Multistate Professional Responsibility Examination (MPRE) Law Firms, Counselors, and Nonadjudicative Roles Syllabus

Law Firms, Counselors, and Nonadjudicative Roles syllabus — full chapter and topic list

Expand any chapter to see its topics and sub-topics. This is the whole examinable outline for Law Firms, Counselors, and Nonadjudicative Roles in Multistate Professional Responsibility Examination (MPRE), not a summary of it.

1. 1

   Responsibilities Within a Firm

   3 topics

   • Duties of partners and supervisory lawyers (Rule 5.1)
     • Measures ensuring firm-wide compliance
     • Responsibility for another lawyer's violation
   • Duties of a subordinate lawyer (Rule 5.2)
     • Personal responsibility despite supervisor direction
     • Reliance on a reasonable resolution of an arguable question
   • Responsibilities regarding nonlawyer assistance (Rule 5.3)
     • Supervision of paralegals, staff, and outside service providers
     • Responsibility for nonlawyer conduct
2. 2

   The Lawyer as Advisor and Evaluator

   3 topics

   • The advisor role and candid advice (Rule 2.1)
     • Independent professional judgment
     • Reference to moral, economic, and social factors
   • Evaluation for use by third persons (Rule 2.3)
     • Compatibility with the client relationship
     • Client informed consent when an adverse effect is likely
   • The lawyer as third-party neutral (Rule 2.4)
     • Serving as mediator or arbitrator
     • Explaining the neutral role to unrepresented parties
3. 3

   Representing Organizations and Special Clients

   3 topics

   • The organization as client (Rule 1.13)
     • Acting in the interest of the entity
     • Reporting up the chain of authority
     • Reporting out to prevent substantial injury
     • Clarifying identity when interests are adverse
   • Identifying the client in joint and constituent settings
     • Corporate constituents and the Upjohn-style warning
   • Government lawyers and public-interest clients
4. 4

   Marketing Legal Services

   4 topics

   • Communications concerning a lawyer's services (Rule 7.1)
     • Prohibition on false or misleading communications
     • Material misrepresentation and unjustified expectations
   • Advertising and required disclosures (Rule 7.2)
     • Permissible advertising media
     • Permitted payments and reciprocal referral arrangements
   • Solicitation of clients (Rule 7.3)
     • Live person-to-person solicitation for pecuniary gain
     • Exceptions for lawyers, family, and prior professional relationships
     • Coercion, duress, and harassment limits
   • Fields of practice and firm names (Rules 7.4-style provisions)
     • Communicating specialization and certification
     • Misleading firm names and trade names

Law Firms, Counselors, and Nonadjudicative Roles flashcards for Multistate Professional Responsibility Examination (MPRE)

20 of 51 cards from the Law Firms, Counselors, and Nonadjudicative Roles deck — real questions with worked answers.

1. Under Rule 5.1(a), what is the duty of partners and lawyers with comparable managerial authority in a law firm?

   They must make reasonable efforts to ensure the firm has in effect measures giving reasonable assurance that all lawyers in the firm conform to the Rules of Professional Conduct.

2. Under Rule 5.1(b), what is the duty of a lawyer who has direct supervisory authority over another lawyer?

   The supervising lawyer must make reasonable efforts to ensure that the supervised lawyer conforms to the Rules of Professional Conduct.

3. Under Rule 5.1(c), in what two situations is a lawyer responsible for ANOTHER lawyer's violation of the Rules?

   (1) When the lawyer orders or, with knowledge of the specific conduct, ratifies it; or (2) when the lawyer is a partner/manager or has direct supervisory authority, knows of the conduct at a time its consequences can be avoided or mitigated, and fails to take reasonable remedial action.

4. Does Rule 5.1(c) impose vicarious liability for a subordinate's misconduct simply because of one's title as partner?

   No. There is no automatic vicarious discipline. A partner is responsible only if they ordered/ratified the conduct, or knew of it in time to avoid/mitigate and failed to act. Mere position is not enough.

5. Under Rule 5.2(a), is a subordinate lawyer excused from a violation because they acted at a supervisor's direction?

   No. A lawyer is bound by the Rules notwithstanding that the lawyer acted at the direction of another person. Following orders is not, by itself, a defense.

6. Under Rule 5.2(b), when is a subordinate lawyer NOT in violation for following a supervisor's instruction?

   A subordinate does not violate the Rules if they act in accordance with a supervisory lawyer's reasonable resolution of an arguable question of professional duty.

7. Distinguish the two key phrases that govern a subordinate lawyer's protection under Rule 5.2(b).

   The protection applies only to an 'arguable question' of professional duty resolved 'reasonably.' If the duty is clear (no reasonable doubt), the subordinate must obey the Rules regardless of the supervisor's instruction.

8. Under Rule 5.3, who counts as a 'nonlawyer assistant' subject to supervisory duties?

   Nonlawyers employed by, retained by, or associated with a lawyer, such as paralegals, secretaries, investigators, law students, and outside service providers.

9. What does Rule 5.3(a) require of partners and managerial lawyers regarding nonlawyer assistants?

   They must make reasonable efforts to ensure the firm has measures in effect giving reasonable assurance that the nonlawyer's conduct is compatible with the lawyer's professional obligations.

10. Under Rule 5.3(c), when is a lawyer responsible for a nonlawyer's conduct that would violate the Rules if done by a lawyer?

    (1) When the lawyer orders or, with knowledge, ratifies the conduct; or (2) when the lawyer is a partner/manager or directly supervises the nonlawyer, knows of the conduct in time to avoid or mitigate it, and fails to take reasonable remedial action.

11. Compare the structure of Rules 5.1 and 5.3 regarding responsibility for others' conduct.

    They are structurally parallel: subsection (a) imposes firm-wide measures on managers, (b) imposes direct supervision duties, and (c) imposes personal responsibility through ordering/ratifying or knowing-and-failing-to-remediate. 5.1 covers subordinate lawyers; 5.3 covers nonlawyer assistants.

12. Under Rule 2.1, what two things must a lawyer provide when acting as advisor?

    The lawyer shall exercise independent professional judgment and render candid advice.

13. Under Rule 2.1, may a lawyer refer to considerations other than the law in giving advice?

    Yes. A lawyer may refer not only to law but to other considerations such as moral, economic, social, and political factors that may be relevant to the client's situation.

14. Under Rule 2.1, can a lawyer water down candid advice to avoid upsetting the client?

    No. Candid advice may require giving an unpleasant opinion. A lawyer should not be deterred by the prospect that the advice will be unpalatable to the client.

15. Under Rule 2.1, when does a lawyer have a duty to give advice beyond the specific question asked?

    When a client's course of action may have legal consequences the client likely did not consider, or when the client expressly or impliedly asks for more than technical legal advice; advice limited to technical legal matters can sometimes be inadequate.

16. What is an 'evaluation' under Rule 2.3?

    An evaluation is a lawyer's assessment of a matter (e.g., the state of a client's title or financial condition) prepared for the use of a third person other than the client.

17. Under Rule 2.3(a)-(b), when may a lawyer provide an evaluation for use by a third person?

    A lawyer may undertake an evaluation if the lawyer reasonably believes it is compatible with other aspects of the lawyer-client relationship; if the lawyer concludes it is incompatible, the lawyer must obtain the client's informed consent.

18. Under Rule 2.3(c), how is information obtained during an evaluation protected?

    Except as disclosure is authorized in connection with the report of the evaluation, information relating to the evaluation is protected by Rule 1.6 (confidentiality).

19. Who is the client in a Rule 2.3 evaluation, and who relies on the report?

    The lawyer's client is the person requesting the evaluation; the report is prepared for use by a third person (e.g., a lender, buyer, or regulator) who relies on it.

20. Under Rule 2.4(a), what is a 'third-party neutral'?

    A lawyer serves as a third-party neutral when assisting two or more persons who are not clients to reach a resolution of a dispute or other matter, e.g., as an arbitrator, mediator, or in another capacity enabling parties to resolve a dispute.

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