Paper No. ______
`Filed: March 9, 2016
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`UNITED STATES PATENT AND TRADEMARK OFFICE
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`BEFORE THE PATENT TRIAL AND APPEAL BOARD
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`IBG LLC,
`INTERACTIVE BROKERS LLC,
`TRADESTATION GROUP, INC.,
`TRADESTATION SECURITIES, INC.,
`TRADESTATION TECHNOLOGIES, INC., and
`IBFX, INC.,
`
`Petitioner
`v.
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` TRADING TECHNOLOGIES INTERNATIONAL, INC.
`
`Patent Owner
`_________________
`Case CBM2015-00179
`U.S. Patent 7,533,056 B2
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`Patent Owner’s Objections to
`Evidence Pursuant to 37 C.F.R. § 42.64
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`Filed: March 9, 2016
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`UNITED STATES PATENT AND TRADEMARK OFFICE
`
`
`
`
`
`
`
`
`
`
`
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`
`
`
`
`
`
`
`
`
`
`
`IBG LLC,
`INTERACTIVE BROKERS LLC,
`TRADESTATION GROUP, INC.,
`TRADESTATION SECURITIES, INC.,
`TRADESTATION TECHNOLOGIES, INC., and
`IBFX, INC.,
`
`Petitioner
`v.
`
` TRADING TECHNOLOGIES INTERNATIONAL, INC.
`
`Patent Owner
`_________________
`Case CBM2015-00179
`U.S. Patent 7,533,056 B2
`
`
`
`
`
`
`
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`Patent Owner’s Objections to
`Evidence Pursuant to 37 C.F.R. § 42.64
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`Pursuant to 37 C.F.R. § 42.64(b)(1), Patent Owner objects to the following
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`Case CBM2015-00179
`U.S. Patent 7,533,056 B2
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`
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`Petitioners’ Exhibits:
`
`• 1003
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`(“Futures/Option Purchasing System Trading Terminal
`
`Operation Guide,” Tokyo Stock Exchange);
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`• 1004 (English Translation of “Futures/Option Purchasing System
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`Trading Terminal Operation Guide,” Tokyo Stock Exchange );
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`• 1005 (Certificate of Translation for “Futures/Option Purchasing
`
`System Trading Terminal Operation Guide”);
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`• 1006 (History of the American and NASDAQ Stock Exchanges);
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`• 1007 (Deposition Transcript of Atsushi Kawashima dated November
`
`21, 2005);
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`• 1014 (Reuters Globex User Guide);
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`• 1015 (Alan Cooper, “About Face: The Essentials of User Interface
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`Design”);
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`• 1016 (Edward R. Tufte, “The Visual Display of Quantitative
`
`Information”);
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`• 1017 (Edward R. Tufte, “Envisioning Information,” Third Edition);
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`• 1018 (Ben Shneiderman, “Designing the User Interface: Strategies for
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`Effective Human-Computer Interaction,” Third Edition);
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`1
`
`
`
`
`Case CBM2015-00179
`U.S. Patent 7,533,056 B2
`• 1019 (Sunny J. Harris, “Trading 101 – How to Trade Like a Pro”);
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`• 1020 (Robert Deel, “The Strategic Electronic Day Trader”);
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`• 1021 (Sun Microsystems, Inc., “Open Look™ Graphical User
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`Interface Functional Specification”);
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`• 1022 (Valerie Quercia et al., “X Window System User’s Guide,”
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`OSF/Motif 1.2 Edition);
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`• 1023 (Richard W. Arms Jr., “Profits in Volume - Equivolume
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`Charting”);
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`• 1029 (Weiss, “After the Trade is Made”);
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`• 1031 (Vernon L. Smith, “An Experimental Study of Competitive
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`Market Behavior”);
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`• 1036 (Petitioner’s Reply, Paper 48, CBM2014-00131);
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`• 1042 (Inside Macintosh, Promotional Edition, Apple Computer, Inc.);
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`• 1043 (Valerie Illingworth, and I. C. Pyle, Dictionary of Computing,
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`4th Ed.); and
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`• 1044 (Mark J. Powers, “Starting Out in Futures Trading,” Sixth
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`Edition), served with Petitioners’ Petition (Paper No. 9).
`
`2
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`Case CBM2015-00179
`U.S. Patent 7,533,056 B2
`OBJECTION TO PETITIONERS’ EXHIBITS 1003-1004, 1006-1007,
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`I.
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`1014-23, 1029; 1031, and 1042-44
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`Patent Owner objects to Exhibits 1003-04, 1006-07, 1014-23, 1029; 1031;
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`and 1042-44 to the extent that Petitioners rely on their contents for the truth of the
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`matters asserted therein. 1003-04, 1006-07, 1014-23, 1029; 1031; and 1042-44 are
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`inadmissible hearsay under FRE 801 and 802, and no exception applies.
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`II.
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`OBJECTION TO PETITIONERS’ EXHIBITS 1003-1005
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`Petitioners have submitted no evidence to authenticate Exhibit 1003, and
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`deficient evidence for Exhibit 1004 as set forth below, making both inadmissible
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`under FRE 901.
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`Patent Owner also objects to Exhibit 1003-1005 under FRE 602. Petitioners
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`fail to provide a credible translation of TSE and fail to conform with the Board’s
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`rules for submitting translations of foreign language documents. In particular, 37
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`C.F.R. § 42.63(b) requires that “[w]hen a party relies on a document or is required
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`to produce a document in a language other than English, a translation of the
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`document into English and an affidavit attesting to the accuracy of the translation
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`must be filed with the document.” The record lacks such an affidavit under Rule
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`42.63(b) attesting to the accuracy because Mr. Cohen: (1) incorrectly refers to
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`“2014.05.19 - 1003 – TSE” as an English translation; and (2) on information and
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`belief, he did not, himself, translate the Japanese language TSE into English,
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`3
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`Case CBM2015-00179
`U.S. Patent 7,533,056 B2
`thereby demonstrating his lack of personal knowledge regarding the matter for
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`which he is testifying. See FRE 602 (requiring personal knowledge to testify to a
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`matter). Exhibit 1005 noncompliant with 37 C.F.R. § 42.63(b). This makes Exhibit
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`1003 and 1004 inadmissible under 37 C.F.R. § 42.61(a) (“Evidence that is not
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`taken, sought, or filed in accordance with this subpart is not admissible.”).
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`III.
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`OBJECTION TO PETITIONERS’ EXHIBIT 1036
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`To the extent Patent Owner relies on the contents of Exhibit 1036 to prove
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`the content of the original document, Petitioners object to this document as not
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`being an original document under FRE 1002, an authentic duplicate under FRE
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`1003, nor a document that falls under any exceptions to the original-document
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`requirement, including those of FRE 1004. Further, the citation to Exhibit 1036 is
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`an improper incorporation by reference, in violation of 37 C.F.R. § 42.6(a)(3).
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`Respectfully submitted,
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`By: /Rachel L. Emsley/
`Rachel L. Emsley, Backup Counsel
`Registration No. 63,558
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`4
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`Dated: March 9, 2016
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`Case CBM2015-00179
`U.S. Patent 7,533,056 B2
`CERTIFICATE OF SERVICE
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`The undersigned hereby certifies that a copy of the foregoing Patent
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`
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`Owner’s Objections to Evidence Pursuant to 37 C.F.R. § 42.64 were served on
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`March 9, 2016, via email directed to counsel of record for the Petitioner at the
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`following:
`
`
`
`
`
`Robert E. Sokohl
`rsokohl-PTAB@skgf.com
`
`Lori Gordon
`lgordon-PTAB@skgf.com
`
`Jonathan M. Strang
`jstrang-PTAB@skgf.com
`
`Richard M. Bemben
`rbemben-PTAB@skgf.com
`
`
`/Valencia Daniel/
`Valencia Daniel
`Litigation Legal Assistant
`
`Finnegan, Henderson, Farabow, Garrett
`& Dunner, LLP
`
`
`
`
`
`Dated: March 9, 2016
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