TrademarkDir
FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY
DEAD

Serial Number

77976559

Owner

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.

First Use Date

Jul 30, 2007

Filing Date

Jul 10, 2007

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FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY Trademark

Serial Number: 77976559 • Registration: 3607496

FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY is a trademark filed by NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. on July 10, 2007. The trademark is classified under Class 41 (Education & Entertainment), Class 45 (Legal & Security Services), Class 16 (Paper Goods), Class 35 (Advertising & Business). The application is currently no longer active.

Owner Contact Info

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. (65 trademarks)

WASHINGTON, DC 20006

Entity Type: 03

FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. (74 trademarks)

1735 K STREET, N.W.
WASHINGTON, DC 20006

Entity Type: 99

Trademark Details

Filing Date

July 10, 2007

Registration Date

April 14, 2009

First Use Anywhere

July 30, 2007

First Use in Commerce

July 30, 2007

Published for Opposition

April 22, 2008

Cancellation Date

November 30, 2019

Goods & 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

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

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

Arbitration, mediation and dispute resolution services

Filing History

PETITION TO DIRECTOR DENIED
Jun 9, 2020 PCDE
PETITION INQUIRY LETTER ISSUED
Mar 30, 2020 PILM
ASSIGNED TO PETITION STAFF
Mar 18, 2020 APET
TEAS PETITION TO DIRECTOR RECEIVED
Dec 19, 2019 TPDR
NOTICE OF CANCELLATION SEC. 8 EMAILED
Dec 3, 2019 NCS8
CANCELLED SEC. 8 (10-YR)
Nov 30, 2019 C8.T
POST REGISTRATION ACTION MAILED - SEC. 8 & 9
May 28, 2019 PR89
CASE ASSIGNED TO POST REGISTRATION PARALEGAL
May 27, 2019 APRE
TEAS CHANGE OF CORRESPONDENCE RECEIVED
Apr 24, 2019 TCCA
TEAS SECTION 8 & 9 RECEIVED
Apr 24, 2019 E89R
COURTESY REMINDER - SEC. 8 (10-YR)/SEC. 9 E-MAILED
Apr 14, 2018 REM2
ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED
Jan 17, 2017 ARAA
TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED
Jan 17, 2017 REAP
NOTICE OF ACCEPTANCE OF SEC. 8 & 15 - E-MAILED
Apr 28, 2015 NA85
REGISTERED - SEC. 8 (6-YR) ACCEPTED & SEC. 15 ACK.
Apr 28, 2015 C15A
CASE ASSIGNED TO POST REGISTRATION PARALEGAL
Apr 28, 2015 APRE
TEAS SECTION 8 & 15 RECEIVED
Apr 15, 2015 E815
ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED
Jan 29, 2014 ARAA
TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED
Jan 29, 2014 REAP
REGISTERED-PRINCIPAL REGISTER
Apr 14, 2009 R.PR
LAW OFFICE REGISTRATION REVIEW COMPLETED
Mar 12, 2009 REGV
ALLOWED PRINCIPAL REGISTER - SOU ACCEPTED
Mar 12, 2009 CNPR
STATEMENT OF USE PROCESSING COMPLETE
Feb 4, 2009 SUPC
DIVISIONAL PROCESSING COMPLETE
Feb 4, 2009 DPCC
CASE ASSIGNED TO INTENT TO USE PARALEGAL
Jan 30, 2009 AITU
USE AMENDMENT FILED
Jan 13, 2009 IUAF
DIVISIONAL REQUEST RECEIVED
Jan 13, 2009 DRRR
TEAS REQUEST TO DIVIDE RECEIVED
Jan 13, 2009 ERTD
TEAS STATEMENT OF USE RECEIVED
Jan 13, 2009 EISU
NOA MAILED - SOU REQUIRED FROM APPLICANT
Jul 15, 2008 NOAM
PUBLISHED FOR OPPOSITION
Apr 22, 2008 PUBO
NOTICE OF PUBLICATION
Apr 2, 2008 NPUB
LAW OFFICE PUBLICATION REVIEW COMPLETED
Mar 17, 2008 PREV
ASSIGNED TO LIE
Mar 17, 2008 ALIE
APPROVED FOR PUB - PRINCIPAL REGISTER
Feb 27, 2008 CNSA
EXAMINER'S AMENDMENT ENTERED
Feb 27, 2008 XAEC
NOTIFICATION OF EXAMINERS AMENDMENT E-MAILED
Feb 27, 2008 GNEN
EXAMINERS AMENDMENT E-MAILED
Feb 27, 2008 GNEA
EXAMINERS AMENDMENT -WRITTEN
Feb 27, 2008 CNEA
TEAS/EMAIL CORRESPONDENCE ENTERED
Jan 28, 2008 TEME
CORRESPONDENCE RECEIVED IN LAW OFFICE
Jan 28, 2008 CRFA
TEAS RESPONSE TO OFFICE ACTION RECEIVED
Jan 28, 2008 TROA
AUTOMATIC UPDATE OF ASSIGNMENT OF OWNERSHIP
Aug 29, 2007 ASGN
NOTIFICATION OF PRIORITY ACTION E-MAILED
Aug 2, 2007 GPRN
PRIORITY ACTION E-MAILED
Aug 2, 2007 GPRA
PRIORITY ACTION WRITTEN
Aug 2, 2007 CPRA
ASSIGNED TO EXAMINER
Jul 19, 2007 DOCK
ASSIGNED TO EXAMINER
Jul 19, 2007 DOCK
NEW APPLICATION ENTERED
Jul 13, 2007 NWAP

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