37 CFR Subchapter

PRACTICE BEFORE THE PATENT AND TRADEMARK OFFICE
INDEX III - RULES RELATING TO PRACTICE BEFORE THE PATENT AND TRADEMARK OFFICE
Editorial Note:
This listing is provided for informational purposes only. It is compiled and kept current by the Department of Commerce. This index is updated as of July 1, 2018.
Section
A
Address change
11.11
Advertising
11.701, 11.702, 11.703
Agreements restricting practice
11.506
Aliens
11.6, 11.7, 11.9, 11.14
Applicant for patent, representation of
1.31, 11.10
Applicant for trademark, representation of
2.11
Attorneys, recognition of to practice in trademark cases
11.14
Attorneys, registration of to practice in patent cases
11.6, 11.7, 11.9
B
Breach of trust
11.804
Business transactions or relations with client
11.108
C
Candidate for judicial office
11.802
Certificate of mailing
1.8, 11.18
Circumventing a disciplinary rule
11.804
Rules of Professional Conduct
11.101-11.901
Committee on Discipline
11.2, 11.22, 11.23, 11.32
Communicating with person having adverse interest
11.401, 11.402, 11.403
Communications concerning practitioner's service
11.701, 11.702, 11.703, 11.704
Compensation for legal services
11.105, 11.108
Competence
11.101, 11.103
Complaint instituting disciplinary proceedings
11.32, 11.34
Concealment of material information
11.804
Conduct in proceeding before Office
11.303
Conduct prejudicial to the administration of justice
11.804
Conflict of interest
11.107, 11.108, 11.110, 11.111
Conviction of criminal offense
11.7, 11.19, 11.25
D
Deceit
11.804
Decisions of the USPTO Director
11.56, 11.57
Definitions:
Agent
11.6
Attorney
11.1
Director of Enrollment and Discipline
11.1
Grievance
11.1
Fraud
11.1
Law firm
11.1
Lawyer
11.1
Office
11.1
Partner
11.1
Person
11.1
Practitioner
11.1
Proceeding before the Office
11.1
Registration
11.1
Respondent
11.34
State
11.1
Tribunal
11.11
Writing
11.1
United States
11.1
Designation as registered attorney or agent
11.704
Direct contact with prospective clients
11.703
Director of Enrollment and Discipline
11.2
Review of decisions of the Director
11.2
Disability inactive status
11.19, 11.20, 11.29
Disbarment from practice on ethical grounds
11.7, 11.19
Discharge of attorney or agent by client
11.116
Disciplinary Proceedings and Investigations:
Administrative Procedures Act
11.32, 11.39, 11.44
Amendment of complaint
11.45
Amendment of pleadings
11.45
Answer to complaint
11.36
Appeal of initial decision of Hearing officer
11.55
Burden of proof
11.49
Certificate of mailing
1.8, 11.41
Complaint
11.34
Contested case
11.38
Deliberations of Committee on Discipline
11.23
Discovery (see also Discovery in Disciplinary Proceedings)
11.52
Exception to ruling
11.50
Filing papers after complaint filed
11.41
Hearing officer
11.39
Hearings before hearing officer
11.44
Initial decision of hearing officer
11.39, 11.54
Instituting a disciplinary proceeding
11.32
Investigations of violations of disciplinary rules
11.2, 11.22
Notice of suspension or exclusion of practitioner
11.59
Objections to evidence
11.50
Post hearing memorandum
11.53
Pre-hearing statement
11.52
Reinstatement of suspended or excluded practitioner
11.60
Reprimand of registered attorney or agent
11.20, 11.59
Resignation of practitioner
11.11
Review of decision denying reinstatement of practitioner
11.2
Review of interlocutory orders by Administrative Law Judge
11.39
Review of USPTO Director's final decision
11.57
Savings clause
11.901
Service of complaint
11.35
Settlement of complaint
11.26
Stay pending review of interlocutory order
11.39
Discourteous conduct
11.804
Discovery in Disciplinary Proceedings:
Copying of documents
11.52
Depositions
11.39, 11.50, 11.51
Evidence
11.50, 11.52
Impeachment
11.52
Inspection of documents
11.52
Interrogatories
11.52
Motions filed with hearing officer
11.43, 11.52
Privileged information
11.52
Undue delay in proceedings
11.52
Division of legal fees
11.105
Duress, use of
11.703, 11.804
E
Employee testimony. (See Testimony by Office employee)
Employment:
Declining or terminating representation
11.116
Failure to carry out contract
11.103
Refusing employment
11.107, 11.108, 11.109, 11.110, 11.307
Withdrawal from employment
11.107, 11.108, 11.109, 11.110, 11.116, 11.307
Exception to ruling
11.50
Excessive legal fees
11.105
Exclusion of practitioner
11.20, 11.27, 11.58
F
Faculty Clinic Supervisor
11.16, 11.17
Failure to disclose material fact with regard to registration
11.801
Failure to notify client
11.104, 11.804
False accusations
11.401, 11.804
False statements concerning officials
11.401, 11.802, 11.804
Fees:
In general
1.21
Petition to review decision of Director of Enrollment and Discipline
11.2
Registration
11.8
Registration examination
11.7
Reinstatement
11.11
Fees for legal services
11.105
Firm name, use of
11.705
Fitness to practice before the Office
11.803, 11.804
Foreigners
11.6, 11.7, 11.9, 11.14
Former Patent and Trademark Office employees
11.7, 11.10, 11.111
Fraud or inequitable conduct
11.102, 11.106, 11.116, 11.303, 11.401, 11.804
Funds of client, preserving identity of
11.105, 11.115
G
Gift, improperly bestowing
11.108
Government employees, registration of to practice in patent cases
11.10, 11.111
I
Illegal conduct involving moral turpitude
11.7, 11.804
Illegal fees for services
11.105
Improper alteration of patent application
11.804
Improper execution of oath or declaration
11.804
Improper influence
11.305, 11.804
Improper signature
11.18
Incompetence
11.101, 11.103
Independent professional judgment, exercise of
11.107, 11.108, 11.109, 11.110, 11.307, 11.504
Individual unqualified in respect to character, education, etc.
11.7, 11.7, 11.801
Influence by others than client
11.107, 11.108, 11.109, 11.110, 11.307, 11.504
Information precluding registration, failure to disclose
11.7, 11.801
Initial decision of Administrative Law Judge
11.39, 11.54
Integrity and competence of the legal profession, maintaining of
11.801
Interest in litigation or proceeding before Office, acquiring of
11.108
Investigations of violations of disciplinary rules
11.2
J
Judicial office, candidate for
11.802
L
Law school students
11.16
Law School Clinic Certification Program
11.16, 11.17
Legal Fees:
Division of
11.105
Failure to pay
11.116
Sharing of
11.105
Letterheads, use of
11.705
Limited recognition to practice in patent cases
11.9
M
Malpractice, limiting client's liability
11.108
Materially false statements in application for registration
11.801
Misappropriation of funds
11.804, 11.115
Misconduct
11.804
Misrepresentations
11.7, 11.701, 11.804
Multiple employment
11.107, 11.108, 11.109, 11.110
N
Neglecting legal matters
11.101, 11.103, 11.104
Non-practitioner, formation of partnership with
11.117, 11.504
Notice of suspension or exclusion
11.59
O
Oath requirement
11.8
Officials, contact with
11.305
P
Petitions:a
Fees in general
1.21
Reinstatement
11.60
Review decision of USPTO Director
11.57
Review decision of Director of Enrollment and Discipline
11.2
Suspension of rules
11.3
Practitioner responsibilities
11.501, 11.502
Preserve secrets and confidence of client
11.106, 11.118
Pro-se applicant
1.31, 2.11
Professional impropriety, avoiding appearance of
1.110, 11.111, 11.112
Property of client
11.115
Proprietary interest in subject matter
11.108
Publication
11.11, 11.35, 11.59, 11.60
R
Recognition to Practice Before the Patent and Trademark Office:
Agents
, 11.6, 11.7, 11.14
Aliens
11.6, 11.7, 11.9, 11.14
Attorneys
11.6, 11.7, 11.14
Change of address, requirement to notify Director
11.11
Person not suspended or excluded
11.2
Suspended or excluded practitioner
11.60
Examination of registration in patent cases
11.7
Examination fee
11.7
Foreigners
11.6, 11.7, 11.9, 11.14
Former Patent and Trademark Office employees
11.7, 11.10, 11.111
Government employees
11.10, 11.111
Limited recognition in patent cases
11.9
Non-lawyers, recognition in trademark cases
11.14
Patent cases
11.6, 11.9, 11.10
Recognition for representation
1.34, 2.17, 11.14
Recognition to practice
11.6, 11.7, 11.9, 11.14
Refusal to recognize practitioner
11.15
Register of attorneys and agents in patent cases
11.5
Registration fee
11.8
Registration number
11.11
Removal of attorneys and agents from the register
11.11
Representation by registered attorney or agent in patent cases
1.31
Requirements for registration
11.7
Review of Director's decision refusing registration
11.2
Trademark cases
11.14
Unauthorized representation by an agent
, 11.10, 11.505, 11.704
Records, property and funds of client, maintaining of
11.115
Reinstatement after removal from the register
11.2, 11.11
Reinstatement of suspended or excluded non-practitioner
11.60
Reporting professional misconduct
11.803
Representing client within bounds of the law
11.102, 11.301, 11.302, 11.303, 11.304, 11.401, 11.404
Reprimand of registered attorney or agent
11.20
Resignation
11.11
Revocation of power of attorney in trademark case
2.19
S
Safekeeping of property
11.115
Scandalous statements, making of
11.804
Secrets and confidence, preservation of clients
11.106
Service of papers
11.42
Service of process:
Acceptance of service of process
11.42, 104.12
Definition
Scope and purpose
104.11
Settlement of claims of clients
11.108
Sharing legal fees
11.105, 11.504
Signature and certificate of practitioner
11.18
Solicitation
11.703
Statement concerning officials, making false
11.401, 11.804
Suspension of practitioner
11.11, 11.20, 11.24, 11.25, 11.58
Suspension of rules
11.3
T
Testimony of Office employees:
Definition
104.1
General rule
104.21
Office policy
104.22
Proceedings involving the United States
104.23
Production of documents
104.22
Scope
104.11
Subpoena of Office employees
104.2
Threats, use of
11.804
Trial Publicity
11.306
U
Unauthorized practice
11.14, 11.505, 11.701, 11.704
Undignified conduct
11.303, 11.304
V
Violating duty of candor and good faith
11.106, 11.303, 11.804
Violation of disciplinary rule, misconduct
11.804
W
Withdrawal from employment
11.116
Witnesses
11.304, 11.307
Z
Zealously representing the client
11.102, 11.103, 11.404