Pre-Grant Publication Number: 20080221945
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Conditions to be met for the private resale of securities to institutions
Annotations(0) #30515 U.S. Code, Chapter 2A, Subchapter I, Sec. 77b(a)(15) Applies to Claims 1,12,13,14,2,23,3,5,6,7,9 Submitted by: Mark WebbinkLast updated: over 4 years ago
This section of the U.S. Code defines the criteria used to determine who is an "accredited investor."
Patent/Application # US 2004/0054614
 For example, U.S. regulations prohibit a member of the New York Stock Exchange or National Association of Securities Dealers from selling a security short unless the broker dealer is first able to "locate" a borrowable security to cover the short.
Patent/Application # METHOD OF RAISING CAPITAL FOR
The method includes the steps of: determining the lesser of the maximum of the desired amount of proceeds that the issuing company will raise under applicable securities regulations or business criteria (18a); determining the maximum number of investors to whom the issuing company will issue securities under applicable securities regulations (18b); and dividing the determined amount of proceeds from step 18a by the maximum number of investors determined in step 18b to determine a minimum investment requirement for the securities offering (18c).
Patent/Application # US 2006/0149662
This is a description of an automated options trading network.