IP Law Daily, PATENT NEWS: USPTO Director issues updated guidance on examination of patent applications and stock ownership, (Mar 5, 2026)

By Carolin Dennis, B.Sc., LL.B., LL.M.

Patent examiners must strictly adhere to ethical standards, including avoiding real or apparent conflicts of interest by adhering to investment restrictions.

The U.S. Patent and Trademark Office has issued an updated guidance regarding patent examiner applications and stock ownership to reinforce public confidence in the fairness and impartiality of the patent examination process. The updated guidance directs any patents employee who participates in deciding the scope of patent rights to affirmatively recuse themselves from examining any application where they hold stock or bonds (publicly traded or privately held) in any of the listed applicants, regardless of the dollar value rather than the current $15,000 threshold. The updated guidance goes into effect immediately and will remain in full force and effect until further notice.

On March 2, 2026, USPTO Director John A. Squires issued an updated guidance to reinforce existing ethical standards, ensuring that the examiner’s financial interests do not conflict with their duties, specifically addressing potential biases in application processing. Patents employees who participate in deciding the scope of patent rights include patent examiners (inclusive of patent reexamination specialists) and their supervisors when the supervisor is signing or otherwise reviewing (e.g., a streamlined review) an Office action. Given the unique and consequential role patents employees play in America’s innovation economy, deciding the important rights protected by patents, this guidance tries to ensure that patent examiners, their supervisors, and Patents management are able to make fully informed decisions in examining patent applications. The updated guidance requests that the patent examiners, as part of their existing conflict check procedures, voluntarily inform their supervisors of any companies in which they know that they, their spouse, or their minor children own stocks or bonds, regardless of the dollar value of such stocks or bonds. Supervisors of examiners must likewise inform their Technology Center Directors of such information.

Additionally, regardless of whether a patent examiner provides this additional information to their management, the patent examiners and their supervisors, upon receipt of a notification that they have been docketed a patent application for examination or review, to promptly notify their supervisor if recusal is necessary in view of this guidance. Further, if a patent examiner or supervisor later becomes aware after a case has been docketed or submitted to them that the examiner or supervisor, or the examiner’s or supervisor’s spouse or minor children, owns any amount of stock or bonds in the applicant, the examiner or supervisor must request that the application be reassigned.

This guidance does not alter or amend the application of existing ethical standards to patent examiners or their supervisors. It does not require patent examiners or their supervisors to divest any financial interests (e.g., stocks or bonds), nor does it prohibit them from holding any financial interests. This examination guidance is separate from existing ethics standards and does not modify in any way those ethical standards applicable to patent examiners or their supervisors. It is intended to avoid patent examination being conducted in a way that might elicit concern, even if patent examiners and their supervisors are in full compliance with all ethics statutes and regulations.

Guidance on Examination of Patent Applications and Stock Ownership Memorandum, March 2, 2026.

News: Patent USPTO