Fundamentals of Franchising, Fourth Edition

Name: Fundamentals of Franchising, Fourth Edition
Brand: American Bar Association
Price: 156.99 EUR
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Rupert Mitchell Barkoff Jr. Joseph J. Fittante Andrew C. Selden(Herausgeber*in)

American Bar Association (Verlag)

Erschienen am 1. Dezember 2016

479 Seiten

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Inhalt

Intro
Title Page
Copyright
Contents
Foreword
Preface
Acknowledgments
Chapter 1: Trademark Law Fundamentals and Related Franchising Issues
I. Trademark Licensing and the Franchise Agreement
A. When a Trademark License Is Necessary
B. When a Trademark License Is Not Necessary
C. The Role of Trademarks in Different Types of Franchise Systems
II. Overview of the Basic Concepts
A. Trademarks and Service Marks
B. Trade Names
C. Trade Dress
D. Trademark Value and Goodwill
E. Summary of Trademark Functions
F. Sources of Trademark Rights
III. Types of Trademarks
A. Words, Letters, and Numbers
B. Designs, Shapes, and Symbols
C. Colors
D. Combinations of Trademarks
E. Slogans
F. Trade Dress
IV. Selection and Protectability of Trademarks
A. Choosing an Appropriate Trademark
1. The Spectrum of Distinctiveness
2. Other Factors Determining the "Strength" of a Trademark
3. Selecting an Optimal Trademark
V. Choosing an Available Mark-Clearance of Trademarks
A. The Search Process
B. Preliminary Considerations
C. Why Conduct a Search?
D. Contents of the Commercial Search
E. Avoiding Adverse Consequences
VI. Registration
A. What Is Registration?
B. Benefits of Obtaining a Federal Registration
C. Obtaining a Federal Registration
VII. Proper Marking and Use
A. Use of a Trademark as a Source Identifier
B. Avoiding Genericide
C. Other Conduct that Can Result in Loss of Trademark Rights
VIII. Enforcement of Trademark Rights
A. Common Situations Prompting Enforcement Actions in Franchising
B. Causes of Action
C. Proof of Infringement
D. Remedies
E. Policing Trademarks
F. Non-Judicial Enforcement
IX. Use and Protection of Trademarks in Cyberspace
A. Domain Names
B. Social Media
C. Blogs, Fan Sites, Gripe Sites, and Bashtags
X. Trademark Licensing in the Franchise Agreement
A. Important Considerations
B. Typical Licensing Provisions in Franchise Agreements
XI. International Trademark Protection
A. Trademark Rights Are Territorial
B. Suitability
C. Registrability
D. Clearance
E. Registration
F. Recordation of Licenses
G. Protection
H. Summary of International Trademark Protection
XII. Conclusion
Chapter 2: Structuring the Franchise Relationship
I. Why Franchise?
A. Advantages of Franchising
B. Disadvantages of Franchising
II. Other Methods of Business Expansion
A. Vertical Integration
B. Joint Venture/Partnership
C. Licensing
D. Dealerships
E. Sales Representatives
F. Exemption-Based Franchising
III. Single-Unit Franchise
IV. Multi-Unit Franchises
A. Area Development
1. General Description
2. Advantages
3. Challenges
4. Key Provisions
B. Subfranchise Rights
1. General Description
2. Advantages
3. Challenges
4. Key Provisions
C. Area Representation
1. General Description
2. Advantages
3. Challenges
4. Key Provisions
D. Drafting Tips
E. Conclusion
Chapter 3: Franchise Disclosure Issues
I. History of Franchise Disclosure Laws
A. State Franchise and Business Opportunity Disclosure Laws
B. FTC Franchise Rule
C. NASAA 1993 UFOC Guidelines
D. 2007 FTC Rule Amendments
E. 2008 NASAA FDD Guidelines
II. Reasons for Disclosure and Disclosure Requirements
Business Benefits
III. Exemptions from Disclosure
IV. The Franchise Disclosure Document
A. General Discussion of the FDD Subjects Covered
B. Review of Each Item
C. Multi-State Disclosure Documents
V. The Disclosure Process
A. Jurisdictional Scope of FTC Franchise Rule
B. Timing of Disclosure
C. Who Must Receive Disclosure
D. Methods of Disclosure
1. CD-Rom or Hard Copy of the FDD
2. Electronic Disclosure
E. Identification of Franchise Sellers
F. Multiple-State Disclosure
G. Policing the Process
VI. Changes to the Franchise Disclosure Document
A. FTC Rule Requirements
1. FTC Rule Annual and Quarterly Updates
2. Updates to Item 19 FPRs
B. State Law Requirements
1. FTC Rule Requirements
2. State Law Requirements
C. Negotiated Changes
D. Procedures for Amending the Disclosure Document
E. Effect of Amendment on Franchise Sales Activities
VII. Unique Disclosure Issues for Multi-Unit Offerings
VIII. Liability for Failure to Disclose
Chapter 4: Registration
I. Overview of State Regulation of Franchise Sales
A. Jurisdictional Scope of State Franchise Registration and Disclosure Laws
B. Exemptions from State Franchise Registration Requirements
C. North American Securities Administrators Association, Inc.'s Effect on the Registration Process
II. Registering a Franchise Offering
A. When to File
1. Initial Applications
2. Renewal Applications
3. Amendment Applications
B. The Filing and Registration Process
1. The Franchise Application
2. Electronic Filing
3. Use of a Multi-State FDD in the Registration Process
C. Working with State Franchise Examiners
D. Registration of Multi-Unit Franchise Offerings
III. Other Registration Duties
A. Compliance with Business Opportunity Laws
B. Registration of Salespersons
C. Filing of Advertising and Promotional Materials
D. Satisfying Financial Assurance Requests
1. Deferral of Payment of Initial Fees
2. Escrow
3. Surety Bond
4. Guaranty of Performance
5. Capital Infusion/Debt Conversion
E. Agents for Service of Process
IV. Enforcement
A. Remedies Under State Registration and Disclosure Laws
1. Civil Remedies
2. Administrative Enforcement
3. Criminal Penalties
Chapter 5: Franchise Relationship Laws
I. Brief History and Overview of Franchise Relationship Laws
A. Abuses
B. Federal Legislation
C. State Legislation
II. Definition of "Franchise" Under State Relationship Laws
A. Breadth of Definition
B. A Closer Look at the Elements of a Franchise
1. Trademark
2. Marketing Plan
3. Community of Interest
4. Fee
III. "Good Cause" for Termination
A. Statutory "Good Cause" Requirements
B. Cases Interpreting Good Cause
1. Underreporting Sales or Failure to Report Sales or Pay Royalties
2. Failure to Maintain Standards and Other Contractual Requirements
3. Failure to Meet Sales and Other Performance Requirements
4. Sale of Competing Products
5. Damage to Franchisor's Reputation
6. Market Withdrawal by the Franchisor
7. Unfair Actions by Franchisors
8. Termination upon Transfer by the Franchisee
9. Incurable Conduct by the Franchisee
IV. Procedural Requirements for Termination
A. Statutory Procedural Requirements
B. Cases Interpreting Procedural Requirements
1. Compliance with Notice Requirements
2. Franchisor Compliance during Notice Period
3. Giving Reasons for Termination
4. Procedural Requirements for Insolvent and Bankrupt Franchisees
5. Incurable Breaches
V. Nonrenewal
A. Statutory Renewal Requirements
B. Cases Dealing with Nonrenewal
VI. The Perpetual Agreement Issue
A. The Problem
B. Types of Agreements
C. The Franchisor's Position
D. Judicial Relief
E. Conclusion
VII. Remedies
A. Types of Remedies
B. Repurchase
C. Goodwill
D. Injunctive Relief
E. Lost Profits
VIII. Transfers
A. Grounds for Withholding Consent to Transfers
B. Procedural Requirements for Transfer
C. Stock Transfers
D. Transfer upon the Death of a Franchisee
IX. Common Law Theories Affecting the Franchise Relationship
A. Breach of Contract
B. Promissory Estoppel and Recoupment
C. Non-Compete Requirements
D. Consent to Transfer
E. Encroachment
F. Fraud
G. Fiduciary Relationship
H. Good Faith
I. Antitrust
X. Conclusion
Chapter 6: Antitrust Law
I. The Essential Antitrust Statutes and Principles
A. Essential Antitrust Statutes
1. Sherman Act Section 1
2. Sherman Act Section 2
3. The Clayton Act
4. The Robinson-Patman Act
5. The Federal Trade Commission Act
6. State Laws
7. Reach of U.S. Antitrust Law
8. Non-U.S. Competition Laws
B. Essential Principles
1. The Per Se Rule
2. The Rule of Reason and the Relevant Market
3. Horizontal v. Vertical Restraints
4. Unilateral v. Concerted Action
5. Interbrand v. Intrabrand Competition
6. How Franchising Fits within the Framework of the Antitrust Laws
C. Antitrust Enforcement
1. Federal Enforcement
2. State Enforcement
3. Private Enforcement
D. Compliance Programs and Their Impact
II. Horizontal Restraints
A. Horizontal Practices Subject to Challenge
1. Horizontal Price-Fixing and Bid-Rigging
2. Horizontal Market and Customer Allocation or Division
3. Group Boycotts ("Concerted Refusals to Deal")
4. Information Exchanges
5. Most Favored Nations Clauses
6. Employee Non-solicitation Agreements
B. Effect of Dual-Distribution Structure
III. Vertical Price and Non-price Restraints
A. Vertical Price Restraints
1. Maximum Resale Price Maintenance
2. Minimum Resale Price Maintenance
a. Leegin and Its Impact
b. Pre-Leegin Law
c. The Colgate Doctrine
d. Suggested Resale Prices
e. Minimum Advertised Pricing and Cooperative Advertising
f. National Account Programs
B. Territorial and Customer Restraints
1. Location Clauses
2. Exclusive Appointments
3. Area of Primary Responsibility Clauses
4. Profit Passover Arrangements
5. Exclusive Dealing
6. Covenants Not to Compete
C. Terminations/Refusals to Deal
IV. Tying Arrangements
A. Quality Control Mechanisms
B. Essential Tying Principles
1. The Two-Product Issue
2. Conditioned Sale
3. Market Power
C. Ramifications of Kodak for Franchise Tying Claims
1. Definition of Relevant Market
2. Information and Switching Costs
D. Full-Line Forcing
E. Allocation Systems
V. Other Issues of Potential Concern
A. Discrimination Among Franchisees Under the Robinson-Patman Act
1. Discrimination in Pricing
2. Discrimination in Services or Facilities
3. "Dummy" Brokerage
4. Application to Franchising
B. Mergers and Acquisitions
C. Trade and Industry Association Participation
Chapter 7: International Franchising
I. Going International
A. Drivers of International Expansion
B. General Considerations
C. Franchisor Resources
D. Due Diligence Regarding the Target Country
E. Hiring Local Counsel
F. Identifying and Prospecting Countries
II. Trademarks and Intellectual Property
A. Introduction
B. Selection/Registration
C. Registration
D. Community Trademarks
E. The Madrid System
F. Licensing Issues
G. Domain Names and Social Networking
H. Other Intellectual Property Rights, Including Copyright and Trade Secrets
1. Trade Secrets
2. Copyright
3. Patents
III. Structure of International Arrangements
A. Master Franchising
B. Direct Single-Unit Franchise Sales
C. Area Development/Multi-Unit Development
D. Area Representative Agreements
E. Options and Rights of First Refusal
F. Joint Ventures
IV. Legal Issues
A. Franchise Disclosure
1. Disclosure Laws
2. Code of Ethics
3. Civil Law Principles
4. Franchise Disclosure Document
B. Registration/Recording
1. Trademark Filings and Approval
2. Foreign Investment Approval
3. Franchisor Registration
C. Exchange Control/Central Bank Restrictions
D. International Tax Planning
1. Withholding Taxes
E. Post-Termination Indemnification/Agency Laws
1. Local Ownership Requirement
2. Competition Law
F. Data Privacy
G. Import/Export Control
V. The Master Franchise Agreement
A. Commercial Issues
1. Territory
2. Fees
3. Unit Development
4. Term and Renewal
5. System Changes
B. Legal Issues
1. Confidentiality and Covenant Against Competition
2. Transfer Restrictions
3. Termination and Nonrenewal
4. Indemnification Obligations
5. Guarantees/Letters of Credit
6. Liquidated Damages/Penalty Clauses
7. The Subfranchise Agreement
VI. Dispute Resolution
A. Introduction
B. Choice of Law Governing the Relationship
C. Choice of Forum to Resolve Disputes
D. Mediation and Informal Dispute Resolution
E. Arbitration of Disputes
F. Laws Governing International Arbitration
G. Arbitration Procedures
H. Other Issues That Impact International Arbitration
Chapter 8: Representing Franchisees
I. Counseling the Prospective Franchisee
A. The Role of the Lawyer
B. The Counseling Process
C. Deconstructing the Franchise Disclosure Document (FDD)
D. Alternatives: Nobody Has to Buy a Franchise
II. The Negotiability of Franchise Agreements
III. What to Consider Negotiating
IV. Special Considerations for Clients Buying Existing Units
V. Representing Area Developers (Multi-Unit Operators)
VI. Representing Master Franchisees (AKA: Subfranchisors) and Area Representatives
VII. Franchisee Associations
A. The Evolution of Franchisee Associations
B. Structuring an Association
C. The Lawyer's Role in Counseling Franchisee Associations
VIII. Dispute Resolution
A. Introduction
B. Settling Franchise Disputes
C. Mediating Franchise Disputes
D. Litigation and Arbitration: When All Else Fails
1. Procedural Issues Unique to Franchising
a. Choice of Law Issues
b. Venue Issues
c. Dispute Resolution Clauses
d. The Prevalence of Arbitration
e. The Pros and Cons of Franchise Arbitration
2. Substantive Issues Unique to Franchising
a. Consider Franchise Statutes and Regulations as Well as Common Law
b. Disclosure Claims
c. Fraud-Statutory and Common Law
d. Termination Claims
e. Trademark and Non-compete Claims
f. Other Claims Frequently Asserted
IX. Conclusion
Appendix A: State Franchise and Business Opportunity Registration and/or Disclosure Statutes
Appendix B: Franchise Relationship Law Names and Citations
Appendix C: Types of Franchise Relationship Laws
Appendix D: Statutory Examples of Good Cause
Appendix E: Procedural Requirements for Termination and Nonrenewal
Appendix F: Examples of Other Unlawful Practices
About the Editors
About the Contributors
Table of Cases
Index

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