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).
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Publication number: 20240062305Abstract: 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: ApplicationFiled: November 2, 2023Publication date: February 22, 2024Applicant: Intercontinental Exchange Holdings, Inc.Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
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Patent number: 11847704Abstract: 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: GrantFiled: April 14, 2023Date of Patent: December 19, 2023Assignee: Intercontinental Exchange Holdings, Inc.Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
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Publication number: 20230252570Abstract: 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: ApplicationFiled: April 14, 2023Publication date: August 10, 2023Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
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Patent number: 11669906Abstract: 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: GrantFiled: July 29, 2022Date of Patent: June 6, 2023Assignee: Intercontinental Exchange Holdings, Inc.Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
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Publication number: 20220366504Abstract: 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: ApplicationFiled: July 29, 2022Publication date: November 17, 2022Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
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Patent number: 11423485Abstract: 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: GrantFiled: February 8, 2022Date of Patent: August 23, 2022Assignee: Intercontinental Exchange Holdings, Inc.Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
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Publication number: 20220164887Abstract: 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: ApplicationFiled: February 8, 2022Publication date: May 26, 2022Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
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Patent number: 11276119Abstract: 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: GrantFiled: July 26, 2021Date of Patent: March 15, 2022Assignee: Intercontinental Exchange Holdings, Inc.Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
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Publication number: 20210350467Abstract: 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: ApplicationFiled: July 26, 2021Publication date: November 11, 2021Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
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Patent number: 11113763Abstract: 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: GrantFiled: April 16, 2021Date of Patent: September 7, 2021Assignee: Intercontinental Exchange Holdings, Inc.Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
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Publication number: 20210233178Abstract: 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: ApplicationFiled: April 16, 2021Publication date: July 29, 2021Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
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Patent number: 11010836Abstract: 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: GrantFiled: October 21, 2020Date of Patent: May 18, 2021Assignee: Intercontinental Exchange Holdings, Inc.Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
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Publication number: 20210042837Abstract: 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: ApplicationFiled: October 21, 2020Publication date: February 11, 2021Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
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Patent number: 10915958Abstract: 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: GrantFiled: April 27, 2009Date of Patent: February 9, 2021Assignee: Intercontinental Exchange Holdings, Inc.Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings
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Patent number: 8612336Abstract: 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: GrantFiled: October 22, 2012Date of Patent: December 17, 2013Assignee: IntercontinentalExchange, Inc.Inventors: John Harding, Thomas Farley, David Goone, Chris Crowley, Chris Edmonds, Mark Rowell, Jeffrey Sprecher, Stanislav Ivanov, Donald F. Sternard
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Patent number: 8583542Abstract: 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: GrantFiled: October 23, 2012Date of Patent: November 12, 2013Assignee: IntercontinentalExchange, Inc.Inventors: John Harding, Thomas Farley, David Goone, Chris Crowley, Chris Edmonds, Mark Rowell, Jeffrey Sprecher, Stanislav Ivanov, Donald F. Sternard
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Patent number: 8566226Abstract: 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: GrantFiled: March 14, 2013Date of Patent: October 22, 2013Assignee: IntercontinentalExchange, Inc.Inventors: John Harding, Thomas Farley, David Goone, Chris Crowley, Chris Edmonds, Mark Rowell, Jeffrey Sprecher, Stanislav Ivanov, Donald F. Sternard
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Patent number: 8332647Abstract: 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: GrantFiled: June 25, 2009Date of Patent: December 11, 2012Assignee: Raytheon CompanyInventors: Charles B. Bradley, II, Thomas Farley, Ricardo J. Rodriguez
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Publication number: 20100332825Abstract: 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: ApplicationFiled: June 25, 2009Publication date: December 30, 2010Applicant: Raytheon CompanyInventors: Charles B. Bradley, II, Thomas Farley, Ricardo J. Rodriguez
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Publication number: 20090276366Abstract: 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: ApplicationFiled: April 27, 2009Publication date: November 5, 2009Applicant: IntercontinentalExchange, Inc.Inventors: Thomas Hammond, Thomas Farley, Raymond J. Cummings