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Presented below for reference purposes is an abridged copy
of the:
U. S. TRADEMARK LAW
RULES OF PRACTICE
&
FEDERAL STATUTES
U. S. PATENT & TRADEMARK OFFICE
17th
Edition - Nov. 1, 2004
TABLE OF
CONTENTS
37 C.F.R. PART 2-RULES OF PRACTICE
IN TRADEMARK CASES
RULES APPLICABLE TO TRADEMARK CASES
§2.1 [Reserved]
§2.2 Definitions.
§2.6 Trademark fees.
§2.7 Fastener Recordal Fees.
REPRESENTATION BY ATTORNEYS OR OTHER
AUTHORIZED PERSONS
§2.11 Applicants may be represented
by an attorney.
§2.17 Recognition for
representation.
§2.18 Correspondence, with whom
held.
§2.19 Revocation of power of
attorney; withdrawal.
DECLARATIONS
§2.20 Declarations in lieu of
oaths.
APPLICATION FOR REGISTRATION
§2.21 Requirements for receiving a
filing date.
§2.23 Serial number.
§2.24 Designation of domestic
representative by foreign applicant.
§2.25 Papers not returnable.
§2.26 Use of old drawing in new
application.
§2.27 Pending trademark application
index; access to applications.
§2.32 Requirements for a complete
application.
§2.33 Verified statement.
§2.34 Bases for filing.
§2.35 Adding, deleting, or
substituting bases.
§2.36 Identification of prior
registrations.
§2.37 Description of mark.
§2.38 Use by predecessor or by
related companies.
§2.41 Proof of distinctiveness
under §2(f).
§2.42 Concurrent use.
§2.43 Service mark.
§2.44 Collective mark.
§2.45 Certification mark.
§2.46 Principal Register.
§2.47 Supplemental Register.
DRAWING
§2.51 Drawing required.
§2.52 Types of drawings and format
for drawings.
§2.53 Requirements for drawings
filed through the TEAS.
§2.54 Requirements for drawings
submitted on paper.
SPECIMENS
§2.56 Specimens.
§2.59 Filing substitute specimen(s).
EXAMINATION OF APPLICATION AND
ACTION BY APPLICANTS
§2.61 Action by examiner.
§2.62 Period for response.
§2.63 Reexamination.
§2.64 Final action.
§2.65 Abandonment.
§2.66 Revival of abandoned
applications.
§2.67 Suspension of action by the
Patent and Trademark Office.
§2.68 Express abandonment
(withdrawal) of application.
§2.69 Compliance with other laws.
AMENDMENT OF APPLICATION
§2.71 Amendments to correct
informalities.
§2.72 Amendments to description or
drawing of the mark.
§2.73 Amendment to recite
concurrent use.
§2.74 Form of amendment.
§2.75 Amendment to change
application to different register.
§2.76 Amendment to allege use.
§2.77 Amendments between notice of
allowance and statement of use.
PUBLICATION AND POST PUBLICATION
§2.80 Publication for opposition.
§2.81 Post publication.
§2.82 Marks on Supplemental
Register published only upon registration.
§2.83 Conflicting marks.
§2.84 Jurisdiction over published
applications.
CLASSIFICATION
§2.85 Classification schedules.
§2.86 Application may include
multiple classes.
§2.87 Dividing an application.
POST NOTICE OF ALLOWANCE
§2.88 Filing statement of use after
notice of allowance.
§2.89 Extensions of time for filing
a statement of use.
INTERFERENCES AND CONCURRENT USE
PROCEEDINGS
§2.91 Declaration of interference.
§2.92 Preliminary to interference.
§2.93 Institution of interference.
§2.96 Issue; burden of proof.
§2.98 Adding party to interference.
§2.99 Application to register as
concurrent user.
OPPOSITION
§2.101 Filing an opposition.
§2.102 Extension of time for filing
an opposition.
§2.104 Contents of opposition.
§2.105 Notification to parties of
opposition proceeding(s).
§2.106 Answer.
§2.107 Amendment of pleadings in an
opposition proceeding.
CANCELLATION
§2.111 Filing petition for
cancellation.
§2.112 Contents of petition for
cancellation.
§2.113 Notification of cancellation
proceeding.
§2.114 Answer.
§2.115 Amendment of pleadings in a
cancellation proceeding.
PROCEDURE IN INTER PARTES
PROCEEDINGS
§2.116 Federal Rules of Civil
Procedure.
§2.117 Suspension of proceedings.
§2.118 Undelivered Office notices.
§2.119 Service and signing of
papers.
§2.120 Discovery.
§2.121 Assignment of times for
taking testimony.
§2.122 Matters in evidence.
§2.123 Trial testimony in inter
partes cases.
§2.124 Depositions upon written
questions.
§2.125 Filing and service of
testimony.
§2.126 Form of submissions to the
Trademark Trial and Appeal Board.
§2.127 Motions.
§2.128 Briefs at final hearing.
§2.129 Oral argument;
reconsideration.
§2.130 New matter suggested by the
trademark examining attorney.
§2.131 Remand after decision in
inter partes proceeding.
§2.132 Involuntary dismissal for
failure to take testimony.
§2.133 Amendment of application or
registration during proceedings.
§2.134 Surrender or voluntary
cancellation of registration.
§2.135 Abandonment of application
or mark.
§2.136 Status of application on
termination of proceeding.
APPEALS
§2.141 Ex parte appeals from the
Examiner of Trademarks.
§2.142 Time and manner of ex parte
appeals.
§2.144 Reconsideration of decision
on ex parte appeal.
§2.145 Appeal to court and civil
action.
PETITIONS AND ACTION BY THE DIRECTOR
§2.146 Petitions to the Director.
§2.148 Director may suspend certain
rules.
CERTIFICATE
§2.151 Certificate.
PUBLICATION OF MARKS REGISTERED
UNDER 1905 ACT
§2.153 Publication requirements.
§2.154 Publication in Official
Gazette.
§2.155 Notice of publication.
§2.156 Not subject to opposition;
subject to cancellation.
REREGISTRATION OF MARKS REGISTERED
UNDER PRIOR ACTS
§2.158 Reregistration of marks
registered under Acts of 1881, 1905, and 1920.
CANCELLATION FOR FAILURE TO FILE
AFFIDAVIT OR DECLARATION DURING SIXTH YEAR
§2.160 Affidavit or declaration of
continued use or excusable nonuse required to avoid
cancellation of registration.
§2.161 Requirements for a complete
affidavit or declaration of continued use or excusable
nonuse.
§2.162 Notice to registrant.
§2.163 Acknowledgment of receipt of
affidavit or declaration.
§2.164 Correcting deficiencies in
affidavit or declaration.
§2.165 Petition to Director to
review refusal.
§2.166 Affidavit of continued use
or excusable nonuse combined with renewal application.
AFFIDAVIT OR DECLARATION UNDER §15
§2.167 Affidavit or declaration
under §15.
§2.168 Affidavit or declaration
under section 15 combined with affidavit or declaration
under section 8, or with renewal application.
CORRECTION, DISCLAIMER, SURRENDER,
ETC.
§2.171 New certificate on change of
ownership.
§2.172 Surrender for cancellation.
§2.173 Amendment of registration
§2.174 Correction of Office
mistake.
§2.175 Correction of mistake by
registrant.
§2.176 Consideration of above
matters.
TERM AND RENEWAL
§2.181 Term of original
registrations and renewals.
§2.182 Time for filing renewal
application.
§2.183 Requirements for a complete
renewal application.
§2.184 Refusal of renewal.
§2.185 Correcting deficiencies in
renewal application.
§2.186 Petition to Director to
review refusal of renewal.
GENERAL INFORMATION AND
CORRESPONDENCE IN TRADEMARK CASES
2.188 [Reserved]
2.189 [Reserved]
§2.190 Addresses for trademark
correspondence with the United States Patent and Trademark
Office.
§2.191 Business to be transacted in
writing.
§2.192 Business to be conducted
with decorum and courtesy.
§2.193 Trademark correspondence and
signature requirements.
§2.194 Identification of trademark
application or registration.
§2.195 Receipt of trademark
correspondence.
§2.196 Times for taking action:
Expiration on Saturday, Sunday or Federal holiday.
§2.197 Certificate of mailing or
transmission.
§2.198 Filing of correspondence by
“Express Mail.”
§2.199 [Reserved]
TRADEMARK RECORDS AND FILES OF THE
PATENT AND TRADEMARK OFFICE
§2.200 Assignment records open to
public inspection.
§2.201 Copies and certified copies.
§2.202 [Reserved]
§2.203 [Reserved]
§2.204 [Reserved]
§2.205 [Reserved]
FEES AND PAYMENT OF MONEY IN
TRADEMARK CASES
§2.206 Trademark fees payable in
advance.
§2.207 Methods of payment.
§2.208 Deposit accounts.
§2.209 Refunds.
37 C.F.R. Part 3—ASSIGNMENT,
RECORDING AND RIGHTS OF ASSIGNEE
§3.1 Definitions
DOCUMENTS ELIGIBLE FOR RECORDING
§3.11 Documents which will be
recorded.
§3.16 Assignability of trademarks
prior to filing of an allegation of use statement.
REQUIREMENTS FOR RECORDING
§3.24 Requirements for documents
and cover sheets relating to patents and patent
applications.
§3.25 Recording requirements for
trademark applications and registrations.
§3.26 English language requirement.
§3.27 Mailing address for
submitting documents to be recorded.
§3.28 Requests for recording.
COVER SHEET REQUIREMENTS
§3.31 Cover sheet content.
§3.34 Correction of cover sheet
errors.
FEES
§3.41 Recording fees.
DATE AND EFFECT OF RECORDING
§3.51 Recording date.
§3.54 Effect of recording.
§3.56 Conditional assignments.
§3.58 Governmental registers.
DOMESTIC REPRESENTATIVE
§3.61 Domestic representative.
ACTION TAKEN BY ASSIGNEE
§3.71 Prosecution by assignee.
§3.73 Establishing right of
assignee to take action.
ISSUANCE TO ASSIGNEE
§3.85 Issue of registration to
assignee.
37 C.F.R. Part 6—CLASSIFICATION OF
GOODS AND SERVICES UNDER THE TRADEMARK ACT
CLASSIFICATION OF GOODS AND SERVICES
UNDER THE TRADEMARK ACT
§6.1 International schedule of
classes of goods and services.
§6.2 Prior U.S. schedule of classes
of goods and services.
§6.3 Schedule for certification
marks.
§6.4 Schedule for collective
membership marks.
PART 7 – RULES OF PRACTICE IN
FILINGS PURSUANT TO THE PROTOCOL RELATING TO THE MADRID
AGREEMENT CONCERNING THE INTERNATIONAL REGISTRATION OF
MARKS
SUBPART A -- GENERAL INFORMATION
§7.1 Definitions of terms as used
in this part.
§7.2 [Reserved]
§7.3 Correspondence must be in
English.
§7.4 Receipt of correspondence.
§7.5 [Reserved]
§7.6 Schedule of U.S. process fees.
§7.7 Payments of fees to
International Bureau.
SUBPART B -- INTERNATIONAL
APPLICATION ORIGINATING FROM THE UNITED STATES
§7.11 Requirements for
international application originating from the United
States.
§7.12 Claim of color.
§7.13 Certification of
international application.
§7.14 Correcting irregularities in
international application.
SUBPART C -- SUBSEQUENT DESIGNATION
SUBMITTED THROUGH THE OFFICE
§7.21 Subsequent designation.
SUBPART D -- RECORDING CHANGES TO
INTERNATIONAL REGISTRATION
§7.22 Recording changes to
international registration.
§7.23 Requests for recording
assignments at the International Bureau.
§7.24 Requests to record security
interest or other restriction of holder’s rights of
disposal or release of such restriction submitted through
the Office.
SUBPART E -- EXTENSION OF PROTECTION
TO THE UNITED STATES
§7.25 Sections of part 2 applicable
to extension of protection.
§7.26 Filing date of extension of
protection for purposes of examination in the Office.
§7.27 Priority claim of extension
of protection for purposes of examination in the Office.
§7.28 Replacement of U.S.
registration by registered extension of protection.
§7.29 Effect of replacement on U.S.
registration.
§7.30 Effect of cancellation or
expiration of international registration.
§7.31 Requirements for
transformation of an extension of protection to the United
States into a U.S. application.
SUBPART F -- AFFIDAVIT UNDER SECTION
71 OF THE ACT FOR EXTENSION OF PROTECTION TO THE UNITED
STATES
§7.36 Affidavit or declaration of
use in commerce or excusable nonuse required to avoid
cancellation of an extension of protection to the United
States.
§7.37 Requirements for a complete
affidavit or declaration of use in commerce or excusable
nonuse.
§7.38 Notice to holder of extension
of protection.
§7.39 Acknowledgment of receipt of
affidavit or declaration of use in commerce or excusable
nonuse.
§7.40 Petition to Director to
review refusal.
SUBPART G--RENEWAL OF INTERNATIONAL
REGISTRATION AND EXTENSION OF PROTECTION
§7.41 Renewal of international
registration and extension of protection.
37 C.F.R. PART 10—REPRESENTATION OF
OTHERS BEFORE THE PATENT AND TRADEMARK OFFICE
§10.1 Definitions.
§10.2 [Removed]
§10.3
[Removed]
§10.4
[Removed]
INDIVIDUALS ENTITLED TO PRACTICE
BEFORE THE PATENT AND TRADEMARK OFFICE
§10.5
[Removed]
§10.6
[Removed]
§10.7
[Removed]
§10.8
[Removed]
§10.9
[Removed]
§10.10
[Removed]
§10.11 Removing names from the
register.
§10.14 Individuals who may practice
before the Office in trademark and other non-patent cases.
§10.15 Refusal to recognize a
practitioner.
§10.18 Signature and certificate
for correspondence filed in the Patent and Trademark
Office.
PATENT AND TRADEMARK OFFICE CODE OF
PROFESSIONAL RESPONSIBILITY
§10.20 Canons and Disciplinary
Rules.
§10.21 Canon 1.
§10.22 Maintaining integrity and
competence of the legal profession.
§10.23 Misconduct.
§10.24 Disclosure of information to
authorities.
§10.30 Canon 2.
§10.31 Communications concerning a
practitioner’s services.
§10.32 Advertising.
§10.33 Direct contact with
prospective clients.
§10.34 Communications of fields of
practice.
§10.35 Firm names and letterheads.
§10.36 Fees for legal services.
§10.37 Division of fees among
practitioners.
§10.38 Agreements restricting the
practice of a practitioner.
§10.39 Acceptance of employment.
§10.40 Withdrawal from employment.
§10.46 Canon 3.
§10.47 Aiding unauthorized practice
of law.
§10.48 Sharing legal fees.
§10.49 Forming a partnership with a
non-practitioner.
§10.56 Canon 4.
§10.57 Preservation of confidences
and secrets of a client.
§10.61 Canon 5.
§10.62 Refusing employment when the
interest of the practitioner may impair the practitioner’s
independent professional judgment.
§10.63 Withdrawal when the
practitioner becomes a witness.
§10.64 Avoiding acquisition of
interest in litigation or proceeding before the Office.
§10.65 Limiting business relations
with a client.
§10.66 Refusing to accept or
continue employment if the interests of another client may
impair the independent professional judgment of the
practitioner.
§10.67 Settling similar claims of
clients.
§10.68 Avoiding influence by others
than the client.
§10.76 Canon 6.
§10.77 Failing to act competently.
§10.78 Limiting liability to
client.
§10.83 Canon 7.
§10.84 Representing a client
zealously.
§10.85 Representing a client within
the bounds of the law.
§10.87 Communicating with one of
adverse interest.
§10.88 Threatening criminal
prosecution.
§10.89 Conduct in proceedings.
§10.92 Contact with witnesses.
§10.93 Contact with officials.
§10.100 Canon 8.
§10.101 Action as a public
official.
§10.102 Statements concerning
officials.
§10.103 Practitioner candidate for
judicial office.
§10.110 Canon 9.
§10.111 Avoiding even the
appearance of impropriety.
§10.112 Preserving identity of
funds and property of client.
INVESTIGATIONS AND DISCIPLINARY
PROCEEDINGS
§10.130 Reprimand, suspension or
exclusion.
§10.131 Investigations.
§10.132 Initiating a disciplinary
proceeding; reference to an administrative law judge.
§10.133 Conference between Director
and practitioner; resignation.
§10.134 Complaint.
§10.135 Service of complaint.
§10.136 Answer to complaint.
§10.137 Supplemental complaint.
§10.138 Contested case.
§10.139 Administrative law judge;
appointment; responsibilities; review of interlocutory
orders; stays.
§10.140 Representative for Director
or respondent.
§10.141 Filing of papers.
§10.142 Service of papers.
§10.143 Motions.
§10.144 Hearings.
§10.145 Proof; variance; amendment
of pleadings.
§10.149 Burden of proof.
§10.150 Evidence.
§10.151 Depositions.
§10.152 Discovery.
§10.153 Proposed findings and
conclusions; post-hearing memorandum.
§10.154 Initial decision of
administrative law judge.
§10.155 Appeal to the Commissioner.
§10.156 Decision of the
Commissioner.
§10.157 Review of Commissioner’s
final decision.
§10.158 Suspended or excluded
practitioner.
§10.159 Notice of suspension or
exclusion.
§10.160 Petitioner for
reinstatement.
§10.161 Savings clause.
§10.170 Suspension of rules.
Trademark Act of 1946, as Amended
TITLE I - THE PRINCIPAL REGISTER
§1 (15 U.S.C. §1051). Registration;
application; payment of fees; designation of agent for
service of process
§2 (15 U.S.C. §1052). Trademarks
registrable on the principal register; concurrent
registration
§3 (15 U.S.C. §1053). Service marks
registrable
§4 (15 U.S.C. §1054). Collective
marks and certification marks registrable
§5 (15 U.S.C. §1055). Use by
related companies
§6 (15 U.S.C. §1056). Disclaimers
§7 (15 U.S.C. §1057). Certificates
of registration
§8 (15 U.S.C. §1058). Duration
§9 (15 U.S.C. §1059). Renewal
§10 (15 U.S.C. §1060). Assignment
§11 (15 U.S.C. §1061).
Acknowledgments and verifications
§12 (15 U.S.C. §1062). Publication
§13 (15 U.S.C. §1063). Opposition
§14 (15 U.S.C. §1064). Cancellation
§15 (15 U.S.C. §1065).
Incontestability of right to use mark
§16 (15 U.S.C. §1066). Interference
§17 (15 U.S.C. §1067). Notice of
inter partes proceedings; hearing by Trademark Trial and
Appeal Board
§18 (15 U.S.C. §1068). Refusal,
cancellation, or restriction of registration; concurrent
use
§19 (15 U.S.C. §1069).
Applicability, in inter partes proceeding, of equitable
principles of laches, estoppel and acquiescence
§20 (15 U.S.C. §1070). Appeal from
examiner to Trademark Trial and Appeal Board
§21 (15 U.S.C. §1071). Review of
Director’s or Trademark Trial and Appeal Board’s decision
§22 (15 U.S.C. §1072). Registration
as notice
TITLE II - THE SUPPLEMENTAL REGISTER
§23 (15 U.S.C. §1091). Filing and
registration for foreign use
§24 (15 U.S.C. §1092). Cancellation
§25 (15 U.S.C. §1093). Supplemental
registration certificate
§26 (15 U.S.C. §1094). General
provisions
§27 (15 U.S.C. §1095). Principal
registration not precluded by supplemental registration
§28 (15 U.S.C. §1096). Department
of Treasury; supplemental registration not filed
TITLE III - NOTICE OF REGISTRATION
§29 (15 U.S.C. §1111). Notice of
registration; display with mark; actual notice
TITLE IV - CLASSIFICATION
§30 (15 U.S.C. §1112).
Classification of goods and services; registration in
plurality of classes
TITLE V - FEES AND CHARGES
§31 (15 U.S.C. §1113). Fees
TITLE VI - REMEDIES
§32 (15 U.S.C. §1114). Remedies;
infringement; innocent infringers
§33 (15 U.S.C. §1115). Registration
as evidence of right to exclusive use; defenses
§34 (15 U.S.C. §1116). Injunctions;
enforcement; notice of filing suit given Director
§35 (15 U.S.C. §1117). Recovery of
profits, damages, and costs
§36 (15 U.S.C. §1118). Destruction
of infringing articles
§37 (15 U.S.C. §1119). Power of
court over registration; certification of decrees and
orders
§38 (15 U.S.C. §1120). Fraud; civil
liability
§39 (15 U.S.C. §1121). Jurisdiction
of Federal courts; State, local, and other agency
requirements
§40 (15 U.S.C. §1122). Liability of
States, instrumentalities of States and State officials
§41 (15 U.S.C. §1123). Rules and
regulations
TITLE VII - IMPORTATION FORBIDDEN OF
GOODS BEARING INFRINGING MARKS OR NAMES
§42 (15 U.S.C. §1124). Importation
of goods bearing infringing marks or names forbidden
TITLE VIII - FALSE DESIGNATIONS OF
ORIGIN, FALSE DESCRIPTIONS. AND DILUTION FORBIDDEN
§43 (15 U.S.C. §1125). False
designations of origin; false description or
representation
TITLE IX - INTERNATIONAL CONVENTIONS
§44 (15 U.S.C. §1126).
International conventions; register of marks
TITLE X - CONSTRUCTION AND
DEFINITIONS
§45 (15 U.S.C. §1127).
TITLE XI - REPEAL OF PREVIOUS ACTS
§46(a) (15 U.S.C. §1051 note). Time
of taking effect - Repeal of prior acts
§46(b) (15 U.S.C. §1051 note).
Existing registrations under prior acts
§47(a) (15 U.S.C. §1051 note).
Applications pending on effective date of Act
§47(b) (15 U.S.C. §1051 note).
Appeals pending on effective date of Act
§48 (15 U.S.C. §1051 note). Prior
acts not repealed
§49 (15 U.S.C. §1051 note).
Preservation of existing rights
§50 (15 U.S.C. §1051 note).
Severability
§51 (15 U.S.C. §1058 note).
Applications pending on effective date of the Trademark
Law Revision Act of 1988
TITLE XII—THE MADRID PROTOCOL
Sec. 60 (15 U.S.C. §1141).
Definitions
Sec. 61 (15 U.S.C. §1141a).
International Applications Based on United States
Applications or Registrations
Sec. 62 (15 U.S.C. §1141b).
Certification of the International Application
Sec. 63 (15 U.S.C. §1141c).
Restriction, Abandonment, Cancellation, or Expiration of a
Basic Application or Basic Registration
Sec. 64 (15 U.S.C. §1141d). Request
for Extension of Protection Subsequent to International
Registration
Sec. 65 (15 U.S.C. §1141e).
Extension Of Protection of an International Registration
to the United States Under the Madrid Protocol
Sec. 66 (15 U.S.C. §1141f). Effect
of Filing a Request for Extension of Protection of an
International Registration to The United States
Sec. 67 (15 U.S.C. §1141g). Right
of Priority for Request for Extension of Protection to the
United States.
Sec. 68 (15 U.S.C. §1141h).
Examination of and Opposition to Request for Extension of
Protection; Notification of Refusal
Sec. 69 (15 U.S.C. §1141i). Effect
of Extension of Protection.
Sec. 70 (15 U.S.C. §1141j).
Dependence of Extension of Protection to the United States
on the Underlying International Registration
Sec. 71 (15 U.S.C. §1141k).
Affidavits and Fees
Sec. 72 (15 U.S.C. §1141l).
Assignment of an Extension of Protection
Sec. 73 (15 U.S.C. §1141m).
Incontestability
Sec. 74 (15 U.S.C. §1141n). Rights
of Extension of Protection
Sec. 13403 (15 U.S.C. §1141 note).
Effective Date
UNITED STATES CODE, TITLE 35,
PATENTS
PART 1-UNITED STATES PATENT AND
TRADEMARK OFFICE
CHAPTER 1-ESTABLISHMENT, OFFICERS
AND EMPLOYEES, FUNCTIONS
35 U.S.C. §1. Establishment.
35 U.S.C. §2. Powers and duties.
35 U.S.C. §3. Officers and
employees.
35 U.S.C. §4. Restrictions on
officers and employees as to interest in patents
35 U.S.C. §5. Patent and Trademark
Office Public Advisory Committees.
35 U.S.C. §6. Board of Patent
Appeals and Interferences. (35 U.S.C. §6 pertains to
patents.)
35 U.S.C. §7. Library.
35 U.S.C. §8. Classification of
patents. (35 U.S.C. §8 pertains to patents.)
35 U.S.C. §9. Certified copies of
records.
35 U.S.C. §10. Publications.
35 U.S.C. §11. Exchange of copies
of patents. (35 U.S.C. §11 pertains to patents.)
35 U.S.C. §12. Copies of patents
and applications for public libraries. (35 U.S.C. §12
pertains to patents.)
35 U.S.C. §13. Annual report to
Congress.
CHAPTER 2—PROCEEDINGS IN THE PATENT
AND TRADEMARK OFFICE
35 U.S.C. §21. Filing date and day
for taking action.
5 U.S.C. §6103. Holidays.
District of Columbia Code—Section
28-2701.
35 U.S.C. §22. Printing of papers
filed.
35 U.S.C. §23. Testimony in Patent
and Trademark Office cases.
35 U.S.C. §24. Subpoenas,
witnesses.
35 U.S.C. §25. Declaration in lieu
of oath.
35 U.S.C. §26. Effect of defective
execution.
CHAPTER 3—PRACTICE BEFORE PATENT AND
TRADEMARK OFFICE
35 U.S.C. §31. [Repealed]
35 U.S.C. §32. Suspension or
exclusion from practice.
35 U.S.C. §33. Unauthorized
representation as practitioner.
CHAPTER 4—PATENT FEES, FUNDING,
SEARCH SYSTEMS
35 U.S.C. §41. Patent fees; patent
and trademark search systems.
35 U.S.C. §42. Patent and Trademark
Office funding.
NOTES OF OTHER STATUTES
AUTHORITY:
15 U.S.C. 1123, 35 U.S.C. 2, unless otherwise noted.
SOURCE: 30
FR 13193, Oct. 16, 1965, unless otherwise noted.
§2.1 [Reserved]
§2.2
Definitions.
(a) The
Act as used in this part means the Trademark Act of
1946, 60 Stat. 427, as amended, codified in 15 U.S.C. 1051
et. seq.
(b)
Entity as used in this part includes both natural and
juristic persons.
(c)
Director as used in this chapter, except for part 10,
means the Under Secretary of Commerce for Intellectual
Property and Director of the United States Patent and
Trademark Office.
(d)
Federal holiday within the District of Columbia means
any day, except Saturdays and Sundays, when the United
States Patent and Trademark Office is officially closed
for business for the entire day.
(e) The
term Office means the United States Patent and
Trademark Office.
(f)
The acronym TEAS means the Trademark
Electronic Application System, available online at
http://www.uspto.gov.
(g)
The acronym ESTTA means the Electronic System for
Trademark Trials and Appeals, available at
www.uspto.gov.
(h) The
term international application means an application
for international registration that is filed under the
Protocol Relating to the Madrid Agreement Concerning the
International Registration of Marks.
[54 FR
37588, Sept. 11, 1989; 68 FR 48286, Aug. 13, 2003,
effective Sept. 12, 2003; 68 FR 55748, Sept. 26, 2003,
effective Nov. 2, 2003]
The Patent
and Trademark Office requires following fees and charges:
(a)
Trademark process fees.
(1) For
filing an application, per class—$335.00
(2) For
filing an amendment to allege use under section 1(c) of
the Act, per class—$100.00
(3) For
filing a statement of use under section 1(d)(1) of the
Act, per class—$100.00
(4) For
filing a request under section 1(d)(2) of the Act for a
six-month extension of time for filing a statement of use
under section 1(d)(1) of the Act, per class—$150.00
(5) For
filing an application for renewal of a registration, per
class—$400.00
(6)
Additional fee for filing a renewal application during the
grace period, per class—$100.00
(7) For
filing to publish a mark under section 12(c), per
class—$100.00
(8) For
issuing a new certificate of registration upon request of
assignee—$100.00
(9) For a
certificate of correction of registrant’s error—$100.00
(10) For
filing a disclaimer to a registration—$100.00
(11) For
filing an amendment to a registration—$100.00
(12) For
filing an affidavit under §8 of the Act, per class—$100.00
(13) For
filing an affidavit under §15 of the Act, per
class—$200.00
(14)
Additional fee for filing a section 8 affidavit during the
grace period, per class—$100.00
(15) For
petitions to the Director—$100.00
(16) For
filing a petition to cancel, per class—$300.00
(17) For
filing a notice of opposition, per class—$300.00
(18) For
ex parte appeal to the Trademark Trial and Appeal Board,
per class—$100.00
(19)
Dividing an application, per new application (file
wrapper) created—$100.00
(20) For
correcting a deficiency in a section 8 affidavit—$100.00
(21) For
correcting a deficiency in a renewal application—$100.00
(b)
Trademark service fees.
(1) For
printed copy of registered mark, copy only. Service
includes preparation of copies by the Office within two to
three business days and delivery by United States Postal
Service; and preparation of copies by the Office within
one business day of receipt and delivery to an Office Box
or by electronic means (e.g., facsimile, electronic
mail)—$3.00
(2)
Certified or uncertified copy of trademark application as
filed processed within seven calendar days—$15.00
(3)
Certified or uncertified copy of a trademark-related file
wrapper and contents—$50.00
(4)
Certified copy of a registered mark, showing title and/or
status:
(i)
Regular service—$15.00
(ii)
Expedited local service—$30.00
(5)
Certified or uncertified copy of trademark records, per
document except as otherwise provided in this
section—$25.00
(6) For
recording each trademark assignment, agreement or other
paper relating to the property in a registration or
application
(i) First
property in a document—$40.00
(ii) For
each additional property in the same document—$25.00
(7) For
assignment records, abstract of title and certification,
per registration—$25.00
(8)
Marginal cost, paid in advance, for each hour of terminal
session time, including print time, using X-Search
capabilities, prorated for the actual time used. The
Director may waive the payment by an individual for
access to X-Search upon a showing of need or hardship, and
if such waiver is in the public interest—$40.00
(9)
Self-service copy charge, per page—$0.25
(10) Labor
charges for services, per hour or fraction thereof—$40.00
(11) For
items and services that the Director finds may be
supplied, for which fees are not specified by statute or
by this part, such charges as may be determined by the
Director with respect to each such item or service—Actual
Cost
(12) For
processing each payment refused (including a check
returned “unpaid”) or charged back by a financial
institution—$50.00
(13)
Deposit accounts:
(i) For
establishing a deposit account—$10.00
(ii)
Service charge for each month when the balance at the end
of the month is below $1,000—$25.00
[56 FR
65155, Dec. 13, 1991; 56 FR 66670, Dec. 24, 1991, as
amended at 57 FR 38196, Aug. 21, 1992; 59 FR 256, Jan. 4,
1994;60 FR 41018, Aug. 11, 1995; 62 FR 40450, July 29,
1997; 64 FR 48900, Sept. 8, 1999, effective Oct. 30, 1999;
64 FR 67486, Dec. 2, 1999; 64 FR 67774, Dec. 10, 1999; 67
FR 79520, Dec. 30, 2002; 67 FR 70847, November 27, 2002,
effective January 1, 2003; 68 FR 14332, March 25, 2003,
effective May 1, 2003; 68 FR 48286, Aug. 13, 2003,
effective Sept. 12, 2003]
(a)
Application fee for recordal of insignia—$20.00
(b)
Renewal of insignia recordal—$20.00
(c)
Surcharge for late renewal of insignia recordal—$20.00
[61 FR
55223, Oct. 25, 1996]
Representation before the Office is governed by §10.14 of
this chapter. The Office cannot aid in the selection of
an attorney.
[50 FR
5171, Feb. 6, 1985; 68 FR 55748, Sept. 26, 2003, effective
Nov. 2, 2003]
(a) When an
attorney as defined in §10.1(c) of this chapter acting in
a representative capacity appears in person or signs a
document in practice before the United States Patent and
Trademark Office in a trademark case, his or her personal
appearance or signature shall constitute a representation
to the United States Patent and Trademark Office that,
under the provisions of §10.14 and the law, he or she is
authorized to represent the particular party in whose
behalf he or she acts. Further proof of authority to act
in a representative capacity may be required.
(b) Before
any non-lawyer, as specified in §10.14(b) of this chapter,
will be allowed to take action of any kind with respect to
an application, registration or proceeding, a written
authorization from the applicant, registrant, party to the
proceeding, or other person entitled to prosecute such
application or proceeding must be filed.
(c) To be
recognized as a representative, an attorney as defined in
§10.1(c) of this chapter may file a power of attorney,
appear in person, or sign a document on behalf of an
applicant or registrant that is filed with the Office in a
trademark case.
(d) A party
may file a power of attorney that relates to more than one
trademark application or registration, or to all existing
and future applications and registrations of that party.
A party relying on such a power of attorney must:
(1) Include
a copy of the previously filed power of attorney; or
(2) Refer
to the power of attorney, specifying the filing date of
the previously filed power of attorney; the application
serial number (if known), registration number, or inter
partes proceeding number for which the original power
of attorney was filed; and the name of the party who
signed the power of attorney; or, if the application
serial number is not known, submit a copy of the
application or a copy of the mark, and specify the filing
date.
[30 FR
13193, Oct. 16, 1965, as amended at 50 FR 5171, Feb. 6,
1985; 64 FR 48900, Sept. 8, 1999, effective Oct. 30, 1999;
68 FR 55748, Sept. 26, 2003, effective Nov. 2, 2003]
(a) If
documents are transmitted by an attorney, or a written
power of attorney is filed, the Office will send
correspondence to the attorney transmitting the documents,
or to the attorney designated in the power of attorney,
provided that the attorney is an attorney as defined in
§10.1(c) of this chapter.
(b) The
Office will not undertake double correspondence. If two
or more attorneys appear or sign a document, the Office’s
reply will be sent to the address already established in
the record until the applicant, registrant or party, or
its duly appointed attorney, requests in writing that
correspondence be sent to another address.
(c) If an
application, registration or proceeding is not being
prosecuted by an attorney but a domestic representative
has been appointed, the Office will send correspondence to
the domestic representative, unless the applicant,
registrant or party designates in writing another
correspondence address.
(d) If the
application, registration or proceeding is not being
prosecuted by an attorney and no domestic representative
has been appointed, the Office will send correspondence
directly to the applicant, registrant or party, unless the
applicant, registrant or party designates in writing
another correspondence address.
[41 FR 758,
Jan. 5 1976, as amended at 54 FR 37588, Sept. 11, 1989; 67
FR 79520, Dec. 30, 2002; 68 FR 55748, Sept. 26, 2003,
effective Nov. 2, 2003]
(a)
Authority to represent an applicant, registrant or a party
to a proceeding may be revoked at any stage in the
proceedings of a case upon written notification to the
Director; and when it is revoked, the Office will
communicate directly with the applicant, registrant or
party to the proceeding, or with the new attorney or
domestic representative if one has been appointed. The
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