著者:小野 康英(米国特許弁護士)


「弁護士」の訳語を和英辞典で調べると、"advocate," "attorney," "attorney-at-law," "barrister," "law practitioner," "lawyer"等々、様々な訳が示されている。しかし、これだけでは、米国の資格としての「弁護士」の訳語としてどれを採用すればよいか必ずしも明確でない。


まず、以下に示す、ニューヨーク州(State of New York)、カリフォルニア州(State of California)及びコロンビア特別区(District of Columbia)の法曹関係のウエブサイトにおいて、米国の資格としての「弁護士」の意味で用いられる訳語は、いずれも、"attorney"である。

  New York: https://ww2.nycourts.gov/attorneys
California: https://www.calbar.ca.gov/
District of Columbia: https://www.dcbar.org/

次に、アメリカ法曹協会(ABA: American Bar Association)が策定した法曹倫理の模範規則(Model Rules of Professional Conduct)(ABA模範規則)は、同規則を遵守すべき主体を、基本的に、"lawyer"で統一している。また、同規則は、"lawyer"の定義規定を設けていないが、その前文から、"lawyer"の範囲を、米国の資格としての「弁護士」の意味で用いられる"attorney"の範囲よりも広く解していることが見て取れる。

  ABA Model Rules of Professional Conduct
[1] A lawyer, as a member of the legal profession, is a representative of clients, an officer of the legal system and a public citizen having special responsibility for the quality of justice. ...

また、Black's Law Dictionary (2001)は、"attorney"及び"lawyer"を、それぞれ、次のとおり定義する。これによれば、Black's Law Dictionaryは、"attorney"は、"lawyer"とほぼ同義の、又は、"lawyer"よりも若干広義("attorney"には"licensed to"の要件がない分)の概念と考えられる。

  Black's Law Dictionary (2001)
attorney: A person who practices law; LAWYER
lawyer: One who is licensed to practice law



attorney: ... 3(アメリカの)法律家;法曹有資格者;弁護士□アメリカでは、イギリスと異なり、弁護士を2つの階層に分けるという制度は採られておらず、弁護士はすべて attorney とよばれる。また、この言葉は、広く法曹有資格者、法律家一般をさす用語として使用され、政府の法務官・検事も attorney である。官職名の一部になっているときなど特段の事情がないかぎり、lawyer (法曹有資格者)と同じ内容の言葉と考えてよい。▲1の用法[(代理人)]と区別する必要があるときには、attorney at law という表現が用いられる。

lawyer: 法曹有資格者; 弁護士; 法律家; 法曹; 法実務家□イギリスでは、barrister または solicitor の資格を与えられた者。アメリカでは、各州で所定の要件を満たして法律業務 (legal practice) を行う資格を与えられた者。資格を有する者はすべて lawyer であるが、実際に業として弁護士活動をする者であることをはっきりさせるために practicing lawyer (実務弁護士)という言葉が用いられることがある。

LawerEdu.orgは、米国における"lawyer"は、"attorney"よりも若干広い概念であると説明する。この説明における"lawyer"の意義は、Black's Law Dictionary (2001) における"lawyer"の定義と若干矛盾するが、一方で、ABA模範規則が想定する"lawyer"の意義とはある程度整合すると考えられる。


LawerEdu.org: https://www.lawyeredu.org/attorney-vs-lawyer.html
Attorney vs. Lawyer Definition
The terms attorney and lawyer are often used interchangeably in the United States. There is very little distinction made between the two. This difficulty to differentiate is a result of the fact that in the United States, unlike in other countries, this distinction is not made. However, a slight one does exist.

What Qualifies Someone as a Lawyer?
A lawyer is someone who is learned and trained in law. Yet, they may not actually practice law. They often give legal advice. By attending law school in the United States, one can be considered a lawyer. A student of law must pass the bar exam in their particular jurisdiction in order to practice law by providing legal representation. Otherwise, the opportunities to use their law education are limited.




  1米国憲法第1章第8条第17項は、コロンビア特別区が米国政府の直轄地であることを規定する。United States Constitution, Article I, Sec. 8, Clause 17 ("The Congress shall have Power ... To exercise exclusive Legislation in all Cases whatsoever, over such District (not exceeding ten Miles square) as may, by Cession of particular States, and the Acceptance of Congress, become the Seat of the Government of the United States, and to exercise like Authority over all Places purchased by the Consent of the Legislature of the State in which the Same shall be, for the Erection of Forts, Magazines, Arsenals, dock-Yards, and other needful Buildings[.]"). この規定のため、過去、コロンビア特別区は、州(state)とは異なり、自治政府を有していなかった。しかし、米国議会は、1973年にDistrict of Columbia Home Rule Actを制定し、コロンビア特別区に一定の制限の下で、州政府に準じる、自治政府(The D.C. Council)の設立を認めた。この自治政府には、コロンビア特別区にて適用される法の制定権が含まれる。ただし、コロンビア特別区には、州にはない制約が依然として存在する。たとえば、米国議会は、コロンビア特別区の自治政府が制定したあらゆる法を修正し又は廃止する権限を留保している。District of Columbia Home Rule Act (Public Law 93-198; 87 Stat. 774), Sec. 601 ("Notwithstanding any other provision of this Act, the Congress of the United States reserves the right, at any time, to exercise its constitutional authority as legislature for the District, by enacting legislation for the District on any subject, whether within or without the scope of legislative power granted to the Council by this Act, including legislation to amend or repeal any law in force in the District prior to or after enactment of this Act and any act passed by the Council."). また、コロンビア特別区に居住する米国市民は、コロンビア特別区が州でないが故に、憲法上、米国議会についての選挙権を認められていない。The U.S. Constitution, Article I, Sec. 2 ("The House of Representatives shall be composed of members chosen every second year by the people of the several states[.]"); Section 3 ("The Senate of the United States shall be composed of two Senators from each state, chosen by the legislature thereof, for six years; and each Senator shall have one vote."). ただし、コロンビア特別区に居住する米国市民は、1961年に批准された修正第23条により、米国大統領の選挙権を有することとなった。Amendment XXIII to the United States Constitution, Sec. 1 ("The District constituting the seat of Government of the United States shall appoint in such manner as Congress may direct: A number of electors of President and Vice President equal to the whole number of Senators and Representatives in Congress to which the District would be entitled if it were a State, but in no event more than the least populous State; they shall be in addition to those appointed by the States, but they shall be considered, for the purposes of the election of President and Vice President, to be electors appointed by a State; and they shall meet in the District and perform such duties as provided by the twelfth article of amendment.").

米国の弁護士資格は、一般的に、法域ごとに、当該法域の裁判所(複数存在する場合に、最高位の裁判所)が同裁判所における代理権を承認する形を取る。裁判所の法廷には、裁判所関係者、裁判当事者及び代理人と公衆(傍聴者)とを隔てる仕切り(bar)が設けられている。このため、裁判所による弁護士資格の承認は、一般的に、"bar admission"と呼ばれる。

bar admission: (その法域の裁判所による)弁護士資格付与;~の承認



州政府は、米国憲法(The United States Constitution)第10修正に規定されるポリス・パワー(police power)に基づき、米国憲法が米国政府(連邦政府)に付与していない権限を行使することができる。


Tenth Amendment to the United States Constitution
The powers not delegated to the United States by the Constitution, nor prohibited by it to the States, are reserved to the States respectively, or to the people.

police power: ... 福祉権能; ポリス・パワー; 規制権限 □州が州民の健康 (health)、安全 (safety)、道徳 (morals) その他一般の福祉 (general welfare) を保護・向上させるために各種の立法を制定・執行する権限[。]アメリカの連邦制度のもとでは、連邦政府は合衆国憲法によって明示的・黙示的に与えられた権限のみを有し、残りの政府権限は州に留保されている(合衆国憲法第10修正 (Tenth Amendment))[。]▲「警察権能」 という訳については、日本語の 「警察」 が、公共の福祉全般を示す police と比べるとその意味がかなりの程度において限定されていることに注意。


  2弁護士資格を管轄する準州には、グアム(Guam)、北マリアナ諸島(Northern Mariana Islands)、パラオ(Palau)、プエルトリコ(Puerto Rico)及びアメリカ領ヴァージン諸島(Virgin Islands)が含まれる。National Conference of Bar Examiners & American Bar Association Section of Legal Education and Admissions to the Bar, Comprehensive Guide to Bar Admission Requirements 2019参照。




Court of Appeals for the Admission of Attorneys and Counselors at Law (amended, effective April 1, 2012)
Section 520.1 General.
(a) A person shall be admitted to practice law in the courts of the State of New York only by an order of the Appellate Division of the Supreme Court upon compliance with these rules. (Emphasis added).

Rules of the State Bar of California, Title 4, Division 1. Admission to Practice Law in California
Rule 4.1 Authority (effective September 1, 2008)
The California Supreme Court exercises inherent jurisdiction over the practice of law in California. The Committee of Bar Examiners ("the Committee") is authorized by law to administer the requirements for admission to practice law; to examine all applicants for admission; and to certify to the Supreme Court for admission those applicants who fulfill the requirements." (Emphasis added).

District of Columbia Court of Appeals Rule 46. Admission to the Bar
(k) Admission Order.
(1) The Committee shall file with the court a motion to admit the successful applicants by examination, or a certification of attorneys for admission by transferred UBE score or of attorneys for admission without examination, after successful completion of a character and fitness study. Each candidate shall be notified of the time and place for the taking of the oath.
(2) An applicant whose name is on an order of admission entered by the [District of Columbia Court of Appeals] or who is certified for admission by the [Committee on Admissions appointed by the District of Columbia Court of Appeals] without a formal hearing shall complete admission within 90 days from the date of the order or the certification by taking the oath prescribed and by signing the roll of attorneys in the office of the Clerk. (Emphasis added).



上記のとおり、州の弁護士資格は、通常、当該州の最高位の裁判所が承認する、同裁判所における代理権限の形を取る。そして、州の弁護士資格の内容は、通常、当該法域における法律事務を行う(practice law)権能として規定される。



New York Consolidated Laws, Judiciary Law
Section 478 Practicing or appearing as attorney-at-law without being admitted and registered.
"It shall be unlawful for any natural person to practice or appear as an attorney-at-law or as an attorney and counselor-at-law for a person other than himself or herself in a court of record in this state, or to furnish attorneys or counsel or an attorney and counsel to render legal services, or to hold himself or herself out to the public as being entitled to practice law as aforesaid, or in any other manner, or to assume to be an attorney or counselor-at-law, or to assume, use, or advertise the title of lawyer, or attorney and counselor-at-law, or attorney-at-law or counselor-at-law, or attorney, or counselor, or attorney and counselor, or equivalent terms in any language, in such manner as to convey the impression that he or she is a legal practitioner of law or in any manner to advertise that he or she either alone or together with any other persons or person has, owns, conducts or maintains a law office or law and collection office, or office of any kind for the practice of law, without having first been duly and regularly licensed and admitted to practice law in the courts of record of this state, and without having taken the constitutional oath." (Emphasis added).

Section 485 Violation of certain preceding sections a misdemeanor
"Except as provided in section four hundred eighty-five-a of this article, any person violating the provisions of section four hundred seventy-eight, four hundred seventy-nine, four hundred eighty, four hundred eighty-one, four hundred eighty-two, four hundred eighty-three or four hundred eighty-four of this article, shall be guilty of a misdemeanor." (Emphasis added).

Section 485-A Violation of certain sections a class E felony
"Any person who violates the provisions of sections four hundred seventy-eight, four hundred eighty-four, four hundred eighty-six or four hundred ninety-five of this article is guilty of a class E felony when he or she: (1) falsely holds himself or herself out as a person licensed to practice law in this state, a person otherwise permitted to practice law in this state, or a person who can provide services that only attorneys are authorized to provide; and (2) causes another person to suffer monetary loss or damages exceeding one thousand dollars or other material damage resulting from impairment of a legal right to which he or she is entitled." (Emphasis added).



California Business and Professions Code (2017)
Section 6125
"No person shall practice law in California unless the person is an active licensee of the State Bar." (Emphasis added).

Section 6126(a)
"Any person advertising or holding himself or herself out as practicing or entitled to practice law or otherwise practicing law who is not an active licensee of the State Bar, or otherwise authorized pursuant to statute or court rule to practice law in this state at the time of doing so, is guilty of a misdemeanor punishable by up to one year in a county jail or by a fine of up to one thousand dollars ($1,000), or by both that fine and imprisonment. Upon a second or subsequent conviction, the person shall be confined in a county jail for not less than 90 days, except in an unusual case where the interests of justice would be served by imposition of a lesser sentence or a fine. If the court imposes only a fine or a sentence of less than 90 days for a second or subsequent conviction under this subdivision, the court shall state the reasons for its sentencing choice on the record." (Emphasis added).

すなわち、ここで引用したニューヨーク州法及びカリフォルニア州法は、いずれも、当該州の弁護士資格の非保有者による当該州における法律事務を原則禁止する。そこで問題となるのは「法律事務(practice of law)」の意義及び範囲である。

この点、ここで引用したニューヨーク州法及びカリフォルニア州法における「法律事務(practice of law)」がカバーする法域は、当該州の州法だけでなく、連邦法及び他州の法をも含むと考えられる。その理由は次のとおりである。

まず、州法に関する事件において米国憲法最高法規条項の下での連邦法との関係が問題となり得、また、州籍相違事件(diversity case)注3においては複数の法域の州法が交錯し得る。このため、一の州の弁護士は、実務上、連邦法及び他州の法律事務を行う必要がある。

  3The United States Constitution, Article III, Section 2 ("The judicial Power shall extend ... to Controversies ... between Citizens of different States[.]"); 28 U.S.C. 1332(a)(1) ("The district courts shall have original jurisdiction of all civil actions where the matter in controversy exceeds the sum or value of $75,000, exclusive of interest and costs, and is between [c]itizens of different States[.]").

次に、この考え方は、Sperry事件の判旨と整合する。同事件において、米国最高裁判所(Supreme Court of the United States)は、フロリダ州(State of Florida)法上、他人のために特許出願書類を作成し、かつその権利化業務を行うことが「法律事務」に該当するとしたフロリダ州最高裁判所の判断を支持した注4。この判示は一般論とまでは理解できないが、それでも、米国最高裁判所は、個別具体的な事案において、州法による連邦法に関する法律事務の規制権限の潜在的可能性を認めたと言い得る。米国最高裁判所は、同事件において、結論としては、特定の連邦法(特許法(35 U.S.C.))との抵触のために米国憲法最高法規条項(Supremacy Clause)注5に違反するとして、同フロリダ州法を無効とした。これを反対解釈すると、米国最高裁判所は、同フロリダ州法と抵触する特定の連邦法が存在していなかったら、同フロリダ州法連邦法に関する法律事務の規制権限を有すると解釈したはずと筆者は考える。


4Sperry v. Florida, 373 U.S. 379, 383 (1963) ("We do not question the determination that, under Florida law, the preparation and prosecution of patent applications for others constitutes the practice of law.").

5The United States Constitution, Article VI ("[T]his Constitution, and the laws of the United States which shall be made in pursuance thereof; and all treaties made, or which shall be made, under the authority of the United States, shall be the supreme law of the land; and the judges in every state shall be bound thereby, anything in the Constitution or laws of any State to the contrary notwithstanding[.]").

また、この考え方は、ニューヨーク州が同州の弁護士資格を有さない他州又は米国外の法域の弁護士が同州内の特定の組織にて法律事務を行う場合に"In-House Counsel"の登録を求め、同州の弁護士資格を有さない米国外の法域の弁護士が同州にて法律事務を行う場合に"Legal Consultant"の登録を求めることとも整合する。


Part 522 - Rules for the Registration of In-House Counsel
522.1 Registration of In-House Counsel
(a) In-House Counsel defined. An in-house counsel is an attorney who is employed full time in this State by a non-governmental corporation, partnership, association, or other legal entity, including its subsidiaries and organizational affiliates, that is not itself engaged in the practice of law or the rendering of legal services outside such organization.
(b) In its discretion, the Appellate Division may register as in-house counsel an applicant who:
(1) (i) has been admitted to practice in the highest law court in any other state or territory of the United States or in the District of Columbia; or (ii) is a member in good standing of a recognized legal profession in a foreign non-United States jurisdiction, the members of which are admitted to practice as lawyers or counselors at law or the equivalent and subject to effective regulation by a duly constituted professional body or public authority;
(2) is currently admitted to the bar as an active member in good standing in at least one other jurisdiction, within or outside the United States, which would similarly permit an attorney admitted to practice in this State to register as in-house counsel; and
(3) possesses the good moral character and general fitness requisite for a member of the bar of this State. (Emphasis added).

522.4 Scope of legal services
An attorney registered as in-house counsel under this Part shall:
(a) provide legal services in this State only to the single employer entity or its organizational affiliates, including entities that control, are controlled by, or are under common control with the employer entity, and to employees, officers and directors of such entities, but only on matters directly related to the attorney's work for the employer entity, and to the extent consistent with the New York Rules of Professional Conduct;
(b) not make appearances in this State before a tribunal, as that term is defined in the New York Rules of Professional Conduct (22 NYCRR 1200.0 Rule 1.0[w]) or engage in any activity for which pro hac vice admission would be required if engaged in by an attorney who is not admitted to the practice of law in this State;
(c) not provide personal or individual legal services to any customers, shareholders, owners, partners, officers, employees or agents of the identified employer; and
(d) not hold oneself out as an attorney admitted to practice in this State except on the employer's letterhead with a limiting designation. (Emphasis added).

Part 521 - Rules of the Court of Appeals for the Licensing of Legal Consultants

Part 522 - Rules for the Registration of In-House Counsel
521.1 General regulation as to licensing.
(a) In its discretion the Appellate Division of the Supreme Court, pursuant to subdivision 6 of section 53 of the Judiciary Law, may license to practice as a legal consultant, without examination, an applicant who:
(1) is a member in good standing of a recognized legal profession in a foreign country, the members of which are admitted to practice as attorneys or counselors at law or the equivalent and are subject to effective regulation and discipline by a duly constituted professional body or a public authority;
(2) for at least three of the five years immediately preceding his or her application, has been a member in good standing of such legal profession and has actually been engaged in the practice of law in such foreign country or elsewhere substantially involving or relating to the rendering of advice or the provision of legal services concerning the law of such foreign country; ... . (Emphasis added).

521.3 Scope of practice.
A person licensed to practice as a legal consultant under this Part may render legal services in this State; subject, however, to the limitations that he or she shall not: ... . (Emphasis added).

なお、カリフォルニア州にも、同旨の制度として、"Multijurisdictional Practice Program," "Foreign Legal Consultants"等が存在する注6



さらに、州の弁護士資格の重要な前提となる司法試験(bar examination)においては、全法域の試験が連邦法の科目を出題し、かつ、ルイジアナ州(State of Louisiana)及びプエルトリコ自治連邦区(Estado Libre Asociado de Puerto Rico)を除き、司法試験は、連邦法の科目を含む統一試験(MBE: multistate Bar Examination)を含む注7


7MBEは200問の択一式試験である。その試験科目は民事訴訟法(Civil Procedure)、憲法(Constitutional Law)、契約法(Contracts)、刑法&刑事訴訟法(Criminal Law and Procedure)、証拠法(Evidence)、不動産法(Real Property)及び不法行為法(Torts)の7科目で、そのうち、民事訴訟法、憲法及び刑事訴訟法は連邦法、契約法のうち動産の売買については統一商事法典第2編(Article 2 of the Uniform Commercial Code)、そして、残りはいずれの州法でもないコモンロー上の原則(principles of common law)である。https://www.ncbex.org/exams/mbe/preparing/

以上より、州の弁護士資格は、同州の法域内で行うものである限り、当該州の州法だけでなく、連邦法及び他州の法の「法律事務(practice of law)」をカバーすると考えられる。その意味で、州の弁護士資格を米国弁護士資格と呼称しても、あながち誤りとは言えないと筆者は考える。


州は、主に公衆を保護する観点から、法曹倫理規定を設け、自州の弁護士にその遵守を求めている。州が自州の法曹倫理規定を制定するにあたり、手本としているのがアメリカ法曹協会(ABA: American Bar Association)が策定した法曹倫理の模範規則(Model Rules of Professional Conduct)(ABA模範規則)である。

本稿では、法曹倫理のルールのうち、弁護士及び非弁護士によるパートナーシップ(partnership)についてのルールを紹介する。パートナーシップとは、一般的に、「複数の者が、営利の目的で金銭、労力等を出資して事業を行う契約関係で、わが国の民法上の組合および合名会社に相当する」概念である(英米法辞典)。米国では、多くの特許法律事務所(特許法に関する法律事務全般を業として行う法律事務所)が、パートナーシップの一形態である、有限責任パートナーシップ(LLP: Limited Liability Partnership)の形で設立される注8。このため、米国の特許法律事務所にとって、パートナーシップの設立に課される要件は重要である。


8その他、職業有限責任会社(PLLC: Professional Limited Liability Company)の形態の特許法律事務所もしばしば見られる。



ABA Model Rules of Professional Conduct (2016)
Rule 5.4: Professional Independence of a Lawyer
(b) A lawyer shall not form a partnership with a nonlawyer if any of the activities of the partnership consist of the practice of law. (Emphasis added).

パートナーシップについては、多くの州が、ABA模範規則と同内容又は同趣旨の規定を設けている。たとえば、ABA模範規則と異なる点が多いことで知られているカリフォルニア州の職業行動規範規則(California Rules of Professional Conduct)注9も、弁護士及び非弁護士によるパートナーシップの禁止については、ABA模範規則と同趣旨の規定を設けている。


California Rules of Professional Conduct (Effective November 1, 2018)
Rule 5.4 Financial and Similar Arrangements with Nonlawyers
(b) A lawyer shall not form a partnership or other organization with a nonlawyer if any of the activities of the partnership or other organization consist of the practice of law. (Emphasis added).

9カリフォルニア州の職業行動規範規則は、たとえば、ABA模範規則1.14 (Client with Diminished Capacity), 規則5.7 (Responsibilities Regarding Law-related Services), 規則7.6 (Political Contributions to Obtain Legal Engagements or Appointments by Judges), 規則8.3 (Reporting Professional Misconduct)を採用していない。




D.C. Rules of Professional Conduct (Effective October 8, 2015)
Rule 5.4--Professional Independence of a Lawyer
    (b) A lawyer may practice law in a partnership or other form of organization in which a financial interest is held or managerial authority is exercised by an individual nonlawyer who performs professional services which assist the organization in providing legal services to clients, but only if:
        (1) The partnership or organization has as its sole purpose providing legal services to clients;
        (2) All persons having such managerial authority or holding a financial interest undertake to abide by these Rules of Professional Conduct;
        (3) The lawyers who have a financial interest or managerial authority in the partnership or organization undertake to be responsible for the nonlawyer participants to the same extent as if nonlawyer participants were lawyers under Rule 5.1;
        (4) The foregoing conditions are set forth in writing. (Emphasis added).

    [3] As the demand increased for a broad range of professional services from a single source, lawyers employed professionals from other disciplines to work for them. So long as the nonlawyers remained employees of the lawyers, these relationships did not violate the disciplinary rules. However, when lawyers and nonlawyers considered forming partnerships and professional corporations to provide a combination of legal and other services to the public, they faced serious obstacles under the former rules.
    [4] This rule rejects an absolute prohibition against lawyers and nonlawyers joining together to provide collaborative services, but continues to impose traditional ethical requirements with respect to the organization thus created. Thus, a lawyer may practice law in an organization where nonlawyers hold a financial interest or exercise managerial authority, but only if the conditions set forth in subparagraphs (b)(1), (b)(2), and (b)(3) are satisfied, and pursuant to subparagraph (b)(4), satisfaction of these conditions is set forth in a written instrument. The requirement of a writing helps ensure that these important conditions are not overlooked in establishing the organizational structure of entities in which nonlawyers enjoy an ownership or managerial role equivalent to that of a partner in a traditional law firm. (Emphasis added).

Ethics Opinion 244
Inclusion of Name of Nonlawyer Partner in Firm Name
Assuming compliance with the requirements of Rule 5.4(b), the name of a nonlawyer partner may be included in the name of a law firm. However, the firm must make clear on firm stationery, business cards and professional listings that the nonlawyer partner is not a lawyer. (Emphasis added).

弁護士及び非弁護士(例:米国特許弁理士(patent agent);日本国弁理士)のパートナーシップから構成される特許法律事務所がコロンビア特別区で設立される例がみられるのは、このコロンビア特別区のRule 5.4(b)の存在が理由なのである。






米国地方裁判所(United States district courts)は、同裁判所において事務を行う弁護士資格を、原則として、同裁判所が物理的に所在する州の州政府が管轄する弁護士資格の保有を前提に認める。

たとえば、カリフォルニア州に物理的に所在するカリフォルニア北部地区米国連邦地方裁判所(United States District Court for Northern District of California)は、代理資格の付与にあたり、カリフォルニア州の弁護士資格の保有を求めている。


United States District Court for Northern District of California
"Admission to Practice
Civil Local Rule 11-1 provides that the Bar of this court consists of attorneys of good moral character who are active members in good standing of the State Bar of California. Attorneys must also certify that they have knowledge of the Federal Rules of Civil and Criminal Procedure and Evidence, the Rules of the United States Court of Appeals for the Ninth Circuit and the local rules of this court. Furthermore, attorneys must possess familiarity with the Alternative Dispute Resolution programs of the court and an understanding and commitment to abide by the Standards of Professional Conduct of this court set forth in Civil Local Rule 11-4." (Emphasis added).


連邦巡回区控訴裁判所(Fed. Cir.: United States Court of Appeals for the Federal Circuit)は、代理資格の付与にあたり、連邦の弁護士資格又は州の弁護士資格の保有を求めている。


Federal Circuit Rule 46. Attorneys
(a) Eligibility. An attorney is eligible for admission to the bar of this court if that attorney is of good moral and professional character and is admitted to practice before and of good standing in:
(1) any of the courts listed in Federal Rule of Appellate Procedure 46(a) [(the Supreme Court of the United States, the highest court of a state, another United States court of appeals, or a United States district court (including the district courts for Guam, the Northern Mariana Islands, and the Virgin Islands))];
(2) the United States Court of International Trade;
(3) the United States Court of Federal Claims;
(4) the United States Court of Appeals for Veterans Claims; or
(5) the District of Columbia Court of Appeals. (Emphasis added).



まず、特許法(35 U.S.C.)は、米国特許商標庁に対する特許手続の代理資格の規制権限を、米国特許商標庁に付与する。


35 U.S.C. 2 Powers and duties.
"(b) SPECIFIC POWERS.— The Office— ... (2) may establish regulations, not inconsistent with law, which— ... (D) may govern the recognition and conduct of agents, attorneys, or other persons representing applicants or other parties before the Office, and may require them, before being recognized as representatives of applicants or other persons, to show that they are of good moral character and reputation and are possessed of the necessary qualifications to render to applicants or other persons valuable service, advice, and assistance in the presentation or prosecution of their applications or other business before the Office[.]"

次に、米国特許商標庁は、特許法2条に基づき規則(37 C.F.R.)を制定し、その規則に基づき、特許手続の代理資格を付与する。具体的には、以下に引用する規定が示すとおり、米国市民又は所定の要件を満たす米国在住の外国人(永住権保有者とほぼ同義)であって、登録試験(Examination for Registration to Practice in Patent Cases before the United States Patent and Trademark Office)の合格等の所定の要件を満たす者は、州の弁護士資格を保有する場合には特許弁護士(patent attorney)として登録され、州の弁護士資格を保有しない場合には特許弁理士(patent agent)として登録される。さらに、それ以外の米国市民又は外国人は、所定の要件を満たすことを条件に、限定承認(limited recognition)という形態で代理資格を付与される。


37 C.F.R. 1.32 Power of attorney.
(a) Definitions.
(1) Patent practitioner means a registered patent attorney or registered patent agent under § 11.6. (Emphasis added).

37 C.F.R. 11.1 Definitions.
Attorney or lawyer means an individual who is an active member in good standing of the bar of the highest court of any State. A non-lawyer means a person who is not an attorney or lawyer. (Emphasis added).

37 C.F.R. 11.6 Registration of attorneys and agents.
(a) Attorneys. Any citizen of the United States who is an attorney and who fulfills the requirements of this part may be registered as a patent attorney to practice before the Office. When appropriate, any alien who is an attorney, who lawfully resides in the United States, and who fulfills the requirements of this part may be registered as a patent attorney to practice before the Office, provided that such registration is not inconsistent with the terms upon which the alien was admitted to, and resides in, the United States[.]
(b) Agents. Any citizen of the United States who is not an attorney, and who fulfills the requirements of this part may be registered as a patent agent to practice before the Office. When appropriate, any alien who is not an attorney, who lawfully resides in the United States, and who fulfills the requirements of this part may be registered as a patent agent to practice before the Office, provided that such registration is not inconsistent with the terms upon which the alien was admitted to, and resides in, the United States[.] (Emphasis added).

37 C.F.R. 11.9 Limited recognition in patent matters.
(a) Any individual not registered under §11.6 may, upon a showing of circumstances which render it necessary or justifiable, and that the individual is of good moral character and reputation, be given limited recognition by the OED Director to prosecute as attorney or agent a specified patent application or specified patent applications. Limited recognition under this paragraph shall not extend further than the application or applications specified. Limited recognition shall not be granted while individuals who have passed the examination or for whom the examination has been waived are awaiting registration to practice before the Office in patent matters. (b) A nonimmigrant alien residing in the United States and fulfilling the provisions of § 11.7(a) and (b) may be granted limited recognition if the nonimmigrant alien is authorized by the United States Government to be employed or trained in the United States in the capacity of representing a patent applicant by presenting or prosecuting a patent application[.] (Emphasis added).

米国特許商標庁は、特許手続については、米国市民又は所定の要件を満たす米国在住の外国人に対し、一定要件下、特許弁護士(patent attorney)の資格を付与する。特許弁護士は、州の弁護士資格の保有を前提とするものの、州の弁護士資格には許されていない法律事務を行う権限をその保有者に付与する。すなわち、州の弁護士資格の保有者であっても、特許弁護士として登録されていない者は、原則として、米国特許商標庁に対する特許手続の代理資格を有さない注10。一方、州の弁護士資格の非保有者であっても、特許弁理士として登録されている者は、米国特許商標庁に対する特許手続の代理資格を有する。


37 C.F.R. 11.10 Restrictions on practice in patent matters.
(a) Only practitioners who are registered under § 11.6 or individuals given limited recognition under § 11.9(a) or (b) are permitted to prosecute patent applications of others before the Office; or represent others in any proceedings before the Office.




37 C.F.R. 11.14 Individuals who may practice before the Office in trademark and other non-patent matters.
(a) Attorneys. Any individual who is an attorney as defined in §11.1 may represent others before the Office in trademark and other non-patent matters. An attorney is not required to apply for registration or recognition to practice before the Office in trademark and other non-patent matters. Registration as a patent practitioner does not itself entitle an individual to practice before the Office in trademark matters.
(b) Non-lawyers. Individuals who are not attorneys are not recognized to practice before the Office in trademark and other non-patent matters, except that individuals not attorneys who were recognized to practice before the Office in trademark matters under this chapter prior to January 1, 1957, will be recognized as agents to continue practice before the Office in trademark matters. Except as provided in the preceding sentence, registration as a patent agent does not itself entitle an individual to practice before the Office in trademark matters.
(c) Foreigners. Any foreign attorney or agent not a resident of the United States who shall file a written application for reciprocal recognition under paragraph (f) of this section and prove to the satisfaction of the OED Director that he or she is registered or in good standing before the patent or trademark office of the country in which he or she resides and practices and is possessed of good moral character and reputation, may be recognized for the limited purpose of representing parties located in such country before the Office in the presentation and prosecution of trademark matters, provided: the patent or trademark office of such country allows substantially reciprocal privileges to those permitted to practice in trademark matters before the Office. Recognition under this paragraph shall continue only during the period that the conditions specified in this paragraph obtain.
(d) Recognition of any individual under this section shall not be construed as sanctioning or authorizing the performance of any act regarded in the jurisdiction where performed as the unauthorized practice of law.
(e) No individual other than those specified in paragraphs (a), (b), and (c) of this section will be permitted to practice before the Office in trademark matters on behalf of a client. Any individual may appear in a trademark or other non-patent matter in his or her own behalf. (Emphasis added).


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