Prosecution Insights
Last updated: August 15, 2026
Application No. 18/899,828

PRE-PROCESSING FINANCIAL MARKET DATA PRIOR TO MACHINE LEARNING TRAINING

Final Rejection §DP
Filed
Sep 27, 2024
Priority
Jul 06, 2016 — provisional 62/359,007 +2 more
Examiner
JARRETT, SCOTT L
Art Unit
3625
Tech Center
3600 — Transportation & Electronic Commerce
Assignee
Chicago Mercantile Exchange Inc.
OA Round
2 (Final)
52%
Grant Probability
Moderate
3-4
OA Rounds
1y 6m
Est. Remaining
99%
With Interview

Examiner Intelligence

Grants 52% of resolved cases
52%
Career Allowance Rate
407 granted / 782 resolved
At TC average
Strong +48% interview lift
Without
With
+47.9%
Interview Lift
resolved cases with interview
Typical timeline
3y 5m
Avg Prosecution
37 currently pending
Career history
821
Total Applications
across all art units

Statute-Specific Performance

§101
34.6%
-5.4% vs TC avg
§103
31.8%
-8.2% vs TC avg
§102
11.6%
-28.4% vs TC avg
§112
18.3%
-21.7% vs TC avg
Black line = Tech Center average estimate • Based on career data from 782 resolved cases

Office Action

§DP
DETAILED ACTION This FINAL office action is in response to Applicant’s amendment filed July 7, 2026. Applicant’s July 7th amendment amended claims 1, 5, 13 and 25. Currently Claims 1-25 are pending. Claims 1, 13 and 25 are the independent claims. The instant application is a continuation of Application No. 18204526 now U.S. Patent No. 12131343. Application No. 18204526 is a continuation of Application No. 15642038 now U.S. Patent No. 11704682. 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 . Response to Amendment The Double Patenting rejection of claims 1, 3-13 and 15-25 over U.S. Patent No. 12131343 in view of Sainani et al. in the previous office action is maintained. The 35 U.S.C. 101 rejection of claims 1-25 in the previous office action is withdrawn. Response to Arguments Applicant’s arguments, see Pages 16, 21, 22, 24, 25, filed July 7, 2026, with respect to 35 U.S.C. 101 have been fully considered and are persuasive. The 35 U.S.C. 101 rejection of claims 1-25 has been withdrawn. Applicant's arguments filed July 7, 2026 have been fully considered but they are not persuasive. Applicant’s July 7, 2026 did not provide any arguments directed to the pending Double Patenting rejection. 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 1-13, and 15-25 are rejected on the ground of nonstatutory double patenting as being unpatentable over claims 1 and 4-23 of U.S. Patent No. 12131343 in view of Sainani et al., U.S. Patent No. 10817757. The table below maps the conflicting claims between the instant application and U.S. Patent No. 12131343. Application No. 18899828 USPN 12131343 1, 5 1, 2 3 4 4 5 6 6 7 7 8 8 9 9 10 10 11 11 13, 17 12 15 15 16 16 18 17 19 18 20 19 21 22 22 21 23 22 25 23 Regarding Claims 1, 12, 13, 24, and 25 Studnitzer et al., U.S. Patent No. 12131343 does not claim the steps directed to receiving, processing and outputting search request/results as claimed in the instant application. Sainani et al., from the same field of endeavor of pre-processing data for machine learning, discloses a system and method comprising: Receiving, from a client computer via an electronic communication network, a search request that identifies a request time period window having a start/end time stamp (e.g time ranges, event boundaries, buckets; Figures 4, 6A. 7A; Claim 1; Column 12, Lines 11-24; Column 13, Lines 40-46); Extract, using a trained machine learning model, features from the request time period window (Figures 6A, 7A; Column 35, Lines 30-50; Column 40, Lines 13-35); Compare the extracted features from the compressed sequences of time period windows (Column 40, Lines 13-35); Output search results that include result time period of the compressed sequences that are similar to the time period window (Figures 4, 6A. 7A; Claim 1; Column 30, Lines 36-59); and Output the compressed sequence of time period windows to a display to enable user input to the search request (Figures 4, 6A. 7A; Claim 1). It would have been obvious to one skilled in the art that the system and method of pre-processing data for machine learning as disclosed by Studnitzer et al. would have benefited from enabling one to perform searches of various time periods/frames of the data in view of the disclosure of Sainani et al., since the claimed invention is merely a combination of old elements, and in the combination each element merely would have performed the same function as it did separately, and one of ordinary skill in the art would have recognized that the results of the combination were predictable. Allowable Subject Matter Claims 1-25 are allowable over the prior art. The closest prior art Sainani et al., U.S. Patent No. 10817757, Bland et al., U.S. Patent No. 9959573, and Satchwell, U.S. Patent Publication No. 20030139957 fail to teach or suggest either singularly or in combination a system and method system configured to search, using a recurring neural network, data in a data set comprising a plurality of data records, each data set including data indicative of a time stamp, a level, and a quantity, the data set characterized by a first size, the computer system comprising: a processor; a tangible computer-readable medium containing computer-executable instructions that when executed by the processor cause the processor to: arrange the data set into a sequence of time period windows of a selected adjustable length sufficient to encompass a pattern or structure within the data set; generate a new pre-processed data set comprising a series of vectors encoding each of a plurality of quantity change categories representative of each level and time of the sequence of time period windows, the new pre-processed data set characterized by a second size less than the first size; train the recurrent neural network, based on the new pre-processed data set and a machine learning algorithm to generate a trained recurrent neural network to identify a structure in the data set and execute a lossy encoded compression to compress the sequence of time period windows of the data set to extract features and provide a feature mapping from the sequence of time period windows to a point in a feature space, wherein the lossy encoded compression of the sequence removes noise from the sequence of time period windows while retaining unique features of the feature space as recited in independent Claims 1, 13 and 25. Conclusion Applicant's amendment necessitated the new ground(s) of rejection presented in this Office action. Accordingly, THIS ACTION IS MADE FINAL. See MPEP § 706.07(a). 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. Any inquiry concerning this communication or earlier communications from the examiner should be directed to SCOTT L JARRETT whose telephone number is (571)272-7033. The examiner can normally be reached M-TH 6am-4:30PM. 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 Beth Boswell can be reached at (571) 272-6737. The fax phone number for the organization where this application or proceeding is assigned is 571-273-8300. Information regarding the status of published or unpublished applications may be obtained from Patent Center. Unpublished application information in Patent Center is available to registered users. To file and manage patent submissions in Patent Center, visit: https://patentcenter.uspto.gov. Visit https://www.uspto.gov/patents/apply/patent-center for more information about Patent Center and https://www.uspto.gov/patents/docx for information about filing in DOCX format. For additional questions, contact the Electronic Business Center (EBC) at 866-217-9197 (toll-free). If you would like assistance from a USPTO Customer Service Representative, call 800-786-9199 (IN USA OR CANADA) or 571-272-1000. SCOTT L. JARRETT Primary Examiner Art Unit 3625 /SCOTT L JARRETT/Primary Examiner, Art Unit 3625
Read full office action

Prosecution Timeline

Sep 27, 2024
Application Filed
Apr 08, 2026
Non-Final Rejection mailed — §DP
Jul 07, 2026
Response Filed
Jul 31, 2026
Final Rejection mailed — §DP (current)

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Study what changed to get past this examiner. Based on 5 most recent grants.

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Prosecution Projections

3-4
Expected OA Rounds
52%
Grant Probability
99%
With Interview (+47.9%)
3y 5m (~1y 6m remaining)
Median Time to Grant
Moderate
PTA Risk
Based on 782 resolved cases by this examiner. Grant probability derived from career allowance rate.

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