USPTO serial 77976554
FINRA
Reviewed by CopyMark Law Group
- Filing date
- Status date
- Registration date
- Apr 7, 2009
- Examiner
- LUKEN, BONNIE
- Law office
- GENERIC WEB UPDATE
What this means
Status 800 means the registration was renewed after acceptable combined Section 8 and Section 9 filings. The mark remains registered for another 10-year term with active federal protection. Calendar the next Section 8 and 9 deadline in 10 years and maintain monitoring.
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Current trademark owner
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File a new U.S. trademark application, or speak with our attorneys.
Owner
FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
WASHINGTON, DC
Other trademarks owned by FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
WASHINGTON, DC
Other trademarks owned by FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
Washington, DC
Other trademarks owned by FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
National Association of Securities Dealers, Inc.
Washington, DC
Other trademarks owned by National Association of Securities Dealers, Inc.
Attorney of record
The USPTO lists this attorney as the applicant's representative for correspondence on this application.
Aaron D. Hendelman
Aaron D. Hendelman WILSON SONSINI GOODRICH & ROSATI650 Page Mill RoadPalo Alto, CA 94304United StatesGoods and services
| Class | Description | Status | First use |
|---|---|---|---|
| 009 | Computer software containing accessible databases and computer software used to access online databases, both pertaining to licensing, employment and disciplinary information of professionals in the securities and investment advisor industries; computer programs for training, testing, and certification of professional and employment skills and abilities; downloadable podcasts with information related to securities, equities and financial investments | ACTIVE | Jul 30, 2007 |
| 014 | Lapel pins [ and watches ] | ACTIVE | Jul 30, 2007 |
| 016 | Printed matter, namely, manuals, newsletters, brochures, pamphlets and leaflets regarding regulations and requirements pertaining to the securities and investment advisor industries and corporate bonds; and regarding databases containing employment, licensing and disciplinary information on professionals in the securities and investment advisor industries; printed educational materials regarding regulation in the area of securities, investor education, trading of securities and corporate bonds, the securities and investment advisor industries and corporate bond markets; business cards; stationery; notepads; pens | ACTIVE | Jul 30, 2007 |
| 035 | Providing services to regulate the securities industry in order to maintain the integrity of the marketplace for the benefit and protection of investors, namely, providing and maintaining a registry of member firms and their employees, investment advisors and individuals and entities within the securities and investment industry; promoting the services of others, namely, advertising and marketing a series of discounted insurance, mail delivery and telecommunications services to members; on-line retail store services featuring booklets and manuals dealing with the securities and investment industry, and featuring clothing, hats, bags, office supplies and accessories, watches, paper goods, umbrellas, and coffee mugs; business services for others, namely, providing an online database featuring employment and disciplinary information regarding professionals in the securities and investment advisor industries; providing for others an on-line computer database with information regarding the professional background, business practices and conduct of registered financial brokerage firms and their registered employees and investment advisors; providing for others information regarding the professional background, business practices and conduct of registered financial brokerage firms and their registered employees in response to telephone and email inquiries; providing for others monitoring and information concerning securities markets around the world to determine compliance with regulations; association services, namely, creating and enforcing rules that govern the conduct of securities investment firms and their employees; regulating the securities and investment industries, namely, enforcement of securities regulations and securities trade rules, investigation to evaluate compliance with securities regulations and securities trade rules, disciplining securities firms and individuals who violate securities rules and laws, and investigation of investor complaints regarding the business conduct of an investment firm or professional; testing and examination to determine professional competency of brokerage firms and their employees | ACTIVE | Jul 30, 2007 |
| 036 | Financial consulting services for others, namely, providing analysis of securities market regulations, management and operations, providing advice regarding the structure and regulation of securities markets; providing an on-line computer database of information in the field of securities and equities trading, corporate bond transactions, securities regulation, financial investments, namely, securities, securities firms, broker/dealers and investment advisors, grants, investor protection, and rules to govern securities day-trading activities; providing an on-line computer database with information regarding pricing and quotes for bonds, equities and securities, reports on bonds, equities and securities trades, and comparisons of bonds, equities and securities trades | ACTIVE | Jul 30, 2007 |
| 041 | Educational services, namely, conducting seminars, conferences and workshops in the fields of securities regulation and compliance, investor education, and providing continuing education programs for securities industry professionals | ACTIVE | Jul 30, 2007 |
| 045 | Arbitration, mediation and dispute resolution services | ACTIVE | Jul 30, 2007 |
Related trademarks
CopyMark links this record to cited §2(d) serials, the owner's other marks, Nice classes, similar mark names, and recently changed USPTO applications.
- Other trademarks owned by FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
- Other trademarks owned by FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
- Other trademarks owned by FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
- Other trademarks owned by National Association of Securities Dealers, Inc.
- Other trademarks in Class 009
- Other trademarks in Class 014
- Other trademarks in Class 016
- Other trademarks in Class 035
- Other trademarks in Class 036
- Other trademarks in Class 041
- Other trademarks in Class 045
- Similar marks named FINRA
- Recently changed USPTO trademarks
- Recently filed trademarks
- Browse all trademark records
Prosecution history
| Date | Code | Event | What it means |
|---|---|---|---|
| Mar 14, 2024 | TCCA | TEAS CHANGE OF CORRESPONDENCE RECEIVED | — |
| Mar 14, 2024 | ARAA | ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED | This event means the applicant filed a response to a USPTO Office Action — typically arguments, amendments, or evidence addressing the examiner's objections. The USPTO will review the response and either allow the mark to proceed or issue another action. |
| Mar 14, 2024 | REAP | TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED | — |
| Mar 14, 2024 | CHAN | APPLICANT/CORRESPONDENCE CHANGES (NON-RESPONSIVE) ENTERED | — |
| Mar 14, 2024 | COAR | TEAS CHANGE OF OWNER ADDRESS RECEIVED | — |
| Jun 12, 2019 | NA89 | NOTICE OF ACCEPTANCE OF SEC. 8 & 9 - E-MAILED | — |
| Jun 12, 2019 | RNL1 | REGISTERED AND RENEWED (FIRST RENEWAL - 10 YRS) | The trademark registration was renewed for another 10-year term after acceptable maintenance filings. RNL1, RNL2, and RNL3 indicate which renewal cycle (first, second, or third 10-year term) was recorded. The registration remains active. |
| Jun 12, 2019 | 89AG | REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED | The USPTO accepted your combined Section 8 declaration and Section 9 renewal application. The registration is renewed for another 10-year term. The next combined maintenance filing will be due at the following 10-year anniversary. |
| Jun 12, 2019 | APRE | CASE ASSIGNED TO POST REGISTRATION PARALEGAL | — |
| May 7, 2019 | E89R | TEAS SECTION 8 & 9 RECEIVED | — |
| Apr 7, 2018 | REM2 | COURTESY REMINDER - SEC. 8 (10-YR)/SEC. 9 E-MAILED | — |
| Jun 7, 2017 | NOSU | NOTICE OF SUIT | — |
| Jun 7, 2017 | NOSU | NOTICE OF SUIT | — |
| Jan 17, 2017 | ARAA | ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED | This event means the applicant filed a response to a USPTO Office Action — typically arguments, amendments, or evidence addressing the examiner's objections. The USPTO will review the response and either allow the mark to proceed or issue another action. |
| Jan 17, 2017 | REAP | TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED | — |
| Apr 28, 2015 | NA85 | NOTICE OF ACCEPTANCE OF SEC. 8 & 15 - E-MAILED | — |
| Apr 28, 2015 | C15A | REGISTERED - SEC. 8 (6-YR) ACCEPTED & SEC. 15 ACK. | — |
| Apr 28, 2015 | APRE | CASE ASSIGNED TO POST REGISTRATION PARALEGAL | — |
| Apr 15, 2015 | E815 | TEAS SECTION 8 & 15 RECEIVED | — |
| Apr 15, 2015 | TCCA | TEAS CHANGE OF CORRESPONDENCE RECEIVED | — |
| Jan 29, 2014 | ARAA | ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED | This event means the applicant filed a response to a USPTO Office Action — typically arguments, amendments, or evidence addressing the examiner's objections. The USPTO will review the response and either allow the mark to proceed or issue another action. |
| Jan 29, 2014 | REAP | TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED | — |
| Apr 7, 2009 | R.PR | REGISTERED-PRINCIPAL REGISTER | Your trademark is registered on the Principal Register — the strongest form of federal trademark protection. You may use the ® symbol for the covered goods and services. Maintenance filings (Section 8 and renewals) are required to keep the registration alive. |
| Mar 4, 2009 | REGV | LAW OFFICE REGISTRATION REVIEW COMPLETED | — |
| Mar 3, 2009 | CNPR | ALLOWED PRINCIPAL REGISTER - SOU ACCEPTED | — |
| Feb 2, 2009 | SUPC | STATEMENT OF USE PROCESSING COMPLETE | — |
| Feb 2, 2009 | DPCC | DIVISIONAL PROCESSING COMPLETE | — |
| Feb 2, 2009 | AITU | CASE ASSIGNED TO INTENT TO USE PARALEGAL | — |
| Jan 13, 2009 | IUAF | USE AMENDMENT FILED | — |
| Jan 13, 2009 | DRRR | DIVISIONAL REQUEST RECEIVED | — |
| Jan 13, 2009 | ERTD | TEAS REQUEST TO DIVIDE RECEIVED | — |
| Jan 13, 2009 | EISU | TEAS STATEMENT OF USE RECEIVED | The applicant filed a Statement of Use with specimens showing the mark in actual commerce. The USPTO will review the filing for compliance. If accepted, the mark can proceed to registration; if deficient, the USPTO may issue a requirement or office action. |
| Jul 15, 2008 | NOAM | NOA MAILED - SOU REQUIRED FROM APPLICANT | A Notice of Allowance means your intent-to-use application cleared examination and opposition but is not registered yet. You must file a Statement of Use showing the mark in commerce, or request an extension, before the deadline — usually six months from the notice date. |
| Apr 22, 2008 | PUBO | PUBLISHED FOR OPPOSITION | Your mark was published in the USPTO Official Gazette for a 30-day opposition window. During that period, third parties who believe they would be harmed can file an opposition. If no opposition is filed, prosecution usually continues toward registration or a Notice of Allowance. |
| Apr 2, 2008 | NPUB | NOTICE OF PUBLICATION | — |
| Mar 17, 2008 | PREV | LAW OFFICE PUBLICATION REVIEW COMPLETED | — |
| Mar 17, 2008 | ALIE | ASSIGNED TO LIE | — |
| Feb 27, 2008 | CNSA | APPROVED FOR PUB - PRINCIPAL REGISTER | — |
| Feb 27, 2008 | XAEC | EXAMINER'S AMENDMENT ENTERED | — |
| Feb 27, 2008 | GNEN | NOTIFICATION OF EXAMINERS AMENDMENT E-MAILED | — |
| Feb 27, 2008 | GNEA | EXAMINERS AMENDMENT E-MAILED | — |
| Feb 27, 2008 | CNEA | EXAMINERS AMENDMENT -WRITTEN | — |
| Jan 28, 2008 | TEME | TEAS/EMAIL CORRESPONDENCE ENTERED | — |
| Jan 28, 2008 | CRFA | CORRESPONDENCE RECEIVED IN LAW OFFICE | — |
| Jan 28, 2008 | TROA | TEAS RESPONSE TO OFFICE ACTION RECEIVED | This event means the applicant filed a response to a USPTO Office Action — typically arguments, amendments, or evidence addressing the examiner's objections. The USPTO will review the response and either allow the mark to proceed or issue another action. |
| Aug 29, 2007 | ASGN | AUTOMATIC UPDATE OF ASSIGNMENT OF OWNERSHIP | — |
| Aug 2, 2007 | GPRN | NOTIFICATION OF PRIORITY ACTION E-MAILED | A priority action is a type of Office Action the USPTO treats as time-sensitive. It usually means the examining attorney needs a specific response or amendment quickly — often relating to a foreign priority claim or a formal requirement. Respond within the stated deadline. |
| Aug 2, 2007 | GPRA | PRIORITY ACTION E-MAILED | A priority action is a type of Office Action the USPTO treats as time-sensitive. It usually means the examining attorney needs a specific response or amendment quickly — often relating to a foreign priority claim or a formal requirement. Respond within the stated deadline. |
| Aug 2, 2007 | CPRA | PRIORITY ACTION WRITTEN | A priority action is a type of Office Action the USPTO treats as time-sensitive. It usually means the examining attorney needs a specific response or amendment quickly — often relating to a foreign priority claim or a formal requirement. Respond within the stated deadline. |
| Jul 19, 2007 | DOCK | ASSIGNED TO EXAMINER | — |
| Jul 13, 2007 | NWAP | NEW APPLICATION ENTERED | — |