JP2001265928A - System for newly collecting/selling securities, system for distributing prospectus data and system for distributing electronic document data - Google Patents

Abstract

PROBLEM TO BE SOLVED: To provide a securities newly collection/selling system capable of distributing a prospectus on the Internet. SOLUTION: This system has a prospectus data storing part 11 storing prospectus data about securities related to new collection/selling, a prospectus transmitting part 12 selectively downloading desired prospectus data in accordance with a request of an accessing customer, a browsing completion information storing part 13 making the browsing completion information on the prospectus on the basis of the download completion of the prospectus by the customer correspond to the customer to be stored, a purchase application acceptance/ rejection deciding part 14 deciding the purchase application acceptance/rejection of corresponding securities based on whether or not the prospectus is subjected to browsing completion in the case of receiving an order from the customer, and a data providing part 16 transferring a purchase instruction of the securities being the browsing completion object or the received part of the securities purchase instruction from a book building winning customer to a securities order processing system.

Description

DETAILED DESCRIPTION OF THE INVENTION

[0001]

BACKGROUND OF THE INVENTION 1. Field of the Invention The present invention relates to a new securities recruitment / sale system, a prospectus data distribution system, and an electronic document data distribution for online recruitment / sale of securities using, for example, the Internet. It is about the system.

[0002]

2. Description of the Related Art Under the Securities and Exchange Law, when soliciting / selling securities to an unspecified number of investors, it imposes an obligation on the investors to issue a prospectus for the securities in advance. For this reason, underwriting securities companies distribute the prospectus to investors in the form of handing over at a counter or mailing at the request of a customer.

[0003] Here, the prospectus is offered to general investors for the purpose of offering and selling securities, and describes the business, financial condition and issuance conditions of the issuer of the securities. This is a document for explanation. In the case of a new public company, the volume is generally well over 100 pages.

[0004]

In recent years, online securities transactions via the Internet have become popular. Online securities trading means that individual investors can access securities companies via the Internet with their pre-registered ID and PIN, and at their own discretion, can place orders for buying and selling stocks and investment trusts from their homes, etc. at their desired time. is there. Also,
According to this online securities trading, the operating costs as a securities company can be reduced, and since the stock brokerage commission was liberalized in October 1999, the number of customers at each online securities company has been significantly reduced by lowering the commission. It is stretched.

[0005] However, when newly recruiting / selling securities through the Internet, not only is a certain technique required for transmitting the prospectus, but also the person who issued the purchase instruction actually receives the prospectus. Sometimes it is difficult to get confirmation. For this reason, at present, there is no online recruitment / sale of securities via the Internet.

The present invention has been made in view of such circumstances, and is capable of distributing a prospectus on the Internet.
It is an object of the present invention to provide a new securities recruiting / selling system capable of processing an investor's purchase instructions and the like based on the system.

[0007]

In order to achieve the above object, according to a first main aspect of the present invention, a new recruitment system is provided.
A prospectus data storage unit that stores prospectus data on securities related to the sale in association with brand information of the securities, and a prospectus of securities related to a desired new recruitment / sale according to a request from an accessing customer. A prospectus transmission unit for selectively downloading prospectus data from the prospectus prospectus data storage unit, and, based on completion of the download of the prospectus by the customer, the browsing completion information of the prospectus regarding the securities, A browsing completion information storage unit that stores the browsing information in association with the customer, and, when a purchase instruction of a predetermined security or an application for a book building is received from the customer, the browsing completion information storage unit is accessed, and a prospectus for the security is accessed. Whether the purchase of securities or the application for book building is possible based on whether or not A purchase application applicability judging unit for rejecting, and a data providing unit for transferring an instruction to purchase the securities to be browsed or an instruction to purchase securities from the book building winning client to the securities order processing system. A new recruitment / sale system for securities is provided.

[0008] According to such a configuration, for example, even in the case of recruiting / selling securities online through the Internet, a prospectus is issued to the investor and the investor browses the prospectus. Based on this, it becomes possible to perform a purchase instruction or a book building process. In the above-described system, the determination that the prospectus has been completed by the customer may be made based on, for example, the customer pressing the browse confirmation button on the screen.

According to one embodiment, the new recruitment / sale system further includes a customer identification unit for identifying the accessed customer. According to such a configuration, since predetermined processing is performed based on identity verification based on customer data of each securities company (data of a person who has an account with the securities company), the securities broker serves as an underwriting window for the securities. In a certain securities company, the recruitment / sale process can be performed smoothly.

According to one embodiment, in the new recruitment / sale system, the prospectus prospectus data storage unit divides prospectus prospectus data into a predetermined size and stores them in a predetermined order. A new securities recruitment / sale system is provided.
Here, the prospectus of a newly disclosed company generally exceeds 100 pages, and when this is read by an optical scanner and digitized, the file size becomes several megabytes depending on the preservation method and the density of the material. When such a file is distributed over a network, depending on the communication environment of the receiver, it may frequently occur that the file cannot be correctly downloaded as a complete file. However, according to the above configuration, the prospectus data can be divided into a plurality of files and supplied, so that the prospectus can be surely downloaded.

According to a second main aspect of the present invention, a prospectus prospectus data storage unit for storing prospectus prospectus data on securities to be newly offered / sold in association with brand information of the securities, In response to a request from an accessor, a prospectus transmission unit for selectively downloading prospectus data of securities relating to a desired new recruitment / sale from the prospectus data storage unit; and Based on the completion of the download, a browsing completion information storage unit for storing browsing completion information of the prospectus regarding the security in association with the accessor, and accessing the browsing completion information storage unit, A prospectus data distribution unit having a browsing completion information providing unit for providing information on whether browsing of the prospectus for securities has been completed System is provided. Here, the prospectus transmission unit is for causing the accessor to download the prospectus data based on the fact that the accessor is determined to be a customer in the securities recruitment / sales window company. Is preferred.

According to such a configuration, for example, when a new security is offered or sold online through the Internet, a prospectus is issued to the investor and information indicating that the browsing has been completed is provided as necessary. Can be provided.

[0013] According to one embodiment, the browsing completion information providing unit provides prospectus browsing completion data for a customer of the contact company based on an inquiry from the contact company for recruiting / selling the securities. Is what you do.

According to such a configuration, the prospectus data distribution of the securities for which a plurality of securities companies serve as underwriting windows can be performed, for example, by one agency.

According to one embodiment, the prospectus data storage unit divides the prospectus data into a predetermined size and stores them in a predetermined order. According to such a configuration, the prospectus data having a large capacity file size can be divided into a plurality of files and supplied, so that the prospectus can be surely downloaded.

According to a third main aspect of the present invention, an electronic document data storage unit for storing predetermined electronic document data, and selectively downloading desired electronic document data in response to a request from an accessor. An electronic document data transmission unit, a browsing completion information storage unit that stores browsing completion information of the electronic document in association with the accessor based on the completion of the download of the electronic document data by the accessor, Access the completion information storage unit,
A browsing completion information providing unit that provides information as to whether the browsing of the electronic document has been completed for the accessor. Here, it is preferable that the electronic document data storage section divides the electronic document data into a predetermined size, and stores them in a predetermined order.

According to such a configuration, it is possible to uniformly manage the browsing information of the document data. In addition, since the electronic document data having a large file size can be divided into a plurality of files and supplied, it is possible to surely download the prospectus.

The other features and remarkable effects of the present invention will be more apparent from the following description of the embodiments of the present invention and the accompanying drawings.

[0019]

Embodiments of the present invention will be described below with reference to the drawings.

FIG. 1 is a schematic configuration diagram showing a new securities recruiting / selling system according to this embodiment.

This system includes, for example, a securities order processing server device 2 managed by a securities sales window company, and a prospectus data distribution system 1 installed therein.

The server device 2 is configured to receive access from a customer 3 who makes a purchase application for securities through a communication network such as the Internet. In addition, the server device 2 has a customer identity confirmation unit 6 for confirming the identity of the accessed customer 3 based on the data in the customer management data storage unit 5, and the accessed person is registered in the customer management data storage unit 5. If not, it has a customer information registration unit 7 for registering the accessor as a customer. Further, the server device 2 has a securities order processing unit 8 for sequentially processing securities purchase orders from the customer 3 whose identity has been confirmed based on the data stored in the order processing data storage unit 17. .

On the other hand, the prospectus data distribution system 1
Is a security issue information storage unit 10 for storing issue information of securities pertaining to newly offered / sold, and prospectus data for storing prospectus data for the newly offered / sold securities in association with the issue information. Storage unit 11
A prospective plan for selectively downloading prospective prospectus data of a security relating to a desired new recruitment / sale from the prospective prospectus data storage unit 11 in response to a request from the customer 3 whose identity has been confirmed by the personal identification unit 6. A document transmission unit 12, a browsing completion information storage unit 13 that stores browsing completion information of the prospectus on the securities in association with the customer based on the completion of downloading of the prospectus by the customer, When a purchase instruction for a predetermined security or an application for book building is received, the browsing completion information storage unit 13 is accessed, and the purchase of the security is performed based on whether the prospectus for the security has been browsed. Alternatively, a purchase application availability determination unit 14 that determines whether the application to the book building is available or not, and a purchase instruction Or having the accepted amount of the purchase indication of the securities from the book-building winning customer and the data providing unit 16 to pass to the securities order processing data storage unit 17.

Hereinafter, the function of each of the above components will be described in detail with reference to FIG. In FIG. 2, S1 to S10
Is a step number indicating the order of processing.

First, as shown in FIG. 2, a customer 3 purchases securities for a new recruitment / sale, in order to purchase the securities, the server 2 of a securities company, which is the reception desk for the securities.
Via the Internet network (step S
1). The server device 2 displays the branch-account number and password input fields 20 and 21 on the browser activated on the terminal of the customer 3 as shown in FIG. Then, the accessor is identified by comparing the input value with the data stored in the customer management data storage unit 5, and the customer is confirmed to be a customer of the securities company. In the case of a new customer, the customer information registration unit 7 registers the customer in the customer management data storage unit 5 and then permits login.

Next, the customer 3 selects a prospectus menu 22 from a menu screen as shown in FIG. Thus, the server device 2 displays a prospectus prospectus search screen as shown in FIG. 5 on the browser. On this screen, when the customer 3 selects the market division 23 and the issue type 24 in a pull-down manner and presses a search button 25, the server device 2 accesses the brand information storage unit, and the corresponding market and issue A list 26 of newly recruited / book building recruitment issues by type is displayed (step S)
2).

The customer 3 checks the check box 27 of the prospectus to be referred from the list 26,
By pressing the material request button 28 (prospectus request button), a prospectus request command for the selected brand is transmitted to the prospectus data distribution system 1 in the server device 2 (step S3).

The prospectus prospectus data transmission unit 14 of the prospectus prospectus data distribution system 1 transmits the prospectus prospectus data relating to the brand to the prospectus prospectus data storage unit 11 based on this command.
And sends it to the terminal device of the customer 3 (step S4). Specifically, when the customer 3 presses the material request button 28 shown in FIG. 6, the software for browsing the prospectus data is activated on the customer terminal device, and as shown in FIG. Display the prospectus data.

In this example, the prospectus data is 01
The document is divided into seven documents, and stored in the prospectus prospectus data storage unit 11 in a state where the documents are related in this order. At the time of data transmission, they are taken out in this order and transmitted to the customer 3. You. FIG. 7 shows a state in which the first document is displayed. By sequentially or double-clicking tabs 01 to 07 displayed on the right side of the screen,
All documents can be opened. A confirmation dialog box 30 shown in FIG. 8 is displayed on the terminal of the customer 3 based on the fact that all these data have been downloaded or that all the documents have been actually opened.

Here, when the customer 3 presses the reception confirmation button 31, the reception completion data is stored in association with the customer management data and the brand information (step S5).

Next, when the customer 3 makes an order for securities / application for book building, the client 3 refers to the browsing completion information storage unit 13 to judge whether or not an application for order / book building is possible (step S6). S7). That is, the purchase / book building application availability determination unit 1
4 accesses the browsing completion information storage unit 13 based on the brand information of the securities related to the order, and determines whether browsing of the prospectus of the securities is completed (step S).
8).

If it is determined that the browsing has been completed, the order / book building application data is transmitted to the order processing data storage unit 17 (step S).
9), predetermined order processing or processing for book building is executed (step S10).

According to such a configuration, even when, for example, a new securities offering / sale is made online through the Internet, a prospectus is issued to the investor and the investor browses the prospectus. Based on this, it becomes possible to perform a purchase instruction or a book building process.

Further, according to such a configuration, based on the identity verification based on the customer data of each securities company (data of the person who has an account with the securities company), browsing the prospectus, purchasing order, book building application, And their processing can be performed smoothly in a series of operations. As a result, the securities company acting as the underwriting window for the securities can smoothly carry out the new recruitment / sale process.

According to this embodiment, it is possible to download the prospectus without fail. In other words, the prospectus of a newly disclosed company generally has a number exceeding 100 pages, and when this is read by an optical scanner and digitized, the file size becomes several megabytes. When such a file is distributed over a network, depending on the communication environment of the receiver, it may frequently occur that the file cannot be correctly downloaded as a complete file. However, according to the above configuration, the prospectus data can be divided into a plurality of files and supplied, so that the prospectus can be surely downloaded.

The present invention is not limited to the above-described embodiment, but can be variously modified without changing the gist of the invention.

For example, in the above embodiment, the prospectus prospectus data distribution system 1 is installed in the securities order processing server device 2 of a securities company, but the present invention is not limited to this. As shown in FIG. 9, the prospectus data distribution system 1 may be installed in a data distribution processing institution 40 connectable to server devices 2 of a plurality of securities companies.

In this case, the customer 3 first connects to the server device 2 of each securities company (any one of A to C) and presses the above-mentioned prospectus request button 28 so that the data distribution processing institution 40 Receiving the prospectus data. In the distribution system 1 of the data distribution processing institution 40, the prospectus prospectus browsing completion determination unit indicated by 41 in FIG. 10 is similar to the one shown in FIG. Confirmation dialog box 3
0 is displayed on the browser of the customer 3. Then, based on the fact that the customer has pressed the confirmation button 31, the customer 3
Of the browsing completion information storage section 13
To be stored. Next, the data providing unit 16 provides the browsing completion information to the server device 2 of the securities company accessed by the customer 3.

According to such a configuration, even if there are a plurality of securities companies which are to be the underwriting window for the securities, the distribution source of the prospectus data can be concentrated in one place. Computer resources in a securities company can be saved, and processing efficiency can be improved.

Further, in the above-described embodiment, distribution of prospectus relating to new recruitment of securities / book building is described as an example. However, the present invention is not limited to this, and other electronic document data may be used. It is also applicable to documents.
If this system is designed to centrally manage and distribute all electronic documents including the prospectus by the data distribution processing organization 40 shown in FIG. There is an effect that the accessor can receive information on whether the electronic document has been downloaded and browsed without managing the document.

[0041]

As described above, according to the present invention, a prospectus is issued to an investor even when new recruitment / sale of securities is performed online through, for example, the Internet, and the investor can obtain the prospectus. Based on the browsing, it becomes possible to perform a purchase instruction or a book building process.

[Brief description of the drawings]

FIG. 1 is a schematic configuration diagram showing an embodiment of the present invention.

FIG. 2 is a flowchart for explaining a processing procedure.

FIG. 3 is a diagram showing an example of a customer confirmation interface.

FIG. 4 is a diagram showing an example of a menu selection screen.

FIG. 5 is a diagram showing an example of a prospectus prospectus search screen.

FIG. 6 is a diagram showing an example of a screen for selecting and downloading a prospectus as well.

FIG. 7 is a diagram showing an example of a prospectus prospectus browsing screen.

FIG. 8 is a diagram showing an example of a prospectus browsing confirmation dialog.

FIG. 9 is a schematic configuration diagram showing another embodiment of the present invention.

[Explanation of symbols]

 DESCRIPTION OF SYMBOLS 1 ... Prospectus data distribution system 2 ... Securities order processing server device 3 ... Customer 5 ... Customer management data storage unit 6 ... Customer identity confirmation unit 7 ... Customer information registration unit 8 ... Securities order processing unit 10 ... Security brand information storage Unit 11: prospectus data storage unit 12: prospectus transmission unit 13: browsing completion information storage unit 14: purchase / book building application availability determination unit 16: data provision unit 17: securities order processing data storage unit 20, 21, input Column 22: prospectus menu 23 ... market segment 24 ... issue type 25 ... search button 26 ... prospectus list 27 ... check box 28 ... material request button 30 ... confirmation dialog 31 ... receipt confirmation button 40 ... data distribution processing agency 41 ... prospectus Document reading completion judgment unit

──────────────────────────────────────────────────続 き Continued on the front page (51) Int.Cl. ⁷ Identification symbol FI Theme coat ゛ (Reference) G06F 17/60 414 G06F 17/60 414 502 502 502

Claims (9)

[Claims] 1. A prospectus data storage unit for storing prospectus data on securities related to new recruitment / sale in association with brand information of the securities, and a desired new recruitment in response to a request from an accessing customer. A prospectus transmission unit for selectively downloading prospectus data of the securities related to the sale from the prospectus data storage unit, and a prospectus regarding the securities based on completion of downloading of the prospectus by the customer. A browsing completion information storage unit for storing browsing completion information of a book in association with the customer, and accessing the browsing completion information storage unit when receiving an instruction to purchase predetermined securities or an application for book building from the customer. Purchase of securities or book building based on whether the prospectus for the securities has been inspected. A purchase application availability determining unit that determines whether or not an application to the application can be made available, and data for transferring to the securities order processing system an instruction to purchase a security to be browsed or an instruction to purchase a security from a book building winning client. A new recruitment / sale system for securities having a providing unit. 2. The new recruitment / sale system according to claim 1, further comprising a customer identification unit for confirming the identity of the accessed customer. 3. The new recruitment / sale system according to claim 1, wherein the prospectus prospectus data storage unit divides the prospectus prospectus data into a predetermined size and stores them in a predetermined order. New recruitment of securities featuring
Sale system. 4. A prospectus data storage unit for storing prospectus data on securities pertaining to new offering / sale in association with brand information of the securities, and a desired new offering / recruitment in accordance with a request of an accessor. A prospectus transmission unit for selectively downloading prospectus data of the securities pertaining to the sale from the prospectus data storage unit; and, based on the completion of the download of the prospectus by the accessor, the prospectus. A browsing completion information storage unit for storing browsing completion information of the prospectus in association with the accessor; and accessing the browsing completion information storage unit to determine whether browsing of the prospectus for the security has been completed for the accessor. A prospectus data distribution system comprising: a browsing completion information providing unit that provides information. 5. The prospectus data distribution system according to claim 4, wherein the prospectus transmission unit is configured to determine whether the accessor is a customer at a securities recruitment / sale window company. A prospectus data distribution system, wherein the prospective user downloads the prospectus data. 6. The prospectus data distribution system according to claim 4, wherein the browsing completion information providing unit, based on an inquiry from the securities recruitment / sale window company, a prospectus book for the customer of the contact company. A prospectus data distribution system for providing browsing completion data. 7. The prospectus prospectus data distribution system according to claim 4, wherein the prospectus prospectus data storage unit divides the prospectus prospectus data into a predetermined size and stores them in a predetermined order. A prospectus data distribution system characterized by the following. 8. An electronic document data storage unit for storing predetermined electronic document data; an electronic document data transmitting unit for selectively downloading desired electronic document data in response to a request from an access person; A browsing completion information storage unit that stores browsing completion information of the electronic document in association with the access person based on the completion of the download of the electronic document data; and And a browsing completion information providing unit for providing information indicating whether browsing of the electronic document has been completed. 9. The electronic document data distribution system according to claim 8, wherein the electronic document data storage unit divides the electronic document data into a predetermined size and stores them in a predetermined order. An electronic document data distribution system, characterized in that: