FINRA

[Class - 35]

PROVIDING SERVICES TO REGULATE THE SECURITIES INDUSTRY IN ORDER TO MAINTAIN THE INTEGRITY OF THE MARKETPLACE FOR THE BENEFIT AND PROTECTION OF INVESTORS, NAMELY, REGISTRATION OF MEMBER FIRMS AND THEIR EMPLOYEES, INVESTMENT ADVISORS AND INDIVIDUALS AND ENTITIES WITHIN THE" INVESTMENT AND SECURITIES" INDUSTRY; ARRANGING OF SUBSCRIPTIONS FOR THE PUBLICATIONS OF OTHERS; PROMOTING THE SERVICES OF OTHERS, NAMELY, ADVERTISING AND MARKETING A SERIES OF DISCOUNTED INSURANCE, FIDUCIARY BOND, MAIL DELIVERY AND TELECOMMUNICATIONS SERVICES TO MEMBERS; ON.,LINE RETAIL STORES AND MAIL-ORDER CATALOG SERVICES FEATURING BOOKLETS, MANUALS, AUDIO AND VIDEO TAPES AND COMPACT DISCS DEALING WITH THE SECURITIES AND INVESTMENT INDUSTRY, AND FEATURING CLOTHING, SCARVES, HATS, BAGS, OFFICE SUPPLIES AND ACCESSORIES, WATCHES, PAPER GOODS AND CALENDARS, UMBRELLAS, AND COFFEE MUGS; ASSOCIATION SERVICES, NAMELY, PROMOTING THE INTERESTS O( SECURITIES AND INVESTMENT INDUSTRY PROFESSIONALS; BUSINESS SERVICES, NAMELY, PROVIDING AN ONLINE DATABASE FEATURING EMPLOYMENT AND DISCIPLINARY INFORMATION REGARDING PROFESSIONALS IN THE SECURITIES AND INVESTMENT ADVISOR INDUSTRIES; PROVIDING AN ON-LINE COMPUTER DATABASE WITH INFORMATION REGARDING THE PROFESSIONAL BACKGROUND, BUSINESS PRACTICES AND CONDUCT OF REGISTERED FINANCIAL BROKERAGE FIRMS AND THEIR REGISTERED EMPLOYEES AND INVESTMENT ADVISORS; PROVIDING INFORMATION REGARDING THE PROFESSIONAL BACKGROUND, BUSINESS PRACTICES AND CONDUCT OF REGISTERED FINANCIAL BROKERAGE FIRMS AND THEIR REGISTERED EMPLOYEES IN RESPONSE TO TELEPHONE AND EMAIL INQUIRIES IN INTERNATIONAL CLASS 35 CONSULTING SERVICES FOR OTHERS, NAMELY, EVALUATING SECURITIES MARKET RISKS AND PROVIDING RISK MANAGEMENT RECOMMENDATIONS; PROVIDING ANALYSIS OF SECURITIES MARKET REGULATIONS, MANAGEMENT, AND OPERATION PROVIDING ADVICE REGARDING THE STRUCTURE AND REGULATION OF SECURITIES MARKETS; PROVIDING ADVICE REGARDING THE USE OF TECHNOLOGY TO ENFORCE SECURITIES MARKET REGULATIONS AND RULES; PROVIDING SERVICES TO REGULATE THE SECURITIES INDUSTRY IN ORDER TO MAINTAIN THE INTEGRITY OF THE MARKETPLACE FOR THE BENEFIT AND PROTECTION OF INVESTORS, NAMELY, REGISTRATION OF MEMBER FIRMS AND THEIR EMPLOYEES, INVESTMENT ADVISORS AND INDIVIDUALS AND ENTITIES WITHIN THE INVESTMENT AND SECURITIES INDUSTRY; ARRANGING OF SUBSCRIPTIONS FOR THE PUBLICATIONS OF OTHERS; PROMOTING THE SERVICES OF OTHERS, NAMELY, ADVERTISING AND MARKETING A SERIES OF DISCOUNTED INSURANCE, FIDUCIARY BOND, MAIL DELIVERY AND TELECOMMUNICATIONS SERVICES TO MEMBERS; ON-LINE RETAIL STORES AND MAIL-ORDER CATALOG SERVICES FEATURING BOOKLETS, MANUALS, AUDIO AND VIDEO TAPES AND COMPACT DISCS DEALING WITH THE SECURITIES AND INVESTMENT INDUSTRY, AND FEATURING CLOTHING, SCARVES, HATS, BAGS, OFFICE SUPPLIES AND ACCESSORIES, WATCHES, PAPER GOODS AND CALENDARS, UMBRELLAS, AND COFFEE MUGS; ASSOCIATION SERVICES, NAMELY, PROMOTING THE INTERESTS OF SECURITIES AND INVESTMENT INDUSTRY PROFESSIONALS; BUSINESS SERVICES, NAMELY, PROVIDING AN ONLINE DATABASE FEATURING EMPLOYMENT AND DISCIPLINARY INFORMATION REGARDING PROFESSIONALS IN THE SECURITIES AND INVESTMENT ADVISOR INDUSTRIES; PROVIDING AN ON-LINE COMPUTER DATABASE WITH INFORMATION REGARDING THE PROFESSIONAL BACKGROUND, BUSINESS PRACTICES AND CONDUCT OF REGISTERED FINANCIAL BROKERAGE FIRMS AND THEIR REGISTERED EMPLOYEES AND INVESTMENT ADVISORS; PROVIDING INFORMATION REGARDING THE PROFESSIONAL BACKGROUND, BUSINESS PRACTICES AND CONDUCT OF REGISTERED FINANCIAL BROKERAGE FIRMS AND THEIR REGISTERED EMPLOYEES IN RESPONSE TO TELEPHONE AND EMAIL INQUIRIES IN INTERNATIONAL CLASS 35 CONSULTING SERVICES FOR OTHERS, NAMELY, EVALUATING SECURITIES MARKET RISKS AND PROVIDING RISK MANAGEMENT RECOMMENDATIONS;? PROVIDING ANALYSIS OF SECURITIES MARKET REGULATIONS, MANAGEMENT, AND OPERATIONS; PROVIDING ADVICE REGARDING THE STRUCTURE AND REGULATION OF SECURITIES MARKETS; PROVIDING ADVICE REGARDING THE USE OF TECHNOLOGY TO ENFORCE SECURITIES MARKET REGULATIONS AND RULES

[Class - 36]

PROVIDING AN ON-LINE COMPUTER DATABASE OF INFORMATION IN THE FIELD OF SECURITIES AND EQUITIES TRADING, CORPORATE BOND TRANSACTIONS, SECURITIES REGULATION, FINANCIAL INVESTMENTS, SECURITIES FIRMS, BROKER/DEALERS AND INVESTMENT ADVISORS, GRANTS, INVESTOR PROTECTION, AND RULES TO GOVERN SECURITIES DAY-TRADING ACTIVITIES; DEVELOPMENT OF SECURITIES TRADE RULES TO INCREASE TRANSPARENCY, DISCLOSURES AND REDUCE CONFLICTS OF INTEREST; MONITORING SECURITIES MARKETS AROUND THE WORLD TO DETERMINE COMPLIANCE WITH REGULATIONS; ASSISTING SECURITIES AND INVESTMENT FIRMS TO ASSESS DISASTER RECOVERY PLANS; CREATING AND ENFORCING RULES THAT GOVERN THE CONDUCT OF SECURITIES INVESTMENT FIRMS AND THEIR EMPLOYEES; REGULATING THE SECURITIES AND INVESTMENT INDUSTRIES; PROVIDING AN ON-LINE COMPUTER DATABASE WITH INFORMATION REGARDING PRICING AND QUOTES FOR BONDS, EQUITIES AND SECURITIES, REPORTS ON BONDS, EQUITIES AND SECURITIES TRADES, AND COMPARISONS OF BONDS, EQUITIES AND SECURITIES TRADES; PROVIDING GRANTS AND FUNDING FOR RESEARCH, PROJECTS, FELLOWSHIPS, SEMINARS, SYMPOSIUMS, ROUNDTABLES AND CLASSES, ALL IN THE FIELD OF INVESTOR EDUCATION, IN INTERNATIONAL CLASS 36. PROVIDING AN ON-LINE COMPUTER DATABASE OF INFORMATION IN THE FIELD OF SECURITIES- AND EGUITIES TRADING, CORPORATE BOND TRANSACTIONS, SECURITIES REGULATION, FINANCIAL INVESTMENTS, SECURITIES FIRMS, BROKER/DEALERS AND INVESTMENT ADVISORS, GRANTS, INVESTOR PROTECTION, AND RULES TO GOVERN SECURITIES DAY-TRADING ACTIVITIES; DEVELOPMENT OF SECURITIES TRADE RULES TO INCREASE TRANSPARENCY, DISCLOSURES AND REDUCE CONFLICTS OF INTEREST; MONITORING SECURITIES MARKETS AROUND THE WORLD TO DETERMINE COMPLIANCE WITH REGULATIONS; ASSISTING SECURITIES ARID INVESTMENT FIRMS TO ASSESS DISASTER RECOVERY PLANS; CREATING AND ENFORCING RULES THAT GOVERN THE CONDUCT OF SECURITIES INVESTMENT FIRMS AND THEIR EMPLOYEES; REGULATING THE SECURITIES AND INVESTMENT INDUSTRIES; PROVIDING AN ON-LINE COMPUTER DATABASE WITH INFORMATION REGARDING PRICING AND QUOTES FOR BONDS, EQUITIES AND SECURITIES, REPORTS ON BONDS, EQUITIES AND SECURITIES TRADES, AND COMPARISONS OF BONDS, EQUITIES AND SECURITIES TRADES; PROVIDING GRANTS AND FUNDING FOR RESEARCH, PROJECTS, FELLOWSHIPS, SEMINARS, SYMPOSIUMS, ROUNDTABLES AND CLASSES, ALL IN THE FIELD OF INVESTOR EDUCATION, IN INTERNATIONAL CLASS 36.

[Class - 41]

EDUCATIONAL SERVICES, NAMELY, CONDUCTING SEMINARS, CONFERENCES AND WORKSHOPS IN THE FIELDS OF SECURITIES REGULATION AND COMPLIANCE, INVESTOR EDUCATION; PROVIDING CONTINUING EDUCATION PROGRAMS FOR SECURITIES INDUSTRY PROFESSIONALS TESTING AND EXAMINATION OF BROKERAGE FIRMS AND THEIR EMPLOYEES IN INTERNATIONAL CLASS 41.EDUCATIONAL SERVICES, NAMELY, CONDUCTING SEMINARS, CONFERENCES AND WORKSHOPS IN THE FIELDS OF SECURITIES REGULATION AND COMPLIANCE, INVESTOR EDUCATION, AND PROVIDING CONTINUING EDUCATION PROGRAMS FOR SECURITIES INDUSTRY PROFESSIONALS; TESTING AND EXAMINATION OF BROKERAGE FIRMS AND THEIR EMPLOYEES, IN INTERNATIONAL CLASS 41.