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Electronic Code of Federal Regulations

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e-CFR Data is current as of August 19, 2014

Title 37Chapter ISubchapter APart 11


TITLE 37—Patents, Trademarks, and Copyrights

CHAPTER I—UNITED STATES PATENT AND TRADEMARK OFFICE, DEPARTMENT OF COMMERCE

SUBCHAPTER A—GENERAL

PART 11—REPRESENTATION OF OTHERS BEFORE THE UNITED STATES PATENT AND TRADEMARK OFFICE

rule

Subpart A—GENERAL PROVISIONS

General Information

§11.1
Definitions.
§11.2
Director of the Office of Enrollment and Discipline.
§11.3
Suspension of rules.
rule

Subpart B—RECOGNITION TO PRACTICE BEFORE THE USPTO

Patents, Trademarks, and Other Non-Patent Law

§11.4
[Reserved]
§11.5
Register of attorneys and agents in patent matters; practice before the Office.
§11.6
Registration of attorneys and agents.
§11.7
Requirements for registration.
§11.8
Oath and registration fee.
§11.9
Limited recognition in patent matters.
§11.10
Restrictions on practice in patent matters.
§11.11
Administrative suspension, inactivation, resignation, and readmission.
§§11.12-11.13
[Reserved]
§11.14
Individuals who may practice before the Office in trademark and other non-patent matters.
§11.15
Refusal to recognize a practitioner.
§§11.16-11.17
[Reserved]
§11.18
Signature and certificate for correspondence filed in the Office.
rule

Subpart C—INVESTIGATIONS AND DISCIPLINARY PROCEEDINGS; JURISDICTION, SANCTIONS, INVESTIGATIONS, AND PROCEEDINGS

§11.19
Disciplinary jurisdiction; Jurisdiction to transfer to disability inactive status.
§11.20
Disciplinary sanctions; Transfer to disability inactive status.
§11.21
Warnings.
§11.22
Disciplinary investigations.
§11.23
Committee on Discipline.
§11.24
Reciprocal discipline.
§11.25
Interim suspension and discipline based upon conviction of committing a serious crime.
§11.26
Settlement.
§11.27
Exclusion on consent.
§11.28
Incapacitated practitioners in a disciplinary proceeding.
§11.29
Reciprocal transfer or initial transfer to disability inactive status.
§§11.30-11.31
[Reserved]
§11.32
Instituting a disciplinary proceeding.
§11.33
[Reserved]
§11.34
Complaint.
§11.35
Service of complaint.
§11.36
Answer to complaint.
§11.37
[Reserved]
§11.38
Contested case.
§11.39
Hearing officer; appointment; responsibilities; review of interlocutory orders; stays.
§11.40
Representative for OED Director or respondent.
§11.41
Filing of papers.
§11.42
Service of papers.
§11.43
Motions.
§11.44
Hearings.
§11.45
Amendment of pleadings.
§§11.46-11.48
[Reserved]
§11.49
Burden of proof.
§11.50
Evidence.
§11.51
Depositions.
§11.52
Discovery.
§11.53
Proposed findings and conclusions; post-hearing memorandum.
§11.54
Initial decision of hearing officer.
§11.55
Appeal to the USPTO Director.
§11.56
Decision of the USPTO Director.
§11.57
Review of final decision of the USPTO Director.
§11.58
Duties of disciplined or resigned practitioner, or practitioner on disability inactive status.
§11.59
Dissemination of disciplinary and other information.
§11.60
Petition for reinstatement.
§§11.61-11.99
[Reserved]
rule

Subpart D—USPTO RULES OF PROFESSIONAL CONDUCT

§11.100
[Reserved]

Client-Practitioner Relationship

§11.101
Competence.
§11.102
Scope of representation and allocation of authority between client and practitioner.
§11.103
Diligence.
§11.104
Communication.
§11.105
Fees.
§11.106
Confidentiality of information.
§11.107
Conflict of interest; Current clients.
§11.108
Conflict of interest; Current clients; Specific rules.
§11.109
Duties to former clients.
§11.110
Imputation of conflicts of interest; General rule.
§11.111
Former or current Federal Government employees.
§11.112
Former judge, arbitrator, mediator or other third-party neutral.
§11.113
Organization as client.
§11.114
Client with diminished capacity.
§11.115
Safekeeping property.
§11.116
Declining or terminating representation.
§11.117
Sale of law practice.
§11.118
Duties to prospective client.
§§11.119-11.200
[Reserved]

Counselor

§11.201
Advisor.
§11.202
[Reserved]
§11.203
Evaluation for use by third persons.
§11.204
Practitioner serving as third-party neutral.
§§11.205-11.300
[Reserved]

Advocate

§11.301
Meritorious claims and contentions.
§11.302
Expediting proceedings.
§11.303
Candor toward the tribunal.
§11.304
Fairness to opposing party and counsel.
§11.305
Impartiality and decorum of the tribunal.
§11.306
Trial publicity.
§11.307
Practitioner as witness.
§11.308
[Reserved]
§11.309
Advocate in nonadjudicative proceedings.
§§11.310—11.400
[Reserved]

Transactions With Persons Other Than Clients

§11.401
Truthfulness in statements to others.
§11.402
Communication with person represented by a practitioner.
§11.403
Dealing with unrepresented person.
§11.404
Respect for rights of third persons.
§§11.405—11.500
[Reserved]

Law Firms and Associations

§11.501
Responsibilities of partners, managers, and supervisory practitioners.
§11.502
Responsibilities of a subordinate practitioner.
§11.503
Responsibilities regarding non-practitioner assistance.
§11.504
Professional independence of a practitioner.
§11.505
Unauthorized practice of law.
§11.506
Restrictions on right to practice.
§11.507
Responsibilities regarding law-related services.
§§11.508—11.700
[Reserved]

Information About Legal Services

§11.701
Communications concerning a practitioner's services.
§11.702
Advertising.
§11.703
Direct contact with prospective clients.
§11.704
Communication of fields of practice and specialization.
§11.705
Firm names and letterheads.
§§11.706-11.800
[Reserved]

Maintaining the Integrity of the Profession

§11.801
Registration, recognition and disciplinary matters.
§11.802
Judicial and legal officials.
§11.803
Reporting professional misconduct.
§11.804
Misconduct.
§§11.805-11.900
[Reserved]
§11.901
Savings clause.


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