810    Filing Fee

An application under §1 or §44 of the Trademark Act must include a filing fee for each class of goods or services.  15 U.S.C. §§1051(a)(1), 1051(b)(1), and 1126.

The required filing fee for at least one class of goods or services must be received before an application can be given a filing date.  37 C.F.R. §2.21(a)(5).

The amount of the trademark application filing fee varies, depending upon whether the application (or the amendment adding classes to an existing application) is filed through TEAS or on paper.  An applicant has four choices.  The applicant can file:

  • A paper application at the highest fee per class, set forth in 37 C.F.R. §2.6(a)(1)(i);
  • A regular TEAS application at the lower fee per class set forth in 37 C.F.R. §2.6(a)(1)(ii);
  • A TEAS RF application (see TMEP §820) at the lower fee per class set forth in 37 C.F.R. §2.6(a)(1)(iii); or
  • A TEAS Plus application (see TMEP §§819–819.04) at the lowest fee per class, set forth in 37 C.F.R. §2.6(a)(1)(iv).

See 70 Fed. Reg. 2952 (Jan. 19, 2005); 70 Fed. Reg. 38768 (July 6, 2005); 79 Fed. Reg. 74633 (Dec. 16, 2014).  The current fee schedule is available on the USPTO website at http://www.uspto.gov.  

Note:  TEAS, TEAS RF, or TEAS Plus applications that are downloaded, printed, and mailed to the USPTO are considered paper applications and are subject to the paper application filing fee.

An applicant who amends an application to add classes is entitled to the lower fee if the applicant files the amendment through TEAS (either as a voluntary amendment or a response to an examining attorney’s Office action), or through an examiner’s amendment.  The applicant must pay the higher fee if the applicant files an amendment adding class(es) on paper.  See TMEP §§1403.02(c) and 1403.06 for further information about fees in multiple-class applications.

See also TMEP §§405–405.06 regarding payment of fees to the USPTO, and TMEP §§202.03(a) and 202.03(a)(i) regarding the processing of applications in which a check submitted as the application filing fee is returned unpaid, or an electronic funds transfer or credit card payment is refused or charged back by a financial institution.

The filing fee for a §66(a) application will be sent to the USPTO by the IB, pursuant to the provisions of the Madrid Protocol and the Common Regulations.  The examining attorney must not require additional fees during examination.

810.01    Collection of Fees for Multiple Classes

A filing fee is required for each class in a multiple-class application under §1 or §44 of the Trademark Act.  37 C.F.R. §2.86(a)(2), (b)(2).  The USPTO has established the following policy to ensure the collection of application filing fees from all applicants on an equitable basis.

In an application under §1 or §44, if the applicant has specifically authorized the USPTO to charge any additional fees to a deposit account, the examining attorney should ask the LIE to charge the fees, and proceed with examination of the application on the merits.  If the applicant has not provided a specific authorization to charge an account, the examining attorney should attempt to contact the applicant to secure a written authorization to charge fees to a credit card or deposit account by fax or e-mail.

An authorization to charge a fee to a deposit account must be made in a written document signed and submitted by an authorized person.  It cannot be entered by examiner’s amendment unless the record already contains a written authorization, signed and submitted by someone who is authorized to charge fees to the account.  See TMEP §405.03 regarding deposit accounts.

If the examining attorney is able to secure a written authorization to charge fees to a credit card or deposit account, the examining attorney should have the LIE charge the necessary fees to the credit card or deposit account and proceed with examination.  See TMEP §§810, 1403.02(c), and 1403.06 regarding the amount of the fee for adding classes to an application.

If an authorization to charge fees has not been provided and the examining attorney is unable to secure one, the examining attorney must issue a written Office action noting the deficiency and requiring either payment of the fees or deletion of classes.  This policy applies to any application under §1 or §44 of the Trademark Act in which the applicant specifically delineates more than one class and the applicant has paid the fee(s) for less than all the classes.  The delineation may be by indicating class numbers or any other means demonstrating a clear intention to seek registration in multiple classes.

In limited circumstances, the examining attorney may advise the applicant that action on the merits of the application is deferred pending receipt of the applicant’s response to the Office action requiring payment of missing fees or deletion of classes.  In most cases, the examining attorney should simply act on the merits of the application and require the additional fees.  For example, it would be inappropriate to defer action in a pro se application or in other cases where the applicant has in good faith attempted to pay the appropriate fees.  Before issuing a letter deferring action until additional fees are paid, the examining attorney must consult with the managing attorney or senior attorney.

The filing fee for a §66(a) application will be sent to the USPTO by the IB, pursuant to the provisions of the Madrid Protocol and the Common Regulations.  The examining attorney must not require additional fees during examination.  The classification in a §66(a) application may not be changed and additional classes may not be added.  37 C.F.R. §2.85(d). See TMEP §1401.03(d) for further information regarding classification in a §66(a) application.

810.02    Refunds

Only money paid by mistake or in excess (when a fee is not required by the statute or rules, or is not required in the amount paid) may be refunded.  A mere change of purpose after the payment of money does not entitle a party to a refund.  For example, if an applicant deletes a class from an application, or withdraws an application, the applicant is not entitled to a refund.  37 C.F.R. §2.209(a).

The filing fee for an application that is denied a filing date will be refunded.  After an application has been given a filing date and processed, the filing fee will normally not be returned.  However, if an examining attorney erroneously requires a fee, the USPTO will refund any fee submitted in response to the erroneous requirement.

If the examining attorney determines that an applicant is entitled to a refund, he or she must submit the request to the TMFinance@uspto.gov e-mail box with the information necessary for processing the refund.

If the examining attorney is uncertain as to whether a refund is appropriate, he or she should discuss the situation with the managing attorney or senior attorney.

See TMEP §405.04 for additional information about processing refunds.