37 CFR Part 11 Index
Representation of Others Before the Patent and Trademark Office

Taken from USPTO Website (Last revised Jan. 2018)

11 - Representation of Others Before the Patent and Trademark Office

Subpart A - General Provisions

General Information

11.1: Definitions

11.2: Director of the Office of Enrollment and Discipline

11.3: Suspension of rules

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: 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: Requirements for admission to the USPTO Law School Clinic Certification Program

11.17: Requirements for participation in the USPTO Law School Clinic Certification Program

11.18: Signature and certificate for correspondence filed in the Office

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: 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: 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: Removed and reserved

11.62: Reserved

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: Reserved


11.201: Advisor

11.202: Reserved

11.203: Evaluation for use by third persons

11.204: Practitioner serving as third-party neutral

11.205: Reserved


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: 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: 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: 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

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: Reserved

11.901: Savings clause