SEC Shelf Registration Tracking Database System
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Solution Overview
Problem
Current systems face challenges in efficiently tracking and analyzing Securities and Exchange Commission (SEC) shelf registrations and related capital market activities, which are time-consuming and resource-intensive for investment banking divisions.
Innovation Solution
A software and database system that tracks and aggregates SEC shelf registrations, issuers, subsidiaries, selling shareholders, and stock performance by accessing databases, organizing data into tables, and generating reports suitable for investment banking, with features like searching by ticker or issuer name, linking parent to subordinate companies, and automatically updating data upon takedown occurrences.
Engineering Contradictions & Design Principles
Engineering Contradiction Analysis
1Productivity
If manual tracking methods are used for SEC shelf registrations and capital market activities, then bankers can maintain control over the data, but the process becomes very difficult and time-consuming requiring considerable resources
Solution Approach 1:
The system creates a digital copy of SEC shelf registration data and capital market activity information from existing sources, organizing it into a structured database format that can be efficiently queried and analyzed without manual intervention
Solution Approach 2:
The patent introduces a software system as an intermediary between raw SEC data and bankers, automatically performing tracking, aggregation, and analysis functions that would otherwise require considerable manual resources
2Reliability
If comprehensive data aggregation is implemented for all shelf registrations and takedowns, then complete tracking capability is achieved, but system complexity increases
Solution Approach 1:
The system segments comprehensive capital market data into organized tables based on aggregate aspects common to multiple filings, allowing complete tracking capability while managing complexity through structured data organization
Solution Approach 2:
The patent creates a universal database structure that handles multiple types of securities (equity, fixed income, universal) and various capital market activities (takedowns, issuances) through a single integrated system, reducing overall complexity despite comprehensive coverage
Data Source
AI summary
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.