Statement of Use

Under the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless it displays a valid OMB control number. PTO Form 1553 (Rev 09/2005)

OMB No. 0651-0054 (Exp 12/31/2020)

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Under the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless it displays a valid OMB control number. PTO Form 1553 (Rev 09/2005)

OMB No. 0651-0054 (Exp 12/31/2020)

Trademark/Service Mark Statement of Use
(15 U.S.C. Section 1051(d))

To the Commissioner for Trademarks:
MARK: FINRA CAT(Standard Characters, see http://uspto.report/TM/88351274/mark.png)
SERIAL NUMBER: 88351274
An Extension of Time form is being filed with the Allegation of Use.


OWNER AND/OR ENTITY INFORMATION
The owner proposes to amend the following:
Current: Financial Industry Regulatory Authority, Inc., having an address of
      1735 K Street, NW
      Washington, District of Columbia 20006
      United States
Proposed: Financial Industry Regulatory Authority, Inc., having an address of
      1735 K Street, NW
      Washington, District of Columbia 20006
      United States
      Phone:
      Email: XXXX

The owner is submitting the following allegation of use information:

For International Class 009:
Current identification: 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

The mark is in use in commerce on or in connection with all of the goods/services, or to indicate membership in the collective organization listed in the application or Notice of Allowance or as subsequently modified for this specific class.

The mark was first used by the applicant, or the applicant's related company, licensee, or predecessor in interest at least as early as 04/24/2019, and first used in commerce at least as early as 04/24/2019, and is now in use in such commerce. The applicant is submitting one specimen for the class showing the mark as used in commerce on or in connection with any item in the class, consisting of a(n) User Guide for FINRA CAT.

Original PDF file:
SPN0-7316224360-20200610134421422505_._Specimen_FINRA_CAT_-_Class_9.pdf
Converted PDF file(s) (56 pages)
Specimen File1
Specimen File2
Specimen File3
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Specimen File50
Specimen File51
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Specimen File53
Specimen File54
Specimen File55
Specimen File56


For International Class 035:
Current identification: 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

The mark is in use in commerce on or in connection with all of the goods/services, or to indicate membership in the collective organization listed in the application or Notice of Allowance or as subsequently modified for this specific class.

The mark was first used by the applicant, or the applicant's related company, licensee, or predecessor in interest at least as early as 04/24/2019, and first used in commerce at least as early as 04/24/2019, and is now in use in such commerce. The applicant is submitting one specimen for the class showing the mark as used in commerce on or in connection with any item in the class, consisting of a(n) screenshot from Applicant's website prominently displaying the mark in connection with the applied-for services.

Original PDF file:
SPN1-7316224360-20200610134421422505_._IM_Portal_Prod_Screenshot.pdf
Converted PDF file(s) (1 page)
Specimen File1


For International Class 036:
Current identification: 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

The mark is in use in commerce on or in connection with all of the goods/services, or to indicate membership in the collective organization listed in the application or Notice of Allowance or as subsequently modified for this specific class.

The mark was first used by the applicant, or the applicant's related company, licensee, or predecessor in interest at least as early as 04/24/2019, and first used in commerce at least as early as 04/24/2019, and is now in use in such commerce. The applicant is submitting one specimen for the class showing the mark as used in commerce on or in connection with any item in the class, consisting of a(n) screenshot from Applicant's website prominently displaying the mark in connection with the applied-for services.

Original PDF file:
SPN2-7316224360-20200610134421422505_._IM_Portal_Prod_Screenshot.pdf
Converted PDF file(s) (1 page)
Specimen File1


For International Class 041:
Current identification: 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

The mark is in use in commerce on or in connection with all of the goods/services, or to indicate membership in the collective organization listed in the application or Notice of Allowance or as subsequently modified for this specific class.

The mark was first used by the applicant, or the applicant's related company, licensee, or predecessor in interest at least as early as 04/24/2019, and first used in commerce at least as early as 04/24/2019, and is now in use in such commerce. The applicant is submitting one specimen for the class showing the mark as used in commerce on or in connection with any item in the class, consisting of a(n) screenshot from Applicant's website prominently displaying the mark in connection with the applied-for services.

Original PDF file:
SPN3-7316224360-20200610134421422505_._Specimen_FINRA_CAT_-_Class_41.pdf
Converted PDF file(s) (1 page)
Specimen File1


For International Class 042:
Current identification: 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

The mark is in use in commerce on or in connection with all of the goods/services, or to indicate membership in the collective organization listed in the application or Notice of Allowance or as subsequently modified for this specific class.

The mark was first used by the applicant, or the applicant's related company, licensee, or predecessor in interest at least as early as 04/24/2019, and first used in commerce at least as early as 04/24/2019, and is now in use in such commerce. The applicant is submitting one specimen for the class showing the mark as used in commerce on or in connection with any item in the class, consisting of a(n) screenshot from Applicant's website prominently displaying the mark in connection with the applied-for services.

Original PDF file:
SPN4-7316224360-20200610134421422505_._IM_Portal_Prod_Screenshot.pdf
Converted PDF file(s) (1 page)
Specimen File1


For International Class 045:
Current identification: Providing information relating to regulatory compliance in the financial securities industry

The mark is in use in commerce on or in connection with all of the goods/services, or to indicate membership in the collective organization listed in the application or Notice of Allowance or as subsequently modified for this specific class.

The mark was first used by the applicant, or the applicant's related company, licensee, or predecessor in interest at least as early as 04/24/2019, and first used in commerce at least as early as 04/24/2019, and is now in use in such commerce. The applicant is submitting one specimen for the class showing the mark as used in commerce on or in connection with any item in the class, consisting of a(n) screenshot from Applicant's website prominently displaying the mark in connection with the applied-for services.

Original PDF file:
SPN5-7316224360-20200610134421422505_._IM_Portal_Prod_Screenshot.pdf
Converted PDF file(s) (1 page)
Specimen File1


The applicant is not filing a Request to Divide with this Allegation of Use form. Correspondence Information (current):
      Brandon P. Leahy
      PRIMARY EMAIL FOR CORRESPONDENCE: trademarks@wsgr.com
      SECONDARY EMAIL ADDRESS(ES) (COURTESY COPIES): NOT PROVIDED
Correspondence Information (proposed):
      Brandon P. Leahy
      PRIMARY EMAIL FOR CORRESPONDENCE: trademarks@wsgr.com
      SECONDARY EMAIL ADDRESS(ES) (COURTESY COPIES): trademarks@wsgr.com

The docket/reference number is 18110-TM1046.

Requirement for Email and Electronic Filing: I understand that a valid email address must be maintained by the applicant owner/holder and the applicant owner's/holder's attorney, if appointed, and that all official trademark correspondence must be submitted via the Trademark Electronic Application System (TEAS).

A fee payment in the amount of $600 will be submitted with the form, representing payment for the allegation of use for 6 classes.


Declaration

	The signatory believes that the applicant is the owner of the mark sought to be registered. For a trademark or service mark application, the mark is in use in commerce on or in connection with all the goods/services in the application or notice of allowance, or as subsequently modified. For a collective trademark, collective service mark, collective membership mark application, the applicant is exercising legitimate control over the use of the mark in commerce by members on or in connection with all the goods/services/collective membership organization in the application or notice of allowance, or as subsequently modified. For a certification mark application, the applicant is exercising legitimate control over the use of the mark in commerce by authorized users on or in connection with the all goods/services in the application or notice of allowance, or as subsequently modified, and the applicant is not engaged in the production or marketing of the goods/services to which the mark is applied, except to advertise or promote recognition of the certification program or of the goods/services that meet the certification standards of the applicant.
	The specimen(s) shows the mark as used on or in connection with the goods/services/collective membership organization in commerce.
	To the best of the signatory's knowledge and belief, no other persons, except, if applicable, authorized users, members, and/or concurrent users, have the right to use the mark in commerce, either in the identical form or in such near resemblance as to be likely, when used on or in connection with the goods/services/collective membership organization of such other persons, to cause confusion or mistake, or to deceive.
	To the best of the signatory's knowledge, information, and belief, formed after an inquiry reasonable under the circumstances, the allegations and other factual contentions made above have evidentiary support.
	The signatory being warned that willful false statements and the like are punishable by fine or imprisonment, or both, under 18 U.S.C. § 1001, and that such willful false statements and the like may jeopardize the validity of the application or submission or any registration resulting therefrom, declares that all statements made of his/her own knowledge are true and all statements made on information and belief are believed to be true.

Signature: /Mary Sarwary/      Date Signed: 06/10/2020
Signatory's Name: Mary Sarwary
Signatory's Position: Associate General Counsel
Signatory's Phone: Not Required

RAM Sale Number: 88351274
RAM Accounting Date: 06/10/2020

Serial Number: 88351274
Internet Transmission Date: Wed Jun 10 19:01:43 ET 2020
TEAS Stamp: USPTO/SOU-XX.XXX.XXX.XX-2020061019014396
0286-88351274-7105eca27ebb2c6c9ee442fde6
b2641f926b6fc52e67aac2abe7338c1f453b56-D
A-01432094-20200610134421422505