11.901 Savings clause.¶
- (a) A disciplinary proceeding based on conduct engaged in prior to the effective date of these regulations may be instituted subsequent to such effective date, if such conduct would continue to justify disciplinary sanctions under the provisions of this part.
- (b) No practitioner shall be subject to a disciplinary proceeding under this part based on conduct engaged in before the effective date hereof if such conduct would not have been subject to disciplinary action before such effective date.
[Added 78 FR 20180, Apr. 3, 2013, effective May 3, 2013]
Index II RULES RELATING TO REPRESENTATION OF OTHERS BEFORE THE UNITED STATES PATENT AND TRADEMARK OFFICE¶
A
Address change
Advertising
Agents, registration of
Agreements restricting practice
Aliens
Applicant for patent, representation of
Attorneys, recognition of to practice in trademark cases
Attorneys, registration of to practice in patent cases
B
Breach of trust
Business transactions or relations with client
C
Candidate for judicial office
Candor of practitioner toward the tribunal
Certificate of mailing
Certification effect of signature
Client-Practitioner relationship:
Communication
Competence
Confidentiality of information
Conflict of interest; current clients
Declining or terminating representation
Diligence
Diminished capacity client
Fees
Former clients, duties to
Former judge, arbitrator, mediator or other third-party neutral
Government employees
Imputation of conflicts of interests
Organization as client
Safekeeping property
Sale of law practice
Scope of representation
Committee on Discipline
Communications:
Concerning a practitioner’s services
With client
With person represented by a practitioner
With perspective clients
With unrepresented person
Compensation for legal services
Competence
Complaint instituting disciplinary proceedings
Concealment of material information
Conduct prejudicial to the administration of justice
Confidentiality of information obtained through representation
Conflict of interest
Conviction of criminal offense
D
Deceit
Decisions of the USPTO Director
Declining representation
Definitions:
Agent
Attorney or lawyer
Belief or believes
Confirmed in writing
Conviction or convicted
Crime
Data sheet
Disqualified
Federal agency
Federal program
Firm or law firm
Fraud or fraudulent
Good moral character and reputation
Grievance
Knowingly, known, or knows
Law-related services
OED (Office of Enrollment and Discipline)
OED Director
OED Director’s representatives
Office
Partner
Person
Practitioner
Proceeding before the Office
Reasonable or reasonably
Reasonable belief or reasonably believes
Reasonably should know
Registration
Respondent
Roster
Screened
Serious crime
Serious evidence of rehabilitation
State
Substantial
Suspend or suspension
Tribunal
United States
USPTO Director
Writing or written
Diligence of practitioner
Diminished capacity client
Direct contact with prospective clients
Director of the Office of Enrollment and Discipline:
Appointment
Duties
Petition regarding enrollment or recognition
Petition regarding disciplinary matters
Review of decisions of OED Director
Discharge of attorney or agent by client
Disciplinary proceedings and investigations:
Amendment of pleadings
Answer to complaint
Appeal to the USPTO Director
Burden of proof
Certificate of mailing
Committee on Discipline
Complaint
Contested case
Decision of the USPTO Director
Depositions
Discovery
Dissemination of disciplinary information
Duties of disciplined or resigned practitioner
Evidence
Exclusion on consent
Filing papers after complaint filed
Hearing officer
Hearings
Incapacitated practitioners
Initial decision of hearing officer
Instituting disciplinary proceeding
Investigations of violations of disciplinary rules
Jurisdiction
Motions
Petition for reinstatement
Post hearing memorandum
Reciprocal discipline
Reciprocal transfer
Reinstatement of suspended or excluded practitioner
Representative for OED Director/respondent
Review of decision denying reinstatement of practitioner
Review of interlocutory orders by hearing officer
Sanctions
Serious crime, suspension and discipline based on
Service of complaint
Service of papers
Settlement of complaint
Stays
Transfer to disability inactive status
Warnings
Disciplinary rule violation
Disclosure of
Discovery in disciplinary proceedings:
Depositions
Discovery
Evidence
Motions filed with hearing officer
Division of legal fees
E
Excessive legal fees
F
Failure to disclose material fact with regard to registration
Failure to notify client
False accusations
False statements concerning officials
Fees:
Delinquency
Petition to review decision of Director of Enrollment and Discipline
Registration for admission to examination
Registration to practice
Reinstatement
Fields of practice and specialization
Firm name, use of
Foreigners
Former clients, duties to
Former judge, arbitrator, mediator or other third-party neutral
Former Patent and Trademark Office employees
Fraud
Frivolous complaint
Funds of client, preserving identity of
G
Gift, improperly bestowing
Government employees, registration of to practice in patent cases
Government employees, representation of clients
I
Illegal fees for services
Impartiality of practitioner toward tribunal
Imputation of conflicts of interests
Incompetence
Independent professional judgment, exercise of
Influence by others than client
Integrity of the legal profession, maintaining of
J
Judicial office, candidate for
L
Law firms and associations:
Professional independence of a practitioner
Responsibilities of partners, managers and supervisory practitioners
Responsibilities of a subordinate practitioner
Responsibilities regarding law-related services
Responsibilities regarding non-practitioner assistance
Restrictions on right to practice
Unauthorized practice of law
Law-related services, responsibilities regarding
Legal fees:
Division of
Sharing of
Legal services:
Advertising
Communications concerning a practitioner’s services
Fields of practice and specialization
Names and letterhead of firm
Perspective clients, direct contact with
Letterheads, use of
Limited recognition to practice in patent matters
M
Malpractice, limiting client’s liability
Materially false statements in application for registration
Misappropriation of funds
Misconduct
Misconduct, reporting of
Misrepresentations
N
Non-practitioner assistance, responsibilities
O
Oath requirement
Organization as client
P
Partners, responsibilities of
Perspective clients, direct contact with
Petitions:
Reinstatement
Review of final decision of USPTO Director in a disciplinary case
Review decision of Director of Enrollment and Discipline
Suspension of rules
Practitioner acting as counselor:
Advising client
Evaluation for use by third persons
Serving as neutral party
Practitioner acting as advocate:
Advocate in nonadjudicative proceedings
Candor toward the tribunal
Expediting proceedings
Fairness to opposing party and counsel
Impartiality and decorum of the tribunal
Meritorious claims and contentions
Practitioner as a witness
Trial publicity
Preserve secrets and confidence of client
Property of client
Proprietary interest in subject matter
R
Recognition to practice before the Patent and Trademark Office:
Agents
Aliens
Attorneys
Change of address or telephone number, requirement to notify OED Director
Examination for registration in patent cases
Examination fees
Foreigners
Former Patent and Trademark Office employees
Government employees
Limited recognition in patent cases
Non-lawyers, recognition in trademark cases
Recognition for representation
Refusal to recognize practitioner
Register of attorneys and agents in patent cases
Registration fee
Registration number
Removal of attorneys and agents from the register
Representation by registered attorney or agent in patent cases
Requirements for registration
Review of Director’s decision refusing registration
Trademark cases
Unauthorized representation by an agent
Records, property and funds of client, maintaining of
Reinstatement of practitioner
Reporting misconduct of practitioners
S
Safekeeping client’s property
Sale of law practice
Savings clause
Sharing legal fees
Signature and certificate of practitioner
Solicitation
Statement concerning officials, making false
Subordinate practitioner, responsibilities of
Suspension of practitioner
Suspension of rules
T
Transactions with persons other than clients:
Communications with person represented by a practitioner
Respect for rights of third persons
Truthfulness in statements to others
Unrepresented persons, dealing with
U
Unauthorized practice
Unrepresented persons, dealing with
V
Violating duty of candor
Violation of disciplinary rule, misconduct
W
Withdrawal from representation
Witness, practitioner as