`
`IBG 1030
`CBM of U.S. Patent No. 7,693,768
`
`
`
`US 6,408,282 B1
`Page 2
`
`U.S. P/\'l'liN'I‘ |)()CUMl5N'l‘S
`
`Resnick; “Serial porifolio. {0nline securilies.
`
`trading)
`
`(including lislirlg of producls and services”; Dec. 1992;
`Cornpuler, V14, n11, p9U{4); dialog filw 148, Accession No.
`(]6184981.*
`
`Lehman “'l'rading and liquidity on lhe Tokyo Slock
`
`Exchange: a l')ird’s eye view”; Jul. l994, Journal of Finance,
`148, Accession No.
`
`V49, n3, p95l(34}; Dialog file
`0752021.‘
`
`* cited by examiner
`
`‘#1998 Broka el al. ................ .. TUSI37
`5,809,483 A
`2.11999 l"-‘crstcnbcrg ct al.
`?'(l5u'3’?
`5_.8T'3_.07l A
`7,-‘I999 Silverrnan el al.
`7(lS;‘3T
`5,924,082 A *
`5,014,043 A * M999 Minion
`705:3?
`5,950,177 A
`911999 Lupicn cl al.
`?'(l:’u'3"r‘
`6,012,046 A
`U2(JU'0 Lupicn
`?'05l'3T
`6,243,691 B1 *
`6;‘2(Il'Jl Fisher el al.
`................ .. T(J5;‘37
`
`
`
`.
`
`.
`
`OTHER PUBLICATIONS
`
`Louis; “New breed of l;‘(.‘Ns competes for markel share”;
`Nov. 1998; Wall Slreel and Technology Online Trading
`Supplement PP: 16-17; Dialog file 15, Accession No.
`01726082.*
`
`0002
`0002
`
`
`
`U.S. Patent
`
`Jun. 13, 2002
`
`Sheet 1 of 69
`
`US 6,408,282 B1
`
`BROKER/DEALER
`SERVER & DATABASE
`
`BROKER/
`DEALER
`
`SERVER 6:
`
`DATABASE
`
`INTERMEDIATE
`SERVER 8:
`
`0003
`0003
`
`
`
`U.S. Patent
`
`Jun. 13, 2002
`
`Sheet 2 of 69
`
`US 6,408,282 B1
`
`E
`
`EI_EI8adCDC)2-2-
`
`iifliiaiwiiifEEEE3E3E3E3
`
`_-L. C3
`
`LUE
`
`INTERMEDUUE
`DAUE%6E
`.
`MEDMTE
`SERVER
`
`E
`
`40
`
`
`SE,,,F1C,§§‘°
`CD3ii392-3
`
`3?:.‘-”1:u
`
`I3
`
`20
`
`REPUCA
`
`DMWBASE
`
`REPUCA
`SE
`
`REPUCA
`
`20
`
`IMHABASE
`
`REPUCA
`
`SERVER
`
`REPUCA
`
`DKHEMSE
`
`REPUCA
`
`SERVER
`
`REPUCA
`
`[MUABASE
`
`F|G.2
`
`0004
`0004
`
`
`
`U.S. Patent
`
`Jun. 18,2002
`
`Sheet 3 of 69
`
`US 6,408,282 B1
`
`310
`
`
`SELLER ACTIVATES
`CONNECTION STATUS
`
`DISPLAY AND CONNECTS
`T0 SELLER's BROKER/
`DEALER SERVER/DATABASE
`
`
`
`
`
`
`
`APPLICATION DISPLAYS
`MASTER TRADE SCREEN
`AND CONNECTS TO
`LOAD BAIANCER
`
`
`
`LOAD BALANCER
`TRANSFERS CONNECTION
`TO A REPLICA SERVER
`
`322
`
`SELLER SELECTS A
`
`STOCK OF INTEREST
`
`325
`
`APPLICATION SENDS
`IDENTITY OF SELLERS
`SELECTED STOCK TO
`REPLICA SERVER
`
`REPIJCA SERVER/DATABASE
`ADDS SELLERS ID TO
`SUBSCRIBER LIST FOR ORDER
`BOOK FOR SELECTED STOCK
`
`342
`
`SELLER VIEVIS ORDER
`BOOK DISPLAY AND RELATED
`DISPLAYS AND FILLS IN TRADE
`TICKET FOR A SELL ORDER
`AND SELECTS
`"ORDER
`VERIFICATION"
`
`SELLER VIEVIS FINAL
`VERIFICATION SCREEN
`AND SELECTS
`"SEND ORDER"
`
`ORDER IS TRANSNIITTED TO
`SELLER'S BROKER]DEALER
`SERVER/DATABASE. WHICH
`CHECKS THAT SELLER HAS
`EFICI NT SHAR S IN HIS
`
`SU
`
`E ACCQUNE
`
`SELLER's BROKER/DEALER
`SERVER/DATABASE SENDS
`APPROVED SELL ORDER
`
`TO ROOT SERVER 50, men
`AITACIIES SYSTEM II} TO ORDER.
`IDENTIFYIIIG ACCOUNT, ORDER, E
`SELLERS BROKER DEALER
`
`ROOT SERVER 50 UPDATES
`MASTER DATABASE ORDER
`BOOK INFO
`
`REPLICA SERVER SENOS
`
`ORDER BOOK INFO TO SEU.ER'S
`APPLICATION AND CONTINUES TO
`UPDATE IN REAL TIILIE
`
`UPDATED ORDER BOOK INFO
`IS TRANSMITTED TO REPLICA
`
`SERVERS, WHICH UPDATE
`REPLICA DATABASES
`
`
`
`
`393
`
`
`SELLERS BROKER/DEALER SERVER]
`DATABASE AND BUYERS BROKER]
`IIEILER SERIER/DIIAOISE Dunn
`APPLICATIONS DE SELLER .-RD BUYER
`
`
`
`mm TRANSACIIIIII rs IJIINFIRIIEIJ. AND
`CURRENT POSITIONS AND RELATED
`
`
`
`RSPIAIS ARE UPDATED
`
`
`
`APPLICATION USES ORDER
`BOOK INFO TO FILL IN
`ORDER BOOK DISPLAY
`
`AND RELATED DISPLAYS CONNECTED USERS REACH
`
`EACII REPLICA SERVER mm
`
`SUBSCRIBE TO SAID ORDER
`DOOII SEIIDS SELLERS
`SELL OFFER TO THOSE USERS
`APPLICATIONS. ALONG TIITH
`UPDATED ORDER BOOII
`INFO
`
`F|G.3
`
`0005
`0005
`
`
`
`RECEIVE SELLERS SELL
`OFFER DISPLAY THAT ORDER
`IN ORDER BOOK DISPLAY
`
`374
`
`
`
`
`
`HO
`
`APPLIOATIONS IIIHICI-I
`
`BUYER SEES SELLERS SELL
`OFFER AND ACCEPTS OFFER
`
`378
`
`
`
`
`BUYER'S BUY ORDER
`
`(ACCEPTING SEU.ER'S SELL
`DEEER)
`IS TRANSIIIITED T0
`
`BUYER'S BROKER/DEALER
`SERVER/DATABASE, mm
`
`SYSTEM ll} 0F SELLERS OFFER
`
`
`
`
`382
`
`
`
`
`
`
`BUYER'S BROKER/DEALER
`SERVER/DLIADLSE CHECKS
`TO SEE mm BUYER HAS
`SUFFICIENT FUNDS IT HIS ACCOIRII
`386
`
`
`
`
`
`
`
`BUYER'S BROKER/DEALER
`SERVER/DATABASE SENDS
`APPROVAL ORDER, ALONG
`IIIIIH BUYER'S ID & SYSTEM
`ID OF SELLERS OFFER
`
`
`
`
`
`ROOT SERVER 50 NOTIFIES
`SELLERS BROIIER/DEALER AND
`BUYER'S BROKER/DEALER OF
`DETAILS OF TRANSACTION.
`UPDATES MASTER DATABASE.
`AND TRANSILIITS UPDATE INFO
`
`TO REPLICA SERVERS REPLICA SERVERS UPDATE REPLICA
`
`DITABASES AID TRANSIIIT UPDATED
`LIFO IO SULISCRIERS OF ORDER
`BOOK FOR STOCK SOLD BY
`SELLER TO DEALER
`
`
`
`
`
`
`
`
`U.S. Patent
`
`Jun. 18,2002
`
`Sheet 4 of 69
`
`US 6,408,282 B1
`
`ROOT SERVER
`HUEDS
`DEFINIINE
`COLLECHON of
`“0flS£RVABl£S".
`ITEMS A-2
`
`
`
`REPLICA SERVER
`HOLDS REAl.—ilME
`SYNCEWNIZED SE
`OF DEFINITNE
`COLLECTKJN OE
`"0BSER\'ABLES".
`IIEHS A-Z
`
`"DBSERVABlES".
`ITEMS A—Z
`
`ll5ERS‘dflVDRI1ER
`H10! USER (A) IN
`ERJER WK “SP1”
`W W1 “E
`
`
`
`no.4
`
`svsuu PASSES
`000300000 TO THE
`0001 SERVER BY wmr
`0: REPUCA szmm
`
`0006
`0006
`
`
`
`U.S. Patent
`
`Jun. 18,2002
`
`Sheet 5 of 69
`
`Us 6,408,282 B1
`
`I VISUAL OUOTE AND ORDER BOOK DISPLAY
`I
`IBM INTERNATIONAL BUSINESS MACHINES
`BUT’ SIIIE
`
`144.4375
`144.195
`144.
`I
`144.25
`
`.3000
`
`
`
`ACTION
`
`UANTITY
`
`SYMBOL
`
`fiIgj—__|E]|:_:IEI
`
`PREF.
`PRICE TYPE
`
`
`
`
`
`
`
`
`
`
`STOP PRICE
`LIMIT PRICE
`I::j§I
`DURATION
`CONDITION
`IDAY
`I:“NONE
`REAL-TIME QUOTE SHOWN BELOW
`OPEN
`HI
`CLOSE
`LOW
`BID:0.0
`BID SIZE: 0.0
`
`ACCT. 93901031
`
`ACCOUNT
`|:“CASH
`
`LAST
`VOL
`ASK: 0.0
`
`
`
`
`
`
`
`
`I3 NEGOTIATIONS ALLOWED
`mmmous
`ROUTE TO
`|:”NONE
`
`CHANCE
`
`ASK SIZE: 0.0
`
`3
`
`
`
`
`YOUR CURRENT BUYING POWER IS:
`
`IF YOU EXECUTE THIS TRADE YOUR BALANCE WILL BE
`THE TOTAL COST INCLUDING COMMISSION WILL BE
`
`
`
`VERIFICATION
`
`20
`
`’_
`
`ACCOUNT HISTORY
`NEGOTIATIONS
`
`FINANCIAL SLLMMARY
`MESSAGES
`
`WIT CAPITAL
`I
`
`ON LINE
`
`ATCH STKS.
`
`WIT
`
` W
`
`TRADE STOCKS
`UICK UOTE
`
`T
`
`POS. P&L
`P N II '
`
`WELCOME TO THE NEW WIT CAPITAL DIGITAL STOCK MARKET
`IBM +.93T-"5, I445
`
`55“
`
`F|G.5A
`
`0007
`0007
`
`
`
`U.S. Patent
`
`Jun. 18,2002
`
`Sheet 6 of 69
`
`Us 6,408,282 B1
`
`STOP
`IIOOEIIIRKS
`FORWARD
`SmcR
`
`OTHER FUNCTIONS
`
`HELP
`
`DSIIII NEWS
`
`IPRHJPENING IIOPENING BELL |[ROT sIIOTS|
`
`NEIIIS OUT
`
`I:LOsIIIc BELL
`
`fig
`
`_
`
`NEWS ON THE CURRENT 24 MOST ACTIVE STOCKS
`HOT SHOTS
`-IBIII REPORTS EARNINGS UP 22% OVER SAME PERIOD LAST YEAR.
`' DELL IN AFTER HOURS NEWS, REPORTS EARNINGS UP 42% OVER LAST YEAR SAT-IE QUARTER
`- CI.IPT IN AFTER HOURS NEWS, REPORTS LAUNCH OF NEW DIRECT SALES PLAN FOR INTERNET
`SIIOIII
`IIELP
`SIIOIII EIIIIL
`SIIOII
`IIEIIS
`SIIOII CHART
`OPEN ORDER LIST
`SYMBOL
`ACCOUNT
`ACTION
`ORDER TYPE
`SELL LIMIT
`IBM
`CASH
`SELL
`LIMIT
`
`LIMIT
`121.00
`121.00
`
`QUANTITY
`
`400
`
`PREE.|
`CURRENT
`121.1875 I
`121 .1875
`
`E
`]_BUY|NG POWER $0.00
`BUY TOTAL $0.00
`SELL TOTAI $4,144,440.32
`CANCEL
`CANCEL IILLT
`SORT
`DETAILS)
`
`i4.§
`
`51}
`cuRRENT POSITIONS
`SYMBOL
`ACCOUNT
`
`PRICE
`
`QUANTITY
`
`COST
`
`CHANGE
`
`PREE.
`PROEITAOSS
`8,002 A
`
`I:
`
`16,484
`
`1,350
`855.00
`
`EIIINNS POWER 3
`SELL
`ENANOIIIL SUMMARY
`
`UITTES
`
`IOU
`
`_l-I
`TOTAL POSITIONS
`s
`SORT
`
`REPORTS
`I
`| DETA1LS>
`510 PREF.
`
`.
`
`RAND SUM
`
`9051.
`
`MARCIN
`OPEN ORDERS
`I TIQNS
`BUYING POWER
`
`PREFERENCES
`
`STOCK SUMIIIARY
`WIT NEWS
`
`CUSTOM VIEWS
`
`PEEL OFF DISPLAY
`
`F|G.5B
`
`0008
`0008
`
`
`
`U.S. Patent
`
`m.
`
`MNm
`
`H...aM
`
`US 6,408,282 B1
`
`0009
`
`88
`
`H.3%$.28Eg-
`
`_..._mjas3.3
`
`calung82NameEA.weaBawInEa
`§r§E_§EIIEF!!
`
`N2.3...3%52magiNa.“$2.3maqfi33VSqgm
`
`.
`
`who
`
`am
`
`nu_
`
`m
`
`S
`
`
`
`
`
`jE022E:2....._,._o:_..=._.529..wage~59
`
`
`
`
`
`.Ez_go...$2.19.:m&_,__§§,a_zz§_.___,_m_
`
`
`
`
`
`
`
`ad:BE_._H._%m..2.ME:>52.V58$95Q24.E8Ems
`
`
`
`
`U.S. Patent
`
`Jun. 18,2002
`
`Sheet 3 of 69
`
`US 6,408,282 B1
`
`740
`
`I
`OPEN 00002 LIST
`CURRENT
`QUANTITY
`LIMIT
`ORDER TYPE
`ACTION
`SYMBOL
`ACCOUNT
`SELL 121.00 121.1025
`
`flmjlfi 121.00 121.1875
`
`4-50
`
`CURRENT POSITIONS
`
`LOSS -
`8062.83
`7005.32
`
`.23
`.24
`
`I
`
`TOTAL POSITIONS
`BUYINS POWER ii
`— DETAILS >
`
`8656. 2
`.10
`—H
`S
`
`REPORTS
`
`0010
`0010
`
`
`
`U.S. Patent
`
`.Iun. 18,2002
`
`Sheet 9 of 69
`
`Us 6,408,282 B1
`
`0011
`
`:8
`
`o_.o_.._
`
`om
`
`o_o_o_
`
`o¢m
`
`camcumo_m
`
`.a=;:Ea=uag:.---s-----g-........-....-s--;as:smgsaaga_
`
`cam
`
`
`
`gfiazéasE3;52553
`asE308
`
`
`n~..m¢m_.”_ m m.5Ha.coma
`
`E95A22%II
`
`Egoisas
`
`Sam2m_,_o_:__5az_
`
`
`
`3:2$.59;ism¢cam
`
`owe.moo.ens.Nnoe
`
`
`
`am0.2.85soma:mazm8_._ammz_E%oz_E%-mEmzmz
`
`0.00 ..29
`
`
`
`
`
`.3:mzofiza$15“asoz:e_%c_§as:$258%
`
`one.
`
`
`
`
`
`.m_E§o“:5m5»$55.5N?n_:82.55maoam.952mac:5:...2.ac_.
`
`
`
`
`
`.m_,_.m=z_mez<._n_mamEmaE2552;:m%nE_m_....m_zago:$;_.2.:5.-
`
`£5».55BE2555as,58z_z%E95_.__m__o
`
`
`
`
`
`macsm>_§.mo:EzmgaMEzoma:mhoxm._.o_._
`
`.95..E_.§_m
`
`
`
`
`
`ma:Eom52.5...§amaz...§_m.__$._T...__....o_._m.3:......o_._m
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`U.S. Patent
`
`M
`
`JE:
`
`mm8:
`
`2flu01;.
`
`._..u.ChS
`
`r1001
`
`(0
`
`01
`
`US 6,408,282 B1
`
`0012
`
`m.oo
`
`flameN53and
`duz<Qzma.._..o:m_,_o_E___$>
`
`
`
`:.o_.._
`
`9:E:
`
`a
`
`
`
`
`
`mm:2._,_emm_§8oz_%§,__E8.392.:
`
`2 :2m
`
`aEM
`
`wmm:25255ms?55:2:E35:9,2fi_m_$3....
`ozrsm=,_§ams?3gm
`
`225as_:5%
`2$42Emgm8:§8:92
`0%zgoxm53E33
`
`was
`
`mzofizozzq_U
`
`339%m_,a_=_5azD
`
`so§3.E<
`
`EmzozEasEmzoz
`
`
`
`EE8~z:o8<28528
`
`mm:
`
`3:
`
`NZ;
`
`.1:
`
`3:
`
`
`
`
`
`
`
`U.S. Patent
`
`J
`
`8
`
`US 6,408,282 B1
`
`0013.
`
`28
`
`m22
`
`.4$1EEEEEasea 3%E...
`
`IIIIIIE?:2llmEv_~_§_505ME9503...,M2...zo
`
`hIIIIIIsIHEIIIIIIea5%.Illllli
`
`
`
`mN_.o_.._asM85
`
`
`
`
`U.S. Patent
`
`H
`
`.o,.w,
`
`US 6,408,282 B1
`
`0014
`
`Eco
`
`%Eas
`
`so2:2sowazsoQ52:5ma:
`
`amSmamam
`
`ansea3%;82ass35%8...32%Q?asagoaim3222%mmam
`
`
`
`
`
`m$+§.n_2;+§§_;+§5.3:?§.;+§_
`
`
`
`
`
`JIEE
`
`m2.3
`
`rm1.3Ill;.32I-----W%H9we.\V\.Illk Im_3m3
`
`.33.8;ma...moiwe~5203$.81W523%wema:.
`
`
`
`U.S. Patent
`
`Jun. 18,2002
`
`Sheet 13 of 69
`
`US 6,408,282 B1
`
`oh¢_
`
`¢n¢_
`
`o~¢,
`
`mN¢fl
`
`Nn¢_
`
`m_¢_
`
`0015
`
`28
`
`.V21.
`
`am3%mmgzou%ESQsaga-2gmE55%E2...__o_._m9%.5::2.5::5soma...ma:aoa55¢maggm$25
`
`
`
`
`
`39%.saga.fig8..,.:_I%._08am
`
`-¢_
`
`C3
`-12
`
`02oneQ2Hone
`
`
`
`
`
`E£.:§§zzazzué£325:
`
`om¢,
`
`~_¢_
`
`CE
`
`5\
`
`‘IIIIJ
`§\\\\\\\Y L\\.\\\\\\\V.
`\L\V'.\\\\\\\\\\\\\\\\\
`-
`
`II
`
`.II
`I
`
`I :
`
`
`
`mew,mm¢_
`
`
`
`
`
`El‘m_,__§mmzma3.93%.3.
`
`
`
`:_>_§925%3E43
`
`om¢_
`
`
`
`
`
`
`
`
`
`U.S. Patent
`
`Jun. 18, 2002
`
`Sheet 14 of 69
`
`Us 6,408,282 B1
`
`0016
`
`88
`
`m_.o_.._
`
`
`
`%E3223081%mama...m_,a_§sa2£205%
`
`oum_
`
`m~m_
`
`
`
`omm_own.mam.
`
`
`
`
`
`%.,5%aEEwas.558E22gemE52:822$22:53%same
`
`
`
`o.mfin_m_
`
`m¢m_
`
`o¢n_
`
`gemH55:
`
`E8:8
`
`
`
`
`U.S. Patent
`
`Jun. 18,2002
`
`Sheet 15 of 159
`
`US 6,408,282 B1
`
`YOUR ORDERS
`
`VISUAL QUOTE AND ORDER BOOK DISPLAY
`IBM INTERNATIONAL BUSINESS MACHINES
`UY
`I
`PRICE IN I? I5
`AON DTY.
`DECIIIALS
`
`AFTER HOURS MKT.
`
`IS OPEN
`
`SELL SIDE
`AOII OIY.
`
`__
`YOUR ORDERS
`
`LIMIT QTY.
`
`IIIIIT OTY.
`I00
`500
`400
`400
`I50
`I000
`4500
`5000
`E13011
`I44.43T'5
`I44.3?5
`I44.
`I
`513515-
`3000
`144.1875
`1000
`144-1 25
`100
`I44.0625
`200
`I44
`
`3000
`2500
`I000
`1000
`
`1:2:.-‘F.1-"I.—.'"""'\'::
`
`H-83-GH-
`
`-mfi— d §
`4412-3-‘j0-III:-IA
`
`LOW
`_HI
`LVOL
`143.00
`144.50
`900.000
`00001 BK.
`CHART
`11051101111
`in511011 1101 51001 ENTER s11100L>>
`‘TRADE 11c1<£1| __
`ACTION
`
`011111111
`
`CHNG.NITE LAST DAY CHNGDAY4508
`
`144.5
`3143.00
`1.50%
`OYERALLFJLL 192
`511011 11013
`DAY 11110
`NITE 1110
`PRICE 1011 SCALE
`511.100
`IIINEIIEIII LIP
`COIIPRESS 390010
`
`NEWS 0111
`
`PRICE TYPE
`I:I
`ACCT. 93901031 DNECOTIATIONS ALLOWED
`STOP PRICE
`LIMIT PRICE
`El ANONYMOUS
`E I:EI
`ROUTE TO
`ACCOUNT
`DURATION
`CONDITION
`ICASH IIIINIIE
`REAL~T|ME QUOTE SHOWN BELOW
`OPEN
`HI
`CLOSE
`LOW
`BID:0.0
`BID SIZE: 0.0
`
`SYMBOL
`I
`
`LAST
`VOL
`ASK: 0.0
`
`III
`
`CHANCE
`
`ASK SIZE: 0.0
`
`YOUR CURRENT BUYING POWER IS:
`
`IF YOU EXECUTE THIS TRADE YOUR BALANCE WILL BE
`THE TOTAL COST INCLUDING COMMISSION WILL BE
`
`E
`
`VERIFICATION
`
`WIT CAPITAL
`
`ON LINE
`
`WIT
`WATCH STKS.
`YOUR STKS.
`TRADE STOCKS
`QUICK QUOTE
`
`*6”
`
`CLEAR
`
`WELCOME TO THE NEW WIT CAPITAL DIGITAL STOCK MARKET
`AOL+.3?5
`BA+.50
`CCI+1.25
`CTWY+.25
`AAIR+2.966?5
`ADLI+3.625
`AGPH+54.00
`ALIF+I .626
`AMCN+ IOI .00
`POS. P8:
`FUNDS AVAIUIBLE
`OPEN
`ROERS
`MESSAGES
`
`AGMXX+.I 6015
`AMAT+43.03?5
`ACCOUNT HISTORY
`NEGOTIATIONS
`
`I
`
`F|G.16A
`
`0017
`0017
`
`
`
`U.S. Patent
`
`Jun. 18,2002
`
`Sheet 16 of 69
`
`US 6,408,282 B1
`
`STOP
`FORWARD HOME
`SWCH
`
`DSM NEWS
`
`PRE-OPENEINC
`
`OPENING BEIL
`
`[ HOT SHOTS
`
`I NEWS OUT
`
`CLOSING BELL I
`
`Ell
`
`HOT SHOTS
`
`NEWS ON THE CURRENT 24 MOST ACTIVE STOCKS
`
`i
`
`-IBM REPORTS EARNINGS UP 22% OVER SAME PERIOD LAST YEAR.
`-DELL IN AFTER HOURS NEWS, REPORTS EARNINGS UP 42% OVER LAST YEAR SAME QUARTER
`-CMPT IN AFTER HOURS NEWS, REPORTS LAUNCH OF NEW DIRECT SAI.ES PLAN FOR INTERNET"
`SHOW HELP
`SHOW CIINTI
`SORT NEWS—E SHOW IIIY sTI<s_
`OPEN OROER LIST
`PREF.I
`ACTION
`SYMBOL
`ACCOUNT
`CURRENT
`IBM
`SELL
`CASH
`I2I_L8T5
`[E_ SELL
`‘L21 .1875
`
`ORDER TYPE
`LIMIT
`LIMIT
`
`LIMIT 5
`I2I.OO
`121.00
`
`QUANTITY
`2OO
`400
`
`BUYING POWER $0.00
`CANCEL
`CANCEL ALL
`
`CURRENT POSITIONS
`SYMBOL
`ACCOUNT
`
`BUY TOTAL $0.00
`SORT
`
`SELL TOTAI $4,144,440.32
`DETAILS>
`CHANCE
`
`PRICE
`
`QUANTITY
`
`COST
`
`CHANGE
`
`| PREF. HELP |
`PROFIT,/L_OS.s
`
`=—!
`I00
`E
`
`100
`
`I350
`
`— $
`
`TOTAL POSITIONS
`
`
`BUYING POWER $
`
`‘F DETAILS>
`
`1‘ REPORTS
`
`I— PREFERENCES
`
`ACR)O(+.30858
`AKZOY+43.5?5
`
`AMZN+324.6I25
`
`PEEL OFF DISPLAY
`
`HELP
`OO:0O:OO
`
`NASDAQ
`NYSE
`
`EXPAND
`
`0018
`0018
`
`FINANCIAL SUMMARY
`
` .
`RUYINC POWER
`-.
`
`ABO)(X+.21003
`
`.
`
`- AIIIIKR+9.625
`
`STOCK SUMMARY
`
`- F
`
`|G.1 53
`
`
`
`U.S. Patent
`
`M
`
`9
`
`US 6,408,282 B1
`
`0019
`
`28
`
`8_.o_.._3,3
`
`32.3333.55:
`
`33333.3=E...
`
`
`
`3.3338.288
`
`
`
`
`
`
`
`8,3333333333333333333333:_333233333333gai3333331.I33.32333....333.32333.32.33.__.§_3:3333:3....3333m!éI33.3%....33.23333.23333:33332333._.3_.3__3
`
`
`
`
`
`
`m.3333...333.333333.33.3333?
`
`
`.33333J%2333333533333:33I3333!
`
`III33333.33Q.3233I33.3333333.3333333333333..3:3%%3.33ED
`
`om:
`
`333.3%333333H8.38333333333333332333333333a%3333333333..3I++33.:
`
`
`M.3333...333332333.33I335?92o333E3333333333333333333“.333333333
`
`
`
`
`
`
`323::9:$3,328
`
`
`
`
`
`
`
`
`U.S. Patent
`
`Jun. 18,2002
`
`Sheet 13 of 69
`
`US 6,408,282 B1
`
`USER ACCESSES
`WEBSITE
`
`USER RECEIVES
`REQUIREMENTS LIST
`
`1710
`
`
` 1715
`
`
`
`1 720
`
`1 725
`
`
`
`USER RECENES
`UPGRADE INFO OR
`SOFTWARE
`
`
`DOES USER
`HAVE PROPER
`CONFIGURATION?
`
`
`
`I730
`
`USER DOWNLOADS
`FULL APPUCATION
`
`
`USER OPENS
`
`APPIJCATION FOR
`FIRST TIME
`
`
`
`
`
`
`I745
`
`1750
`
`
`
`IS ACCOUNT
`USER CONNECTED
`SUCCESSFU LLY
`TO ACCOUNT OPENING
`
`OPENED?
`DATABASE 6: HELP
`DATABASE
`
`USER ACCOUNT IS
`OPEN AND FULL
`APPLICATTON IS ACTIVE
`
`
`
`
`1755
`
`F|G.I7
`
`0020
`0020
`
`1735
`
`1 740
`
`
`
`USER ATIEMPTS
`TO OPEN ACCOUNT
`
`
`
`U.S. Patent
`
`Jun. 18, 2002
`
`Sheet 19 of 69
`
`US 6,408,282 B1
`
`1805
`
` APPLICATION ATTEMPTS
`
`
`TO CONNECT TO
`
`REPLICA SERVER
`
`
`1825
`
`
`
`USER RECEIVES
`
`DIALOC BOX
`
` 1820
`All CHANGES TO REPLICA
`DATABASE REFLECTED IN
`MASTER DATABASE
`
`
`
`
`
`DATABASE ON REPLICA SERVER
`
`PASSES INTO
`
`ATTELIPTS TO MATCH NAME AND
`
`REPLICA SERVER
`
`PASSWORD TO LIST OF USERS
`
`
`APPLICATION
`
`
`
`
`
`APPLICATION
`
`RECEIVES USER'S
`
`1860
`
`FILTERED INFO
`
`
`F|G.18
`
`0021
`0021
`
`
`
`1865
`
`
`
`MASTER TRADE
`SCREEN DISPLAYED
`
`USER'S DISPLAY
`AUTOMATICALLY
`UPDATED IN
`
`
`
`
`
`REAL—TIME
`
`1870
`
`
`
`U.S. Patent
`
`Jun. 13, 2002
`
`Sheet 20 of 69
`
`Us 6,408,282 B1
`
`USER OPENS
`MASTER TRADE
`
`191 O
`
`NECESSARY INFO ON
`MASTER TRADE SCREEN
`
`APPLICATION SHOWS
`
`
`
`SCREEN
`
`
`
`PROFIT OR LOSS
`
`USER SELECTS TREND
`CHART VIEW
`
`1920
`
`APPLICATION SHOWS
`HELP FUNCTION
`
`USER DECIOES TO
`
`SEE OTHER STOCK
`IN DETAILED BOOK
`
`VIEW OR CHART VIEW
`
`1925
`
`APPLICATION SHOWS
`
`
`
`USER SELECTS OTHER
`I smcx mom smcx
`SUMMARY DISPLAY
`
`APPLICATION
`DISPLAYS NEW
`STOCK IN ORDER
`BOOK VIEW
`
`APPLICATION
`POPULATES TRADE
`TICKET
`
`SELECTED STOCK
`
`APPLICATION
`DISPLAYS NEWS FOR
`
`1930
`
`1935
`
`‘940
`
`1945
`
`USER'S POSITION
`HIGHLIGHTED IN
`
`POSITIONS WINDOW
`
`1950
`
`FIG.I9
`
`0022
`0022
`
`
`
`U.S. Patent
`
`Jun. 13, 2002
`
`Sheet 21 of 69
`
`US 6,408,282 B1
`
`2010
`
`..”‘5ER SELECTS,
`QUICK QUOTE
`FUNCTION
`
`2025
`
` USER WANTS TO SEE
`
`
`
`
`STATUS OF STOCK NOT
`SHOWN IN MASTER TRADE SCREEN
`
`USER CHECKS
`SUMMARY DISPLAY
`
`
`
`NO
`
`
`
`
`
`
`
`IS STOCK
`SHOWN IN SUMMARY
`DISPLAY?
`
`2020
`
`
`
`2030
`
`USER SELECTS STOCK
`FROM STOCK SUMMARY
`DISPLAY
`
`APPLICATION POPULATES MASTER
`TRADE SCREEN WITH DETAILED
`DATA ON“ SELECTED STOCK
`
`2035
`
`USER REVIEWS
`2040/‘V STATUS OF STOCK
`
`USER DETERMINES BEST
`PRICE FROM COMPARISON
`PRICE MAPS
`
`2045
`
`F|G.2O
`
`0023
`0023
`
`
`
`US. Patent
`
`Jun. 18,2002
`
`Sheet 22 of 69
`
`US 6,408,282 B1
`
`USER DECIDES TO
`
`2150
`
`OF STOCK
`PURCHASE SHARES
`
`APPLICATION CHECKS
`FOR ERRORS IN
`TRADE TICKET DATA
`
`
`
`ARE
`THERE
`
`APPLICATION DISPLAYS
`ERROR MESSAGE AND
`RESOLUTION OPTIONS
`
`2165
`
`2110
`
`2115
`
`USER CHECKS BASIC
`
`INFO IN SUMMARY
`
`2120
`
` IS STOCK
`SHOWN IN SUMMARY
`
`
`DISPLAY?
`
`
`YES
`
`USER SELECTS STOCK SYMBOL
`FRQM SUMMARY Dgspmy
`
`
`
`APPLICATION DISPLAYS
`FINAL “VERIFICATION
`SCREEN" (FLASHING)
`
`
`N0
`
`USER SELECTS
`" QUICK QUOTE "
`FUNCTION
`
`2130
`
`2125
`
`2170
`
`USER SELECTS
`"SEND ORDER"
`
`APPUCATION POPULATES
`IIIIASTER TRADE SCREEN
`AND TRADE TICKET
`WITH STOCK INFO
`
`IN TRADE TICKET
`
`USER FILLS IN
`REMAINING INFO
`
`2135
`
`2140
`
`"ORDER VERIFICATION "
`
`FIG.21
`
`2195
`
`0024
`0024
`
`
`
`APPLICATION DISPLAYS
`ORDER TRANSMISSION
`STATUS IN MESSAGE
`WINDOW
`
`2185
`
`APPLICATION SHOWS BUY
`ORDER IN OPEN POSITIONS
`IIIINDOIII HIGHLICHTED
`'” YELLOW
`
`WHEN ORDER IS FILLED AND
`
`CONFIRMED, BUY ORDER IS
`
`IS DISPLAYED
`
`USER'S ACCOUNT
`FILES ARE UPDATED
`AND NEW DATA
`
`
`
`US. Patent
`
`Jun. 18, 2002
`
`Sheet 23 of 69
`
`US 6,408,282 B1
`
`2260
`
`USER SELECTS
`"SEND ORDER"
`
`APPLICATION DISPLAYS
`ORDER TRANSMISSION
`STATES IN MESSAGE
`WINDOW
`
`APPLICATION SHOWS
`SELL ORDER IN OPEN
`POSITIONS WINDOW
`HIGHLIGHTED IN YELLOW
`
`WHEN ORDER IS FILLED
`
`AND CONFIRMED,
`SELL ORDER IS MOVED
`
`INTO PIIEL WINDOW
`
`USER'S ACCOUNT FILES
`ARE UPDATED AND
`NEW DATA IS DISPLAYED
`IN MASTER TRADE SCREEN
`
`USER DECIDES T0
`SELL STOCK
`
`2210
`
`USER SELECTS STOCK
`FROM POSITIONS
`DISPLAY AND SELECTS
`"SELL" BUTTON
`
`WITH STOCK INFO 2215
`
`APPLICATION POPULATES
`MASTER TRADE SCREEN
`
`2220
`
`2265
`
`2270
`
`USER FILLS IN REMAINING
`INFO IN TRADE TICKET
`
`2225
`
`2275
`
`USER SELECTS
`" ORDER VERIFICATION"
`
`2230
`
`2280
`
`2235
`
`APPLICATION CHECKS
`FOR ERRORS IN
`
`TRADE TICKET DATA
`
`SCREEN (FLASHING)
`
`APPUCATION DISPLAYS
`" FINAL VERIFICATION "
`
`2250
`
`APPLICATION DISPLAYS
`ERROR MESSAGE AND
`
`RESOLUTION OPTIONS
`
`2255
`
`0025
`0025
`
`F|G.22
`
`
`
`US. Patent
`
`Jun. 18, 2002
`
`Sheet 24 of 69
`
`US 6,408,282 B1
`
`2310
`
`2320
`
`USER MAKES DECISION
`TO CHANGE VARIABLES
`
`OF STOCK THAT
`HE HAS IN HIS
`OPEN ORDERS FILE
`
`USER SELECTS STOCK
`FROM OPEN ORDERS
`DISPLAY AND SELECTS
`"CHANGE " BUTTON
`
`APPLICATION FOPULATES
`MASTER TRADE SCREEN
`AND TRADE TICKET
`WITH ALL INFORMATION
`FROM OPEN ORDER
`SCREEN SELECTION
`
`USER CHANGES
`
`ALLOWABLE INFORMATION
`IN TRADE TICKET AND
`CHECKS FINAL TOTAL
`COST OF TRADE
`
`2315
`2525
`
`CHANGES
`2345
`WINDOW
`2355
`
`APPLICATION DISPLAYS
`ERRORS MESSAGE AND
`RESOLUTION OPTIONS
`AND GIVES RULES FOR
`
`2340
`
`APPLICATION DISPLAYS
`
`FINAL "VERIFICATION
`SCREEN" (FLASHING).
`USER MAKES FINAL
`DECISION TO SEND
`CHANGE ORDER. USER
`SELECTS
`"SEND ORDER"
`
`APPLICATION DISPLAYS
`ORDER TRANSMISSION
`STATUS IN MESSAGE LINE
`
`2350
`
`APPLICATION SHOWS
`
`CHANGES IN OPEN
`ORDERS WINDOW ON
`MASTER TRADE SCREEN
`HIGHLIGHTEO IN YELLOW
`
`WHEN CHANGES ARE
`
`CONFIRMED, APPLICATION
`REMOVES YELLOW
`HIGHLIGHT IN OPEN
`POSITIONS WINDOW
`
`2360
`2365
`
`SYSTEM UPDATES
`USERS ACCOUNT FILES
`AND CALCULATES NEW
`BALANCES. APPLICATION
`DISPLAYS NEW DATA IN
`MASTER TRADE SCREEN
`WINDOWS
`
`USER SELECTS
`" ORDER VERIFICATION"
`
`2335
`
`
`
`APPLICATION CHECKS
`FOR ERRORS IN THE
`DATA ENTERED INTO
`THE TRADE TICKET
`
`
`
` 2335
`
`F|G.23
`
`0026
`0026
`
`
`
`U.S. Patent
`
`Jun. 18, 2002
`
`Sheet 25 Of 69
`
`US 6,408,282 B1
`
`APPLICATION DISPIAYS
`ERRORS MESSAGE AND
`RESOLUTION OPTIONS
`AND CITIES RULES FOR
`
`CHANGES
`SELECTS "SEND ORDER“
`
`APPLICATION DISPLAYS
`FINAL "VERIFICATION
`SCREEN" (FLASHING).
`USER MAKES FINAL
`DECISION TO SEND
`CANCEL ORDER. USER
`
`APPLICATION DISPLAYS
`ORDER TRANSMISSION
`
`STATUS IN MESSAGE LINE
`WINDOW
`
`APPLICATION SHOWS
`CANCEL IN OPEN
`
`ORDERS WINDOW ON
`MASTER TRADE SCREEN
`HIGHLIGHTED IN YELLOW
`
`WHEN CANCEL IS
`
`CONFIRMED, APPLICATION
`REMOVES YELLOW
`HIGHLIGHT IN OPEN
`POSITIONS WINDOW
`AND MOVES ORDER
`TO ACCOUNT HISTORY FILE
`
`SYSTEM UPDATES
`USERS ACCOUNT FILES
`AND CALCULATES NEW
`BALANCES. APPLICATION
`DISPLAYS NEW DATA IN
`MASTER TRADE SCREEN
`WINDOWS
`
`2440
`
`2445
`
`2450
`
`2455
`
`460
`
`2465
`
`USER MAKES DECISION
`T0 CANCEL ORDERS
`IN OPEN ORDERS FILE
`
`2410
`
`USER SELECTS STOCK
`FROM OPEN ORDERS
`DISPLAY AND SELECTS
`"CANCEL" BUTTON
`
`2415
`2425
`
`2420
`
`APPLICATION POPULATES
`MASTER TRADE SCREEN
`AND TRADE TICKET
`WITH ALL INFORMATION
`FROM OPEN ORDER
`SCREEN SELECTION
`
`USER CHANGES
`
`ALLOWABLE INFORMATION
`IN TRADE TICKET AND
`CHECKS FINAL TOTAL
`
`COST OF TRADE
`
`USER SELECTS
`"ORDER IIERIFICAIIDN"
`
`2430
`
`APPLICATION CHECKS
`FOR ERRORS IN THE
`
`THE TRADE TICKET
`
`DATA ENTERED INTO
`
`2435
`
`FIG.24
`
`0027
`0027
`
`
`
`U. S. Patent
`
`Jun.
`
`18, 2002
`
`Sheet 26 of 69
`
`US 6,408,282 B1
`
`@
`
`2535
`
`2570
`
`
`
`SYSTEM TRANSMITS
`NEGOTIATIONS
`RESPONSE TO
`ORIGINATING TRADER
`
`2575
`
`PROCESS REPEATS
`UNTIL NEGOTIATIONS
`
`
`
`IS COMPLETE OR
`IS CANCELED
`
`2580
`
`WHEN EXECUTION IS
`
`CONFIRMED. APPLICATION
`REMOVES YELLOW
`HIGHLIGHT IN OPEN
`POSITIONS WINDOW
`AND MOVES ORDER TO
`ACCOUNT HISTORY FILE
`
`2585
`
`SYSTEM UPDATES
`USER'S ACCOUNT FILES
`AND CALCULATES NEW
`BALANCES. APPLICATION
`
`DISPLAYS NEW DATA _
`IN MASTER TRADE
`scam: wmoows
`
`USER MAKES DECISION
`T0 NEGOTIATE FOR A
`BETTER PRICE THAN THE
`BEST BID AND OFFER
`
`SHOWN IN ORDER BOOK
`
`2515
`
`USER DOUBLE CLICKS ON
`QUANTITY COLUMN IN
`ORDER BOOK AT A PRICE
`AWAY FROM BEST
`BID AND OFFER
`
`2520
`
`APPLICATION SHOWS
`ALL TRADERS THAT HAVE
`ORDERS IN THE MARKET
`AT THE SELECTED PRICE
`
`2525
`
`USER SELECTS NAME
`OF TRADER TO NEGOTIATE
`
`DIRECTLY WITH
`
`2430
`
`APPLICATION SHOWS
`NEGOTIATION TICKET
`POPULATED WITH
`
`TRADERS DATA
`
`USER INPUTS OFFER
`TO THE CONTRA PARTY
`
`2540
`
`USER SELECTS "ORDER
`VERIFICATION" SCREEN
`AND RELATED COSTS
`SUMMARY
`
`2545
`
`USER REVIEWS
`VERIFICATION SCREEN AND
`SELECTS "SEND ORDER"
`
`2550
`
`APPLICATION DISPLAYS
`ORDER TRANSMISSION
`STATUS IN MESSAGE
`LINE WINDOW
`
`2555
`
`APPLICATION SHOWS
`NEGOTIATION IN OPEN
`
`NEGOTIATIONS WINDOW ON
`MASTER TRADE SCREEN
`HICHLICHTED IN YELLOW
`
`2560
`
`SYSTEM TRANSMITS OFFER
`TO CONTRA PARTY.
`OFFER IS DISPLAYED ON
`CONTRA NEGOTIATION
`SCREEN IN HIGHLIGHT
`
`2565
`
`CONTRA PARTY REVIEWS
`OFFER AND EITHER
`
`COUNTER OFFER
`
`ACCEPTS, REJECTS
`OR MAKES A
`
`FIG.25
`
`0028
`0028
`
`
`
`
`
`
`
`U.S. Patent
`
`Jun. 18, 2002
`
`Sheet 27 of 69
`
`US 6,408,282 B1
`
`2535
`
`USER VIEWS DETAILED
`PROBLEM RESOLUTION TEXT
`AND OIAGRAMS AND
`SELECTS ADDITIONAL DETAIL
`IF NECESSARY
`
`2540
`
`2570
`
`ON—LINE HELP
`ADMIN DETERMINES
`PRIORITY OF PROBLEM
`
`
`
`2575
`
`
`APPLICATION DISPLAYS
`THIRD LEVEL OF DETAIL AND
`
`LINK TO SERVER BASED
`HELP SYSTEM
`
`2545
`
`
`
`USER SELECTS LINK TO
`SERVER HELP FUNCTIONS.
`SYSTEM CONNECTS TO
`
`ON—LINE "HELP" SERVER AND
`DISPLAYS MORE DATA
`ON PROBLEM
`
`2550
`
`USER SELECTS DESIRED UNK OR
`SELECTS TELEPHONE SUPPORT
`
`@
`INFORMATION
`
`USER ENCOUNTERS
`SITUATION THAT REQUIRES
`ADDITIONAL SUPPORT
`
`2515
`
`USER SELECTS "HELP"
`BUTTON FROM UPPER
`RIGHT HAND CORNER OF
`COMPONENT WINDOW
`FOR WHICH HELP IS
`NEEDED
`
`2520
`
`APPLICATION POPULATES
`"HELP" WINDOW WITH
`3 LEVEL HELP SYSTEM
`FOR AREA SELECTED
`BY THE USER
`
`ON-LINE HELP ADMIN
`DRAFTS ADDENDUM TO
`0N—LINE HELP FUNCTION
`AND POSTS IN
`"HELP" SYSTEM FILES
`
`2580
`
`
`
`ON-LINE HELP ADMIN
`POSTS E—MAIL
`MESSAGE TO USERS
`ON IF PROBLEM
`IS CRITICAL
`
`2585
`
`ON-LINE HELP
`ADMIN POSTS E—MAIL
`MESSAGE TO USER
`
`GROUP FORUM
`
`
`
`
`2525
`
`2555
`
`
`
`USER VIEWS INDEX OF
`HEADINGS FOR THE
`PROBLEM AND
`SELECT DESIRED AREAS
`
`SYSTEM CONNECTS USER
`TO HELP DESK BY INTERNET
`TELEPHONE OR OTHER VOICE
`CONNECTION
`
`2530
`
`APPLICATION SHOWS
`NEXT LEVEL OF
`DETAIL IN "HELP"
`
`WINDOW
`
`2550
`
`USER INTERACTS WITH HELP
`DESK TO RESOLVE PROBLEM
`
`2555
`
`HELP DESK FILLS OUT
`JOB ORDER AND FILES
`
`ADMIN FOR REVIEW
`
`WITH ON—L|NE HELP
`
`F|G.25
`
`0029
`0029
`
`
`
`US. Patent
`
`Jun. 18,2002
`
`Sheet 23 of 69
`
`US 6,408,282 B1
`
`
`USER WANTS TO VIEW
`SEVERAL STOCK ORDER
`BOOK DISPLAYS AT ONCE
`
`
`
`2725
`
`2730
`
`735
`
`2
`
`2755
`
`
`usgn mgwg 3Aac
`APPUCAMON SHOWS
`INFO ON STOCKS IN
`QUOTE ON
`SUMMARY DISPLAY
`SELECTED STOCKS
`
`
`
`
`
`
`
`USER SELECTS
`DISPLAY OPTIONS
`
`IS STOCK
`SHOWN IN SUMMARY
`
`DISPLAY?
`
`USER SELECTS STOCK FROM
`STOCK SUMMARY DISPLAY
`
`APPLICATION POPULATES
`MASTER TRADE SCREEN
`WITH DETAILED DATA
`ON STOCK
`
`
`
`
`
`USER REPEATS OPERATION
`FOR OTHER STOCKS
`TO BE VIEWED
`
`USER DRAOS ORDER BOOK
`VIEWS INTO DESIRED
`CONFIGURATION ON
`SCREEN
`
`STATUS OF STOCK IN ORDER
`BOOK CONFIGURATION IS
`
`DISPLAYED IN
`REAL-TIME
`
`2775
`
`2780
`
`TD TRADE FROM ANY
`ORDER BOOK VIEW,
`USER SELECTS
`“TRADE " FUNCTION
`
`2735
`
`APPLICATION PULLS UP
`MASTER TRADE SCREEN
`AND POPULATES TRADE
`TICKET WITH SELECTED
`
`STOCK DATA
`
`2750
`
`
`
`USER SELECTS STOCK
`SYMBOL IN STOCK
`SUMMARY DISPLAY
`
`
`
`
`
`2755
`
`
`
`USER SELECTS
`"PEEL OFF DISPLAY "
`FUNCTION
`
`
`
`2760 APPLICATION GENERATES
`A NEW ORDER BOOK VIEW
`FOR THE SELECTED STOCK
`
`.
`
`0030
`0030
`
`
`
`U.S. Patent
`
`Jun. 18,2002
`
`Sheet 29 of 69
`
`US 6,408,282 B1
`
`
`
`
`
`USER SELECTS
`"SHRINK" FROM MOST
`COMPRESSED VIEW
`
`
`845
`
`APPLICATION SHOWS
`
`
`
`
`
`MASTER TRADE
`SCREEN IN FULL SIZE
`APPLICATION SHOWS
`MESSAGE BOX
`350
`USER SELECTS "SHRINK"
`"DO YOU WANT TO CLOSE
`FUNCTION FROM
`YOUR CONNECTION T0 [ ]"
`
`
`
`
`
`MASTER TRADE
`SCREEN
`
`
`
`
`
`855
`
`
`
`USER SELECTS "YES"
`AND APPLICATION CLOSES
`WINDOW AND SHOWS
`ONLY AN ICON
`
`
`
` APPLICATION SHRINKS
`DISPLAY TO SHOW ONLY
`STOCK SUMMARY
`
`DISPLAY AND
`
`FUNCTION BUTTONS
`
`
`
`
`
`USER SELECTS
`
`
`" SHRINK "
`
`FUNCTION AGAIN
`
`
`
`
`
`
`USER SELECTS
`
`" SHRINK "
`FUNCTION AGAIN
`
`APPLICATION SHRINKS
`
`
`
`DISPLAY TO SHOW FULLY
`
`
`
`COMPRESSED WINDOW VIEW
`
`APPLICATION SHRINKS
`
`
`DISPLAY TO SHOW ONLY
`FUNCTION BUTTONS
`
`F|G.28
`
`0031
`0031
`
`
`
`US. Patent
`
`Jun. 18, 2002
`
`Sheet 30 of 69
`
`US 6,408,282 B1
`
`VIEW or GUI
`
`APPLICATION snows
`M051 COMPRESSED
`
`2910
`
`USER SELECTS "EXPAND"
`FUNCTION rnou
`
`MOST COMPRESSED
`
`VIEW
`
`2915
`
`
`
`
`APPLICATION EXPANDS
`
`DISPLAY TO SHOW ONLY
`FUNCTION BUTTONS
`
`2920
`
`
`
`USER SELECTS
`"EXPAND"
`FUNCTION AGAIN
`
`2 25
`9
`
`930
`
`
`
`APPLICATION EXPANDS
`DISPLAY TO SHOW STOCK
`SUMMARY DISPLAY AND
`FUNCTION BUTTONS
`
`
`
`USER SELECTS
`“EXPAND"
`ruucuou AGAIN
`
`2
`
`935
`
`
`
`APPLICATION EXPANDS
`DISPLAY TO SHOW FULL
`
`
`
`MASTER TRADE SCREEN
`
`F|G.29
`
`0032
`0032
`
`
`
`US. Patent
`
`Jun. 18,2002
`
`Sheet 31 of 69
`
`US 6,408,282 B1
`
`3025
`
`
`USER DECIDES TO HAVE
`SYSTEM MONITOR STOCK
`
`MOVEMENTS AND ALERT USER
`
`3010
`
`
`
`3015
`
`
`
`USER VIEWS BASIC
`INFO ON STOCKS IN
`
`SUMMARY DISPLAY
`
`
`
`
` IS STOCK
`SHOWN IN SUMMARY
`
`DISPLAY?
`
`
`
`YES
`
`3015
`
`USER SELECTS
`"QUICK QUOTE "
`
`FUNCTION
`
`"0
`
`3030
`
`3°55
`
`USER SELECTS STOCK FROM
`SUMMARY DISPLAY
`
`3025
`
`3050
`
`3065
`
`3040
`
`
`FROM SUMMARY DISPLAY
`
`
`REPLICA SERVER CHECKS
`FOR STOCK MOVEMENT
`BASED ON USER CRITERIA
`
`REPLICA SERVER SENDS
`ALERT AND STOCK INFO
`T0 APPLICATION WHEN
`APPROPRIATE
`
`APPUCATTON DISPLAYS
`VISUAL AND AUDITOR‘!
`ALERTS IN SUMMARY
`DISPLAY
`
`_ USER_ SELECTS
`ALERTS
`FUNCTION
`
`APPLICATION DISPLAYS
`ALERTS SET-UP
`FUNCTION
`
`USER CHOOSE CR”ER"‘
`FOR ALERT FUNCTION
`AND DISPLAY OPTIONS
`
`USER ALERT
`PREFERENCES ARE
`SENT TO REPLICA SERVER
`
`3045
`
`3070
`
`USER RECEIVES STOCK
`ALERT AND SELECTS STOCK
`
`3050
`
`3075
`
`3030
`
`USER CANCELS ALERTS
`OR REVISES ALERT
`CRITERIA
`
`SYSTEM CONTINUES TO
`MONITOR SELECTED
`STOCKS BASED on
`USER CRITERIA
`
`0033
`0033
`
`
`
`U.S. Patent
`
`Jun. 18,2002
`
`Sheet 32 of 69
`
`US 6,408,282 B1
`
`
`
`
`USER DESIRES A OUICK
`OVERVIEW STATUS OF
`
`SEVERAL STOCKS AND
`THEIR REIATED POSITIONS
`
`
`
`
`3110
`
`
`
` USER SELECTS
`31 T5
`" SUMMARY VIEW "
`FUNCTION
`
`APPLICATION POPULATES
`MASTER TRADE SCREEN
`WITH SUMMARY ‘a'IEVI
`OF SELECTED STOCKS
`
`3120
`
`
`USER ADDS STOCKS TO
`VIEW BY CLICKING ON
`SYMBOL IN STOCK
`SUMMARY DISPLAY
`
`
`
`
`
`
`
`3125
`
`3130
`
`APPLICATION CONTINUES
`TO ADD SUMMARY VIEWS
`TO MASTER TRADE SCREEN
`WINDOW BASED ON USER
`SELECTION. AS LIMIT OF
`VIEWABLE STOCKS IS
`REACHED APPLICATION
`ASKS USER FOR DIRECTION
`
`
`
`
`USER MAKES SELECTIONS
`FROM SUMMARY DISPLAY
`THAT DIRECTS APPLICATION
`TO ENTER ACTIVE TRADE MODE
`
`APPLICATION
`AUTOMATICALLY POPULATES
`TRADE TICKET AND
`PREPARES MASTER
`
`3135
`
`3140
`
`Fl 0 . 31
`
`A”;
`
`0034
`0034
`
`
`
`
`
`U.S. Patent
`
`Jun. 18, 2002
`
`Sheet 33 of 69
`
`US 6,408,282 B1
`
`
`
`USER SEEKS BEST PRICE
`FOR SAME SECURITY
`
`THAT IS SELLING ON
`SEVERAL MARKETS
`
`
`3210
`
`
`
`USER SELECTS SYMBOL FROM
`3215
`STOCK SUMMARY DISPLAY AND
`
`
`
`"SHOW PRICE OPTIONS" FUNCTION
`
`
`
`APPLICATION POPULATES
`MASTER TRADE SCREEN WITH SUMMARY
`VIEW SHOWING PRICE IN ALL AVAILABLE
`MARKETS FOR SECURITY
`
`3220
`
`USER VIEVIS DISPLAY SHOWING PRICE
`
`FOR SECURITY IN ALL AVAILABLE
`MARKETS. USER SELECTS BEST
`MARKET OF PREF.
`
`3225
`
`
`APPLICATION DISPLAYS
`3230
`DETAILS OF SELECTED
`
`
`MARKET AND
`AUTOMATICALLY
`POPULATES MASTER
`TRADE SCREEN WITH
`RELEVANT DATA
`
`
`
`USER MAKES SELECTIONS
`
`FROM SUMMARY DISPLAY
`THAT DIRECTS APPLICATION
`TO ENTER ACTIVE TRADE MODE
`
`3235
`
`F I032
`
`APPLICATION
`AUTOMATICALLY POPUIATES
`TRADE TICKET AND
`PREPARES MASTER
`
`‘LIST §éIE'3ID“-£Im”$‘“
`
`0035
`0035
`
`
`
`
`
`
`
`
`US. Patent
`
`Jun. 18, 2002
`
`Sheet 34 of 69
`
`US 6,408,282 B1
`
`USER or svsrm
`REERES IRIERESI R
`STOCK RERER ON
`1) RRIER USI srocxs,
`2) RoREE0u0 HRLRRES
`REIRE IN THEIR
`Rccomn
`
`USER SETS "NEWS
`N.ERTS" PREFERENCES
`FDR HATCH LIST Hm
`ACTIVE RCCOUNT
`
`STOCKS
`
`SYSTEH STDRES
`
`RERS DESK
`PREPRRES STORIES
`AND HIGHLIGHTS
`
`BASED DR SDRT
`HJRETIDNS IN
`NEWS mm.
`
`NERS DESK
`PREPARES FLERTS
`IIESSRGES FOR
`
`POSTED} IN "THIS
`MI " BUTTON DR
`ORDER EDDIE
`
`NEWS DESK
`RECEIVES HIGIHDHTED
`NEWS RLERT BASED
`
`DN FILTERS FRUIT TERS
`SERVER PHD RIT
`IIDST ACTWE UPDATES
`
`
`
`
`NEWS SERVER
`
`HDNETDRS STERTKS
`
`
`RRSER UN usER
`
`
`
`
`
`
`
`
`
`RRIRR DST AND
`“Em 55"“
`mm mm
`RERRRRE FDR WATCH
`“mm”
`031 RR USER'S ACIME
`POSITIONS
`-
`N.ERTS RE SENT TO
`
`RERRR mm BASE
`
`FDR DISTRIHUTTON
`I0
`
`[ND USER IJRSPEAY.
`
`IRRRRS UER
`SYSIEII
`REERER 031 of
`sms FOR RERS
`
`STSTEH ERSRERS
`MEWS ALERTS I0 USER
`“mm 7“ "Sm
`RERRER DISPLAY
`C°"”°"R“"°”
`“news 001" ruR:RoR
`
`0“ ‘" M" 30°“
`
`
`
`3390
`
`3330
`
`3335
`
`REAHIRE QUOTE
`
`FEED FROM
`ORDER MATCH
`WE”
`
`
`
`
`
`
`RRR T0 RERS
`SERRER RRR RERE.
`953'‘ F9“ R03‘
`RETIRE STOCKS
`
`
`
`
`
`
`
`3335
`
`3350
`
`3355
`
`
`
`usER RERS “NEVIS
`fl_ER[" Na) wig _\
`51004 To RRRER
`BOOK DTSPUR
`3340
`3345
`
`APPLICATION
`"
`
`"
`
`“N00” W"
`RELEVANT STORY ON
`SELECTED smcx
`
`MORE DETAIL 0R SORTS
`NEWS BY CATEGORY‘
`
`RELEVANT DATA F|G.33
`
`APPLICATION PUPULATES
`
`WHH ADDITIONAL
`
`0036
`0036
`
`
`
`U.S. Patent
`
`Jun. 18, 2002
`
`Sheet 35 of 69
`
`US 6,408,282 B1
`
`USER SELECTS
`
`DESIRED OPEN ORDER
`FROM LIST. APPLICATION
`
`HIGHLIGHTS ORDER FOR
`
`ACTIONS BY USER INCLUDING:
`
`CANCEL. CHANGE OR REPLACE
`
`3440
`
`USER SELECTS
`
`OPERATION FROM OPEN
`
`ORDERS WINDOW:
`
`CANCEL. CHANGE, DELETE
`
`APPLICATION
`
`AUTOMATICALLY
`POPULATES TRADE
`TICKET WITH
`INFORMATION FROM
`
`OPEN ORDERS WINDOW
`
`3445
`
`3450
`
`USER EXECUTES
`DESIRED FUNCTION
`
`ACCORDING TD TRADE
`TICKET FUNCTIONS
`
`3455
`
`T0 HIDE OPEN ORDERS USER
`SELECTS "OPEN ORDERS"
`runcnow FROM
`FUNCTION BAR
`
`
`
`APPLICATION REMOVES
`OPEN ORDERS
`WINDOW AND
`REMOVES INDICATION
`FROM OPEN ORDERS
`FUNCTION
`
`3460
`
`3465
`
`F|G.34
`
`0037
`0037
`
`USER SEEKS REVIEW
`OF OPEN ORDERS IN
`
`ALL STOCKS ACTIVE IN
`ACCOUNT
`
`3410
`
`USER SELECTS
`
`"OPEN ORDERS"
`FUNCTION FROM
`FUNCTION BAR
`
`3415 APPLICATION DISPLAYS
`
`3420
`
`
`
`ENTIRE UST OF OPEN
`
`
`
`ORDERS WINDOW IN
`MASTER TRADE SCREEN
`
`
`
`
`
`USER VIEWS DISPLAY
`SHOWING OPEN
`
`3425
`
`ORDERS ORGANIZED BY
`SORT ORDER FROM
`SORT FUNCTION
`
`3430
`
`USER SELECTS STOCK
`FROM STOCK
`SUMMARY DISPLAY
`AND THEN SELECTS
`" OPEN ORDERS “
`FUNCTION
`
`3435
`
`APPLICATION DISPLAYS
`ONLY OPEN ORDERS FOR
`THE SELECTED STOCK
`IN THE OPEN ORDERS
`WINDOW
`
`
`
`U.S. Patent
`
`Jun. 18, 2002
`
`Sheet 36 of 69
`
`US 6,408,282 B1
`
`USER SELECTS
`DESIRED STOCK POSITION
`DIRECTLY FROM POSITIONS
`AND P&L WINDOW.
`APPLICATION HIGHLIGHTS
`STOCK FOR
`ACTIONS BY USER INCLUDING:
`
`USER SELECTS
`
`OPERATION FROM POSITIONS
`AND P&L wmoow
`
`BUY OR SELL
`(aw OR. SELL)
`POSITIONS AND P&L WINDOW
`3555
`
`3540
`
`3545
`
`3550
`
`3550
`
`3555
`
`USER SEEKS REVIEW
`
`or POSITIONS Ann
`PAL IN ALL STOCKS
`ACTIVE IN ACCOUNT
`
`3510
`
`USER SELECTS
`" POSITIONS AND PAIL"
`FUNCTION FROM
`
`3515
`
`_APPLICATlON DISPLAYS
`ENTIRE LIST OF POSITIONS
`AND P&L AND RELATED
`DETAILS IN WINDOW IN
`MASTER TRADE SCREEN
`
`3520
`
`USER VIEWS DISPLAY
`SHOWING POSITIONS AND
`P&L IN WINDOW
`ORGANIZED BY
`
`USER sums smcx
`FROM STOCK
`SUMMARY DISPLAY
`AND THEN SELECTS
`" POSITIONS AND P&L"
`FUNCTION
`
`APPLICATION DISPLAYS
`ONLY POSITIONS AND
`P&L FOR THE
`SELECTED STOCK IN
`
`THE POSITIONS AND
`
`3525
`
`3530
`
`3535
`
`FUNCTION BAR
`SORT FUNCTION
`BALANCES WINDOW
`
`APPUCATION
`AUTOMATICALLY
`POPULATES TRADE
`
`TICKET WITH
`INFORMATION FROM
`
`USER EXECUTES
`DESIRED FUNCTION
`ACCORDING TO TRADE
`TICKET FUNCTIONS
`
`TO HIDE THE POSITIONS
`mu P&L DISPLAY USER SELECTS
`" POSITIONS AND P&Ls"
`ruucnon mom
`runcnou BAR
`
`APPLICATION REILIOVES
`POSITIONS AND PI‘.'£T.
`WINDOW AND
`RENIOVES INDICATION
`FROIJI POSITION AND P&L
`FUNCTION
`
`F|G.35
`
`0038
`0038
`
`
`
`U.S. Patent
`
`Jun. 13, 2002
`
`Sheet 37 of 69
`
`US 6,408,282 B1
`
`@
`
`USER SEEKS REVIEW
`OF ACCOUNT
`
`3610
`
`USER SELECTS
`"ACCOUNT HISTORY"
`FUNCTION FROM
`FUNCTION BAR
`
`3515
`
`APPUCATION DISPLAYS
`ENTIRE LIST OF ACCOUNT
`HISTORY AND RELATED
`DETAILS IN WINDOW IN
`MASTER TRADE SCREEN
`
`3620
`
`IISER VIEWS DISPLAY
`SHOIIIIIO ACCOUNT
`HISTORY IN IIIIIIOOIII
`ORGANIZED BY
`
`USER SELECTS STOCK
`FROM STOCK
`SUMMARY DISPLAY
`AND THEN SELECTS
`"ACCOUNT HISTORY "
`FUNCTION
`
`APPLICATION DISPLAYS
`ONLY ACCOUNT HISTORY
`FOR THE
`SELECTED STOCK IN
`
`THE ACCOUNT
`
`3625
`
`3530
`
`3635
`
`HISTORY
`
`SORI FUNCTION
`HISTORY WINDOW
`
`USER SELECTS
`
`DESIRED ACCOUNT ACTIVITY ITEM
`DIRECTLY FROM ACCOUNT
`HISTORY IIIIHOOH.
`APPLICATION HIGHLIGHTS
`ITEM FOR
`ACTIONS BY USER INCLUDING:
`
`MORE DETAILS. PRINT
`
`TO HIDE THE POSITIONS
`AND BALANCES DISPIAY USER SELECTS
`" ACCOUNT HISTORY"
`FUNCTION FROM FUNCTION BAR
`
`SYSTEM REMOVES
`ACCOUNT HISTORY
`WINDOW AND
`REMOVES INDICATION
`FROM POSITIONS AND BAIANCES
`FUNCTION
`
`3540
`
`3545
`
`3650
`
`FIG.36
`
`0039
`0039
`
`
`
`U.S. Patent
`
`Jun. 18, 2002
`
`Sheet 38 of 69
`
`US 6,408,282 B1
`
`@
`
`USER SEEKS REVIEW
`or ACCOU