IP Library › Patent Application 10775868

Patent Application Utility

App. No. 10/775,868 · Confirmation No. 1175

INSIDER TRADING RISK MANAGEMENT

Inventor: David Lawrence

Abandoned -- Failure to Respond to an Office Action View Publication ↗

	Code	Description	Pages	PDF
2016-05-05	`ABN`	Abandonment	2	View
2016-02-11	`XT/`	Extension of Time	1	View
2016-02-11	`WFEE`	Fee Worksheet (SB06)	2	View
2016-02-11	`N417`	Electronic Filing System Acknowledgment Receipt	2	View
2015-08-14	`CTFR`	Final Rejection	13	View
2015-08-14	`892`	List of references cited by examiner	1	View
2015-08-14	`SRFW`	Search information including classification, databases and other search related notes	2	View
2015-08-14	`1449`	List of References cited by applicant and considered by examiner	1	View
2015-08-14	`SRNT`	Examiner's search strategy and results	10	View
2015-08-14	`FWCLM`	Index of Claims	1	View
2015-04-21	`INTV.SUM.APP`	Applicant Initiated Interview Summary (PTOL-413)	3	View
2015-04-15	`A...`	Amendment/Request for Reconsideration-After Non-Final Rejection	1	View
2015-04-15	`CLM`	Claims	4	View
2015-04-15	`REM`	Applicant Arguments/Remarks Made in an Amendment	9	View
2015-04-15	`TRAN.LET`	Transmittal Letter	3	View
2015-04-15	`IDS`	Information Disclosure Statement (IDS) Form (SB08)	1	View
2015-04-15	`WFEE`	Fee Worksheet (SB06)	2	View
2015-04-15	`N417`	Electronic Filing System Acknowledgment Receipt	3	View
2015-04-15	`WFEE`	Fee Worksheet (SB06)	1	View
2015-03-09	`EBCC.AD`	Notice of Change of Address Place in File Wrapper Due to Electronic Business Center(EBC) Customer Number Update	1	View
2015-01-15	`CTNF`	Non-Final Rejection	7	View
2015-01-15	`892`	List of references cited by examiner	1	View
2015-01-15	`FWCLM`	Index of Claims	1	View
2015-01-15	`SRFW`	Search information including classification, databases and other search related notes	2	View
2015-01-15	`1449`	List of References cited by applicant and considered by examiner	5	View
2014-06-30	`IDS`	Information Disclosure Statement (IDS) Form (SB08)	5	View
2014-06-30	`RCEX`	Request for Continued Examination (RCE)	1	View
2014-06-30	`WFEE`	Fee Worksheet (SB06)	2	View
2014-06-30	`N417`	Electronic Filing System Acknowledgment Receipt	6	View
2014-06-30	`FOR`	Foreign Reference	49	View
2014-06-30	`FOR`	Foreign Reference	20	View
2014-06-30	`FOR`	Foreign Reference	27	View
2014-06-30	`FOR`	Foreign Reference	81	View
2014-06-30	`FOR`	Foreign Reference	51	View
2014-06-30	`FOR`	Foreign Reference	37	View
2014-06-30	`371P`	Documents submitted with 371 (National Stage) Applications	5	View
2014-06-30	`371P`	Documents submitted with 371 (National Stage) Applications	3	View
2014-06-30	`REF.OTHER`	Other reference-Patent/Application/Search Documents	1	View
2014-06-30	`371P`	Documents submitted with 371 (National Stage) Applications	6	View
2014-06-30	`371P`	Documents submitted with 371 (National Stage) Applications	3	View
2014-06-30	`371P`	Documents submitted with 371 (National Stage) Applications	3	View
2014-06-30	`371P`	Documents submitted with 371 (National Stage) Applications	3	View
2014-06-30	`371P`	Documents submitted with 371 (National Stage) Applications	3	View
2014-06-30	`371P`	Documents submitted with 371 (National Stage) Applications	3	View
2014-06-30	`371P`	Documents submitted with 371 (National Stage) Applications	3	View
2014-06-30	`371P`	Documents submitted with 371 (National Stage) Applications	5	View
2014-06-30	`371P`	Documents submitted with 371 (National Stage) Applications	5	View
2014-06-30	`371P`	Documents submitted with 371 (National Stage) Applications	5	View
2014-06-30	`371P`	Documents submitted with 371 (National Stage) Applications	4	View
2014-06-30	`371P`	Documents submitted with 371 (National Stage) Applications	4	View
2014-06-30	`371P`	Documents submitted with 371 (National Stage) Applications	5	View
2014-06-30	`371P`	Documents submitted with 371 (National Stage) Applications	3	View
2014-06-30	`371P`	Documents submitted with 371 (National Stage) Applications	6	View
2014-06-30	`371P`	Documents submitted with 371 (National Stage) Applications	7	View
2014-06-30	`371P`	Documents submitted with 371 (National Stage) Applications	5	View
2014-06-30	`371P`	Documents submitted with 371 (National Stage) Applications	4	View
2014-06-30	`TRAN.LET`	Transmittal Letter	5	View
2014-04-01	`NOA`	Notice of Allowance and Fees Due (PTOL-85)	8	View
2014-04-01	`892`	List of references cited by examiner	1	View
2014-04-01	`1449`	List of References cited by applicant and considered by examiner	17	View
2014-04-01	`BIB`	Bibliographic Data Sheet	1	View
2014-04-01	`SRFW`	Search information including classification, databases and other search related notes	2	View
2014-04-01	`IIFW`	Issue Information including classification, examiner, name, claim, renumbering, etc.	3	View
2014-04-01	`SRNT`	Examiner's search strategy and results	8	View
2014-01-08	`IDS`	Information Disclosure Statement (IDS) Form (SB08)	17	View
2014-01-08	`WFEE`	Fee Worksheet (SB06)	2	View
2014-01-08	`N417`	Electronic Filing System Acknowledgment Receipt	6	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	3	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	1	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	1	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	1	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	4	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	3	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	1	View
2014-01-08	`RCEX`	Request for Continued Examination (RCE)	1	View
2014-01-08	`TRAN.LET`	Transmittal Letter	5	View
2014-01-08	`FOR`	Foreign Reference	68	View
2014-01-08	`FOR`	Foreign Reference	68	View
2014-01-08	`FOR`	Foreign Reference	33	View
2014-01-08	`FOR`	Foreign Reference	75	View
2014-01-08	`FOR`	Foreign Reference	47	View
2014-01-08	`FOR`	Foreign Reference	16	View
2014-01-08	`FOR`	Foreign Reference	11	View
2014-01-08	`FOR`	Foreign Reference	24	View
2014-01-08	`FOR`	Foreign Reference	27	View
2014-01-08	`FOR`	Foreign Reference	11	View
2014-01-08	`FOR`	Foreign Reference	7	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	1	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	4	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	1	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	5	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	5	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	1	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	1	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	1	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	4	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	6	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	3	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	4	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	4	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	4	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	5	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	4	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	4	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	3	View
2014-01-08	`REF.OTHER`	Other reference-Patent/Application/Search Documents	5	View
2014-01-08	`N417`	Electronic Filing System Acknowledgment Receipt	8	View
2013-12-03	`IIFW`	Issue Information including classification, examiner, name, claim, renumbering, etc.	3	View
2013-10-09	`NOA`	Notice of Allowance and Fees Due (PTOL-85)	10	View
2013-10-09	`892`	List of references cited by examiner	1	View
2013-10-09	`SRFW`	Search information including classification, databases and other search related notes	1	View
2013-10-09	`SRNT`	Examiner's search strategy and results	4	View
2013-10-09	`BIB`	Bibliographic Data Sheet	1	View
2013-10-09	`IIFW`	Issue Information including classification, examiner, name, claim, renumbering, etc.	3	View
2012-05-04	`N570`	Communication - Re: Power of Attorney (PTOL-308)	1	View
2012-05-04	`N570`	Communication - Re: Power of Attorney (PTOL-308)	1	View
2012-04-26	`PA..`	Power of Attorney	1	View
2012-04-26	`N417`	Electronic Filing System Acknowledgment Receipt	2	View
2012-04-26	`R3.73`	Assignee showing of ownership per 37 CFR 3.73	1	View
2010-10-08	`RCEX`	Request for Continued Examination (RCE)	1	View
2010-10-08	`AMSB`	Amendment Submitted/Entered with Filing of Continued Prosecution Application (CPA)/Request for Continued Examination(RCE)	1	View
2010-10-08	`CLM`	Claims	5	View
2010-10-08	`REM`	Applicant Arguments/Remarks Made in an Amendment	11	View
2010-10-08	`TRAN.LET`	Transmittal Letter	2	View
2010-10-08	`WFEE`	Fee Worksheet (SB06)	2	View
2010-10-08	`N417`	Electronic Filing System Acknowledgment Receipt	2	View
2010-10-08	`XT/`	Extension of Time	2	View
2010-04-08	`CTFR`	Final Rejection	22	View
2010-04-08	`892`	List of references cited by examiner	1	View
2010-04-08	`FWCLM`	Index of Claims	1	View
2010-04-08	`SRFW`	Search information including classification, databases and other search related notes	1	View
2009-12-23	`A...`	Amendment/Request for Reconsideration-After Non-Final Rejection	1	View
2009-12-23	`CLM`	Claims	4	View
2009-12-23	`REM`	Applicant Arguments/Remarks Made in an Amendment	10	View
2009-12-23	`XT/`	Extension of Time	2	View
2009-12-23	`WFEE`	Fee Worksheet (SB06)	2	View
2009-12-23	`N417`	Electronic Filing System Acknowledgment Receipt	2	View
2009-12-23	`WFEE`	Fee Worksheet (SB06)	1	View
2009-06-24	`CTNF`	Non-Final Rejection	20	View
2009-06-24	`892`	List of references cited by examiner	1	View
2009-06-24	`SRFW`	Search information including classification, databases and other search related notes	1	View
2009-06-24	`SRNT`	Examiner's search strategy and results	3	View
2009-04-28	`N570`	Communication - Re: Power of Attorney (PTOL-308)	1	View
2009-04-28	`N570`	Communication - Re: Power of Attorney (PTOL-308)	1	View
2009-04-21	`PA..`	Power of Attorney	1	View
2009-04-21	`R3.73`	Assignee showing of ownership per 37 CFR 3.73	4	View
2009-04-21	`N417`	Electronic Filing System Acknowledgment Receipt	2	View
2009-04-15	`RCEX`	Request for Continued Examination (RCE)	1	View
2009-04-15	`WFEE`	Fee Worksheet (SB06)	2	View
2009-04-15	`N417`	Electronic Filing System Acknowledgment Receipt	2	View
2009-04-15	`AMSB`	Amendment Submitted/Entered with Filing of Continued Prosecution Application (CPA)/Request for Continued Examination(RCE)	1	View
2009-04-15	`CLM`	Claims	4	View
2009-04-15	`REM`	Applicant Arguments/Remarks Made in an Amendment	7	View
2009-04-15	`XT/`	Extension of Time	2	View
2009-04-15	`WFEE`	Fee Worksheet (SB06)	1	View
2008-10-15	`CTFR`	Final Rejection	17	View
2008-10-15	`892`	List of references cited by examiner	1	View
2008-10-15	`SRFW`	Search information including classification, databases and other search related notes	1	View
2008-06-24	`A...`	Amendment/Request for Reconsideration-After Non-Final Rejection	1	View
2008-06-24	`SPEC`	Specification	1	View
2008-06-24	`CLM`	Claims	4	View
2008-06-24	`REM`	Applicant Arguments/Remarks Made in an Amendment	4	View
2008-06-24	`XT/`	Extension of Time	1	View
2008-06-24	`TRAN.LET`	Transmittal Letter	2	View
2008-06-24	`WFEE`	Fee Worksheet (SB06)	2	View
2008-06-24	`N417`	Electronic Filing System Acknowledgment Receipt	2	View
2008-06-24	`WFEE`	Fee Worksheet (SB06)	1	View
2008-02-25	`CTNF`	Non-Final Rejection	20	View
2008-02-25	`892`	List of references cited by examiner	1	View
2008-02-25	`SRFW`	Search information including classification, databases and other search related notes	1	View
2008-02-25	`SRNT`	Examiner's search strategy and results	3	View
2008-02-25	`1449`	List of References cited by applicant and considered by examiner	5	View
2006-12-12	`N570`	Communication - Re: Power of Attorney (PTOL-308)	2	View
2006-12-01	`PA..`	Power of Attorney	24	View
2006-12-01	`N417`	Electronic Filing System Acknowledgment Receipt	2	View
2005-08-10	`IDS`	Information Disclosure Statement (IDS) Form (SB08)	5	View
2005-06-10	`C.AD`	Change of Address	2	View
2004-06-09	`OATH`	Oath or Declaration filed	2	View
2004-06-09	`C.AD`	Change of Address	1	View
2004-05-07	`PEFN`	Pre-Exam Formalities Notice	2	View
2004-02-10	`TRNA`	Transmittal of New Application	2	View
2004-02-10	`SPEC`	Specification	22	View
2004-02-10	`CLM`	Claims	4	View
2004-02-10	`ABST`	Abstract	1	View
2004-02-10	`DRW`	Drawings-only black and white line drawings	10	View
2004-02-10	`WFEE`	Fee Worksheet (SB06)	1	View
2004-02-10	`WFEE`	Fee Worksheet (SB06)	1	View
2004-02-10	`136A`	Authorization for Extension of Time all replies	2	View

Inventors

David Lawrence New York, NY

Attorneys & Agents of Record

VIKRAM IYENGAR Reg. 65488 Attorney · PERKINS COIE LLP

ARPITA BHATTACHARYYA Reg. 63681 Agent · PERKINS COIE

COURTNEY PROCHNOW Reg. 67639 Attorney · PERKINS COIE, LLP

CAROLINE TEICHNER Reg. 71689 Attorney · THE KRAFT HEINZ COMPANY

JACOB GOBER Reg. 74399 Attorney · ASHURST PERKINS COIE US LLP

ANNA ONLEY Reg. 73876 Attorney

SEAN LEE Reg. 81828 Attorney · EVERSHEDS SUTHERLAND LLP

WILLA WU Reg. 82602 Attorney · ASHURST PERKINS COIE LLP

ALICE JENKINS Reg. 78749 Agent · PERKINS COIE LLP

SUSAN BETCHER Reg. 43498 Attorney · PERKINS COIE, LLP

CHUN NG Reg. 36878 Attorney · PERKINS COIE, LLP

YUN LU Reg. 72766 Attorney · FOLEY & LARDNER LLP

FAREID ASPHAHANI Reg. 72217 Agent · ASHURST PERKINS COIE US LLP

KENNETH OHRINER Reg. 31646 Attorney · PERKINS COIE LLP

YINGLI WANG Reg. 67372 Attorney · PERKINS COIE LLP

DANICA HARBAUGH Reg. 83121 Agent · ASHURST PERKINS COIE US LLP

BRANDON WHITE Reg. 52354 Attorney · ASHURST PERKINS COIE US LLP

MICHAEL WILSON Reg. 80395 Agent

JUN HYUK HONG Reg. 82027 Attorney · PERKINS COIE LLP

PAUL PARKER Reg. 38264 Attorney · PERKINS COIE LLP

JESSICA KAISER Reg. 58937 Attorney · ARNOLD & PORTER KAYE SCHOLER LLP

ADWAIT JAWALE Reg. 83180 Attorney

AIDAN FAUSTINA Reg. 82439 Agent · ASHURST PERKINS COIE

BING AI Reg. 43312 Attorney · PERKINS COIE LLP

VIOLA KUNG Reg. 41131 Attorney · PERKINS COIE LLP

KARL KLASSEN Reg. 54224 Attorney · PERKINS COIE LLP

DMITRY KAGAN Reg. 74806 Attorney · ASHURST PERKINS COIE US LLP

VISHAL RAVI Reg. 81177 Agent · PERKINS COIE LLP

JOSEPH MERRITT Reg. 82917 Agent · PERKINS COIE LLP

COLIN FOWLER Reg. 64379 Attorney · ASHURST PERKINS COIE US LLP

MARK STRICKLAND Reg. 45138 Attorney

STEPHEN BROOKMAN Reg. 65152 Attorney · ASHURST PERKINS COIE US LLP

SUMEDHA AHUJA Reg. 73038 Attorney · ASHURST PERKINS COIE

GENE LEE Reg. 55369 Attorney · PERKINS COIE LLP

KYLE CANAVERA Reg. 72167 Attorney · PERKINS COIE LLP

PATRICK MCKEEVER Reg. 66019 Attorney · PERKINS COIE LLP

TYLER KNOX Reg. 79948 Attorney · ASHURST PERKINS COIE US LLP

JACOB LEVENSON Reg. 83245 Agent · ASHURST PERKINS COIE LLP

THOMAS YEE Reg. 57013 Attorney · ASHURST PERKINS COIE US LLP

KARAN SINGH Reg. 72240 Attorney · ASHURST PERKINS COIE US LLP

JUSTIN CHO Reg. 81941 Attorney · PERKINS COIE

ANDREW PETTIT Reg. 71235 Attorney · ASHURST PERKINS COIE US LLP

MCKENZIE CHEN Reg. 79222 Agent · PERKINS COIE, LLP

RODGER CARREYN Reg. 50774 Attorney · ASHURST PERKINS COIE US LLP

AARON POLEDNA Reg. 54675 Attorney · ASHURST PERKINS COIE US LLP

EVAN DAY Reg. 75992 Attorney · PERKINS COIE, LLP

BENJAMIN CASHDOLLAR Reg. 78901 Attorney · ASHURST PERKINS COIE US LLP

LINDA FALCON Reg. 71097 Attorney · ASHURST PERKINS COIE US LLP

STEVEN BEIGELMACHER Reg. 75050 Attorney · ASHURST PERKINS COIE US LLP

ANDREW DUFRESNE Reg. 66636 Attorney · PERKINS COIE LLP

XIAOBING ZHANG Reg. 63927 Attorney

DAVID LAUB Reg. 38708 Attorney · ASHURST PERKINS COIE US LLP

ROBERT WOOLSTON Reg. 37263 Attorney · PERKINS COIE, LLP

JOSEPH HAMILTON Reg. 51770 Attorney · PERKINS COIE LLP

XIAOYU WANG Reg. 75640 Attorney

MICHAEL WISE Reg. 34047 Attorney · PERKINS COIE LLP

SEYOUNG CHEON Reg. 75862 Attorney · PERKINS COIE, LLP

KATLYN STOCKSLAGER Reg. 79896 Attorney · ASHURST PERKINS COIE US LLP

SAMANTHA HUNT Reg. 79993 Attorney · DAVIS WRIGHT TREMAINE

SEOK HAN Reg. 73049 Agent

YANG HSIEN HSU Reg. 76043 Attorney · ASHURST PERKINS COIE

YANG-HSIEN HSU Reg. L0770 Agent · PERKINS COLE

RYAN FREEDMAN Reg. 81514 Attorney

MATTHEW WILLIAMS Reg. 77516 Agent · ASHURST PERKINS COIE LLP

ZHENXING BI Reg. 79130 Attorney · PERKINS COIE LLP

JASON FRANCIS Reg. 81807 Attorney · ASHURST PERKINS COIE US LLP

BENJAMIN DESCH Reg. 81419 Attorney · ASHURST PERKINS COIE US LLP

MOEKA TAKAGI Reg. 74407 Attorney · PERKINS COIE

MICHAEL GLENN Reg. 30176 Attorney · ASHURST PERKINS COIE LLP US

BEN BROKESH Reg. 83489 Attorney

BRYCE FREUND Reg. 83732 Attorney

VIJAY KUMAR Reg. 77612 Attorney · PERKINS COIE LLP

BABAK TEHRANCHI Reg. 55937 Attorney · PERKINS COLE LLP

BRYAN JOHNSON Reg. 77244 Attorney · ASHURST PERKINS COIE US LLP

JULIA THOMAS Reg. 52283 Agent

GAUTAM THATTE Reg. 75568 Agent

SARA SERAG Reg. 81523 Agent

NICOLE DUNHAM Reg. 66122 Attorney · PERKINS COIE, LLP

LOIS LEE Reg. 83421 Agent

CHRIS KIM Reg. 83530 Agent · PERKINS COIE LLP

JOHN MAXIN Reg. 34668 Attorney

CHRISTOPHER DALEY-WATSON Reg. 34807 Attorney · PERKINS COIE LLP

JOHN WECHKIN Reg. 42216 Attorney · PERKINS COIE, LLP

Classification

USPC 705/35

G06Q30/02 G06Q40/04 G06Q40/08

Prosecution

Examiner: VIZVARY, GERALD C
Art Unit: 3624
Customer No.: 130037
Docket No.: 119301-8003.US00
Confirmation No.: 1175

Publication

Pub. No.: US20040193532A1
Pub. Date: 2004-09-30

Parent is a Continuation in-part of

→

App. 10/074,584

Filed 2002-02-12 · Abandoned -- Failure to Respond to an Office Action

Parent is a Continuation in-part of

→

App. 10/021,124

Filed 2001-10-30 · Abandoned -- Failure to Respond to an Office Action

Parent is a Continuation in-part of

→

App. 09/812,627 · US 8,140,415

Filed 2001-03-20 · Patented Case

Parent Claims priority from a provisional application

→

App. 60/446,127

Filed 2003-02-10 · Provisional Application Expired

Child is a Continuation of

→

App. 15/041,975

Filed 2016-02-11 · Abandoned -- Incomplete Application (Pre-examination)

REGULATORY DATACORP, INC.

from REGULATORY DATACORP, INTL LLC

MERGER Recorded 2016-10-26

040483/0506 →

REGULATORY DATACORP, INC.

from GOLDMAN, SACHS & CO.

CORRECTIVE ASSIGNMENT TO CORRECT THE ASSIGNOR NAME PREVIOUSLY RECORDED AT REEL: 040054 FRAME: 0122. ASSIGNOR(S) HEREBY CONFIRMS THE ASSIGNMENT. Recorded 2016-10-26

040479/0394 →

REGULATORY DATACORP, INC.

from GOLDMAN SACHS & CO.

ASSIGNMENT OF ASSIGNOR'S INTEREST Recorded 2016-09-16

040054/0122 →

GOLDMAN, SACHS & CO.

from LAWRENCE, DAVID

ASSIGNMENT OF ASSIGNOR'S INTEREST Recorded 2004-06-04

014689/0566 →

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