the inside
`
`market changes, the price levels along the common static price axis do not move in combination
`
`with the other claim limitations in independent claims 1 and 27. Dependent claims 2-26 and 28-
`
`40 are found patentable for the same reason.
`
`Although TSE (Orientation) A, TSE (Operation) B, Amazon, and Friesen raised a
`
`substantial new question of patentability as set forth in the order granting reexamination dated
`
`August 2, 2007, these references do not anticipate the above-mentioned claim limitations and do
`
`not render the claims obvious. TSE (Orientation) A and TSE (Operation) B clearly teach that the
`
`display of prices is automatically updated every three seconds so as to keep the "center price" in
`
`the middle of the screen. This teaching is directly counter to the static display of U.S. Patent No.
`
`6, 766,304, which uses the static common static price axis so that the user does not accidentally
`
`place an order at the unintended price (see column 2 lines 60-68). The requester relies on the
`
`one statement in TSE (Operation) B on page 640, which states that in the scroll screen the price
`
`display locations do not change automatically, for the teaching of a common "static" price axis.
`
`This teaching does not meet the claim limitations, as it is only a teaching that the automatically
`
`centering of the "center price" does not occur when the user is in the scroll mode. If it did, the
`
`user would not be able to scroll to the desired price, because the scrolling would result in the
`
`Page 4 of 6
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`
`
`Application/Control Number: 90/008,577
`Art Unit: 3993
`
`Page 3
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`"center price" not being in the center of the screen. Amazon and Friesen also do not teach such
`
`claim limitations nor render the claims obvious.
`
`Any comments considered necessary by PATENT OWNER regarding the above
`
`statement must be submitted promptly to avoid processing delays. Such submission by the
`
`patent owner should be labeled: "Comments on Statement of Reasons for Patentability and/or
`
`Confirmation" and will be placed in the reexamination file.
`
`Court related documents
`
`On October 24, 2007, Patent owner's representative and the examiner discussed the
`
`submission of court related documents and documents material to the examination. To date, the
`
`Patent owner has not submitted any such documents. While the examiner does not disagree
`
`with the patent owner's summary ofthe interview on October 24, 2007, the examiner would like
`
`to clarify that the representative was informed that unduly large submissions of documents
`
`"may" be returned or not entered in accordance with MPEP 2282. In addition, the examiner is
`
`unclear what the patent owner's representative is suggesting in the last paragraph of their
`
`summary. To the extent that the patent owner's representative is suggesting that the examiner
`
`stated that they are excused from their duty of disclosure under 37 CFR 1.56 and 1.555, such is
`
`not the case. The examiner has no authority to do so. The patent owner is advised that entry of
`
`prior art submissions or any other documents related to the merits of the proceedings must be
`
`filed with a petition under 37 CFR 1.182 in accordance with MPEP 2287.
`
`Page 5 of 6
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`
`
`Page4
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`Application/Control Number: 90/008,577
`Art Unit: 3993
`
`Please mail any communications to:
`
`Conclusion
`
`Attn: Mail Stop "Ex Parte Reexam"
`Central Reexamination Unit
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, VA 22313-1450
`
`Please FAX any communications to:
`
`(571) 273-9900
`Central Reexamination Unit
`
`Please hand-deliver any communications to:
`
`Customer Service Window
`Attn: Central Reexamination Unit
`Randolph Building, Lobby Level
`401 Dulany Street
`Alexandria, VA 22314
`
`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.
`
`Signed:
`
`_/Jeanne M. Clark/ __ _
`
`Jeanne M Clark
`CRU Examiner
`GAU3993
`(571) 272-7714
`
`!'/
`Conferee: ~ ----""----'"""';:-----
`Conferee:. _ ___,7<;""-"""""""./ __ _
`
`Page 6 of 6