Method for creating and delivering customized compliance information

Abstract

A method and system to create personalized investor information packages, based on investor information, to be delivered to the investor to satisfy both compliance regulations and investor preferences. The method and system may deliver information in a paper or electronic format.

What is claimed is: 
     
         1 . A system for distributing compliance information to a user, the system comprising:
 a compliance information manager which gathers compliance information from one or more sources;   a preference database which stores data regarding delivery instructions for at least one user;   a distribution controller which determines how a user should receive compliance information based on said delivery instructions; and   a distribution manager which initiates publication of at least a portion of the compliance information to the user based on a determination made by the distribution controller.   
     
     
         2 . The system of  claim 1  wherein the publication comprises sending a physical copy of the portion of the compliance information to the user. 
     
     
         3 . The system of  claim 1  wherein the distribution controller is located on the same machine as the distribution manager. 
     
     
         4 . The system of  claim 1  wherein the publication initiated by the distribution manager is executed by publishing the portion of the compliance information to the user in an electronic format. 
     
     
         5 . The system of  claim 1  wherein the distribution controller determines how a user should receive compliance information further based on compliance rules governing said compliance information 
     
     
         6 . The system of  claim 4  wherein the portion of the compliance information is contained in the body of an e-mail message. 
     
     
         7 . The system of  claim 4  wherein the portion of the compliance information is sent as an attachment to an e-mail message. 
     
     
         8 . The system of  claim 4  wherein the portion of the compliance information in electronic format is located on an information storage device sent to the user. 
     
     
         9 . The system of  claim 4  wherein the portion of the compliance information in electronic format is stored on a server which is accessed by the user. 
     
     
         10 . The system of  claim 9  wherein the server is located on the same machine as the distribution manager. 
     
     
         11 . The system of  claim 1  wherein the distribution manager formats the portion of the compliance information prior to publication. 
     
     
         12 . The system of  claim 1  wherein the data regarding delivery instructions stored by the preference database includes preferences of the user. 
     
     
         13 . The system of  claim 1  wherein the data regarding delivery instructions stored by the preference database includes preferences of a brokerage. 
     
     
         14 . The system of  claim 1  wherein the compliance information comprises securities information. 
     
     
         15 . The system of  claim 14  wherein the securities information comprises at least one mutual fund prospectus. 
     
     
         16 . The system of  claim 1  wherein at least a portion of the compliance information gathered by the compliance information manager is obtained from EDGAR. 
     
     
         17 . The system of  claim 1  wherein at least a portion of the compliance information gathered by the compliance information manager is obtained from a brokerage. 
     
     
         18 . The system of  claim 1  wherein at least a portion of the compliance information gathered by the compliance information manager is obtained from a publicly traded corporation. 
     
     
         19 . The system of  claim 1  wherein the distribution manager records the publication of at least a portion of the compliance information to the user. 
     
     
         20 . The system of  claim 1  wherein the distribution manager reports the publication of at least a portion of the compliance information to the user to a brokerage.