Data processing: financial – business practice – management – or co – Automated electrical financial or business practice or... – Finance
Reexamination Certificate
2006-03-21
2006-03-21
Kyle, Charles R. (Department: 3624)
Data processing: financial, business practice, management, or co
Automated electrical financial or business practice or...
Finance
C705S035000
Reexamination Certificate
active
07016874
ABSTRACT:
A system for handling securities trading plans includes a securities trading plan template, a storage mechanism, and a plan verifier. The securities trading plan template is to be accessed by a person associated with the organizational entity to generate a completed securities trading plan that identifies conditions under which a securities-related transaction is to occur. The plan verifier receives the completed securities trading plan and records the completed securities trading plan in the storage mechanism so that the completed securities trading plan may be used as a defense in a securities-related legal proceeding involving the person associated with the organizational entity. The securities trading plan is completed by the person associated with the organizational entity at a time when the person is not aware of material, non-public information relating to the organizational entity in order to minimize exposure to liability under federal securities laws in the event that the person becomes aware of such material, non-public information after the completed securities trading plan has been recorded by the plan verifier.
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Day Jones
Kyle Charles R.
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