Thomas A Farley

US Patent:

8566226, Oct 22, 2013

Filed:

Mar 14, 2013

Appl. No.:

13/826623

Inventors:

Thomas Farley - New York NY, US
David Goone - Glencoe IL, US
Chris Crowley - Brooklyn NY, US
Chris Edmonds - Burr Ridge IL, US
Mark Rowell - London, GB
Jeffrey Sprecher - Atlanta GA, US
Stanislav Ivanov - Clarendon Hills IL, US
Donald F. Sternard - Clarendon Hills IL, US

Assignee:

IntercontinentalExchange, Inc. - Atlanta GA

International Classification:

G06Q 40/00

US Classification:

705 37

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.

US Patent:

8583542, Nov 12, 2013

Filed:

Oct 23, 2012

Appl. No.:

13/658133

Inventors:

Thomas Farley - New York NY, US
David Goone - Glencoe IL, US
Chris Crowley - Brooklyn NY, US
Chris Edmonds - Burr Ridge IL, US
Mark Rowell - London, GB
Jeffrey Sprecher - Atlanta GA, US
Stanislav Ivanov - Clarendon Hills IL, US
Donald F. Sternard - Clarendon Hills IL, US

Assignee:

IntercontinentalExchange, Inc. - Atlanta GA

International Classification:

G06Q 40/00

US Classification:

705 37

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.

US Patent:

8612336, Dec 17, 2013

Filed:

Oct 22, 2012

Appl. No.:

13/657279

Inventors:

Thomas Farley - New York NY, US
David Goone - Glencoe IL, US
Chris Crowley - Brooklyn NY, US
Chris Edmonds - Burr Ridge IL, US
Mark Rowell - London, GB
Jeffrey Sprecher - Atlanta GA, US
Stanislav Ivanov - Clarendon Hills IL, US
Donald F. Sternard - Clarendon Hills IL, US

Assignee:

IntercontinentalExchange, Inc. - Atlanta GA

International Classification:

G06Q 40/00

US Classification:

705 37

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.

US Patent:

20130024353, Jan 24, 2013

Filed:

Sep 24, 2012

Appl. No.:

13/625423

Inventors:

Thomas Farley - New York NY, US
Edward Baginski - Alpharetta GA, US
Greg Hamamgian - Woodstock GA, US
Simon Shlyayfer - Smyrna GA, US
Mayur Kapani - Marietta GA, US
Petre Alexandrescu - Bucuresti Sec, RO

Assignee:

IntercontinentalExchange, Inc. - Atlanta GA

International Classification:

G06Q 40/04

US Classification:

705 37

Abstract:

Systems and methods of limiting price movement of a financial instrument include establishing, via an exchange server comprising at least one matching engine module, an interval price limit (IPL) period that defines a predetermined length of time commencing at a start time, and an IPL amount that defines a permissible increase or decrease in an anchor price of a financial instrument during the IPL period. Buy and sell orders received for the financial instrument during the IPL period are matched to generate at least one matched trade having a trade price. The trade price is compared to the anchor price, and if the trade price is within the IPL amount of the anchor price, the matching engine module executes the at least one matched trade. Otherwise, if it is not, the matching engine module is prevented from executing the matched trade.

US Patent:

20220366504, Nov 17, 2022

Filed:

Jul 29, 2022

Appl. No.:

17/876655

Inventors:

- Atlanta GA, US
Thomas Farley - New York NY, US
Raymond J. Cummings - Decatur GA, US

International Classification:

G06Q 40/06

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.

US Patent:

20210350467, Nov 11, 2021

Filed:

Jul 26, 2021

Appl. No.:

17/385242

Inventors:

- Atlanta GA, US
Thomas Farley - New York NY, US
Raymond J. Cummings - Decatur GA, US

International Classification:

G06Q 40/06

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.

US Patent:

20210042837, Feb 11, 2021

Filed:

Oct 21, 2020

Appl. No.:

17/076216

Inventors:

- Atlanta GA, US
Thomas Farley - New York NY, US
Raymond J. Cummings - Decatur GA, US

International Classification:

G06Q 40/06

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.