USPTO serial 88351274
FINRA CAT
Reviewed by CopyMark Law Group
- Filing date
- Status date
- Registration date
- Feb 2, 2021
- Examiner
- MAI, TINA HSIN
- Law office
- Historical data usage
What this means
This registration is in, or will soon enter, a USPTO maintenance window. Missing a Section 8 or Section 9 filing can cancel the registration.
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Owner
Financial Industry Regulatory Authority, Inc.
Washington, DC, US
Other trademarks owned by Financial Industry Regulatory Authority, Inc.
Financial Industry Regulatory Authority, Inc.
Washington, DC, US
Other trademarks owned by Financial Industry Regulatory Authority, Inc.
Financial Industry Regulatory Authority,Inc.
Washington, DC, US
Other trademarks owned by Financial Industry Regulatory Authority,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 |
|---|---|---|---|
| 035 | Business services, namely, maintaining a consolidated database of securities transactions; business management services relating to computer technologies, business automation, and customer support services; interactive record-keeping services for use in regulatory compliance by governmental and non-governmental professionals in the field of financial securities | ACTIVE | Apr 24, 2019 |
| 036 | Providing an online computer database with information regarding securities transactions; financial services, namely, storing, documenting and providing data relating to securities transactions; providing financial information relating to regulatory compliance in the financial securities industry | ACTIVE | Apr 24, 2019 |
| 041 | Educational services, namely, providing educational materials in the nature of non-downloadable brochures and information sheets in the fields of regulatory reporting of financial transactions, information security, and definition of financial securities data; planning and conducting educational events in the fields of reporting of financial transactions, information security, and definition of financial securities data, and distribution of educational materials in the nature of printed and downloadable brochures and information sheets in the fields of regulatory reporting of financial transactions, information security, and definition of financial securities data in connection therewith | ACTIVE | Apr 24, 2019 |
| 042 | Providing online non-downloadable software, namely, an online database pertaining to securities transactions, securities customer and account; providing online non-downloadable software, namely, an online repository for tracking, maintaining, processing and storing data; electronic data storage; providing online non-downloadable software, namely, providing software for monitoring, tracking, logging, analyzing, auditing and reporting in the fields of regulatory compliance and financial securities; Providing online non-downloadable software for archiving and retrieving data | ACTIVE | Apr 24, 2019 |
| 045 | Providing information relating to regulatory compliance in the financial securities industry | ACTIVE | Apr 24, 2019 |
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 in Class 035
- Other trademarks in Class 036
- Other trademarks in Class 041
- Other trademarks in Class 042
- Other trademarks in Class 045
- Similar marks named FINRA CAT
- Recently changed USPTO trademarks
- Recently filed trademarks
- Browse all trademark records
Prosecution history
| Date | Code | Event | What it means |
|---|---|---|---|
| Sep 2, 2026 | NA85 | NOTICE OF ACCEPTANCE OF SEC. 8 & 15 - E-MAILED | — |
| Sep 2, 2026 | C15A | REGISTERED - SEC. 8 (6-YR) ACCEPTED & SEC. 15 ACK. | — |
| Aug 24, 2026 | APRE | CASE ASSIGNED TO POST REGISTRATION PARALEGAL | — |
| May 26, 2026 | E815 | TEAS SECTION 8 & 15 RECEIVED | — |
| Feb 2, 2026 | REM1 | COURTESY REMINDER - SEC. 8 (6-YR) E-MAILED | — |
| 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 | — |
| Feb 2, 2021 | 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. |
| Dec 31, 2020 | SUNA | NOTICE OF ACCEPTANCE OF STATEMENT OF USE E-MAILED | — |
| Dec 30, 2020 | CNPR | ALLOWED PRINCIPAL REGISTER - SOU ACCEPTED | — |
| Dec 29, 2020 | TEME | TEAS/EMAIL CORRESPONDENCE ENTERED | — |
| Dec 29, 2020 | CRFA | CORRESPONDENCE RECEIVED IN LAW OFFICE | — |
| Dec 29, 2020 | 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. |
| Jul 3, 2020 | GNRN | NOTIFICATION OF 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. |
| Jul 3, 2020 | 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. |
| Jul 3, 2020 | CNRT | SU - NON-FINAL ACTION - WRITTEN | 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. |
| Jul 3, 2020 | GNRN | NOTIFICATION OF 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. |
| Jul 3, 2020 | 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. |
| Jul 3, 2020 | CNRT | SU - NON-FINAL ACTION - WRITTEN | 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. |
| Jun 26, 2020 | EXRA | NOTICE OF APPROVAL OF EXTENSION REQUEST E-MAILED | — |
| Jun 25, 2020 | SUPC | STATEMENT OF USE PROCESSING COMPLETE | — |
| Jun 25, 2020 | EX1G | SOU EXTENSION 1 GRANTED | — |
| Jun 25, 2020 | AITU | CASE ASSIGNED TO INTENT TO USE PARALEGAL | — |
| Jun 10, 2020 | IUAF | USE AMENDMENT FILED | — |
| Jun 10, 2020 | EXT1 | SOU EXTENSION 1 FILED | — |
| Jun 10, 2020 | EEXT | SOU TEAS EXTENSION RECEIVED | The applicant requested more time to file a Statement of Use before the Notice of Allowance deadline. Each extension typically adds six months. A limited number of extensions are available for intent-to-use applications not yet in use. |
| Jun 10, 2020 | 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. |
| Mar 10, 2020 | NOAM | NOA E-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. |
| Jan 14, 2020 | NPUB | OFFICIAL GAZETTE PUBLICATION CONFIRMATION E-MAILED | — |
| Jan 14, 2020 | 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. |
| Dec 25, 2019 | NONP | NOTIFICATION OF NOTICE OF PUBLICATION E-MAILED | — |
| Dec 9, 2019 | ALIE | ASSIGNED TO LIE | — |
| Dec 6, 2019 | CNSA | APPROVED FOR PUB - PRINCIPAL REGISTER | — |
| Dec 6, 2019 | XAEC | EXAMINER'S AMENDMENT ENTERED | — |
| Dec 6, 2019 | GNEN | NOTIFICATION OF EXAMINERS AMENDMENT E-MAILED | — |
| Dec 6, 2019 | GNEA | EXAMINERS AMENDMENT E-MAILED | — |
| Dec 6, 2019 | CNEA | EXAMINERS AMENDMENT -WRITTEN | — |
| Dec 6, 2019 | XAEC | EXAMINER'S AMENDMENT ENTERED | — |
| Dec 6, 2019 | GNEN | NOTIFICATION OF EXAMINERS AMENDMENT E-MAILED | — |
| Dec 6, 2019 | GNEA | EXAMINERS AMENDMENT E-MAILED | — |
| Dec 6, 2019 | CNEA | EXAMINERS AMENDMENT -WRITTEN | — |
| Dec 4, 2019 | TEME | TEAS/EMAIL CORRESPONDENCE ENTERED | — |
| Dec 3, 2019 | CRFA | CORRESPONDENCE RECEIVED IN LAW OFFICE | — |
| Dec 3, 2019 | 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. |
| Jun 9, 2019 | 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. |
| Jun 9, 2019 | 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. |
| Jun 9, 2019 | 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. |
| May 31, 2019 | DOCK | ASSIGNED TO EXAMINER | — |
| Apr 9, 2019 | NWOS | NEW APPLICATION OFFICE SUPPLIED DATA ENTERED | — |
| Mar 25, 2019 | NWAP | NEW APPLICATION ENTERED | — |