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`Trials@uspto.gov
`571-272-7822
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`Paper 58
`Entered: July 29, 2016
`
`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.
`
`CBM2015-00161 (Patent No. 6,766,304 B2)1
`CBM2015-00172 (Patent No. 7,783,556 B1)
`CBM2015-00179 (Patent No. 7,533,056 B2)2
`CBM2015-00181 (Patent No. 7,676,411 B2)
`CBM2015-00182 (Patent No. 6,772,132 B1)
`
`
`Before SALLY C. MEDLEY, MEREDITH C. PETRAVICK and
`JEREMY M. PLENZLER, Administrative Patent Judges.
`
`PETRAVICK, Administrative Patent Judge.
`
`
`
`
`
`
`
`ORDER
`Conduct of the Proceeding
`37 C.F.R. § 42.5
`
`
`
`1 Case CBM2016-00035 has been joined with this proceeding.
`2 Case CBM2016-00040 has been joined with this proceeding.
`
`
`
`CBM2015-00161 (Patent No. 6,766,304 B2)
`CBM2015-00172 (Patent No. 7,783,556 B1)
`CBM2015-00179 (Patent No. 7,533,056 B2)
`CBM2015-00181 (Patent No. 7,676,411 B2)
`CBM2015-00182 (Patent No. 6,772,132 B1)
`
`
`A. Exhibits Submitted with Updated Mandatory Notices
`
`
`
`On July 26, 2016, Patent Owner filed a paper titled Updated
`
`Mandatory Notices, in each of these proceedings. Paper 80.3 The Updated
`
`Mandatory Notices indicates that its purpose is to “identify” an order and a
`
`corresponding transcript from a district court proceeding in Trading Techs.
`
`Int’l, Inc. v. BGC Partners, Inc., et al., 10-cv-715 (N.D. Ill.). Id. at 1.
`
`Along with the Updated Mandatory Notices, Patent Owner filed Exhibits
`
`2343 and 2344 in each of these proceedings. Exhibit 2343 is the district
`
`court order, and Exhibit 2344 is the transcript of the district court
`
`proceeding.
`
`
`
`Our Rules require the parties to file mandatory notices that “identify
`
`any other judicial or administrative matter that would affect, or be affected
`
`by, a decision in the proceeding.” 37 C.F.R. § 42.8 (b)(2). Trading Techs.
`
`Int’l, Inc. v. BGC Partners, Inc., et al. is a judicial matter, which was first
`
`identified in Patent Owner’s Mandatory Notices filed on August 10, 2015.
`
`Paper 5, 4. Our Rules do not provide for, nor have we otherwise authorized,
`
`the filing of the district court order and transcript from the identified matter
`
`as exhibits. We expunge Exhibits 2343 and 2344 from the record in each of
`
`these proceedings. See 37 C.F.R. § 42.7(a).
`
`
`
`
`
`
`3 For the purposes of this Order, CBM02015-00161 is representative and all
`citations are to papers in CBM02015-00161 unless otherwise noted.
`
`
`2
`
`
`
`CBM2015-00161 (Patent No. 6,766,304 B2)
`CBM2015-00172 (Patent No. 7,783,556 B1)
`CBM2015-00179 (Patent No. 7,533,056 B2)
`CBM2015-00181 (Patent No. 7,676,411 B2)
`CBM2015-00182 (Patent No. 6,772,132 B1)
`
`
`B. Exhibits Not Cited in the Record
`
`
`
`On June 28, 2016, we entered an Order requiring Patent Owner to
`
`submit a table listing the exhibit number and a corresponding citation to
`
`where that document is cited in the record because Patent Owner has filed a
`
`significant number of exhibits in these proceedings. Paper 66. The Order
`
`states “[i]f an exhibit is not relied upon in any Papers or other filing, that
`
`exhibit will be expunged from the record in due course.” Id.
`
`
`
`Patent Owner’s submission reveals that the following exhibits are not
`
`cited in the record and should not otherwise appear in the record.4 The
`
`following exhibits are expunged from the record in the corresponding
`
`proceeding.
`
`Proceeding
`CBM2015-00161
`CBM2015-00179
`CBM2015-00181
`
`CBM2015-00182
`
`Exhibits
`2125 and 2133
`2013, 2031, 2124, 2125, 2159 and 2161
`2022, 2023, 2027, 2035, 2037, 2039, 2046 and
`2125
`2018, 2019, 2023, 2031, 2033, 2035, 2125 and
`2178
`
`
`
`
`
`C. Letters to the Director
`
`In proceeding CBM2015-00161, Patent Owner filed as exhibits a
`
`number of letters and emails to Under Secretary of Commerce for
`
`Intellectual Property and Director of the United States Patent and Trademark
`
`
`4 We do not expunge documents, such as transcripts of conference calls with
`the Board, certificates of translation of cited foreign language documents, or
`original foreign language documents where the translation is cited.
`
`3
`
`
`
`CBM2015-00161 (Patent No. 6,766,304 B2)
`CBM2015-00172 (Patent No. 7,783,556 B1)
`CBM2015-00179 (Patent No. 7,533,056 B2)
`CBM2015-00181 (Patent No. 7,676,411 B2)
`CBM2015-00182 (Patent No. 6,772,132 B1)
`
`Office Michelle Lee or certain members of her staff. Exs. 2001–2010,
`
`2014–2019, 2094, 2096, 2102, and 2342. Early in the proceeding, the letters
`
`were a point of contention between Patent Owner and Petitioner (see Paper
`
`8, 1–2 (denying a motion for sanctions based upon the letters), Paper 26, 6–7
`
`(denying request to file a reply to address alleged inconsistencies between
`
`the preliminary response and the letters)). To address the issues, the Board
`
`required Patent Owner to identify the letters in its mandatory notices and to
`
`file the letters as exhibits. Paper 8, 2, Paper 26, 7.
`
`
`
`As the earlier issues concerning the letters appear to now be resolved,
`
`such letters should no longer be filed as exhibits, unless the letters are relied
`
`upon in the parties’ substantive papers or otherwise authorized by the Board.
`
`The parties should continue to identifying any such letters as related
`
`administrative matters and are reminded that 37 C.F.R. § 42.5(d) prohibits ex
`
`parte communication with a member of the Board. Exhibits 2096, 2102, and
`
`2342, letters not otherwise cited in the record, are expunged from the record
`
`in CBM2015-00161.
`
`
`
`
`
`
`
`It is:
`
`D. Order
`
`ORDERED that the following Exhibits are expunged from the records
`
`of the corresponding proceeding, as indicated in the table below.
`
`Proceeding
`CBM2015-00161
`CBM2015-00172
`
`Exhibits
`2096, 2102, 2125, 2133, 2342, 2343, and 2344
`2343 and 2344
`
`4
`
`
`
`CBM2015-00161 (Patent No. 6,766,304 B2)
`CBM2015-00172 (Patent No. 7,783,556 B1)
`CBM2015-00179 (Patent No. 7,533,056 B2)
`CBM2015-00181 (Patent No. 7,676,411 B2)
`CBM2015-00182 (Patent No. 6,772,132 B1)
`
`
`Proceeding
`CBM2015-00179
`
`CBM2015-00181
`
`CBM2015-00182
`
`Exhibits
`2013, 2031, 2124, 2125, 2159, 2161, 2343 and
`2344
`2022, 2023, 2027, 2035, 2037, 2039, 2046, 2125,
`2343 and 2344
`2018, 2019, 2023, 2031, 2033, 2035, 2125, 2178,
`2343 and 2344
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`5
`
`
`
`CBM2015-00161 (Patent No. 6,766,304 B2)
`CBM2015-00172 (Patent No. 7,783,556 B1)
`CBM2015-00179 (Patent No. 7,533,056 B2)
`CBM2015-00181 (Patent No. 7,676,411 B2)
`CBM2015-00182 (Patent No. 6,772,132 B1)
`
`
`
`PETITIONER:
`
`Michael T. Rosato
`Matthew A. Argenti
`WILSON SONSINI GOODRICH & ROSATI
`mrosato@wsgr.com
`margenti@wsgr.com
`
`Robert Sokohl
`Lori Gordon
`Jonathan Strang
`Richard Bemben
`STERN, KESSLER, GOLDSTEIN & FOX
`Rsokohl-ptab@skgf.com
`Lgordon-ptab@skgf.com
`Jstrang-ptab@skgf.com
`Rbemben-ptab@skgf.com
`
`
`
`PATENT OWNER:
`
`Erika H. Arner
`Joshua L. Goldberg
`Kevin D. Rodkey
`Rachel L. Emsley
`FINNEGAN, HENDERSON, FARABOW,
`GARRET & DUNNER, LLP
`erika.arner@finnegan.com
`joshua.goldberg@finnegan.com
`kevin.rodkey@finnegan.com
`rache.emsley@finnegan.com
`
`Steven F. Borsand
`TRADING TECHNOLOGIES INTERNATIONAL, INC.
`tt-patent-cbm@tradingtechnologies.com
`
`6
`
`
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