Title 37

PART 11

Part 11 - Representation Of Others Before The United States Patent And Trademark Office

PART 11 - REPRESENTATION OF OTHERS BEFORE THE UNITED STATES PATENT AND TRADEMARK OFFICE Authority:5 U.S.C. 500; 15 U.S.C. 1123; 35 U.S.C. 2(b)(2), 32, 41; Sec. 1, Pub. L. 113-227, 128 Stat. 2114. Source:69 FR 35452, June 24, 2004, unless otherwise noted.

37:1.0.1.3.9.1SUBPART A
Subpart A - General Provisions
37:1.0.1.3.9.1.191SUBJGRP 191
   General Information
37:1.0.1.3.9.1.191.1SECTION 11.1
   11.1 Definitions.
37:1.0.1.3.9.1.191.2SECTION 11.2
   11.2 Director of the Office of Enrollment and Discipline.
37:1.0.1.3.9.1.191.3SECTION 11.3
   11.3 Suspension of rules.
37:1.0.1.3.9.2SUBPART B
Subpart B - Recognition To Practice Before the USPTO
37:1.0.1.3.9.2.192SUBJGRP 192
   Patents, Trademarks, and Other Non-Patent Law
37:1.0.1.3.9.2.192.1SECTION 11.4
   11.4 [Reserved]
37:1.0.1.3.9.2.192.2SECTION 11.5
   11.5 Register of attorneys and agents in patent matters; practice before the Office.
37:1.0.1.3.9.2.192.3SECTION 11.6
   11.6 Registration of attorneys and agents.
37:1.0.1.3.9.2.192.4SECTION 11.7
   11.7 Requirements for registration.
37:1.0.1.3.9.2.192.5SECTION 11.8
   11.8 Oath and registration fee.
37:1.0.1.3.9.2.192.6SECTION 11.9
   11.9 Limited recognition in patent matters.
37:1.0.1.3.9.2.192.7SECTION 11.10
   11.10 Restrictions on practice in patent matters.
37:1.0.1.3.9.2.192.8SECTION 11.11
   11.11 Administrative suspension, inactivation, resignation, and readmission.
37:1.0.1.3.9.2.192.9SECTION 11.12-11.13
   11.12-11.13 [Reserved]
37:1.0.1.3.9.2.192.10SECTION 11.14
   11.14 Individuals who may practice before the Office in trademark and other non-patent matters.
37:1.0.1.3.9.2.192.11SECTION 11.15
   11.15 Refusal to recognize a practitioner.
37:1.0.1.3.9.2.192.12SECTION 11.16
   11.16 Requirements for admission to the USPTO Law School Clinic Certification Program.
37:1.0.1.3.9.2.192.13SECTION 11.17
   11.17 Requirements for participation in the USPTO Law School Clinic Certification Program.
37:1.0.1.3.9.2.192.14SECTION 11.18
   11.18 Signature and certificate for correspondence filed in the Office.
37:1.0.1.3.9.3SUBPART C
Subpart C - Investigations and Disciplinary Proceedings; Jurisdiction, Sanctions, Investigations, and Proceedings
37:1.0.1.3.9.3.193.1SECTION 11.19
   11.19 Disciplinary jurisdiction; Jurisdiction to transfer to disability inactive status.
37:1.0.1.3.9.3.193.2SECTION 11.20
   11.20 Disciplinary sanctions; Transfer to disability inactive status.
37:1.0.1.3.9.3.193.3SECTION 11.21
   11.21 Warnings.
37:1.0.1.3.9.3.193.4SECTION 11.22
   11.22 Disciplinary investigations.
37:1.0.1.3.9.3.193.5SECTION 11.23
   11.23 Committee on Discipline.
37:1.0.1.3.9.3.193.6SECTION 11.24
   11.24 Reciprocal discipline.
37:1.0.1.3.9.3.193.7SECTION 11.25
   11.25 Interim suspension and discipline based upon conviction of committing a serious crime.
37:1.0.1.3.9.3.193.8SECTION 11.26
   11.26 Settlement.
37:1.0.1.3.9.3.193.9SECTION 11.27
   11.27 Exclusion on consent.
37:1.0.1.3.9.3.193.10SECTION 11.28
   11.28 Incapacitated practitioners in a disciplinary proceeding.
37:1.0.1.3.9.3.193.11SECTION 11.29
   11.29 Reciprocal transfer or initial transfer to disability inactive status.
37:1.0.1.3.9.3.193.12SECTION 11.30-11.31
   11.30-11.31 [Reserved]
37:1.0.1.3.9.3.193.13SECTION 11.32
   11.32 Instituting a disciplinary proceeding.
37:1.0.1.3.9.3.193.14SECTION 11.33
   11.33 [Reserved]
37:1.0.1.3.9.3.193.15SECTION 11.34
   11.34 Complaint.
37:1.0.1.3.9.3.193.16SECTION 11.35
   11.35 Service of complaint.
37:1.0.1.3.9.3.193.17SECTION 11.36
   11.36 Answer to complaint.
37:1.0.1.3.9.3.193.18SECTION 11.37
   11.37 [Reserved]
37:1.0.1.3.9.3.193.19SECTION 11.38
   11.38 Contested case.
37:1.0.1.3.9.3.193.20SECTION 11.39
   11.39 Hearing officer; appointment; responsibilities; review of interlocutory orders; stays.
37:1.0.1.3.9.3.193.21SECTION 11.40
   11.40 Representative for OED Director or respondent.
37:1.0.1.3.9.3.193.22SECTION 11.41
   11.41 Filing of papers.
37:1.0.1.3.9.3.193.23SECTION 11.42
   11.42 Service of papers.
37:1.0.1.3.9.3.193.24SECTION 11.43
   11.43 Motions.
37:1.0.1.3.9.3.193.25SECTION 11.44
   11.44 Hearings.
37:1.0.1.3.9.3.193.26SECTION 11.45
   11.45 Amendment of pleadings.
37:1.0.1.3.9.3.193.27SECTION 11.46-11.48
   11.46-11.48 [Reserved]
37:1.0.1.3.9.3.193.28SECTION 11.49
   11.49 Burden of proof.
37:1.0.1.3.9.3.193.29SECTION 11.50
   11.50 Evidence.
37:1.0.1.3.9.3.193.30SECTION 11.51
   11.51 Depositions.
37:1.0.1.3.9.3.193.31SECTION 11.52
   11.52 Discovery.
37:1.0.1.3.9.3.193.32SECTION 11.53
   11.53 Proposed findings and conclusions; post-hearing memorandum.
37:1.0.1.3.9.3.193.33SECTION 11.54
   11.54 Initial decision of hearing officer.
37:1.0.1.3.9.3.193.34SECTION 11.55
   11.55 Appeal to the USPTO Director.
37:1.0.1.3.9.3.193.35SECTION 11.56
   11.56 Decision of the USPTO Director.
37:1.0.1.3.9.3.193.36SECTION 11.57
   11.57 Review of final decision of the USPTO Director.
37:1.0.1.3.9.3.193.37SECTION 11.58
   11.58 Duties of disciplined or resigned practitioner, or practitioner on disability inactive status.
37:1.0.1.3.9.3.193.38SECTION 11.59
   11.59 Dissemination of disciplinary and other information.
37:1.0.1.3.9.3.193.39SECTION 11.60
   11.60 Petition for reinstatement.
37:1.0.1.3.9.3.193.40SECTION 11.61-11.99
   11.61-11.99 [Reserved]
37:1.0.1.3.9.4SUBPART D
Subpart D - USPTO Rules of Professional Conduct
37:1.0.1.3.9.4.193SUBJGRP 193
   Client-Practitioner Relationship
37:1.0.1.3.9.4.193.1SECTION 11.100
   11.100 [Reserved]
37:1.0.1.3.9.4.193.2SECTION 11.101
   11.101 Competence.
37:1.0.1.3.9.4.193.3SECTION 11.102
   11.102 Scope of representation and allocation of authority between client and practitioner.
37:1.0.1.3.9.4.193.4SECTION 11.103
   11.103 Diligence.
37:1.0.1.3.9.4.193.5SECTION 11.104
   11.104 Communication.
37:1.0.1.3.9.4.193.6SECTION 11.105
   11.105 Fees.
37:1.0.1.3.9.4.193.7SECTION 11.106
   11.106 Confidentiality of information.
37:1.0.1.3.9.4.193.8SECTION 11.107
   11.107 Conflict of interest; Current clients.
37:1.0.1.3.9.4.193.9SECTION 11.108
   11.108 Conflict of interest; Current clients; Specific rules.
37:1.0.1.3.9.4.193.10SECTION 11.109
   11.109 Duties to former clients.
37:1.0.1.3.9.4.193.11SECTION 11.110
   11.110 Imputation of conflicts of interest; General rule.
37:1.0.1.3.9.4.193.12SECTION 11.111
   11.111 Former or current Federal Government employees.
37:1.0.1.3.9.4.193.13SECTION 11.112
   11.112 Former judge, arbitrator, mediator or other third-party neutral.
37:1.0.1.3.9.4.193.14SECTION 11.113
   11.113 Organization as client.
37:1.0.1.3.9.4.193.15SECTION 11.114
   11.114 Client with diminished capacity.
37:1.0.1.3.9.4.193.16SECTION 11.115
   11.115 Safekeeping property.
37:1.0.1.3.9.4.193.17SECTION 11.116
   11.116 Declining or terminating representation.
37:1.0.1.3.9.4.193.18SECTION 11.117
   11.117 Sale of law practice.
37:1.0.1.3.9.4.193.19SECTION 11.118
   11.118 Duties to prospective client.
37:1.0.1.3.9.4.193.20SECTION 11.119-11.200
   11.119-11.200 [Reserved]
37:1.0.1.3.9.4.194SUBJGRP 194
   Counselor
37:1.0.1.3.9.4.194.21SECTION 11.201
   11.201 Advisor.
37:1.0.1.3.9.4.194.22SECTION 11.202
   11.202 [Reserved]
37:1.0.1.3.9.4.194.23SECTION 11.203
   11.203 Evaluation for use by third persons.
37:1.0.1.3.9.4.194.24SECTION 11.204
   11.204 Practitioner serving as third-party neutral.
37:1.0.1.3.9.4.194.25SECTION 11.205-11.300
   11.205-11.300 [Reserved]
37:1.0.1.3.9.4.195SUBJGRP 195
   Advocate
37:1.0.1.3.9.4.195.26SECTION 11.301
   11.301 Meritorious claims and contentions.
37:1.0.1.3.9.4.195.27SECTION 11.302
   11.302 Expediting proceedings.
37:1.0.1.3.9.4.195.28SECTION 11.303
   11.303 Candor toward the tribunal.
37:1.0.1.3.9.4.195.29SECTION 11.304
   11.304 Fairness to opposing party and counsel.
37:1.0.1.3.9.4.195.30SECTION 11.305
   11.305 Impartiality and decorum of the tribunal.
37:1.0.1.3.9.4.195.31SECTION 11.306
   11.306 Trial publicity.
37:1.0.1.3.9.4.195.32SECTION 11.307
   11.307 Practitioner as witness.
37:1.0.1.3.9.4.195.33SECTION 11.308
   11.308 [Reserved]
37:1.0.1.3.9.4.195.34SECTION 11.309
   11.309 Advocate in nonadjudicative proceedings.
37:1.0.1.3.9.4.195.35SECTION 11.310-11.400
   11.310-11.400 [Reserved]
37:1.0.1.3.9.4.196SUBJGRP 196
   Transactions With Persons Other Than Clients
37:1.0.1.3.9.4.196.36SECTION 11.401
   11.401 Truthfulness in statements to others.
37:1.0.1.3.9.4.196.37SECTION 11.402
   11.402 Communication with person represented by a practitioner.
37:1.0.1.3.9.4.196.38SECTION 11.403
   11.403 Dealing with unrepresented person.
37:1.0.1.3.9.4.196.39SECTION 11.404
   11.404 Respect for rights of third persons.
37:1.0.1.3.9.4.196.40SECTION 11.405-11.500
   11.405-11.500 [Reserved]
37:1.0.1.3.9.4.197SUBJGRP 197
   Law Firms and Associations
37:1.0.1.3.9.4.197.41SECTION 11.501
   11.501 Responsibilities of partners, managers, and supervisory practitioners.
37:1.0.1.3.9.4.197.42SECTION 11.502
   11.502 Responsibilities of a subordinate practitioner.
37:1.0.1.3.9.4.197.43SECTION 11.503
   11.503 Responsibilities regarding non-practitioner assistance.
37:1.0.1.3.9.4.197.44SECTION 11.504
   11.504 Professional independence of a practitioner.
37:1.0.1.3.9.4.197.45SECTION 11.505
   11.505 Unauthorized practice of law.
37:1.0.1.3.9.4.197.46SECTION 11.506
   11.506 Restrictions on right to practice.
37:1.0.1.3.9.4.197.47SECTION 11.507
   11.507 Responsibilities regarding law-related services.
37:1.0.1.3.9.4.197.48SECTION 11.508-11.700
   11.508-11.700 [Reserved]
37:1.0.1.3.9.4.198SUBJGRP 198
   Information About Legal Services
37:1.0.1.3.9.4.198.49SECTION 11.701
   11.701 Communications concerning a practitioner's services.
37:1.0.1.3.9.4.198.50SECTION 11.702
   11.702 Advertising.
37:1.0.1.3.9.4.198.51SECTION 11.703
   11.703 Direct contact with prospective clients.
37:1.0.1.3.9.4.198.52SECTION 11.704
   11.704 Communication of fields of practice and specialization.
37:1.0.1.3.9.4.198.53SECTION 11.705
   11.705 Firm names and letterheads.
37:1.0.1.3.9.4.198.54SECTION 11.706-11.800
   11.706-11.800 [Reserved]
37:1.0.1.3.9.4.199SUBJGRP 199
   Maintaining the Integrity of the Profession
37:1.0.1.3.9.4.199.55SECTION 11.801
   11.801 Registration, recognition and disciplinary matters.
37:1.0.1.3.9.4.199.56SECTION 11.802
   11.802 Judicial and legal officials.
37:1.0.1.3.9.4.199.57SECTION 11.803
   11.803 Reporting professional misconduct.
37:1.0.1.3.9.4.199.58SECTION 11.804
   11.804 Misconduct.
37:1.0.1.3.9.4.199.59SECTION 11.805-11.900
   11.805-11.900 [Reserved]
37:1.0.1.3.9.4.199.60SECTION 11.901
   11.901 Savings clause.