US Trademark Examination.pdf

Table of Contents Chapter Page Foreword.............................................................................................................................................................Foreword-1 Introduction........................................................................................................................................................Introduction-1 Change Summary...............................................................................................................................................Change Summary-1 Instructions Page.................................................................................................................................................Instructions Page-1 100 General Information.....................................................................................................................................................................100-1 200 Application Filing Date................................................................................................................................................................200-1 300 Filing and Receipt of Documents.................................................................................................................................................300-1 400 Processing Documents and Fees...................................................................................................................................................400-1 500 Change of Ownership...................................................................................................................................................................500-1 600 Attorney, Representative, and Signature.......................................................................................................................................600-1 700 Procedure for Examining Applications.........................................................................................................................................700-1 800 Application Requirements............................................................................................................................................................800-1 900 Use in Commerce.........................................................................................................................................................................900-1 1000 Applications Under Section 44...................................................................................................................................................1000-1 1100 Intent-to-Use Applications and Requests to Divide...................................................................................................................1100-1 1200 Substantive Examination of Applications...................................................................................................................................1200-1 1300 Service Marks, Collective Marks, and Certification Marks.......................................................................................................1300-1 1400 Classification and Identification of Goods and Services............................................................................................................1400-1 1500 Post-Examination Procedures.....................................................................................................................................................1500-1 1600 Registration and Post Registration Procedures>........................................................................................................................1600-1 1700 Petitions, Requests for Reinstatement, and Other Matters Submitted to Director.....................................................................1700-1 1800 Public Inquiries About Applications and Registrations..............................................................................................................1800-1 1900 Madrid Protocol..........................................................................................................................................................................1900-1 Appendix A Examining Attorneys? Appeal Briefs..............................................................................................Appendix A-1 Appendix B Members of International Trademark Agreements.........................................................................Appendix B-1 Appendix C Notes of Other Statutes...................................................................................................................Appendix C-1 Appendix D Foreign Entity Appendix.................................................................................................................Appendix D-1 Appendix E Countries That Have Standard Character Marks or the Equivalent...............................................Appendix E-1 Subject Matter Subject Matter Index........................................................................................................Subject Matter Index-1 Index Rev. 1, January 2017 TRADEMARK MANUAL OF EXAMINING PROCEDURE (TMEP) UNITED STATES PATENT AND TRADEMARK OFFICE January 2017 Foreword The Trademark Manual of Examining Procedure (TMEP) may be downloaded free of charge from the United States Patent and Trademark Office (USPTO) website at http://www.uspto.gov/trademark/guides-and-manuals/tmep-archives. The Manual is published to provide trademark examining attorneys in the USPTO, trademark applicants, and attorneys and representatives for trademark applicants with a reference work on the practices and procedures relative to prosecution of applications to register marks in the USPTO. The Manual contains guidelines for Examining Attorneys and materials in the nature of information and interpretation, and outlines the procedures which Examining Attorneys are required or authorized to follow in the examination of trademark applications. Trademark Examining Attorneys will be governed by the applicable statutes, the Trademark Rules of Practice, decisions, and Orders and Notices issued by the Under Secretary of Commerce for Intellectual Property and Director of the United States Patent and Trademark Office, Commissioners, or Deputy Commissioners. Policies stated in this revision supersede any previous policies stated in prior editions, examination guides, or any other statement of Office policy, to the extent that there is any conflict. Suggestions for improving the form and content of the Manual are always welcome. They should be e-mailed to [email protected], or addressed to: Commissioner for Trademarks Attention: Editor, Trademark Manual of Examining Procedure P.O. Box 1451 Alexandria,Virginia 22313-1451 Catherine P. Cain Editor Mary Boney Denison Commissioner for Trademarks January 2017 INTRODUCTION Constitutional Basis The authority of Congress to provide for the registration of marks which are used in commerce stems from the power of Congress under the commerce clause of the Constitution of the United States to regulate commerce. Statutes Under its authority to regulate commerce, Congress has over the years passed a number of statutes providing for the registration of marks in the USPTO. The provisions of statutes cannot be changed or waived by the USPTO. The statute now in effect is Public Law 489, 79th Congress, approved July 5, 1946, 60 Stat. 427, commonly referred to as the Trademark Act of 1946 or the Lanham Act. The Trademark Act of 1946 (as amended) forms Chapter 22 of Title 15 of the United States Code. In referring to a particular section of the Trademark Act, this Manual often gives the citation of the United States Code, e.g., 15 U.S.C. §1051. The text of the current statutes can be downloaded from the USPTO website at http://www.uspto.gov. Rules of Practice Section 2 of Title 35 of the United States Code authorizes the Under Secretary of Commerce for Intellectual Property and Director of the United States Patent and Trademark Office to establish regulations, not inconsistent with law, for the conduct of proceedings in the USPTO. The rules which govern the practices and procedures in the USPTO as they relate to the registration of marks are set forth in Title 37 of the Code of Federal Regulations. The trademark rules are a part of the Code of Federal Regulations, which is a codification of Federal regulations under the provisions of The Federal Register Act of 1937 and The Administrative Procedure Act of 1946 and which is published pursuant to 44 U.S.C. §1510. Rules relating to patents, trademarks and copyrights are codified in Title 37 of the Code of Federal Regulations. The trademark rules constitute Part 2, the rules relating to assignments constitute Part 3, the classification of goods and services constitutes Part 6, the rules relating to filings under the Madrid Protocol constitute Part 7, and the rules relating to the representation of others before the USPTO constitute Parts 10 and 11. The text of the current rules is also available on the USPTO website at http://www.uspto.gov. In creating numbers for rules, the number of the appropriate Part in Title 37 of the Code of Federal Regulations is placed first, followed by a decimal point and then the number of the rule, so that, for example, Trademark Rule 2.56 is Rule 56 in Part 2 of Title 37 of the Code of Federal Regulations. In the Code of Federal Regulations itself, and in material published in the Federal Register, the rules are identified by the term "sections." Thus, section 2.56 in 37 C.F.R. (37 CFR §2.56) is Trademark Rule 2.56. Notices of proposed and final rulemaking are published in the Federal Register and in the Official Gazette of the USPTO, and posted on the USPTO website at http://www.uspto.gov/. The primary function of the rules of practice is to advise the public of the regulations that have been established in accordance with the statutes, which must be followed before the USPTO. 1 January 2017 TRADEMARK MANUAL OF EXAMINING PROCEDURE Director's Orders and Notices From time to time the Director of the United States Patent and Trademark Office issues Orders and Notices relating to various specific situations that have arisen in operating the USPTO. Notices, circulars of information, or instructions and examination guides have also been issued by other USPTO officials under authority of the Director. These Orders and Notices are published in the Official Gazette of the USPTO, and posted on the USPTO website at http://www.uspto.gov. See notice at 72 Fed. Reg. 72999 (Dec. 26, 2007). Decisions In addition to the statutory regulations, the actions taken by the examining attorneys in the examination of applications to register marks are to a great extent governed by decisions on prior cases. Applicants dissatisfied with an examining attorney's action may have it reviewed. In general, procedural matters may be reviewed by petition to the Director ( seeTMEP §1702) and substantive matters may be reviewed by appeal to the Trademark Trial and Appeal Board ( seeTMEP §1501). Trademark Manual of Examining Procedure The Trademark Manual of Examining Procedure sets forth the guidelines and procedures followed by the examining attorneys at the USPTO. The manual may be downloaded free of charge from the USPTO website at http://www.uspto.gov/. See notice at 67 Fed. Reg. 18176 (April 15, 2002) regarding the dissemination of the manual in electronic format. First Edition, January 1974 Revision 1, January 1976 Revision 2, January 1977 Revision 3, January 1978 Revision 4, January 1979 Revision 5, December 1982 Revision 6, December 1983 (Incorporating Exam Guide Nos. 1-83 to 31-83) Revision 7, January 1986 (Incorporating Office practice and relevant case law prior to January 1986; drawing rules amendment effective Sept. 22, 1986; letter of protest procedures effective April 23, 1986; Exam Guide Nos. 1-83 to 2-86) Second Edition, May 1993 (Incorporating Office practice and relevant case law reported prior to April 1993) Revision 1, April 1997 (Incorporating Office practice and relevant case law reported prior to March 31, 1997) Revision 1.1, August 1997 (Corrected errors in Rev. 1) Third Edition, January 2002, issued March 18, 2002 (Incorporating Office practice and relevant case law reported prior to Jan. 24, 2002) Revision 1, June 2002, issued June 24, 2002 (Incorporating Office practice and relevant case law reported prior to June 24, 2002) Revision 2, May 2003, issued May 1, 2003 (Incorporating Office practice and relevant case law reported prior to April 21, 2003) Fourth Edition, April 2005, issued April 29, 2005 (Incorporating Office practice and relevant case law reported prior to March 25, 2005) Fifth Edition, September 2007, issued Sept. 30, 2007 (Incorporating Office practice and relevant case law reported prior to August 11, 2007) Sixth Edition, September 2009, issued Oct. 12, 2009 (Incorporating Office practice and relevant case law reported prior to Sept. 1, 2009) January 2017 2 TRADEMARK MANUAL OF EXAMINING PROCEDURE Revision 1, October 2009, issued October 27, 2009 (Revising §§1202.02(c)(iii), 1206.03, and 1402.15) Revision 2, May 2010, issued May 21, 2010 (Incorporating amendments to 15 U.S.C. §§1058 and 1141k effective March 17, 2010 and signature, representation, and correspondence address rules amendments effective December 28, 2009; revising §§904.03(h), 904.03(i), 1109.15, 1109.15(a), and 1905) Seventh Edition, October 2010, issued Oct. 15, 2010 (Incorporating Office practice and relevant case law reported prior to Sept. 1, 2010) Eighth Edition, October 2011, issued Oct. 15, 2011 (Incorporating Office practice and relevant case law reported prior to Sept. 1, 2011) October 2012, issued Oct. 31, 2012 (Incorporating Office practice, amendments to the Trademark Rules, and relevant case law prior to Oct. 1, 2012) April 2013, issued April 30, 2013 (Incorporating Office practice and relevant case law reported prior to April 1, 2013) October 2013, issued Oct. 30, 2013 (Incorporating Office practice, amendments to the Trademark Rules, and relevant case law reported prior to Oct. 1, 2013) April 2014, issued April 30, 2014 (Incorporating Office practice and relevant case law reported prior to April 1, 2014) October 2014, issued Oct. 30, 2014 (Incorporating Office practice and relevant case law reported prior to Oct. 1, 2014) January 2015, issued Jan. 17, 2015 (Incorporating changes in accordance with final rules issued at 79 FR 63036, 79 FR 74633, and 80 FR 2303) July 2015, issued July 11, 2015 (Incorporating Office practice, changes in accordance with the final rule issued at 80 FR 33170, and relevant case law reported prior to July 1, 2015) October 2015, issued Oct. 30, 2015 (Incorporating Office practice and relevant case law reported prior to Oct. 1, 2015) April 2016, issued April 30, 2016 (Incorporating Office practice and relevant case law reported prior to April 1, 2016) October 2016, issued Oct. 30, 2016 (Incorporating Office practice and relevant case law reported prior to Oct. 1, 2016) January 2017, issued Jan. 14, 2017 (Incorporating Office practice, changes in accordance with final rules issued at 81 FR 69950, 81 FR 72694, 81 FR 76867, 81 FR 78042, and 81 FR 89382, and relevant case law reported prior to Jan. 1, 2017) Trademark Trial and Appeal Board Manual of Procedure References in this Manual to the Trademark Trial and Appeal Board Manual of Procedure (TBMP) refer to the June 2015 Revision, currently available on the USPTO website at http://tbmp.uspto.gov/RDMS/detail/manual/TBMP/current/tbmpd1e2.xml#/manual/TBMP/current/tbmpd1e2.xml. The TBMP sets forth guidelines and practices followed in proceedings held before the Trademark Trial and Appeal Board. 3 January 2017 CHANGES: INDEX TO CHANGES IN TMEP JANUARY 2017 Attention is directed to the following changes in the January 2017 TMEP. SECTION CHANGE TMEP Incorporated changes in accordance with final rules issued at 81 FR 69950, 81 FR 72694, 81 FR 76867, 81 FR 78042, and 81 FR 89382, and relevant precedential decisions reported prior to January 1, 2017. 103 Revised to indicate that documents in TTAB proceedings must be filed electronically. 202.03(a) Updated rule citations. 202.03(a)(i) Updated rule citation. 204.03 Clarified procedure when applicant responds, but does not include the required fee. 301 Revised to indicate that documents in TTAB proceedings must be filed electronically 303 Updated text of Rule 2.195. 306 Updated text extract of Rule 2.195. 306.01 Clarified examples of correspondence that may not be filed by fax. Updated rule citation. 405.02(a) Updated rule citation. 405.03 Updated text of Rule 2.208. 405.06 Updated rule citation. 503.04 Updated address of Assignment Recordation Branch and rule citation. 801.01(a) Updated TMEP cross reference. 807.09 Deleted paragraph regarding audio files. 816.04 Updated case citation. 818 Updated TMEP cross reference. 819 Updated TEAS Plus processing fee. 819.01(c) Deleted statements regarding waiving requirement for information pursuant to changes in TEAS Plus application. 820 Updated TEAS RF processing fee 901.03 Added case citation. 904.03(d) Deleted reference to TEAS filings. Added TMEP cross reference. 904.03(f) Updated to clarify that electronic files can be attached to all TEAS forms. 904.03(l) Updated to clarify that electronic files can be attached to all TEAS forms. Added TMEP cross reference. 907 Added case citation. Miscellaneous stylistic edits. 1104.01(b) Updated rule citation. 1104.10(b)(vii) Updated rule citation. 1108.02(c) Updated rule citation. 1109.15(a) Updated rule citations. 1202.03(f)(i) Added case citation. 1202.04 Added case citation and revised case citation. 1207.01(d)(iii) Added case citation. 1208.01(b) Revised procedure for determining priority for publication or issuance when conflicting applications have the same date of filing and execution. 1209.03(d) Updated case citation. 1210.02(b) Updated case citation. 1 January 2017 TRADEMARK MANUAL OF EXAMINING PROCEDURE SECTION CHANGE 1210.02(b)(i) Updated case citation. 1210.06 Updated case citation. 1210.06(b) Updated case citation. 1211.01 Added case citation. Deleted case citation. Miscellaneous stylistic edits. 1211.01(a) Added case citation. 1211.01(a)(v) Added case citation. Miscellaneous stylistic edit. 1211.01(a)(vi) Added case citation. 1211.01(b)(vi) Updated case citation. 1211.02(b)(i) Updated case citation. 1211.02(b)(iv) Added case citations. 1211.02(b)(v) Updated case citation. 1211.02(b)(vi) Added case citation. 1212.02(c) Miscellaneous stylistic edits. Updated case citation. 1301.02(f) Added case citation. 1301.04(e) Added case citation and clarification regarding ability of mark to serve as source indicator for services and not just for software. 1301.04(f) Added case citation. 1301.04(f)(ii) Added case citation. 1301.04(h)(iii) Added case citation. 1401.02(a) Updated to include revisions to class headings and explanatory notes pursuant to the 11th edition of the Nice Classification. 1401.05(a) Corrected class number in example. Miscellaneous stylistic edits. Added explanation and examples regarding hobby craft kits. 1401.05(b) Added example. 1401.05(c) Miscellaneous stylistic edit. 1401.05(e) Updated to include reference to Nice 11th edition. Revised TMEP cross reference. 1401.07 Miscellaneous stylistic edits. 1401.09 Moved and renumbered previous section 1401.12. 1401.10 Moved and renumbered previous section 1401.13. 1401.11 Renumbered previous section 1401.09. 1401.11(a) Renumbered previous section 1401.09(a). 1401.12 Renumbered previous section 1401.10. Updated TMEP cross references. 1401.12(a) Renumbered previous section 1401.10(a). Added TMEP cross reference. 1401.12(b) Renumbered previous section 1401.10(b). 1401.12(c) Renumbered previous section 1401.10(c). 1401.13 Renumbered previous section 1401.11. 1401.13(a) Renumbered previous section 1401.11(a). Miscellaneous stylistic edits. 1401.13(b) Renumbered previous section 1401.11(b). 1401.13(c) Renumbered previous section 1401.11(c). 1401.13(d) Renumbered previous section 1401.11(d). Miscellaneous stylistic edits. Updated to include information regarding Nice 11th edition. 1401.13(e) Renumbered previous section 1401.11(e). January 2017 2 SECTION CHANGE 1401.14 New section: General Summary of Major Changes in Practice Based on the 11th Edition of the Nice Agreement 1401.14(a) New section: Cosmetic and Toiletry Preparations 1401.14(b) New section: Household or Kitchen Serving Utensils and Small Hand-operated Kitchen Apparatus for Mincing, Grinding, Pressing, or Crushing 1401.14(c) New section: Dietetic Food and Beverages Adapted for Medical or Veterinary Use 1401.14(d) New section: Nut and Plant Milks; Milk Substitutes 1401.14(e) New section: Security Services in Class 42 and Class 45 1402.01 Clarified example. 1402.01(a) Miscellaneous stylistic edits. 1402.01(e) Clarified resources available to examining attorneys. 1402.03(a) Revised examples. 1402.03(d) Revised examples. 1402.03(e) Revised example. 1402.05(a) Reworded for clarity. 1402.05(b) Clarified procedure and added examples. 1402.06(a) Revised examples. 1402.06(b) Miscellaneous stylistic edit. 1402.07(a) Clarified procedure for §66(a) applications. 1402.07(b) Miscellaneous stylistic edit. 1402.07(c) Revised example. 1402.09 Minor stylistic edit. 1402.11 Minor stylistic edits. Updated TMEP cross reference. 1402.11(a)(ii) Minor stylistic edit. 1402.11(a)(iii) Minor stylistic edit. 1402.11(a)(iv) Revised example. 1402.11(a)(v) Clarified examples. 1402.11(a)(vi) Clarified example. Minor stylistic edit. 1402.11(a)(vii) Revised examples. 1402.11(a)(viii) Rewording for clarity. Revised example. 1402.11(a)(ix) Revised examples. 1402.11(a)(xi) Revised example. 1402.11(a)(xii) Minor stylistic edit. 1402.11(b) Updated TMEP cross reference. Minor stylistic edit. 1402.11(b) Updated TMEP cross reference. 1402.11(d) Clarified procedures for non-monetary charitable services. 1402.11(e) Minor stylistic edits. Updated TMEP cross reference. 1402.11(i) Updated TMEP cross reference. 1402.14 Updated TMEP cross reference. 1403.02(c) Minor stylistic edit. 1501 Updated to incorporate revisions to 37 C.F.R. §2.126. 1501.02(b) Updated to incorporate revisions to 37 C.F.R. §2.142. 1503.01 Updated TBMP cross reference. Updated to incorporate revisions to 37 C.F.R. §2.101. 3 January 2017 TRADEMARK MANUAL OF EXAMINING PROCEDURE SECTION CHANGE 1503.04 Updated TBMP cross reference. Updated to incorporate revisions to 37 C.F.R. §2.102. 1503.05 Updated to incorporate revisions to 37 C.F.R. §§2.101, 2.102, 2.104, and 2.107. 1504.05 Updated to incorporate revision to 37 C.F.R. §2.142. 1604.06(c) Updated rule citation. 1604.18(d) Updated to incorporate revision to 37 C.F.R. §2.145. 1604.19 Updated to incorporate revisions to 37 C.F.R. §2.6. 1605.05 Updated to incorporate revisions to 37 C.F.R. §2.6. 1606.05(c) Updated rule citation. 1606.14(d) Updated to incorporate revision to 37 C.F.R. §2.145. 1607 Added rule citation. Updated to incorporate revision to 37 C.F.R. §2.111. 1613.06(c) Updated rule citation. 1613.18(d) Updated to incorporate revision to 37 C.F.R. §2.145. 1613.19 Updated to incorporate revision to 37 C.F.R. §7.6. 1705.09 Updated to incorporate revision to 37 C.F.R. §2.145. 1904.04 Updated to incorporate revisions to 37 C.F.R. §§2.101 and 2.102. Appendix A Minor stylistic edits. Added rule citation. January 2017 4 TRADEMARK MANUAL OF EXAMINING PROCEDURE INSTRUCTIONS REGARDING TMEP January 2017 This January 2017 version replaces the October 2016 version. Chapter 100 General Information 101 Trademark Statute and Rules 102 United States Patent and Trademark Office Website 103 Trademark Forms 104 Trademark Searching 105 General Information Booklet Concerning Trademarks 106 The Official Gazette 107 Trademark Manuals 108 Status Inquiries 108.01 Internet Information 108.02 Personal Telephone Assistance 108.03 Due Diligence: Duty to Monitor Status 109 Access to Records 109.01 Electronic Image Records 109.02 Paper Files 109.03 Making Copies of Materials in Records 110 Decisions Available to the Public 111 Requests for Copies of Trademark Documents 112 Patent and Trademark Resource Centers 101 Trademark Statute and Rules The federal registration of trademarks is governed by the Trademark Act of 1946, 15 U.S.C. §§1051et seq. (also known as the Lanham Act), and 37 C.F.R. Parts 2, 3, 6, 7, 10, and 11. The text of the Act and rules can be accessed and downloaded from the United States Patent and Trademark Office (“USPTO”) website at http://www.uspto.gov/web/offices/tac/tmlaw2.pdf. 102 United States Patent and Trademark Office Website The USPTO website http://www.uspto.gov provides access to a wide variety of information about patents and trademarks, and offers electronic filing of trademark documents. The Trademark Electronic Business Center on the USPTO website contains all the information needed for the entire registration process. A customer may search the Trademark database for conflicting marks using the Trademark Electronic Search System (“TESS”), file applications and other trademark documents online using the Trademark Electronic Application System (“TEAS”), check the status of applications and registrations and view and print images of the contents of trademark application and registration records through the Trademark Status and Document Retrieval (“TSDR”) portal at http://tsdr.uspto.gov/. See TMEP §104 regarding TESS, TMEP §108.01 regarding TSDR, TMEP §109.01 regarding electronic image records, and TMEP §301 for further information about electronic filing. Trademark information available for downloading from the USPTO website includes the trademark statute and rules, Trademark Manual of Examining Procedure, Trademark Trial and Appeal Board Manual of Procedure, Acceptable Identification of Goods and Services Manual, Federal Register notices, Official Gazette notices, examination guides, and fee schedules. Certified or uncertified copies of trademark documents can also be purchased over the Internet. See TMEP §111 for further information. 100-1 January 2017 § 103 TRADEMARK MANUAL OF EXAMINING PROCEDURE 103 Trademark Forms Trademark documents can be filed electronically through TEAS, on the USPTO website at http://www.uspto.gov/trademarks/teas/index.jsp. See TMEP §301 regarding TEAS. Additional forms may be available online at http://www.uspto.gov/trademarks/teas/forms-index.jsp, or through the Trademark Assistance Center (“TAC”) ( seeTMEP §108.02). Requests for recordation of assignments and other documents affecting title to an application or registration can be filed through the Electronic Trademark Assignment System (“ETAS”) at http://etas.uspto.gov. The Electronic System for Trademark Trials and Appeals (“ESTTA”), at http://estta.uspto.gov/, must be used to file requests for extensions of time to oppose, notices of opposition, petitions to cancel, appeals, motions, briefs, notices of change of address, and other documents in Trademark Trial and Appeal Board (“Board”) proceedings. 104 Trademark Searching X-Search, the USPTO's computerized search system, contains text and images of registered marks, and marks in pending and abandoned applications. X-Search is used by examining attorneys when searching for conflicting marks during examination. The public may conduct searches free of charge using TESS, on the USPTO website at http://tmsearch.uspto.gov. Like X-Search, TESS provides access to text and images of registered marks and marks in pending and abandoned applications. Additional information, including current status, for pending trademark applications and registered trademarks can be obtained by entering the trademark serial number or registration number in the TSDR database. SeeTMEP §108.01. TESS and TSDR are available in Patent and Trademark Resource Centers (“PTRCs”) ( seeTMEP §112). The public may use the X-Search system and view the internal Trademark database without charge in the Public Search Facility, which is located on the first floor of the James Madison Building - East Wing, 600 Dulany Street, Alexandria, Virginia, and is open from 8:00 a.m. to 8:00 p.m. Eastern Time, Monday through Friday, except on Federal holidays within the District of Columbia. The Public Search Facility also contains copies of State emblems and official signs and hallmarks of member countries of the Paris Convention for the Protection of Industrial Property, which are protected under Article 6 ter of the Convention ( seeTMEP §1205.02). The Public Search Facility does not contain copies of the official insignia of state- and federally recognized Native American tribes. X-Search or TESS can be used to search for these insignia. If a mark includes a design element, it can be searched by using a design code. To locate the proper design code(s), the public can use the Design Search Code Manual on the USPTO website at http://tess2.uspto.gov/tmdb/dscm/index.htm. For some marks, the USPTO has added a pseudo mark to the search data to assist users in identifying relevant marks related to their search term. The “pseudo mark” field, which is not displayed, often contains spellings that are very similar or phonetically equivalent to the word mark. For example, if “4U” appears in the mark, the term "for you" would be added to the pseudo-mark field. This provides an additional search tool for locating marks that contain an alternative or intentionally corrupted spelling for a normal English word. Pseudo mark entries are not displayed or printed in the search results and are not part of the official application or registration. January 2017 100-2 GENERAL INFORMATION § 107 USPTO personnel cannot conduct trademark searches for the public. A private trademark attorney will obtain a search and provide an opinion on the availability of a proposed mark, for a fee, prior to filing a trademark application. To find the names of private attorneys who handle trademark matters, consult telephone listings or the attorney referral service of a state bar or local bar association (see American Bar Association Lawyer Referral Directory). The USPTO cannot aid in the selection of an attorney, nor can the Trademark Assistance Center provide any legal advice. See 37 C.F.R. §2.11. The public can search the trademark assignment records of the Assignment Recordation Branch on the USPTO website at http://assignments.uspto.gov/assignments. Assignment records can also be searched in the Public Search Facility. See TMEP §503.08 for further information about the accessibility of assignment records. 105 General Information Booklet Concerning Trademarks The booklet entitled Basic Facts About Trademarks contains information and instructions for registering a trademark or service mark. The booklet can be accessed or downloaded from the USPTO website at http://www.uspto.gov/, or may be obtained by calling TAC. See TMEP §108.02 regarding TAC. 106 The Official Gazette The Official Gazette (“ OG”), issued every Tuesday, is a publication of the USPTO, which is available free of charge on the USPTO website. Trademark Official Gazette (“ TMOG ”). The TMOG, posted at http://www.uspto.gov/news/og/tindex.jsp, contains an illustration of each mark published for opposition on the Principal Register, marks registered on the Principal Register under 15 U.S.C. §1051(d), and marks registered on the Supplemental Register on the date of the particular issue in which the marks appear. Effective July 15, 2003, the USPTO publishes the TMOG only in electronic form. See notice at 68 Fed. Reg. 37803 (June 25, 2003). USPTO Notices. The TMOG does not contain USPTO Notices. Such notices are posted separately in the general information section of the Official Gazette , at http://www.uspto.gov/news/og/index.jsp. This section includes such general information as notices of changes in rules or Office procedures for both patents and trademarks; notices to parties who cannot be reached by mail; and indices of trademark registrations issued, renewed, cancelled, amended, or corrected on the date of the particular issue in which the marks appear. Effective January 1, 2008, the USPTO discontinued the separate weekly publication of USPTO notices in paper form. See notice at 72 Fed. Reg. 72999 (Dec. 26, 2007). 107 Trademark Manuals The following manuals may be downloaded free of charge from the USPTO website at http://www.uspto.gov/trademarks/index.jsp: Trademark Manual of Examining Procedure (“TMEP”) Trademark Trial and Appeal Board Manual of Procedure (“TBMP”) Acceptable Identification of Goods and Services Manual 100-3 January 2017 § 108 TRADEMARK MANUAL OF EXAMINING PROCEDURE The TMEP may also be purchased from the Government Printing Office (“GPO”) at http://bookstore.gpo.gov/. GPO’s general information telephone numbers are (202) 512-1800 and (866) 512-1800. 108 Status Inquiries 108.01 Internet Information The TSDR database on the USPTO website at http://tsdr.uspto.gov/ provides detailed information about the status and prosecution history of trademark applications and registrations. The TSDR database is available 24 hours a day, 7 days a week. The TSDR database is normally updated shortly after our internal databases are updated. However, the TSDR database may not reflect changes in ownership that have been recorded in the Assignment Recordation Branch. There are circumstances in which the Trademark database will be updated automatically upon the recordation of a change of ownership. SeeTMEP §504. In all other cases, the new owner must separately notify the Trademark Operation in writing of the recordation of a document, and request that the Trademark database be updated manually. SeeTMEP §§503.01(a), 504.01, and 505-505.02. Information about documents recorded with the Assignment Recordation Branch can be viewed though Assignments on the Web (AOTW) at http://assignments.uspto.gov. See also TMEP §109.01 regarding public access to electronic images of the contents of trademark application and registration and Board proceeding records. 108.02 Personal Telephone Assistance If additional information regarding the status of an application or registration is required, callers may telephone TAC at (571) 272-9250 or (800) 786-9199 and request a status check. TAC also provides general information about the trademark registration process. Telephone assistance is available from 8:30 a.m. to 8:00 p.m., Eastern Time, Monday through Friday, except on Federal holidays within the District of Columbia. Walk-in service is available from 8:30 a.m. to 5:00 p.m. Eastern Time, Monday through Friday, except on Federal holidays within the District of Columbia. The Trademark Assistance Center will gladly answer questions about the application process. However, USPTO employees cannot: conduct trademark searches for the public ( seeTMEP §104); comment on the validity of registered marks ( seeTMEP §1801); answer questions as to whether a particular mark or type of mark is eligible for registration; offer legal advice or opinions about common-law trademark rights, state registrations, or trademark infringement claims; or aid in the selection of a private trademark attorney or search firm (37 C.F.R. §2.11). See TMEP Chapter 1800 regarding public inquiries about applications and registrations. January 2017 100-4 GENERAL INFORMATION § 109 108.03 Due Diligence: Duty to Monitor Status Trademark applicants and registrants should monitor the status of their applications or registrations in cases where a notice or action from the USPTO is expected. Inquiries regarding the status of pending matters should be made during the following time periods: (1) During the pendency of an application, an applicant should check the status of the application every six months between the filing date of the application and issuance of a registration; and (2) After filing an affidavit of use or excusable nonuse under §8 or §71 of the Trademark Act, or a renewal application under §9 of the Act, a registrant should check the status of the registration every six months until the registrant receives notice that the affidavit or renewal application has been accepted. Should the status inquiry reveal that a document is lost, that no action has been taken regarding correspondence that was submitted, or that some other problem exists, the applicant or registrant must promptly request corrective action. 37 C.F.R. §2.146(i). Failure to act diligently and follow up with appropriate action may result in denial of the requested relief. The USPTO may deny petitions to reactivate abandoned applications and cancelled registrations when a party fails to inquire about the status of a pending matter within a reasonable time. SeeTMEP §§1705.05 and 1714.01(d). Written status inquiries are discouraged, because they can delay processing. Whenever possible, status inquiries should be made through the TSDR database. If additional information regarding the status of an application or registration is required, callers may telephone TAC at (571) 272-9250 or (800) 786-9199. 109 Access to Records 18 U.S.C. §2071 Concealment, removal, or mutilation generally. (a) Whoever willfully and unlawfully conceals, removes, mutilates, obliterates, or destroys, or attempts to do so, or, with intent to do so takes and carries away any record, proceeding, map, book, paper, document, or other thing, filed or deposited with any clerk or officer of any court of the United States, or in any public office, or with any judicial or public officer of the United States, shall be fined under this title or imprisoned not more than three years, or both. (b) Whoever, having the custody of any such record, proceeding, map, book, document, paper, or other thing, willfully and unlawfully conceals, removes, mutilates, obliterates, falsifies, or destroys the same, shall be fined under this title or imprisoned not more than three years, or both; and shall forfeit his office and be disqualified from holding any office under the United States. As used in this subsection, the term “office” does not include the office held by any person as a retired officer of the Armed Forces of the United States. 37 CFR §2.27(b) Except as provided in paragraph (e) of this section, access to the file of a particular pending application will be permitted prior to publication under §2.80 upon written request. 37 CFR §2.27(d) Except as provided in paragraph (e) of this section, the official records of applications and all proceedings relating thereto are available for public inspection and copies of the documents may be furnished upon payment of the fee required by § 2.6. 37 CFR §2.27(e) 100-5 January 2017 § 109.01 TRADEMARK MANUAL OF EXAMINING PROCEDURE Anything ordered to be filed under seal pursuant to a protective order issued or made by any court or by the Trademark Trial and Appeal Board in any proceeding involving an application or registration shall be kept confidential and shall not be made available for public inspection or copying unless otherwise ordered by the court or the Board, or unless the party protected by the order voluntarily discloses the matter subject thereto. When possible, only confidential portions of filings with the Board shall be filed under seal. In order to inspect the contents of a trademark application or registration record, it is not necessary to show good cause or to have a power to inspect from the applicant or registrant. 109.01 Electronic Image Records The public may view and print images of the contents of trademark application and registration records through the TSDR portal on the USPTO website at http://tsdr.uspto.gov/. Electronic images of Board proceeding records are also available on the USPTO website at http://ttabvue.uspto.gov/ttabvue/. TSDR and TTABVUE are available 24 hours a day, seven days a week, free of charge. The public may also view and print images of the contents of trademark application and registration records through the Trademark Image Capture and Retrieval System (“TICRS”), available in the Public Search Facility on the USPTO premises. SeeTMEP §402. 109.02 Paper Files Effective April 12, 2004, the USPTO no longer creates paper files for all trademark applications or paper copies of certain trademark-related documents that are submitted to the USPTO in electronic format. Furthermore, the USPTO does not generate paper copies of certain trademark documents that the USPTO creates, except for copies that are sent to recipients by mail. See New USPTO Policies Regarding (1) Generation of Paper Copies of Trademark-Related Documents and (2) Public Access to Existing Paper Copies of Trademark-Related Documents (TMOG Apr. 6, 2004), at http://www.uspto.gov/web/offices/com/sol/og/2004/week14/pattmcp.htm. All these documents can be viewed through TICRS and TSDR. A member of the public may request access to a paper file at the Trademark Assistance Center (TAC), which is located in the James Madison Building - East Wing, Concourse Level, 600 Dulany Street, Alexandria, VA, between 8:30 a.m. and 5:00 p.m. The file will usually be available to the requester within a few days. USPTO personnel must keep a record of all files requested and enter the new location of the file (e.g., charged to non-USPTO personnel) in the Trademark database. The public must inspect the file in the TAC and may make copies of documents in the file in the TAC. No file or related document may be removed from the premises occupied by the USPTO, except as required by the issue process or other official process, unless specifically authorized by the Director. 18 U.S.C. §2071(b). If such authorization is given, the employee having custody will be responsible for complying with the requirements of law. Paper files for abandoned applications and cancelled and expired registrations are stored in the warehouse for two years after the date of abandonment, cancellation, or expiration, and then destroyed. See notice at 980 TMOG 16, reprinted at 1232 TMOG 625 (March 21, 2000). See TBMP §120.03 regarding the retention schedule for the files of terminated Board proceedings. See TMEP §503.08 regarding the accessibility of assignment records. January 2017 100-6 GENERAL INFORMATION § 111 109.03 Making Copies of Materials in Records The public may print images of the contents of trademark application, registration, and Board proceeding records through TSDR or TTABVUE on the USPTO website at http://www.uspto.gov. SeeTMEP §109.01. The public can also print electronic copies of records pertaining to applications or registrations through TESS ( seeTMEP §104), and prosecution histories through TSDR ( seeTMEP §108.01) on the USPTO website. There is no charge for use of these databases. The public may also print trademark documents from TICRS, TTABVUE, TSDR, or X-Search in the Public Search Facility on the USPTO premises. There is a fee for printing images of documents in the Public Search Facility. SeeTMEP §104. Photocopiers for making copies of paper files are available to the public on the premises of the USPTO for a fee. See TMEP §111 regarding requests that the USPTO provide copies of trademark documents. 110 Decisions Available to the Public 37 CFR §2.27(c) Decisions of the Director and the Trademark Trial and Appeal Board in applications and proceedings relating thereto are published or available for inspection or publication. Precedential decisions of the Director and the Board are noted as such and published in the United States Patents Quarterly (cited as USPQ or USPQ2d), which is a periodical reporting service of a non-governmental publishing company. The USPTO does not print these decisions in its own publications. Non-precedential decisions of the Director and the Board are not published. Both precedential and non-precedential decisions are available for viewing, downloading, and printing via TTABVUE. A weekly summary of final decisions issued by the Board appears on the USPTO website at http://www.uspto.gov and in each issue of the Official Gazette. See TMEP §1803 regarding decisions that are available under the Freedom of Information Act. 111 Requests for Copies of Trademark Documents The public may print images of the contents of trademark application, registration, and Board proceeding records through TSDR or TTABVUE on the USPTO website at http://www.uspto.gov. See TMEP §109.01. The public can also print electronic copies of records pertaining to applications or registrations through TESS ( seeTMEP §104), and prosecution histories through TSDR ( seeTMEP §108.01) on the USPTO website. There is no charge for use of these databases. The public may purchase certified or uncertified copies of trademark documents (e.g., application or registration records, trademark title and status reports, etc.). Fee schedules are posted on the USPTO website. Requests for copies of trademark documents are handled by the Document Services Branch of the Public Records Division of the USPTO. 100-7 January 2017 § 112 TRADEMARK MANUAL OF EXAMINING PROCEDURE Copies of trademark documents can be ordered through the USPTO website at http://ebiz1.uspto.gov/oems25p/index.html, for delivery by the United States Postal Service. The fee must be paid by credit card, EFT, or deposit account authorization. Requests for copies of trademark documents may also be e-mailed to [email protected], with an authorization to charge the fee to a credit card or deposit account. Requests for certified or uncertified copies of trademark documents may be mailed to: Mail Stop Document Services, Director of the United States Patent and Trademark Office, P. O. Box 1450, Alexandria VA 22313-1450. 37 C.F.R. §2.190(d). 112 Patent and Trademark Resource Centers There is a network of PTRCs throughout the United States that provides access to many of the same products and services offered at the USPTO. A list of the PTRCs and their telephone numbers appears on the USPTO website at http://www.uspto.gov and in each issue of the Official Gazette. Information available free of charge at the PTRCs includes the text of the trademark statute and rules ( seeTMEP §101); the Trademark Manual of Examining Procedure; Trademark Trial and Appeal Board Manual of Procedure; Acceptable Identification of Goods and Services Manual; and the Trademark Electronic Search System. Photocopiers are generally provided for a fee. The scope of PTRC collections, hours of operation, services, and fees (where applicable) may vary from one center to another. January 2017 100-8 Chapter 200 Application Filing Date 201 What Constitutes Filing Date 201.01 Effective Filing Date Controls for Purposes of Determining Priority for Publication or Issue 201.02 Constructive Use Priority 202 Requirements for Receiving a Filing Date 202.01 Clear Drawing of the Mark 202.02 Listing of Recognizable Goods or Services 202.03 Filing Fee for At Least One Class of Goods or Services 202.03(a) Fee Payment Refused or Charged Back By Financial Institution 202.03(a)(i) Processing Fee for Payment Refused or Charged Back By Financial Institution 203 Review for Compliance With Minimum Requirements 204 Defective or Informal Applications 204.01 Filing Date Cancelled if Minimum Filing Requirements not Met 204.02 Resubmission of Applications 204.03 Examining Attorney’s Handling of Applications That Are Erroneously Accorded a Filing Date 205 Filing Date Is Not Normally Changed 206 Effective Filing Date 206.01 Amendment of §1(b) Application from Principal Register to Supplemental Register upon Filing of Allegation of Use 206.02 Application Claiming Priority under §44(d) or §67 206.03 Applications Filed Before November 16, 1989, That Are Amended to the Supplemental Register on or After November 16, 1989 206.04 Examining Attorney’s Action After Conducting New Search When the Effective Filing Date Changes to a Later Date 201 What Constitutes Filing Date In an application under §1 or §44 of the Trademark Act, 15 U.S.C. §1051 or §1126, the filing date of an application is the date on which all the elements set forth in 37 C.F.R. §2.21(a) ( seeTMEP §202) are received in the United States Patent and Trademark Office (“USPTO”). In a request for an extension of protection of an international registration to the United States under §66(a) of the Trademark Act, 15 U.S.C. §1141f(a), the filing date is: (1) the international registration date, if the request for extension of protection to the United States is made in an international application; or (2) the date that the subsequent designation was recorded by the International Bureau of the World Intellectual Property Organization (“IB”), if the request for extension of protection to the United States is made in a subsequent designation. 15 U.S.C. §1141f(b); 37 C.F.R. §7.26. See TMEP §§1904 et seq. for further information about §66(a) applications. Granting a filing date to an application does not necessarily mean that all requirements for registration have been satisfied. It is possible that registration could be refused on a substantive ground. See TMEP §818 for a list of potential grounds of refusal. If registration is not refused on any substantive basis (or if the applicant overcomes any substantive refusals), the applicant must comply with any procedural requirements issued by the examining attorney during examination, in accordance with applicable rules and statutes, in order to obtain a registration. 200-1 January 2017 § 201.01 TRADEMARK MANUAL OF EXAMINING PROCEDURE 201.01 Effective Filing Date Controls for Purposes of Determining Priority for Publication or Issue The filing date of an application ( seeTMEP §201) is also the effective filing date, exceptwhere: (1) the applicant is entitled to priority under 15 U.S.C. §1126(d) or §1141g ( seeTMEP §206.02); (2) the applicant amends an intent-to-use application filed under 15 U.S.C. §1051(b) to the Supplemental Register ( seeTMEP §206.01); or (3) the application was filed before November 16, 1989, the applicant had not used the mark in commerce for one year before the application filing date, and the applicant amends to the Supplemental Register on or after November 16, 1989 ( seeTMEP §206.03). The effective filing date is controlling for purposes of determining priority for publication or issue ( seeTMEP §1208.01) and constructive use priority ( seeTMEP §201.02). 201.02 Constructive Use Priority Under 15 U.S.C. §§1057(c) and 1141f(b), filing any application for registration on the Principal Register, including an intent-to-use application, constitutes constructive use of the mark, provided the application matures into a registration. SeeCent. Garden & Pet Co. v. Doskocil Mfg. Co., 108 USPQ2d 1134 (TTAB 2013). Upon registration, filing affords the applicant nationwide priority over others, except: (1) parties who used the mark before the applicant’s filing date; (2) parties who filed in the USPTO before the applicant; or (3) parties who are entitled to an earlier priority filing date based on the filing of a foreign application under 15 U.S.C. §1126(d) or §1141g (see TMEP §206.02). SeeZirco Corp. v. Am. Tel. and Tel. Co., 21 USPQ2d 1542 (TTAB 1991) ; Aktieselskabet AF 21. November 2001 v. Fame Jeans Inc., 525 F.3d 8, 86 USPQ2d 1527 (D.C. Cir. 2008). 202 Requirements for Receiving a Filing Date Under 37 C.F.R. §2.21(a), the USPTO will grant a filing date to an application under §1 or §44 of the Trademark Act that is in the English language and contains all of the following: (1) The name of the applicant; (2) A name and address for correspondence; (3) A clear drawing of the mark; (4) A listing of the goods or services; and (5) The filing fee for at least one class of goods or services. The filing date requirements apply to both the Principal and the Supplemental Register. Kraft Group LLC v. Harpole, 90 USPQ2d 1837 (TTAB 2009) (use in commerce is not required for receipt of a filing date for an application requesting registration on the Supplemental Register). If an application does not satisfy all the above requirements, it will not be given a filing date. The USPTO will notify the applicant of the reason(s) why the application was not given a filing date, and refund the application filing fee. The applicant must provide a physical address to which paper correspondence can be mailed in order to receive a filing date. An e-mail address and authorization to send communications by e-mail cannot be substituted for a physical address. A post office box is acceptable. January 2017 200-2 APPLICATION FILING DATE § 202.01 Applications that do not meet the minimum requirements for receipt of a filing date are referred to as “informal.” See TMEP §203 regarding review for compliance with minimum filing requirements, and TMEP §§204 et seq. for information about how the USPTO handles informal applications. In an application under §66(a) of the Trademark Act, 15 U.S.C. §1141f(a) (i.e., a request for extension of protection of an international registration to the United States), compliance with the minimum filing requirements of §66(a) of the Act will be determined by the IB prior to sending the application to the USPTO. See TMEP §§ 1904 et seq. for further information about §66(a) applications. 202.01 Clear Drawing of the Mark In a §66(a) application, the drawing must meet the requirements of the Madrid Protocol and the Common Regulations Under the Madrid Agreement Concerning the International Registration of Marks and the Protocol Relating to That Agreement , which are available on the IB’s website at http://www.wipo.int/madrid/en/. The IB will determine whether the drawing meets these requirements before sending the application to the USPTO. See TMEP §§1904 et seq. for further information about §66(a) applications. Under 37 C.F.R. §2.21(a)(3), a §1 or §44 applicant must submit “a clear drawing of the mark” to receive a filing date, except in applications for registration of sound, scent, and other non-visual marks. A separate drawing page (or digital image of a separate drawing page in an application filed through the Trademark Electronic Application System (“TEAS”)) is not mandatory, but is encouraged. See TMEP §807.09 regarding “drawings” in applications for registration of non-visual marks. A "drawing" is simply a depiction of the mark for which registration is sought. 37 C.F.R. §2.52. A drawing that includes multiple elements that do not comprise an identifiable mark, or that consists of wording describing the mark, does not constitute a clear drawing of the mark. An application that includes two or more drawings displaying materially different marks does not meet the requirement for a “clear drawing of the mark.” Therefore, an application is denied a filing date if it includes two or more drawings displaying materially different marks. See Humanoids Group v. Rogan, 375 F.3d 301, 71 USPQ2d 1745 (4th Cir. 2004). However, if an applicant (1) submits a separate drawing page showing a mark in a paper application, (2) enters a standard character mark in the “Mark Information” field of an application filed through TEAS, or (3) attaches a.jpg file containing a mark to the “Mark Information” field of a TEAS application, and a different mark appears elsewhere in the application, the drawing page or mark shown in the “Mark Information” field on TEAS will control for purposes of determining the nature and elements of the mark. The USPTO will grant a filing date to the application, and disregard any other mark that appears elsewhere in the application. The applicant will not be permitted to amend the mark if the amendment is a material alteration of the mark on the drawing page in a paper application or the “Mark Information” field in a TEAS application. In re L.G. Lavorazioni Grafite S.r.l. , 61 USPQ2d 1063 (Dir USPTO 2001). See 37 C.F.R. §2.72 and TMEP §§807.14 et seq. regarding material alteration of a mark. A specimen showing the mark does not satisfy the requirement for a drawing. If the only depiction of the mark is on a specimen ( e.g., an advertisement, a photograph of the goods, or the overall packaging), then there is no drawing, and the application will be denied a filing date. See TMEP §§807 et seq. for additional information about the examination of drawings. 200-3 January 2017 § 202.02 TRADEMARK MANUAL OF EXAMINING PROCEDURE See also TMEP §204.03 regarding the examining attorney’s handling of applications that are erroneously granted a filing date. 202.02 Listing of Recognizable Goods or Services The USPTO will deny a filing date to an application under §1 or §44 of the Trademark Act if the application does not identify recognizable goods or services. See TMEP §1402.02 for further information. 202.03 Filing Fee for At Least One Class of Goods or Services In an application under §1 or §44 of the Trademark Act, the applicant must pay the filing fee for at least one class of goods or services before an application can be given a filing date. 37 C.F.R. §2.21(a)(5). The fee can be paid by credit card, check, money order, electronic funds transfer (“EFT”), or by an authorization to charge a deposit account. 37 C.F.R. §2.207. See TMEP §§405 et seq. for additional information about fees. The amount of the trademark application filing fee varies depending on whether the application is filed through TEAS or on paper. An applicant has four choices. The applicant can file: A paper application at the highest fee per class, set forth in 37 C.F.R. §2.6(a)(1)(i); A regular TEAS application at the lower fee per class set forth in 37 C.F.R. §2.6(a)(1)(ii); A TEAS RF application ( see TMEP §820) at the lower fee per class set forth in 37 C.F.R. §2.6(a)(1)(iii); or A TEAS Plus application ( see TMEP §819et seq. ) at the lowest fee per class, set forth in 37 C.F.R. §2.6(a)(1)(iv). See TMEP §§819et seq. regarding TEAS Plus. See also notices at 70 Fed. Reg. 2952 (Jan. 19, 2005) and 70 Fed. Reg. 38768 (July 6, 2005). The current fee schedule is available on the USPTO website at http://www.uspto.gov. The complete fee for at least a single class must be submitted with the application as filed. Partial or piecemeal fee payments are unacceptable and will be returned. If an application does not include a filing fee for at least a single class, the USPTO will deny a filing date. In re Buckhead Marketing & Distribution, Inc., 71 USPQ2d 1620 (Dir USPTO 2004); In re Paulsen, 35 USPQ2d 1638 (Comm’r Pats. 1995). If a filing date has been granted when the USPTO discovers that the applicant has not paid the filing fee for at least a single class, the filing date will be cancelled. SeeTMEP §204.01. See TMEP §§202.03(a) and 405.06 regarding payments that are refused or charged back by financial institutions, and TMEP §405.03 regarding deposit accounts. The filing fee for a §66(a) application will be sent to the USPTO by the IB, pursuant to Article 8 of the Madrid Protocol. Generally, the examining attorney should not require additional fees during examination, except where the application is divided due to a change in ownership with respect to some but not all of the goods/services. See TMEP §810 for further information about application filing fees, and TMEP §§ 1904 et seq. for further information about §66(a) applications. January 2017 200-4 APPLICATION FILING DATE § 203 202.03(a) Fee Payment Refused or Charged Back By Financial Institution Where a check submitted as payment of an application filing fee is returned to the USPTO unpaid, or an EFT or credit card payment is refused or charged back by a financial institution, the application is treated as though the fee had never been paid. If the original application was accompanied by an authorization to charge fee deficiencies to a deposit account (37 C.F.R. §2.208), then the application filing fee and the processing fee required by 37 C.F.R §2.6(b)(10) (seeTMEP §§202.03(a)(i) and 405.06) are charged to the deposit account, and the original filing date remains unchanged. However, if the original application was not accompanied by an authorization to charge deficient fees to a deposit account that has sufficient funds to cover the fee, and the applicant has not paid the filing fee for at least one class of goods or services, the filing date is void and will be cancelled. In re Paulsen, 35 USPQ2d 1638 (Comm’r Pats. 1995). In some cases, the applicant will have resubmitted the fee before the USPTO discovers that the payment was refused. In these cases, the USPTO will change the filing date to the date when the fee for a single class of goods or services was resubmitted. In a multiple-class application, if the fee for at least a single class has been paid, but the payment of the filing fee for additional class(es) is refused, the filing date of the application is not affected. The applicant must: (1) resubmit the fee for the additional class(es), or delete the additional class(es); and (2) pay the processing fee required by 37 C.F.R §2.6(b)(10). The applicant must pay the processing fee even if the applicant chooses to delete the additional class(es). See TMEP §§202.03(a)(i) and 405.06 regarding payments refused by financial institutions, and TMEP §204.03 regarding the examining attorney’s handling of applications that are erroneously granted a filing date. 202.03(a)(i) Processing Fee for Payment Refused or Charged Back By Financial Institution There is a fee for processing any payment refused (including a check returned unpaid) or charged back by a financial institution. 37 C.F.R §2.6(b)(10). SeeTMEP §405.06. However, this is not a filing date requirement. If an applicant resubmits the filing fee without paying the processing fee, the USPTO will give the application a filing date as of the date of resubmission, and the examining attorney will require submission of the processing fee during examination. 203 Review for Compliance With Minimum Requirements In applications under §66(a) of the Trademark Act, 15 U.S.C. §1141f(a), the IB will determine whether the application complies with §66(a) prior to sending the request for extension of protection of an international registration to the USPTO. See TMEP §§1904 et seq. for further information about §66(a) applications. Applications under §1 or §44 of the Act are given a receipt date ( see TMEP §303.01) and then reviewed for compliance with the minimum requirements for granting a filing date ( see 37 C.F.R. §2.21(a) and TMEP §202 for a list of these requirements). 200-5 January 2017 § 204 TRADEMARK MANUAL OF EXAMINING PROCEDURE If the minimum requirements of 37 C.F.R. §2.21 have been met, the USPTO assigns a filing date as of the date of receipt in the USPTO. See TMEP §§401 et seq. regarding the processing of new applications that meet the minimum requirements for receipt of a filing date, and TMEP §§204 et seq. regarding the processing of applications that do not meet these minimum requirements. The minimum requirements for receipt of a filing date under 37 C.F.R. §2.21(a) apply to all applications under §§1 and 44 of the Act, whether filed electronically or on paper. When an application is filed electronically, the TEAS system will not accept the transmission if the fields corresponding to the minimum filing requirements are not filled in. However, if the fields are filled in with incomplete or inappropriate information, the TEAS system will accept the transmission, but the USPTO will deny the application a filing date upon review for compliance with minimum filing requirements. For example, if the services were identified as “miscellaneous services,” TEAS would accept the transmission, but the USPTO would not give the application a filing date ( seeTMEP §§202.02 and 1402.02). 204 Defective or Informal Applications If an application under §1 or §44 of the Trademark Act does not meet the minimum requirements for receipt of a filing date set forth in 37 C.F.R. §2.21(a) (see TMEP §202), the application is void. These applications are also referred to as “incomplete” or “informal.” 204.01 Filing Date Cancelled if Minimum Filing Requirements not Met Applications under §1 or §44 of the Trademark Act are initially assigned a filing date and serial number and then reviewed for compliance with the minimum requirements for receipt of a filing date set forth in 37 C.F.R. §2.21(a). If the minimum filing requirements have not been met, the USPTO cancels the filing date and serial number, refunds any filing fee submitted, and sends a notice to the applicant explaining why the application is defective. See TMEP §204.02 regarding the procedures for requesting review of the denial of a filing date by the Office of the Deputy Commissioner for Trademark Examination Policy. 204.02 Resubmission of Applications The USPTO prefers that all applications be filed through TEAS. However, if the USPTO denies a filing date in a paper application, the applicant may resubmit the original papers or a copy of the original papers, together with the item(s) necessary to correct the defect(s), and a new filing fee. The applicant should cross off the cancelled serial number. A filing fee for at least a single class of goods or services must be included when the applicant resubmits an application, even if the applicant has not yet received a refund of the fee previously submitted. The new filing date will be the date on which a complete application, including all elements required by 37 C.F.R. §2.21(a),is received in the USPTO. Note that applications claiming priority under §44(d) of the Trademark Act must meet all filing date requirements within six months of the filing date of the foreign application. 37 C.F.R. §2.34(a)(4)(i); TMEP §§806.01(c) and 1003.02. If an applicant believes that the USPTO committed an error in denying the application a filing date, the applicant may submit a request to restore the filing date. See TMEP §1711. The USPTO prefers that the applicant file a new application, including the required application filing fee, using TEAS, located at http://www.uspto.gov. After the applicant receives a new serial number, the applicant should submit a January 2017 200-6 APPLICATION FILING DATE § 205 request to restore the original filing date. To ensure proper routing and processing, the Office prefers that the request also be filed electronically. In TEAS, the Request to Restore Filing Date form can be accessed by clicking on the link entitled “Petition Forms.” Alternatively, the request should be faxed to the Office of the Deputy Commissioner for Trademark Examination Policy at 571-273-8950. The request should: (1) include the new serial number; (2) state the reason(s) why the applicant believes the filing date was denied in error; and (3) include a copy of any Notice of Incomplete Trademark Application received from the USPTO. Although applicants have two (2) months from the issuance date of a Notice of Incomplete Trademark Application to file a request to restore the original filing date (37 C.F.R. §2.146(d)), it is recommended that the applicant file the request immediately upon receipt of the new serial number, to expedite processing. 204.03 Examining Attorney’s Handling of Applications That Are Erroneously Accorded a Filing Date Sometimes an application under §1 or §44 that does not meet the minimum requirements of 37 C.F.R. §2.21 for receipt of a filing date is erroneously referred to an examining attorney for examination. In this situation, if the examining attorney discovers the error before issuing an action in the case, then the examining attorney should have the application declared informal. The USPTO will cancel the filing date and serial number, refund any filing fee submitted, and send a notice to the applicant explaining why the application is defective. SeeTMEP §204.01. If, however, an examining attorney discovers after issuing an action that the application as filed did not meet the minimum requirements for receipt of a filing date, then the examining attorney must issue a supplemental Office action, refusing registration on the ground that the application was not eligible to receive a filing date. Any outstanding refusals and requirements must be maintained and incorporated into the supplemental Office action. The applicant should be given six months to comply with all filing date requirements. If the applicant fails to qualify for a filing date within the response period, the application is void. If a filing fee was submitted with the original application, the examining attorney must have the filing fee refunded and update the USPTO’s automated records to indicate that the application is abandoned. If the applicant complies with the filing date requirements within six months of the issuance of the examining attorney’s Office action, the application will receive a new filing date as of the date on which the applicant satisfied all minimum filing date requirements. In such a case, the examining attorney must conduct a new search of Office records for conflicting marks, and issue another Office action if necessary. The examining attorney must treat a response that addresses any outstanding refusals and requirements, but does not include the required fee, as an incomplete response, and must issue a notice of incomplete response granting the applicant 30 days, or to the end of the six-month response period set forth in the previous Office action, whichever is longer, to perfect the response. To issue a notice of incomplete response, the examining attorney must use the "Examiner’s Non-Responsive Amendment." The notice must not include a six-month response clause. If the applicant does not respond by submitting the filing fee, the application must be abandoned for incomplete response. 205 Filing Date Is Not Normally Changed After an application has been given a filing date, the USPTO will normally not vacate the filing date or physically alter the designation of the original filing date in the Trademark database, except where the 200-7 January 2017 § 206 TRADEMARK MANUAL OF EXAMINING PROCEDURE application as originally filed was erroneously accorded a filing date ( seeTMEP §204.03) or where the Office grants restoration of a filing date ( see TMEP §§ 204.02 and 1711). In an application under §1 or §44 of the Trademark Act, if the application met the minimum requirements for receipt of a filing date ( seeTMEP §202) when originally filed, but during examination it is discovered that the applicant did not have a right to apply on the assigned filing date (e.g., because the applicant did not own the mark), the application is void, because a valid application was not created. SeeTMEP §§803.06 and 1201.02(b). The USPTO will not refund the filing fee in such a case. If, subsequent to the assigned filing date, the applicant became eligible to apply, the applicant may file a new application (including a filing fee). 206 Effective Filing Date The filing date of an application ( seeTMEP §201) is also the effective filing date, except in the situations described in the subsections below. In these situations, the USPTO does not alter the original filing date in its automated records. 206.01 Amendment of §1(b) Application from Principal Register to Supplemental Register upon Filing of Allegation of Use An applicant relying on a bona fide intention to use the mark in commerce under 15 U.S.C. §1051(b) is not eligible for registration on the Supplemental Register until the applicant has submitted an acceptable amendment to allege use under 15 U.S.C. §1051(c) or statement of use under 15 U.S.C. §1051(d). 37 C.F.R. §§2.47(d) and 2.75(b). If an application is based solely on §1(b), and the applicant files an acceptable amendment to allege use or statement of use and an acceptable amendment to the Supplemental Register, the USPTO will consider the filing date of the amendment to allege use or statement of use to be the effective filing date of the application. 37 C.F.R. §2.75(b). The examining attorney must conduct a new search of USPTO records for conflicting marks. See TMEP §206.04 regarding examining attorney's action after conducting a new search. Amendment of an application from the Supplemental to the Principal Register does not change the effective filing date of an application. Kraft Group LLC v. Harpole, 90 USPQ2d 1837 (TTAB 2009) (filing date did not change when applicant who originally sought registration on the Supplemental Register without alleging use in commerce amended to seek registration on the Principal Register under §1(b)). See TMEP §§816.02 and 1102.03 for additional information about examination of intent-to-use applications on the Supplemental Register. 206.02 Application Claiming Priority under §44(d) or §67 When an applicant is entitled to priority based on a foreign application, the effective filing date is the date on which the foreign application was first filed in the foreign country. 15 U.S.C. §§1126(d)(1) and 1141g; 37 C.F.R. §§2.34(a)(4)(i) and 7.27(c); TMEP §§1003.02 and 1904.01(e). In an application under §44(d) of the Trademark Act, the priority claim for the United States application must be filed within six months after the filing date of the foreign application. The applicant may submit a priority claim after the filing date of the United States application if: (1) the applicant submits the priority January 2017 200-8 APPLICATION FILING DATE § 206.04 claim within the six-month priority period (37 C.F.R. §2.35(b)(5)); and (2) the applicant was entitled to priority on the filing date of the United States application. In an application under §66(a) of the Act, the priority claim must be submitted with the international application or subsequent designation filed with the IB within six months after the filing date of the foreign application. The priority claim will be part of the request for extension of protection sent to the USPTO by the IB. In some situations, however, the USPTO may receive a priority claim or a corrected priority claim after receipt of the §66(a) application via a notice of correction from the IB. If the priority date is included in the original §44(d) or §66(a) application, the examining attorney must determine, while conducting a search of USPTO records for conflicting marks, whether there are any applications for conflicting marks that would be deemed later filed. The examining attorney must also notify the examining attorney assigned to any later-filed application so that the application may be suspended pending disposition of the §44(d) or §66(a) application with the earlier effective filing date. If the priority claim in a §44(d) or §66(a) application is submitted after the examining attorney has conducted a search of USPTO records for conflicting marks, the examining attorney must conduct a new search to determine whether, in view of the new earlier effective filing date, there are any applications for conflicting marks that would now be deemed later filed. The examining attorney must also notify the examining attorney assigned to any now later-filed application so that the application may be suspended pending disposition of the application with the earlier effective filing date. See TMEP §1003.05 regarding the procedures when an application filed after a §44(d) application’s priority date proceeds to publication or registration because the §44(d) application was not yet filed with the USPTO when the examining attorney searched for conflicting marks. See TMEP §1904.01(e) regarding the procedures when an application filed after a §66(a) application’s priority date proceeds to publication or registration because the request for extension of protection for the §66(a) application was not yet of record with the USPTO when the examining attorney searched for conflicting marks. 206.03 Applications Filed Before November 16, 1989, That Are Amended to the Supplemental Register on or After November 16, 1989 In an application filed before November 16, 1989, the date of the amendment to the Supplemental Register becomes the effective filing date of the application if: (1) the applicant had not used the mark in commerce for one year before the application filing date; and (2) the applicant amends to the Supplemental Register on or after November 16, 1989. SeeTMEP §816.02. 206.04 Examining Attorney’s Action After Conducting New Search When the Effective Filing Date Changes to a Later Date When the effective filing date changes to a later date, the examining attorney must conduct a new search of USPTO records for conflicting marks. If the search shows that because of the new, later effective filing date, there is a later-filed conflicting application that now has an earlier filing date, the examining attorney must suspend action of the subject application pending disposition of the other application, if the application is otherwise in condition for suspension. In addition, the examining attorney must notify the examining attorney assigned to the other application of the change in the effective filing date of the subject application, so that the other examining attorney may withdraw the application from suspension and either approve it for publication or take action on any other outstanding issues. 200-9 January 2017 § 206.04 TRADEMARK MANUAL OF EXAMINING PROCEDURE See TMEP §§206.02 regarding the procedures when the effective filing date changes to an earlier date and TMEP §§1208–1208.02(f) regarding conflicting marks in pending applications. January 2017 200-10 Chapter 300 Filing and Receipt of Documents 301 Electronic Filing 302 Trademark Correspondence and Signature Requirements - In General 302.01 Original Documents Generally Not Required 302.02 Multiple Copies of Documents Should Not Be Filed 302.03 Identifying the Nature of Documents Filed 302.03(a) Correspondence Pertaining to Trademark Applications 302.03(b) Correspondence Pertaining to Trademark Registrations 303 Receipt of Documents by the Office 303.01 Date of Receipt 303.02 Acknowledgment of Receipt 303.02(a) TEAS “Success” Page 303.02(b) “Mail Room Date” Label Showing Receipt 303.02(c) Postcard Receipt 303.02(c)(i) Postage on Return Receipt Postcards 304 Electronic Mail 304.01 Communications Acceptable Via Electronic Mail 304.02 Communications Not Acceptable Via Electronic Mail 304.03 Authorization of Official Correspondence from the USPTO by Electronic Mail 305 Mailing Documents to the Office 305.01 Mailing Addresses 305.02 Certificate of Mailing Procedure 305.02(a) When Certificate of Mailing Procedure May Not Be Used 305.02(b) Mailing Requirements 305.02(c) Location and Form of Certificate 305.02(d) Wording of Certificate of Mailing 305.02(e) Effect of Certificate of Mailing 305.02(f) Correspondence Mailed Pursuant to 37 C.F.R. §2.197 but Not Received by Office 305.02(g) Correspondence Deposited as First-Class Mail Pursuant to 37 C.F.R. §2.197 and Returned by the U.S. Postal Service 305.02(h) Certificate of Mailing Requirements Strictly Enforced 305.03 Priority Mail Express® 305.04 Interruptions in U.S. Postal Service 306 Facsimile Transmission (Fax) 306.01 Documents that May Not Be Filed by Facsimile Transmission 306.02 Fax Machines Designated to Accept Relevant Trademark Documents 306.03 Effect of Filing by Fax 306.04 Procedure for Filing by Fax 306.05 Certificate of Transmission Procedure 306.05(a) Location and Form of Certificate of Transmission 306.05(b) Wording of Certificate of Transmission 306.05(c) Effect of Certificate of Transmission 306.05(d) Correspondence Transmitted by Fax Pursuant to 37 C.F.R. §2.197 but Not Received by Office 306.06 Requirements for Certificate of Transmission Strictly Enforced 307 Hand Delivery 308 Period Ending on Saturday, Sunday, or Federal Holiday 309 Unscheduled Closings of the United States Patent and Trademark Office 310 Computing Period for Response to Office Action or Notice 300-1 January 2017 § 301 TRADEMARK MANUAL OF EXAMINING PROCEDURE 301 Electronic Filing The Trademark Electronic Application System (“TEAS”) makes electronic filing available on the United States Patent and Trademark Office (“USPTO”) website, at http://www.uspto.gov. TEAS can be used to file all forms related to a domestic application or registration, or for filings under the Madrid Protocol. TEAS offers a group of specific forms that require direct data entry in designated fields, and/or the attachment of a.jpg or.pdf image file. For documents for which a specific TEAS form with dedicated data fields has not yet been developed, TEAS also offers "Global Forms" that allow a filer to attach a.jpg or.pdf image file that contains the complete text for the actual filing. When a document is filed electronically, either as a specific TEAS form or through the global form approach, the USPTO generally receives it within seconds after filing. TEAS almost immediately displays a “Success” page that confirms receipt. This page is evidence of filing should any question arise as to the filing date of the document, and may be printed or copied-and-pasted into an electronic record for storage. From the “Success” page, the filer can click on a link to a PDF receipt that includes a summary of the filed information and general processing information. TEAS also separately sends an e-mail acknowledgement of receipt that includes the same information. Electronic filing creates an automatic entry of receipt of this filing into the USPTO’s automated system, which helps to avoid improper abandonment or cancellation. Under 37 C.F.R. §2.195(a)(2), correspondence transmitted electronically using TEAS is considered filed on the date the USPTO receives the transmission, in Eastern Time, regardless of whether that date is a Saturday, Sunday, or Federal holiday within the District of Columbia. See TMEP §611.01(c) regarding signature of documents filed electronically. See TMEP §§807.05–807.05(c) regarding drawings in electronically transmitted applications, and TMEP §904.02(a) regarding specimens in electronically transmitted applications. Requests for recordation of assignments and other documents affecting title to an application or registration can be filed through the Electronic Trademark Assignment System (“ETAS”) on the USPTO website at http://etas.uspto.gov. The Electronic System for Trademark Trials and Appeals (“ESTTA”), at http://estta.uspto.gov/, must be used to file requests for extensions of time to oppose, notices of opposition, petitions to cancel, appeals, motions, briefs, notices of change of address, and other documents in Trademark Trial and Appeal Board (“Board") proceedings. If a document transmitted through TEAS, ETAS, or ESTTA is due on a Saturday, Sunday, or a Federal holiday within the District of Columbia, the document will be considered timely if the USPTO receives the transmission on or before the following day that is not a Saturday, Sunday, or a Federal holiday within the District of Columbia. 37 C.F.R. §2.196; TMEP §308. See TMEP §819 regarding TEAS Plus and TMEP §820 regarding TEAS RF. 302 Trademark Correspondence and Signature Requirements - In General 37 CFR § 2.193 Trademark correspondence and signature requirements. (a) Signature required. Each piece of correspondence that requires a signature must bear: (1) A handwritten signature personally signed in permanent ink by the person named as the signatory, or a true copy thereof; or January 2017 300-2 FILING AND RECEIPT OF DOCUMENTS § 302 (2) An electronic signature that meets the requirements of paragraph (c) of this section, personally entered by the person named as the signatory. The Office will accept an electronic signature that meets the requirements of paragraph (c) of this section on correspondence filed on paper, by facsimile transmission (§ 2.195(c)), or through TEAS or ESTTA. (b) Copy of original signature. If a copy, such as a photocopy or facsimile copy of an original signature is filed, the filer should retain the original as evidence of authenticity. If a question of authenticity arises, the Office may require submission of the original. (c) Requirements for electronic signature. A person signing a document electronically must: (1) Personally enter any combination of letters, numbers, spaces and/or punctuation marks that he or she has adopted as a signature, placed between two forward slash (“/”) symbols in the signature block on the electronic submission; or (2) Sign the document using some other form of electronic signature specified by the Director. (d) Signatory must be identified. The name of the person who signs a document in connection with a trademark application, registration, or proceeding before the Trademark Trial and Appeal Board must be set forth in printed or typed form immediately below or adjacent to the signature, or identified elsewhere in the filing (e.g., in a cover letter or other document that accompanies the filing). (e) Proper person to sign. Documents filed in connection with a trademark application or registration must be signed by a proper person. Unless otherwise specified by law, the following requirements apply: (1) Verified statement of facts. A verified statement in support of an application for registration, amendment to an application for registration, allegation of use under § 2.76 or § 2.88, request for extension of time to file a statement of use under § 2.89, or an affidavit under section 8, 12(c), 15, or 71 of the Act must satisfy the requirements of § 2.2(n), and be signed by the owner or a person properly authorized to sign on behalf of the owner. A person who is properly authorized to verify facts on behalf of an owner is: (i) A person with legal authority to bind the owner (e.g., a corporate officer or general partner of a partnership); (ii) A person with firsthand knowledge of the facts and actual or implied authority to act on behalf of the owner; or (iii) An attorney as defined in § 11.1 of this chapter who has an actual written or verbal power of attorney or an implied power of attorney from the owner. (2) Responses, amendments to applications, requests for express abandonment, requests for reconsideration of final actions, and requests to divide. Responses to Office actions, amendments to applications, requests for express abandonment, requests for reconsideration of final actions, and requests to divide must be signed by the owner of the application or registration, someone with legal authority to bind the owner (e.g. a corporate officer or general partner of a partnership), or a practitioner qualified to practice under § 11.14 of this chapter, in accordance with the following guidelines: (i) If the owner is represented by a practitioner qualified to practice before the Office under § 11.14 of this chapter, the practitioner must sign, except where the owner is required to sign the correspondence; or (ii) If the owner is not represented by a practitioner qualified to practice under § 11.14 of this chapter, the individual owner or someone with legal authority to bind the owner (e.g., a corporate officer or general partner of a partnership) must sign. In the case of joint owners who are not represented by a qualified practitioner, all must sign. (3) Powers of attorney and revocations of powers of attorney. Powers of attorney and revocations of powers of attorney must be signed by the individual applicant, registrant or party to a proceeding pending before the Office, or by someone with legal authority to bind the applicant, registrant, or party (e.g., a corporate officer or general partner of a partnership). In the case of joint applicants, registrants, or parties, all must sign. Once the applicant, registrant or party has designated a qualified practitioner(s), the named practitioner may sign an associate power of attorney appointing another qualified practitioner(s) as an additional person(s) authorized to prosecute the application or registration. If the applicant, registrant, or party revokes the original power of attorney, the revocation discharges any associate power signed by the practitioner whose power has been revoked. If the practitioner who signed an associate power withdraws, the withdrawal discharges any associate power signed by the withdrawing practitioner upon acceptance of the request for withdrawal by the Office. (4) Petitions to revive under § 2.66. A petition to revive under § 2.66 must be signed by someone with firsthand knowledge of the facts regarding unintentional delay. (5) Petitions to Director under § 2.146. A petition to the Director under § 2.146 must be signed by the petitioner, someone with legal authority to bind the petitioner (e.g., a corporate officer or general partner of a partnership), or a practitioner qualified to practice under § 11.14 of this chapter, in accordance with the following guidelines: (i) If the petitioner is represented by a practitioner qualified to practice before the Office under § 11.14 of this chapter, the practitioner must sign; or (ii) If the petitioner is not represented by a practitioner authorized to practice before the Office under § 11.14 of this chapter, the individual petitioner or someone with legal authority to bind the petitioner (e.g., a corporate officer or general partner of a partnership) must sign. In the case of joint petitioners, all must sign. 300-3 January 2017 § 302 TRADEMARK MANUAL OF EXAMINING PROCEDURE (6) Requests for correction, amendment or surrender of registrations. A request for correction, amendment or surrender of a registration must be signed by the owner of the registration, someone with legal authority to bind the owner (e.g., a corporate officer or general partner of a partnership), or a practitioner qualified to practice before the Office under § 11.14 of this chapter. In the case of joint owners who are not represented by a qualified practitioner, all must sign. (7) Renewal applications. A renewal application must be signed by the registrant or the registrant’s representative. (8) Designations and revocations of domestic representative. A designation or revocation of a domestic representative must be signed by the applicant or registrant, someone with legal authority to bind the applicant or registrant (e.g., a corporate officer or general partner of a partnership), or a practitioner qualified to practice under § 11.14 of this chapter. In the case of joint applicants or registrants, all must sign. (9) Requests to change correspondence address in an application or registration. A notice of change of correspondence address in an application or registration must be signed by the applicant or registrant, someone with legal authority to bind the applicant or registrant (e.g., a corporate officer or general partner of a partnership), or a practitioner qualified to practice under § 11.14 of this chapter, in accordance with the following guidelines: (i) If the applicant or registrant is represented by a practitioner qualified to practice before the Office under § 11.14 of this chapter, the practitioner must sign; or (ii) If the applicant or registrant is not represented by a practitioner qualified to practice before the Office under § 11.14, the individual applicant or registrant or someone wit

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