FINRA

Live / Registered — Registered (as of 04 Aug 2020)

What this means for you

Registered since 04 Aug 2020. The owner can stop confusingly similar uses in the classes it covers.

Record

Serial number
88613203
Registration number
6120509
Mark type
Word mark
Filed
11 Sept 2019
Published for opposition
14 Jan 2020
Registered
04 Aug 2020
Attorney of record
Aaron D. Hendelman

Goods and services

  • Class 009 — Scientific and electric apparatus: 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
  • Class 035 — Advertising and business services: 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
  • Class 036 — Insurance and financial services: 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
  • Class 041 — Education and entertainment services: 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
  • Class 042 — Scientific and technological services: 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
  • Class 045 — Legal and security services: Arbitration, mediation and dispute resolution services

Owner

Prior registrations

Prosecution history

  • 04 Aug 2025 — COURTESY REMINDER - SEC. 8 (6-YR) E-MAILED
  • 14 Mar 2024 — TEAS CHANGE OF CORRESPONDENCE RECEIVED
  • 14 Mar 2024 — ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED
  • 14 Mar 2024 — TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED
  • 14 Mar 2024 — APPLICANT/CORRESPONDENCE CHANGES (NON-RESPONSIVE) ENTERED
  • 14 Mar 2024 — TEAS CHANGE OF OWNER ADDRESS RECEIVED
  • 04 Aug 2020 — REGISTERED-PRINCIPAL REGISTER
  • 30 Jun 2020 — NOTICE OF ACCEPTANCE OF STATEMENT OF USE E-MAILED
  • 29 Jun 2020 — ALLOWED PRINCIPAL REGISTER - SOU ACCEPTED
  • 17 Jun 2020 — STATEMENT OF USE PROCESSING COMPLETE
  • 27 May 2020 — USE AMENDMENT FILED
  • 17 Jun 2020 — CASE ASSIGNED TO INTENT TO USE PARALEGAL
  • 27 May 2020 — TEAS STATEMENT OF USE RECEIVED
  • 10 Mar 2020 — NOA E-MAILED - SOU REQUIRED FROM APPLICANT
  • 14 Jan 2020 — OFFICIAL GAZETTE PUBLICATION CONFIRMATION E-MAILED

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