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Alias Born | 12/21/2020 |
Tuesday, December 29, 2020 12:25:38 PM
These are the FINRA regulations: https://www.finra.org/registration-exams-ce/broker-dealers/new-firms/name-guidelines#:~:text=A%20firm%20may%20reserve%20a,filing%20with%20the%20new%20name.
First Words
Names that begin with the same or a similar word and are followed by a descriptive or generic financial services designation (e.g., securities, brokerage services, capital markets, financial services) are likely to cause confusion, because an investor generally will focus on the first word and not the financial services designation. For example, Broadway Securities and Broadway Brokerage Services probably would be considered confusing because an investor will focus on the term Broadway rather than the financial services designation. Likewise, Victor Capital Markets and Vector Financial Services likely would be considered confusing due to the first word similarity in the names.
Location, Services and Products
It is important to note that differences in the physical location of a firm’s office or in the services or products a firm offers will not constitute a sufficient basis for FINRA to allow a firm to use a name that is similar to the name of an existing member firm. Although a prospective member firm (or a current member firm seeking a name change) may provide different products or services than a current member firm, investor confusion may still result as both firms may market their services or products in the same manner. Additionally, technology, particularly the internet, and the ease and frequency with which people can travel minimizes the effects of geographic boundaries.
There seems to be evidence that this is already happening...
Y'all using the "HUMBLE" hashtag for $TSNP need to realize that it is "HUMBL" as in #HUMBL. Now I'm going to go play with some horsies. Peace.
— George Sharp - Advocate for truth in the OTC (@GeorgeASharp) November 14, 2020
And
https://investorshub.advfn.com/boards/read_msg.aspx?message_id=159992490
TESORO, which means treasure (from the Spanish), is actually a nice name. Not as catchy as "HUMBL" but hence why humble is so popular with many companies. I wish they had just decided to spin off of that. But, I anticipate, if denied, that they may reclaim the name "Block30"
Recent HMBL News
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- Form DEF 14C - Other definitive information statements • Edgar (US Regulatory) • 01/03/2024 05:00:32 PM
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- Form 8-K - Current report • Edgar (US Regulatory) • 08/04/2023 08:53:31 PM
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