| 摘要 |
The present invention relates generally to securities and in particular the creation and execution of sale plans regarding securities. More specifically, restricted stock information corresponding to a restricted stock is maintained in a database. A sale plan template is provided to the sale plan initiator in response to receiving from the sale plan initiator a request to create a sale plan. If the sale plan initiator is actually the broker acting on behalf of the holder, the sale plan is subsequently provided to the holder upon request for review and modification if necessary. The sale plan is subsequently provided to the broker for review. Following a review, the broker forwards the sale plan to the corporate counselor. If the corporate counselor does not find any problems, the sale plan is sent back to the broker for possible acceptance. An authorized person within the broker then accepts the sale plan following a final review if no problems are found. Notifications are then sent to the holder informing the holder that the sale plan has been accepted. Individual sales of the restricted stock, called for by the sale plan, are automatically and periodically initiated as specified by the sale plan.
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