C.F.R. » Title 37 » CHAPTER I—UNITED STATES PATENT AND TRADEMARK OFFICE, DEPARTMENT OF COMMERCE › SUBCHAPTER A—GENERAL › PART 3—ASSIGNMENT, RECORDING AND RIGHTS OF ASSIGNEE

37 C.F.R. § 3.1

Definitions

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For purposes of this part, the following definitions shall apply:

Application means a national application for patent, an international patent application that designates the United States of America, an international design application that designates the United States of America, or an application to register a trademark under section 1 or 44 of the Trademark Act, 15 U.S.C. 1051, or 15 U.S.C. 1126, unless otherwise indicated.

Assignment means a transfer by a party of all or part of its right, title and interest in a patent, patent application, registered mark or a mark for which an application to register has been filed.

Document means a document which a party requests to be recorded in the Office pursuant to § 3.11 and which affects some interest in an application, patent, or registration.

Office means the United States Patent and Trademark Office.

Recorded document means a document which has been recorded in the Office pursuant to § 3.11.

Registration means a trademark registration issued by the Office.

[69 FR 29878, May 26, 2004, as amended at 80 FR 17969, Apr. 2, 2015]
Notes of Decisions
Cited in 8 cases (2 in the last 5 years), 1999–2025 · leading case: Moldo v. Matsco, Inc. (In Re Cybernetic Servs., Inc.), 239 B.R. 917 (9th Cir. BAP 1999).
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Moldo v. Matsco, Inc. (In Re Cybernetic Servs., Inc.), 239 B.R. 917 (9th Cir. BAP 1999). · cites it 2× “37 C.F.R. 3.1. The terms “security interest” and “lien” are not included in any of the C.”
Realvirt, LLC v. Lee, 195 F. Supp. 3d 847 (E.D. Va. 2016). “” 37 C.F.R. § 3.1 . Importantly, however, the Federal Circuit has made clear that “ ‘there is nothing that limits assignments as the only means for transferring patent ownership,’” as “‘ownership of a patent may [also] be changed by operation of law.”
Gauthier v. Gauthier, 2019 Ohio 4397 (Ohio Ct. App. 2019). “" 37 C.F.R. 3.1. defines an assignment as "a transfer by a party of all or part of its right, title and interest in a patent [or] patent application[.”
Med Safe Nw., Inc. v. Medvial, Inc., 1 F. App'x 795 (10th Cir. 2001). “” (emphasis added)); 37 C.F.R. § 3.1 (“Office means the [U.S.] Patent and Trademark Office.”
Gauthier v. Gauthier, 2025 Ohio 501 (Ohio Ct. App. 2025). “{¶ 67} 37 C.F.R. 3.1 defines an assignment as "a transfer by a party of all or part of its right, title and interest in a patent [or] patent application[.”
Ortiz & Assocs. Consulting, LLC v. Ricoh USA, Inc. (W.D. Tex. 2023). “” 37 CFR 3.1. Thus, the assignor must have legal title to the patent to effectuate an assignment.”
Raffel Sys. LLC v. Man Wah Holdings LTD Inc (E.D. Wis. 2020). “(citing 37 C.F.R. § 3.1 ). The court noted that neither the term “security interest” nor the term “lien” are found in any of the provisions governing patents and the reason for this is that “‘[a] security interest is not an ‘assignment, grant or conveyance of a patent.”
In re Amendments to the Rules Regulating the Florida Bar—Subchapters 6-25 & 6-26, 933 So. 2d 1123 (Fla. 2006). “997, as amended; the American Inventors Protection Act of 1999, United States Patent and Trademark Office (USPTO) rules of practice, the Manual of Patent Examining Procedure (MPEP), the Patent Cooperation Treaty (as modified by any later court decisions or Official Gazette…”
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