| Serial Number | 88613203 |
| Word Mark | FINRA |
| Filing Date | Wednesday, September 11, 2019 |
| Status | 700 - REGISTERED |
| Status Date | Tuesday, August 4, 2020 |
| Registration Number | 6120509 |
| Registration Date | Tuesday, August 4, 2020 |
| Mark Drawing | 5 - Drawing with word(s) / letter(s) / number(s) in Stylized form |
| Published for Opposition Date | Tuesday, January 14, 2020 |
| Goods and 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 |
| Description of Mark | The mark consists of the stylized letters "FINRA". |
| Goods and Services | 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 |
| Goods and 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 |
| Indication of Colors claimed | Color is not claimed as a feature of the mark. |
| Goods and 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 |
| Goods and Services | Arbitration, mediation and dispute resolution services |
| Goods and 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 |
| International Class | 009 - Scientific, nautical, surveying, photographic, cinematographic, optical, weighing, measuring, signalling, checking (supervision), life-saving and teaching apparatus and instruments; apparatus and instruments for conducting, switching, transforming, accumulating, regulating or controlling electricity; apparatus for recording, transmission or reproduction of sound or images; magnetic data carriers, recording discs; automatic vending machines and mechanisms for coin operated apparatus; cash registers, calculating machines, data processing equipment and computers; fire extinguishing apparatus. |
| US Class Codes | 021, 023, 026, 036, 038 |
| Class Status Code | 6 - Active |
| Class Status Date | Friday, September 20, 2019 |
| Primary Code | 009 |
| First Use Anywhere Date | Monday, July 30, 2007 |
| First Use In Commerce Date | Monday, July 30, 2007 |
| International Class | 035 - Advertising; business management; business administration; office functions. |
| US Class Codes | 100, 101, 102 |
| Class Status Code | 6 - Active |
| Class Status Date | Friday, September 20, 2019 |
| Primary Code | 035 |
| First Use Anywhere Date | Monday, July 30, 2007 |
| First Use In Commerce Date | Monday, July 30, 2007 |
| International Class | 036 - Insurance; financial affairs; monetary affairs; real estate affairs. |
| US Class Codes | 100, 101, 102 |
| Class Status Code | 6 - Active |
| Class Status Date | Friday, September 20, 2019 |
| Primary Code | 036 |
| First Use Anywhere Date | Monday, July 30, 2007 |
| First Use In Commerce Date | Monday, July 30, 2007 |
| International Class | 041 - Education; providing of training; entertainment; sporting and cultural activities. |
| US Class Codes | 100, 101, 107 |
| Class Status Code | 6 - Active |
| Class Status Date | Friday, September 20, 2019 |
| Primary Code | 041 |
| First Use Anywhere Date | Monday, July 30, 2007 |
| First Use In Commerce Date | Monday, July 30, 2007 |
| International Class | 042 - Scientific and technological services and research and design relating thereto; industrial analysis and research services; design and development of computer hardware and software. |
| US Class Codes | 100, 101 |
| Class Status Code | 6 - Active |
| Class Status Date | Friday, September 20, 2019 |
| Primary Code | 042 |
| First Use Anywhere Date | Monday, July 30, 2007 |
| First Use In Commerce Date | Monday, July 30, 2007 |
| International Class | 045 - Legal services; security services for the protection of property and individuals; personal and social services rendered by others to meet the needs of individuals. |
| US Class Codes | 100, 101 |
| Class Status Code | 6 - Active |
| Class Status Date | Friday, September 20, 2019 |
| Primary Code | 045 |
| First Use Anywhere Date | Monday, July 30, 2007 |
| First Use In Commerce Date | Monday, July 30, 2007 |
| Party Name | Financial Industry Regulatory Authority, Inc. |
| Party Type | 30 - Original Registrant |
| Legal Entity Type | 99 - Other |
| Address | Washington, DC 20006 |
| Party Name | Financial Industry Regulatory Authority, Inc. |
| Party Type | 20 - Owner at Publication |
| Legal Entity Type | 99 - Other |
| Address | Washington, DC 20006 |
| Party Name | Financial Industry Regulatory Authority, Inc. |
| Party Type | 10 - Original Applicant |
| Legal Entity Type | 99 - Other |
| Address | Washington, DC 20006 |
| Event Date | Event Description |
| Saturday, September 14, 2019 | NEW APPLICATION ENTERED |
| Friday, September 20, 2019 | NEW APPLICATION OFFICE SUPPLIED DATA ENTERED |
| Monday, December 2, 2019 | ASSIGNED TO EXAMINER |
| Tuesday, December 3, 2019 | EXAMINERS AMENDMENT -WRITTEN |
| Tuesday, December 3, 2019 | EXAMINERS AMENDMENT E-MAILED |
| Tuesday, December 3, 2019 | NOTIFICATION OF EXAMINERS AMENDMENT E-MAILED |
| Monday, December 9, 2019 | ASSIGNED TO LIE |
| Tuesday, December 3, 2019 | EXAMINER'S AMENDMENT ENTERED |
| Tuesday, December 3, 2019 | APPROVED FOR PUB - PRINCIPAL REGISTER |
| Wednesday, December 25, 2019 | NOTIFICATION OF NOTICE OF PUBLICATION E-MAILED |
| Tuesday, January 14, 2020 | PUBLISHED FOR OPPOSITION |
| Tuesday, January 14, 2020 | OFFICIAL GAZETTE PUBLICATION CONFIRMATION E-MAILED |
| Tuesday, March 10, 2020 | NOA E-MAILED - SOU REQUIRED FROM APPLICANT |
| Wednesday, May 27, 2020 | TEAS STATEMENT OF USE RECEIVED |
| Wednesday, June 17, 2020 | CASE ASSIGNED TO INTENT TO USE PARALEGAL |
| Tuesday, June 30, 2020 | NOTICE OF ACCEPTANCE OF STATEMENT OF USE E-MAILED |
| Tuesday, August 4, 2020 | REGISTERED-PRINCIPAL REGISTER |
| Thursday, March 14, 2024 | TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED |
| Wednesday, May 27, 2020 | USE AMENDMENT FILED |
| Wednesday, June 17, 2020 | STATEMENT OF USE PROCESSING COMPLETE |
| Monday, June 29, 2020 | ALLOWED PRINCIPAL REGISTER - SOU ACCEPTED |
| Thursday, March 14, 2024 | ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED |
| Thursday, March 14, 2024 | APPLICANT/CORRESPONDENCE CHANGES (NON-RESPONSIVE) ENTERED |
| Thursday, March 14, 2024 | TEAS CHANGE OF OWNER ADDRESS RECEIVED |
| Thursday, March 14, 2024 | TEAS CHANGE OF CORRESPONDENCE RECEIVED |
| Monday, August 4, 2025 | COURTESY REMINDER - SEC. 8 (6-YR) E-MAILED |