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FINRA CAT

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FINRA CAT
REGISTERED

on 3 Jan 2025

Last Applicant/ Owned by

Financial Industry Regulatory Authority, Inc.

1700 K Street NW, 12th FloorWashington, DC 20006

US

Serial Number

1991023 filed on 17th Oct 2019

Registration Number

TMA1279868 registered on 3rd Jan 2025

Registration expiry Date

3rd Jan 2035

Correspondent Address

GOWLING WLG (CANADA) LLP

SUITE 16001 FIRST CANADIAN PLACE100 KING STREET WESTTORONTO

ONTARIO

CA

M5X1G5

FINRA CAT

Trademark usage description

computer software containing and providing access to online databases pertaining to securities transactions; computer software for tracking, maintaini Read More

Classification Information

Class [009]
Computer software containing and providing access to online databases pertaining to securities transactions; computer software for tracking, maintaining, processing, logging and storing financial securities data; computer software for monitoring, tracking, logging, analyzing, auditing and reporting in the fields of regulatory compliance and financial securities; software for archiving and retrieving financial securities data

Classification kind code

11

Class [035]
Business services, namely, maintaining a consolidated database of securities transactions; business management services relating to computer technologies, business automation, and customer support services; interactive record-keeping services for use in regulatory compliance by governmental and non-governmental professionals in the field of financial securities

Classification kind code

11

Class [036]
Providing an online computer database with information regarding securities transactions; financial services, namely, storing, documenting and providing data relating to securities transactions; providing information relating to regulatory compliance in the financial securities industry

Classification kind code

11

Class [041]
Educational services, namely, providing educational materials in the fields of regulatory reporting of financial transactions, information security, and financial securities data; planning and conducting educational events in the fields of reporting of financial transactions, information security, and financial securities data

Classification kind code

11

Class [042]
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 financial securities data; electronic storage of financial securities data; 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 financial securities data

Classification kind code

11

Mark Details

Serial Number

1991023

Mark Type

Trademark

Legal History

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Action TakenStatus
Submitted for opposition 27
on 19th Sept 2024		Approval Notice Sent
Submitted for opposition 26
on 19th Sept 2024		Approved
Submitted for opposition 48
on 18th Jul 2024		Agent Changed
Submitted for opposition 22
on 21st May 2024		Search Recorded
Submitted for opposition 20
on 21st May 2024		Examiner's First Report
Submitted for opposition 67
on 7th Oct 2022		Agent Name Changed
Submitted for opposition 287
on 3rd Jun 2022		Pre-Assessment Letter Sent
Submitted for opposition 31
on 31st Oct 2019		Formalized
Submitted for opposition 1
on 18th Oct 2019		Created
Submitted for opposition 30
on 17th Oct 2019		Filed