Rate of return stops and capital return transactions

Details Rate of return stops and capital return transactions Rate of return stops and capital return transactions

2005-11-17

2010-12-07

Kramer, James A (Department: 3693)

Data processing: financial, business practice, management, or co

Automated electrical financial or business practice or...

Finance

Reexamination Certificate

active

07848992

ABSTRACT:
A method and system for managing and selling investments via electronic means. An investor can establish sell order criteria based upon a preset desired rate of return. The broker thereby monitors the investment and automatically sells it on behalf of the investor once the prescribed sell order criteria are met. The investor can effectively lock in a rate of return prior to its sale without monitoring. Also provided is a method and system for returning to the investor a portion of the initial investment. Once the investment reaches a predetermined value, three simultaneous events occur. A portion or all the initial invested capital is returned to the investor for purposes of reinvestment. The investment instrument is transferred to the broker as collateral, given that its value appreciated relative to the initial purchase amount. Yet the investor still owns the “rights” to the capital appreciation for the life of the investment.

REFERENCES:
patent: 6061661 (2000-05-01), Hagan
patent: 6411939 (2002-06-01), Parsons
patent: 2002/0194106 (2002-12-01), Kocher
patent: 2003/0120575 (2003-06-01), Wallman
patent: 2006/0069639 (2006-03-01), Kalt
Harris, Larry, “Trading and exchanges: market microstructure for practitioners”, 2003, p. 309.

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