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`TRADING TECH EXHIBIT 2072
`IBG ET AL. v. TRADING TECH
`CBM2016-00009
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`

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`AMENDMENTS TO THE CLAIMS
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`This listing of claims will replace all prior versions, and listings, of claims in the
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`application:
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`Listing of Claims
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`1-40. (cancelled)
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`41. (currently amended) A method of displaying market information relating to
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`and facilitating trading of a commodity being traded on an electronic exchange, the
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`method comprising:
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`receiving, by a computing device, market information for a commodity from an
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`electronic exchange, the market information comprising an inside market with a current
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`highest bid price and a current lowest ask price;
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`displaying, via the computing device, a bid display region comprising a plurality
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`of graphical locations, each graphical location in the bid display region corresponding to
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`a different price level of thea plurality of price levels along a price axis;
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`displaying, via the computing device, an ask display region comprising a plurality
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`of graphical locations, each graphical location in the ask display region corresponding to
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`a different price level of the plurality of price levels along the price axis;
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`dynamically displaying, via the computing device, a first indicator representing
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`quantity associated with at least one trade order to buy the commodity at the current
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`highest bid price in a first graphical location of the plurality of graphical locations in the
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`bid display region, the first graphical location in the bid display region corresponding to a
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`price level associated with the current highest bid price;
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`upon receipt of market information comprising a new highest bid price,M
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`displaying the first indicator relative to the price axis to at a second graphical location of
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`the plurality of graphical locations in the bid display region, the second graphical location
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`corresponding to a price level of the plurality of price levels associated with the new
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`highest bid price, wherein the second graphical location is different from the first
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`graphical location in the bid display region;
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`dynamically displaying, via the computing device, a second indicator representing
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`quantity associated with at least one trade order to sell the commodity at the current
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`lowest ask price in a first graphical location of the plurality of graphical locations in the
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`ask display region, the first graphical second location in the ask display region
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`corresponding to a price level associated with the current lowest ask price;
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`upon receipt of market information comprising a new lowest ask price,E
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`displaying the second indicator relative to the price axis to at a second graphical location
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`of the plurality of graphical locations in the ask display region, the second graphical
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`location corresponding to a price level of the plurality of price levels associated with the
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`new lowest ask price, wherein the second graphical location is different from the first
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`graphical location in the ask display region;
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`displaying , via the computing device, an order entry region comprising a plurality
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`of graphical areas for receiving single action singlenliek commands to set trade order
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`prices and send trade orders, each graphical area corresponding to a different price level
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`along the price axis ; and
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`selecting a particularg area in
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`the order entry region through a single action of the user input device to both set
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`
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`sin-g-le-el-ieleset-s a price for the trade order and send sends the trade order having a default
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`quantity to the electronic exchange.
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`42. (currently amended) The method of claim 41, wherein the order entry region
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`further comprises:
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`a bid order entry region comprising a plurality of graphical areas locations for
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`receiving single action singlenliek commands to send trade orders to buy, each graphical
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`@ leeat-ion corresponding to a different price level of the plurality of price levels algg
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`the price axis; and
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`an ask order entry region comprising a plurality of graphical areas locations for
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`receiving single action commands to send trade orders to sell, each graphical area
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`loeation corresponding to a different price level of the plurality of price levels along the
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`price axis.
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`43. (currently amended) The method of claim 42, wherein the single action
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`single-el-iek further sets whether the trade order is an order to buy or sell the commodity.
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`44. (currently amended) The method of claim 42, wherein the bid order entry
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`region overlaps with the bid display region, and wherein the ask order entry region
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`overlaps with the ask display region.
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`45. (currently amended) The method of claim 44, wherein the overlapping of the
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`bid order entry region with the bid display region allows the user to send trade orders to
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`buy the commodity by positioning the curser over the first indicator and selecting a an
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`graphical area corresponding to the current highest bid price, and wherein overlapping of
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`the ask order entry region with the ask display region allows the user to send trade orders
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`to sell the commodity by positioning the cursor over the second indicator and selecting a
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`an graphical area corresponding to the current lowest ask price.
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`46. (currently amended) The method of claim 41, wherein the trade order is an
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`order to buy the commodity if the position of the cursor at the time of the single action
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`single click is within a bid order entry region and wherein the trade order is an order to
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`sell the commodity if the position of the cursor at the time of the single action single click
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`is within an ask order entry region.
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`47. (previously presented) The method of claim 41, wherein the default quantity
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`is designated to be used for a single trade order.
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`48. (previously presented) The method of claim 41, wherein the default quantity
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`is designated to be used for a plurality of trade orders.
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`49. (currently amended) The method of claim 4 l , further comprising
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`dynamically displaying an entered order indicator at a graphical location aligned in
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`association with a price level of the plurality of price levels wherein the entered order
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`indicator represents a user’s trade order working at the price level aligned with the
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`entered order indicator.
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`50. (currently amended) The method of claim 49, further comprising canceling
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`the user’s trade order represented by the entered order indicator in response to a single
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`action singleeliek of the user input device with the cursor of the user input device
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`positioned over the entered order indicator.
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`51. (previously presented) The method of claim 4l , further comprising receiving
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`a re-centering command to center the inside market in a window of a graphical user
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`interface.
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`52. (previously presented) The method of claim 41, wherein the bid display
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`region, the ask display region, and the order entry region are displayed vertically or
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`horizontally.
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`53. (previously presented) The method of claim 41, wherein the bid and ask
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`display regions are displayed separately.
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`54. (currently amended) The method of claim 41, wherein the plurality of price
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`levels are displayed along the price [[an]] axis.
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`55. (currently amended) The method of claim 41 el~ai1=né4, wherein the axis—is
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`statiesueh—that—the plurality of price levels do not move except as a result of a manual
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`repositioning command
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`56. (currently amended) The method of claim 41, further comprising receiving
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`an input from a user that designates a default quantity to be used for a plurality of trade
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`orders, and receiving a plurality of consecutive single action si-n-g-le-el-iek commands from
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`a user input device, each single action singleeliek command sending a trade order to the
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`electronic exchange, each trade order having an order quantity based on the default
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`quantity without the user designating the default quantity between the single action single
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`eliek commands.
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`57. (currently amended) The method of claim 56, wherein the plurality of trade
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`orders trades comprises a [[the]] combination of trade orders to buy and sell the
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`commodity.
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`58-74. (canceled)
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`75. (new) The method of claim 41, wherein the single action of the user input
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`device consists of a single click of the user input device.
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`76. (new) The method of claim 41, wherein the single action of the user input
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`device consists of a double-click of the user input device.
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`77. (new) The method of claim 42, wherein the single action of the user input
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`device consists of a single click of the user input device.
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`78. (new) The method of claim 42, wherein the single action of the user input
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`device consists of a double-click of the user input device.
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`79. (new) The method of claim 50, wherein the single action of the user input
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`device to cancel the trade order consists of a single click of the user input device.
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`80. (new) The method of claim 50, wherein the single action of the user input
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`device to cancel the trade order consists of a double-click of the user input device.
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`81. (new) The method of claim 56, wherein the single action command consists
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`of a single click of the user input device.
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`82. (new) The method of claim 56, wherein the single action command consists
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`of a double-click of the user input device.
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`83. (new) A computer readable medium having stored therein instructions for
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`execution by a computer to perform the following method steps:
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`receiving, by a computing device, market information for a commodity from an
`
`electronic exchange, the market information comprising an inside market with a current
`
`highest bid price and a current lowest ask price;
`
`displaying, via the computing device, a bid display region comprising a plurality
`
`of graphical locations, each graphical location in the bid display region corresponding to
`
`a different price level of a plurality of price levels along a price axis;
`
`displaying, via the computing device, an ask display region comprising a plurality
`
`of graphical locations, each graphical location in the ask display region corresponding to
`
`a different price level of the plurality of price levels along the price axis;
`
`dynamically displaying, via the computing device, a first indicator representing
`
`quantity associated with at least one trade order to buy the commodity at the current
`
`highest bid price in a first graphical location of the plurality of graphical locations in the
`
`bid display region, the first graphical location in the bid display region corresponding to a
`
`price level associated with the current highest bid price;
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`upon receipt of market information comprising a new highest bid price, moving
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`the first indicator relative to the price axis to a second graphical location of the plurality
`
`of graphical locations in the bid display region, the second graphical location
`
`corresponding to a price level of the plurality of price levels associated with the new
`
`highest bid price, wherein the second graphical location is different from the first
`
`graphical location in the bid display region;
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`dynamically displaying, via the computing device, a second indicator representing
`
`quantity associated with at least one trade order to sell the commodity at the current
`
`lowest ask price in a first graphical location of the plurality of graphical locations in the
`
`ask display region, the first graphical location in the ask display region corresponding to
`
`a price level associated with the current lowest ask price;
`
`upon receipt of market information comprising a new lowest ask price, moving
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`the second indicator relative to the price axis to a second graphical location of the
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`plurality of graphical locations in the ask display region, the second graphical location
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`corresponding to a price level of the plurality of price levels associated with the new
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`lowest ask price, wherein the second graphical location is different from the first
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`graphical location in the ask display region;
`
`displaying, via the computing device, an order entry region comprising a plurality
`
`of graphical areas for receiving single action commands to set trade order prices and send
`
`trade orders, each graphical area corresponding to a different price level along the price
`
`axis; and
`
`selecting a particular graphical area in the order entry region through a single
`
`action of the user input device to both set a price for the trade order and send the trade
`
`order having a default quantity to the electronic exchange.
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`84. (new) The computer readable method of claim 83, wherein the single action
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`of the user input device consists of a single click of the user input device.
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`85. (new) The computer readable method of claim 83, wherein the single action
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`of the user input device consists of a double-click of the user input device.
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`1.
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`Status of the Claims
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`REMARKS
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`By this response, the present application includes claims 41-57 and 75-85.
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`Claims 41-46, 49-50, and 54-57 are currently amended, and new claims 75-85 are added.
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`Among the added claims, only claim 83 is independent, and it is directed to a computer
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`readable medium having stored therein instructions for execution by a computer to
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`perform the method of independent claim 41. Support for these amendments can be
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`found throughout the application and therefore no new matter is added in this response.
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`II.
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`Interview Summary
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`Applicants thank Examiner Weisberger for the telephonic interview on December
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`19, 2008 (“the Interview”) with Applicants’ representative Mark Triplett. Applicants
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`appreciate the Examiner’s time in discussing the present application, including potential
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`amendments that are presented in the claim listing of this response, the current rejections,
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`and the cited art. During the interview, Examiner Weisberger tentatively agreed that the
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`claims with the presented amendments are allowable over the art. The substance of the
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`Interview is reflected herein.
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`III.
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`Related Applications
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`Applicants understand that Examiner Weisberger reviews the claims and
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`prosecution history of related applications as they contain common subj ect matter. To
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`this end, Applicants remind the Examiner that the present application is related through a
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`common claim of priority to U.S. Patents 6,772,132 and 6,766,304, Patent Application
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`Serial Nos. 11/415,163, 11/585,905, 11/585,906, and 11/585,966. For the convenience of
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`the Examiner, Applicants respectfully submit the latest Office Actions for the above
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`pending cases in an IDS submitted herewith.
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`IV.
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`Double Patenting
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`To expedite prosecution, Applicants respectfully submit terminal disclaimers with
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`respect to U.S. Patent Nos. 6,772,132 and 6,766,304.
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`V.
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`Claim Rejections
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`The claims have been amended, and therefore obviate the rejections previously
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`made under 35 U.S.C. 101 and 35 U.S.C. 112. Specifically, claims 41-74 were rejected
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`under 35 U.S.C. 101 as being directed to non-statutory subject matter. Applicants
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`respectfully disagree that the claims as previously written were directed to non-statutory
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`subject matter. However, in the interest of expediting prosecution, Applicants amended
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`independent claim 41 (from which the other rejected claims depend) to make more clear
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`the recitation of statutory subject matter. Claim 44 was rejected under 35 U.S.C. 112,
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`second paragraph. Again, in the interest of expediting prosecution, Applicants amended
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`claim 44 accordingly. Applicants respectfully submit that the claims, as presented,
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`clearly satisfy 35 U.S.C. 101 and 35 U.S.C. 112.
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`Claims 41-74 were rejected under 35 U.S.C. 103(a) as being unpatentable over
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`Tokyo Stock Exchange, Next Generation Futures Options Trading System (“TSE”).
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`First, as always, Applicants do not concede that the cited reference is “prior art” under 35
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`U.S.C. 103(a). Second, during the interview and upon further consideration, the
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`Examiner tentatively agreed that the discussed claims are patentable over the cited art
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`when making the assumption that it is prior art.
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`For the record, Applicants note that the present claims contain a similar type of
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`claim language that has been found patentable in related patents, U.S. Patent Nos.
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`6,772,132 and 6,766,304, which both have been confirmed in reexamination (US
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`6,772,132 C1 and 6,766,304 C1). Applicants respectfully submit that the TSE reference
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`is at most cumulative to what was previously used in the thorough examination of the
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`similar, issued patents (e.g., Friesen, WO 00/62187, was considered in the examination of
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`the issued patents among other art). Additionally, the TSE reference, along with many
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`other references (that have been cited in an IDS in this case on or around December 8,
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`2008), were fully considered during the reexamination of the two issued patents (before a
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`separate Central Reexamination Unit and examiner); Applicants respectfully point out
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`that the reexamination resulted in a confirmation being granted in both patents with no
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`claim amendments. Likewise, Applicants respectfully submit that claims 41-57 and 75-
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`85 are also patentable over the art of record, including the TSE reference.
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`VI.
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`Conclusion
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`In general, the Office Action made various statements regarding the pending
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`claims and the cited art that are now moot in light of the above. Thus, Applicants will not
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`address such statements at the present time. However, Applicants expressly reserve the
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`right to challenge such statements in the future should the need arise (for example, if such
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`statements should become relevant by appearing in a rejection of any current or future
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`claim).
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`All the stated grounds of objection and rejection have been respectfully traversed,
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`accommodated, or rendered moot. Applicants therefore submit that the present
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`application is in condition for allowance. If the Examiner believes that further dialog
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`would expedite consideration of the application, the Examiner is invited to contact
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`Trading Technologies in-house Patent Counsel Mark Triplett at 3 l2-476-l 15 l, or the
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`undersigned attorney or agent.
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`Date: April 6, 2009
`
`By:
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`Respectfully submitted,
`
`MCDONNELL BOEHNEN
`
`HULBERT & BERGHOFF LLP
`
`/Daniel P. Williams/
`Daniel P. Williams
`
`Registration No. 58,704
`(312)913-0001
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