NASAA

Live / Allowed — Published for opposition (as of 03 Nov 2026)

What this means for you

Approved and waiting on proof of use. It will register unless the applicant drops it, and its 07 Oct 2024 filing date already counts against anyone who files later.

Record

Serial number
98788871
Mark type
Design + words
Filed
07 Oct 2024
Published for opposition
03 Nov 2026
Attorney of record
Andrew D. Price & Paula E. Hopkins

Goods and services

  • Class 009 — Scientific and electric apparatus: (Based on Use) Downloadable publications, namely, downloadable templates, guidelines, and reports featuring state securities model rules and regulations, statements of policy regarding state securities model rules and regulations, model acts being model legislation, and exam study guides in the fields of financial investor protection, securities regulation, and licensing of broker-dealer agents and investment adviser representatives; Downloadable reports in the fields of financial investor protection, securities regulation, and licensing of broker-dealer agents and investment adviser representatives; downloadable electronic data files featuring forms for use by broker-dealers, investment advisers, and securities issuers in the fields of financial investor protection, securities regulation, and licensing of broker-dealer agents and investment adviser representatives
  • Class 016 — Paper goods and printed matter: (Based on Intent to Use) Printed publications, namely, printed templates, guidelines, and reports featuring state securities model rules and regulations, statements of policy regarding state securities model rules and regulations, model acts being model legislation, and printed exam study guides and reports, all in the fields of financial investor protection, securities regulation, and licensing of broker-dealer agents and investment adviser representatives
  • Class 035 — Advertising and business services: (Based on Use) Promoting the interests of state and provincial securities regulators and investors in the fields of financial investor protection, securities regulation, and licensing of broker-dealers, broker-dealer agents, investment advisers, and investment adviser representatives; advocacy services, namely, promoting public awareness of investor protection rules, securities regulations and licensing requirements of broker-dealers, broker-dealer agents, investment advisers, and investment adviser representatives, to protect investors and promote capital markets for the benefit of investors in the fields of financial investor protection, securities regulation, and licensing of broker-dealers, broker-dealer agents, investment advisers, and investment adviser representatives; public policy consultancy services in the fields of financial investor protection, securities regulation, and licensing of broker-dealers, broker-dealer agents, investment advisers, and investment adviser representatives; providing public policy information in the fields of financial investor protection, securities regulation, and licensing of broker-dealers, broker-dealer agents, investment advisers, and investment adviser representatives; providing public policy information in the fields of financial investor protection, securities regulation, and licensing of broker-dealers, broker-dealer agents, investment advisers, and investment adviser representatives via a website; business records database management services to assist state securities regulators in the development, execution and recording of broker-dealer agent and investment adviser representative examinations
  • Class 036 — Insurance and financial services: (Based on Use) Providing on-line financial information and news in the fields of financial investor protection, securities regulation, and licensing of broker-dealers, broker-dealer agents, investment advisers, and investment adviser representatives
  • Class 041 — Education and entertainment services: (Based on Use) Educational services, namely, providing meetings, symposia, classes, workshops, seminars, webinars, and educational conferences in the fields of financial investor protection, securities regulation and licensing of broker-dealers, broker-dealer agents, investment advisers, and investment adviser representatives; providing training in the fields of financial investor protection, securities regulation, and licensing of broker-dealers, broker-dealer agents, investment advisers, and investment adviser representatives; developing curricula and examinations for state securities regulators to use in licensing broker-dealer agents and investment adviser representatives and for continuing education of investment adviser representatives; entertainment services, namely, providing educational podcasts in the fields of financial investor protection, securities regulation, and licensing of broker-dealers, broker-dealer agents, investment advisers, and investment adviser representatives; educational services, namely, providing educational speakers in the fields of financial investor protection, securities regulation, and licensing of broker-dealers, broker-dealer agents, investment advisers, and investment adviser representatives; providing a website featuring non-downloadable instructional videos in the fields of financial investor protection, securities regulation, and licensing of broker-dealers, broker-dealer agents, investment advisers, and investment adviser representatives; providing on-line information and news in the field of current events relating to financial investor protection, securities regulation, and licensing of broker-dealers, broker-dealer agents, investment advisers, and investment adviser representatives
  • Class 042 — Scientific and technological services: (Based on Use) Testing, analysis, and evaluation of the knowledge, skills, and abilities of individuals seeking licensure as broker-dealer agents or investment adviser representatives to determine conformity with established state regulatory licensing standards as it pertains to financial investor protection and state securities rules and regulations, and licensing requirements of individuals seeking licensure as broker-dealer agents or investment adviser representatives with state securities regulators; database services to state securities regulators to assist state securities regulators in the development, execution and recording of broker-dealer agent and investment adviser representative examinations, namely, providing an on-line computer database featuring examination results of broker-dealer agents and investment adviser representatives in the field of state securities regulation
  • Class 045 — Legal and security services: (Based on Use) Political lobbying services in the fields of financial investor protection, securities regulation, and licensing of broker-dealers, broker-dealer agents, investment advisers, and investment adviser representatives; providing on-line legal information and news in the fields of financial investor protection, securities regulation, and licensing of broker-dealers, broker-dealer agents, investment advisers, and investment adviser representatives

Owner

Prosecution history

  • 03 Nov 2026 — OFFICIAL GAZETTE PUBLICATION CONFIRMATION E-MAILED
  • 03 Nov 2026 — PUBLISHED FOR OPPOSITION
  • 28 Oct 2026 — NOTIFICATION OF NOTICE OF PUBLICATION E-MAILED
  • 09 Oct 2026 — ON HOLD - ELECTRONIC RECORD REVIEW REQUIRED
  • 02 Oct 2026 — ON HOLD - ELECTRONIC RECORD REVIEW REQUIRED
  • 25 Sept 2026 — ON HOLD - ELECTRONIC RECORD REVIEW REQUIRED
  • 16 Sept 2026 — APPROVED FOR PUB - PRINCIPAL REGISTER
  • 16 Sept 2026 — NOTIFICATION OF EXAMINERS AMENDMENT E-MAILED
  • 16 Sept 2026 — EXAMINER'S AMENDMENT ENTERED
  • 16 Sept 2026 — EXAMINERS AMENDMENT E-MAILED
  • 16 Sept 2026 — EXAMINERS AMENDMENT -WRITTEN
  • 16 Sept 2026 — PREVIOUS ALLOWANCE COUNT WITHDRAWN
  • 21 Aug 2026 — ON HOLD - ELECTRONIC RECORD REVIEW REQUIRED
  • 14 Aug 2026 — ON HOLD - ELECTRONIC RECORD REVIEW REQUIRED
  • 07 Aug 2026 — APPROVED FOR PUB - PRINCIPAL REGISTER

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