Abstract: A system and method are disclosed for communicating information between a securities customer and a trader. The system includes a computer which has three class components for completing the communications between the customer and the trader. A first component manages trading functions, a second component manages customer log-in and password, and the third component manages communication between the first two components and a trading system.

Abstract: An automated trading system makes use of various components, such as one or more transaction servers and one or more rate servers and a number of terminals. A request for a proposed transaction for a user is entered at either a user's terminal or a sales trader's terminal and sent to a transaction server coupled to a rate server. If a first predefined condition for generating an executable rate quote is identified, an executable rate quote is generated by the rate server and sent back to the user's or sales trader's terminal for the user. Otherwise, if a second predefined condition for a category trader's rate quote is identified, a request for the category trader's rate quote is sent by the transaction server to one or more category trader's terminals, prompting entry of a category trader's rate quote by one or more of the category traders, which is likewise sent back to the user's or sales trader's terminal for the user.

Abstract: The present invention provides automated methods and systems for electronic order routing, and, more particularly, for selecting, ordering, routing, confirming, and tracking orders for financial instruments, such as mutual funds, among multiple buyers and sellers. More specifically, the present invention provides end-to-end, straight-through-transaction processing methods and systems for multiple financial instruments combining order routing, execution, settlement, foreign exchange, and custodial services to financial service providers with a retail customer base.