Verified statement

Trademark applications and allegations of use

Verified statements are required
Common mistakes to avoid
Parties who may sign/attest to a verified statement or assurances
Timeframe for signing and filing a verified statement
Providing a verified statement, omitted assurance, or signature date online
 

Trademark applications and allegations of use

A verified statement, sometimes informally called a declaration, contains assurances you are making when you file an application and/or allegation of use. Assurances are specific statements you make about your ownership and use of the applied-for mark.  These statements are then sworn to, like in an affidavit, or included in what is the equivalent of an affidavit (see section below “Verified statements are required” for more information about verification).

The assurances you must include in your verified statement depend on the type of filing basis (for example, use-in-commerce) you have claimed in your application, whether you are filing an allegation of use, and/or when the verified statement is filed.

A verified statement is required for a trademark or service mark application. It is also required if you file an allegation of use (an amendment to allege use (AAU) or statement of use (SOU)). An AAU or SOU is a form you file in an intent-to-use-based application when you can attest that you are actually using your mark in commerce and, once we accept it, changes the filing base to a use-in-commerce basis. AAUs and SOUs have different requirements and forms. See more information about AAUs and SOUs.

For more information about the requirement for a verified statement generally, see 15 U.S.C. §1051(a)(3), (b)(3), (d)(1); 37 C.F.R. §§2.32(b), 2.33(a)-(c), 2.34(a)(1)(i), (a)(2), (a)(3)(i), (a)(4)(ii), 2.76(b)(1), 2.88(b)(1); and TMEP §§804.02, 1104.08, 1109.06.

 

Which assurances to include

Below are the verified statements required for a trademark application, AAU, and SOU.

Initial application

If these assurances are not included with the initially-filed application, then you must include the wording in brackets in number (2) in the lists below.

For an application filed based on a use-in-commerce basis (under Section 1(a)):

(1)  The signatory believes that the applicant is the owner of the trademark/service mark sought to be registered.

(2)  The applicant is using the mark in commerce on or in connection with the goods/services in the application [and was using the mark in commerce on or in connection with the goods/services in the application as of the application filing date].

(3)  The specimen(s) shows the mark as used on or in connection with the goods/services in the application.

(4)  To the best of the signatory's knowledge and belief, no other persons, except, if applicable, concurrent users, have the right to use the mark in commerce, either in the identical form or in such near resemblance as to be likely, when used on or in connection with the goods/services of such other persons, to cause confusion or mistake, or to deceive.

For an intent-to-use basis (under Section 1(b)), a foreign application basis (under Section 44(d)), or a foreign registration basis (under Section 44(e)):

(1)  The signatory believes that the applicant is entitled to use the mark in commerce.

(2)  The applicant has a bona fide intention to use the mark in commerce on or in connection with the goods/services in the application [and had a bona fide intention to use the mark in commerce on or in connection with the goods/services in the application as of the application filing date].

(3)  To the best of the signatory's knowledge and belief, no other persons, except, if applicable, concurrent users, have the right to use the mark in commerce, either in the identical form or in such near resemblance as to be likely, when used on or in connection with the goods/services of such other persons, to cause confusion or mistake, or to deceive.

For more information about:

Amendment to allege use (AAU)

In addition to the assurances made in the application, when you file an AAU it must include a verified statement with different assurances than those in the application.  The assurance that you are using the mark in commerce, which is part of the verified statement and is listed as number (2) below, is a minimum filing requirement for an AAU (along with a fee and a specimen).  If this assurance is not included with the AAU when it is filed, the AAU will be rejected.  However, if you omit this assurance but provide a verified date of first use in commerce with the AAU, your AAU may still be accepted as meeting this minimum filing requirement. Instead, after we have examined your AAU, we will send you an Office action requiring you to provide the assurance that you are using the mark in commerce.

(1)  The applicant is the owner of the mark sought to be registered.

(2)  The applicant is using the mark in commerce on or in connection with all the goods/services in the application, or as subsequently modified.

(3)  The specimen(s) shows the mark as used on or in connection with the goods/services in commerce.

(4)  To the best of the signatory's knowledge and belief, no other persons, except, if applicable, concurrent users, have the right to use the mark in commerce, either in the identical form or in such near resemblance as to be likely, when used on or in connection with the goods/services of such other persons, to cause confusion or mistake, or to deceive.

For more information about the required verified statement for an AAU, see 37 C.F.R. §2.76(b)(1), (g) and TMEP §§804.03, 1104.08.

Statement of use (SOU)

In addition to the assurances made in the application, when you file an SOU it must include a verified statement with different assurances than those in the application.  The assurance that you are using the mark in commerce, which is part of the verified statement and is listed as number (2) below, is a minimum filing requirement for an SOU (along with a fee and a specimen).  If this assurance is not included with the SOU when it is filed, the SOU will be rejected.  However, if you omit this assurance but provide a verified date of first use in commerce with the SOU, your SOU may still be accepted as meeting this minimum filing requirement. Instead, after we have examined your SOU, we will send you an Office action requiring you to provide the assurance that you are using the mark in commerce.

(1)  The applicant is the owner of the mark sought to be registered.

(2)  The applicant is using the mark in commerce on or in connection with all the goods/services in the notice of allowance, or as subsequently modified.

(3)  The specimen(s) shows the mark as used on or in connection with the goods/services in commerce.

(4)  To the best of the signatory's knowledge and belief, no other persons, except, if applicable, concurrent users, have the right to use the mark in commerce, either in the identical form or in such near resemblance as to be likely, when used on or in connection with the goods/services of such other persons, to cause confusion or mistake, or to deceive.

Note: 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 (IB) of the World Intellectual Property Organization.   In a Section 66(a) application, you would have filed a verified statement as part of the international registration with the IB, which we do not review.

For more information about the required verified statement for an SOU, see 37 C.F.R. §2.88(b)(1), (g) and TMEP §§804.03, 1109.06.

 

Verified statements are required

Filing an application with the USPTO starts a legal proceeding regarding your trademark or service mark. Therefore assurances or other statements made in your application must be truthful and made with knowledge of the penalty of perjury under the laws of the United States.  So, verifying a statement means that you are making a statement that is sworn to, made under oath or in a notarized affidavit, or with a written and signed declaration that states, essentially, that you have been warned about the legal consequences of making willful false statements in any document filed with us.

For more information about verification, see 37 C.F.R. §§2.2(n), 2.20, 2.33, 2.76(b)(1), 2.88(b)(1), 2.193(e)(1) and TMEP §§804.01, 1104.08, 1109.06.

 

Common mistakes to avoid

We ask for corrections to verified statements for a variety of reasons, including the following:

  • The verified statement (or a declaration within it) is unsigned.
  • The verified statement submitted with the application, AAU, or SOU does not contain all of the required assurances.
  • A handwritten pen signature is submitted without any of the required assurances.
  • The date the verified statement was notarized is missing.
  • The application, AAU, or SOU was not filed within a year after it was signed.

For more information regarding the requirements for a properly signed and dated “verified statement,” see 15 U.S.C. §1051(a)(3), (b)(3), (d)(1); 37 C.F.R. §§2.32(b), 2.33(a)-(c), 2.34(a)(1)(i), (a)(2), (a)(3)(i), (a)(4)(ii), 2.76(b)(1), 2.88(b)(1); and TMEP §§804.01(b), 804.02, 804.03, 1104.08, 1109.06.

 

Parties who may sign/attest to a verified statement or assurances

If you are an individual applicant (that is, you are not a legally-organized business such as a partnership or corporation), the following lists the people who may sign your verified statement or assurances:

(1)  You.

(2)  Someone with firsthand knowledge of the facts and actual or implied authority to act on your behalf.

(3)  Your attorney, if you are represented by one, who must be authorized to practice before the USPTO.  Find out if your attorney is authorized.

If you are not an individual applicant, the following lists the people who are properly authorized to sign on your behalf:

(1)  Someone with legal authority to bind a juristic applicant (e.g., a corporate officer of a corporate applicant, or a general partner of a partnership applicant).

(2)  Someone with firsthand knowledge of the facts and actual or implied authority to act on your behalf.

(3)  Your attorney, if you are represented by one, who must be authorized to practice before the USPTO.  Find out if your attorney is authorized.

Whoever is signing the document must physically sign or enter his or her signature on all USPTO documents. This cannot be done by another person.

For more information about who may sign/attest to a verified statement or other assurances, see 37 C.F.R. §2.193(a), (e)(1) and TMEP §§611.01(b), 611.03(a), 804.04

 

Timeframe for signing and filing a verified statement

Applications, AAUs, SOUs and related documents must be filed with us within one year after having been signed.  If more time has elapsed, you must submit the required verified statement again.

You must always specify the date a document is signed.

For more information about when a verified statement must be signed within and a signature date, see 37 C.F.R. §§2.33(c), 2.76(g), 2.88(g) and TMEP §§804.01(b), 804.03, 1104.10(b)(ii), 1109.11(c).

 

Providing a verified statement, omitted assurance, or signature date online

You can use our Trademark Electronic Application System (TEAS), presuming you will be using a TEAS form to respond online to all outstanding issues.

To use TEAS to respond, you must fill out the form to address all issues in the Office action and, at the end of the form, the correct party must sign it properly.

To respond to this issue in a nonfinal Office action, use the TEAS "Response to Office Action" (ROA) online form. To respond to this issue in a final office action, use the TEAS "Request for Reconsideration after Final Action" form. These forms will include the appropriate required language for a verified statement or assurance(s) within such a statement and a supporting declaration under 37 C.F.R. §2.20 in the “Declaration Signature” section of the forms. The instructions provided in both forms are the same. For technical assistance with these forms, contact TEAS@uspto.gov.

The TEAS online form requires two signatures - one in the “Declaration Signature” section and one in the “Response Signature” section.  The same individual may not always have the authority to sign in both places.  Please see who may sign/attest to the verified statement, under the “Declaration Signature” section, in the “Who may sign/attest to a verified statement or assurances” above.  Please see who must sign a TEAS response form, under the “Response Signature” section, directly below.

Who must sign the TEAS response form:  If you have an attorney, the attorney must sign the response.  If you do not have an attorney, and you are an individual applicant, then you must sign (and date) the response yourself.  If you are a juristic applicant (e.g., corporation, partnership), then someone with legal authority to bind the juristic applicant must sign (e.g., a corporate officer or general partner) and date the form.  In the case of joint applicants, all joint applicants must sign.

For more information about who may sign a response, see 37 C.F.R. §2.193(e)(2) and TMEP §§611.03(b), 611.06, 712.01.

Note: When presenting any signed submission to us, the person presenting the submission is certifying that the allegations and other factual contentions have evidentiary support.
 

TEAS online form instructions:

To submit the required verified statement or assurances

  1. Answer “Yes” to the TEAS response form wizard question #10 for submitting a “Signed Declaration.”
  2. Follow the instructions within the form for signing.

Note: When submitting a verified statement, the TEAS online form requires two signatures: one in the “Declaration Signature” section and one in the “Response Signature” section.  See above for information regarding who has authority to sign a declaration and who has authority to sign a response.  The same individual may not always have the authority to sign in both places.

To submit the date the application, AAU, or SOU was signed:  

  1. Answer "Yes" to the TEAS response form wizard question #3 for submitting a “Miscellaneous Statement.”  
  2. On the next page of the form, in the "Additional Statement(s)" section, check the box for "Miscellaneous Statement."
  3. Enter in the text field for the “Miscellaneous Statement” the date the application, AAU, or SOU was signed, stating that the date refers to the actual date the application, AAU, or SOU was signed.

To submit a statement from a notary public regarding the date the application was notarized:

  1. Answer “Yes” to the TEAS response form wizard question #3 for submitting a “Miscellaneous Statement.” 
  2. On the next page of the form, in the "Additional Statement(s)" section, check the box for "Miscellaneous Statement."
  3. Upload an image file in pdf or jpg of the statement from the notary public using the “Click here to Attach/Remove Miscellaneous.”