IP Library Granted Patent US 7,110,974
Granted Patent B1
US 7,110,974 · App. 09/704,740 · Granted Sep 19, 2006

Tool for estimating a cost of a trade

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Quick Facts
Patent No.
US 7,110,974
App. No.
09/704,740
Granted
Sep 19, 2006
Kind
B1
Abstract

The invention relates to a tool for estimating a pre-trade implementation shortfall for financial instruments. Through evaluating a number of factors, including the size of the order, the average daily volume of the stock, the average bid-ask spread of the stock, the volatility of the stock and the exchange on which the stock trades, the present invention estimates the cost of a trade. Using the disclosed system and method, a trader or fund manager may determine when and how to implement trades of varying size.

Claims (10)

1. A system for estimating execution costs of a trade, comprising:

one or more computer processors configured to calculate an average bid-ask spread of one or more securities;

one or more computer processors configured to calculate values associated with one or more markets;

one or more computer processors configured to receive and store data regarding an order size for said one or more securities;

one or more computer processors configured to receive and store data regarding an average daily volume of said one or more securities traded on a specified market;

one or more computer processors configured to calculate data regarding historical volatility of said one or more securities;

one or more computer processors configured to calculate an estimated cost of trading said one or more securities using data comprising a formula based on said average bid-ask spread, said values associated with one or more markets, said data regarding order size, said data regarding average daily volume, and said data regarding historical volatility, wherein said formula has the following form:

Cost day =( a*e )+( b *σ*SQRT(ordersize/ ADV ))

wherein Cost day represents expected cost over one day of trading, constants a and b are values associated with the various markets around the world, e represents average bid-ask spread of a security, ordersize represents order size, ADV represents average daily volume traded, and σ represents historical volatility of said security; and

an electronic display component, in communication with said one or more computer processors configured to calculate an estimated cost, configured to display said estimated cost.

Assignments (2)
ASSIGNMENT OF ASSIGNOR'S INTEREST Recorded Oct 20, 2008
From: LEHMAN BROTHERS INC.
To: BARCLAYS CAPITAL INC.
Reel/Frame 021701/0901 →
ASSIGNMENT OF ASSIGNOR'S INTEREST Recorded Sep 17, 2008
From: LEHMAN BROTHERS
To: LEHMAN BROTHERS INC.
Reel/Frame 021531/0742 →