USPTO serial 99525072
CAPROCK
Reviewed by CopyMark Law Group
Status 760
- Filing date
- Status date
- Registration date
- —
- Examiner
- WHELAN, JAIME M
- Law office
- TMO LAW OFFICE 129
What this means
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Owner
Attorney of record
The USPTO lists this attorney as the applicant's representative for correspondence on this application.
KENNETH RITZ
KENNETH RITZ CAHILL GORDON & REINDEL LLP32 OLD SLIPNEW YORK, NY 10005UNITED STATESGoods and services
| Class | Description | Status | First use |
|---|---|---|---|
| 009 | Downloadable computer software, computer software platforms, application software, interactive software, and computer operating systems for use in capital markets infrastructure, managed account platforms, investment operations, transaction processing and settlement, portfolio administration, and payment processing and investment operations management; downloadable computer software, computer software platforms, application software, interactive software, software applications and computer operating systems for use in trading of financial instruments, equities, securities, bonds, funds, foreign exchange, derivatives, options, futures, commodities, digital assets and tokenised financial assets; downloadable computer software, computer software platforms, application software, interactive software, software applications and computer operating systems for use in settlement of financial transactions, securities transactions, payment transactions and investment transactions; downloadable computer software, computer software platforms, application software, interactive software, software applications and computer operating systems for use in custody administration of financial and digital assets, namely, electronic recordkeeping, administration and safekeeping of data and records evidencing ownership of securities, bonds, funds, financial assets, digital assets and tokenised financial assets; downloadable computer software, computer software platforms, application software, interactive software, software applications and computer operating systems for use in trustee services, namely, administering trustee obligations, maintaining trust and investor records, processing investment instructions, calculating and processing investor distributions, monitoring compliance and managing compliance workflows, generating reports and investor communications, and supporting managed investment scheme and fund administration; downloadable computer software, computer software platforms, application software, interactive software, and computer operating systems for use in execution, clearing, settlement of transactions in financial instruments, custodial safekeeping of financial instruments, facilitating commercial transactions and portfolio management; downloadable software for client onboarding and financial administration; downloadable software for use in collecting, analysing, storing, transmitting and reporting data and financial information; downloadable computer software for use in facilitating and processing electronic payments; downloadable software for use in recordkeeping, reconciliation, reporting, administration, transaction processing, investor onboarding, compliance monitoring and document management relating to custody, trustee and managed account services; downloadable software for use in securities settlement, payment settlement, investment transaction settlement, and clearing of financial transactions; downloadable electronic publications in the nature of magazines, books and periodicals in the field of financial services, capital markets, investment management and financial technology; downloadable electronic databases in the field of financial services, capital markets, investment management and financial technology | ACTIVE | — |
| 035 | Business administration, business administration assistance, business data analysis, business information analysis, and business operations analysis all relating to capital markets infrastructure, managed account platforms, and transaction processing and settlement; data management services for use in data collection, compilation, management, processing and retrieval relating to capital markets infrastructure, managed account platforms, and transaction processing and settlement; settlement of commercial transactions for third parties relating to institutional trading; database management in the nature of maintaining and updating data in databases relating to capital markets infrastructure, managed account platforms, and transaction processing and settlement, for business or commercial purposes; collection, acquisition, compilation, dissemination and provision of business and commercial data, statistics and information relating to capital markets and financial transactions; customer support services in the nature of responding to account enquiries, billing enquiries, customer complaint enquiries and sales relating to capital markets infrastructure, managed account platforms, and transaction processing and settlement; all the foregoing not offered in connection with training, leadership, or team equipping services | ACTIVE | — |
| 036 | Capital markets infrastructure services, namely, financial transaction processing, clearing and settlement services, and financial administration of investment transactions and financial assets in the nature of record-keeping, reconciliation and reporting, maintenance of registers of holders of securities, and processing of distributions to holders of securities; managed account platform services, namely, financial administration of managed account platforms in the nature of investment account record-keeping, transaction processing, and reporting and reconciliation services provided through managed account platforms; investment trusteeship, namely, acting as security trustee on behalf of secured creditors and as note trustee on behalf of holders of debt securities; financial administration services relating to the operation of managed investment schemes and funds, namely, unit registry, investor record-keeping, and processing of subscriptions, redemptions and distributions; processing, clearing and settling of transactions for financial, monetary, and payment purposes through capital markets infrastructure; financial securities settlement and clearing services; providing secure commercial transactions and payment options via managed account platforms; payment processing services, namely, electronic payment processing, investment transaction payment processing, fund subscription and redemption payment processing, and payment processing relating to financial transactions; providing financial administration services relating to the operation of trade desk facilities, namely, administration and processing of trades in financial securities and financial instruments; payment services in the nature of electronic commerce (ecommerce) payment services; financial custodial services for the administration of securities, bonds and financial instruments; corporate trustee services in relation to managed investment schemes and funds; all of the foregoing services relating to capital markets infrastructure, managed account platforms, transaction processing, settlement, clearing, custody, and trustee administration, namely, operational financial infrastructure services for the processing, settlement, clearing, custody, trusteeship, and administration of financial transactions and financial assets, including the provision of all the aforementioned services electronically, including via the internet | ACTIVE | — |
| 042 | Providing temporary use of online non-downloadable software, computer software, interactive software, cloud-based software and web-based software for use in capital markets infrastructure, managed account platforms, investment operations, transaction processing and settlement, portfolio administration, and payment processing and investment operations management; providing temporary use of online non-downloadable software, computer software, interactive software, cloud-based software and web-based software for use in trading of financial instruments, equities, securities, bonds, funds, foreign exchange, derivatives, options, futures, commodities, digital assets and tokenised financial assets; providing temporary use of online non-downloadable software, computer software, interactive software, cloud-based software and web-based software for use in settlement of financial transactions, securities transactions, payment transactions and investment transactions; providing temporary use of online non-downloadable software, computer software, interactive software, cloud-based software and web-based software for use in custody administration of financial and digital assets, namely, electronic recordkeeping, administration and safekeeping of data and records evidencing ownership of securities, bonds, funds, financial assets, digital assets and tokenised financial assets; providing temporary use of online non-downloadable software, computer software, interactive software, cloud-based software and web-based software for use in trustee services, namely, administering trustee obligations, maintaining trust and investor records, processing investment instructions, calculating and processing investor distributions, monitoring compliance and managing compliance workflows, generating reports and investor communications, and supporting managed investment scheme and fund administration; providing temporary use of online non-downloadable software for use in execution, clearing, settlement of transactions in financial instruments, custodial safekeeping of financial instruments, facilitating commercial transactions and portfolio management for institutional and wholesale clients; providing temporary use of online non-downloadable software for use in client onboarding and financial administration; providing temporary use of online non-downloadable software for use in collecting, analysing, storing, transmitting and reporting data and financial information; providing temporary use of online non-downloadable software for use in facilitating and processing electronic payments; providing temporary use of online non-downloadable software for use in recordkeeping, reconciliation, reporting, administration, transaction processing, investor onboarding, compliance monitoring and document management relating to custody, trustee and managed account services; providing temporary use of online non-downloadable software for use in securities settlement, payment settlement, investment transaction settlement, and clearing of financial transactions; electronic storage of data relating to capital markets infrastructure, managed account platforms, investment operations, transaction processing and settlement, and portfolio administration; provision of computer software services, namely, software as a service (SaaS) for use in the dissemination of computerised data relating to capital markets, investment portfolios, and financial transactions; information technology (IT) consultancy relating to capital markets infrastructure, managed account platforms, investment operations, transaction processing and settlement, and portfolio administration; information technology (IT) services in the nature of computer hardware, software and peripherals design and technical consultancy relating to capital markets infrastructure, managed account platforms, investment operations, transaction processing and settlement, and portfolio administration; computer support services in the nature of computer programming and software installation, repair and maintenance services; computer support services in the nature of computer software advisory and information services; computer support services being installation, repair and maintenance of network software; hosting of databases, websites, web portals, servers and digital platforms relating to capital markets infrastructure, managed account platforms, investment operations, transaction processing and settlement, and portfolio administration; software as a service (SaaS) services for use in capital markets infrastructure, managed account platforms, investment operations, transaction processing and settlement, and portfolio administration; platform as a Service (PaaS) services featuring software for use in capital markets infrastructure, managed account platforms, investment operations, transaction processing and settlement, and portfolio administration; providing data as a service (DaaS) services featuring software for use in capital markets infrastructure, managed account platforms, investment operations, transaction processing and settlement, and portfolio administration; backend as a service (BaaS) services featuring software for use in capital markets infrastructure, managed account platforms, investment operations, transaction processing and settlement, and portfolio administration; application service provider (ASP) services featuring software for use in capital markets infrastructure, managed account platforms, investment operations, transaction processing and settlement, and portfolio administration; installation, repair and maintenance of computer software, firmware and middleware; computer software installation, repair and maintenance services; cloud computing featuring software for use in managing and facilitating capital markets infrastructure, managed account platforms, investment operations, transaction processing and settlement, and portfolio administration; providing virtual computer systems through cloud computing; updating and maintaining computer software; design and development of software relating to capital markets infrastructure, managed account platforms, investment operations, transaction processing and settlement, and portfolio administration, custody, trustee services, payment processing, and investment management; information, advisory and consultancy services in relation to the aforementioned services | ACTIVE | — |
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 |
|---|---|---|---|
| Nov 9, 2026 | EXPI | EX PARTE APPEAL-INSTITUTED | — |
| Nov 9, 2026 | JURT | JURISDICTION RESTORED TO EXAMINING ATTORNEY | — |
| Nov 9, 2026 | EXAF | EXPARTE APPEAL RECEIVED AT TTAB | — |
| Nov 6, 2026 | TEME | TEAS/EMAIL CORRESPONDENCE ENTERED | — |
| Nov 6, 2026 | CRFA | CORRESPONDENCE RECEIVED IN LAW OFFICE | — |
| Nov 6, 2026 | ERFR | TEAS REQUEST FOR RECONSIDERATION RECEIVED | — |
| Aug 7, 2026 | GNFN | NOTIFICATION OF FINAL REFUSAL EMAILED | — |
| Aug 7, 2026 | GNFR | FINAL REFUSAL E-MAILED | A final Office Action (final refusal) means the examining attorney is maintaining at least one refusal and your options are narrower. You can file a response addressing the refusal, appeal to the Trademark Trial and Appeal Board, or let the application abandon. |
| Aug 7, 2026 | CNFR | FINAL REFUSAL WRITTEN | A final Office Action (final refusal) means the examining attorney is maintaining at least one refusal and your options are narrower. You can file a response addressing the refusal, appeal to the Trademark Trial and Appeal Board, or let the application abandon. |
| Jul 9, 2026 | TEME | TEAS/EMAIL CORRESPONDENCE ENTERED | — |
| Jul 9, 2026 | CRFA | CORRESPONDENCE RECEIVED IN LAW OFFICE | — |
| Jul 9, 2026 | 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. |
| Apr 9, 2026 | 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. |
| Apr 9, 2026 | 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 9, 2026 | CNRT | 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. |
| Apr 6, 2026 | DOCK | ASSIGNED TO EXAMINER | — |
| Feb 12, 2026 | NWOS | NEW APPLICATION OFFICE SUPPLIED DATA ENTERED | — |
| Dec 2, 2025 | MAFR | APPLICATION FILING RECEIPT MAILED | — |
| Dec 2, 2025 | NWAP | NEW APPLICATION ENTERED | — |