USPTO serial 88770817
FINRA CAT
Reviewed by CopyMark Law Group
- Filing date
- Status date
- Registration date
- Nov 2, 2021
- Examiner
- RIOS, SASHA BOSHART
- Law office
- PUBLICATION AND ISSUE SECTION
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 D.C, 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 D.C, DC
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
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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 | — |
| Nov 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. |
| Sep 29, 2021 | SUNA | NOTICE OF ACCEPTANCE OF STATEMENT OF USE E-MAILED | — |
| Sep 28, 2021 | CNPR | ALLOWED PRINCIPAL REGISTER - SOU ACCEPTED | — |
| Aug 27, 2021 | DOCK | ASSIGNED TO EXAMINER | — |
| Aug 24, 2021 | 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. |
| Aug 13, 2021 | SUPC | STATEMENT OF USE PROCESSING COMPLETE | — |
| Mar 13, 2021 | EXRA | NOTICE OF APPROVAL OF EXTENSION REQUEST E-MAILED | — |
| Mar 12, 2021 | EX1G | SOU EXTENSION 1 GRANTED | — |
| Mar 9, 2021 | AITU | CASE ASSIGNED TO INTENT TO USE PARALEGAL | — |
| Feb 22, 2021 | IUAF | USE AMENDMENT FILED | — |
| Feb 22, 2021 | EXT1 | SOU EXTENSION 1 FILED | — |
| Feb 22, 2021 | 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. |
| Feb 22, 2021 | 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. |
| Aug 25, 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. |
| Jun 30, 2020 | NPUB | OFFICIAL GAZETTE PUBLICATION CONFIRMATION E-MAILED | — |
| Jun 30, 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. |
| Jun 10, 2020 | NONP | NOTIFICATION OF NOTICE OF PUBLICATION E-MAILED | — |
| May 12, 2020 | PBCR | WITHDRAWN FROM PUB - OG REVIEW QUERY | — |
| Apr 28, 2020 | ALIE | ASSIGNED TO LIE | — |
| Apr 21, 2020 | CNSA | APPROVED FOR PUB - PRINCIPAL REGISTER | — |
| Apr 21, 2020 | XAEC | EXAMINER'S AMENDMENT ENTERED | — |
| Apr 21, 2020 | GNEN | NOTIFICATION OF EXAMINERS AMENDMENT E-MAILED | — |
| Apr 21, 2020 | GNEA | EXAMINERS AMENDMENT E-MAILED | — |
| Apr 21, 2020 | CNEA | EXAMINERS AMENDMENT -WRITTEN | — |
| Apr 13, 2020 | DOCK | ASSIGNED TO EXAMINER | — |
| Jan 27, 2020 | NWOS | NEW APPLICATION OFFICE SUPPLIED DATA ENTERED | — |
| Jan 27, 2020 | NWAP | NEW APPLICATION ENTERED | — |