Rule 6. Registration; List of Trust Accounts
(a)
Required Filings.
(1) Registration Statement. Every attorney admitted to practice in this State, except attorneys who have notified the Board that they are members of the armed forces of the United States who are on active duty outside of the state of Maine, shall upon admission and each year thereafter, file with the Board a registration statement setting forth the attorney's current residence and office addresses, Social Security or federal identification number, and such other identifying information as the State Tax Assessor may by rule require; the date of the attorney's admission to the Bar of the Court; the facts concerning the attorney's admission to practice in any other jurisdiction including each federal court and administrative body where admitted; and such other information as the Court or the Board may direct. The statement shall disclose whether the attorney is in good standing in each jurisdiction to which admitted and, if the attorney is not in good standing in any jurisdiction, it shall contain an explanation of the circumstances. In addition to such registration statement, every attorney shall file a supplemental statement of any change in the information previously submitted within 30 days of such change. Within 30 days of the receipt of a registration statement or supplement thereto filed by an attorney, the Board shall acknowledge receipt thereof in order to enable the attorney on request to demonstrate compliance with the requirement of this rule. Registration statements shall be filed and payment of requisite fees imposed by Rule 10 shall be made on or before August 31 by every attorney admitted to practice in this state except that if the following July is fewer than four months from the date of admission, the next filing shall be the second July following the date of admission. With the registration statement every attorney admitted to practice in this state shall submit a signed written report documenting compliance with the continuing legal education requirements of Rule 12(a) by providing the Annual Report statement required by Rule 12(b)(1). Registration statements, Annual Report statements, and payments postmarked after August 31 will be considered late causing a $25.00 surcharge per statement to be assessed upon and payable by the attorney.
Justices of the Maine Supreme Judicial Court, Justices of the Maine Superior Court, Judges of the Maine District Court, Maine Family Law Magistrates, Judges and Magistrates of the United States District Court of Maine, Maine Judges of the United States Court of Appeals for the First Circuit, and Judges of the United States Bankruptcy Court District of Maine shall not be required to file a registration statement or pay an annual fee during their tenure in office, but they shall remain on the roll of attorneys in judicial status, and may retire in judicial status or resume active practice upon completion of their tenure in office by filing a registration statement and paying the annual fee required for the year in which active practice is resumed.
(2) IOLTA Accounts. Every lawyer admitted to practice in this State shall annually certify to the Board of Overseers of the Bar in connection with the annual renewal of the lawyer's registration, that:
(A) To the lawyer's knowledge after reasonable investigation:
(1) the lawyer or the lawyer's law firm maintains at least one IOLTA account, and
(2) the lawyer has taken reasonable steps to ensure that all client funds are held in client trust accounts meeting the requirements of these Rules, or
(B) That the lawyer is exempt from maintaining an IOLTA or other trust account because the lawyer:
(1) is not engaged in the private practice of law;
(2) does not have an office within the state of Maine;
(3) is (i) a judge or other judicial officer employed full time by the United States Government, the State of Maine or another state government, (ii) on active duty with the armed services, or (iii) employed full time as an attorney by a local, state, or federal government, and is not otherwise engaged in the private practice of law;
(4) is counsel for a corporation or non-profit organization or a teacher or professor employed by an educational institution, and is not otherwise engaged in the private practice of law;
(5) has been exempted by an order of the Court which is cited in the certification; or
(6) holds no client fund other than retainers or advances for costs and expenses.
(3) IOLTA Account Defined. An IOLTA account is a pooled trust account earning interest or dividends at an eligible institution in which a lawyer or law firm holds funds on behalf of client(s), which funds are small in amount or held for a short period of time such that they cannot earn interest or dividends for the client in excess of the costs incurred to secure such income and the account is:
(A) an interest-bearing checking or share draft account;
(B) a money market account with or tied to check-writing;
(C) an account whose funds are invested solely in repurchase agreements;
or
(D) an account whose funds are invested solely in qualified money market funds.
A “qualified money market fund” is an open-end investment company registered under the Investment Company Act of 1940 that is regulated as a money market fund under Rule 270.2a-7 thereof (or any successor regulation) and that, at the time of the investment, has total assets of at least $250,000,000, substantially all of which are invested in U.S. Government Securities. A “repurchase agreement” is a daily overnight repurchase agreement which must be fully collateralized by U.S. Government Securities and may be established only with a bank or other depository institution that is deemed to be “well capitalized” or “adequately capitalized” under applicable regulations of the Federal Deposit Insurance Corporation and National Credit Union Share Insurance Fund. U.S. Government Securities, for the purpose of this section, include securities of Government Sponsored Entities, including but not limited to Federal National Mortgage Association Securities, Government National Mortgage Association Securities, and Federal Home Loan Mortgage Corporation Securities.
(4) Account Qualifications. An IOLTA account must meet all of the following conditions:
(A) the account is held in an eligible institution which is required to:
(i) remit the interest and dividends on this account, net of any allowable reasonable fees, at least quarterly to the Maine Bar Foundation;
(ii) transmit with each remittance a report on a form approved by the Maine Bar Foundation that shall identify each lawyer or law firm for whom the remittance is sent, the amount of remittance attributable to each IOLTA account, the rate and type of interest and dividends applied, the amount of interest and dividends, the amount and type of account-related charges deducted, if any, and the average account balance for the period in which the report is made; and
(iii) transmit to the depositing lawyer or law firm a report in accordance with normal procedures for reporting to its depositors.
(B) the account meets the requirements of paragraph 3 above as a client trust account.
(C)(1) An “Eligible Institution” for IOLTA accounts is a bank, trust company, savings bank, credit union, or savings and loan association authorized by federal or state law to do business in Maine, the deposits of which are insured by an agency of the federal government, and which has been designated by the Maine Bar Foundation as meeting the conditions of this subsection (C).
(2) To qualify as an eligible institution, the institution must pay on IOLTA accounts interest or dividends no less than the highest interest rate or dividend generally available from the institution to its non-IOLTA customers on accounts having similar minimum balances and other eligibility qualifications. Interest or dividends and fees shall be calculated in accordance with the eligible institution’s standard practice. In determining the highest interest rate or dividend generally available from the institution to its non-IOLTA customers, an institution may consider in addition to the balance in the IOLTA account, factors customarily considered by the institution when setting interest rates or dividends for its non-IOLTA customers, provided that such factors do not discriminate between IOLTA accounts and other accounts and that these factors do not include the fact that the account is an IOLTA account. The eligible institution shall calculate interest and dividends in accordance with its standard practice for non-IOLTA customers. The eligible institution may choose to pay the higher interest rate or dividend on an IOLTA account in lieu of establishing it as a higher rate product. Nothing contained in this Rule will be deemed to prohibit an institution from paying a higher interest rate or dividend on IOLTA accounts than required by this Rule or from electing to waive any fees and service charges on an IOLTA account. Lawyers may only maintain IOLTA accounts at eligible institutions which meet this Rule’s requirements, as determined from time to time by the Maine Bar Foundation.
(3) Eligible institutions may comply with the rate requirements of this Rule by electing to pay an amount on funds which would otherwise qualify for the options noted above, equal to 65% of the Federal Funds Target Rate in effect on July 1 of each year, which rate remains in effect for twelve months, and which amount is deemed to be already net of allowable reasonable fees. The Federal Funds Target Rate as of January 1, 2008, shall be in effect until July 1, 2008.
(4) "Allowable reasonable fees" for IOLTA accounts are per check charges, per deposit charges, sweep fees, a fee in lieu of a minimum balance, federal deposit or share insurance fees, and a reasonable IOLTA account administrative or maintenance fee. All other fees are the responsibility of, and may be charged to the lawyer maintaining the IOLTA account. Fees or charges in excess of the interest or dividends earned on the account for any month or quarter shall not be taken from interest or dividends earned on other IOLTA accounts or from the principal of the amount.
(5) Maine Bar Foundation Actions.
(A) The Maine Bar Foundation shall publish annually a list of eligible institutions that may hold IOLTA accounts.
(B) By March 1 of each year, beginning in 2009, the Maine Bar
Foundation shall complete a financial report of the IOLTA funds received and distributed by it for the previous calendar year. The financial report shall be conducted according to generally accepted accounting principles and shall include indication of the purposes for which IOLTA funds have been expended in the previous year. Copies of the financial report shall be provided to the Court.
(6) Receipt of Voluntary Contributions. As part of
its notification to attorneys to file annual
registration statements, the Board may invite attorneys
to make a voluntary contribution to the Campaign for
Justice to assist in the funding of legal services for
low income individuals. The Board may also provide a
means for making the voluntary contribution at the same
time that the annual fee is paid and is authorized to
utilize its administrative staff and facilities to
receive these voluntary contributions and forward them
to the Campaign for Justice. (back to
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(b)
Failure to File Registration Statement, to File State Tax
Returns, to Comply With a Support Order, to File an
Unemployment Tax Return, to Pay an Unemployment Tax
Assessment or to Comply With an Award of the Fee Arbitration Commission.
(1) Failure to File Registration Statement. Any
attorney who fails to file the registration statement or
any supplement thereto in accordance with the
requirements of (a) above by August 31 is automatically
suspended. Notice of the suspension shall be given by
the Board by registered or certified mail, and return
receipt requested, addressed to the office or home
address last known to the Board. Such suspension for
failure to file the statement or supplement thereto
shall not be effective until thirty (30) days after the
date of mailing the notice thereof. The failure to file
shall not be considered a violation of the Code of
Professional Responsibility per se, and the suspension
for failure to file shall not constitute the imposition
of discipline. An attorney who, after the date of the
mailing of such notice of suspension but before the
effective date of such suspension, files the statement
or any supplement thereto as required by subdivision (a)
of this rule shall be deemed to be in compliance with
this rule and shall not be suspended for failure to file
such statement or supplement or certificate; otherwise
the attorney shall be subject to Maine Bar Rules
7.3(i)(2) and (j). An attorney aggrieved as a result of
a suspension under this paragraph may apply to the Board
Chair for summary relief for good cause shown.
(2) Failure to File State Tax
Returns. Whenever, pursuant to section 175 of Title 36 of the
Maine Revised Statutes, the State Tax Assessor notifies
the Board of the Assessor's finalized determination to
prevent renewal or reissuance of a "license or
certificate of authority" for an attorney to practice
law, the Board shall refuse to process any registration
statement filed by such attorney after such notification
from the State Tax Assessor and such attorney is
automatically suspended. The failure to file such a
state tax return or to pay any tax liability due as
referred to in such notification from the State Tax
Assessor shall not be considered a violation of the Code
of Professional Responsibility per se and the suspension
due to the reported failure to file such return or to
pay any overdue tax liability shall not constitute the
imposition of discipline. Notice of the receipt of such
notification from the State Tax Assessor of such
finalized determination and of the suspension shall be
given by the Board to the attorney by registered or
certified mail, and return receipt requested, addressed
to the office or home address last known to the Board of Overseers of the Bar.
Such suspension for reported failure to file the state
tax return or to pay any overdue tax liability shall not
be effective until thirty (30) days after the date of
mailing the notice thereof. An attorney who, after the
date of the mailing of such notice of notification and
suspension but before the effective date of such
suspension, files with the Board a certificate issued by
the State Tax Assessor that the attorney is currently in
good standing with respect to any and all returns and
tax liability due shall be deemed to be in compliance
with this rule and shall not be suspended for failure to
file such state tax returns or to pay any overdue tax
liability; otherwise the attorney shall be subject to
Maine Bar Rules 7.3(i)(2) and (j). An attorney aggrieved
as a result of a suspension under this paragraph may
apply to the Board Chair for summary relief for good
cause shown.
(3) Failure to File List of Trust Accounts. Any
attorney practicing alone who fails to file a list of
trust accounts in accordance with paragraph (2) of
subdivision (a) of this rule, or any attorney who is a
member of a law firm that fails to file such a list, is
automatically suspended in the manner and on the terms
and conditions provided in paragraph (1) of this
subdivision for failure to file a registration
statement.
(4) Failure to Comply with a Support Order. Whenever, pursuant to section 2201 of Title 19-A of the
Maine Revised Statutes, the Department of Human Services
certifies in writing to the Board that, in compliance
with the statutory procedure: A) the Department has
determined that an attorney is in noncompliance with a
support order: and B) the attorney has failed to appeal
the Department's decision; or C) a final judgment has
been entered against the attorney on the attorney's
petition for judicial review, the Board shall refuse to
process any registration statement filed by such an
attorney after such notification from the Department,
and such attorney is automatically suspended.
Certification by the Department of an attorney's failure
to comply with a support order shall not constitute
violation of the Code of Professional Conduct per se,
although the Board may institute separate proceedings to
determine whether discipline is appropriate. Suspension
after certification of noncompliance by the Department
shall not constitute the imposition of discipline.
Notice of the receipt of such certification from the
Department and of the suspension shall be given by the
Board to the attorney by registered or certified mail,
and return receipt requested, addressed to the office or
home address last known to the Board
of Overseers of the Bar. Such suspension for reported
failure to comply with a support order shall not be
effective until thirty (30) days after the date of
mailing the notice thereof. An attorney who, after the
date of mailing of such notice of certification and
suspension but before the effective date of such
suspension, files with the Board written confirmation by
the Department of compliance with the support order
shall not be suspended for failure to comply; otherwise
the attorney shall be subject to Maine Bar Rules
7.3(i)(2) & (j). An attorney aggrieved as a result of a
suspension under this paragraph may apply to the Board
Chair for summary relief for good cause shown.
(5) Failure to File an Unemployment Tax Return or to Pay
an Unemployment Tax Assessment. Whenever, pursuant
to section 1232 of Title 26 of the Maine Revised
Statutes, the State Commissioner of Labor or Director of
Employment Security certifies in writing to the Board
that: (1) the Commission has determined in compliance
with the statutory procedure that an attorney is in
noncompliance with the unemployment compensation
statute, and (2) the attorney has either failed to
pursue an appeal from the Commission's decision or a
judgment has been entered against the attorney on the
attorney's petition for judicial review; the Board shall
refuse to process any registration statement filed by
such an attorney after such notification from the
Commission and such attorney is automatically suspended.
Certification by the Commission of an attorney's failure
to comply with the unemployment compensation statute
shall not constitute violation of the Code of
Professional Conduct per se, although the Board may
institute separate proceedings to determine whether
discipline is appropriate. Suspension after
certification of noncompliance by the Commission shall
not constitute the imposition of discipline. Notice of
the receipt of such certification from the Commission
and of the suspension shall be given by the Board to the
attorney by registered or certified mail, and return
receipt requested, addressed to the office or home
address last known to the Board
of Overseers of the Bar. Such suspension for reported
failure to comply with the unemployment compensation
statute shall not be effective until thirty (30) days
after the date of mailing the notice thereof. An
attorney who, after the date of mailing of such notice
of certification and suspension but before the effective
date of such suspension, files with the Board written
confirmation by the Commission of compliance with the
statute shall not be suspended for failure to comply;
otherwise the attorney shall be subject to Maine Bar
Rules 7.3(i)(2) & (j). An attorney aggrieved as a result
of a suspension under this paragraph may apply to the
Board Chair for summary relief for good cause shown.
(6) Failure to Comply With an Award of the Fee Arbitration Commission. When a matter involving an award of a panel of the Fee Arbitration Commission is referred to Bar Counsel under Rule 9(i) because of
the attorney's failure to make an awarded refund to the
petitioner within 30 days of receipt of the arbitration
award, the Board, upon request of Bar Counsel and after
affording the attorney an opportunity to respond in
writing, may refer the matter to the Court for
appropriate disciplinary action. (back to
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(c)
Notification of Discontinuance of the Practice of Law,
Request for Reinstatement, and Arrearage Registration
Payment.
(1) Notification of Discontinuance of the Practice of
Law. Any Maine
attorney not the subject of disciplinary investigation
under Rule 7.1(d) or of disciplinary proceedings as
authorized or pending under Rule 7.1(e) may advise the
Board in writing of a desire to completely discontinue
the practice of law in Maine and be placed on inactive
status. Upon the filing of such notice, the attorney
shall no longer be eligible to practice law in Maine or
allowed in any manner to indicate or advertise an
authority to so practice in Maine, but shall be required
to file annual registration statements with the Board
for three (3) years thereafter in order that the
attorney can be located by the Board of Bar Counsel.
During that three (3) year period the attorney shall
remit to the Board an annual registration fee in an
amount equal to one-half the fee required of a similarly
situated active attorney under Rule 10. The attorney
shall also comply with the provisions of Rule 7.3(i)(2).
(2) Withdrawal from Maine practice. Any Maine attorney currently registered in good standing
under Rule 6(a) and not the subject of any investigation
under Rule 7.1(c) or (d) or of any disciplinary
proceedings under Rule 7.1(e), may provide written
notice to the Board of withdrawal from Maine practice.
Such notice shall include a current mailing address and
telephone number of the attorney, and the effective date
of that withdrawal. The withdrawing attorney shall also
comply with the provisions of Rule 7.3(i)(2), and shall
not subsequently return to the practice of law in Maine
without first complying with the requirements of
subsection (c)(3) of this Rule and applicable portions
of Maine Bar Admission Rule 10.
(3) Request for Reinstatement. Prior to resuming
active practice in Maine, an inactive attorney or an
attorney who has withdrawn from practice in Maine must
petition the Board Chair and provide persuasive evidence
of compliance with the factors as enumerated under Rule
7.3(j)(5)(A), (B), (D), (E) & (F).
(4) Arrearage Registration Payment. In addition to
all other requirements, an inactive attorney or an
attorney who has withdrawn from practice now seeking
reinstatement shall remit to the Board a $ 125.00
reinstatement fee and an arrearage registration payment
equal to the total fee that the attorney would have been
obligated to pay the Board under Rule 10 had the
attorney remained actively registered to practice in
Maine during that period of inactive or withdrawn
status, minus a credit for the total payment made by the
attorney for the first three years of the inactive
period but not more than $1,000.00. (back to
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(d)
Emeritus Attorney Status.
(1) Purpose. To provide a licensing status to allow
attorneys retired from the active practice of law to
provide pro bono publico services to the indigent
through recognized legal services organizations.
(2) Application. Any attorney who has discontinued
the practice of law and who has given the notice
required by Maine Bar Rule 6(c)(1) but who wishes to
provide pro bono publico legal services without
compensation or expectation of compensation shall advise
the Board by filing an emeritus status statement
indicating he or she will limit his or her active legal
practice to providing pro bono publico legal services
under the auspices of an approved legal service
organization, as defined below. The emeritus status
statement shall be signed by an authorized
representative of the approved legal services
organization under whose auspices the attorney will
provide such legal services. Unless the Board
of Overseers of the Bar objects within 30 days, the
attorney may begin providing pro bono services after
filing such a statement. An attorney who has assumed
emeritus attorney status shall not be relieved of his or
her obligation under Maine Bar Rule 6(c)(1) to file
annual registration statements and remit annual
registration fees pursuant to Maine Bar Rule 6(c)(1).
(3) Definition of Approved Legal Services Organization. For purposes of this Rule, an approved legal services
organization shall include a pro bono publico legal
services program sponsored by a court-annexed program,
the Maine State Bar Association, the University of Maine
School of Law, or a not-for-profit organization that
provides legal services to persons of limited means and
that receives funding from the federal Legal Services
Corporation, the Maine Bar Foundation, or the Maine
Civil Legal Services Fund, and in addition, shall
include any not-for-profit legal services organization
designated as an approved legal services organization
after petition to the Supreme Judicial Court. (back to
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(e) Register of Attorneys. Based upon the information made available to the Board by the filing of the statements provided for under this rule, or otherwise, and upon such other investigatory procedures as may be established by the Board, consistent with these rules, the Board shall compile and keep current a register for the Court of all persons admitted as members of the Bar of this state, and records of the death or other termination or suspension of the right of any attorney to practice law in this state. The Board shall assign a Bar Number to every admitted attorney. When attorneys change their business or home contact information, the updated information must be supplied by the attorney within 30 days to the Board and to the Office of Information Technology of the Administrative Office of the Courts. An attorney’s social security number shall not be made available by the Board to the public. For the protection of the public, the Board's records must contain an address, which may be a post office box address, for every attorney, which address shall be made available to the public. The Board will only disclose an attorney's home address if no current office address or post office box
address is provided. All other information contained in such register and records shall be available to the public subject to Board Regulations and policies. (back to
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(f)
Removal From Register. Upon the filing of a notice that an attorney wishes to
assume inactive status, the attorney shall be removed
from the roll of those classified as active until and
unless the attorney requests reinstatement to the active
roll and pays for the year of reinstatement the fee
imposed by Rule 10. (back to
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(g) Forms. The Board shall prepare and make available through its
offices approved registration statement forms and change
of address forms which shall be used by attorneys in
complying with this rule. (back to
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