Issuer support services
View Patent ↗A process, residing on a server, provides issuer support services to a financial market. A compliance process reviews issue and issuer data and filing and financial data, which is received from a first data source and concerns a specific issuer and one or more securities issued by the specific issuer, to determine if the specific issuer is in compliance with the listing requirements for the market on which the one or more securities are traded. The compliance process generates compliance data indicative of the specific issuer's state of compliance.
1. A server for providing issuer support services to a financial market, comprising:
a processor executing:
a compliance process for reviewing issue and issuer data and filing and financial data, received from a first data source and concerning a specific issuer and one or more securities issued by the specific issuer, to determine if the specific issuer is in compliance with the listing requirements for the market on which the one or more securities are traded, wherein the compliance process generates compliance data indicative of the specific issuer's state of compliance, wherein, if the specific issuer is not in compliance with the listing requirements for the market, a communication logging process produces a communication log regarding communications of the specific issuer during a hearing process; and
a tabular presentation process for presenting a composite report that includes the compliance data indicative of the specific issuer's state of compliance, the filing and financial data, and the issue and issuer data.
2. The server of claim 1 wherein the processor further executing a trade process for receiving, from a second data source, trade data concerning the one or more securities issued by the specific issuer.
3. The server of claim 2 wherein the second data source is a trade database for the market on which the one or more securities are traded.
4. The server of claim 2 further comprising a storage device storing a database for organizing the compliance data, the filing and financial data, the trade data, and the issue and issuer data.
5. The server of claim 2 wherein the processor further executing a data management process for allowing the user to manage at least one of: the issue and issuer data received from the first data source; the filing and financial data received from the first data source; the trade data received from the second data source; and the compliance data generated by the compliance process.
6. The server of claim 1 wherein the first data source is a database maintained by a governmental regulatory agency.
7. The server of claim 1 wherein the processor further executing a pre-alert process for providing a listing qualification analyst with a warning concerning the specific issuer approaching a point of non-compliance with the listing requirements for the market on which the one or more securities are traded.
8. A server for providing issuer support services to a financial market, comprising:
a processor; and
a storage device storing a computer program product for execution by the processor, the computer program product comprising:
a compliance process for reviewing issue and issuer data and filing and financial data, received from a first data source and concerning a specific issuer and one or more securities issued by the specific issuer, to determine if the specific issuer is in compliance with the listing requirements for the market on which the one or more securities are traded, the compliance process generates compliance data indicative of the specific issuer's state of compliance, wherein, if the specific issuer is not in compliance with the listing requirements for the market, a communication logging process produces a communication log regarding communications of the specific issuer during a hearing process; and
a tabular presentation process for presenting to a user a composite report that includes the compliance data indicative of the specific issuer's state of compliance, the filing and financial data, and the issue and issuer data.
9. The server of claim 8 wherein the computer program product further comprising a trade process for receiving, from a second data source, trade data concerning the one or more securities issued by the specific issuer.
10. The server of claim 9 wherein the computer program product further comprising a data management process for allowing the user to manage at least one of: the issue and issuer data received from the first data source; the filing and financial data received from the first data source; the trade data received from the second data source; and the compliance data generated by the compliance process.
11. The server of claim 9 wherein the computer program product further comprising a pre-alert process for providing a listing qualification analyst with a warning concerning the specific issuer approaching a point of non-compliance with the listing requirements for the market on which the one or more securities are traded.
12. A server for providing issuer support services to a financial market, comprising:
a processor; and
a storage device storing a computer program product for execution by the processor, the computer program product comprising:
a compliance process for reviewing issue and issuer data and filing and financial data, received from a first data source and concerning a specific issuer and one or more securities issued by the specific issuer, to determine if the specific issuer is in compliance with the listing requirements for the market on which the one or more securities are traded, wherein the compliance process generates compliance data indicative of the specific issuer's state of compliance, wherein, if the specific issuer is not in compliance with the listing requirements for the market, a communication logging process produces a communication log regarding communications of the specific issuer during a hearing process;
a pre-alert process for providing a listing qualification analyst with a warning concerning the specific issuer approaching a point of non-compliance with the listing requirements for the market on which the one or more securities are traded; and
a tabular presentation process for presenting a composite report that includes the compliance data indicative of the specific issuer's state of compliance, the filing and financial data, and the issue and issuer data.
13. The server of claim 12 wherein the computer program product further comprising a trade process for receiving, from a second data source, trade data concerning the one or more securities issued by the specific issuer.
14. The server of claim 13 wherein the computer program product further comprising a data management process for allowing the user to manage at least one of: the issue and issuer data received from the first data source; the filing and financial data received from the first data source; the trade data received from the second data source; and the compliance data generated by the compliance process.
15. A computer-implemented method for providing issuer support services to a financial market, comprising:
reviewing, on a remote computer, issue and issuer data and filing and financial data, received from a first data source, concerning a specific issuer and one or more securities issued by the specific issuer;
determining, on a server computer, if the specific issuer is in compliance with the listing requirements for the market on which the one or more securities are traded;
generating, on the server computer, compliance data that is indicative of the specific issuer's state of compliance; and
presenting, on the remote computer, a composite report that includes the compliance data indicative of the specific issuer's state of compliance, the filing and financial data, and the issue and issuer data.
16. The computer-implemented method of claim 15 further comprising receiving, from a second data source, trade data concerning the one or more securities issued by the specific issuer.
17. The computer-implemented method of claim 16 further comprising organizing the compliance data, the filing and financial data, the trade data, and the issue and issuer data stored on a storage device.
18. The computer-implemented method of claim 16 further comprising managing at least one of: the issue and issuer data received from the first data source; the filing and financial data received from the first data source; the trade data received from the second data source; and the compliance data generated by the method.
19. The computer-implemented method of claim 15 further comprising providing a listing qualification analyst with a warning concerning the specific issuer approaching a point of non-compliance with the listing requirements for the market on which the one or more securities are traded.
20. A computer program product residing on a non-transitory computer readable medium having a plurality of instructions stored thereon that, when executed by the processor, cause the processor to:
review issue and issuer data and filing and financial data, received from a first data source, concerning a specific issuer and one or more securities issued by the specific issuer;
determine if the specific issuer is in compliance with the listing requirements for the market on which the one or more securities are traded; and
generate compliance data indicative of the specific issuer's state of compliance, wherein, if the specific issuer is not in compliance with the listing requirements for the market, a communication logging process produces a communication log regarding communications of the specific issuer during a hearing process; and
present a composite report that includes the compliance data indicative of the specific issuer's state of compliance, the filing and financial data, and the issue and issuer data.
21. The computer program product of claim 20 further comprising instructions to receive, from a second data source, trade data concerning the one or more securities issued by the specific issuer.
22. The computer program product of claim 21 further comprising instructions to organize the compliance data, the filing and financial data, the trade data, and the issue and issuer data on a storage device.
23. The computer program product of claim 21 further comprising instructions to allow the user to manage at least one of: the issue and issuer data received from the first data source; the filing and financial data received from the first data source; the trade data received from the second data source; and the generated compliance data.
24. The computer program product of claim 20 further comprising instructions to provide a listing qualification analyst with a warning concerning the specific issuer approaching a point of non-compliance with the listing requirements for the market on which the one or more securities are traded.
25. A system for providing issuer support services to a financial market, comprising:
a server computer executing:
a compliance process for reviewing issue and issuer data and filing and financial data concerning a specific issuer and one or more securities issued by the specific issuer, to determine if the specific issuer is in compliance with the listing requirements for the market on which the one or more securities are traded, wherein the compliance process generates compliance data indicative of the specific issuer's state of compliance, wherein, if the specific issuer is not in compliance with the listing requirements for the market, a communication logging process produces a communication log regarding communications of the specific issuer during a hearing process; and
a tabular presentation process for presenting a composite report that includes the compliance data indicative of the specific issuer's state of compliance, the filing and financial data, and the issue and issuer data; and
a remote computer that generates a graphical user interface for operating the compliance process.
26. The system of claim 25 wherein the graphical user interface is a web browser.