Where must the 'advertisement for legal services' notice go on a targeted direct-mail letter and envelope, and what else can appear?

Plain-English summary

The opinion clarifies how to satisfy the disclosure and formatting requirements that Rule 7.3(c) imposes on targeted direct-mail solicitation, where the lawyer must include, in capital letters, the notice "THIS IS AN ADVERTISEMENT FOR LEGAL SERVICES." Rule 7.3(c)(1) requires the notice to be printed "at the beginning of the body of the letter" in a font as large as or larger than the firm name in the letterhead.

On placement, the opinion notes that the "body" of a letter technically begins below the salutation, but reads the rule as a rule of reason (Rule 0.2, cmt. [1]). It concludes the requirement is satisfied if the notice appears anywhere from the top of the page down to immediately below the salutation, giving lawyers flexibility while keeping the notice prominent.

The remaining inquiries address the envelope, which Rule 7.3(c)(1) limits to the lawyer or firm name, return address, recipient's name and address, and the advertising notice, with the notice as large as any other printing. The opinion concludes a firm insignia or special border (for example, a stylized scales of justice or the partners' initials in an enlarged font) may appear with the firm name in the return address if it is a picture or symbol used consistently in the firm's official communications, because it is then treated as part of the firm name, provided the notice stays conspicuous. An insignia incorporating the partners' initials may use a font larger than the notice, but only if the notice is at least as large as the firm name and remains conspicuous. Such an insignia may also appear on the back of the envelope subject to those same requirements. By contrast, a firm motto (such as "Attorneys for Injured People") may not appear on the front because it detracts from the conspicuousness of the notice, and a website URL likewise may not appear on the front; both may appear on the back subject to the Rule 7.3(c) font-size rules.

In practice

Under the North Carolina rules as they stood at the time of the opinion, a lawyer sending targeted direct mail has latitude on where to place the advertising notice in the letter (anywhere from the top of the page to just below the salutation) but the envelope front is tightly limited. Per the opinion, a consistently used firm insignia or border counts as part of the firm name and may appear with the return address, while a motto or URL may not appear on the front because it dilutes the notice.

Per the opinion, items barred from the envelope front (motto, URL, and insignia beyond the stated limits) may appear on the back, subject to the font-size requirements of Rule 7.3(c), and the notice must always remain conspicuous and at least as large as the firm name.

Common questions

Q: Where does the "advertisement for legal services" notice have to go in a solicitation letter?

A: Near the top. The opinion concludes the notice satisfies the "beginning of the body" requirement if it appears anywhere from the top of the page down to immediately below the salutation (Rule 7.3(c), read with Rule 0.2).

Q: Can a firm's logo or insignia appear on the front of the envelope?

A: Yes, within limits. The opinion concludes an insignia or border used consistently in the firm's official communications is treated as part of the firm name and may appear with the return address, as long as the advertising notice remains conspicuous.

Q: Can the firm's slogan or motto go on the front of the envelope?

A: No. The opinion concludes a motto detracts from the conspicuousness of the advertising notice, so it may not appear on the front, though it may appear on the back subject to the font-size rules.

Q: Can the firm's website address appear on the envelope?

A: Not on the front. The opinion concludes a URL may not appear on the front of the envelope, but may appear on the back subject to the Rule 7.3(c) font-size requirements.

Background and rules framework

The opinion interprets North Carolina Rule 7.3(c) and 7.3(c)(1), which govern targeted written, recorded, or electronic solicitation of prospective clients known to need legal services, including the mandatory "advertisement for legal services" notice and the restrictions on what may appear on the solicitation envelope. It applies Rule 0.2's instruction that the Rules are rules of reason. The North Carolina rule is the state analogue of Model Rule 7.3's provisions on written solicitation.

Citations and references

Rules of Professional Conduct:

• MR 7.3 / NC Rule 7.3(c), 7.3(c)(1) (targeted direct-mail solicitation; required advertising notice; envelope restrictions)
• NC Rule 0.2, Scope, cmt. [1] (the Rules are rules of reason)

See also

• ABA Formal Op. 501: Solicitation
• NC 2007 FEO 4: Solicitation after Seminars, Gifts, and Business Cards

Source

• Landing page: https://www.ncbar.gov/for-lawyers/ethics-and-governing-rules/ethics-opinions/opinions/2007-formal-ethics-opinion-15/

Original opinion text

Reproduced from the official source for research purposes. The linked source is authoritative.

Inquiry #1:

Rule 7.3(c) allows a lawyer to solicit professional employment from a potential client known to be in need of legal services by written, recorded, or electronic communication provided the statement, in capital letters, "THIS IS AN ADVERTISEMENT FOR LEGAL SERVICES" (the advertising notice) appears on a specified part of the communication. If the solicitation is by letter, Rule 7.3(c)(1) requires the advertising notice to "be printed at the beginning of the body of the letter in a font as large or larger than the lawyer's or law firm's name in the letterhead or masthead." Where must the advertising notice be placed in the letter to be "at the beginning of the body of the letter"?

Opinion #1:

Black's Law Dictionary, 5th Edition (1979), defines "[b]ody of an instrument" as follows: "The main and operative part; the substantive provisions, as distinguished from the recitals, title, jurat, etc." Consistent with this definition, the body of a letter is that part of the letter that appears below the salutation. However, the Rules of Professional Conduct, being rules of reason, should be interpreted and applied in a reasonable manner. Rule 0.2, Scope, cmt. [1]. Therefore, the requirement in Rule 7.3(c) that the advertising notice "be printed at the beginning of the body of the letter" is satisfied if the advertising notice appears anywhere between the top of the page to immediately below the salutation of a direct mail letter.

Inquiry #2:

Rule 7.3(c)(1) requires direct mail letters to potential clients to be placed in an envelope. The advertising notice must be printed on the front of the envelope, in a font that is as large as any other printing on the envelope and the front of the envelope "shall contain no printing other than the name of the lawyer or law firm and return address, the name and address of the recipient, and the advertising notice." Many law firms have designed a distinguishing sign or mark ("insignia") or special border that is used in conjunction with the firm's name wherever and whenever the firm name appears in print on official written communications on behalf of the firm such as letterhead. Examples of such insignia include a stylized version of the scales of justice or the surname initials of the named partners in a distinct enlarged font. May the front of the envelope for a direct mail letter contain an insignia or border connected with the firm name in the return address on the envelope if the insignia is a picture or symbol but does not contain any letters or printing?

Opinion #2:

Yes, if the insignia or border is used consistently by the firm in official communications on behalf of the firm, the insignia or border is considered a part of the firm name and may appear next to the firm name in the return address on the front of the envelope provided the advertising notice remains conspicuous.

Inquiry #3:

May the front of the envelope for a direct mail letter contain an insignia connected with the firm name in the return address on the front of the envelope if the insignia is a design that incorporates the surname initials of the named partners of the firm? If so, do the initials have to be in a font that is the same size or smaller than the advertising notice printed on the front of the envelope?

Opinion #3:

The front of the envelope may contain an insignia with initials that are in a font that is larger than the font used for the advertising notice provided the insignia is used consistently by the firm in official communications on behalf of the firm, the advertising notice is in a font that is the same size or larger than the font used for the firm name, and the advertising notice remains conspicuous.

Inquiry #4:

May an insignia appear on the back of the envelope and, if so, are there any restrictions on the size?

Opinion #4:

The insignia may appear on the back of the envelope subject to the requirements set forth in opinions #2 and #3 above.

Inquiry #5:

ABC Law Firm uses the motto "Attorneys for Injured People" and prints the motto just below its name in all of its official written communications. May the front of the envelope for a direct mail letter contain a motto connected with the law firm name in the return address on the envelope?

Opinion #5:

No. A motto will detract from the conspicuousness of the advertising notice. However, the motto may appear on the back of the envelope subject to the font size requirements in Rule 7.3(c).

Inquiry #6:

May the URL or website address for a law firm appear in the return address on the front of the envelope for a direct mail letter?

Opinion #6:

No. It may appear on the back of the envelope subject to the font size requirements in Rule 7.3(c).