NASAA Trademark
NASAA is a USPTO trademark filed by North American Securities Administrators Association Inc.. Status: Pending.
Trademark Facts
| Mark | NASAA |
|---|---|
| Serial Number | 98788818 |
| Status | Pending |
| Filing Date | 2024-10-07 |
| Mark Type | Combined |
| Nice Classes | 009 (Electronics & Software), 016 (Paper Goods), 035 (Advertising & Business), 036 (Financial Services), 041 (Education & Entertainment), 042 (Software & IT), 045 (Legal Services) |
| Owner | North American Securities Administrators Association Inc. |
| Attorney of Record | Andrew D. Price & Paula E. Hopkins |
| Prosecution Events | 25 |
| Latest Event | GNFR on 2026-03-18 |
Goods & Services
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 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 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 online downloadable state securities model rules, statements of policy, model acts, and exam study guides in the fields of financial investor protection, securities regulation, and licensing of broker-dealer agents and investment adviser representatives; providing online 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, namely, 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; Printed state securities model rules, statements of policy, model acts, and exam study guides and reports in the fields of financial investor protection, securities regulation, and licensing of broker-dealer agents and investment adviser representatives; Providing on-line information, news, and commentary in the fields of financial investor protection, securities regulation, and licensing of broker-dealers, broker-dealer agents, investment advisers, and investment adviser representatives; 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 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; 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; Testing, analysis, and evaluation of the knowledge, skills, and abilities in the fields of financial investor protection, securities regulation and licensing of individuals seeking licensure as broker-dealer agents or investment adviser representatives with state securities regulators; database services to state securities regulators to assist in the development, execution and recording of broker-dealer and investment adviser examinations
Recent Prosecution Activity
| Date | Document | Type |
|---|---|---|
| 2026-02-20 | Amendment and Mail Process Complete | AMC |
| 2026-02-20 | Public Note | PNR |
| 2026-02-20 | Examiner's Amendment | EXAMA |
| 2026-02-02 | Amendment and Mail Process Complete | AMC |
| 2026-02-01 | Specimen | SPE |
| 2026-02-01 | Response to Office Action | ROA |
USPTO Refusals on Record
- unacceptable_specimen