`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`PATENT NO.
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`8392311
`
`60967-0020C
`
`3344
`
`ro
`
`APPLICATION NO.
`
`11/634,014
`
`7590
`86513
`Ward & Zinna, LLC
`382 Springfield Avenue
`Suite 300
`Summit, NJ 07901
`
`ISSUE DATE
`
`03/05/2013
`
`02/13/2013
`
`The projected patent number and issue date are specified above.
`
`ISSUE NOTIFICATION
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(application filed on or after May 29, 2000)
`
`The Patent Term Adjustment is 1305 day(s). Any patent to issue from the above-identified application will
`include an indication of the adjustment on the front page.
`
`If a Continued Prosecution Application (CPA) was filed in the above-identified application, the filing date that
`determines Patent Term Adjustment is the filing date of the most recent CPA.
`
`Applicant will be able to obtain more detailed information by accessing the Patent Application Information
`Retrieval (PAIR) WEB site (http://pair.uspto.gov).
`
`Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the
`Office of Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee
`payments should be directed to the Application Assistance Unit (AAU) of the Office of Data Management
`(ODM) at (571)-272-4200.
`
`APPLICANT(s) (Please see PAIR WEB site http://pair.uspto.gov for additional applicants):
`
`Richard B. Olsen, Zurich, SWITZERLAND;
`Michael Stumm, Toronto, CANADA;
`
`The United States represents the largest, most dynamic marketplace in the world and is an unparalleled location
`for business investment, innovation, and commercialization of new technologies. The USA offers tremendous
`resources and advantages for those who invest and manufacture goods here. Through SelectUSA, our nation
`works to encourage and facilitate business investment. To learn more about why the USA is the best country in
`the world to develop technology, manufacture products, and grow your business, visit SelectUSA.gov.
`
`IR103 (Rev. 10/09)
`
`GAIN CAPITAL - EXHIBIT 1004
`
`0001
`
`
`
`PART
`- FEE(S) TRANSMWEAL
`Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE
`Commissioner Far Patents
`P.O. Box 1450
`Alexandria. Virginia 22313.1450
`or Egit 071073-2885
`thmtigh t .ttlimild be eklinpleteo where
`'Phis tom should lw ti&ed -for transmitting the INNItis 1+1- ano
`oniturag.
`timoplaute. AU hirtiuv VAIV.StVatleYteeilleludia4 the Patent, SSSIV;i5iCe twthrs aatt SNAifitali0.13. rsi $11;iiilk*tlikaet fees wilt be rottikNI to the fairreal COtiVTAWifittii5.e. ittkiTs;i as
`indicated twins vortectod below or dice, elf otherwise. iu Nock 1,.by (a) specifying a new COrrespontienee address: araltor (b) indicating a separate "Fa: ADDRESV for
`out.inteitance fee /unifications.
`CUAkE:41'
`n
`Aritnk:s.1/4S
`
`3.74'atty :Nor ix$
`
`Vt13,..-2O1Z
`
`Ward O.: Zima, LW
`382 Springfilod Avemit
`Suite 300
`Summit, NJ 07901
`
`Now: A omtificate oa irtailituf :earl only he used for &alelic- mailings of the
`Feefs) Transmittal. This certifwate canam
`kV any other accommnying
`papers. I. :such additional paper, such as se assignment or fwmal drawing. must
`have its own certificate of mailing re- ounstnission
`
`Cortirienfo otMailitsgssr Tram:x*164m
`'I hereby certify that thin Reefs) Tiatrianittal is Laing -deposited With the. United
`Statwi Postal -Service with sufficient postage for fitv.t class mailit). WI envelope
`addressed to the Mail Stop 1SSI111,
`adfiniss atiotu, rn being far:simile
`transniitteii 30 the .1..3S rill (531) 273-2i135, 'A the date it:cheated be.loW,
`
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`0.1,‘ i.N vf.:<.tION; C113CRENri TRAI)LNG SYSIF;h4. METHODS: AND 1i0FTWARE
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`60947-002tX*!..-
`
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`
`I
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`NO
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`
`'WA
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`1'rOM47; REV 03,02 of Mint recent) muffed, Use of .tt Custottwr
`.Numbiv i$rorgtailvas
`
`'Tee Address- WI
`
`2. For printing on the patent front page: list
`the /taws .or op to .4.4 o,giNtoofti pttent atorirys
`t
`ter veriN OR, alternatively,
`(2) the nit:rm.:Oa single firm (hating as a. member-a
`registered Attorney .or-ttgesit) naii.the names of tap to
`2 registered patent attorney& or tigi13t, If no name is
`WUXI, W..1141rfle, Will be pci inert
`
`2
`
`3. AS$10NER NkS.Mf.I.AND-R15,SIDWE DATA TO BE PRINTED ON THE PATENT (prim or typo
`PLEASE NOTE: finless an anignim-1s ideal##led Mow: no assignee data will -appear. on the. patent.. If an as&ignee is identified below. the document has been filed for
`recordation as set forth-in .37-CF1 3.11.. Con.tpletiOn of- this 4ean is NOT a-substitute for filing an assignment.
`(Cal Y and RTAT13 OR tOUNTRY)
`ix!) Rf
`(A
`ASSIONLE
`Canada
`Oanda Corporation
`
`Please cheek the apympriate assignee caregoty Or categraies
`
`&. pi
`
`m the. patent) ' CI litclividuzd 53 Ott'Pot';i0on or
`
`Nivme grow f:Wity
`
`iikwerinwiik
`
`4a. The following ftvo are submitted:
`El 'MI5:: Pee
`XfPut4ication lee. (No .mali emit' ciistxx tat pet-mined)
`Advance Order tai' of Carpie;
`
`Nyment of Fee(s): (,Erne first reappll• any pm sionsty paid ismse lee-showu altos)
`U A dexit is enclosed.
`Li Payment by (credit eaol.
`fiT0.-203t4is attacited,
`f,3-fho
`i)gfti 5Find tcieikuir-
`requimd fee(0, any defisieney. or credit any
`2 0.4 9.„ (eneleige art Uttilk telly of this for
`
`5, Charrue in Entikt stays thr ti3
`Li A. Awlicant claims SMAI.1.
`NC.Y.1114. The issue Pee 3itd
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`
`Audireattd Signature
`
`Typed or priaW name
`
`/Francis E. Morris/
`Francis E. Morris
`
`Date February 4, 2013
`
`
`
`Registration
`
`
`
`2 4 , 615
`
`rt,,quired to *btilth or.n WII a benefit by the-public which is io fife (and by the lfSe. it to rrocii.W
`'fists: casvtion of information is mquired be 37 CI-R.1,311: The infortmuion
`an appliimtiost. Confiskinti4iity re governed' y 35 USE. i 22-and :47 CFR 114: lhit;
`h,r5tirenthit mkt: 17?, rairtutqk to cont*te.
`ialtieriukrifeiwong-Itrid
`dePelaitV. upon the i.ntlisidual case, Any ointments on the siuount cf titue .you require to crinmlete
`$:0111tilla3 the-com0001 2sppircasroa form to
`1.
` Time.4411
`Lois fOrAll and/or Suggestkaw tot miming this huirion. shortld U.. scat. to ifie Chief infoussatiourKficzc. US; Patent ;nd Tratiernads. Offices
`thipaometit of Ooturnorm:P0..
`.11t;X 1450. Aksx-iintirta, Vireinia 22313-1-0U. 1X-.1.NOT SEND
`OR COMPLETED FOILMS '1O
`.ITS
`-SENT) TO: Conunkisioner for Patens, PA Box. / 450,
`Atotuedria, Viiginia2.231S:1450.
`Under the Pigterwork Reduction Act of 197):,..
`
`[F:3) of infonnation-unlos ss ciiSpia,:S
`
`OMB t
`
`.!XYA•ml,
`
`f....qutrett tomixsnit
`
`PT01.4.3 (Roy. 02/11) Approved-for use through t*/..t 1/201 3.
`
`01.11; 10651.0033
`
`U.S. Patent anti TraxiernatkOffics;
`
`DEPAR:TMINT
`
`COMMEiRt..11
`
`0002
`
`
`
`Electronic Patent Application Fee Transmittal
`
`Application Number:
`
`Filing Date:
`
`11634014
`
`04-Dec-2006
`
`Title of Invention:
`
`CURRENCY TRADING SYSTEM, METHODS, AND SOFTWARE
`
`First Named Inventor/Applicant Name:
`
`Richard B. Olsen
`
`Filer:
`
`Frank Morris/Jamie Reinhardt
`
`Attorney Docket Number:
`
`60967-0020C
`
`Filed as Large Entity
`
`Utility under 35 USC 111(a) Filing Fees
`
`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USD($)
`
`Basic Filing:
`
`Pages:
`
`Claims:
`
`Miscellaneous-Filing:
`
`Petition:
`
`Patent-Appeals-and-Interference:
`
`Post-Allowance-and-Post-Issuance:
`
`Utility Appl issue fee
`
`Publ. Fee- early, voluntary, or normal
`
`1501
`
`1504
`
`1
`
`1
`
`1770
`
`300
`
`1770
`
`300
`
`0003
`
`
`
`Description
`
`Fee Code
`
`Quantity
`
`Amount
`
`Sub-Total in
`USD($)
`
`Extension-of-Time:
`
`Miscellaneous:
`
`Total in USD ($)
`
`2070
`
`0004
`
`
`
`Electronic Acknowledgement Receipt
`
`EFS ID:
`
`Application Number:
`
`14862574
`
`11634014
`
`International Application Number:
`
`Confirmation Number:
`
`3344
`
`Title of Invention:
`
`CURRENCY TRADING SYSTEM, METHODS, AND SOFTWARE
`
`First Named Inventor/Applicant Name:
`
`Richard B. Olsen
`
`Customer Number:
`
`86513
`
`Filer:
`
`Frank Morris/Jamie Reinhardt
`
`Filer Authorized By:
`
`Frank Morris
`
`Attorney Docket Number:
`
`60967-0020C
`
`Receipt Date:
`
`Filing Date:
`
`Time Stamp:
`
`04-FEB-2013
`
`04-DEC-2006
`
`11:12:59
`
`Application Type:
`
`Utility under 35 USC 111(a)
`
`Payment information:
`
`Submitted with Payment
`
`Payment Type
`
`Payment was successfully received in RAM
`
`RAM confirmation Number
`
`Deposit Account
`
`Authorized User
`
`yes
`
`Deposit Account
`
`$2070
`
`10945
`
`230420
`
`The Director of the USPTO is hereby authorized to charge indicated fees and credit any overpayment as follows:
`
`Charge any Additional Fees required under 37 C.F.R. Section 1.20 (Post Issuance fees)
`
`Charge any Additional Fees required under 37 C.F.R. Section 1.21 (Miscellaneous fees and charges)
`
`0005
`
`
`
`File Listing:
`
`Document
`Number
`
`Document Description
`
`File Name
`
`File Size(Bytes)/
`Message Digest
`
`Multi
`Part /.zip
`
`Pages
`(if appl.)
`
`1
`
`Issue Fee Payment (PTO-85B)
`
`
`2013_ 42_ _ AsFiledIssueFeePym
`
`t609670020C.pdf
`
`325440
`
`acba4351621c40b3e1947505acfla8aa8ecb1
`3445
`
`no
`
`1
`
`Warnings:
`
`Information:
`
`2
`
`Fee Worksheet (SB06)
`
`fee-info.pdf
`
`no
`
`2
`
`32137
`
`2d406127fc458348374a4a3faf46f5f73556d
`b91
`
`Warnings:
`
`Information:
`
`Total Files Size (in bytes):
`
`357577
`
`This Acknowledgement Receipt evidences receipt on the noted date by the USPTO of the indicated documents,
`
`
`
`
`characterized by the applicant, and including page counts, where applicable. It serves as evidence of receipt similar to a
`Post Card, as described in MPEP 503.
`
`New Applications Under 35 U.S.C. 111
`includes the necessary components If a new application is being filed and the application for a filing date (see 37 CFR
`
`
`
`1.54) will be issued in due 1.53(b)-(d) and MPEP 506), a Filing Receipt (37 CFR course and the date shown on this
`
`
`date of the application. Acknowledgement Receipt will establish the filing
`
`35 U.S.C. 371 National Stage of an International Application under
`
`
`is compliant with the conditions of 35 If a timely submission to enter the national stage of an international application
`
`acceptance of the application as a U.S.C. 371 and other applicable requirements a Form PCT/DO/E0/903 indicating
`Filing Receipt, in due course.
`national stage submission under 35 U.S.C. 371 will be issued in addition to the
`
`New International Application Filed with the USPTO as a Receiving Office
`includes the necessary components for
`If a new international application is being filed and the international application
`of the International Application Number
`an international filing date (see PCT Article 11 and MPEP 1810), a Notification
`subject to prescriptions concerning
`and of the International Filing Date (Form PCT/RO/105) will be issued in due course,
`establish the international filing date of
`national security, and the date shown on this Acknowledgement Receipt will
`the application.
`
`0006
`
`
`
`iD
`
`SS,
`
`NE OF
`
`UNITED STA I ES PA I ENT AND TRADEMARK OFFICE
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`NOTICE OF ALLOWANCE AND FEE(S) DUE
`
`12/03/2012
`
`7590
`86513
`Ward & Zinna, LLC
`382 Springfiled Avenue
`Suite 300
`Summit, NJ 07901
`
`EXAMINER
`
`ALI, HATEM M
`
`ART UNIT
`
`PAPER NUMBER
`
`3691
`
`DATE MAILED: 12/03/2012
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`11/634,014
`
`12/04/2006
`
`Richard B. Olsen
`
`60967-0020C
`
`3344
`
`TITLE OF INVENTION: CURRENCY TRADING SYSTEM, METHODS, AND SOFTWARE
`
`APPLN. TYPE
`
`SMALL ENTITY
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE PREY. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`nonprovisional
`
`NO
`
`$1770
`
`$300
`
`$0
`
`$2070
`
`03/04/2013
`
`THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCE AS A PATENT.
`PROSECUTION ON THE MERITS IS CLOSED. THIS NOTICE OF ALLOWANCE 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.
`
`THE ISSUE FEE AND PUBLICATION FEE (IF REQUIRED) MUST BE PAID WITHIN THREE MONTHS FROM THE
`MAILING DATE OF THIS NOTICE OR THIS APPLICATION SHALL BE REGARDED AS ABANDONED. THIS
`STATUTORY PERIOD CANNOT BE EXTENDED. SEE 35 U.S.C. 151. THE ISSUE FEE DUE INDICATED ABOVE DOES
`NOT REFLECT A CREDIT FOR ANY PREVIOUSLY PAID ISSUE FEE IN THIS APPLICATION.
`IF AN ISSUE FEE HAS
`PREVIOUSLY BEEN PAID IN THIS APPLICATION (AS SHOWN ABOVE), THE RETURN OF PART B OF THIS FORM
`WILL BE CONSIDERED A REQUEST TO REAPPLY THE PREVIOUSLY PAID ISSUE FEE TOWARD THE ISSUE FEE NOW
`DUE.
`
`HOW TO REPLY TO THIS NOTICE:
`
`I. Review the SMALL ENTITY status shown above.
`
`If the SMALL ENTITY is shown as YES, verify your current
`SMALL ENTITY status:
`
`A. If the status is the same, pay the TOTAL FEE(S) DUE shown
`above.
`B. If the status above is to be removed, check box 5b on Part B -
`Fee(s) Transmittal and pay the PUBLICATION FEE (if required)
`and twice the amount of the ISSUE FEE shown above, or
`
`If the SMALL ENTITY is shown as NO:
`
`A. Pay TOTAL FEE(S) DUE shown above, or
`
`B. If applicant claimed SMALL ENTITY status before, or is now
`claiming SMALL ENTITY status, check box 5a on Part B - Fee(s)
`Transmittal and pay the PUBLICATION FEE (if required) and 1/2
`the ISSUE FEE shown above.
`
`II. PART B - FEE(S) TRANSMITTAL, or its equivalent, must be completed and returned to the United States Patent and Trademark Office
`(USPTO) with your ISSUE FEE and PUBLICATION FEE (if required). If you are charging the fee(s) to your deposit account, section "4b"
`of Part B - Fee(s) Transmittal should be completed and an extra copy of the form should be submitted. If an equivalent of Part B is filed, a
`request to reapply a previously paid issue fee must be clearly made, and delays in processing may occur due to the difficulty in recognizing
`the paper as an equivalent of Part B.
`
`III. All communications regarding this application must give the application number. Please direct all communications prior to issuance to
`Mail Stop ISSUE FEE unless advised to the contrary.
`
`IMPORTANT REMINDER: Utility patents issuing on applications filed on or after Dec. 12, 1980 may require payment of
`maintenance fees. It is patentee's responsibility to ensure timely payment of maintenance fees when due.
`
`PTOL-85 (Rev. 02/11)
`
`Page 1 of 3
`
`0007
`
`
`
`PART B - FEE(S) TRANSMITTAL
`
`Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE
`Commissioner for Patents
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`or Fax (571)-273-2885
`
`INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks 1 through 5 should be completed where
`appropriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will be mailed to the current correspondence address as
`indicated unless corrected below or directed otherwise in Block 1, by (a) specifying a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS" for
`maintenance fee notifications.
`CURRENT CORRESPONDENCE ADDRESS (Note: Use Block 1 for any change of address)
`
`12/03/2012
`
`7590
`86513
`Ward & Zinna, LLC
`382 Springfiled Avenue
`Suite 300
`Summit, NJ 07901
`
`Note: A certificate of mailing can only be used for domestic mailings of the
`Fee(s) Transmittal. This certificate cannot be used for any other accompanying
`papers. Each additional paper, such as an assignment or formal drawing, must
`have its own certificate of mailing or transmission.
`
`Certificate of Mailing or Transmission
`I hereby certify that this Fee(s) Transmittal is being deposited with the United
`States Postal Service with sufficient postage for first class mail in an envelope
`addressed to the Mail Stop ISSUE FEE address above, or being facsimile
`transmitted to the USPTO (571) 273-2885, on the date indicated below.
`
`(Depositor's name)
`
`(Signature)
`
`(Date)
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`11/634,014
`
`12/04/2006
`
`Richard B. Olsen
`
`60967-0020C
`
`3344
`
`TITLE OF INVENTION: CURRENCY TRADING SYSTEM, METHODS, AND SOFTWARE
`
`APPLN. TYPE
`
`SMALL ENTITY
`
`ISSUE FEE DUE
`
`PUBLICATION FEE DUE PREY. PAID ISSUE FEE
`
`TOTAL FEE(S) DUE
`
`DATE DUE
`
`nonprovisional
`
`NO
`
`$1770
`
`$300
`
`$0
`
`$2070
`
`03/04/2013
`
`EXAMINER
`
`ALI, HATEM M
`
`ART UNIT
`
`CLASS-SUBCLASS
`
`3691
`
`705-037000
`
`1. Change of correspondence address or indication of "Fee Address" (37
`CFR 1.363).
`q Change of correspondence address (or Change of Correspondence
`Address form PTO/SB/122) attached.
`q "Fee Address" indication (or "Fee Address" Indication form
`PTO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer
`Number is required.
`
`2. For printing on the patent front page, list
`(1) the names of up to 3 registered patent attorneys
`or agents OR, alternatively,
`(2) the name of a single firm (having as a member a
`registered attorney or agent) and the names of up to
`2 registered patent attorneys or agents. If no name is
`listed, no name will be printed.
`
`1
`
`2
`
`3
`
`3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
`PLEASE NOTE: Unless an assignee is identified below, no assignee data will appear on the patent. If an assignee is identified below, the document has been filed for
`recordation as set forth in 37 CFR 3.11. Completion of this form is NOT a substitute for filing an assignment.
`(A) NAME OF ASSIGNEE
`(B) RESIDENCE: (CITY and STATE OR COUNTRY)
`
`Please check the appropriate assignee category or categories (will not be printed on the patent) :
`
`q Individual
`
`q Corporation or other private group entity q Government
`
`4a. The following fee(s) are submitted:
`q Issue Fee
`q Publication Fee (No small entity discount permitted)
`q Advance Order - # of Copies
`
`4b. Payment of Fee(s): (Please first reapply any previously paid issue fee shown above)
`q A check is enclosed.
`q Payment by credit card. Form PTO-2038 is attached.
`q The Director is hereby authorized to charge the required fee(s), any deficiency, or credit any
`overpayment, to Deposit Account Number
`(enclose an extra copy of this form).
`
`5. Change in Entity Status (from status indicated above)
`q b. Applicant is no longer claiming SMALL ENTITY status. See 37 CFR 1.27(g)(2).
`q a. Applicant claims SMALL ENTITY status. See 37 CFR 1.27.
`NOTE: The Issue Fee and Publication Fee (if required) will not be accepted from anyone other than the applicant; a registered attorney or agent; or the assignee or other party in
`interest as shown by the records of the United States Patent and Trademark Office.
`
`Authorized Signature
`
`Typed or printed name
`
`
`
`
`
`Date
`
`Registration No.
`
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`U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
`
`0008
`
`
`
`UNITED STA IES PA PENT AND TRADEMARK OEEICE
`
`iD
`
`OF
`
`UNITED STATES DEPARTMENT OF COMMERCE
`United States Patent and Trademark Office
`Address: COMMISSIONER FOR PATENTS
`P.O. Box 1450
`Alexandria, Virginia 22313-1450
`www.uspto.gov
`
`APPLICATION NO.
`
`FILING DATE
`
`FIRST NAMED INVENTOR
`
`ATTORNEY DOCKET NO.
`
`CONFIRMATION NO.
`
`11/634,014
`
`12/04/2006
`
`Richard B. Olsen
`
`60967-0020C
`
`3344
`
`12/03/2012
`
`86513
`7590
`Ward & Zinna, LLC
`382 Springfiled Avenue
`Suite 300
`Summit, NJ 07901
`
`EXAMINER
`
`ALI, HATEM M
`
`ART UNIT
`
`PAPER NUMBER
`
`3691
`
`DATE MAILED: 12/03/2012
`
`Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)
`(application filed on or after May 29, 2000)
`
`The Patent Term Adjustment to date is 516 day(s). If the issue fee is paid on the date that is three months after 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 516 day(s).
`
`If a Continued Prosecution Application (CPA) was filed in the above-identified application, the filing date that
`determines Patent Term Adjustment is the filing date of the most recent CPA.
`
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`(PAIR) WEB site (http://pair.uspto.gov).
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`PTOL-85 (Rev. 02/11)
`
`Page 3 of 3
`
`0009
`
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`
`0010
`
`
`
`Notice of Allowability
`
`Application No.
`
`11/634,014
`Examiner
`
`Applicant(s)
`
`OLSEN ET AL.
`Art Unit
`
`HATEM M. ALI
`
`3691
`
`-- 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 of Allowance (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.
`
`1. Z This communication is responsive to 12/04/2006 and 09/06/2012.
`
`2. q An election was made by the applicant in response to a restriction requirement set forth during the interview on
`the restriction requirement and election have been incorporated into this action.
`
`3. Z The allowed claim(s) is/are 35-41.
`
`4. q Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
`a) q All
`b) q Some* c) q None of the:
`1. q Certified copies of the priority documents have been received.
`2. q Certified copies of the priority documents have been received in Application No.
`.
`3. q Copies of the certified copies of the priority documents have been received in this national stage application from the
`International Bureau (PCT Rule 17.2(a)).
`* Certified copies not received:
`.
`
`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 of this application.
`THIS THREE-MONTH PERIOD IS NOT EXTENDABLE.
`
`5. q A SUBSTITUTE OATH OR DECLARATION must be submitted. Note the attached EXAMINER'S AMENDMENT or NOTICE OF
`INFORMAL PATENT APPLICATION (PTO-152) which gives reason(s) why the oath or declaration is deficient.
`
`6. q CORRECTED DRAWINGS ( as "replacement sheets") must be submitted.
`(a) q including changes required by the Notice of Draftsperson's Patent Drawing Review ( PTO-948) attached
`1) q hereto or 2) q to Paper No./Mail Date
`.
`(b) q including changes required by the attached Examiner's Amendment / Comment or in the Office action of
`Paper No./Mail Date
`Identifying indicia such as the application number (see 37 CFR 1.84(c)) should be written on the drawings in the front (not the back) of
`each sheet. Replacement sheet(s) should be labeled as such in the header according to 37 CFR 1.121(d).
`
`7. q DEPOSIT OF and/or INFORMATION about the deposit of BIOLOGICAL MATERIAL must be submitted. Note the
`attached Examiner's comment regarding REQUIREMENT FOR THE DEPOSIT OF BIOLOGICAL MATERIAL.
`
`Attachment(s)
`1. Z Notice of References Cited (PTO-892)
`2. q Notice of Draftperson's Patent Drawing Review (PTO-948)
`
`3. q Information Disclosure Statements (PTO/SB/08),
`Paper No./Mail Date
`4. q Examiner's Comment Regarding Requirement for Deposit
`of Biological Material
`
`5. q Notice of Informal Patent Application
`6. q Interview Summary (PTO-413),
`Paper No./Mail Date
`.
`7. q Examiner's Amendment/Comment
`
`8. Z Examiner's Statement of Reasons for Allowance
`
`9. q Other
`
`.
`
`/HANI M KAZIMI/
`Primary Examiner, Art Unit 3691
`
`U.S. Patent and Trademark Office
`PTOL-37 (Rev. 03-11)
`
`Notice of Allowability
`
`Part of Paper No./Mail Date 20120928
`
`0011
`
`
`
`Application/Control Number: 11/634,014
`Art Unit: 3691
`
`Page 2
`
`DETAILED ACTION
`
`1.
`
`This communication is in response to application filed on 12/04/2006 and RCE
`
`filed on 04/20/2012.
`
`2.
`
`Allowable Subject Matter:
`
`Claims 35-41 have been allowed.
`
`3.
`
`The following is an examiner's statement of reasons for the indication of
`
`allowance:
`
`Independent claims 35 and 41 and their dependent claims 36-40 respectively
`
`are allowed because the closest prior art of record and references of Potter et al
`
`(5,787,402) in views of Buchalter (US H2064 H) in any combination did not teach or
`
`render obvious to one of ordinary skill in the art a method of trading currencies over a
`
`computer network connecting a trading system server and at least one trading client
`
`system, comprising the steps of:
`
`(i) at the trading system server, determining and dynamically maintaining a
`
`plurality of current exchange rates, each current exchange rate relating to a pair of
`
`currencies and including a first price to buy a first currency of the pair with respect to a
`
`second currency of the pair and a second price to sell the first currency of the pair with
`
`respect to the second currency of the pair;
`
`(ii) transmitting data from the trading system server to a trading client system, the
`
`transmitted data representing at least one current exchange rate at the time of the
`
`0012
`
`
`
`Application/Control Number: 11/634,014
`Art Unit: 3691
`
`Page 3
`
`transmission; (iii) at the trading client system, displaying the first and second prices for
`
`each received current exchange rate to a user;
`
`(iv) at the trading client system, accepting input from the user identifying a pair of
`
`currencies the user desires to trade, an amount of at least one currency of the pair
`
`desired to be traded and a requested trade price at which it is desired to effect the
`
`trade;
`
`(v) transmitting the accepted input from the trading client system to the trading
`
`system server
`
`(vi) at the trading system server, comparing the requested trade price to the
`
`respective first price or second price of the corresponding current exchange rate at that
`
`time and, if the respective first price or second price of the corresponding current
`
`exchange rate at that time is equal to or better than the requested trade price, effecting
`
`the trade at the corresponding respective current exchange rate first price or second
`
`price and if the corresponding current exchange rate is worse than the requested trade
`
`price, refusing the trade; and
`
`(vii) transmitting from the trading system server to the trading client system an
`
`indication of whether the trade was refused or transacted and, if transacted, an
`
`indication of the price the trade was transacted at.
`
`4.
`
`Any comments considered n