DETAILED ACTION
Notice of Pre-AIA or AIA Status
The present application, filed on or after March 16, 2013, is being examined under the first inventor to file provisions of the AIA .
Status of Claims
Terminal disclaimer filed 7/17/2025 was decided as “wrong form used” on 7/21/2025. Applicant is advised to re-submit and correct filing.
Claims 1 and 14 have been amended and are hereby entered.
Claims 8-10, 12, 13, and 21-23 have been canceled.
Claims 1-7, 11, 14-20 and 24 are currently pending and have been examined.
This action is made FINAL.
Double Patenting
The nonstatutory double patenting rejection is based on a judicially created doctrine grounded in public policy (a policy reflected in the statute) so as to prevent the unjustified or improper timewise extension of the “right to exclude” granted by a patent and to prevent possible harassment by multiple assignees. A nonstatutory double patenting rejection is appropriate where the conflicting claims are not identical, but at least one examined application claim is not patentably distinct from the reference claim(s) because the examined application claim is either anticipated by, or would have been obvious over, the reference claim(s). See, e.g., In re Berg, 140 F.3d 1428, 46 USPQ2d 1226 (Fed. Cir. 1998); In re Goodman, 11 F.3d 1046, 29 USPQ2d 2010 (Fed. Cir. 1993); In re Longi, 759 F.2d 887, 225 USPQ 645 (Fed. Cir. 1985); In re Van Ornum, 686 F.2d 937, 214 USPQ 761 (CCPA 1982); In re Vogel, 422 F.2d 438, 164 USPQ 619 (CCPA 1970); In re Thorington, 418 F.2d 528, 163 USPQ 644 (CCPA 1969).
A timely filed terminal disclaimer in compliance with 37 CFR 1.321(c) or 1.321(d) may be used to overcome an actual or provisional rejection based on nonstatutory double patenting provided the reference application or patent either is shown to be commonly owned with the examined application, or claims an invention made as a result of activities undertaken within the scope of a joint research agreement. See MPEP § 717.02 for applications subject to examination under the first inventor to file provisions of the AIA as explained in MPEP § 2159. See MPEP § 2146 et seq. for applications not subject to examination under the first inventor to file provisions of the AIA . A terminal disclaimer must be signed in compliance with 37 CFR 1.321(b).
The filing of a terminal disclaimer by itself is not a complete reply to a nonstatutory double patenting (NSDP) rejection. A complete reply requires that the terminal disclaimer be accompanied by a reply requesting reconsideration of the prior Office action. Even where the NSDP rejection is provisional the reply must be complete. See MPEP § 804, subsection I.B.1. For a reply to a non-final Office action, see 37 CFR 1.111(a). For a reply to final Office action, see 37 CFR 1.113(c). A request for reconsideration while not provided for in 37 CFR 1.113(c) may be filed after final for consideration. See MPEP §§ 706.07(e) and 714.13.
The USPTO Internet website contains terminal disclaimer forms which may be used. Please visit www.uspto.gov/patent/patents-forms. The actual filing date of the application in which the form is filed determines what form (e.g., PTO/SB/25, PTO/SB/26, PTO/AIA /25, or PTO/AIA /26) should be used. A web-based eTerminal Disclaimer may be filled out completely online using web-screens. An eTerminal Disclaimer that meets all requirements is auto-processed and approved immediately upon submission. For more information about eTerminal Disclaimers, refer to www.uspto.gov/patents/apply/applying-online/eterminal-disclaimer.
Claims 1-26 provisionally rejected on the ground of nonstatutory double patenting as being unpatentable over claim 1-24 of copending Application No. 18569536 (reference application). Although the claims at issue are not identical, they are not patentably distinct from each other.
This is a provisional nonstatutory double patenting rejection because the patentably indistinct claims have not in fact been patented.
Claim Rejections - 35 USC § 101
35 U.S.C. 101 reads as follows:
Whoever invents or discovers any new and useful process, machine, manufacture, or composition of matter, or any new and useful improvement thereof, may obtain a patent therefor, subject to the conditions and requirements of this title.
Claims 1-7, 11, 14-20, and 24 are rejected under 35 U.S.C. 101 because the claimed invention is directed to a judicial exception (abstract idea) without significantly more.
Under the broadest reasonable interpretation, the following claim terms are presumed to have their plain meaning consistent with the specification as it would be interpreted by one of ordinary skill in the art. MPEP § 2111.
Step 1: Does the Claim Fall within a Statutory Category? (see MPEP 2106.03)
Claim 1 recites a process, which is a statutory category of invention (Step 1: YES). Claim 14 recites an apparatus, which is a statutory category of invention (Step 1: YES).
Step 2A, Prong One: Is a Judicial Exception Recited? (see MPEP 2106.04(a)). Yes.
The claims are analyzed to determine whether it is directed to a judicial exception. The following claims identify the limitations that recite additional elements in bold and the abstract idea without bold. Underlined claim limitations denote newly added claim limitations:
Claims 1 and 14 recite a method for providing a user interface capable of supporting a transaction of unlisted stocks, the method comprising:(a) instructing, by an unlisted stock transaction server, at least one user device to display a specific reference price of a specific unlisted stock of a specific unlisted company in a first region of a screen of the user device; (b) (i) on condition that a range of desired bid prices to be included in the buy orders of the specific unlisted stock has been downwardly bounded based on the specific reference price according to a first limitation condition, in response to acquiring at least one specific buy order including at least one specific desired bid price, instructing, by the unlisted stock transaction server, the user device to display the specific buy order in a second region of the screen of the user device and (ii) on condition that a range of desired ask prices to be included in the sell orders of the specific unlisted stock has been upwardly bounded based on the specific reference price according to a second limitation condition, in response to acquiring at least one specific sell order including at least one specific desired ask price, instructing, by the unlisted stock transaction server, the user device to display the specific sell order in a third region of the screen of the user device, to thereby support the transaction of the specific unlisted stock; and (c) executing, by the unlisted stock transaction server, the transaction based in part of the first limitation condition and the second limitation condition being satisfied, wherein, at the step of (b), the unlisted stock transaction server simultaneously supports to display each of a first specific desired bid price to an n-th specific desired bid price within the range of the desired bid prices in a price descending order and each of a first specific desired bid quantity to an nth specific desired bid quantity corresponding to the first specific desired bid price to the n-th specific desired bid price in the second region of the screen of the user device, and display each of a first specific desired ask price to an m-th specific desired ask price within the range of the desired ask prices a price ascending order and each of a first specific desired ask quantity to an m-th specific desired ask quantity corresponding to the first specific desired ask price to the m-th specific desired ask price in the third region of the screen of the user device, by (bl) assigning each of increasing coordinate values on a vertical axis to each of the n-th specific desired bid price to the first specific desired bid price in the order of the n-th specific desired bid price to the first specific desired bid price and thus displaying the n-th specific desired bid price to the first specific desired bid price in the second region, and assigning each of the increasing coordinates values on the vertical axis to the n-th specific desired bid quantity to the first specific desired bid quantity corresponding to the n-th specific desired bid price to the first specific desired bid price and thus displaying the n-th specific desired bid quantity to the first specific desired bid quantity on a first side of the vertical axis in the second region, and by (b2) assigning each of the increasing coordinate values on the vertical axis to the first specific desired ask price to the m-th specific desired ask price in the order of the first specific desired ask price to the m-th specific desired ask price and thus displaying the first specific desired ask price to the m-th specific desired ask price in the third region, and by assigning each of the increasing coordinates values on the vertical axis to the first specific desired ask quantity to the m-th specific desired ask quantity corresponding to the first specific desired ask price to the m- th specific desired ask price and thus displaying the first specific desired ask quantity to the m- th specific desired ask quantity on a second side of the vertical axis in the third region, wherein a direction of the vertical axis is going from a bottom of the screen to a top of the screen of the user device, wherein, at the step of (a), the specific reference price is determined by referring to at least part of (i) specific past investment information which includes one or more investments received by the specific unlisted company, (ii) specific expected investment information which includes one or more investments expected to be received by the specific unlisted company, (iii) other past investment information which includes one or more investments received by one or more other unlisted companies in a same industry as the specific unlisted company, (iv) other expected investment information which includes one or more investments expected to be received by the one or more other unlisted companies in the same industry as the specific unlisted company, and (v) market capitalization of one or more other listed companies in the same industry as the specific unlisted company, wherein, at the step of (a), the specific past investment information is determined by referring to at least part of first specific past investment information to n-th specific past investment information, and is correlated with a first specific past weight to an n-th specific past weight corresponding to the first specific past investment information to the n-th specific past investment information, wherein the specific expected investment information is determined by referring to at least part of the first specific past investment information to the n-th specific past investment information and first specific past investment time information to n-th specific past investment time information corresponding to the first specific past investment information to the n-th specific past investment information, and is correlated with the first specific past weight to the n-th specific past weight corresponding to the first specific past investment information to the n-th specific past investment information, wherein said other past investment information is determined by referring to at least part of first other past investment information to m-th other past investment information, which are in chronological order, and is correlated with a first other past weight to an m-th other past weight corresponding to the first other past investment information to the m-th other past investment information, and wherein said other expected investment information is determined by referring to at least part of the first other past investment information to the m-th other past investment information and first other past investment time information to m-th other past investment time information corresponding to the first other past investment information to the m-th other past investment information, and is correlated with the first other past weight to the m-th other past weight corresponding to the first other past investment information to the m-th other past investment information, ,(1) wherein the unlisted stock transaction server assigns the coordinate values on the vertical axis in the second region to be larger than the coordinate values on the vertical axis in the third region, thereby (i) allowing the first specific desired ask price to the m-th specific desired ask price to be displayed in the third region in the order of the first specific desired ask price to the m- th specific desired ask price in an increasing direction from a smaller coordinate value to a larger coordinate value on the vertical axis in the third region and (ii) allowing the n-th specific desired bid price to the first specific desired bid price to be displayed in the second region in the order of the n-th specific desired bid price to the first specific desired bid price in an increasing direction from a smaller coordinate value to a larger coordinate value on the vertical axis in the second region, wherein coordinate values of the vertical axis in the second region are greater than an m- th coordinate value of the vertical axis corresponding to the m-th specific desired ask price,(2) wherein the unlisted stock transaction server (i) assigns a specific coordinate value of the specific reference price on the vertical axis to be greater than the m-th coordinate value of the vertical axis corresponding to the m-th specific desired ask price and smaller than the n-th coordinate value of the vertical axis corresponding to the n-th specific desired bid price and (ii) displays the specific reference price between the m-th specific desired ask price and the n-th specific desired bid price on the vertical axis spanning the first region, the second region, and the third region, and (3) wherein, in response to detecting an execution of the transaction based in part of the first limitation condition and the second limitation condition being satisfied, the unlisted stock transaction server (i) maintains the specific coordinate value of the specific reference price on the vertical axis and (ii) updates at least part of the second region and the third region to reflect the transaction, while maintaining an increasing coordinate-value mapping of the vertical axis. These limitations, as drafted, under its broadest reasonable interpretation, covers math concepts, as well as performance via certain methods of organizing human activity, such as commercial interactions, and managing interactions between people, but for the recitation of generic computer components. Under commercial interactions, the claim limitations are sales activities and business relations. Under interactions between people, the claim limitations are following instructions. The claims also deal with fundamental economic principles, such as trading (placing an order based on displayed market information, Trading Technologies Int’l, Inc. v. IBG LLC, 921 F.3d 1084, 1092, 2019 USPQ2d 138290 (Fed. Cir. 2019)). Accordingly, the claim recites an abstract idea. The mere recitation of generic computer components in the claims do not necessarily preclude that claim from reciting an abstract idea. (Step 2A-Prong 1: Yes. The claims recite an abstract idea).
Step 2A, Prong Two: Is the Abstract Idea Integrated into a Practical Application? (see MPEP 2106.04(d)). No.
This judicial exception is not integrated into a practical application. In particular, the claim recites the additional elements of one user device, unlisted stock transaction server, memory, processor, instructions, user interface, display of the user device, first region of the screen, screen of the user device, second region of the screen, third region of the screen, vertical axis, first side of the vertical axis, second side of the vertical axis, bottom of the screen to a top of the screen, and vertical axis of the first, second and third region. The additional elements of a one user device, unlisted stock transaction server, memory, processor, instructions, are just applying generic computer components to the recited abstract limitations (MPEP 2106.05(f)). The additional elements of user interface, first region of the screen, screen of the user device, display of the user device, second region of the screen, third region of the screen, vertical axis, first side of the vertical axis, second side of the vertical axis, bottom of the screen to a top of the screen, and vertical axis of the first, second and third region are generally linking the use of the judicial exception to a particular technological environment or field of use, for the particular technology of Graphical User Interfaces (MPEP 2106.05(h)). The computer components are recited at such a high-level of generality (i.e. as a generic computer components) such that it amounts to no more than mere instructions to apply the exception using generic computer components, and the claims fail to recite technological detail as to how the step of the judicial exception is accomplished. Accordingly, these additional elements, when considered separately and as an ordered combination, do not integrate the abstract idea into a practical application because they do not impose any meaningful limits on practicing the abstract idea and are at a high level of generality. (Step 2A-Prong 2: NO. The judicial exception is not integrated into a practical application).
Step 2B: Does the Claim Provide an Inventive Concept? (see MPEP 2106.05). No.
The claims are next analyzed to determine if there are additional claim limitations that individually, or as an ordered combination, ensure that the claim amounts to significantly more than the abstract ideas (whether claim provides inventive concept). As discussed with respect to Step 2A2 above, the additional elements of (one user device, unlisted stock transaction server, memory, processor, instructions, user interface, display of the user device, first region of the screen, screen of the user device, second region of the screen, third region of the screen, vertical axis, first side of the vertical axis, second side of the vertical axis, bottom of the screen to a top of the screen, and vertical axis of the first, second and third region) in the claims amount to no more than mere instructions to apply the exception using a generic computer component and generally linking the use of GUI’s to judicial exception. The same analysis applies here in Step 2B, i.e., mere instructions to apply an exception using a generic computer component and generally linking the use of GUI’s to judicial exception cannot integrate a judicial exception into a practical application at Step 2A or provide an inventive concept in Step 2B. Viewing the limitations as an ordered combination does not add anything further than looking at the limitations individually. When viewed either individually, or as an ordered combination, the additional limitations do not amount to a claim as a whole that is significantly more than the abstract idea itself. Therefore, the claims do not amount to significantly more than the recited abstract idea (Step 2B: NO; The claims do not provide significantly more, and are not patent eligible).
Claim 2 recites wherein, at the step of (b), the specific unlisted stock is allowed to be transacted by matching at least part of a specific desired bid quantity included in the specific buy order with at least part of a specific desired ask quantity included in the specific sell order, wherein, in case the specific unlisted stock is allowed to be transacted under a first mode which does not require a quantity match between the specific desired bid quantity and the specific desired ask quantity, the unlisted stock transaction server operates under one of a (1_1)-st mode in which the specific sell order is acquired while only the specific buy order exists, a (1_2)-nd mode in which the specific buy order is acquired while only the specific sell order exists, and a (1_3)-rd mode in which none of the specific buy order and the specific sell order is acquired, wherein, (i) in the (1_1)-st mode, on condition that each of the first specific desired bid price to the n-th specific desired bid price within the range of the desired bid prices in the price descending order and each of a first specific desired bid quantity to the n-th specific desired bid quantity corresponding to the first specific desired bid price to the n-th specific desired bid price have been allowed to be displayed in the second region of the screen of the user device, in case a k-th specific desired ask quantity is included in the specific sell order, (i−1) in response to a sum of the first specific desired bid quantity to the n-th specific desired bid quantity being greater than the k-th specific desired ask quantity, a transaction of the k-th specific desired ask quantity is allowed to be executed by sequentially matching the k-th specific desired ask quantity with the first specific desired bid quantity to the n-th specific desired bid quantity in the order of the first specific desired bid quantity to the n-th specific desired bid quantity and accordingly an updated desired bid quantity acquired by subtracting a matched quantity of the k-th specific desired ask quantity from each of the first specific desired bid quantity to the n-th specific desired bid quantity is allowed to be displayed in the second region, and then the (1_1)-st mode is maintained, (i-2) in response to the sum of the first specific desired bid quantity to the n-th specific desired bid quantity being smaller than the k-th specific desired ask quantity, a transaction corresponding to the sum of the first specific desired bid quantity to the n-th specific desired bid quantity is allowed to be executed and accordingly a first differential quantity which is acquired by subtracting the sum of the first specific desired bid quantity to the n-th specific desired bid quantity from the k-th specific desired ask quantity is allowed to be displayed in the third region while not displaying the first specific desired bid quantity to the n-th specific in the second region, and then the (1_1)-st mode is switched to the (1_2)-nd mode, (ii) in the (1_2)-nd mode, on condition that each of a first specific desired ask price to an m-th specific desired ask price within the range of the desired ask prices in a price ascending order and each of a first specific desired ask quantity to an m-th specific desired ask quantity corresponding to the first specific desired ask price to the m-th specific desired ask price have been allowed to be displayed in the third region of the screen of the user device, in case a k-th specific desired bid quantity is included in the specific buy order, (ii-1) in response to a sum of the first specific desired ask quantity to the m-th specific desired ask quantity being greater than the k-th specific desired bid quantity, a transaction of the k-th specific desired bid quantity is allowed to be executed by sequentially matching the k-th specific desired bid quantity with the first specific desired ask quantity to the m-th specific desired ask quantity in the order of the first specific desired ask quantity to the m-th specific desired ask quantity and accordingly an updated desired ask quantity acquired by subtracting a matched quantity of the k-th specific desired bid quantity from each of the first specific desired ask quantity to the m-th specific desired ask quantity is allowed to be displayed in the third region, and then the (1_2)-nd mode is maintained, (ii-2) in response to the sum of the first specific desired ask quantity to the m-th specific desired ask quantity being smaller than the k-th specific desired bid quantity, a transaction corresponding to the sum of the first specific desired ask quantity to the m-th specific desired ask quantity is allowed to be executed and accordingly a second differential quantity which is acquired by subtracting the sum of the first specific desired ask quantity to the m-th specific desired ask quantity from the k-th specific desired bid quantity is allowed to be displayed in the second region while not displaying the first specific desired ask quantity to the m-th specific desired ask quantity in the third region, and then the (1_2)-nd mode is switched to the (1_1)-st mode, and (iii) in the (1_3)-rd mode, in response to acquiring the specific buy order, the (1_3)-rd mode is switched to the (1_1)-st mode, and in response to acquiring the specific sell order, the (1_3)-rd mode is switched to the (1_2)-nd mode. These limitations are also part of the abstract idea identified in claim 1, and are similarly rejected under the same rationale as claim 1, supra.
Claim 3 recites wherein, at the step of (b), the specific unlisted stock is allowed to be transacted by matching at least part of a specific desired bid quantity included in specific buy order with at least part of a specific desired ask quantity included in the specific sell order,
wherein, in case the specific unlisted stock is allowed to be transacted under a second mode which requires a quantity match between at least part of the specific desired bid quantity and at least part of the specific desired ask quantity, the unlisted stock transaction server operates under one of a (2_1)-st mode in which the specific sell order is acquired while only the specific buy order exists, a (2_2)-nd mode in which the specific buy order is acquired while only the specific sell order exists, a (2_3)-rd mode in which both the specific sell order and the specific buy order are acquired, and a (2_4)-th mode in which none of the specific buy order and the specific sell order are acquired, wherein, (i) in the (2_1)-st mode, on condition each of a first specific desired bid price to an n-th specific desired bid price within the range of the desired bid prices in a price descending order and each of a first specific desired bid quantity to an n-th specific desired bid quantity corresponding to the first specific desired bid price to the n-th specific desired bid price have been allowed to be displayed in the second region of the screen of the user device, in case a k-th specific desired ask quantity included in the specific sell order is acquired, (i-1) in response to detecting that there is a quantity match between the k-th specific desired ask quantity and one of the first specific desired bid quantity to the n-th specific desired bid quantity, a transaction of the k-th specific desired ask quantity is allowed to be executed, and then in case a (2_1)-st differential quantity acquired by subtracting the k-th specific desired ask quantity from the first specific desired buy quantity to the n-th specific desired buy quantity is greater than 0, an updated desired bid quantity acquired by subtracting the matched quantity of the k-th specific desired ask quantity from the first specific desired bid quantity to the n-th specific desired bid quantity is allowed to be displayed in the second region and the (2_1)-st mode is maintained, and in case the (2_1)-st differential quantity is equal to 0, nothing is allowed to be displayed in the second region and the (2_1)-st mode is switched to the (2_4)-th mode, and (i-2) in response to detecting that there is no quantity match between the k-th specific desired ask quantity and any one of the first specific desired buy quantity to the n-th specific desired buy quantity, a first specific buy order to an n-th specific buy order are allowed to be displayed in the second region, a k-th specific sell order is allowed to be displayed in the third region, and the (2_1)-st mode is switched to the (2_3)-rd mode without allowing any transaction between the first specific buy order to the n-th specific buy order and the k-th specific sell order to be executed, (ii) in the (2_2)-nd mode, on condition that each of a first specific desired ask price to an m-th specific desired ask price within the range of the desired ask prices in a price ascending order and each of a first specific desired ask quantity to an m-th specific desired ask quantity corresponding to the first specific desired ask price to the m-th specific desired ask price have been allowed to be displayed in the third region of the screen of the user device, in case a k-th specific desired bid quantity included in the specific buy order is acquired, (ii-1) in response to detecting that there is a quantity match between the k-th specific desired bid quantity and one of the first specific desired ask quantity to the m-th specific desired ask quantity, a transaction of the k-th specific desired bid quantity is allowed to be executed, and then in case a (2_2)-nd differential quantity acquired by subtracting the k-th specific desired bid quantity from the first specific desired ask quantity to the n-th specific desired ask quantity is greater than 0, an updated desired ask quantity acquired by subtracting the matched quantity of the k-th specific desired ask quantity from the first specific desired ask quantity to the m-th specific desired ask quantity is allowed to be displayed in the third region and the (2_2)-nd mode is maintained, and in case the (2_2)-nd differential quantity is equal to 0, nothing is allowed to be displayed in the third region and the (2_2)-nd mode is switched to the (2_4)-th mode, and (ii-2) in response to detecting that there is no quantity match between the k-th specific desired bid quantity and any one of the first specific desired ask quantity to the m-th specific desired ask quantity, a first specific sell order to an m-th specific sell order are allowed to be displayed in the third region, the k-th specific buy order is allowed to be displayed in the second region, and the (2_2)-nd mode is switched to the (2_3)-rd mode without allowing any transaction between the first specific sell order to the m-th specific sell order and the k-th specific buy order to be executed, (iii) in the (2_3)-rd mode, (iii-1) in response to detecting that there is a partial quantity match between one of the first specific desired ask quantity to the m-th specific desired ask quantity and a part of the first specific desired bid quantity and the n-th specific desired bid quantity, the (2_3)-rd mode is maintained, and (iii-2) in response to detecting that there is a quantity match between all the first specific desired ask quantity to the m-th specific desired ask quantity and all the first specific desired bid quantity and the n-th specific desired bid quantity, the (2_3)-rd mode is switched to the (2_4)-th mode, and (iv) in the (2_4)-th mode, in response to acquiring the k-th specific buy order, the (2_4)-th mode is switched to the (2_1)-st mode and in response to acquiring the k-th specific sell order, the (2_4)-th mode is switched to the (2_2)-nd mode. These limitations are also part of the abstract idea identified in claim 1, and are similarly rejected under the same rationale as claim 1, supra.
Claim 4 recites wherein, at the step of (b), the unlisted stock transaction server supports to display each of a first specific desired bid price to an n-th specific desired bid price within the range of the desired bid prices in a price descending order and each of a first specific desired bid quantity to an n-th specific desired bid quantity corresponding to the first specific desired bid price to the n-th specific desired bid price in the second region of the screen of the user device, by assigning each of increasing coordinate values on a vertical axis to each of the n-th specific desired bid price to the first specific desired bid price in the order of the n-th specific desired bid price to the first specific desired bid price and thus displaying the n-th specific desired bid price to the first specific desired bid price in the second region, and by assigning each of the increasing coordinates values on the vertical axis to the n-th specific desired bid quantity to the first specific desired bid quantity corresponding to the n-th specific desired bid price to the first specific desired bid price and thus displaying the n-th specific desired bid quantity to the first specific desired bid quantity on a first side of the vertical axis in the second region, wherein a direction of the vertical axis is going from a bottom of the screen to a top of the screen of the user device. These limitations are also part of the abstract idea identified in claim 1, and are similarly rejected under the same rationale as claim 1, supra.
Claim 5 recites wherein, at the step of (b), the unlisted stock transaction server (i) assigns each of the increasing coordinate values on the vertical axis to each of the n-th specific desired bid price to the first specific desired bid price in the order of the n-th specific desired bid price to the first specific desired bid price and thus supports the user device to display the n-th specific desired bid price to the first specific desired bid price in the second region, and (ii) assigns a specific coordinate value on the vertical axis which is smaller than an n-th coordinate value on the vertical axis corresponding to the n-th specific desired bid price to the specific reference price and thus supports the user device to additionally display the specific reference price at the specific coordinate value in the first region. These limitations are also part of the abstract idea identified in claim 1, and are similarly rejected under the same rationale as claim 1, supra.
Claim 6 recites wherein, at the step of (b), the unlisted stock transaction server supports to display each of a first specific desired ask price to an m-th specific desired ask price within the range of the desired ask prices in a price ascending order and each of a first specific desired ask quantity to an m-th specific desired ask quantity corresponding to the first specific desired ask price to the m-th specific desired ask price in the third region of the screen of the user device, by assigning each of increasing coordinate values on a vertical axis to each of the first specific desired ask price to the m-th specific desired ask price in the order of the first specific desired ask price to the m-th specific desired ask price and thus displaying the first specific desired ask price to the m-th specific desired ask price in the third region, and by assigning each of the increasing coordinates values on the vertical axis to the first specific desired ask quantity to the m-th specific desired ask quantity corresponding to the first specific desired ask price to the m-th specific desired ask price and thus displaying the first specific desired ask quantity to the m-th specific desired ask quantity on a second side of the vertical axis in the third region, wherein a direction of the vertical axis is going from a bottom of the screen to a top of the screen of the user device. These limitations are also part of the abstract idea identified in claim 1, and are similarly rejected under the same rationale as claim 1, supra.
Claim 7 recites wherein, at the step of (b), the unlisted stock transaction server (i) assigns each of the increasing coordinate values on the vertical axis to each of the first specific desired ask price to the m-th specific desired ask price in the order of the first specific desired ask price to the m-th specific desired ask price and thus supports the user device to display the first specific desired ask price to the m-th specific desired ask price in the third region, and (ii) assigns a specific coordinate value on the vertical axis which is larger than an m-th coordinate value on the vertical axis corresponding to the m-th specific desired ask price to the specific reference price and thus supports the user device to additionally display the specific reference price at the specific coordinate value in the first region. These limitations are also part of the abstract idea identified in claim 1, and are similarly rejected under the same rationale as claim 1, supra.
Claim 11 recites wherein, at the step of (b), the unlisted stock transaction server supports the transaction of the specific unlisted stock by performing processes of: (i) on condition that a minimum value of the range of the desired bid prices to be included in the buy orders of the specific unlisted stock is downwardly bounded based on a first specific adjusted reference price which is calculated by multiplying the specific reference price with a first adjustment factor according to the first limitation condition, acquiring the specific buy order including the specific desired bid price and displaying the specific buy order including the specific desired bid price in the second region, and (ii) on condition that a maximum value of the range of the desired ask prices to be included in the sell orders of the specific unlisted stock is upwardly bounded based on a second specific adjusted reference price which is calculated by multiplying the specific reference price with a second adjustment factor, according to the second limitation condition, acquiring the specific sell order including the specific desired ask price and displaying the specific sell order including the specific desired ask price in the third region. These limitations are also part of the abstract idea identified in claim 1, and are similarly rejected under the same rationale as claim 1, supra.
Claim 15 recites wherein, at the process of (II), the specific unlisted stock is allowed to be transacted by matching at least part of a specific desired bid quantity included in the specific buy order with at least part of a specific desired ask quantity included in the specific sell order, wherein, in case the specific unlisted stock is allowed to be transacted under a first mode which does not require a quantity match between the specific desired bid quantity and the specific desired ask quantity, the processor operates under one of a (1_1)-st mode in which the specific sell order is acquired while only the specific buy order exists, a (1_2)-nd mode in which the specific buy order is acquired while only the specific sell order exists, and a (1_3)-rd mode in which none of the specific buy order and the specific sell order is acquired, wherein, (i) in the (1_1)-st mode, on condition that each of a first specific desired bid price to an n-th specific desired bid price within the range of the desired bid prices in a price descending order and each of a first specific desired bid quantity to an n-th specific desired bid quantity corresponding to the first specific desired bid price to the n-th specific desired bid price have been allowed to be displayed in the second region of the screen of the user device, in case a k-th specific desired ask quantity is included in the specific sell order, (i−1) in response to a sum of the first specific desired bid quantity to the n-th specific desired bid quantity being greater than the k-th specific desired ask quantity, a transaction of the k-th specific desired ask quantity is allowed to be executed by sequentially matching the k-th specific desired ask quantity with the first specific desired bid quantity to the n-th specific desired bid quantity in the order of the first specific desired bid quantity to the n-th specific desired bid quantity and accordingly an updated desired bid quantity acquired by subtracting a matched quantity of the k-th specific desired ask quantity from each of the first specific desired bid quantity to the n-th specific desired bid quantity is allowed to be displayed in the second region, and then the (1_1)-st mode is maintained, (i-2) in response to the sum of the first specific desired bid quantity to the n-th specific desired bid quantity being smaller than the k-th specific desired ask quantity, a transaction corresponding to the sum of the first specific desired bid quantity to the n-th specific desired bid quantity is allowed to be executed and accordingly a first differential quantity which is acquired by subtracting the sum of the first specific desired bid quantity to the n-th specific desired bid quantity from the k-th specific desired ask quantity is allowed to be displayed in the third region while not displaying the first specific desired bid quantity to the n-th specific in the second region, and then the (1_1)-st mode is switched to the (1_2)-nd mode, (ii) in the (1_2)-nd mode, on condition that each of a first specific desired ask price to an m-th specific desired ask price within the range of the desired ask prices in a price ascending order and each of a first specific desired ask quantity to an m-th specific desired ask quantity corresponding to the first specific desired ask price to the m-th specific desired ask price have been allowed to be displayed in the third region of the screen of the user device, in case a k-th specific desired bid quantity is included in the specific buy order, (ii-1) in response to a sum of the first specific desired ask quantity to the m-th specific desired ask quantity being greater than the k-th specific desired bid quantity, a transaction of the k-th specific desired bid quantity is allowed to be executed by sequentially matching the k-th specific desired bid quantity with the first specific desired ask quantity to the m-th specific desired ask quantity in the order of the first specific desired ask quantity to the m-th specific desired ask quantity and accordingly an updated desired ask quantity acquired by subtracting a matched quantity of the k-th specific desired bid quantity from each of the first specific desired ask quantity to the m-th specific desired ask quantity is allowed to be displayed in the third region, and then the (1_2)-nd mode is maintained, (ii-2) in response to the sum of the first specific desired ask quantity to the m-th specific desired ask quantity being smaller than the k-th specific desired bid quantity, a transaction corresponding to the sum of the first specific desired ask quantity to the m-th specific desired ask quantity is allowed to be executed and accordingly a second differential quantity which is acquired by subtracting the sum of the first specific desired ask quantity to the m-th specific desired ask quantity from the k-th specific desired bid quantity is allowed to be displayed in the second region while not displaying the first specific desired ask quantity to the m-th specific desired ask quantity in the third region, and then the (1_2)-nd mode is switched to the (1_1)-st mode, and (iii) in the (1_3)-rd mode, in response to acquiring the specific buy order, the (1_3)-rd mode is switched to the (1_1)-st mode, and in response to acquiring the specific sell order, the (1_3)-rd mode is switched to the (1_2)-nd mode. These limitations are also part of the abstract idea identified in claim 14, and are similarly rejected under the same rationale as claim 14, supra.
Claim 16 recites wherein, at the process of (II), the specific unlisted stock is allowed to be transacted by matching at least part of a specific desired bid quantity included in specific buy order with at least part of a specific desired ask quantity included in the specific sell order, wherein, in case the specific unlisted stock is allowed to be transacted under a second mode which requires a quantity match between at least part of the specific desired bid quantity and at least part of the specific desired ask quantity, the processor operates under one of a (2_1)-st mode in which the specific sell order is acquired while only the specific buy order exists, a (2_2)-nd mode in which the specific buy order is acquired while only the specific sell order exists, a (2_3)-rd mode in which both the specific sell order and the specific buy order are acquired, and a (2_4)-th mode in which none of the specific buy order and the specific sell order are acquired, wherein, (i) in the (2_1)-st mode, on condition each of a first specific desired bid price to an n-th specific desired bid price within the range of the desired bid prices in a price descending order and each of a first specific desired bid quantity to an n-th specific desired bid quantity corresponding to the first specific desired bid price to the n-th specific desired bid price have been allowed to be displayed in the second region of the screen of the user device, in case a k-th specific desired ask quantity included in the specific sell order is acquired, (i-1) in response to detecting that there is a quantity match between the k-th specific desired ask quantity and one of the first specific desired bid quantity to the n-th specific desired bid quantity, a transaction of the k-th specific desired ask quantity is allowed to be executed, and then in case a (2_1)-st differential quantity acquired by subtracting the k-th specific desired ask quantity from the first specific desired buy quantity to the n-th specific desired buy quantity is greater than 0, an updated desired bid quantity acquired by subtracting the matched quantity of the k-th specific desired ask quantity from the first specific desired bid quantity to the n-th specific desired bid quantity is allowed to be displayed in the second region and the (2_1)-st mode is maintained, and in case the (2_1)-st differential quantity is equal to 0, nothing is allowed to be displayed in the second region and the (2_1)-st mode is switched to the (2_4)-th mode, and (i-2) in response to detecting that there is no quantity match between the k-th specific desired ask quantity and any one of the first specific desired buy quantity to the n-th specific desired buy quantity, a first specific buy order to an n-th specific buy order are allowed to be displayed in the second region, a k-th specific sell order is allowed to be displayed in the third region, and the (2_1)-st mode is switched to the (2_3)-rd mode without allowing any transaction between the first specific buy order to the n-th specific buy order and the k-th specific sell order to be executed, (ii) in the (2_2)-nd mode, on condition that each of a first specific desired ask price to an m-th specific desired ask price within the range of the desired ask prices in a price ascending order and each of a first specific desired ask quantity to an m-th specific desired ask quantity corresponding to the first specific desired ask price to the m-th specific desired ask price have been allowed to be displayed in the third region of the screen of the user device, in case a k-th specific desired bid quantity included in the specific buy order is acquired, (ii-1) in response to detecting that there is a quantity match between the k-th specific desired bid quantity and one of the first specific desired ask quantity to the m-th specific desired ask quantity, a transaction of the k-th specific desired bid quantity is allowed to be executed, and then in case a (2_2)-nd differential quantity acquired by subtracting the k-th specific desired bid quantity from the first specific desired ask quantity to the n-th specific desired ask quantity is greater than 0, an updated desired ask quantity acquired by subtracting the matched quantity of the k-th specific desired ask quantity from the first specific desired ask quantity to the m-th specific desired ask quantity is allowed to be displayed in the third region and the (2_2)-nd mode is maintained, and in case the (2_2)-nd differential quantity is equal to 0, nothing is allowed to be displayed in the third region and the (2_2)-nd mode is switched to the (2_4)-th mode, and (ii-2) in response to detecting that there is no quantity match between the k-th specific desired bid quantity and any one of the first specific desired ask quantity to the m-th specific desired ask quantity, a first specific sell order to an m-th specific sell order are allowed to be displayed in the third region, the k-th specific buy order is allowed to be displayed in the second region, and the (2_2)-nd mode is switched to the (2_3)-rd mode without allowing any transaction between the first specific sell order to the m-th specific sell order and the k-th specific buy order to be executed, (iii) in the (2_3)-rd mode, (iii-1) in response to detecting that there is a partial quantity match between one of the first specific desired ask quantity to the m-th specific desired ask quantity and a part of the first specific desired bid quantity and the n-th specific desired bid quantity, the (2_3)-rd mode is maintained, and (iii−2) in response to detecting that there is a quantity match between all the first specific desired ask quantity to the m-th specific desired ask quantity and all the first specific desired bid quantity and the n-th specific desired bid quantity, the (2_3)-rd mode is switched to the (2_4)-th mode, and (iv) in the (2_4)-th mode, in response to acquiring the k-th specific buy order, the (2_4)-th mode is switched to the (2_1)-st mode and in response to acquiring the k-th specific sell order, the (2_4)-th mode is switched to the (2_2)-nd mode. These limitations are also part of the abstract idea identified in claim 14, and are similarly rejected under the same rationale as claim 14, supra.
Claim 17 recites wherein, at the process of (II), the processor supports to display each of a first specific desired bid price to an n-th specific desired bid price within the range of the desired bid prices in a price descending order and each of a first specific desired bid quantity to an n-th specific desired bid quantity corresponding to the first specific desired bid price to the n-th specific desired bid price in the second region of the screen of the user device, by assigning each of increasing coordinate values on a vertical axis to each of the n-th specific desired bid price to the first specific desired bid price in the order of the n-th specific desired bid price to the first specific desired bid price and thus displaying the n-th specific desired bid price to the first specific desired bid price in the second region, and by assigning each of the increasing coordinates values on the vertical axis to the n-th specific desired bid quantity to the first specific desired bid quantity corresponding to the n-th specific desired bid price to the first specific desired bid price and thus displaying the n-th specific desired bid quantity to the first specific desired bid quantity on a first side of the vertical axis in the second region, wherein a direction of the vertical axis is going from a bottom of the screen to a top of the screen of the user device. These limitations are also part of the abstract idea identified in claim 14, and are similarly rejected under the same rationale as claim 14, supra.
Claim 18 recites wherein, at the process of (II), the processor (i) assigns each of the increasing coordinate values on the vertical axis to each of the n-th specific desired bid price to the first specific desired bid price in the order of the n-th specific desired bid price to the first specific desired bid price and thus supports the user device to display the n-th specific desired bid price to the first specific desired bid price in the second region, and (ii) assigns a specific coordinate value on the vertical axis which is smaller than an n-th coordinate value on the vertical axis corresponding to the n-th specific desired bid price to the specific reference price and thus supports the user device to additionally display the specific reference price at the specific coordinate value in the first region. These limitations are also part of the abstract idea identified in claim 14, and are similarly rejected under the same rationale as claim 14, supra.
Claim 19 recites wherein, at the process of (II), the processor supports to display each of a first specific desired ask price to an m-th specific desired ask price within the range of the desired ask prices in a price ascending order and each of a first specific desired ask quantity to an m-th specific desired ask quantity corresponding to the first specific desired ask price to the m-th specific desired ask price in the third region of the screen of the user device, by assigning each of increasing coordinate values on a vertical axis to each of the first specific desired ask price to the m-th specific desired ask price in the order of the first specific desired ask price to the m-th specific desired ask price and thus displaying the first specific desired ask price to the m-th specific desired ask price in the third region, and by assigning each of the increasing coordinates values on the vertical axis to the first specific desired ask quantity to the m-th specific desired ask quantity corresponding to the first specific desired ask price to the m-th specific desired ask price and thus displaying the first specific desired ask quantity to the m-th specific desired ask quantity on a second side of the vertical axis in the third region, wherein a direction of the vertical axis is going from a bottom of the screen to a top of the screen of the user device. These limitations are also part of the abstract idea identified in claim 14, and are similarly rejected under the same rationale as claim 14, supra.
Claim 24 recites wherein, at the process of (II), the processor supports the transaction of the specific unlisted stock by performing processes of: (i) on condition that a minimum value of the range of the desired bid prices to be included in the buy orders of the specific unlisted stock is downwardly bounded based on a first specific adjusted reference price which is calculated by multiplying the specific reference price with a first adjustment factor according to the first limitation condition, acquiring the specific buy order including the specific desired bid price and displaying the specific buy order including the specific desired bid price in the second region, and (ii) on condition that a maximum value of the range of the desired ask prices to be included in the sell orders of the specific unlisted stock is upwardly bounded based on a second specific adjusted reference price which is calculated by multiplying the specific reference price with a second adjustment factor, according to the second limitation condition, acquiring the specific sell order including the specific desired ask price and displaying the specific sell order including the specific desired ask price in the third region. These limitations are also part of the abstract idea identified in claim 14, and are similarly rejected under the same rationale as claim 14, supra.
Response to Arguments
Applicant's arguments filed 5/27/2026 have been fully considered but they are not persuasive.
Applicant argues that the claims integrate the abstract idea into a practical application (Applicant arguments, pg. 3-5). Examiner disagrees. Trading Technologies (TT) was found eligible, because the specific improvement of the graphical user interface was specifically structured GUI, with the core inventive concept where bid and ask quantity indicators move dynamically relative to the fixed ais as the market changes. In essence, the claims in Trading Technologies recite more than “merely setting, displaying, and selecting” data or information on the GUI display. The currently recited claims are different from TT because the recited claims and GUI limitations are not a technical solution. The heart of the currently recited clams is coordinate mapping: assigning increasing values on a vertical axis, putting bids on one side and asks on the other, positioning the reference price between m-th ask and the n-th bod, and maintain the mapping when a trade executes. Under TT, arranging financial values along an axis on a display is ineligible under 101. In essence, the arrangement in the currently recited claims might help a human reading the screen, but does not improve the machine.
Applicant's argument that the rejection lacks Berkheimer evidence is not persuasive. Such evidence is only required to support a conclusion that an additional element is well-understood, routine, conventional activity. Here, the rejection does not assert well-understood, routine, conventional activity and instead identifies the additional elements drawn to the database as adding the words “apply it” (or an equivalent) with the judicial exception, or mere instructions to implement an abstract idea on a computer. MPEP 2106.05(f). Because the evaluation in Step 2B is not a weighing test, it is not important how the elements are characterized or how many considerations apply from the list of considerations set forth in MPEP 2106.05. It is important to evaluate the significance of the additional elements relative to the invention, and to keep in mind the ultimate question of whether the additional elements encompass an inventive concept.
The claims do not provide an inventive concept. As discussed above, the additional elements in the claim amount to no more than mere instructions to apply the exception using a generic computer. Even when viewed as whole, nothing in the claim adds significantly more (i.e. inventive concept) to the abstract idea. The currently recited claims solve the positioning of trading data on an axis, which is not a significant improvement to the functioning of a computer or to any other technology or technical field (MPEP 2106.05(a)).
Conclusion
THIS ACTION IS MADE FINAL. Applicant is reminded of the extension of time policy as set forth in 37 CFR 1.136(a).
A shortened statutory period for reply to this final action is set to expire THREE MONTHS from the mailing date of this action. In the event a first reply is filed within TWO MONTHS of the mailing date of this final action and the advisory action is not mailed until after the end of the THREE-MONTH shortened statutory period, then the shortened statutory period will expire on the date the advisory action is mailed, and any nonprovisional extension fee (37 CFR 1.17(a)) pursuant to 37 CFR 1.136(a) will be calculated from the mailing date of the advisory action. In no event, however, will the statutory period for reply expire later than SIX MONTHS from the mailing date of this final action.
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/BRANDON M DUCK/Examiner, Art Unit 3693 /Mike Anderson/Supervisory Patent Examiner, Art Unit 3693
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