Prosecution Insights
Last updated: August 06, 2026
Application No. 19/027,949

COMMUNICATION EXCHANGES AND METHODS OF USE THEREOF

Non-Final OA §102§103
Filed
Jan 17, 2025
Priority
Sep 15, 2014 — provisional 62/050,637 +5 more
Examiner
NGUYEN, ANH
Art Unit
2458
Tech Center
2400 — Computer Networks
Assignee
Broadridge Fluent Solutions LLC
OA Round
1 (Non-Final)
79%
Grant Probability
Favorable
1-2
OA Rounds
1y 2m
Est. Remaining
99%
With Interview

Examiner Intelligence

Grants 79% — above average
79%
Career Allowance Rate
292 granted / 371 resolved
+20.7% vs TC avg
Strong +25% interview lift
Without
With
+25.4%
Interview Lift
resolved cases with interview
Typical timeline
2y 9m
Avg Prosecution
20 currently pending
Career history
394
Total Applications
across all art units

Statute-Specific Performance

§101
14.8%
-25.2% vs TC avg
§103
61.2%
+21.2% vs TC avg
§102
7.9%
-32.1% vs TC avg
§112
10.1%
-29.9% vs TC avg
Black line = Tech Center average estimate • Based on career data from 371 resolved cases

Office Action

§102 §103
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 . This communication is in response to the application filed on 04/11/2026. Claims 1-9 are rejected. Claim Rejections - 35 USC § 102 In the event the determination of the status of the application as subject to AIA 35 U.S.C. 102 and 103 (or as subject to pre-AIA 35 U.S.C. 102 and 103) is incorrect, any correction of the statutory basis (i.e., changing from AIA to pre-AIA ) for the rejection will not be considered a new ground of rejection if the prior art relied upon, and the rationale supporting the rejection, would be the same under either status. The following is a quotation of the appropriate paragraphs of 35 U.S.C. 102 that form the basis for the rejections under this section made in this Office action: A person shall be entitled to a patent unless – (a)(1) the claimed invention was patented, described in a printed publication, or in public use, on sale, or otherwise available to the public before the effective filing date of the claimed invention. Claims 1 and 3-9 are rejected under 35 U.S.C. 102(a)(1)) as anticipated by Johnson et al. (US 20130304570 A1) hereafter Johnson. Regarding claim 1, Johnson teaches electronically storing, by at least one computer processor, historical communications data in at least one database ([0076] As shown in FIG. 10B, for each advertiser, data that is retrieved during generation of a promotion is stored in the advertiser/sponsor database 234. The advertiser information 235 can also include promotion settings retrieved from the advertiser, survey questions used for promotions, custom field information for previous promotions, sponsor information, graphic content (e.g., logos), and promotion history information); displaying, by the at least one computer processor, at least one personalized communication via an user interface on at least one electronic device ([0059] As shown in FIG. 6, the advertiser bid interface 600 can be displayed to an advertiser that is conducting a promotion and can include an advertiser information display 602 (e.g., Company A as illustrated in FIG. 6), sponsorship type information display 604 (e.g., a rotating sponsorship type as illustrated in FIG. 6), and a promotion name display); receiving, by the at least one computer processor, a plurality of communication attributes ([0060] The advertiser bid interface 600 can also include a bid status display 612. For example, as shown in FIG. 6, the advertiser may be provided with sponsor names); electronically and automatically storing, by the at least one computer processor, the plurality of communications attributes in the at least one database ([0076] As shown in FIG. 10B, for each advertiser, data that is retrieved during generation of a promotion is stored in the advertiser/sponsor database 234. For example, as shown in advertiser information 235, the information can include a database ID (e.g., the advertiser's record locator in the database), company name information, a company contact's first name and last name, address information, phone number, and a company website URL); utilizing, by the at least one computer processor, the user interface to display at least one consumer communication set-up on a different electronic device ([0064] The entrant/consumer can interact with the promotion driven engagement network through the interface in order to establish online relationships, enter additional promotions, and control and update profile preferences and settings); automatically matching, by the at least one computer processor, a particular personalized communication to a particular user based on the plurality of communications attribute ([0058] matching between consumer preferences and other corresponding promotions can be performed. For example, matching can be performed based on promotion recommendations from other consumers in the network or through promotion filters that are set based on consumer preferences); and automatically updating, by the at least one computer processor, the database based on the historical communications data and outcome of the matching ([0050] the advertiser or sponsor may indicate the type of information regarding other promotion participants that should be matched with the sponsor's or advertiser's preferences; [0052] The advertisers advertising strategies can be adjusted based on analysis of promotion performance results which are provided to the advertiser, and/or analytical information regarding consumer behavior which are derived through the promotions). Regarding claim 3, Johnson teaches the method of claim 1, wherein Johnson further teaches the user is one of: an individual, a retail investor, an institutional investor, or an entity that is not a person ([0078] A user (e.g., an entrant, a consumer, an advertiser, or a sponsor) profile may be updated based on additional information received from the user). Regarding claim 4, Johnson teaches the method of claim 1, Johnson further teaches: automatically generating at least one specific electronic alert associated with the plurality of personalized communications ([0041] automatically generate notification of an entrant whose information matches the advertiser defined information). Regarding claim 5, Johnson teaches the method of claim 1, Johnson further teaches: automatically generating an electronic notification based on the plurality of communication attributes in response to a triggering event ([0083] a sales opportunity notification may be sent to an advertiser if the level of correlation is greater than the threshold value). Regarding claim 6, Johnson teaches the method of claim 1, further comprising: enriching an audit trail with the historical data and outcome of the matching between personalized communications ([0074] The entrant information can also include entrant defined interests (e.g., travel, cars, or the like), custom field responses (e.g., entrant birth date, phone number, or the like), survey question responses, entrant media entries (e.g., videos, music files, or the like), and a history of the promotions which have been entered by the entrant. In some embodiments, the entrant information may also include information indicative of the most recent promotion activity of the entrant, and the frequency of activity of the entrant in promotions). Regarding claim 7, Johnson teaches the method of claim 6, wherein Johnson further teaches the audit trail comprises distributions of data demonstrating regulatory compliance and delivery ([0056] the consumer can set advertiser white list/black lists. For example, a consumer can include particular companies on a white list, indicating that they are preferred companies. The consumer can also include particular companies on a black list, indicating that they are non-preferred companies). Regarding claim 8, Johnson teaches the method of claim 1, Johnson further teaches: utilizing at least one analytical tool to determine one or more components of distribution of the plurality of personalized communications ([0070] the search module may be configured to generate pre-set search criteria, such as filtering tools, based on answers to particular survey questions, entrant provided interests, entrant age information, entrant data entry into a promotion, entrant gender information, entrant location information). Regarding claim 9, Johnson teaches the method of claim 1, Johnson further teaches: integrating one or more content items with the plurality of personalized communications for a plurality of recipients ([0081] messages may be sent and received directly between users having an established online relationship a, additional promotions may be entered based on confirmed promotion or advertiser recommendations , additional marketing information can be received based on confirmed advertiser recommendations8, and interaction between a user and other users of a confirmed community or group that has been recommended to the user may be performed). Claim Rejections - 35 USC § 103 In the event the determination of the status of the application as subject to AIA 35 U.S.C. 102 and 103 (or as subject to pre-AIA 35 U.S.C. 102 and 103) is incorrect, any correction of the statutory basis (i.e., changing from AIA to pre-AIA ) for the rejection will not be considered a new ground of rejection if the prior art relied upon, and the rationale supporting the rejection, would be the same under either status. The following is a quotation of 35 U.S.C. 103 which forms the basis for all obviousness rejections set forth in this Office action: A patent for a claimed invention may not be obtained, notwithstanding that the claimed invention is not identically disclosed as set forth in section 102, if the differences between the claimed invention and the prior art are such that the claimed invention as a whole would have been obvious before the effective filing date of the claimed invention to a person having ordinary skill in the art to which the claimed invention pertains. Patentability shall not be negated by the manner in which the invention was made. Claim 2 is rejected under 35 U.S.C. 103 as being anticipate over Johnson US 20130304570 A1. Regarding claim 2, Johnson teaches the method of claim 1, wherein Johnson further teaches the plurality of personalized communications are selected from the group consisting of: a website, and a digital mail system ([0050] The advertiser or sponsor can also set communication preferences (e.g., email, phone, text, or web messaging). Johnson does not explicitly teach secure electronic messaging system ([0072] Maintaining the Integrity and Security of Messages. Hetz teaches secure electronic messaging system ([0072] Maintaining the Integrity and Security of Messages ([0072] The privacy of information in transit between servers and clients can be assured through standard end-to-end cryptographic solutions that establish a secure session prior to any data exchange). It would have been obvious to a person of ordinary skill in the art before the effective filling date of the claimed invention made to include in the John disclosure, a secure messaging system, as taught by Hetz. One would be motivated to do so to control access to information, release of information, and matching of information back to parties Conclusion The prior art made of record and not relied upon is considered pertinent to applicant's disclosure. Reed (US 20020095454 A1) and Turski (US 20180131662 A1). Any inquiry concerning this communication or earlier communications from the examiner should be directed to ANH NGUYEN whose telephone number is (571)270-0657. The examiner can normally be reached M-F. 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, Umar Cheema can be reached at 5712703037. 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. /ANH NGUYEN/ Primary Examiner, Art Unit 2458
Read full office action

Prosecution Timeline

Jan 17, 2025
Application Filed
Jul 13, 2026
Non-Final Rejection mailed — §102, §103 (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

1-2
Expected OA Rounds
79%
Grant Probability
99%
With Interview (+25.4%)
2y 9m (~1y 2m remaining)
Median Time to Grant
Low
PTA Risk
Based on 371 resolved cases by this examiner. Grant probability derived from career allowance rate.

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