USPTO serial 78137593
SECURITIES REGULATOR
Reviewed by CopyMark Law Group
- Filing date
- Status date
- Registration date
- —
- Examiner
- SMITH, REBECCA A
- Law office
- FILE REPOSITORY (FRANCONIA)
What this means
These status codes mean the trademark application is abandoned and no longer pending. Common reasons include missing an Office Action response (600), filing without a valid basis (602), express abandonment by the applicant (604), or failure to respond to an examiner's inquiry (618). Revival may be possible in limited circumstances. If abandonment was unintentional, consult counsel about a petition to revive. Otherwise file a new application if protection is still needed.
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Owner
New York, NY
Goods and services
| Class | Description | Status | First use |
|---|---|---|---|
| 036 | The Securities Regulator manages a securities firm's compliance requirements and training for both Firm and Regulatory Elements The product encompasses course content, tracking and reporting, and compliance applications It provides the administrator with the ability to conduct annual branch audits, annual assessments for Firm Element and tracking for Regulatory Element training In addition, the administrator can register new registered representatives and administrate existing ones, manage disclosure of outside business activities and accounts, and conduct a comprehensive Online Annual Compliance Meeting These features are all integrated with the NASD's Web CRD database into one Internet-based application to help the firm meets its regulatory requirements and to keep its employees informed about the latest regulatory changes in the industry The product includes-- Online financial services course library Update training Searchable knowledge database Tracking and reporting available 24/7 via a secure online administration application Course authoring tool with wizard and authoring functionality Live online Webcast training A suite of Supervision and Registration compliance applications integrated with Web CRD These include-- § Annual Online Compliance Meeting § Annual Compliance Meeting Tracker which handles the scheduling and tracking of attendance at the online or classroom-based annual compliance meeting § Annual Assessment which surveys representatives and obtains up-to-date information through an online questionnaire § Branch Audit Manager which allows you to schedule and track complete audits for both the branch and non-registered locations requirement § Online Complaint Manager which tracks customer complaints against firm registered representatives § Disclosure of Outside Business Activities and Outside Accounts § Registration Management, which provides the ability to manage the registration, status changes and termination of, registered representatives § Up-to-date records of registered personnel § Regulatory Element training tracking and scheduling | ACTIVE | Jun 21, 2002 |
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.
Prosecution history
| Date | Code | Event | What it means |
|---|---|---|---|
| Mar 15, 2004 | PAPER RECEIVED | — | |
| Feb 11, 2004 | ABN2 | ABANDONMENT - FAILURE TO RESPOND OR LATE RESPONSE | The trademark application was abandoned because a required response or document was not filed by the deadline — usually a missed Office Action response. The application is dead unless a petition to revive is granted within a limited time. |
| Jun 10, 2003 | GNRT | NON-FINAL ACTION E-MAILED | A non-final Office Action means the USPTO examining attorney has raised at least one issue with your trademark application but has not made a final decision. You usually have three months to respond with arguments, amendments, or evidence. Missing the deadline can abandon the application. |
| Apr 24, 2003 | AUPC | AMENDMENT TO USE PROCESSING COMPLETE | — |
| Apr 24, 2003 | IUAF | USE AMENDMENT FILED | — |
| Apr 24, 2003 | CRFA | CORRESPONDENCE RECEIVED IN LAW OFFICE | — |
| Apr 24, 2003 | 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. |
| Nov 5, 2002 | GNRT | NON-FINAL ACTION E-MAILED | A non-final Office Action means the USPTO examining attorney has raised at least one issue with your trademark application but has not made a final decision. You usually have three months to respond with arguments, amendments, or evidence. Missing the deadline can abandon the application. |
| Oct 23, 2002 | DOCK | ASSIGNED TO EXAMINER | — |