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Seal of The State Bar of California The State Bar of California

Proposed Rules of Professional Conduct

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History of Current Rules Development

The Rules of Professional Conduct were the subject of comprehensive revisions that became operative on November 1, 2018. Go to the Current Rules page for the text of the rules. This page provides background on the development of the rules. For information on rule amendments that were adopted and because operative after November 1, 2018, go to the Ethics News page.

Just as reviewing the legislative history of a statute can aid in statutory interpretation, reviewing the history of a rule of professional conduct can help you interpret the rule. New and amended rules of professional conduct are promulgated by order of the Supreme Court of California. The Board of Trustees of the State Bar of California has authority to adopt rule amendments and submit them to the Supreme Court for approval. Only amendments approved by the Supreme Court become binding upon licensees. The background that is here provided includes reports and other materials produced by the special commission that was assigned by the Board to develop the proposed amendments.

The pdfs provided for each of the proposed rules include executive summaries, reports and recommendations, dissents (if any), and other additional background information which was provided in the filing submitted to the Supreme Court. The report and recommendations include clean and redline version of the rule and an analysis of changes. Full text of public comments received and public comment synopsis tables have not been included. These documents are available upon request by contacting Mimi Lee at: mimi.lee@calbar.ca.gov.


Proposed Rule
CAL
Title
PDF
1.0
1-100
Purpose and Function of the Rules of Professional Conduct
.pdf
1.0.1
1-100(B)
Terminology
.pdf
1.1
3-110
Competence
.pdf
1.2   Scope of Representation and Allocation of Authority .pdf
1.2.1 3-210 Advising or Assisting the Violation of Law .pdf
1.3 3-110(B) Diligence
.pdf
1.4
3-500
Communication with Clients
.pdf
1.4.1
3-510
Communication of Settlement Offers
.pdf
1.4.2 3-410 Disclosure of Professional Liability Insurance .pdf
1.5
4-200
Fees for Legal Services
.pdf
1.5.1
2-200
Fee Divisions Among Lawyers
.pdf
1.6
3-100
Confidential Information of a Client
.pdf
1.7 3-310(B)-(C) Conflict of Interest: Current Clients .pdf
1.8.1 3-300 Business Transactions with a Client and Pecuniary Interests Adverse to a Client .pdf
1.8.2
  Use of Current Client's Information
.pdf
1.8.3
4-400
Gifts from Client
.pdf
1.8.5
4-210
Payment of Personal or Business Expenses Incurred by or for a Client
.pdf
1.8.6 3-310(F) Compensation from One Other Than Client .pdf
1.8.7 3-310(D) Aggregate Settlements .pdf
1.8.8 3-400 Limiting Liability to Client .pdf
1.8.9
4-300
Purchasing Property at a Foreclosure or a Sale Subject to Judicial Review
.pdf
1.8.10 3-120 Sexual Relations with Current Client .pdf
1.8.11   Imputation of Prohibitions Under Rules 1.8.1 to 1.8.9 .pdf
1.9
3-310
Duties to Former Clients .pdf
1.10   Imputation of Conflicts of Interest: General Rule .pdf
1.11   Special Conflicts of Interest for Former and Current Government Officials and Employees .pdf
1.12   Former Judge, Arbitrator, Mediator or Other Third-Party Neutral .pdf
1.13 3-600 Organization as Client .pdf
1.14   Client with Diminished Capacity
.pdf
1.15 4-100 Safekeeping Funds and Property of Clients and Other Persons .pdf
1.16 3-700 Declining or Terminating Representation .pdf
1.17  2-300  Sale of a Law Practice .pdf
1.18    Duties to Prospective Client .pdf
2.1    Advisor .pdf
2.4
  Lawyer as Third-Party Neutral
.pdf
2.4.1
1-710
Lawyer as Temporary Judge, Referee, or Court-Appointed Arbitrator
.pdf
3.1 3-200 Meritorious Claims and Contentions .pdf
3.2   Delay of Litigation .pdf
3.3
5-200(A)-(D)
Candor Toward the Tribunal .pdf
3.4
5-200(E) / 5-220 / 5-310
Fairness to Opposing Party and Counsel .pdf
3.5
5-300 / 5-320
Contact With Judges, Officials, Employees and Jurors .pdf
3.6
5-120
Trial Publicity .pdf
3.7 5-210 Lawyer as Witness .pdf
3.8 5-110 / 5-220 Special Responsibilities of a Prosecutor .pdf
3.9   Advocate in Nonadjudicative Proceedings .pdf
3.10
5-100
Threatening Criminal, Administrative, or Disciplinary Charges .pdf
4.1   Truthfulness in Statements to Others .pdf
4.2
2-100
Communication with a Represented Person
.pdf
4.3
  Communicating with an Unrepresented Person
.pdf
4.4   Duties Concerning Inadvertently Transmitted Writings .pdf
5.1
  Responsibilities of Managerial and Supervisory Lawyers
.pdf
5.2
  Responsibilities of a Subordinate Lawyer
.pdf
5.3
  Responsibilities Regarding Nonlawyer Assistants
.pdf
5.3.1
1-311
Employment of Disbarred, Suspended, Resigned, or Involuntarily Inactive Lawyer
.pdf
5.4
1-320 / 1-310 / 1-600
Financial and Similar Arrangements with Nonlawyers
.pdf
5.5
1-300
Unauthorized Practice of Law; Multijurisdictional Practice of Law
.pdf
5.6
1-500
Restrictions on a Lawyer’s Right to Practice
.pdf
6.3
  Membership in Legal Services Organization
.pdf
6.5
1-650
Limited Legal Services Programs
.pdf
7.1 1-400 Communications Concerning a Lawyer’s Services .pdf
7.2 1-320(B)-(C) & (A)(4) / 1-400 / 2-200 Advertising .pdf
7.3 1-400 Solicitation of Clients .pdf
7.4 1-400 Communication of Fields of Practice and Specialization .pdf
7.5 1-400 Firm Names and Trade Names .pdf
8.1
1-200
False Statement Regarding Application for Admission to Practice Law
.pdf
8.1.1
1-110
Compliance with Conditions of Discipline and Agreements in Lieu of Discipline
.pdf
8.2
1-700
Judicial Officials
.pdf
8.4
1-120
Misconduct
.pdf
8.4.1 2-400 Prohibited Discrimination, Harassment and Retaliation .pdf
8.5
1-100(D)
Disciplinary Authority; Choice of Law
.pdf

 

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