Regulation of Legal Profession

Question 1

Applicants for admission to the bar must

Answer 1

respond truthfully and completely to inquiries made on the application or otherwise by the admissions committee

Question 2

False statements by applicant

Answer 2

An applicant for admission to the bar must not KNOWINGLY make a false statement of material fact

Question 3

Failure to disclose information

Answer 3

an applicant for bar admission must not 1) fail to disclose a fact necessary to correct a misapprehension known by the person to have arisen in the matter or 2) knowingly fail to respond to a lawful demand for information from an admissions authority

Question 4

burden of proof for character and fitness

Answer 4

applicant has burden to establish good moral character, including cooperating in relevant disclosures and reasonable investigations

Question 5

bar applicant rights

Answer 5

due process in committee proceedings

Question 6

violation of rules of professional conduct

Answer 6

a lawyer 1) violates or attempts to violate any of the rules of professional condcut
2) knowingly assists or induces another person to violate the rules or
3) uses the acts of another to commit a violation

Question 7

criminal acts after admission to bar

Answer 7

subject to discipline for committing a criminal act that reflects adversely on honesty, trustworthiness, or fitness as a lawyer in other respects

Question 8

professional misconduct

Answer 8

any conduct involving dishonesty, fraud, deceit, or misrepresentation

Question 9

assisting judge in violation of judicial code as a lawyer

Answer 9

is subject to discipline if done knowingly, assisting in conduct that violates the code of judicial conduct

Question 10

harassment or discrimination in law practice

Answer 10

Lawyer must not in conduct related to the practice of law engage in conduct that the lawyer knows or reasonably should know is harassment or discrimination on the basis of race, religion, national origin, ethnicity, disability, age, sexual orientation, gender identity, marital status, or socioeconomic status

Question 11

duty to report misconduct

Answer 11

a lawyer who knows another lawyer has violated the Rules in a way that it raises a SUBSTANTIAL question as to the L’s honesty, trustworthiness, or fitness as a lawyer must report the violation to the appropriate professional authority

Question 12

“knowledge”

Answer 12

actual knowledge or inferred from the circumstances;
more than mere suspicion

Question 13

“substantial”

Answer 13

material matter of clear and weighty importance

Question 14

disciplinary procedure

Answer 14

complaint, screening, hearing with due process, sanctions

Question 15

due process includes

Answer 15

right to counsel
proper notice
hear and introduce evidence
cross examine

Question 16

Sanction types

Answer 16

private/public reprimand, censure, suspension of license, disbarment
probation, restitution costs of disciplinary proceedings, limitations on practice

Question 17

Disability proceedings

Answer 17

Lawyer who is incapacitated by an impairment like substance abuse that poses a particular risk of harm to clients, the public, and legal institutions may be suspended until it can be shown rehabilitation has occurred

Question 18

rule against unauthorized practice

Answer 18

1) subject to discipline for practicing in jurisdiction where not admitted
2) subject to discipline for assisting another person in the unlicensed practice of law

Question 19

association with local lawyer

Answer 19

may practice on temporary basis in state where not admitted if associated with a local lawyer who actively participates in the matter

Question 20

special permission to practice in local tribunal

Answer 20

may request special permission “pro hac vice” for the purposes of a matter in that tribunal only

Question 21

mediation/arbitration arising out of practice in home state

Answer 21

may mediate, arbitrate, alternative dispute resolution in state in which not admitted to practice if their services arise out of, or are reasonably related to, the practice in the state in which they are admitted

Question 22

reasonably related to home state practice

Answer 22

catch all category permits lawyer to temporarily practice out of state if the lawyer’s practice is reasonably related to their home state practice

Question 23

“practice of law”

Answer 23

1) whether activity involves legal knowledge and skill beyond that which the average layperson possesses
2) whether the activity constitutes advice or services concerning binding legal rights or remedies
3) whether the activity is one traditionally performed by lawyers

Question 24

consequences of unauthorized practice to non lawyers

Answer 24

injunction, contempt, criminal conviction

Question 25

delegating work to nonlawyer assistants

Answer 25

lawyers are not prohibited from delegating tasks to paralegals, law clerks, interns but must supervise the delegated work carefully and must be ultimately responsible for the results

Question 26

suspended/disbarred lawyers can still

Answer 26

do work that a layperson can do

Question 27

duties of direct supervisors

Answer 27

lawyer who directly supervises work of another lawyer must make reasonable efforts to assure that the other lawyer adheres to the rules

Question 28

duties of partners or managing lawyers

Answer 28

partners or managing lawyers of a law firm must make reasonable efforts to assure that the other lawyers adhere to the rules

Question 29

ethical responsibility for other lawyers misconduct

Answer 29

subject to discipline for disciplinary violation committed by a 2nd lawyer if:
1) the first lawyer ordered the 2nd lawyers misconduct, or knew about it and ratified it; or
2) the 1st lawyer is a partner, manager, or direct supervisory responsibility over the 2nd lawyer AND knows about the misconduct at a time when its consequences can be avoided or mitigated and fails to take reasonable remedial action

Question 30

duty to educate non lawyer assistants

Answer 30

lawyers who work with nonlawyer employees whether within or outside the firm must instruct them concerning the ethics of the profession and should be ultimately responsible for their work

Question 31

duty of partners to nonlawyer employees

Answer 31

must make reasonable efforts to assure conduct of nonlawyers is compatible with the obligations of the profession

Question 32

duty of direct supervisor to nonlawyer employees

Answer 32

must make reasonable efforts to assure that the conduct of the nonlawyer is compatible with the obligations of the profession

Question 33

subordinate lawyer duties

Answer 33

to not carry out orders from supervisor that are clearly unethical conduct

Question 34

ethical responsibility for nonlawyer’s misconduct

Answer 34

lawyer is subject to discipline when non lawyer does something that if done by lawyer would be a violation of the rules if:
1) lawyer ordered or knew about the conduct and ratified it; or
2) lawyer is partner, manager, direct supervisor over nonlawyer AND the lawyer knows about the misconduct at a time when its consequences can be avoided or mitigated and fails to take reasonable remedial action

Question 35

subordinate not violating rules by acting in accordance with supervisor’s orders when

Answer 35

acting in accordance with a supervisor’s reasonable resolution of an ARGUABLE question of professional duty
the supervisory lawyer is then responsible

Question 36

fee splitting with nonlawyers and temp lawyers

Answer 36

lawyers cannot share legal fees with nonlawyers unless it is paid towards a salary of a nonlawyer employee or temp lawyer

Question 37

death benefits in firms

Answer 37

lawyers can designate and agree in firm that when one dies the others will pay benefits over a reasonable period of time to their estate or designated beneficiaries

Question 38

partnerships with nonlawyers to practice law

Answer 38

are prohibited, if any part of the partnership activity will constitute the practice of law

Question 39

nonlawyer involvement in incorporated or association law firms

Answer 39

Lawyer must not practice in incoporated law firm or association authorized to practice law for profit if
1) a NONlawyer owns any interest in the firm or association
2) a nonlawyer is a corporate director or officer or the equivalent thereof or
3) a nonlawyer has the right to direct or control the professional judgment of a lawyer

Question 40

restrictions on right to practice

Answer 40

must neither make nor offer a partnership or employment or similar offer that restricts a lawyer’s right to practice after termination of the relationship
exception: benefits upon retirement

Question 41

restrictive settlement agreements for clients

Answer 41

must neither make nor offer an agreement in which a restriction on the L’s right to practice is part of the settlement of a client controversy

Question 42

Sale of law practice requirements

Answer 42

1) seller must cease to engage in private practice of law in the area where the practice has been conducted
2) the entire practice or the entire field of practice must be sold to one or more lawyers or firms
3) written notice must be given
to the seller’s clients regarding the sale
4) the purchaser must undertake ALL of the client matters in the practice

Question 43

Rules applies to non law services rendered by a lawyer when

Answer 43

1) the nonlegal service is provided with legal services
2) the lawyer is providing the services through an entity that is not their law office but that they control
3) providing nonlegal services to a legal client

Question 44

Business transaction with client requirements

Answer 44

1) terms must be fair to client
2) terms must be fully disclosed to client in writing
3) such disclosure must cover the essential terms of the transaction and the lawyers role in the transaction
4) the client must be advised in writing to seek advice from independent lawyer for the arrangement
5) client must give informed consent in writing signed by the client