Sources of Regulation of the Legal Profession

Question 1

Under what power do the states have the right to regulate the legal profession?

Answer 1

Police Powers

Question 2

What branch of the state creates ethics rules and oversees the discipline of lawyers?

Answer 2

The highest court in the state - Courts have the inherent power to regulate the profession in and out of court.

Question 3

True or False: The legislature creates the ethics rules and oversees the discipline of lawyers?

Answer 3

False - The highest court in the state does.

Question 4

True or False: The ABA governs the ethics rules of the states?

Answer 4

False - States adopt some version of the ABA model rules for Professional Conduct and Judicial Conduct.

Question 5

True or False: Every state has a body of judge-made case law concerning the rights and duties of lawyers?

Answer 5

True

Question 6

Do some courts have rules of court that lawyers must comply with?

Answer 6

Yes

Question 7

What is an integrated bar system?

Answer 7

A bar association where every lawyer admitted to practice law must be a member of the state bar.

Question 8

What are 3 functions of bar associations?

Answer 8

1) administer state bar exam
2) CLE
3) Assist the state court in regulating the profession

Question 9

True or False: State or Federal laws can govern some suspects of the practice of law.

Answer 9

True - SEC disclosures, etc.

Question 10

Does each federal court have its own bar?

Answer 10

Yes and to practice in the court the attorney must be a member of that bar.

Question 11

Are government attorneys for the feds subject to state laws and rules governing attorney in the state where they work?

Answer 11

Yes but only as it relates to ethical conduct not evidence laws or state substantive law.

Question 12

Can a lawyer be subject to regulation by each state in which they are admitted to practice law?

Answer 12

Yes - regardless of where the lawyer actually practices or where the conduct occurred.

Question 13

What occurs if there is a conflict in the rules between two states that can regulate a lawyers conduct?

Answer 13

Choice of law rules apply - if the conduct arises in a proceeding pending before a court, the ethics rules of that court apply.

If the conduct occurred in any other way, the rules of the place where the conduct occurred trump unless there is a different state where there is a predominant effect.

Question 14

True or False: A lawyer will not be subject to discipline if her conduct is proper in the jurisdiction in which she believes the predominant effect of the conduct will occur.

Answer 14

True - will not be subject to discipline in either state

Question 15

If an attorney’s conduct as a predominant effect in one state, but the conduct occurred in another, what state rules govern?

Answer 15

Generally - where the predominant effect occurs.

Question 16

Can an attorney and a client enter into a written agreement specifying the predominant effect jurisdiction?

Answer 16

Yes - done in advance and with the the client’s informed consent - courts can consider this agreement in determining whether the lawyer reasonably believed the jurisdiction’s rules would apply.