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 .
Detailed Action
This action is in response to the application filed on 6/25/2024.
Priority
Acknowledgment is made of applicant's claim for prior priority dates including:
This application is a CON of 16/906,746 06/19/2020 PAT 12039598
16/906,746 has PRO 62/863,575 06/19/2019
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. See 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); and 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) may be used to overcome an actual or provisional rejection based on a nonstatutory double patenting ground provided the conflicting application or patent is shown to be commonly owned with this application. See 37 CFR 1.130(b).
Effective January 1, 1994, a registered attorney or agent of record may sign a terminal disclaimer. A terminal disclaimer signed by the assignee must fully comply with 37 CFR 3.73(b).
All claims are rejected under the judicially created doctrine of obviousness-type double patenting as being unpatentable over claims of U.S. Patent 12-039-598. Although the conflicting claims are not identical, they are not patentably distinct from each other because both sets of claims speak to systems and methods for removing or offering the needed locate share quantity from the available locate share quantity in the inventory screen of the first investor.
Regarding claim 1, the language within this claim can be found within claim 1 of U.S. Patent No. 12-039-598.
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.
All claims 1-15 are rejected under 35 U.S.C. 101 because the claimed invention is directed to an abstract idea without significantly more.
The claims are directed to a system, method, or product, which are/is one of the statutory categories of invention. (Step 1: YES).
The Examiner has identified independent method Claim 1 (herein called the Primary Independent Claim) as the claim that represents the claimed invention for analysis and is similar to independent method Claim 8 and method Claim 15 (herein called Additional Independent Claims). The Primary Independent Claim recites the limitations of
A computer-implemented method for locating one or more shares of a stock being held long by an owner willing to lend them to an investor for use in a short sale, and for acquiring and spontaneous intra-day discharging of short sale stock locates for the investor, said computer-implemented method comprising: configuring one or more first client devices for continuously transmitting its respective available stock locates usable for the short sale and corresponding locate rates for one or more stocks symbols over a network to a server; configuring the server for continuously monitoring said transmitted available stock locates and corresponding locate rates for the one or more stock symbols by each of the one or more first client devices; configuring the server for hosting a graphic user interface (GUI) configured for displaying: a pending locate screen; configuring the server for displaying, in the pending locate screen, a stock symbol entry box, a locate share quantity entry box, a limit price box, a locate button; and an accept button; configuring two or more investor client devices for accessing the GUI of the server, for entering of one or more stock symbols in the stock symbol entry box, for entering of a locate share quantity in the locate share quantity entry box, for toggling the locate button, and for toggling the accept button; entering, by a first investor, of a particular stock symbol in the stock symbol entry box and a desired locate share quantity in the locate share quantity entry box, and toggling, by the first investor, of the locate button; configuring the server for comparing each instance of said entered particular stock symbol to each of said transmitted available stock locates of the one or more first client devices, and configuring the server for displaying in the pending locate screen, of the first investor, an offered limit price or a current market price of the particular stock symbol transmitted as available from the one or more first client devices; toggling, by the first investor, of the accept button for accepting of the offered limit price or the current market price for the desired locate share quantity for the particular stock symbol; removing, by the server, of the accepted locate share quantity from said transmitted available stock locates; configuring the server for displaying an inventory screen in the GUI of the first investor; displaying, by the server, each of the following in the inventory screen of the first investor: the accepted locate share quantity, the particular stock symbol, an available locate share quantity of the first investor, a requested limit price or the current market price; an unavailable locate share quantity of the first investor, a locate share quantity input box, and a credit button; entering, by the first investor, of a desired amount of the available locate share quantity in the locate share quantity input box for the particular stock symbol and entering the requested limit price or the current market price; toggling the credit button, by the first investor, for immediate intraday offering of the desired amount of the available locate share quantity; transmitting, by the server, the offered amount of the available locate share quantity to each of the two or more investor client devices; displaying said offered amount of the available locate share quantity and the particular stock symbol in the pending locate screen of each of the two or more investor client devices, when the particular stock symbol is entered in the respective pending locate screen; entering, by a second investor, the particular stock symbol in the stock symbol entry box and a needed locate share quantity of the second investor in the locate share quantity entry box, and toggling, by the second investor, of the locate button; displaying in the watchlist screen, of the second investor, the requested limit price of the particular stock symbol offered by the first investor or the current market price; toggling, by the second investor, of the accept button for accepting of the requested limit price or the current market price for the needed locate share quantity for the particular stock symbol; removing, by the server, of the needed locate share quantity from the available locate share quantity in the inventory screen of the first investor.
These limitations, under their broadest reasonable interpretation, cover performance of the limitation as “Certain Methods of Organizing Human Activity”. The limitation of at least “removing or offering the needed locate share quantity from the available locate share quantity in the inventory screen of the first investor.” recites a fundamental economic practice. If a claim limitation, under its broadest reasonable interpretation, covers performance of the limitation as a fundamental economic practice, then it falls within the “Certain Methods of Organizing Human Activity” grouping of abstract ideas. Accordingly, the claim recites an abstract idea.
The limitation of at least “by the server” in the Primary Independent Claim is just applying generic computer components to the recited abstract limitations. The recitation of generic computer components in a claim does not necessarily preclude that claim from reciting an abstract idea. The Additional Independent Claims are also abstract for similar reasons. (Step 2A-Prong 1: YES. The claims recite an abstract idea)
This judicial exception is not integrated into a practical application. The examiner did not find any additional elements that would cause further analysis. The computer hardware/software is/are recited at a high-level of generality (i.e., as a generic processor performing a generic computer function) such that it amounts no more than mere instructions to apply the exception using a generic computer component. 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. Therefore, all the independent claims are directed to an abstract idea without a practical application. (Step 2A-Prong 2: NO. The additional claimed elements are not integrated into a practical application)
The claims do not include additional elements that are sufficient to amount to significantly more than the judicial exception because, when considered separately and as an ordered combination, they do not add significantly more (also known as an “inventive concept”) to the exception. As discussed above with respect to integration of the abstract idea into a practical application, the additional element of using a computer hardware and software per se amounts to no more than mere instructions to apply the exception using a generic computer component. Mere instructions to apply an exception using a generic computer component cannot provide an inventive concept. See MPEP 2106.05(f) where applying a computer as a tool is not indicative of significantly more as well as MPEP 2106.05(d). Accordingly, these additional elements, do not change the outcome of the analysis, when considered separately and as an ordered combination. Thus, all independent claims are not patent eligible. (Step 2B: NO. The claims do not provide significantly more)
Dependent claims further define the abstract idea that is present in their respective independent claims, and thus correspond to Certain Methods of Organizing Human Activity and hence are abstract for the reasons presented above. The dependent claims do not include any additional elements that integrate the abstract idea into a practical application or are sufficient to amount to significantly more than the judicial exception when considered both individually and as an ordered combination. Therefore, the dependent claims are directed to an abstract idea. Thus, all the claims are not patent-eligible.
Conclusion
The prior art made of record and not relied upon is considered pertinent to applicant's disclosure.
Ronk et al., U.S. Patent Pub 20080059353, discloses a method for retrieving and analyzing information on investment securities from various exchanges, organizing that information, analyzing the information and making investment decisions based on this analysis is provided.
Contact Information
Any inquiry concerning this communication or earlier communications from the examiner should be directed to Kirsten Apple whose telephone number is (571)272-5588. The examiner can normally be reached on M-F 9-5.
Examiner interviews are available via telephone, in-person, and video conferencing using a USPTO supplied web-based collaboration tool. To schedule an interview, applicant is encouraged to use the USPTO Automated Interview Request (AIR) at http://www.uspto.gov/interviewpractice.
If attempts to reach the examiner by telephone are unsuccessful, the examiner’s supervisor, Michael Anderson can be reached on (571) 270-0508. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300.
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/KIRSTEN S APPLE/Primary Examiner, Art Unit 3693