Financial Industry Regulatory Authority, Inc. Trademarks Page 1

Financial Industry Regulatory Authority, Inc. Trademarks

NASD

Filed: August 16, 2007
[ Printed matter, namely, manuals and pamphlets concerning regulations and requirements pertaining to the securities industry…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 77257481

OTCBB

Filed: January 18, 2011
Financial services, namely, providing an online web site with quotation and trade information for unlisted publicly traded…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 85220191

TRADE REPORTING AND QUOTATION SERVICE

Providing temporary use of non-downloadable software used in the financial securities field for reporting and disseminating…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 85380543

FINRA ADDS

Filed: December 9, 2011
Providing a website featuring financial information pertaining to executed and rejected trades of financial securities
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 85492078

FINRA AUTOMATED DATA DELIVERY SYSTEM

Filed: December 12, 2011
Providing a website featuring financial information pertaining to executed and rejected trades of financial securities
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 85493077

PFRD

Filed: April 29, 2015
Providing on-line, electronic filing services for SEC-registered investment advisers required to file the Form PF
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 86613445

FINRA PRIVATE FUND REPORTING DEPOSITORY

Providing on-line, electronic filing services for SEC-registered investment advisers required to file the Form PF
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 86613595

FPRD

Filed: April 29, 2015
Providing an online, electronic filing system for SEC-registered funding portals pursuant to the crowdfunding provisions…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 86613694

FINRA FUNDING PORTAL REGISTRATION DEPOSITORY

SECURITIES INDUSTRY ESSENTIALS

Filed: June 10, 2015
Testing to determine professional competency in the field of securities; administration of qualification examinations to…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 86658247

TRACE

CRCP

Filed: May 10, 2017
Providing information in the fields of financial investments and financial regulation
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 87444438

CERTIFIED REGULATORY AND COMPLIANCE PROFESSIONAL (CRCP)

Filed: May 10, 2017
Providing information in the fields of financial investments and financial regulation
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 87444467

TESS

Filed: June 1, 2017
computer software for enrolling in and paying to take professional qualification examinations; computer software for viewing…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 87471844

TRADE REPORTING AND QUOTATION SERVICE

providing temporary use of non-downloadable software for reporting and disseminating quotation and transactional information…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 87847606

TRAQS

Filed: March 23, 2018
providing temporary use of non-downloadable software for reporting and disseminating quotation and transactional information…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 87847627

FINRA CAT

Filed: March 21, 2019
Computer software containing and providing access to online databases pertaining to securities transactions; computer software…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 88351274

FINRA'S INDUSTRY NETWORKING DATABASE

Filed: August 28, 2019
Business services, namely, maintaining a registry of national database in the field of financial services featuring financial…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 88595692

FINRA

Filed: September 11, 2019
Downloadable computer software containing accessible databases and downloadable computer software used to access online…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 88613203

FINRA CAT

Filed: January 23, 2020
Downloadable computer software containing and providing access to online databases pertaining to securities transactions…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 88770817

FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY

Filed: June 4, 2020
Downloadable computer software containing accessible databases and downloadable computer software used to access online…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 88948503

FIRST

Filed: September 21, 2022
business services, namely, maintaining data in an online database of rules and regulations pertaining to the financial securities…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 97600465

FINRA RULEBOOK SEARCH TOOL

FINPRO GATEWAY

Filed: March 13, 2023
Downloadable and recorded software featuring information in the fields of financial services and professional licensing;…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 97835982

FINPRO LEARNING EXPERIENCE

Filed: March 13, 2023
Continuing education services, namely, providing online continuing professional education programs in the field of financial…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 97835986

FLEX @ FINRA

Filed: March 13, 2024
educational services, namely, conducting seminars, conferences and workshops in the fields of securities regulation and…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 98446849

FINANCIAL LEARNING EXPERIENCE AT FINRA

Filed: March 13, 2024
Educational services, namely, conducting seminars, conferences and workshops in the fields of securities regulation and…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 98446852

FINRA SECURITIES LENDING AND TRANSPARENCY ENGINE

Filed: April 29, 2024
downloadable computer software for reporting, submitting, and disseminating loan transactions and transaction information…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 98525410

SLATE

Filed: April 29, 2024
Downloadable computer software for reporting, submitting, and disseminating loan transactions and transaction information…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 98525421

FLEX

Filed: April 30, 2024
educational services, namely, conducting seminars, conferences and workshops in the fields of securities regulation and…
Owned by: Financial Industry Regulatory Authority, Inc.
Serial Number: 98527277