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Wednesday, June 19, 2019 2:26:08 PM
What Is a “Filing Basis”?
A “filing basis” is the basis in the Trademark Act upon which you have filed your trademark or service mark application with the United States Patent and Trademark Office (USPTO). You must include one or more filing bases in an application. Each “filing basis” has different requirements that must be met before a trademark or service mark may proceed toward registration.
In your application, you may select from four possible bases:
Use in commerce basis (under Trademark Act Section 1(a)) – you are currently using your mark in commerce with your goods and/or services.
Intent-to-use basis (under Section 1(b)) - you have a bona fide intention to use your mark in commerce with your goods and/or services in the near future.
Foreign registration basis (under Section 44(e)) - you own a foreign registration of the same mark for the same goods and/or services from your country of origin.
Foreign application basis (under Section 44(d)) - you own an earlier-filed foreign application that was filed within six months of your U.S. application for the same mark and the same goods and/or services. This basis is also called a “foreign priority basis” because you are requesting a “priority” filing date for your U.S. application that is the same date as that of the foreign application filing date.
The specific legal requirements for these four bases are specified below.
In addition to an acceptable filing basis, you must also establish a registration basis, a legal basis upon which you can register your mark. There are two registration bases –use in commerce under Section 1(a) and a foreign registration under Section 44(e). If you file an application under Section 1(b) based on your intent to use the mark in the near future or under Section 44(d) based on a foreign application, you must provide one or both of these registration bases before your mark will be permitted to register.
Further, this webpage does not discuss a Section 66(a) filing basis, which is based on a request for extension of protection of an international registration to the United States sent from the International Bureau of the World Intellectual Property Organization. You cannot amend your application to one based on Section 66(a), nor can you combine a Section 66(a) filing basis with any of the bases referenced above.
For more information about the requirements for a filing basis, see 37 C.F.R. §§2.32(a)(5), 2.34(a) and TMEP §§806-806.01(d). For additional information about a Section 66(a) filing basis, see TMEP §§806.01(e), 1904.01, 1904.01(a). Further, to check the status of your application and whether something should be filed, see the USPTO’s Check Status & View Documents webpage.
For more information about the need for a registration basis for an intent-to-use or foreign application filing basis, see 37 C.F.R. §2.34(a)(1), (a)(3) and TMEP §§1003.03, 1103.
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