`IBG ET AL. v. TRADING TECH
`CBM2015-00181
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`PART B - FEE(S) TRANSMITTAL
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`Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE
`Commissioner for Patents
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`P.O. Box 1450
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`Alexandria, Virginia 22313-1450
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`(703) 746-4000
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`through 4 should be completed where
`INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required . Blocks I
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`ap ropriate. All further correspondence including the Patent, advance orders and _notification of maintenance fees will
`e mailed to the current corres ondence address as
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`in icated unless corrected below or directed otherwise in Block 1, by (a) specifying a new correspondence address; and/or (b) indicating a separate " EE ADDRESS" for
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`maintenance fee notifications.
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`CURRENT CORRESPONDENCE ADDRESS (Note: Legibly mark-up with any corrections or use Block 1)
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`can only be used for domestic mailings of the
`Nope: A cenificate of main“
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`Fee(s) Transmitta_l._ This certi icate cannot be _used for any other accompanying
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`papers. Each additional paper, such as an assignment or formal drawing, must
`ave its own certificate of mailing or transmission.
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`02/I0/2004
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`Certificate of Mailing or Transmission
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`I hereb ceitigy that this Fee?) Transmittal is being deposited with the United
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`ervice with su icient postage for first class mail in an envelope
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`addresseddto tlge IMSali)lT($)top IESEE FEE addirefi above, or being facsimile
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`transmitte tot e
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`(Depositors name)
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`(Signature)
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`(Date)
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`06/09/2000
`09/590,692
`Gary Allan Kemp II
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`TITLE OF INVENTION: CLICK BASED TRADING WITH INTUITIVE GRID DISPLAY OF MARKET DEPTH
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`APPLN. TYPE
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`nonprovisional
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`SMALL ENTITY
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`YES
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`EXAMINER
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`WEISBERGER, RICHARD C
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`ISSUE FEE
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`$25
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`ART UNIT
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`3624
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`PUBLICATION FEE
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`CLASS-SUBCLASS
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`705-03 7000
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`024051/0135
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`CONFIRMATION N0-
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`2769
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`TOTAL FEE(S) DUE
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`$25
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`DATE DUE
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`05/ I 0/2004
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`1. Chan e of correspondence address or indication of "Fee Address" (37
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`CFR‘. 63).
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`Cl Change of eorresgondence address (or Change of Correspondence
`Address fomi PTO B/122) attached.
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`D "Fee Address" indication (or "Fee Address" Indication fomi
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`PTO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer
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`Number is required.
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`agents OR, alternatively, (2) the name of a single
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`agent) and the names of up to 2 registered patent
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`attorneys or agents. If no name is listed, no name
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`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
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`PLEASE NOTE: Unless an assi nee is identified below, no assignee data will appear on the patent. Inclusion of assignee data is only appropriate when an assignment has
`been previously submitted to the SPTO or is being submitted under separate cover. Completion of this form is NOT a substitute for fi ing an assignment.
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`(A) NAME OF ASSIGNEE
`(B) RESIDENCE: (CITY and STATE OR COUNTRY)
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`CI individualPlease check the appropriate assignee category or categories (will not be printed on the patent); C] corporation or other private group entity D govemment
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`4a. The following fee(s) are enclosed:
`4b. Payment of Fee(s):
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`Cl Issue Fee
`Cl A check in the amount of the fee(s) is enclosed.
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`Cl Publication Fee
`El Payment by credit card. Fomi PTO-2038 is attached.
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`ayment, to
`Cl Advance Order - # of Copies
`El«The‘ Director is hereby authorized by charge the required fee(s), or credit any ove
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`Deposit Account Number (enclose an extra copy of this form .
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`Director for Patents is requested to apply the Issue Fee and Publication Fee (if any) or to re-apply any previously paid issue fee to the application identified above.
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`(Authorized Signature)
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`NOTE; The Issue Fee and Publication Fee (if required) will not be_ accepted from anyone
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`other than the ap licant; a registered attomeg or a ent; or the assignee or other party in
`interest as shown y the records of the United tates atent and Trademark Office.
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`This collection of information is required by 37 CFR 1.31 l. The information is required to
`obtain or retain a benefit by the pu lic which is to file (and b
`the USPTO to process) an
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`application. Confidentiality is governed by 35 U.S.C. 122 and 3 CFR l.l4. This collection is
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`estimated to take 12 minutes to com lete, including gathering, preparing, and submitting the
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`completed application fomi to the
`SPTO. Time will vary depending upon the individual
`case. Any comments on the amount of time you require to_ corn etc this form and/or
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`suggestions for reducing this burden, should be sent to the Chief In ormation Officer, U.S.
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`Patent and Trademark Office, U.S. Department of Commerce, Alexandria, Vir inia
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`22313-I450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADD
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`SEND TO: Commissioner for Patents, Alexandria, Virginia 22313-1450.
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`Undergthe Papenivork Reduction Act of 1995, nmersons are required to respond to a
`control number.
`collection of information unless it displays a valid 0
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`PTOL-85 (Rev. I I/03) Approved for use through 04/30/2004.
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`Page 2 of 6
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`TRANSMIT THIS FORM WITH FEE(S)
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`OMB 0651-0033
`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
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`Page 2 of 6
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`UNITED STATES PATENT AND TRADEMARK OFFICE
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`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent Inc Trademark Ofllec
`Address: COMMISSIONER FOR PATENTS
`P.0. Boxiaso
`Aiewmm. Virginia 123134450
`w\vw.u.tptn.gov
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`09/590,692
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`06/09/2000
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`FIRST NAMED MENTOR
`Gary Allan Kemp ll
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`024051/0135
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`2769
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`222°
`22422
`FOLEY AND LARDNER
`SUTTE 500
`3000 K smear NW
`WASHINGTON, DC 20007
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`022222004
`WEISBERGER. RJCHARDC
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`3624
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`DATE MAILED: 02/10/2004
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`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(application filed on or after May 29, 2000)
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`The Patent Term Adjustment to date is 0 day(s). If the issue fee is paid on the date that is three months afier the
`mailing date of this notice and the patent issues on the Tuesday before the date that is 28 weeks (six and a half
`months) after the mailing date of this notice, the Patent Term Adjustment will be 0 day(s).
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`if a Continued Prosecution Application (CPA) was filed in the above-identified application, the filing date that
`determines Patent Tenn Adjustment is the filing date of the most recent CPA.
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`Applicant will be able to obtain more detailed information by accessing the Patent Application lnfonnation Retrieval
`(PAIR) system (http://pair.uspto.gov).
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`Any questions regarding the Patent2Term Extension or Adjustment determination should be directed to the Ofiice of
`Patent Legal Administration at (703) 305-1383. Questions relating to issue and publication fee payments should be
`directed to the Customer Service Center of the Office of Patent Publication at (703) 305-8283.
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`PTOL-85 (Rev. l I/03) Approved for use through 04/30/2004.
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`Page 3 of 3
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`Page 3 of 6
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`‘
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`Application No.
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`Applicantisl
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`. 1
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`‘
`A
`' Notice of Allowabrlrty
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`09/590 692
`Examme,
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`KEMP ET AL.
`A“ Unit
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`Richard c Weisberger
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`3624
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`M
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`-- The MAILING DATE of this communication appears on the cover sheet with the correspondence address»
`All claims being allowable, PROSECUTION ON THE MERITS IS (OR REMAINS) CLOSED in this application.
`If not included
`herewith (or previously mailed), a Notice ofAIlowance (PTOL-85) or other appropriate communication will be mailed in due course. THIS
`NOTICE OF ALLOWABILITY IS NOT A GRANT OF PATENT RIGHTS. This application is subject to withdrawal from issue at the initiative
`of the Office or upon petition by the applicant. See 37 CFR 1.313 and MPEP 1308.
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`1. E This communication is responsive to amendment terminal disclaimer and interview summag.
`2. E The allowed claim(s) islare 22-70 and 89-gf
`3. E The drawings filed on 12 August 2002 are accepted by the Examiner.
`4. D Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`a) C] All
`b) C] Some‘
`c) E] None
`of the:
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`1. CI Certified copies of the priority documents have been received.
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`2. Cl Certified copies of the priority documents have been received in Application No. j
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`3. C] Copies of the certified copies of the priority documents have been received in this national stage application from the
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`International Bureau (PCT Rule 17.2(a)).
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`' Certified copies not received:
`5. E Acknowledgment is made of a claim for domestic priority under 35 U.S.C. § 119(e) (to a provisional application).
`(a) [:1 The translation of the foreign language provisional application has been received.
`6. E] Acknowledgment is made of a claim for domestic priority under 35 U.S.C, §§ 120 and/or 121.
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`Applicant has THREE MONTHS FROM THE "MAILING DATE‘ of this communication to file a reply complying with the requirements noted
`below. Failure to timely comply will result in ABANDONMENT ofthis application. THIS THREE-MONTH PERIOD IS NOT EXTENDABLE.
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`7. E] A SUBSTITUTE OATH OR DECLARATION must be submitted. Note the attached EXAMlNER'S AMENDMENT or NOTICE OF
`INFORMAL PATENT APPLICATION (PTO-152) which gives reason(s) why the oath or declaration is deficient.
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`.
`8. E] CORRECTED DRAWINGS must be submitted.
`(a) E]
`including changes required by the Notice of Draftsperson's Patent Drawing Review ( PTO-948) attached
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`1) El hereto or 2) E] to Paper No.
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`(b) [:1 including changes required by the proposed drawing correction filed
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`, which has been approved by the Examiner.
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`(c) D including changes required by the attached Examiner's Amendment I Comment or in the Office action of Paper No.
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`ldentilying lndlcla such as the application number (see 37 CFR 1.84(c)) should be written on the drawings in the top margin (not the back)
`of each sheet. The drawings should be filed as a separate paper with a transmittal letter addressed to the Official Draflsperson.
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`9. E] DEPOSIT OF and/or INFORMATION about the deposit of BIOLOGICAL MATERIAL must be submitted. Note the
`attached Examiners comment regarding REQUIREMENT FOR THE DEPOSIT OF BIOLOGICAL MATERIAL.
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`Attachment(s)
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`1E Notice of References Cited (PTO-892)
`3[] Notice of Draftperson's Patent Drawing Review (PTO-948)
`5E lnfonnation Disclosure Statements (PTO-1449). Paper No. _.
`7E] Examiner's Comment Regarding Requirement for Deposit
`of Biological Material
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`2D Notice of Informal Patent Application (PTO-152)
`48 Interview Summary (PTO-413), Paper Noj.
`6!] Examiners Amendment/Comment
`BC] Examiner's Statement of Reasons for Allowance
`9|:] Other
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`U.S. Patent and Trademark Ottice
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`PTO-37 (Rev. 04-01)
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`-
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`Notice of Allowability
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`Part of Paper No. 28 .
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`Page 4 of 6
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`Allowable Subject Matter
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`The following is an examiner’s statement of reasons for allowance: The following
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`is an examiner’s statement of reasons for allowance: This statement of reasons for
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`allowance includes the major differences in the claims not found in the prior art of
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`record and reasons why that differences are considered to define patentably over the
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`prior art. The statement is not intended to necessarily state all the reasons for allowance
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`or all the details why claims are allowed and should not be relied upon for this purpose.
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`Rather, this statement reflects what the examiner considers important and therefore the
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`primary reasons for the allowance of the claims.
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`The primary reason for allowance is the limitation directed to the “dynamic
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`display” of a plurality of the quantity of bids and asks aligned with a "static display” of
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`corresponding prices. Here, unlike the prior art, the “static” display of prices is just that,
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`static, and does not move in response to a change in the inside market. With this
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`display of market depth, claimed in each of the independent claims, a trader places a
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`trade order with the pointer in the area of the order entry region of the dynamic market
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`depth region, through a single computer implemented action, see Figures 3 and 4. For
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`example, in figure 3, a click on Bid Q 18 will send an order to the market to sell 17 lots
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`of the commodity at a price of 89.
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`The closest prior art including US Patent 6,408,282, PCT WO 01/16852 and
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`commonly owned non-patent literature “X Trader” (see, applicant’s response to
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`USPTO’s request for information) all
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`lack this feature. The PTO also inquired as to the
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`subject matter of alleged infringement referenced in applicant’s petition to make
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`Art Unit: 3624
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`special. The USPTO found no evidence of public use or any printed publication of the
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`system known as J Trader, the subject matter of potential infringement and the
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`applicant’s basis for his petition to make special, earlier than November 6, 2000.
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`Therefore, the USPTO has concluded that the system known as J trader is not prior art
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`to the instant application which has a filing date of June 06, 2000.
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`2.
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`Any comments_considered necessary by applicant must be submitted no later
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`than the payment of the issue fee and, to avoid processing delays, should preferably
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`accompany the issue fee. Such submissions should be clearly labeled “Comments on
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`Statement of Reasons for Allowance.”
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`Any comments considered necessary by applicant must be submitted no later
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`than the payment of the issue fee and, to avoid processing delays, should preferably
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`accompany the issue fee. Such submissions should be clearly labeled “Comments on
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`Statement of Reasons for Allowance.”
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`Respectfully
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`By,
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`Richard Weisberger
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`Page 6 of 6
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`Page 6 of 6
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