Patents by Inventor Thomas Farley

Thomas Farley has filed for patents to protect the following inventions. This listing includes patent applications that are pending as well as patents that have already been granted by the United States Patent and Trademark Office (USPTO).

  • Publication number: 20240062305
    Abstract: Management of a position concentration risk of an account includes the establishment of a threshold level for an aggregate trader position. The aggregate trader position may be associated with one or more customer accounts that are managed by one or more clearing firms. An actual parameter value associated with each of the customer accounts is aggregated to determine an aggregate parameter value, which is compared against the established threshold value. If, based on the comparison between the aggregate parameter value and the established threshold value, it is determined that the aggregate parameter value meets or exceeds the established threshold value, an advisory alert is generated, which may be automatic. The advisory alert is then communicated or otherwise provided to one or more authorized entities.
    Type: Application
    Filed: November 2, 2023
    Publication date: February 22, 2024
    Applicant: Intercontinental Exchange Holdings, Inc.
    Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
  • Patent number: 11847704
    Abstract: Management of a position concentration risk of an account includes the establishment of a threshold level for an aggregate trader position. The aggregate trader position may be associated with one or more customer accounts that are managed by one or more clearing firms. An actual parameter value associated with each of the customer accounts is aggregated to determine an aggregate parameter value, which is compared against the established threshold value. If, based on the comparison between the aggregate parameter value and the established threshold value, it is determined that the aggregate parameter value meets or exceeds the established threshold value, an advisory alert is generated, which may be automatic. The advisory alert is then communicated or otherwise provided to one or more authorized entities.
    Type: Grant
    Filed: April 14, 2023
    Date of Patent: December 19, 2023
    Assignee: Intercontinental Exchange Holdings, Inc.
    Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
  • Publication number: 20230252570
    Abstract: Management of a position concentration risk of an account includes the establishment of a threshold level for an aggregate trader position. The aggregate trader position may be associated with one or more customer accounts that are managed by one or more clearing firms. An actual parameter value associated with each of the customer accounts is aggregated to determine an aggregate parameter value, which is compared against the established threshold value. If, based on the comparison between the aggregate parameter value and the established threshold value, it is determined that the aggregate parameter value meets or exceeds the established threshold value, an advisory alert is generated, which may be automatic. The advisory alert is then communicated or otherwise provided to one or more authorized entities.
    Type: Application
    Filed: April 14, 2023
    Publication date: August 10, 2023
    Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
  • Patent number: 11669906
    Abstract: Management of a position concentration risk of an account includes the establishment of a threshold level for an aggregate trader position. The aggregate trader position may be associated with one or more customer accounts that are managed by one or more clearing firms. An actual parameter value associated with each of the customer accounts is aggregated to determine an aggregate parameter value, which is compared against the established threshold value. If, based on the comparison between the aggregate parameter value and the established threshold value, it is determined that the aggregate parameter value meets or exceeds the established threshold value, an advisory alert is generated, which may be automatic. The advisory alert is then communicated or otherwise provided to one or more authorized entities.
    Type: Grant
    Filed: July 29, 2022
    Date of Patent: June 6, 2023
    Assignee: Intercontinental Exchange Holdings, Inc.
    Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
  • Publication number: 20220366504
    Abstract: Management of a position concentration risk of an account includes the establishment of a threshold level for an aggregate trader position. The aggregate trader position may be associated with one or more customer accounts that are managed by one or more clearing firms. An actual parameter value associated with each of the customer accounts is aggregated to determine an aggregate parameter value, which is compared against the established threshold value. If, based on the comparison between the aggregate parameter value and the established threshold value, it is determined that the aggregate parameter value meets or exceeds the established threshold value, an advisory alert is generated, which may be automatic. The advisory alert is then communicated or otherwise provided to one or more authorized entities.
    Type: Application
    Filed: July 29, 2022
    Publication date: November 17, 2022
    Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
  • Patent number: 11423485
    Abstract: Management of a position concentration risk of an account includes the establishment of a threshold level for an aggregate trader position. The aggregate trader position may be associated with one or more customer accounts that are managed by one or more clearing firms. An actual parameter value associated with each of the customer accounts is aggregated to determine an aggregate parameter value, which is compared against the established threshold value. If, based on the comparison between the aggregate parameter value and the established threshold value, it is determined that the aggregate parameter value meets or exceeds the established threshold value, an advisory alert is generated, which may be automatic. The advisory alert is then communicated or otherwise provided to one or more authorized entities.
    Type: Grant
    Filed: February 8, 2022
    Date of Patent: August 23, 2022
    Assignee: Intercontinental Exchange Holdings, Inc.
    Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
  • Publication number: 20220164887
    Abstract: Management of a position concentration risk of an account includes the establishment of a threshold level for an aggregate trader position. The aggregate trader position may be associated with one or more customer accounts that are managed by one or more clearing firms. An actual parameter value associated with each of the customer accounts is aggregated to determine an aggregate parameter value, which is compared against the established threshold value. If, based on the comparison between the aggregate parameter value and the established threshold value, it is determined that the aggregate parameter value meets or exceeds the established threshold value, an advisory alert is generated, which may be automatic. The advisory alert is then communicated or otherwise provided to one or more authorized entities.
    Type: Application
    Filed: February 8, 2022
    Publication date: May 26, 2022
    Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
  • Patent number: 11276119
    Abstract: Management of a position concentration risk of an account includes the establishment of a threshold level for an aggregate trader position. The aggregate trader position may be associated with one or more customer accounts that are managed by one or more clearing firms. An actual parameter value associated with each of the customer accounts is aggregated to determine an aggregate parameter value, which is compared against the established threshold value. If, based on the comparison between the aggregate parameter value and the established threshold value, it is determined that the aggregate parameter value meets or exceeds the established threshold value, an advisory alert is generated, which may be automatic. The advisory alert is then communicated or otherwise provided to one or more authorized entities.
    Type: Grant
    Filed: July 26, 2021
    Date of Patent: March 15, 2022
    Assignee: Intercontinental Exchange Holdings, Inc.
    Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
  • Publication number: 20210350467
    Abstract: Management of a position concentration risk of an account includes the establishment of a threshold level for an aggregate trader position. The aggregate trader position may be associated with one or more customer accounts that are managed by one or more clearing firms. An actual parameter value associated with each of the customer accounts is aggregated to determine an aggregate parameter value, which is compared against the established threshold value. If, based on the comparison between the aggregate parameter value and the established threshold value, it is determined that the aggregate parameter value meets or exceeds the established threshold value, an advisory alert is generated, which may be automatic. The advisory alert is then communicated or otherwise provided to one or more authorized entities.
    Type: Application
    Filed: July 26, 2021
    Publication date: November 11, 2021
    Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
  • Patent number: 11113763
    Abstract: Management of a position concentration risk of an account includes the establishment of a threshold level for an aggregate trader position. The aggregate trader position may be associated with one or more customer accounts that are managed by one or more clearing firms. An actual parameter value associated with each of the customer accounts is aggregated to determine an aggregate parameter value, which is compared against the established threshold value. If, based on the comparison between the aggregate parameter value and the established threshold value, it is determined that the aggregate parameter value meets or exceeds the established threshold value, an advisory alert is generated, which may be automatic. The advisory alert is then communicated or otherwise provided to one or more authorized entities.
    Type: Grant
    Filed: April 16, 2021
    Date of Patent: September 7, 2021
    Assignee: Intercontinental Exchange Holdings, Inc.
    Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
  • Publication number: 20210233178
    Abstract: Management of a position concentration risk of an account includes the establishment of a threshold level for an aggregate trader position. The aggregate trader position may be associated with one or more customer accounts that are managed by one or more clearing firms. An actual parameter value associated with each of the customer accounts is aggregated to determine an aggregate parameter value, which is compared against the established threshold value. If, based on the comparison between the aggregate parameter value and the established threshold value, it is determined that the aggregate parameter value meets or exceeds the established threshold value, an advisory alert is generated, which may be automatic. The advisory alert is then communicated or otherwise provided to one or more authorized entities.
    Type: Application
    Filed: April 16, 2021
    Publication date: July 29, 2021
    Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
  • Patent number: 11010836
    Abstract: Management of a position concentration risk of an account includes the establishment of a threshold level for an aggregate trader position. The aggregate trader position may be associated with one or more customer accounts that are managed by one or more clearing firms. An actual parameter value associated with each of the customer accounts is aggregated to determine an aggregate parameter value, which is compared against the established threshold value. If, based on the comparison between the aggregate parameter value and the established threshold value, it is determined that the aggregate parameter value meets or exceeds the established threshold value, an advisory alert is generated, which may be automatic. The advisory alert is then communicated or otherwise provided to one or more authorized entities.
    Type: Grant
    Filed: October 21, 2020
    Date of Patent: May 18, 2021
    Assignee: Intercontinental Exchange Holdings, Inc.
    Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
  • Publication number: 20210042837
    Abstract: Management of a position concentration risk of an account includes the establishment of a threshold level for an aggregate trader position. The aggregate trader position may be associated with one or more customer accounts that are managed by one or more clearing firms. An actual parameter value associated with each of the customer accounts is aggregated to determine an aggregate parameter value, which is compared against the established threshold value. If, based on the comparison between the aggregate parameter value and the established threshold value, it is determined that the aggregate parameter value meets or exceeds the established threshold value, an advisory alert is generated, which may be automatic. The advisory alert is then communicated or otherwise provided to one or more authorized entities.
    Type: Application
    Filed: October 21, 2020
    Publication date: February 11, 2021
    Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
  • Patent number: 10915958
    Abstract: Management of a position concentration risk of an account includes the establishment of a threshold level for an aggregate trader position. The aggregate trader position may be associated with one or more customer accounts that are managed by one or more clearing firms. An actual parameter value associated with each of the customer accounts is aggregated to determine an aggregate parameter value, which is compared against the established threshold value. If, based on the comparison between the aggregate parameter value and the established threshold value, it is determined that the aggregate parameter value meets or exceeds the established threshold value, an advisory alert is generated, which may be automatic. The advisory alert is then communicated or otherwise provided to one or more authorized entities.
    Type: Grant
    Filed: April 27, 2009
    Date of Patent: February 9, 2021
    Assignee: Intercontinental Exchange Holdings, Inc.
    Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
  • Patent number: 8612336
    Abstract: A method for trading financial instruments includes listing, by an electronic financial exchange, financial instruments that specify which version of a serialized index the financial instrument tracks; receiving, by the electronic financial exchange, an electronic indication to buy or sell the financial instrument; executing, by the electronic financial exchange, a trade involving the financial instrument; and settling the financial instrument according to the version of the serialized index specified by the financial instrument.
    Type: Grant
    Filed: October 22, 2012
    Date of Patent: December 17, 2013
    Assignee: IntercontinentalExchange, Inc.
    Inventors: John Harding, Thomas Farley, David Goone, Chris Crowley, Chris Edmonds, Mark Rowell, Jeffrey Sprecher, Stanislav Ivanov, Donald F. Sternard
  • Patent number: 8583542
    Abstract: A method for trading financial instruments includes listing, by an electronic financial exchange, financial instruments that specify which version of a serialized index the financial instrument tracks; receiving, by the electronic financial exchange, an electronic indication to buy or sell the financial instrument; executing, by the electronic financial exchange, a trade involving the financial instrument; and settling the financial instrument according to the version of the serialized index specified by the financial instrument.
    Type: Grant
    Filed: October 23, 2012
    Date of Patent: November 12, 2013
    Assignee: IntercontinentalExchange, Inc.
    Inventors: John Harding, Thomas Farley, David Goone, Chris Crowley, Chris Edmonds, Mark Rowell, Jeffrey Sprecher, Stanislav Ivanov, Donald F. Sternard
  • Patent number: 8566226
    Abstract: A method for trading financial instruments includes listing, by an electronic financial exchange, financial instruments that specify which version of a serialized index the financial instrument tracks; receiving, by the electronic financial exchange, an electronic indication to buy or sell the financial instrument; executing, by the electronic financial exchange, a trade involving the financial instrument; and settling the financial instrument according to the version of the serialized index specified by the financial instrument.
    Type: Grant
    Filed: March 14, 2013
    Date of Patent: October 22, 2013
    Assignee: IntercontinentalExchange, Inc.
    Inventors: John Harding, Thomas Farley, David Goone, Chris Crowley, Chris Edmonds, Mark Rowell, Jeffrey Sprecher, Stanislav Ivanov, Donald F. Sternard
  • Patent number: 8332647
    Abstract: In accordance with the teachings of the present invention, a system and method for dynamic, multi-attribute authentication are provided. In a particular embodiment, a method for authentication includes receiving, at an authentication web server, an authentication request comprising a workstation message and a user message, wherein the workstation message comprises a workstation object and a workstation signature, the workstation object comprises a workstation certificate associated with a workstation, the user message comprises a user object and a user signature, and the user object comprises a copy of the workstation message and a user certificate associated with a user of the workstation.
    Type: Grant
    Filed: June 25, 2009
    Date of Patent: December 11, 2012
    Assignee: Raytheon Company
    Inventors: Charles B. Bradley, II, Thomas Farley, Ricardo J. Rodriguez
  • Publication number: 20100332825
    Abstract: In accordance with the teachings of the present invention, a system and method for dynamic, multi-attribute authentication are provided. In a particular embodiment, a method for authentication includes receiving, at an authentication web server, an authentication request comprising a workstation message and a user message, wherein the workstation message comprises a workstation object and a workstation signature, the workstation object comprises a workstation certificate associated with a workstation, the user message comprises a user object and a user signature, and the user object comprises a copy of the workstation message and a user certificate associated with a user of the workstation.
    Type: Application
    Filed: June 25, 2009
    Publication date: December 30, 2010
    Applicant: Raytheon Company
    Inventors: Charles B. Bradley, II, Thomas Farley, Ricardo J. Rodriguez
  • Publication number: 20090276366
    Abstract: Management of a position concentration risk of an account includes the establishment of a threshold level for an aggregate trader position. The aggregate trader position may be associated with one or more customer accounts that are managed by one or more clearing firms. An actual parameter value associated with each of the customer accounts is aggregated to determine an aggregate parameter value, which is compared against the established threshold value. If, based on the comparison between the aggregate parameter value and the established threshold value, it is determined that the aggregate parameter value meets or exceeds the established threshold value, an advisory alert is generated, which may be automatic. The advisory alert is then communicated or otherwise provided to one or more authorized entities.
    Type: Application
    Filed: April 27, 2009
    Publication date: November 5, 2009
    Applicant: IntercontinentalExchange, Inc.
    Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings