Regulatory authority and admission - Powers of courts and ot...

Learning Outcomes

After reading this article, you will be able to explain the authority of courts and other bodies to regulate lawyers, identify the requirements and process for admission to the legal profession, and recognize the grounds for discipline and reporting obligations. You will also be able to apply these principles to MPRE-style questions on regulatory authority and admission.

MPRE Syllabus

For MPRE, you are required to understand how courts and other bodies regulate lawyers before and after admission. This includes the authority of courts, the bar admission process, and the rules governing lawyer discipline. You should be prepared to:

• Distinguish the regulatory powers of state and federal courts over lawyers.
• Identify the requirements and process for admission to the bar.
• Recognize prohibited conduct in the application process.
• Explain the grounds for professional discipline after admission.
• Understand the duty to report misconduct by lawyers and judges.
• Describe the consequences of unauthorized practice of law.

Test Your Knowledge

Attempt these questions before reading this article. If you find some difficult or cannot remember the answers, remember to look more closely at that area during your revision.

1. Which body has primary authority to regulate the practice of law within a state?
   1. The state legislature
   2. The state supreme court
   3. The American Bar Association
   4. The governor
2. Which of the following is NOT a typical requirement for bar admission?
   1. Graduation from an ABA-accredited law school
   2. Passing a bar examination
   3. U.S. citizenship
   4. Demonstration of good character
3. A lawyer learns that a colleague has committed a serious violation of the rules of professional conduct. The lawyer must:
   1. Ignore the violation if it did not harm a client
   2. Report the violation to the appropriate authority
   3. Discuss the violation only with the colleague
   4. Wait for the client to file a complaint
4. Which of the following is a ground for professional discipline after admission?
   1. Committing a crime involving dishonesty
   2. Failing to pay a parking ticket
   3. Losing a civil lawsuit
   4. Declining a court appointment for good cause

Introduction

Courts and other bodies have broad authority to regulate lawyers, both before and after admission to the bar. This regulatory power ensures that only qualified individuals practice law and that lawyers maintain professional standards. Understanding who regulates lawyers, how admission works, and what conduct can lead to discipline is essential for the MPRE.

Key Term: Regulatory Authority
The power of courts and designated bodies to set and enforce rules governing the admission, conduct, and discipline of lawyers.

Powers of Courts to Regulate Lawyers

State supreme courts hold the primary authority to regulate the practice of law within their jurisdiction. This includes setting rules for admission, adopting codes of professional conduct, and overseeing disciplinary procedures. Federal courts regulate lawyers who appear before them and may have separate admission requirements.

Key Term: State Supreme Court
The highest court in a state, responsible for regulating the legal profession within that state, including admission and discipline.

Admission to the Profession

Requirements for Admission

To be admitted to practice law, applicants must meet specific requirements set by each state. These typically include:

• Graduation from an ABA-accredited law school (education).
• Passing a bar examination (knowledge).
• Demonstrating good moral character (character and fitness).
• No residency or citizenship requirement may be imposed.

Key Term: Bar Admission
The process by which an individual is licensed to practice law in a jurisdiction after meeting education, examination, and character requirements.

Application Process and Prohibited Conduct

Applicants must be truthful and complete in their applications. It is misconduct to:

• Knowingly make a false statement of material fact.
• Fail to correct a misapprehension.
• Fail to respond to lawful demands for information (unless protected by privilege).

Invoking the Fifth Amendment is allowed, but must be done openly.

Key Term: Character and Fitness
The evaluation of an applicant’s honesty, trustworthiness, and general suitability to practice law.

Regulation After Admission

Grounds for Discipline

After admission, lawyers are subject to discipline for:

• Violating rules of professional conduct.
• Committing crimes reflecting adversely on honesty or fitness.
• Engaging in dishonesty, fraud, deceit, or misrepresentation.
• Conduct prejudicial to the administration of justice.
• Stating or implying an ability to improperly influence a government agency or official.
• Knowingly assisting a judge in violating judicial conduct rules.

Key Term: Professional Discipline
Sanctions imposed on a lawyer for violating rules of professional conduct, ranging from censure to disbarment.

Misconduct by Others and Supervisory Duties

A lawyer may be disciplined for ordering, ratifying, or failing to remediate misconduct by another lawyer or non-lawyer under their supervision. Partners and managers must ensure the firm has measures to encourage compliance with the rules.

Key Term: Supervisory Responsibility
The obligation of lawyers with managerial or supervisory authority to ensure compliance with professional conduct rules by those they oversee.

Duty to Report Misconduct

Lawyers must report known violations of the rules by another lawyer or judge if the violation raises a substantial question about honesty, trustworthiness, or fitness. The duty to report does not require disclosure of confidential information.

Key Term: Duty to Report
The obligation to inform the appropriate authority of another lawyer’s or judge’s serious misconduct.

Unauthorized Practice of Law

Lawyers may not practice law in a jurisdiction where they are not admitted, except under limited circumstances (e.g., pro hac vice admission, association with local counsel). Assisting non-lawyers in unauthorized practice is also prohibited.

Key Term: Unauthorized Practice of Law
Providing legal services in a jurisdiction without proper admission or assisting others in doing so.

Other Regulatory Bodies

While courts have primary authority, state bar associations and disciplinary agencies administer the rules, investigate complaints, and recommend sanctions. The American Bar Association provides model rules but does not have direct regulatory power.

Worked Example 1.1

A law graduate applies for bar admission and omits a prior arrest for shoplifting, believing it was minor and irrelevant. The bar discovers the omission during a background check. Is the applicant subject to denial of admission?

Answer:
Yes. Knowingly omitting a material fact on a bar application is grounds for denial, even if the original conduct would not have disqualified the applicant. Full disclosure is required.

Worked Example 1.2

A lawyer learns that a colleague has embezzled client funds. The lawyer is not involved in the misconduct and the information is not protected by confidentiality. What must the lawyer do?

Answer:
The lawyer must report the colleague’s misconduct to the appropriate disciplinary authority, as it raises a substantial question about honesty and fitness.

Worked Example 1.3

An attorney licensed in State A represents a client in State B without being admitted there, and without meeting any exception. Is the attorney subject to discipline?

Answer:
Yes. Practicing law in a jurisdiction without proper admission is the unauthorized practice of law and is grounds for discipline in both states.

Exam Warning

Failing to report serious misconduct by another lawyer or judge, even if you are not directly involved, can itself result in discipline. Confidential information is the only exception.

Revision Tip

Always check whether a question involves a lawyer’s duty to report, supervisory responsibility, or unauthorized practice—these are frequent MPRE topics.

Key Point Checklist

This article has covered the following key knowledge points:

• State supreme courts regulate admission, conduct, and discipline of lawyers.
• Bar admission requires education, examination, and good character.
• False statements or omissions on bar applications are grounds for denial or discipline.
• Lawyers are subject to discipline for violating rules, committing crimes involving dishonesty, or prejudicial conduct.
• Supervisory lawyers must ensure compliance by those they oversee.
• There is a duty to report serious misconduct by lawyers and judges, unless protected by confidentiality.
• Practicing law without admission or assisting unauthorized practice is prohibited.

Key Terms and Concepts

• Regulatory Authority
• State Supreme Court
• Bar Admission
• Character and Fitness
• Professional Discipline
• Supervisory Responsibility
• Duty to Report
• Unauthorized Practice of Law