SECURITIES INDUSTRY REGULATORY AUTHORITY Trademark of National Association of Securities Dealers, Inc. - Serial Number 77145276

SECURITIES INDUSTRY REGULATORY AUTHORITY Trademark

Trademark Overview

On Friday, March 30, 2007, a trademark application was filed for SECURITIES INDUSTRY REGULATORY AUTHORITY with the United States Patent and Trademark Office. The USPTO has given the SECURITIES INDUSTRY REGULATORY AUTHORITY trademark a serial number of 77145276. The federal status of this trademark filing is ABANDONED - FAILURE TO RESPOND OR LATE RESPONSE as of Tuesday, February 26, 2008. This trademark is owned by National Association of Securities Dealers, Inc.. The SECURITIES INDUSTRY REGULATORY AUTHORITY trademark is filed in the Computer & Software Products & Electrical & Scientific Products, Jewelry Products, Paper & Printed Material Products, Advertising, Business and Retail Services, Insurance & Financial Services, Education & Entertainment Services, Computer & Software Services & Scientific Services, Personal, and Legal & Social Services categories with the following description:

Computer software databases and computer software used to access online databases containing licensing, employment and disciplinary information of professionals in the securities and investment advisor industries; computer programs for training, testing, and certification of professional and employment skills and abilities; audio and video tapes, podcasts, CDs and DVDs with information related to securities, equities and financial investments

Lapel pins and watches

Printed matter, namely, manuals, magazines, newsletters, brochures, pamphlets and leaflets regarding regulations and requirements pertaining to the securities and investment advisor industries and corporate bonds; regarding grants and funding for research, projects, fellowships, seminars, symposiums, roundtables and classes, all in the field of investor education; 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; calendars; notepads; pens

Consulting services for others, namely, evaluating securities market risks and providing risk management recommendations; providing analysis of securities market regulations, management, and operations; providing advice regarding the structure and regulation of securities markets; providing advice regarding the use of technology to enforce securities market regulations and rules; providing services to regulate the securities industry in order to maintain the integrity of the marketplace for the benefit and protection of investors, namely, registration of member firms and their employees, investment advisors and individuals and entities within the mortgage industry; arranging of subscriptions for the publications of others; promoting the services of others, namely, advertising and marketing a series of discounted insurance, fiduciary bond, mail delivery and telecommunications services to members; on-line retail stores and mail-order catalog services featuring booklets, manuals, audio an...

Providing an on-line computer database of information in the field of securities and equities trading, corporate bond transactions, securities regulation, financial investments, securities firms, broker/dealers and investment advisors, grants, investor protection, and rules to govern securities day-trading activities; development of securities trade rules to increase transparency, disclosures and reduce conflicts of interest; monitoring securities markets around the world to determine compliance with regulations; assisting securities and investment firms to assess disaster recovery plans; creating and enforcing rules that govern the conduct of securities investment firms and their employees; regulating the securities and investment industries; 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; providing grants ...

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; testing and examination of brokerage firms and their employees

Providing software development services for databases of information in the field of securities regulation, markets, compliance, financial investments, securities firms, broker/dealers, investment advisors and mortgage industry professionals, and rules to govern securities trading activities; development of securities trade rules to increase transparency, disclosures and reduce conflicts of interest; monitoring securities markets around the world to determine compliance with regulations, education, testing and licensing of securities professionals

Arbitration, mediation and dispute resolution services

General Information

Serial Number	77145276
Word Mark	SECURITIES INDUSTRY REGULATORY AUTHORITY
Filing Date	Friday, March 30, 2007
Status	602 - ABANDONED - FAILURE TO RESPOND OR LATE RESPONSE
Status Date	Tuesday, February 26, 2008
Registration Number	0000000
Registration Date	NOT AVAILABLE
Mark Drawing	4000 - Illustration: Drawing with word(s) / letter(s) / number(s) in Block form
Published for Opposition Date	NOT AVAILABLE

Trademark Statements

Goods and Services	Computer software databases and computer software used to access online databases containing licensing, employment and disciplinary information of professionals in the securities and investment advisor industries; computer programs for training, testing, and certification of professional and employment skills and abilities; audio and video tapes, podcasts, CDs and DVDs with information related to securities, equities and financial investments
Goods and Services	Lapel pins and watches
Goods and Services	Printed matter, namely, manuals, magazines, newsletters, brochures, pamphlets and leaflets regarding regulations and requirements pertaining to the securities and investment advisor industries and corporate bonds; regarding grants and funding for research, projects, fellowships, seminars, symposiums, roundtables and classes, all in the field of investor education; 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; calendars; notepads; pens
Goods and Services	Consulting services for others, namely, evaluating securities market risks and providing risk management recommendations; providing analysis of securities market regulations, management, and operations; providing advice regarding the structure and regulation of securities markets; providing advice regarding the use of technology to enforce securities market regulations and rules; providing services to regulate the securities industry in order to maintain the integrity of the marketplace for the benefit and protection of investors, namely, registration of member firms and their employees, investment advisors and individuals and entities within the mortgage industry; arranging of subscriptions for the publications of others; promoting the services of others, namely, advertising and marketing a series of discounted insurance, fiduciary bond, mail delivery and telecommunications services to members; on-line retail stores and mail-order catalog services featuring booklets, manuals, audio and video tapes and compact discs dealing with the securities and investment industry, and featuring clothing, scarves, hats, bags, office supplies and accessories, watches, paper goods and calendars, umbrellas, and coffee mugs; association services, namely, promoting the interests of securities and investment industry professionals; business services, namely, providing an online database featuring employment and disciplinary information regarding professionals in the securities and investment advisor industries; providing 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 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
Goods and Services	Providing an on-line computer database of information in the field of securities and equities trading, corporate bond transactions, securities regulation, financial investments, securities firms, broker/dealers and investment advisors, grants, investor protection, and rules to govern securities day-trading activities; development of securities trade rules to increase transparency, disclosures and reduce conflicts of interest; monitoring securities markets around the world to determine compliance with regulations; assisting securities and investment firms to assess disaster recovery plans; creating and enforcing rules that govern the conduct of securities investment firms and their employees; regulating the securities and investment industries; 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; providing grants and funding for research, projects, fellowships, seminars, symposiums, roundtables and classes, all in the field of investor education
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; testing and examination of brokerage firms and their employees
Goods and Services	Providing software development services for databases of information in the field of securities regulation, markets, compliance, financial investments, securities firms, broker/dealers, investment advisors and mortgage industry professionals, and rules to govern securities trading activities; development of securities trade rules to increase transparency, disclosures and reduce conflicts of interest; monitoring securities markets around the world to determine compliance with regulations, education, testing and licensing of securities professionals
Goods and Services	Arbitration, mediation and dispute resolution services

Classification Information

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	Wednesday, April 4, 2007
Primary Code	009
First Use Anywhere Date	NOT AVAILABLE
First Use In Commerce Date	NOT AVAILABLE

International Class	014 - Precious metals and their alloys and goods in precious metals or coated therewith, not included in other classes; jewelry, precious stones; horological and chronometric instruments.
US Class Codes	002, 027, 028, 050
Class Status Code	6 - Active
Class Status Date	Wednesday, April 4, 2007
Primary Code	014
First Use Anywhere Date	NOT AVAILABLE
First Use In Commerce Date	NOT AVAILABLE

International Class	016 - Paper, cardboard and goods made from these materials, not included in other classes; printed matter; bookbinding material; photographs; stationery; adhesives for stationery or household purposes; artists' materials; paint brushes; typewriters and office requisites (except furniture); instructional and teaching material (except apparatus); plastic materials for packaging (not included in other classes); printers' type; printing blocks.
US Class Codes	002, 005, 022, 023, 029, 037, 038, 050
Class Status Code	6 - Active
Class Status Date	Wednesday, April 4, 2007
Primary Code	016
First Use Anywhere Date	NOT AVAILABLE
First Use In Commerce Date	NOT AVAILABLE

International Class	035 - Advertising; business management; business administration; office functions.
US Class Codes	100, 101, 102
Class Status Code	6 - Active
Class Status Date	Wednesday, April 4, 2007
Primary Code	035
First Use Anywhere Date	NOT AVAILABLE
First Use In Commerce Date	NOT AVAILABLE

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	Wednesday, April 4, 2007
Primary Code	036
First Use Anywhere Date	NOT AVAILABLE
First Use In Commerce Date	NOT AVAILABLE

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	Wednesday, April 4, 2007
Primary Code	041
First Use Anywhere Date	NOT AVAILABLE
First Use In Commerce Date	NOT AVAILABLE

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	Wednesday, April 4, 2007
Primary Code	042
First Use Anywhere Date	NOT AVAILABLE
First Use In Commerce Date	NOT AVAILABLE

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	Wednesday, April 4, 2007
Primary Code	045
First Use Anywhere Date	NOT AVAILABLE
First Use In Commerce Date	NOT AVAILABLE

Trademark Owner History

Party Name	National Association of Securities Dealers, Inc.
Party Type	10 - Original Applicant
Legal Entity Type	99 - Other
Address	Washington, DC 20006

Trademark Events

Event Date	Event Description
Tuesday, February 26, 2008	ABANDONMENT NOTICE MAILED - FAILURE TO RESPOND
Tuesday, February 26, 2008	ABANDONMENT - FAILURE TO RESPOND OR LATE RESPONSE
Tuesday, July 24, 2007	NOTIFICATION OF NON-FINAL ACTION E-MAILED
Tuesday, July 24, 2007	NON-FINAL ACTION E-MAILED
Tuesday, July 24, 2007	NON-FINAL ACTION WRITTEN
Thursday, July 12, 2007	ASSIGNED TO EXAMINER
Wednesday, April 4, 2007	NEW APPLICATION ENTERED IN TRAM

Related Keywords

authority regulatory industry securities providing investment services regarding rules information firms regulation equities