Word

FINRA

Status

Registered

Status Code

700

Status Date

Tuesday, August 4, 2020

Serial Number

88613203

Registration Number

6120509

Registration Date

Tuesday, August 4, 2020

Mark Type

5000

Filing Date

Wednesday, September 11, 2019

Published for Opposition

Tuesday, January 14, 2020

Trademark Owner History

Financial Industry Regulatory Authority, Inc. - Original Registrant

Classifications

41 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

9 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

36 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

35 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

45 Arbitration, mediation and dispute resolution services

42 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

The mark consists of the stylized letters "FINRA".
Color is not claimed as a feature of the mark.

Trademark Events

Mar 14, 2024

Teas Change Of Correspondence Received

Mar 14, 2024

Attorney/Dom.Rep.Revoked And/Or Appointed

Mar 14, 2024

Teas Revoke/App/Change Addr Of Atty/Dom Rep Received

Mar 14, 2024

Applicant/Correspondence Changes (Non-Responsive) Entered

Mar 14, 2024

Teas Change Of Owner Address Received

Aug 4, 2020

Registered-Principal Register

Jun 30, 2020

Notice Of Acceptance Of Statement Of Use E-Mailed

Jun 29, 2020

Allowed Principal Register - Sou Accepted

Jun 17, 2020

Statement Of Use Processing Complete

May 27, 2020

Use Amendment Filed

Jun 17, 2020

Case Assigned To Intent To Use Paralegal

May 27, 2020

Teas Statement Of Use Received

Mar 10, 2020

Noa E-Mailed - Sou Required From Applicant

Jan 14, 2020

Official Gazette Publication Confirmation E-Mailed

Jan 14, 2020

Published For Opposition

Dec 25, 2019

Notification Of Notice Of Publication E-Mailed

Dec 9, 2019

Assigned To Lie

Dec 3, 2019

Approved For Pub - Principal Register

Dec 3, 2019

Examiner's Amendment Entered

Dec 3, 2019

Notification Of Examiners Amendment E-Mailed

Dec 3, 2019

Examiners Amendment E-Mailed

Dec 3, 2019

Examiners Amendment -Written

Dec 2, 2019

Assigned To Examiner

Sep 20, 2019

New Application Office Supplied Data Entered

Sep 14, 2019

New Application Entered