Prosecuting a Trademark Application

Once a trademark application is filed, it enters the "prosecution" stage, during which it is examined by the Trademark Examiner, who might challenge the application for any of a number of reasons.

Via the Attorney's skilled rebuttal, argument, amendments, and/or negotiation with the Examiner, the Examiner's challenges are typically overcome, and the application is published for Opposition, during which third parties can (but rarely do) provoke a litigation-like procedure to prevent registration of the mark.  Assuming the mark survives the Opposition phase (as the vast majority do), the Examiner will issue either a Certificate of Registration or a Notice of Allowance.  In a rare few cases, a final refusal by the Examiner might be appealed. There are numerous other contingencies possible, thereby making a detailed explanation of the prosecution stage rather long and tedious.

Nevertheless, the general prosecution process for a trademark application is:

  1. The USPTO checks the filed application for conformance with all formalities.
  2. The USPTO forwards the application to an Examiner.
  3. After a substantial delay (typically 6 to 12 months), the Examiner reviews the application. That review typically includes a search for whether a conflict (i.e., a likelihood of confusion) exists between the mark in the application and another mark that is registered or pending in the USPTO.
  4. The Examiner prepares and mails an "Office Action" explaining why the Examiner believes the mark to be unregisterable, for example, because the mark:
    • creates a likelihood of confusion with another mark;
    • is primarily merely descriptive of the goods/services;
    • is deceptively misdescriptive of the goods/services;
    • is geographically descriptive or misdescriptive of the goods/services;
    • is primarily merely a surname;
    • is ornamental; and/or
    • is immoral.
  5. The USPTO's Trademark Manual of Examining Procedure (TMEP) describes other potential objections, including:
    • the identification of the goods/services is indefinite;
    • the classification is incorrect; and/or
    • the specimen is defective.
  6. The Applicant's Attorney reviews the Office Action, and skillfully prepares a Response to the Office Action. The Response might: rebut the Examiner's approach, amend the application, and/or present arguments challenging the Examiner's position. 
  7. Once the Examiner becomes comfortable with the application, the Examiner approves the mark for Publication by the USPTO in its Official Gazette. Upon Publication, anyone who believes they will be damaged by registration of the mark can file an Opposition to the registration. If an Opposition is filed (which is rare), an Opposition proceeding is held before the Trademark Trial and Appeal Board.
  8. Assuming the mark survived the Opposition phase (as most do), if the application is based on Use, within about 12 weeks from Publication, the USPTO registers the mark and issues a Certificate of Registration. At this point, the Applicant can use the symbol ® with the mark.
  9. Assuming the mark survived the Opposition phase (as most do), if the application is based on an Intent to Use, within about 12 weeks from Publication, the USPTO issues a Notice of Allowance. The Applicant then has 6 months to either use the mark in interstate commerce and submit a Statement of Use (including the required specimens), or request a 6 month Extension of time to file the Statement of Use. Additional Extensions can be sought every 6 months to obtain a maximum of 30 months (the original 6 months plus 24 months of extensions) from the Notice of Allowance to file the Statement of Use. If a satisfactory Statement of Use is not then filed, the application becomes abandoned.
  10. Assuming the Examiner approves the Statement of Use, the USPTO registers the mark and issues a Certificate of Registration. At this point, the Applicant can use the symbol ® with the mark.

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