FINRA Trademark Information
FINRA Trademark Overview
The United States Patent and Trademark Office (USPTO) received an application to register the trademark FINRA on Tuesday, July 10, 2007. The USPTO has assigned this trademark, FINRA, the serial number 77976554. As of Wednesday, June 12, 2019, this trademark filing's federal status is designated as 800. The trademark FINRA falls under the Computer Software Products Electrical Scientific Products category and is associated with the service description of:
"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||Computer software containing accessible databases and computer software used to access online databases, both pertaining to 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; downloadable podcasts with information related to securities, equities and financial investments||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 securi...".
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FINRA General Information
| Serial Number | 77976554 |
| Word Mark | FINRA |
| Filing Date | Tuesday, July 10, 2007 |
| Status | 800 - REGISTERED AND RENEWED |
| Status Date | Wednesday, June 12, 2019 |
| Registration Number | 3604224 |
| Registration Date | Tuesday, April 7, 2009 |
| Mark Drawing | 4 - STANDARD CHARACTER MARK |
| Published for Opposition Date | Tuesday, April 22, 2008 |
Trademark Statements
| 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 |
| Goods and Services | Computer software containing accessible databases and computer software used to access online databases, both pertaining to 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; downloadable podcasts with information related to securities, equities and financial investments |
| Goods and Services | 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; pens |
| Goods and Services | Lapel pins [ and watches ] |
| 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 |
| 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 |
Classification Information
| International Class | 009 - Scientific, nautical, surveying, photographic, cinematographic, optical, weighing, measuring, signalling, checking (supervision), life-saving and teaching apparatus and instruments; apparatus 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 / Registered |
| Class Status Date | Friday, July 13, 2007 |
| Primary Code | 009 |
| First Use Anywhere Date | Monday, July 30, 2007 |
| First Use In Commerce Date | Monday, July 30, 2007 |
| International Class | 014 - Scientific, nautical, surveying, photographic, cinematographic, optical, weighing, measuring, signalling, checking (supervision), life-saving and teaching apparatus and instruments; apparatus 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 | 002, 027, 028, 050 |
| Class Status Code | 6 - Active / Registered |
| Class Status Date | Friday, July 13, 2007 |
| Primary Code | 014 |
| First Use Anywhere Date | Monday, July 30, 2007 |
| First Use In Commerce Date | Monday, July 30, 2007 |
| International Class | 016 - Scientific, nautical, surveying, photographic, cinematographic, optical, weighing, measuring, signalling, checking (supervision), life-saving and teaching apparatus and instruments; apparatus 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 | 002, 005, 022, 023, 029, 037, 038, 050 |
| Class Status Code | 6 - Active / Registered |
| Class Status Date | Friday, July 13, 2007 |
| Primary Code | 016 |
| First Use Anywhere Date | Monday, July 30, 2007 |
| First Use In Commerce Date | Monday, July 30, 2007 |
| International Class | 035 - Scientific, nautical, surveying, photographic, cinematographic, optical, weighing, measuring, signalling, checking (supervision), life-saving and teaching apparatus and instruments; apparatus 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 | 100, 101, 102 |
| Class Status Code | 6 - Active / Registered |
| Class Status Date | Friday, July 13, 2007 |
| Primary Code | 035 |
| First Use Anywhere Date | Monday, July 30, 2007 |
| First Use In Commerce Date | Monday, July 30, 2007 |
| International Class | 036 - Scientific, nautical, surveying, photographic, cinematographic, optical, weighing, measuring, signalling, checking (supervision), life-saving and teaching apparatus and instruments; apparatus 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 | 100, 101, 102 |
| Class Status Code | 6 - Active / Registered |
| Class Status Date | Friday, July 13, 2007 |
| Primary Code | 036 |
| First Use Anywhere Date | Monday, July 30, 2007 |
| First Use In Commerce Date | Monday, July 30, 2007 |
| International Class | 041 - Scientific, nautical, surveying, photographic, cinematographic, optical, weighing, measuring, signalling, checking (supervision), life-saving and teaching apparatus and instruments; apparatus 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 | 100, 101, 107 |
| Class Status Code | 6 - Active / Registered |
| Class Status Date | Friday, July 13, 2007 |
| Primary Code | 041 |
| First Use Anywhere Date | Monday, July 30, 2007 |
| First Use In Commerce Date | Monday, July 30, 2007 |
| International Class | 045 - Scientific, nautical, surveying, photographic, cinematographic, optical, weighing, measuring, signalling, checking (supervision), life-saving and teaching apparatus and instruments; apparatus 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 | 100, 101 |
| Class Status Code | 6 - Active / Registered |
| Class Status Date | Friday, July 13, 2007 |
| Primary Code | 045 |
| First Use Anywhere Date | Monday, July 30, 2007 |
| First Use In Commerce Date | Monday, July 30, 2007 |
FINRA Trademark Owner History
| Party Name | FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. |
| Party Type | 30 - Attorney / Correspondent |
| Legal Entity Type | 99 - Other / Unknown |
| Address | Washington, DC 20006 |
| Party Name | FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. |
| Party Type | 20 - Subsequent Owner |
| Legal Entity Type | 99 - Other / Unknown |
| Address | WASHINGTON, DC 20006 |
| Party Name | FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. |
| Party Type | 11 - Unknown Party Type Code (11) |
| Legal Entity Type | 99 - Other / Unknown |
| Address | WASHINGTON, DC 20006 |
| Party Name | National Association of Securities Dealers, Inc. |
| Party Type | 10 - Original Applicant |
| Legal Entity Type | 99 - Other / Unknown |
| Address | Washington, DC 20006 |
Trademark Activity
View on USPTO
| Event Date | Event Description |
| Friday, July 13, 2007 | NEW APPLICATION ENTERED |
| Thursday, July 19, 2007 | ASSIGNED TO EXAMINER |
| Thursday, August 2, 2007 | PRIORITY ACTION WRITTEN |
| Thursday, August 2, 2007 | PRIORITY ACTION E-MAILED |
| Thursday, August 2, 2007 | NOTIFICATION OF PRIORITY ACTION E-MAILED |
| Wednesday, February 27, 2008 | EXAMINERS AMENDMENT E-MAILED |
| Wednesday, August 29, 2007 | AUTOMATIC UPDATE OF ASSIGNMENT OF OWNERSHIP |
| Monday, January 28, 2008 | TEAS RESPONSE TO OFFICE ACTION RECEIVED |
| Monday, January 28, 2008 | CORRESPONDENCE RECEIVED IN LAW OFFICE |
| Monday, January 28, 2008 | TEAS/EMAIL CORRESPONDENCE ENTERED |
| Wednesday, February 27, 2008 | EXAMINERS AMENDMENT -WRITTEN |
| Wednesday, February 27, 2008 | NOTIFICATION OF EXAMINERS AMENDMENT E-MAILED |
| Wednesday, February 27, 2008 | EXAMINER'S AMENDMENT ENTERED |
| Wednesday, February 27, 2008 | APPROVED FOR PUB - PRINCIPAL REGISTER |
| Monday, March 17, 2008 | ASSIGNED TO LIE |
| Monday, March 17, 2008 | LAW OFFICE PUBLICATION REVIEW COMPLETED |
| Wednesday, April 2, 2008 | NOTICE OF PUBLICATION |
| Tuesday, April 22, 2008 | PUBLISHED FOR OPPOSITION |
| Tuesday, July 15, 2008 | NOA MAILED - SOU REQUIRED FROM APPLICANT |
| Tuesday, January 13, 2009 | TEAS STATEMENT OF USE RECEIVED |
| Tuesday, January 13, 2009 | TEAS REQUEST TO DIVIDE RECEIVED |
| Tuesday, January 13, 2009 | DIVISIONAL REQUEST RECEIVED |
| Tuesday, January 13, 2009 | USE AMENDMENT FILED |
| Monday, February 2, 2009 | CASE ASSIGNED TO INTENT TO USE PARALEGAL |
| Monday, February 2, 2009 | DIVISIONAL PROCESSING COMPLETE |
| Wednesday, April 15, 2015 | TEAS SECTION 8 & 15 RECEIVED |
| Monday, February 2, 2009 | STATEMENT OF USE PROCESSING COMPLETE |
| Tuesday, March 3, 2009 | ALLOWED PRINCIPAL REGISTER - SOU ACCEPTED |
| Wednesday, March 4, 2009 | LAW OFFICE REGISTRATION REVIEW COMPLETED |
| Tuesday, April 7, 2009 | REGISTERED-PRINCIPAL REGISTER |
| Wednesday, January 29, 2014 | TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED |
| Wednesday, January 29, 2014 | ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED |
| Wednesday, April 15, 2015 | TEAS CHANGE OF CORRESPONDENCE RECEIVED |
| Wednesday, June 12, 2019 | CASE ASSIGNED TO POST REGISTRATION PARALEGAL |
| Tuesday, April 28, 2015 | CASE ASSIGNED TO POST REGISTRATION PARALEGAL |
| Tuesday, April 28, 2015 | REGISTERED - SEC. 8 (6-YR) ACCEPTED & SEC. 15 ACK. |
| Tuesday, April 28, 2015 | NOTICE OF ACCEPTANCE OF SEC. 8 & 15 - E-MAILED |
| Tuesday, January 17, 2017 | TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED |
| Tuesday, January 17, 2017 | ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED |
| Wednesday, June 7, 2017 | NOTICE OF SUIT |
| Wednesday, June 7, 2017 | NOTICE OF SUIT |
| Saturday, April 7, 2018 | COURTESY REMINDER - SEC. 8 (10-YR)/SEC. 9 E-MAILED |
| Tuesday, May 7, 2019 | TEAS SECTION 8 & 9 RECEIVED |
| Wednesday, June 12, 2019 | REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED |
| Wednesday, June 12, 2019 | REGISTERED AND RENEWED (FIRST RENEWAL - 10 YRS) |
| Wednesday, June 12, 2019 | NOTICE OF ACCEPTANCE OF SEC. 8 & 9 - E-MAILED |
| Thursday, March 14, 2024 | ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED |
| Thursday, March 14, 2024 | TEAS CHANGE OF OWNER ADDRESS RECEIVED |
| Thursday, March 14, 2024 | TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED |
| Thursday, March 14, 2024 | APPLICANT/CORRESPONDENCE CHANGES (NON-RESPONSIVE) ENTERED |
| Thursday, March 14, 2024 | TEAS CHANGE OF CORRESPONDENCE RECEIVED |