[Code of Federal Regulations] [Title 37, Volume 1] [Revised as of July 1, 2002] From the U.S. Government Printing Office via GPO Access [CITE: 37CFR10.170] [Page 374-380] TITLE 37--PATENTS, TRADEMARKS, AND COPYRIGHTS DEPARTMENT OF COMMERCE PART 10--REPRESENTATION OF OTHERS BEFORE THE PATENT AND TRADEMARK OFFICE--Table of Contents Sec. 10.170 Suspension of rules. (a) In an extraordinary situation, when justice requires, any requirement of the regulations of this part which is not a requirement of the statutes may be suspended or waived by the Commissioner or the Commissioner's designee, sua sponte, or on petition of any party, including the Director or the Director's representative, subject to such other requirements as may be imposed. (b) Any petition under this section will not stay a disciplinary proceeding unless ordered by the Commissioner or an administrative law judge. PART 15-15a [RESERVED] [[Page 375]] INDEX III--RULES RELATING TO PRACTICE BEFORE THE PATENT AND TRADEMARK OFFICE Editorial Note: This listing is provided for informational purposes only. It is compiled and kept current by the Department of Commerce. This index is updated as of July 1, 2001. Section A Address change 10.11 Advertising 10.31, 10.32 Agreements restricting practice 10.38 Aliens 10.6, 10.9 Applicant for patent, representation of 1.31, 10.10 Applicant for trademark, representation of 2.11 Attorneys, recognition of to practice in trademark cases 10.14 Attorneys, registration of to practice in patent cases 10.6, 10.7 B Breach of trust 10.23 Business transactions or relations with client 10.65 C Candidate for judicial office 10.103 Canons and Disciplinary Rules 10.20-10.112 Certificate of mailing 1.8, 10.23. 10.141 Circumventing a disciplinary rule, amendment 10.23 Code of Professional Responsibility 10.20-10.112 Coercion, use of 10.23 Committee on Discipline 10.4 Committee on Enrollment 10.3 Communicating with person having adverse interest 10.67 Communications concerning practitioner's service 10.31 Compensation for legal services 10.68 Competence 10.76, 10.77 Complaint instituting disciplinary proceedings 10.134 Concealment of material information 10.23 Conduct in proceeding before Office 10.89 Conduct prejudicial to the administration of justice 10.23 Conflict of interest 10.66 Conviction of criminal offense 10.23 D Deceit 10.23 Decisions of the Commissioner 10.156, 10.157 Definitions: Affidavit...........................................................10.1 Agent...............................................................10.6 Application.........................................................10.1 Canon..............................................................10.20 Confidence.........................................................10.57 [[Page 376]] Differing interests.................................................10.1 Director of Enrollment and Discipline...............................10.1 Disciplinary rule..................................................10.20 Employee of a tribunal..............................................10.1 Excessive legal fees...............................................10.36 Excluded practitioner...............................................10.1 Giving information..................................................10.1 Invention development services.....................................10.23 Law firm............................................................10.1 Lawyer..............................................................10.1 Legal counsel.......................................................10.1 Legal profession....................................................10.1 Legal service.......................................................10.1 Legal system........................................................10.1 Non-practitioner....................................................10.1 Office..............................................................10.1 Person..............................................................10.1 Practitioner........................................................10.1 Proceeding before the Office........................................10.1 Professional legal corporation......................................10.1 Registration........................................................10.1 Respondent........................................................10.134 Secret......................................................10.33, 10.57 Service of Process..................................................15.2 State...............................................................10.1 Suspended practitioner..............................................10.1 Testimony by employees.............................................15a.2 Tribunal............................................................10.1 United States.......................................................10.1 Designation as registered attorney or agent 10.34 Direct contact with prospective clients 10.33 Director of Enrollment and Discipline: Appointment.........................................................10.2 Duties..............................................................10.2 Review of decisions of the Director.................................10.2 Disbarment from practice on ethical grounds 10.130 Discharge of attorney or agent by client 10.40 Disciplinary Proceedings and Investigations: Administrative Law Judge..........................................10.139 Administrative Procedures Act.............................10.132, 10.144 Review of interlocutory orders by Administrative Law Judge........10.139 Amendment of complaint............................................10.145 Amendment of pleadings............................................10.145 Answer to complaint...............................................10.136 Appeal of initial decision of Administrative Law Judge............10.155 Burden of proof...................................................10.149 Certificate of mailing.......................................1.8, 10.141 Complaint.........................................................10.134 Contested case....................................................10.138 Deliberations of Committee on Discipline............................10.4 Discovery (see also Discovery in Disciplinary Proceedings)........10.152 Exception to ruling...............................................10.150 Filing papers after complaint filed...............................10.141 Hearings before Administrative Law Judge..........................10.144 Initial decision of Administrative Law Judge..............10.139, 10.154 Initiating disciplinary proceeding................................10.132 Investigations of violations of disciplinary rules................10.131 Notice of suspension or exclusion of practitioner.................10.159 [[Page 377]] Objections to evidence............................................10.150 Post hearing memorandum...........................................10.153 Pre-hearing statement.............................................10.153 Reinstatement of suspended or excluded practitioner...............10.160 Reprimand of registered attorney or agent.................10.130, 10.132 Resignation of practitioner.......................................10.133 Review of Commissioner's final decision...........................10.157 Review of decision denying reinstatement of practitioner............10.2 Savings clause....................................................10.161 Service of complaint..............................................10.135 Settlement of complaint...........................................10.133 Stay pending review of interlocutory order........................10.139 Supplemental complaint............................................10.137 Disciplinary rule violation, disclosure of 10.23, 10.24, 10.84, 10.85, 10.131 Discourteous conduct 10.89 Discovery in Disciplinary Proceedings: Copying of documents..............................................10.152 Cross-examination.................................................10.152 Deliberations of Committee on Enrollment............................10.4 Depositions.......................................................10.151 Evidence..................................................10.150, 10.152 Impeachment.......................................................10.152 Inspection of documents...........................................10.152 Interrogatories...................................................10.152 Motions filed with Administrative Law Judge...............10.143, 10.152 Privileged information............................................10.152 Undue delay in proceedings........................................10.152 Division of legal fees 10.37 Durees, use of 10.23 Duty to make counsel available 10.30 E Employee testimony (See Testimony by Office employee) Employment: Acceptance.........................................................10.39 Failure to carry out contract......................................10.84 Refusing employment.........................................10.62, 10.63 Withdrawal from employment..................................10.40, 10.63 Exception to ruling 10.151 Excessive legal fees 10.36 Exclusion of practitioner 10.130, 10.132, 10.158 F Failure to disclose material fact with regard to registration 10.22 Failure to notify client 10.23 False accusations 10.23 False statements concerning officials 10.102 Favors, improperly bestowing 10.23 Fees: In general..........................................................1.21 Petition to review decision of Director of Enrollment and Discipline..........................................................10.2 Registration........................................................10.8 Registration examination............................................10.7 Reinstatement......................................................10.11 Request regard of examination.......................................10.6 Fees for legal services 10.36 [[Page 378]] Firm name, use of 10.35 Fitness to practice before the Office 10.23 Foreigners 10.6, 10.9, 10.14 Former Patent and Trademark Office employees 10.6, 10.23 Fraud or inequitable conduct 10.23, 10.85 Frivolous complaint 10.23 Funds of client, preserving identity of 10.112 G Gift, improperly bestowing 10.23 Government employees, registration of to practice in patent cases 10.10 I Illegal conduct involving moral turpitude 10.23 Illegal fees for services 10.36 Improper alteration of patent application 10.23 Improper execution of oath or declaration 10.23 Improper influence 10.23 Improper signature 10.18, 10.23 Improperly bestowing thing of value 10.23 Incompetence 10.77, 10.78 Indecent statement, making of 10.23 Independent professional judgment, exercise of 10.61, 10.62, 10.66, 10.68 Individual unqualified in respect to character, education, etc 10.7, 10.22 Influence by others than client 10.68 Information precluding registration, failure to disclose 10.23 Initial decision of Administrative Law Judge 10.139, 10.154 Integrity and competence of the legal profession, maintaining of 10.22 Interest in litigation or proceeding before Office, acquiring of 10.64 Investigations of violations of disciplinary rules 10.131 J Joint venture 10.23 Judicial office, candidate for 10.103 L Legal Fees: Division of........................................................10.37 Failure to pay.....................................................10.40 Sharing of.........................................................10.48 Legal system, assistance in improving the 10.100 Letterheads, use of 10.35 Limited recognition to practice in patent cases 10.9 M Malpractice, limiting client's liability 10.78 Materially false statements in application for registration 10.22 Misappropriation of funds 10.23 Misconduct 10.23 Misrepresentations 10.22, 10.23 Multiple employment 10.66 N Neglecting legal matters 10.77 [[Page 379]] Non-practitioner, formation of partnership with 10.49 Notice of suspension or exclusion 10.159 O Oath requirement 10.8 Officials, contact with 10.93 P Petitions: Fees in general.....................................................1.21 Regrade of examination...........................................10.7(c) Reinstatement.....................................................10.160 Review decision of Commissioner...................................10.157 Review decision of Director of Enrollment and Discipline............10.2 Suspension of rules...............................................10.170 Preserve secrets and confidence of client 10.56, 10.57 Pro-se applicant 1.31, 2.11 Professional impropriety, avoiding appearance of 1.110, 10.111 Promise of advantage, offer of 10.23 Property of client 10.112 Proprietary interest in subject matter 10.64 Publication in Official Gazette 10.11, 10.159, 10.160 R Recogntion to Practice Before the Patent and Trademark Office: Agents.................................................10.6, 10.7, 10.14 Aliens.................................................10.6, 10.9, 10.14 Attorneys..............................................10.6, 10.7, 10.14 Change of address, requirement to notify Director..................10.11 Person not suspended or excluded....................................10.2 Suspended or excluded practitioner................................10.160 Examination of registration in patent cases.........................10.7 Examination fee.....................................................10.7 Foreigners.............................................10.6, 10.9, 10.14 Former Patent and Trademark Office employees................10.10, 10.23 Government employees........................................10.10, 10.23 Limited recognition in patent cases.................................10.9 Non-lawyers, recognition in trademark cases........................10.10 Patent cases..................................................10.6-10.10 Recogntion for representation..........................1.34, 2.17, 10.14 Recognition to practice.......................................10.6-10.18 Refusal to recognize practitioner..................................10.15 Register of attorneys and agents in patent cases....................10.5 Registration fee....................................................10.8 Registration number.................................................1.34 Removal of attorneys and agents from the register..................10.11 Representation by registered attorney or agent in patent cases......1.31 Request for regrade of examination..................................10.6 Requirements for registration.......................................10.7 Review of Director's decision refusing registration.................10.2 Trademark cases....................................................10.14 Unauthorized representation by an agent.....................10.10, 10.31 Records, property and funds of client, maintaining of 10.112 Reinstatement after removal from the register 10.2, 10.11 Reinstatement of suspended or excluded non-practitioner 10.160 Representing client within bounds of the law 10.85 [[Page 380]] Reprimand of registered attorney or agent 10.130, 10.132 Resignation 10.133 Revocation of power of attorney in trademark case 2.19 S Scandalous statements, making of 10.23 Secrets and confidence, preservation of clients 10.56, 10.57 Service of process Acceptance of service of process....................................15.3 Definition Scope and purpose...................................................15.2 Settlement of claims of clients 10.67 Sharing legal fees 10.48 Signature and certificate of practitioner 10.18 Solicitation 10.32, 10.33 Statement concerning officials, making false 10.102 Suspension of practitioner 10.23, 10.130, 10.132, 10.158 Suspension of rules 10.170 T Testimony of Office employees Definition.........................................................15a.2 General rule.......................................................15a.4 Office policy......................................................15a.3 Private litigation.................................................15a.6 Proceedings involving the United States............................15a.5 Production of documents............................................15a.4 Scope..............................................................15a.1 Subpoena of Office employees.......................................15a.7 Threats of criminal prosecution 10.88 Threats, use of 10.23 U Unauthorized practice 10.14, 10.23, 10.31, 10.46, 10.47 Undignified conduct 10.89 V Violating duty of candor and good faith 10.23 Violation of disciplinary rule, misconduct 10.23 W Withdrawal from employment 10.40 Withdrawal material information 10.22, 10.23 Witnesses 10.63, 10.92 Z Zealously representing the client 10.83, 10.84 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