Go to TMEP - Table of Contents
Chapter 1200
Substantive Examination of Applications
1201.01 Claim of Ownership May Be Based on Use By Related Companies
1201.02 Identifying the Applicant in the Application
1201.02(a) Identifying the Applicant Properly
1201.02(b) Application Void if Wrong Party Identified as the Applicant
1201.02(c) Correcting Errors in How the Applicant Is Identified
1201.02(d) Operating Divisions
1201.02(e) Changes in Ownership After Application Is Filed
1201.03 Use by Related Companies
1201.03(a) Use Solely by Related Company Must be Disclosed
1201.03(b) No Explanation of Applicant’s Control Over Use of Mark by Related Companies Required
1201.03(c) Wholly Owned Related Companies
1201.03(d) Common Stockholders, Directors, or Officers
1201.03(e) Sister Corporations
1201.03(f) License and Franchise Situations
1201.04 Inquiry Regarding Parties Named on Specimens or Elsewhere in Record
1201.05 Acceptable Claim of Ownership Based on Applicant’s Own Use
1201.06 Special Situations Pertaining to Ownership
1201.06(a) Applicant Is Merely Distributor or Importer
1201.06(b) Goods Manufactured in a Country Other than Where Applicant Is Located
1201.07 Related Companies and Likelihood of Confusion
1201.07(a) “Single Source” – “Unity of Control”
1201.07(b) Appropriate Action with Respect to Assertion of Unity of Control
1201.07(b)(i) When Either Applicant or Registrant Owns All of the Other Entity
1201.07(b)(ii) When Either Applicant or Registrant Owns Substantially All of the Other Entity
1201.07(b)(iii) When the Record Does Not Support a Presumption of Unity of Control
1201.07(b)(iv) When the Record Contradicts an Assertion of Unity of Control
1202 Use of Subject Matter as Trademark
1202.01 Refusal of Matter Used Solely as a Trade Name
1202.02 Registration of Trade Dress
1202.02(a)(i) Statutory Basis for Functionality Refusal
1202.02(a)(ii) Purpose of Functionality Doctrine
1202.02(a)(iii) Background and Definitions
1202.02(a)(iii)(A) Functionality
1202.02(a)(iii)(B) “De Jure” and “De Facto” Functionality
1202.02(a)(iv) Burden of Proof in Functionality Determinations
1202.02(a)(v) Evidence and Considerations Regarding Functionality Determinations
1202.02(a)(v)(A) Utility Patents and Design Patents
1202.02(a)(v)(B) Advertising, Promotional, or Explanatory Material in Functionality Determinations
1202.02(a)(v)(C) Availability of Alternative Designs in Functionality Determinations
1202.02(a)(v)(D) Ease or Economy of Manufacture in Functionality Determinations
1202.02(a)(vi) Aesthetic Functionality
1202.02(a)(vii) Functionality and Service Marks
1202.02(a)(viii) Functionality and Non-Traditional Marks
1202.02(b) Distinctiveness of Trade Dress
1202.02(b)(i) Distinctiveness and Product Design Trade Dress
1202.02(b)(ii) Distinctiveness and Product Packaging Trade Dress for Goods or Services
1202.02(c) Drawing and Description of Mark in Trade Dress Applications
1202.02(c)(i) Drawings in Trade Dress Applications
1202.02(c)(ii) Description Required
1202.02(c)(iii) Disclaimers of Unregistrable Elements of Trade Dress Marks
1202.02(c)(iv) Three-Dimensional Marks
1202.02(d) Trade Dress in §1(b) Applications
1202.02(e) Trade Dress in §44 and §66(a) Applications
1202.03 Refusal on Basis of Ornamentation
1202.03(a) Commercial Impression
1202.03(b) Practices of the Trade
1202.03(d) Evidence of Distinctiveness
1202.03(e) Ornamentation with Respect to §1(b), §44, and §66(a) Applications
1202.03(f) Ornamentation: Case References
1202.03(f)(i) Slogans or Words Used on the Goods
1202.03(f)(ii) Designs Used on the Goods
1202.03(f)(iii) Trade Dress on the Containers for the Goods
1202.03(g) Ornamentation Cases and Acquired Distinctiveness
1202.05(a) Color Marks Never Inherently Distinctive
1202.05(b) Functional Color Marks Not Registrable
1202.05(c) Color as a Separable Element
1202.05(d) Drawings of Color Marks Required
1202.05(d)(i) Drawings of Color Marks in Trademark Applications
1202.05(d)(ii) Drawings of Color Marks in Service Mark Applications
1202.05(d)(iii) Amendment of Drawings of Color Marks
1202.05(d)(iv) Drawings for Marks Including Both Color and Words or Design
1202.05(e) Written Explanation of a Color Mark
1202.05(f) Specimens for Color Marks
1202.05(g) Special Considerations for Service Mark Applications
1202.05(h) Applications for Color Marks Based on §1(b)
1202.05(i) Applications for Color Marks Based on §44 or §66(a)
1202.06(a) Goods Must Have Utility to Others
1202.06(b) Registration Must Be Refused if Trademark Not Used on Goods in Trade
1202.06(c) “Goods in Trade” in §1(b), §44, and §66(a) Applications
1202.07 Marks That Identify Columns or Sections of Publications
1202.07(a) Marks That Identify Columns or Sections of Printed Publications
1202.07(a)(i) Syndicated Columns and Sections
1202.07(a)(ii) Non-Syndicated Columns and Sections
1202.07(b) Marks That Identify Columns and Sections of Online Publications
1202.08 Title of a Single Creative Work
1202.08(a) What Constitutes a Single Creative Work
1202.08(b) What Does Not Constitute a Single Creative Work
1202.08(c) Complete Title of the Work – Evidence of a Series
1202.08(d) Portion of a Title of the Work
1202.08(d)(i) Mark Must Create a Separate Commercial Impression
1202.08(d)(ii) Establishing a Series When the Mark is a Portion of the Title
1202.08(d)(iii) Evidence that the Portion of the Title is Promoted or Recognized as a Mark
1202.08(e) Identification of Goods/Services
1202.08(f) Title of a Single Work in §1(b), §44, and §66(a) Applications
1202.09 Names of Artists and Authors
1202.09(a) Names and Pseudonyms of Authors and Performing Artists
1202.09(a)(i) Author or Performer’s Name – Evidence of a Series
1202.09(a)(ii) Evidence that the Name is a Source Identifier
1202.09(a)(ii)(A) Promotion and Recognition of the Name
1202.09(a)(ii)(B) Control over the Nature and Quality of the Goods
1202.09(a)(iii) Names of Authors and Performing Artists in §1(b), §44, and §66(a) Applications
1202.09(b) Names of Artists Used on Original Works of Art
1202.10 Names and Designs of Characters in Creative Works
1202.10(a) Names and Designs of Characters in Creative Works in §1(b), §44, or §66(a) Applications
1202.11 Background Designs and Shapes
1202.12 Varietal and Cultivar Names (Examination of Applications for Seeds and Plants)
1202.13 Scent, Fragrance, or Flavor
1202.16 Model or Grade Designations
1203.01 Immoral or Scandalous Matter
1203.02(a) Types of Deceptive Marks
1203.02(b) Elements of a §2(a) Deceptiveness Refusal
1203.02(d) Determining Materiality
1203.02(d)(i) Objective Criteria
1203.02(d)(ii) Mere Personal Preference
1203.02(e) Procedures for Issuing §2(a) Deceptive Refusals
1203.02(e)(i) When the Mark is Clearly Misdescriptive
1203.02(e)(ii) When It is Not Clear Whether the Mark is Misdescriptive
1203.02(f) Responding to a §2(a) Deceptiveness Refusal
1203.02(f)(i) Amending the Identification of Goods or Services
1203.02(f)(ii) Other Arguments
1203.02(g) Deceptive Matter: Case References
1203.03(b) “National Symbols” Defined
1203.03(c) Disparagement, Bringing into Contempt, and Bringing into Disrepute
1203.03(d) Disparagement, Bringing into Contempt, and Bringing into Disrepute: Case References
1203.03(e) False Suggestion of a Connection
1203.03(f) False Suggestion of a Connection: Case References
1204.01 Flags and Simulations of Flags
1204.01(a) Flags and Simulations of Flags are Refused
1204.01(b) Stylized Flag Designs are not Refused under §2(b)
1204.01(c) Caselaw Interpreting "Simulation of Flag"
1204.01(d) Description of the Mark
1204.01(e) Flags Not Presently Used as National Flags
1204.02(a) Designs that are Insignia Under §2(b) Must Be Refused
1204.02(b) Examples of Insignia That Should Be Refused
1204.02(c) Examples of Designs That Should Not Be Refused
1204.02(d) Caselaw Interpreting Insignia Under §2(b)
1204.03 Other Refusals May be Appropriate
1204.04 Responding to §2(b) Refusal
1204.04(a) Absolute Bar to Registration
1204.04(b) Deletion of §2(b) Matter
1204.04(b)(i) Examples of Matter That May and May Not Be Deleted
1205 Refusal on Basis of Matter Protected by Statute or Convention
1205.01(a)(i) First Use After December 8, 2005
1205.01(a)(ii) First Use On or Before December 8, 2005 – Grandfather Clause
1205.01(a)(iii) Date of First Use Not Specified
1205.01(a)(iv) Nature of the Mark
1205.01(a)(v) Amendments to Disclaim, Delete, or Amend the Unregistrable Symbol or Designation
1205.01(a)(vi) Parties Authorized to use the Red Crescent and Third Protocol Emblem
1205.02 Article 6ter of the Paris Convention
1206.01 Name, Portrait, or Signature of Particular Living Individual
1206.02 Connection With Goods or Services
1206.03 When Inquiry is Required
1206.04 Consent of Individual or President’s Widow
1206.04(a) Consent Statement Must Be Written Consent to Registration
1206.04(b) Consent May Be Presumed From Signature of Application
1206.04(c) New Consent Not Required if Consent is of Record in Valid Registration Owned by Applicant
1206.05 Names and Likenesses That Do Not Identify a Particular Living Individual
1207 Refusal on Basis of Likelihood of Confusion, Mistake, or Deception
1207.01 Likelihood of Confusion
1207.01(a) Relatedness of the Goods or Services
1207.01(a)(i) Goods or Services Need Not Be Identical
1207.01(a)(ii) Goods May Be Related to Services
1207.01(a)(ii)(A) Food and Beverage Products Versus Restaurant Services
1207.01(a)(iii) Reliance on Identification of Goods/Services in Registration and Application
1207.01(a)(iv) No “Per Se” Rule
1207.01(a)(v) Expansion of Trade Doctrine
1207.01(a)(vi) Evidence Showing Relatedness of Goods or Services
1207.01(b) Similarity of the Marks
1207.01(b)(ii) Similarity In Appearance
1207.01(b)(iii) Comparing Marks That Contain Additional Matter
1207.01(b)(iv) Similarity in Sound – Phonetic Equivalents
1207.01(b)(v) Similarity in Meaning
1207.01(b)(vi) Doctrine of Foreign Equivalents
1207.01(b)(vi)(B) When an Ordinary American Purchaser Would “Stop and Translate”
1207.01(b)(vii) Transposition of Terms
1207.01(b)(viii) Marks Consisting of Multiple Words
1207.01(b)(ix) Weak or Descriptive Marks
1207.01(c)(i) Legal Equivalents – Comparison of Words and Their Equivalent Designs
1207.01(c)(ii) Composite Marks Consisting of Both Words and Designs
1207.01(c)(iii) Comparison of Standard Character Marks and Special Form Marks
1207.01(c)(iv) Matter Depicted in Broken Lines
1207.01(d) Miscellaneous Considerations
1207.01(d)(i) Doubt Resolved in Favor of Registrant
1207.01(d)(ii) Absence of Actual Confusion
1207.01(d)(iii) Third-Party Registrations and Evidence of Third-Party Use
1207.01(d)(iv) Collateral Attack on Registration Improper in Ex Parte Proceeding
1207.01(d)(v) Classification of Goods/Services
1207.01(d)(vi) Prior Decisions of Examining Attorneys
1207.01(d)(vii) Sophisticated Purchasers
1207.01(d)(viii) Consent Agreements
1207.01(d)(x) Conflicting Marks Owned by Different Parties
1207.01(d)(xi) Family of Marks
1207.02 Marks That Are Likely to Deceive
1207.03 Marks Previously Used in United States but Not Registered
1207.04 Concurrent Use Registration
1207.04(a) Concurrent Use – In General
1207.04(b) Filing Basis of Application Seeking Concurrent Use
1207.04(c) Basis for Concurrent Use Registration
1207.04(d) Determining Eligibility for Concurrent Use
1207.04(d)(i) Requirements for All Concurrent Use Applications
1207.04(e)(i) Preparing the Record for Publication
1207.04(f) Application for Concurrent Use Registration Pursuant to Court Decree
1207.04(f)(i) Preparing the Record for Publication
1208 Conflicting Marks in Pending Applications
1208.01 Priority for Publication or Issue Based on Effective Filing Date
1208.01(a) What Constitutes Conflict Between Pending Applications
1208.01(b) What Constitutes Effective Filing Date
1208.01(c) Change in Effective Filing Date During Examination
1208.01(d) Examination of Conflicting Marks After Reinstatement or Revival
1208.02 Conflicting Applications Examination Procedure
1208.02(a) Examination of Application with Earliest Effective Filing Date
1208.02(c) Suspension of Later-Filed Application
1208.02(e) Applicant’s Argument on Issues of Conflict
1208.03 Procedure Relating to Possibility of Interference
1208.03(a) Procedures on Request for Interference
1208.03(b) Decision on Request for Interference
1208.03(c) Procedure When Interference Is to be Declared
1209 Refusal on Basis of Descriptiveness
1209.01 Distinctiveness/Descriptiveness Continuum
1209.01(a) Fanciful, Arbitrary, and Suggestive Marks
1209.01(b) Merely Descriptive Marks
1209.01(c)(iii) Generic Matter: Case References
1209.02 Procedure for Descriptiveness and/or Genericness Refusal
1209.02(a) Descriptive Marks – Advisory Statement That Mark Appears to Be Generic
1209.02(a)(i) Amendment to Supplemental Register in Response to Office Action
1209.02(a)(ii) Assertion of §2(f) in Response to Office Action
1209.02(b) Descriptive and Possibly Generic Marks – Assertion of §2(f) in Application
1209.03 Considerations Relevant to Determination of Descriptiveness
1209.03(a) Third-Party Registrations
1209.03(b) No Dictionary Listing
1209.03(e) More Than One Meaning
1209.03(f) Picture or Illustration
1209.03(g) Foreign Equivalents
1209.03(j) Phonetic Equivalent
1209.03(n) “America” or “American”
1209.03(o) “National,” “International,” “Global,” and “Worldwide”
1209.03(p) Function or Purpose
1209.03(q) Source or Provider of Goods or Services
1209.03(r) Retail Store and Distributorship Services
1209.03(t) Repetition of Descriptive Term
1209.04 Deceptively Misdescriptive Marks
1210 Refusal on Basis of Geographic Significance
1210.01(a) Geographically Descriptive Marks – Test
1210.01(b) Geographically Deceptively Misdescriptive Marks – Test
1210.01(c) Geographically Deceptive Marks – Test
1210.02 Primarily Geographic Significance
1210.02(a) Geographic Locations
1210.02(b) Primary Significance
1210.02(b)(i)(A) Surname Significance
1210.02(b)(ii) More Than One Geographic Location With Same Name
1210.02(b)(iii) Non-Geographic Characteristics of Goods or Services
1210.02(b)(iv) “America” or “American” and Similar Terms in Marks
1210.02(c) Geographic Terms Combined With Additional Matter
1210.02(c)(i) Two Geographic Terms Combined
1210.02(c)(ii) Geographic Terms Combined With Descriptive or Generic Matter
1210.02(c)(iii) Arbitrary, Fanciful, or Suggestive Composites
1210.03 Geographic Origin of the Goods or Services
1210.04 Goods/Place or Services/Place Association
1210.04(a) Establishing Goods/Place Association
1210.04(b) Establishing Services/Place Association
1210.04(c) Obscure or Remote Geographic Marks
1210.04(d) Arbitrary Use of Geographic Terms
1210.05 Geographically Deceptive Marks
1210.05(b) Elements of a §2(e)(3) Refusal
1210.05(c) Determining Materiality
1210.05(c)(i) Materiality In Cases Involving Goods
1210.05(c)(ii) Materiality In Cases Involving Services
1210.05(d) Procedures for Issuing Geographically Deceptive Refusals
1210.05(d)(i) Neither Applicant Nor Goods/Services Come from the Place Named
1210.05(d)(ii) It is Not Clear Whether the Goods/Services Originate From the Place Named
1210.05(e) Geographically Deceptive Matter: Case References
1210.06 Procedure for Examining Geographic Composite Marks
1210.07 Supplemental Register and Section 2(f)
1210.07(a) Registrability of Geographic Terms on the Supplemental Register
1210.07(b) Registrability of Geographic Terms Under Section 2(f)
1210.08 Geographical Indications Used on Wines and Spirits
1210.08(b) Geographical Indications Used on Wines and Spirits That Originate in the Named Place
1210.08(c) Geographical Indications That Are Generic for Wines and Spirits
1210.09 Geographic Certification Marks
1210.10 Doctrine of Foreign Equivalents
1211 Refusal on Basis of Surname
1211.01 “Primarily Merely a Surname”
1211.01(a) Non-Surname Significance
1211.01(a)(i) Ordinary Language Meaning
1211.01(a)(ii) Phonetic Equivalent of Term With Ordinary Language Meaning
1211.01(a)(iii) Geographical Significance
1211.01(a)(iv) Historical Place or Person
1211.01(a)(vi) “Look And Feel” of a Surname
1211.01(a)(vii) Doctrine of Foreign Equivalents
1211.01(b) Surname Combined with Additional Matter
1211.01(b)(ii) Stylization or Design Elements
1211.01(b)(iii) Surname Combined with Initials
1211.01(b)(iv) Surname Combined with Title
1211.01(b)(v) Surname in Plural or Possessive Form
1211.01(b)(vi) Surname Combined with Wording
1211.01(b)(vii) Surname Combined With Domain Name
1211.01(b)(viii) – Surname Combined With Legal or Familial Entity Designation
1211.02 Evidence Relating to Surname Refusal
1211.02(a) Evidentiary Burden – Generally
1211.02(b) Evidentiary Considerations
1211.02(b)(i) Telephone Directory Listings
1211.02(b)(ii) LexisNexis® Research Database Evidence
1211.02(b)(iii) U.S. Census Database Evidence
1211.02(b)(iv) Surname of Person Associated with Applicant
1211.02(b)(v) Specimens Confirming Surname Significance of Term
1211.02(b)(vi) Negative Dictionary Evidence
1211.02(b)(vii) Evidence of Fame of a Mark
1212 Acquired Distinctiveness or Secondary Meaning
1212.01 General Evidentiary Matters
1212.02 General Procedural Matters
1212.02(a) Situations in which a Claim of Distinctiveness under §2(f) Is Appropriate
1212.02(c) Claiming §2(f) Distinctiveness in the Alternative
1212.02(d) Unnecessary §2(f) Claims
1212.02(e) Disclaimers in Applications Claiming Distinctiveness under §2(f)
1212.02(f) Section 2(f) Claim in Part
1212.02(f)(i) Section 2(f) Claim as to a Portion of the Mark
1212.02(f)(ii) Section 2(f) Claim Restricted to Particular Goods/Services/Classes
1212.02(g) Examining Attorney’s Role in Suggesting §2(f) or Appropriate Kind/Amount of Evidence
1212.02(h) Nonfinal and Final Refusals
1212.02(i) Section 2(f) Claim with Respect to Incapable Matter
1212.03 Evidence of Distinctiveness Under §2(f)
1212.04 Prior Registrations as Proof of Distinctiveness
1212.04(a) Sufficiency of Claim vis-à-vis Nature of the Mark
1212.04(c) Relatedness of Goods or Services
1212.04(e) Form of §2(f) Claim Based on Ownership of Prior Registrations
1212.05 Five Years of Use as Proof of Distinctiveness
1212.05(a) Sufficiency of Claim Vis-à-Vis Nature of the Mark
1212.05(b) “Substantially Exclusive and Continuous”
1212.05(d) Form of the Proof of Five Years’ Use
1212.06 Establishing Distinctiveness by Actual Evidence
1212.06(a) Long Use of the Mark in Commerce
1212.06(b) Advertising Expenditures
1212.06(c) Affidavits or Declarations Asserting Recognition of Mark as Source Indicator
1212.06(d) Survey Evidence, Market Research and Consumer Reaction Studies
1212.06(e) Miscellaneous Considerations Regarding Evidence Submitted to Establish Distinctiveness
1212.06(e)(i) First or Only User
1212.06(e)(ii) State Trademark Registrations
1212.06(e)(iv) Acquiescence to Demands of Competitors
1212.07 Form of Application Asserting Distinctiveness
1212.08 Section 44 and §66(a) Applications and Distinctiveness
1212.09 Section 1(b) Applications and Distinctiveness
1212.09(a) Section 2(f) Claim Requires Prior Use
1212.09(b) Claim of §2(f) “in Part” in §1(b) Application
1212.10 Printing “§2(f)” Notations
1213 Disclaimer of Elements in Marks
1213.01 History of Disclaimer Practice
1213.01(a) Discretion in Requiring Disclaimer
1213.01(b) Refusal to Register Because of Failure to Disclaim
1213.01(c) Voluntary Disclaimer of Registrable or Unregistrable Matter
1213.03 Disclaimer of Unregistrable Components of Marks
1213.03(a) “Unregistrable Components” in General
1213.03(b) Generic Matter and Matter Which Does Not Function as a Mark
1213.03(c) Pictorial Representations of Descriptive Matter
1213.03(d) Entity Designations
1213.05(a) Compound Word Marks
1213.05(a)(i) Telescoped Words
1213.05(a)(ii) Compound Words Formed with Hyphen or Other Punctuation
1213.06 Entire Mark May Not Be Disclaimed
1213.07 Removal Rather than Disclaimer
1213.08(a) Wording of Disclaimer
1213.08(a)(i) Standardized Printing Format for Disclaimer
1213.08(a)(ii) Unacceptable Wording for Disclaimer
1213.08(b) Disclaimer of Unregistrable Matter in Its Entirety
1213.08(c) Disclaimer of Misspelled Words
1213.08(d) Disclaimer of Non-English Words
1213.09 Mark of Another May Not Be Registered with Disclaimer
1213.10 Disclaimer in Relation to Likelihood of Confusion
1213.11 Acquiring Rights in Disclaimed Matter
1214 “Phantom” Elements in Marks
1214.01 Single Application May Seek Registration of Only One Mark
1214.02 Agreement of Mark on Drawing With Mark on Specimens or Foreign Registration
1214.03 “Phantom Marks” in §1(b) Applications
1214.04 “Phantom Marks” in §44 and §66(a) Applications
1215 Marks Composed, in Whole or in Part, of Domain Names
1215.02(b) Advertising One’s Own Products or Services on the Internet is not a Service
1215.02(c) Agreement of Mark on Drawing with Mark on Specimens of Use
1215.02(d) Marks Comprised Solely of TLDs for Domain Name Registry Services
1215.02(e) Section 1(b) Applications
1215.02(f) Section 44 and §66(a) Applications
1215.06 Marks Containing Geographical Matter
1215.08(a) Adding or Deleting TLDs in Domain Name Marks
1215.08(b) Adding or Deleting TLDs in Other Marks
1215.09 Likelihood of Confusion
1215.10 Marks Containing the Phonetic Equivalent of a Top-Level Domain
1216 Effect of Applicant’s Prior Registrations
1216.01 Decisions Involving Prior Registrations Not Controlling
1216.02 Effect of “Incontestability” in Ex Parte Examination