Patent bar Practitioner registration, representation and ethics question: Morales pay the extension fee herself

Patent barPractitioner registration, representation and ethics

Patent agent Morales missed a reply deadline through her own docketing error, and her client's application will go abandoned unless an extension fee is paid today. The client is traveling and cannot be reached. Under the USPTO Rules of Professional Conduct, may Morales pay the extension fee herself?

A No, because a practitioner may never provide financial assistance to a client
B No, because only the applicant may pay fees in an application
C Yes, but only with the OED Director's prior written approval
D Yes; she may advance a fee to cure an abandonment she caused
E Yes, but only if the client later signs a promissory note for the amount

Show the answer and explanation

Answer: D. Yes; she may advance a fee to cure an abandonment she caused

Answer: Yes; she may advance a fee to cure an abandonment she caused. 37 CFR 11.108(e)(4) permits a practitioner to advance any fee required to prevent or remedy an abandonment of a client's application by reason of an act or omission attributable to the practitioner and not to the client, whether or not the client is ultimately liable for it. This is a patent-specific addition to the usual financial-assistance rule. Why not the others: - Never: 11.108(e) lists exceptions, including this one. - A promissory note: the rule does not require the client to repay. - Only the applicant pays: anyone may pay a fee in an application. - OED approval: no prior approval is required to advance such a fee. Rule: A practitioner may advance fees to prevent or remedy an abandonment caused by the practitioner. Source: 37 CFR 11.108(e)(4); 78 FR 20180 (Apr. 3, 2013); as at Oct 2026

Common mistake

Applying the general ban on financial assistance without the patent-specific exception.

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Original study material written from the MPEP; not a question from the current exam.Independent. Not affiliated with or endorsed by the USPTO. Verify figures and rules against current guidance before relying on them.