Amendment and Mail Process Complete
FINRA CAT
Financial Industry Regulatory Authority, Inc.
@attributes
Document-type
AMC
Document-subtype
AMC
Description
Amend and Mail Proc Cmpl_RUNDATE20191207
System-creator
ClearPath
Version
1.0
Version-date
20070126
Trademark-applications-daily
Version
Version-no
2.0
Version-date
20041108
Creation-datetime
201912070605
File-segments
File-segment
TRMK
Action-keys
Action-key
TX
Case-file
Serial-number
88351274
Registration-number
0000000
Transaction-date
12072019
Case-file-header
Filing-date
20190321
Status-code
680
Status-date
20191206
Mark-identification
FINRA CAT
Mark-drawing-code
4000
Attorney-docket-number
18110-TM1046
Attorney-name
Brandon P. Leahy
Principal-register-amended-in
F
Supplemental-register-amended-in
F
Trademark-in
T
Collective-trademark-in
F
Service-mark-in
T
Collective-service-mark-in
F
Collective-membership-mark-in
F
Certification-mark-in
F
Cancellation-pending-in
F
Published-concurrent-in
F
Concurrent-use-in
F
Concurrent-use-proceeding-in
F
Interference-pending-in
F
Opposition-pending-in
F
Section-12c-in
F
Section-2f-in
F
Section-2f-in-part-in
F
Renewal-filed-in
F
Section-8-filed-in
F
Section-8-partial-accept-in
F
Section-8-accepted-in
F
Section-15-acknowledged-in
F
Section-15-filed-in
F
Supplemental-register-in
F
Foreign-priority-in
F
Change-registration-in
F
Intent-to-use-in
T
Intent-to-use-current-in
T
Filed-as-use-application-in
F
Amended-to-use-application-in
F
Use-application-currently-in
F
Amended-to-itu-application-in
F
Filing-basis-filed-as-44d-in
F
Amended-to-44d-application-in
F
Filing-basis-current-44d-in
F
Filing-basis-filed-as-44e-in
F
Filing-basis-current-44e-in
F
Amended-to-44e-application-in
F
Without-basis-currently-in
F
Filing-current-no-basis-in
F
Color-drawing-filed-in
F
Color-drawing-current-in
F
Drawing-3d-filed-in
F
Drawing-3d-current-in
F
Standard-characters-claimed-in
T
Filing-basis-filed-as-66a-in
F
Filing-basis-current-66a-in
F
Law-office-assigned-location-code
M80
Current-location
LAW OFFICE 117 - EXAMINING ATTORNEY ASSIGNED
Location-date
20191206
Employee-name
MAI, TINA HSIN
Case-file-statement
Type-code
D10000
Text
"CAT"
Type-code
GS0091
Text
Computer software containing and providing access to online databases pertaining to securities transactions; computer software for tracking, maintaining, processing, logging and storing 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 data
Type-code
GS0351
Text
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
Type-code
GS0361
Text
Providing an online computer database with information regarding securities transactions; financial services, namely, storing, documenting and providing data relating to securities transactions; providing financial information relating to regulatory compliance in the financial securities industry
Type-code
GS0411
Text
Educational services, namely, providing educational materials in the nature of non-downloadable brochures and information sheets in the fields of regulatory reporting of financial transactions, information security, and definition of financial securities data; planning and conducting educational events in the fields of reporting of financial transactions, information security, and definition of financial securities data, and distribution of educational materials in the nature of printed and downloadable brochures and information sheets in the fields of regulatory reporting of financial transactions, information security, and definition of financial securities data in connection therewith
Type-code
GS0421
Text
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 data; electronic data storage; 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 data
Type-code
GS0451
Text
Providing information relating to regulatory compliance in the financial securities industry
Type-code
PM0001
Text
FINANCIAL INDUSTRY REGULATORY AUTHORITY CONSOLIDATED AUDIT TRAIL
Case-file-event-statement
Code
CNSA
Type
P
Description-text
APPROVED FOR PUB - PRINCIPAL REGISTER
Date
20191206
Number
18
Code
XAEC
Type
I
Description-text
EXAMINER'S AMENDMENT ENTERED
Date
20191206
Number
17
Code
GNEN
Type
O
Description-text
NOTIFICATION OF EXAMINERS AMENDMENT E-MAILED
Date
20191206
Number
16
Code
GNEA
Type
O
Description-text
EXAMINERS AMENDMENT E-MAILED
Date
20191206
Number
15
Code
CNEA
Type
R
Description-text
EXAMINERS AMENDMENT -WRITTEN
Date
20191206
Number
14
Code
XAEC
Type
I
Description-text
EXAMINER'S AMENDMENT ENTERED
Date
20191206
Number
13
Code
GNEN
Type
O
Description-text
NOTIFICATION OF EXAMINERS AMENDMENT E-MAILED
Date
20191206
Number
12
Code
GNEA
Type
O
Description-text
EXAMINERS AMENDMENT E-MAILED
Date
20191206
Number
11
Code
CNEA
Type
R
Description-text
EXAMINERS AMENDMENT -WRITTEN
Date
20191206
Number
10
Code
TEME
Type
I
Description-text
TEAS/EMAIL CORRESPONDENCE ENTERED
Date
20191204
Number
9
Code
CRFA
Type
I
Description-text
CORRESPONDENCE RECEIVED IN LAW OFFICE
Date
20191203
Number
8
Code
TROA
Type
I
Description-text
TEAS RESPONSE TO OFFICE ACTION RECEIVED
Date
20191203
Number
7
Code
GPRN
Type
O
Description-text
NOTIFICATION OF PRIORITY ACTION E-MAILED
Date
20190609
Number
6
Code
GPRA
Type
F
Description-text
PRIORITY ACTION E-MAILED
Date
20190609
Number
5
Code
CPRA
Type
R
Description-text
PRIORITY ACTION WRITTEN
Date
20190609
Number
4
Code
DOCK
Type
D
Description-text
ASSIGNED TO EXAMINER
Date
20190531
Number
3
Code
NWOS
Type
I
Description-text
NEW APPLICATION OFFICE SUPPLIED DATA ENTERED IN TRAM
Date
20190409
Number
2
Code
NWAP
Type
I
Description-text
NEW APPLICATION ENTERED IN TRAM
Date
20190325
Number
1
Classification
International-code-total-no
1
Us-code-total-no
5
International-code
009
Us-code
0
021
1
023
2
026
3
036
4
038
Status-code
6
Status-date
20190409
First-use-anywhere-date
0
First-use-in-commerce-date
0
Primary-code
009
International-code-total-no
1
Us-code-total-no
3
International-code
035
Us-code
0
100
1
101
2
102
Status-code
6
Status-date
20190409
First-use-anywhere-date
0
First-use-in-commerce-date
0
Primary-code
035
International-code-total-no
1
Us-code-total-no
3
International-code
036
Us-code
0
100
1
101
2
102
Status-code
6
Status-date
20190409
First-use-anywhere-date
0
First-use-in-commerce-date
0
Primary-code
036
International-code-total-no
1
Us-code-total-no
3
International-code
041
Us-code
0
100
1
101
2
107
Status-code
6
Status-date
20190409
First-use-anywhere-date
0
First-use-in-commerce-date
0
Primary-code
041
International-code-total-no
1
Us-code-total-no
2
International-code
042
Us-code
0
100
1
101
Status-code
6
Status-date
20190409
First-use-anywhere-date
0
First-use-in-commerce-date
0
Primary-code
042
International-code-total-no
1
Us-code-total-no
2
International-code
045
Us-code
0
100
1
101
Status-code
6
Status-date
20191204
First-use-anywhere-date
0
First-use-in-commerce-date
0
Primary-code
045
Correspondent
Address-1
Brandon P. Leahy
Address-2
WILSON SONSINI GOODRICH & ROSATI
Address-3
650 PAGE MILL ROAD
Address-4
PALO ALTO, CA, 94304-1050
Case-file-owner
Entry-number
1
Party-type
10
Nationality State
DE
Legal-entity-type-code
99
Entity-statement
non-profit corporation
Party-name
Financial Industry Regulatory Authority, Inc.
Address-1
1735 K Street, NW
City
Washington
State
DC
Postcode
20006
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