Method, Apparatus and Article-of-Manufacture For Managing and Supporting Initial Public Offerings and Other Financial Issues

A computer-implemented method for marketing a new issue to a group of potential investors, said group including institutional investors and retail investors, said method comprising:

• storing, in a computer-readable database associated with an underwriter of said new issue, information, including indication(s)-of-interest, concerning said new issue;
• linking said computer-readable database to a communication network;
• receiving first indication(s)-of-interest from one or more of said institutional investors, via said communication network, and storing said first indication(s)-of-interest in said computer-readable database;
• and,
• receiving second indication(s)-of-interest from one or more of said retail investors, via said communication network, and storing said second indication(s)-of-interest in said computer-readable database, each of said second indication(s)-of-interest having at least one clearing broker and/or dealer associated therewith.

A computer-implemented method for marketing of new equity or debt issue, the method comprising the steps of:

• coordinating a plurality of meetings regarding marketing the issue to potential investors;
• controlling delivery of communication between a client and a member of an equity capital markets group;
• communicating to a member of a syndicate a plurality of deal terms;
• notifying automatically to regulators upon the occurrence of certain events;
• recording the participation of a syndicate member;
• recording a final settlement of revenues and expenses;
• distributing a marketing document;
• regulating access based on selectively assigned permissions;
• and
• displaying a calendar of future offerings.

A computer-implemented method for offering an issue, the method comprising the steps of:

• providing to a client a selection of at least one issue from a list of upcoming deals in a user interface;
• entering an indication-of-interest for an upcoming deal based on the submission of an indication-of-interest;
• entering an amount for the indication-of-interest based on the submission of an amount for the indication-of-interest;
• entering the indication-of-interest in a pending book;
• sending a message to an investor and an institutional salesperson that an order has been received;
• transferring the order from the pending book to an official book;
• and
• allocating the issue based on a determination by an issuer and/or at least a member of a syndicate.

A system for offering a financial issue, the system comprising:

• a user interface for access to the system by both internal and external users;
• a list displayed on the interface of financial issues;
• a pending book of at least one indication-of-interest for a financial issue;
• and
• an official book for at least one indication-of-interest for a financial issue;
• wherein the financial issue is allocated in a non-auction process.

A computer-implemented method for marketing a new financial issue comprising:

• storing, in a central database associated with an underwriter of said new issue, information concerning said new issue, said stored information including at least one indication of interest in said new issue;
• linking said central database to a communication network, such that members of a syndicate may access selected portions of said database via said communication network;
• regulating access to said central database by selectively assigning permissions to said members of said syndicate;
• and
• allocating the financial issue based on a determination by at least a member of the syndicate.

A computer-based apparatus for marketing a new financial issue, comprising:

• a central database associated with an underwriter of said new issue, said database containing information concerning said new issue, including at least one indication of interest in said new issue;
• a communication network, connected to said central database, such that members of a syndicate may access selected portions of said database via said communication network;
• and,
• means for regulating access to said central database by selectively assigning permissions to said members of said syndicate;
• wherein the financial issue is allocated based on a determination by at least a member of the syndicate.