USPTO serial 88613203
FINRA
Reviewed by CopyMark Law Group
- Filing date
- Status date
- Registration date
- Aug 4, 2020
- Examiner
- CHUO, EMILY M
- 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 |
|---|---|---|---|
| 009 | Downloadable computer software containing accessible databases and downloadable computer software used to access online databases, both pertaining to licensing, employment and disciplinary information of professionals in the securities and investment advisor industries; downloadable 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 |
| 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 |
| 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 | 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 in Class 009
- 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
- Recently changed USPTO trademarks
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Prosecution history
| Date | Code | Event | What it means |
|---|---|---|---|
| Oct 9, 2026 | NA85 | NOTICE OF ACCEPTANCE OF SEC. 8 & 15 - E-MAILED | — |
| Oct 9, 2026 | C15A | REGISTERED - SEC. 8 (6-YR) ACCEPTED & SEC. 15 ACK. | — |
| Oct 9, 2026 | APRE | CASE ASSIGNED TO POST REGISTRATION PARALEGAL | — |
| Jul 29, 2026 | E815 | TEAS SECTION 8 & 15 RECEIVED | — |
| Aug 4, 2025 | 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 | — |
| Aug 4, 2020 | 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. |
| Jun 30, 2020 | SUNA | NOTICE OF ACCEPTANCE OF STATEMENT OF USE E-MAILED | — |
| Jun 29, 2020 | CNPR | ALLOWED PRINCIPAL REGISTER - SOU ACCEPTED | — |
| Jun 17, 2020 | SUPC | STATEMENT OF USE PROCESSING COMPLETE | — |
| Jun 17, 2020 | AITU | CASE ASSIGNED TO INTENT TO USE PARALEGAL | — |
| May 27, 2020 | IUAF | USE AMENDMENT FILED | — |
| May 27, 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 3, 2019 | CNSA | APPROVED FOR PUB - PRINCIPAL REGISTER | — |
| Dec 3, 2019 | XAEC | EXAMINER'S AMENDMENT ENTERED | — |
| Dec 3, 2019 | GNEN | NOTIFICATION OF EXAMINERS AMENDMENT E-MAILED | — |
| Dec 3, 2019 | GNEA | EXAMINERS AMENDMENT E-MAILED | — |
| Dec 3, 2019 | CNEA | EXAMINERS AMENDMENT -WRITTEN | — |
| Dec 2, 2019 | DOCK | ASSIGNED TO EXAMINER | — |
| Sep 20, 2019 | NWOS | NEW APPLICATION OFFICE SUPPLIED DATA ENTERED | — |
| Sep 14, 2019 | NWAP | NEW APPLICATION ENTERED | — |