Robert Warren Blucke

55174060, May 14, 1996

Sep 1, 1994

8/299375

Randall C. Harris - Great Falls VA
David J. Altobelli - Melrose MA
Robert W. Blucke - Rindge NH
R. J. Montgomery Wilson - Reading MA
Stephen C. Wyle - Enfield NH

The Shareholder Services Group, Inc. - Boston MA

G06F 1760

364408

An automated trade processing system including a record keeper for receiving participant mutual fund transaction requests. The record keeper also aggregates the participant mutual fund transaction requests by mutual fund into omnibus plan transaction requests. These requests are then transmitted in at least one file which has a plurality of fields of information about the omnibus plan transaction requests. A host processor, interacting with the record keeper, receives the at least one file, processes the omnibus plan transaction requests, verifies at least one of the plurality of fields of information, and trade-acknowledgment confirms the omnibus plan transaction requests to the record keeper. The host processor then transfers the omnibus plan transaction requests to a transaction executor which executes the omnibus plan transaction requests. The trade-acknowledgment confirmation occurs at a time prior to execution of the omnibus plan transaction requests.

59182180, Jun 29, 1999

Sep 1, 1994

8/299377

Randall C. Harris - Great Falls VA
David J. Altobelli - Melrose MA
Robert W. Blucke - Rindge NH
R.J. Montgomery Wilson - Reading MA
Stephen C. Wyle - Enfield NH

First Data Investor Services Group, Inc. - Boston MA

G06F 1900

705 37

An automated trade processing system comprising at least one record keeping system which receives participant mutual fund transactions. The record keeping system aggregates the participant mutual fund transactions into omnibus plan trades which it transmits to a host processor. The host processor also receives pricing and other trade information from at least one transfer agent system. Based on the pricing and other trade information, the host processor evaluates the omnibus plan trades and produces a trade-acknowledgment confirmation file which it transmits along with omnibus plan account information to the at least one record keeping systems. The host processor then transmits the omnibus plan trades to the proper transfer agent. The transfer agent executes the omnibus plan trades and trade-execution confirms them to the host processor. The host processor compares the trade-acknowledgement confirmation and the trade-execution confirmation and generates a mismatch file which is then transmitted to the at least one record keeping systems.