FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY
Dead / Cancelled — Cancelled — Section 8 (as of 30 Nov 2019)
What this means for you
This registration has been cancelled; it no longer blocks anyone on its own. The name may be available, but check before relying on it — rights can also come from actual use, not only from the register.
Record
- Serial number
- 77976559
- Registration number
- 3607496
- Mark type
- Stylized text
- Filed
- 10 Jul 2007
- Published for opposition
- 22 Apr 2008
- Registered
- 14 Apr 2009
Goods and services
- Class 016 — Paper goods and printed matter: Printed matter, namely, manuals, newsletters, brochures, pamphlets and leaflets regarding regulations and requirements pertaining to the securities and investment advisor industries and corporate bonds; and regarding databases containing employment, licensing and disciplinary information on professionals in the securities and investment advisor industries; printed educational materials regarding regulation in the area of securities, investor education, trading of securities and corporate bonds, the securities and investment advisor industries and corporate bond markets; business cards; stationery; notepads
- 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, 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; 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
- 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 045 — Legal and security services: Arbitration, mediation and dispute resolution services
Owner
- FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC., WASHINGTON, DC, US
- FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC., WASHINGTON, DC, US
- FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC., WASHINGTON, DC, US
- National Association of Securities Dealers, Inc., Washington, DC, US
Prosecution history
- 09 Jun 2020 — PETITION TO DIRECTOR DENIED
- 30 Mar 2020 — PETITION INQUIRY LETTER ISSUED
- 18 Mar 2020 — ASSIGNED TO PETITION STAFF
- 19 Dec 2019 — TEAS PETITION TO DIRECTOR RECEIVED
- 03 Dec 2019 — NOTICE OF CANCELLATION SEC. 8 EMAILED
- 30 Nov 2019 — CANCELLED SEC. 8 (10-YR)
- 28 May 2019 — POST REGISTRATION ACTION MAILED - SEC. 8 & 9
- 27 May 2019 — CASE ASSIGNED TO POST REGISTRATION PARALEGAL
- 24 Apr 2019 — TEAS CHANGE OF CORRESPONDENCE RECEIVED
- 24 Apr 2019 — TEAS SECTION 8 & 9 RECEIVED
- 14 Apr 2018 — COURTESY REMINDER - SEC. 8 (10-YR)/SEC. 9 E-MAILED
- 17 Jan 2017 — ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED
- 17 Jan 2017 — TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED
- 28 Apr 2015 — NOTICE OF ACCEPTANCE OF SEC. 8 & 15 - E-MAILED
- 28 Apr 2015 — REGISTERED - SEC. 8 (6-YR) ACCEPTED & SEC. 15 ACK.