Index II RULES RELATING TO REPRESENTATION OF OTHERS BEFORE THE UNITED STATES PATENT AND TRADEMARK OFFICE
A
Address change ______ 1.33, 11.11
Advertising ______ 11.701 -11.705
Agents, registration of ______ 11.6(b)
Agreements restricting practice ______ 11.506
Aliens ______ 11.6, 11.7(b), 11.9(b), 11.14(c)
Applicant for patent, representation of ______ 1.31, 11.10
Attorneys, recognition of to practice in trademark cases ______ 11.14
Attorneys, registration of to practice in patent cases ______ 11.6, 11.7
C
Candidate for judicial office ______ 11.802
Candor of practitioner toward the tribunal ______ 11.303
Certificate of mailing ______ 1.8, 11.18
Certification effect of signature ______ 11.18
Client-Practitioner relationship:
Communication ______ 11.104
Competence ______ 11.101
Confidentiality of information ______ 11.106
Conflict of interest; current clients ______ 11.107, 11.108
Declining or terminating representation ______ 11.116
Diligence ______ 11.103
Diminished capacity client ______ 11.114
Fees ______ 11.105
Former clients, duties to ______ 11.109
Former judge, arbitrator, mediator or other third-party neutral ______ 11.112
Government employees ______ 11.111
Imputation of conflicts of interests ______ 11.110
Organization as client ______ 11.113
Safekeeping property ______ 11.115
Sale of law practice ______ 11.117
Scope of representation ______ 11.102
Committee on Discipline ______ 11.23
Communications:
Concerning a practitioner’s services ______ 11.701
With client ______ 11.104
With person represented by a practitioner ______ 11.402
With perspective clients ______ 11.703
With unrepresented person ______ 11.403
Compensation for legal services ______ 11.108(f)
Competence ______ 11.101
Complaint instituting disciplinary proceedings ______ 11.34
Concealment of material information ______ 11.304
Conduct prejudicial to the administration of justice ______ 11.804(d)
Confidentiality of information obtained through representation ______ 11.106
Conflict of interest ______ 11.107 -11.113
Conviction of criminal offense ______ 11.7(h)(1), 11.25
D
Deceit ______ 11.804(c)
Decisions of the USPTO Director ______ 11.56, 11.57
Declining representation ______ 11.116
Definitions:
Agent ______ 11.6
Attorney or lawyer ______ 11.1
Belief or believes ______ 11.1
Confirmed in writing ______ 11.1
Conviction or convicted ______ 11.1
Crime ______ 11.1
Data sheet ______ 11.1
Disqualified ______ 11.1
Federal agency ______ 11.1
Federal program ______ 11.1
Firm or law firm ______ 11.1
Fraud or fraudulent ______ 11.1
Good moral character and reputation ______ 11.1
Grievance ______ 11.1
Knowingly, known, or knows ______ 11.1
Law-related services ______ 11.1
OED (Office of Enrollment and Discipline) ______ 11.1
OED Director ______ 11.1
OED Director’s representatives ______ 11.1
Office ______ 11.1
Partner ______ 11.1
Person ______ 11.1
Practitioner ______ 11.1
Proceeding before the Office ______ 11.1
Reasonable or reasonably ______ 11.1
Reasonable belief or reasonably believes ______ 11.1
Reasonably should know ______ 11.1
Registration ______ 11.1
Respondent ______ 11.34
Roster ______ 11.1
Screened ______ 11.1
Serious crime ______ 11.1
Serious evidence of rehabilitation ______ 11.1
State ______ 11.1
Substantial ______ 11.1
Suspend or suspension ______ 11.1
Tribunal ______ 11.1
United States ______ 11.1
USPTO Director ______ 11.1
Writing or written ______ 11.1
Diligence of practitioner ______ 11.103
Diminished capacity client ______ 11.114
Direct contact with prospective clients ______ 11.703
Director of the Office of Enrollment and Discipline:
Appointment ______ 11.2(a)
Duties ______ 11.2(b)
Petition regarding enrollment or recognition ______ 11.2(c)
Petition regarding disciplinary matters ______ 11.2(e)
Review of decisions of OED Director ______ 11.2(d)
Discharge of attorney or agent by client ______ 11.116(d)
Disciplinary proceedings and investigations:
Amendment of pleadings ______ 11.45
Answer to complaint ______ 11.36
Appeal to the USPTO Director ______ 11.55
Burden of proof ______ 11.49
Certificate of mailing ______ 1.8, 11.18
Committee on Discipline ______ 11.23
Complaint ______ 11.34
Contested case ______ 11.38
Decision of the USPTO Director ______ 11.57
Depositions ______ 11.51
Discovery ______ 11.52
Dissemination of disciplinary information ______ 11.59
Duties of disciplined or resigned practitioner ______ 11.58
Evidence ______ 11.50
Exclusion on consent ______ 11.27
Filing papers after complaint filed ______ 11.41
Hearing officer ______ 11.39
Hearings ______ 11.44
Incapacitated practitioners ______ 11.28
Initial decision of hearing officer ______ 11.54
Instituting disciplinary proceeding ______ 11.32
Investigations of violations of disciplinary rules ______ 11.22
Jurisdiction ______ 11.19
Motions ______ 11.43
Petition for reinstatement ______ 11.60
Post hearing memorandum ______ 11.53
Reciprocal discipline ______ 11.24
Reciprocal transfer ______ 11.29
Reinstatement of suspended or excluded practitioner ______ 11.60
Representative for OED Director/respondent ______ 11.40
Review of decision denying reinstatement of practitioner ______ 11.2(d), 11.57
Review of interlocutory orders by hearing officer ______ 11.39
Sanctions ______ 11.20
Serious crime, suspension and discipline based on ______ 11.25
Service of complaint ______ 11.35
Service of papers ______ 11.42
Settlement of complaint ______ 11.26
Stays ______ 11.39
Transfer to disability inactive status ______ 11.29
Warnings ______ 11.21
Disciplinary rule violation
Discovery in disciplinary proceedings:
Depositions ______ 11.51
Discovery ______ 11.52
Evidence ______ 11.50
Motions filed with hearing officer ______ 11.43
Division of legal fees ______ 11.105(e)
E
Excessive legal fees ______ 11.105(a)
F
Failure to disclose material fact with regard to registration ______ 11.7(g), 11.801
Failure to notify client ______ 11.104
False accusations ______ 11.303(a)
False statements concerning officials ______ 11.802(a)
Fees:
Delinquency ______ 1.21(a)(9)(i)
Petition to review decision of Director of Enrollment and Discipline ______ 1.21(a)(5)
Registration for admission to examination ______ 1.21(a)(1)
Registration to practice ______ 1.21(a)(2)
Reinstatement ______ 1.21(a)(9)(ii)
Fields of practice and specialization ______ 11.704
Firm name, use of ______ 11.705
Foreigners ______ 11.6, 11.7(b), 11.9(b), 11.14
Former clients, duties to ______ 11.109
Former judge, arbitrator, mediator or other third-party neutral ______ 11.112
Former Patent and Trademark Office employees ______ 11.7(d), 11.10, 11.111
Fraud ______ 11.102(d), 11.401, 11.801, 11.804
Frivolous complaint ______ 11.301
Funds of client, preserving identity of ______ 11.115
G
I
Illegal fees for services ______ 11.105(c)
Impartiality of practitioner toward tribunal ______ 11.305
Imputation of conflicts of interests ______ 11.110
Incompetence ______ 11.101
Independent professional judgment, exercise of ______ 11.201
Influence by others than client ______ 11.203
Integrity of the legal profession, maintaining of ______ 11.801 -11.901
J
Judicial office, candidate for ______ 11.802
L
Law firms and associations:
Professional independence of a practitioner ______ 11.504
Responsibilities of partners, managers and supervisory practitioners ______ 11.501
Responsibilities of a subordinate practitioner ______ 11.502
Responsibilities regarding law-related services ______ 11.507
Responsibilities regarding non-practitioner assistance ______ 11.503
Restrictions on right to practice ______ 11.506
Unauthorized practice of law ______ 11.505
Law-related services, responsibilities regarding ______ 11.507
Legal fees:
Legal services:
Advertising ______ 11.702
Communications concerning a practitioner’s services ______ 11.701
Fields of practice and specialization ______ 11.704
Names and letterhead of firm ______ 11.507
Perspective clients, direct contact with ______ 11.703
Letterheads, use of ______ 11.507
Limited recognition to practice in patent matters ______ 11.9
M
N
Non-practitioner assistance, responsibilities ______ 11.503
P
Partners, responsibilities of ______ 11.501
Perspective clients, direct contact with ______ 11.703
Petitions:
Reinstatement ______ 11.60
Review of final decision of USPTO Director ______ 11.57
Review decision of Director of Enrollment and Discipline ______ 11.2(d)
Suspension of rules ______ 11.3
Practitioner acting as counselor:
Advising client ______ 11.201
Evaluation for use by third persons ______ 11.203
Serving as neutral party ______ 11.204
Practitioner acting as advocate:
Advocate in nonadjudicative proceedings ______ 11.309
Candor toward the tribunal ______ 11.303
Expediting proceedings ______ 11.302
Fairness to opposing party and counsel ______ 11.304
Impartiality and decorum of the tribunal ______ 11.305
Meritorious claims and contentions ______ 11.301
Practitioner as a witness ______ 11.307
Trial publicity ______ 11.306
Preserve secrets and confidence of client ______ 11.106, 11.109
Property of client ______ 11.115
Proprietary interest in subject matter ______ 11.108
R
Recognition to practice before the Patent and Trademark Office:
Agents ______ 11.5 11.6(b) 11.7, 11.14(b)
Aliens ______ 11.6, 11.7(b), 11.9(b), 11.14(c)
Attorneys ______ 11.5, 11.6(a), 11.7, 11.14
Change of address, requirement to notify Director ______ 11.11(a)
Examination for registration in patent cases ______ 11.7
Examination fees ______ 1.21(a), 11.7
Foreigners ______ 11.6, 11.7(b), 11.9(b), 11.14(c)
Former Patent and Trademark Office employees ______ 11.7(d), 11.10
Government employees ______ 11.10(e)
Limited recognition in patent cases ______ 11.9
Non-lawyers, recognition in trademark cases ______ 11.14(b)
Recognition for representation ______ 1.34, 11.14
Refusal to recognize practitioner ______ 11.15
Register of attorneys and agents in patent cases ______ 11.5
Registration fee ______ 1.21(a)
Registration number ______ 1.34
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(d)
Trademark cases ______ 11.14
Unauthorized representation by an agent ______ 11.10
Records, property and funds of client, maintaining of ______ 11.115
Reinstatement of practitioner ______ 11.60
Reporting misconduct of practitioners ______ 11.803
S
Safekeeping client’s property ______ 11.115
Sale of law practice ______ 11.117
Savings clause ______ 11.901
Sharing legal fees ______ 11.504
Signature and certificate of practitioner ______ 11.18
Solicitation ______ 11.701 -11.705
Statement concerning officials, making false ______ 11.802(a)
Subordinate practitioner, responsibilities of ______ 11.502
Suspension of practitioner ______ 11.11, 11.25
Suspension of rules ______ 11.3