Application

PTO- 1478

Approved for use through 05/31/2021. OMB 0651-0009

U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number

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PTO- 1478

Approved for use through 05/31/2021. OMB 0651-0009

U.S. Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it contains a valid OMB control number

Trademark/Service Mark Application, Principal Register

Serial Number: 90731362

Filing Date: 05/24/2021

To the Commissioner for Trademarks:

MARK: BETA+ SMA (Standard Characters, see mark)
The literal element of the mark consists of BETA+ SMA. The mark consists of standard characters, without claim to any particular font style, size, or color.
The applicant, Goldman Sachs & Co. LLC, a limited liability company legally organized under the laws of New York, having an address of
      200 West Street
      New York, New York 10282
      United States
      XXXX

requests registration of the trademark/service mark identified above in the United States Patent and Trademark Office on the Principal Register established by the Act of July 5, 1946 (15 U.S.C. Section 1051 et seq.), as amended, for the following:

International Class 036:  Financial services, namely, creating and administering financial instruments used to invest in securities; financial investment brokerage services; investment fund management and administration; financial advisory services; administration and valuation of financial investments; financial analysis services; financial portfolio management services; financial research services

In International Class 036, the mark was first used by the applicant or the applicant's related company or licensee or predecessor in interest at least as early as 05/01/2021, and first used in commerce at least as early as 05/01/2021, and is now in use in such commerce. The applicant is submitting one(or more) specimen(s) showing the mark as used in commerce on or in connection with any item in the class of listed goods/services, consisting of a(n) Images of Applicant's marketing and promotional materials displaying mark and describing services.

Original PDF file:
SPE0-38140204114-20210524 155223038305_._BETA__SMA_ Overview_-_May_2021_Redac ted__05-20-21_.pdf
Converted PDF file(s) (22 pages)
Specimen File1
Specimen File2
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Specimen File6
Specimen File7
Specimen File8
Specimen File9
Specimen File10
Specimen File11
Specimen File12
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Specimen File21
Specimen File22
Webpage URL: None Provided
Webpage Date of Access: None Provided



The owner's/holder's proposed attorney information: Nathaniel St. Clair II. Other appointed attorneys are Sara K. Borrelli, Carl C. Butzer, Shannon Zmud Teicher, Brian H. Oates, Christopher Rourk. Nathaniel St. Clair II of Jackson Walker LLP, is a member of the XX bar, admitted to the bar in XXXX, bar membership no. XXX, and the attorney(s) is located at
      2323 Ross Avenue, Suite 600
      Dallas, Texas 75201
      United States
      214-953-6000(phone)
      nstclairipdocket@jw.com
The docket/reference number is 101227.01301.
Nathaniel St. Clair II submitted the following statement: The attorney of record is an active member in good standing of the bar of the highest court of a U.S. state, the District of Columbia, or any U.S. Commonwealth or territory.

The applicant's current Correspondence Information:

Nathaniel St. Clair II

PRIMARY EMAIL FOR CORRESPONDENCE: nstclairipdocket@jw.com        SECONDARY EMAIL ADDRESS(ES) (COURTESY COPIES): gmccormack@jw.com; sborrelli@jw.com 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 $350 has been submitted with the application, representing payment for 1 class(es).

Declaration

	Basis: If the applicant is filing the application based on use in commerce under 15 U.S.C. § 1051(a): The signatory believes that the applicant is the owner of the trademark/service mark sought to be registered; The mark is in use in commerce and was in use in commerce as of the filing date of the application on or in connection with the goods/services in the application; The specimen(s) shows the mark as used on or in connection with the goods/services in the application and was used on or in connection with the goods/services in the application as of the application filing date; and To the best of the signatory's knowledge and belief, the facts recited in the application are accurate. And/Or If the applicant is filing the application based on an intent to use the mark in commerce under 15 U.S.C. § 1051(b), § 1126(d), and/or § 1126(e): The signatory believes that the applicant is entitled to use the mark in commerce; The applicant has a bona fide intention to use the mark in commerce and had a bona fide intention to use the mark in commerce as of the application filing date on or in connection with the goods/services in the application; and To the best of the signatory's knowledge and belief, the facts recited in the application are accurate.
	To the best of the signatory's knowledge and belief, no other persons, except, if applicable, 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 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.

Declaration Signature

Signature: /Debera Hepburn/   Date: 05/24/2021
Signatory's Name: Debera Hepburn
Signatory's Position: Vice President, Technology IP & Contracts
Signatory's Phone Number: Not Provided
Signature method: Sent to third party for signature
Payment Sale Number: 90731362
Payment Accounting Date: 05/24/2021

Serial Number: 90731362
Internet Transmission Date: Mon May 24 18:54:18 ET 2021
TEAS Stamp: USPTO/BAS-XX.XXX.XXX.XXX-202105241854189
35876-90731362-780f385e96ae05ba4ec72231b
c1c49bd9cd542ab37543b6353d55526ca06e5e95
-DA-54181878-20210524155223038305