37 CFR 11.901: Savings clause

Taken from the Ninth Edition of the MPEP, Revision 07.2015, Last Revised in November 2015

Previous: §11.805 | Next: §41.1

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 ______ 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

B

Breach of trust ______ 11.7(h)

Business transactions or relations with client ______ 11.108(a)

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: ______ 11.23

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: ______ 11.108(f)

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: ______ 11.103

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: ______ 11.116(d)

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: ______ 11.105(e)

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 ______ 11.105(e)

Disclosure of ______ 11.25, 11.501, 11.503, 11.801, 11.803

Discovery in disciplinary proceedings: ______ 11.105(e)

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: ______ 11.704

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

Gift, improperly bestowing ______ 11.108(c)

Government employees, registration of to practice in patent cases ______ 11.10(e)

Government employees, representation of clients ______ 11.111

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: ______ 11.507

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: ______ 11.507

Division of ______ 11.105(e)

Sharing of ______ 11.504

Legal services: ______ 11.507

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

Malpractice, limiting client’s liability ______ 11.108(h)

Materially false statements in application for registration ______ 11.801

Misappropriation of funds ______ 11.115

Misconduct ______ 11.804

Misconduct, reporting of ______ 11.803

Misrepresentations ______ 11.401, 11.801

N

Non-practitioner assistance, responsibilities ______ 11.503

O

Oath requirement ______ 11.8

Organization as client ______ 11.113

P

Partners, responsibilities of ______ 11.501

Perspective clients, direct contact with ______ 11.703

Petitions: ______ 11.106, 11.109

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: ______ 11.106, 11.109

Advising client ______ 11.201

Evaluation for use by third persons ______ 11.203

Serving as neutral party ______ 11.204

Practitioner acting as advocate: ______ 11.106, 11.109

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: ______ 11.115

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

T

Transactions with persons other than clients:

Communications with person represented by a practitioner ______ 11.402

Respect for rights of third persons ______ 11.404

Truthfulness in statements to others ______ 11.402

Unrepresented persons, dealing with ______ 11.403

U

Unauthorized practice ______ 11.505

Unrepresented persons, dealing with ______ 11.403

V

Violating duty of candor ______ 11.303

Violation of disciplinary rule, misconduct ______ 11.804

W

Withdrawal from representation ______ 11.116

Witness, practitioner as ______ 11.307