SECURITIES REGULATOR Trademark
Trademark Overview
On Friday, June 21, 2002, a trademark application was filed for SECURITIES REGULATOR with the United States Patent and Trademark Office. The USPTO has given the SECURITIES REGULATOR trademark a serial number of 78137593. The federal status of this trademark filing is ABANDONED - FAILURE TO RESPOND OR LATE RESPONSE as of Wednesday, February 11, 2004. This trademark is owned by eMind LLC. The SECURITIES REGULATOR trademark is filed in the Insurance & Financial Services category with the following description:
The Securities Regulator manages a securities firm's compliance requirements and training for both Firm and Regulatory Elements The product encompasses course content, tracking and reporting, and compliance applications It provides the administrator with the ability to conduct annual branch audits, annual assessments for Firm Element and tracking for Regulatory Element training In addition, the administrator can register new registered representatives and administrate existing ones, manage disclosure of outside business activities and accounts, and conduct a comprehensive Online Annual Compliance Meeting These features are all integrated with the NASD's Web CRD database into one Internet-based application to help the firm meets its regulatory requirements and to keep its employees informed about the latest regulatory changes in the industry The product includes-- ¿ Online financial services course library ¿ Update training ¿ Searchable knowledge database ¿ Tracking and reporting av...
General Information
| Serial Number | 78137593 |
| Word Mark | SECURITIES REGULATOR |
| Filing Date | Friday, June 21, 2002 |
| Status | 602 - ABANDONED - FAILURE TO RESPOND OR LATE RESPONSE |
| Status Date | Wednesday, February 11, 2004 |
| Registration Number | 0000000 |
| Registration Date | NOT AVAILABLE |
| Mark Drawing | 1000 - Typeset: Word(s) / letter(s) / number(s) |
| Published for Opposition Date | NOT AVAILABLE |
Trademark Statements
| Goods and Services | The Securities Regulator manages a securities firm's compliance requirements and training for both Firm and Regulatory Elements The product encompasses course content, tracking and reporting, and compliance applications It provides the administrator with the ability to conduct annual branch audits, annual assessments for Firm Element and tracking for Regulatory Element training In addition, the administrator can register new registered representatives and administrate existing ones, manage disclosure of outside business activities and accounts, and conduct a comprehensive Online Annual Compliance Meeting These features are all integrated with the NASD's Web CRD database into one Internet-based application to help the firm meets its regulatory requirements and to keep its employees informed about the latest regulatory changes in the industry The product includes-- ¿ Online financial services course library ¿ Update training ¿ Searchable knowledge database ¿ Tracking and reporting available 24/7 via a secure online administration application ¿ Course authoring tool with wizard and authoring functionality ¿ Live online Webcast training ¿ A suite of Supervision and Registration compliance applications integrated with Web CRD These include-- § Annual Online Compliance Meeting § Annual Compliance Meeting Tracker which handles the scheduling and tracking of attendance at the online or classroom-based annual compliance meeting § Annual Assessment which surveys representatives and obtains up-to-date information through an online questionnaire § Branch Audit Manager which allows you to schedule and track complete audits for both the branch and non-registered locations requirement § Online Complaint Manager which tracks customer complaints against firm registered representatives § Disclosure of Outside Business Activities and Outside Accounts § Registration Management, which provides the ability to manage the registration, status changes and termination of, registered representatives § Up-to-date records of registered personnel § Regulatory Element training tracking and scheduling |
Classification Information
| 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 | Sunday, June 30, 2002 |
| Primary Code | 036 |
| First Use Anywhere Date | Friday, June 21, 2002 |
| First Use In Commerce Date | Friday, June 21, 2002 |
Trademark Owner History
| Party Name | eMind LLC |
| Party Type | 10 - Original Applicant |
| Legal Entity Type | 99 - Other |
| Address | New York, NY 10011 |
Trademark Events
| Event Date | Event Description |
| Monday, March 15, 2004 | PAPER RECEIVED |
| Wednesday, February 11, 2004 | ABANDONMENT - FAILURE TO RESPOND OR LATE RESPONSE |
| Tuesday, June 10, 2003 | NON-FINAL ACTION E-MAILED |
| Thursday, April 24, 2003 | AMENDMENT TO USE PROCESSING COMPLETE |
| Thursday, April 24, 2003 | USE AMENDMENT FILED |
| Thursday, April 24, 2003 | CORRESPONDENCE RECEIVED IN LAW OFFICE |
| Thursday, April 24, 2003 | TEAS STATEMENT OF USE RECEIVED |
| Tuesday, November 5, 2002 | NON-FINAL ACTION E-MAILED |
| Wednesday, October 23, 2002 | ASSIGNED TO EXAMINER |
