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Financial data entry system

a financial data and entry system technology, applied in the field of financial data entry system, software interface and database, can solve the problems of requiring a large amount of resources, difficult and time-consuming undertaking to keep track of shelf registration and takedown,

Inactive Publication Date: 2007-07-05
RILEY CHARLES A
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  • Summary
  • Abstract
  • Description
  • Claims
  • Application Information

AI Technical Summary

Benefits of technology

[0029] According to another preferred embodiment of the invention, the software further i

Problems solved by technology

For the investment banking divisions of banks, keeping track of shelf registrations and takedowns is a very difficult and time consuming undertaking.
Couple this with analyzing the company's stock performance relative to this activity and a considerable outlay of resources is required.

Method used

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Examples

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Embodiment Construction

[0047] Referring now specifically to the drawings, a software and database system according to an embodiment of the invention is illustrated in FIG. 1 and shown generally at reference numeral 10.

[0048] The system uses a class 3 tier system with an application service provider (ASP) front end, C# business logic, and a structured query language (SQL) server 2000 back end. The ASP is used to capture and present data, while all data manipulations and error checking are done in C#. Other suitable programming packages may also be used.

[0049] The system 10 provides the ability to search by ticker or issuer name and track all shelf registrations. It also stores data points per filing and per deal into a structured database, provides tools for analyzing data and creating reports, links parent companies to all subordinate companies, provides breakdown and roll up of parent-child shelf registrations, aggregates data into formats conducive to prospecting for investment banking, tracks common ...

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Abstract

A method of tracking and aggregating all Securities and Exchange Commission (SEC) “shelf” registration and all capital market activity related to those shelf registrations. The method includes the steps of accessing a first database containing data associated with investment registrations, wherein the data is organized as a series of individual filings. The method further includes the steps of retrieving data from the first database associated with selected ones of the filings, organizing the data into tables based on at least one aggregate aspect of the data common to multiple filings, and storing the retrieved data in at least one table.

Description

CROSS-REFERENCE TO RELATED APPLICATIONS [0001] This application claims the benefit of Provisional Application No. 60 / 597,652, filed on Dec. 15, 2005.TECHNICAL FIELD AND BACKGROUND OF THE INVENTION [0002] The present invention relates to the field of computer databases. In particular, the invention relates to a software interface and database that tracks and aggregates all Securities and Exchange Commission (SEC) “shelf” registration and all capital market activity related to those shelf registrations. [0003] Shelf registration refers to the registration of securities, under SEC rule 415, that are not to be presently offered for sale. SEC rule 415 allows issuers to register securities (such as Equity, Fixed Income, and Universal) for an offering to be made on a continuous or delayed basis. That is, the securities are being registered so they can be placed “on the shelf” until the time comes for issuance. The shelf registrations may be primary or secondary or both. [0004] Issuers use ...

Claims

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Application Information

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IPC IPC(8): G06F17/30
CPCG06Q40/04G06Q40/00G06Q40/06
Inventor RILEY, CHARLES A.
Owner RILEY CHARLES A
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