Crossmar, Inc.

Citigroup Global Markets, Inc.

Citibank Aktiengesellschaft

Neil D Potter

Fred Irwin

Peter E Rayner

Mark Johnson

Deborah Bennett

David M Jacobs

David Schreier

Marie Torremante

Bohdan Chomut

Cynthia M Anasson

Elizabeth J Friedman

Dieter Pfundt

Christine Licci

Andreas Raschdorf

Andreas T Lieven

Elizabeth Brooks

Maria Torremante

Peter E Raynor

Elisabeth Friedman

Peter Rayner

A system and method are disclosed for communicating information between a securities customer and a trader. The system includes a computer which has three class components for completing the communications between the customer and the trader. A first component manages trading functions, a second component manages customer log-in and password, and the third component manages communication between the first two components and a trading system.

System and method of interfacing for client application programs to access a data management system

An automated trading system makes use of various components, such as one or more transaction servers and one or more rate servers and a number of terminals. A request for a proposed transaction for a user is entered at either a user's terminal or a sales trader's terminal and sent to a transaction server coupled to a rate server. If a first predefined condition for generating an executable rate quote is identified, an executable rate quote is generated by the rate server and sent back to the user's or sales trader's terminal for the user. Otherwise, if a second predefined condition for a category trader's rate quote is identified, a request for the category trader's rate quote is sent by the transaction server to one or more category trader's terminals, prompting entry of a category trader's rate quote by one or more of the category traders, which is likewise sent back to the user's or sales trader's terminal for the user. If a request for execution is entered at the user's or sales trader's terminal within a predetermined period of time, the transaction server hands off the request for execution to a hand-off server, which executes the transaction for the user.

Computer system for data management and method for operation of the system

The present invention provides automated methods and systems for electronic order routing, and, more particularly, for selecting, ordering, routing, confirming, and tracking orders for financial instruments, such as mutual funds, among multiple buyers and sellers. More specifically, the present invention provides end-to-end, straight-through-transaction processing methods and systems for multiple financial instruments combining order routing, execution, settlement, foreign exchange, and custodial services to financial service providers with a retail customer base. Further, the methods and systems may be utilized to perform one or more of the following tasks: (1) monitor the real-time status of a financial order at various stages; (2) accommodate additional financial instruments and additional users as the system expands; (3) facilitate lower transaction and processing costs; (4) provide multilingual capabilities, settlement currencies, and other identifiers necessary to quote and execute an order for a financial instrument; (5) minimize the manual entry and re-keying of information into multiple formats and templates used by brokers, fund managers, and other parties to a financial transaction. The system components may include a plurality of client terminals running an interactive user interface, a network server, and at least one communications network. In other possible embodiments of the present invention, the methods and systems: (1) provide an archive capability for storing transactional data, including order data; (2) provide detailed reports; (3) provide integration with external and internal systems; (4) utilize state-of-the-art technology; and/or (5) allow for real-time system configuration and modifications.

Methods and systems for electronic order routing (CORS)

A method and system for performing financial transaction involving foreign currencies deals in virtually all trading currencies, automatically incorporates the current market process and operates in a secure environment. Customers can access the system on-line and in real time through various terminals such as, for example, a personal computer (PC). By inputting information in response to prompts on the screen, the system quickly identifies the nature of the transaction the customer desires and the customer inputs the characteristics of the transaction the user desires. The system then automatically generates an offer in response to the customer's request based upon a number of parameters including the market price, the size and nature of the transaction and the size and nature of the client. The system then promptly displays the bank's offer to the customer in a clear and concise manner. The customer is then given an opportunity to accept the offer, ask that the offer be updated or reject the offer. If the customer delays for too long a period of time in deciding to accept or reject the offer, the system automatically withdraws and updates the offer thereby protecting the bank from liability for a 'stale' rate. If accepted, the trade is automatically forwarded for processing and assigned a reference number for tracking and control purposes.

Method and system for performing automated financial transactions

Growing community of inventors

Westfield, NJ, United States of America

Neil D Potter