Content-Based Section 2 Refusal Checklist: Consent, Connection, and Insignia

By ·

Twelve phases for the lawyer holding an office action that refuses a mark because of what it says about somebody. It sorts the six refusals that arrive in this family, then works each to its cure - the four-part attack on a false-connection refusal, the consent letter with the two clauses everyone omits, and the drawing amendment that converts a barred simulation into a registrable design. Each phase carries the authority, the evidence to assemble, and the trap that costs applicants their filing. There are separate passes for institutions, tribes, and foreign flags, which behave differently from the ordinary case, and a parallel-risk phase covering publicity rights and Section 43(a) exposure that a registrability analysis never surfaces. Three invented matters run through it, one per refusal.

IP and Technology > Trademarks | Checklist | Published 14 April 2026 - Updated 19 May 2026 | Casey Scott McKay - marksy.us

Summary. Twelve phases for the lawyer holding an office action that refuses a mark because of what it says about somebody. It sorts the six refusals that arrive in this family, then works each to its cure — the four-part attack on a false-connection refusal, the consent letter with the two clauses everyone omits, and the drawing amendment that converts a barred simulation into a registrable design. Each phase carries the authority, the evidence to assemble, and the trap that costs applicants their filing. There are separate passes for institutions, tribes, and foreign flags, which behave differently from the ordinary case, and a parallel-risk phase covering publicity rights and Section 43(a) exposure that a registrability analysis never surfaces. Three invented matters run through it, one per refusal.

Keywords: section 2(a) refusal checklist · section 2(b) checklist · section 2(c) checklist · false suggestion of connection · notre dame four-part test · uniquely and unmistakably · sufficient fame prong · written consent to register · assignable consent clause · insignia simulation · ordinary observer · drawing amendment 2.72 · foreign flag mark · paris article 6ter · failure to function refusal · right of publicity overlap · section 43(a) false endorsement · ex parte appeal · request for reconsideration · examiner interview


What this checklist is for

This is the working document for a content-based refusal under Section 2. It does not re-teach the constitutional background. If you cannot say in one sentence why Vidal v. Elster upheld the names clause after Tam and Brunetti struck its neighbors, read Names, Flags, and Offense first. The reasoning behind each box — why prong four is the underused attack, why a Section 2(b) refusal has no consent cure, why the specimen matters more than the First Amendment — is in Overcoming a False Connection, Insignia, or Name Refusal. This document tells you what to do, in order.

Who should use it. Prosecution counsel responding to a Section 2(a), 2(b), or 2(c) refusal; brand counsel clearing a mark that contains or evokes a person, an institution, or a sovereign symbol; in-house counsel deciding between an appeal and a rebrand; and anyone drafting an endorsement agreement who wants the consent problem solved before it exists.

What you'll need before you start. The office action with every cited authority and every attached exhibit; the application file including the drawing, the identification, and the specimen; the applicant's mark-adoption documents; any agreement with a named individual or institution; the official emblem, from the sovereign's own publication, where insignia is at issue; and the response deadline with the extension date calendared. On the clock, see Office Action Deadlines.

The three worked matters. Matter A: Harrow & Vale Provisions applies for DUKE ELLINGTON'S MIDNIGHT HEAT for hot sauce; refused under § 2(a) as falsely suggesting a connection. Matter B: Corvid Athletics applies for REESE HALVORSEN SIGNATURE for training equipment; Halvorsen is a climber under contract; refused under § 2(c). Matter C: Bureau Coffee Roasters applies for BUREAU with a shield-eagle-banner device; refused under § 2(b) as a simulation of the Great Seal.

| Phase | What you accomplish | Typical elapsed time | |---|---|---| | 1 | Sort the refusal and calendar the clock | 1-2 days | | 2 | Run the four-part false-connection test | 1 week | | 3 | Build the prong 2 record | 2-3 weeks | | 4 | Build the prong 4 record | 1-2 weeks | | 5 | Handle the institutional variant | 1-2 weeks | | 6 | Procure and draft the § 2(c) consent | 1-3 weeks | | 7 | Diagnose and cure the insignia refusal | 2-4 weeks | | 8 | Handle the foreign-flag variant | 1-2 weeks | | 9 | Answer the failure-to-function refusal | 2-4 weeks | | 10 | Check the parallel risks | 1 week | | 11 | Interview, then file the response | 1-2 weeks | | 12 | Decide reconsideration, appeal, or rebrand | 2-20 months |


Phase 1 — Sort the refusal and calendar the clock


Phase 2 — Run the four-part false-connection test

Matter A, Phase 2. Prong 1 conceded. Prong 2 is strong for the examiner. Prong 3 is curable only by an estate license. Prong 4 is the only genuine argument, and it is weakened by the estate's active licensing program. Counsel's memo recommends approaching the estate and, failing that, changing the mark.


Phase 3 — Build the prong 2 record


Phase 4 — Build the prong 4 record


Phase 5 — Handle the institutional variant


Phase 6 — Procure and draft the § 2(c) consent

Matter B, Phase 6. Halvorsen is under contract. Consent obtained by email in two days, filed with the response, refusal withdrawn. The three months lost were entirely avoidable.


Phase 7 — Diagnose and cure the insignia refusal

Matter C, Phase 7. The drawing is amended: the eagle faces the other way and holds nothing, the shield loses its chief-and-pale division, and the banner carries the applicant's own wording. Side-by-side exhibit filed. Refusal withdrawn in one round.


Phase 8 — Handle the foreign-flag variant


Phase 9 — Answer the failure-to-function refusal


Phase 10 — Check the parallel risks


Phase 10A — Price the whole thing before you write

Phase 10B — Clear the next mark so this never happens again


Phase 11 — Interview, then file


Phase 12 — Decide reconsideration, appeal, or rebrand


Key Authorities at a Glance

| Authority | What it provides | Phase | |---|---|---| | 15 U.S.C. § 1052(a) | False connection; deceptive matter | 1-5 | | 15 U.S.C. § 1052(b) | Flags, coats of arms, insignia | 7, 8 | | 15 U.S.C. § 1052(c) | Names of living individuals | 6 | | Univ. of Notre Dame du Lac v. J.C. Gourmet Food Imports Co., 703 F.2d 1372 (Fed. Cir. 1983) | The four-part test | 2 | | In re Nieves & Nieves LLC, 113 U.S.P.Q.2d 1629 (T.T.A.B. 2015) | Nicknames and allusive references | 3 | | In re Jackson Int'l Trading Co., 103 U.S.P.Q.2d 1417 (T.T.A.B. 2012) | The bar reaches the deceased | 2 | | In re Pedersen, 109 U.S.P.Q.2d 1185 (T.T.A.B. 2013) | Application of the prongs | 2 | | Matal v. Tam, 582 U.S. 218 (2017) | No disparagement refusal | 1 | | Iancu v. Brunetti, 588 U.S. 388 (2019) | No immoral-or-scandalous refusal | 1, 9 | | Vidal v. Elster, 602 U.S. 286 (2024) | Names clause upheld; consent is the path | 1, 6 | | In re City of Houston, 731 F.3d 1326 (Fed. Cir. 2013) | No consent exception under § 2(b) | 7 | | In re Budge Mfg. Co., 857 F.2d 773 (Fed. Cir. 1988) | Deceptive matter; geographic deception | 8 | | 15 U.S.C. § 1127 | Source identification; failure to function | 9 | | 15 U.S.C. § 1125(a)(1)(A) | False endorsement and association | 10 | | 18 U.S.C. § 713 | Use of the Great Seal and related seals | 7, 8 | | 37 C.F.R. § 2.72 | Material alteration limit on amendments | 7 | | 15 U.S.C. § 1058 | Maintenance filings the consent must reach | 6 | | 15 U.S.C. § 1070 | Ex parte appeal | 12 | | 37 C.F.R. § 2.141 | Appeal procedure | 12 | | 15 U.S.C. § 1071(b) | Civil action with a new record | 12 | | 28 U.S.C. § 1295(a)(4)(B) | Federal Circuit jurisdiction and standards | 12 | | 15 U.S.C. § 1057(b) | Presumptions lost without registration | 12 | | 15 U.S.C. § 1065 | Incontestability lost without registration | 12 | | TMEP § 1203.03 | False connection practice | 2 |

The five things people get wrong

Arguing the First Amendment. After Elster, a viewpoint-neutral content-based bar will be upheld. The constitutional paragraph is a way of avoiding the evidentiary argument that would actually win.

Arguing prong 2 and stopping. Prong 4 requires that a connection be presumed on these goods. It is the underused attack and it is frequently the weaker half of the examiner's record.

Chasing consent after filing. Section 2(c) has a complete cure that costs a signature — obtained before filing, when the relationship is warm, and drafted to reach successors and renewals.

Briefing a Section 2(b) refusal instead of redrawing. There is no consent cure and the ordinary-observer question is unpredictable. An afternoon with a designer beats $15,000 of argument.

Treating the refusal as the whole risk. Publicity rights, false endorsement, and sovereign-symbol use statutes all operate independently of registrability, and they arrive later, from someone with a lawyer.

Related Documents

Articles

Guides

Checklists

Toolkits

Templates & Forms


This document is general information about the law, not legal advice, and does not create an attorney-client relationship. Trademark and copyright outcomes turn on specific facts. Marksy is not a law firm.

Read this article on Marksy