Can a lawyer add extra wording to a direct-mail envelope beyond the required 'Advertisement' label, and can the required mailing list be filed on a computer disk?

Plain-English summary

The Disciplinary Commission answered two questions about the then-new direct-mail solicitation rule, Rule 7.3. The first asked whether, after complying with the requirement to print "Advertisement" in 14-point red ink in the lower left corner of the envelope, a lawyer could also add other words or terms to the envelope.

The opinion concluded that adding other words or terms is not permissible. Reading the Comment to Rule 7.3, the Commission explained that the purpose of the "Advertisement" label is to avoid the perception that the envelope must be opened merely because it comes from a lawyer, when it only contains a solicitation. Extra wording, the opinion reasoned, amounts to an attempt to subvert the recipient's option to disregard a legal advertisement, and so violates Rule 7.3(b)(2)(v).

The second question asked whether the rule's requirement to send the General Counsel's Office a list of the names and addresses of direct-mail recipients could be satisfied by a computer disk. The opinion concluded it could not. It interpreted the term "list" in Rule 7.3(b)(2)(i) to mean a written or printed series of names, observing that disks create storage problems and a risk of infecting the State Bar's computer system with a virus, and that information on a printed list is immediately self-evident while disk data must be run on a computer.

Currency note

This opinion was issued in 1996, before the 2002 Ethics 2000 revisions to the ABA Model Rules of Professional Conduct and Alabama's subsequent amendments to its Rules of Professional Conduct. The Alabama advertising rules have themselves changed substantially since 1996. Subsequent rule amendments or later opinions may have changed the analysis. Treat this page as historical context, not current guidance. Verify against current rules before relying on any specific rule, deadline, or requirement mentioned here.

Common questions

Q: Besides the required "Advertisement" label, can a lawyer print other wording on a direct-mail envelope?

A: No. The opinion concluded that extraneous words or terms on the envelope are attempts to subvert the recipient's option to disregard a legal advertisement and violate Rule 7.3(b)(2)(v).

Q: What was the stated purpose of the "Advertisement" label requirement?

A: The opinion, reading the Comment to Rule 7.3, said the label avoids the perception that the envelope must be opened merely because it is from a lawyer, when it only contains a solicitation for legal business.

Q: Could the required recipient list be filed on a computer disk?

A: No. The opinion interpreted "list" in Rule 7.3(b)(2)(i) to mean a written or printed series of names, citing storage problems, virus risk, and the immediate readability of a printed list.

Background and rules framework

The opinion interprets Rule 7.3 of the Alabama Rules of Professional Conduct (Model Rule 7.3, solicitation and direct contact with prospective clients), specifically the then-current subsections 7.3(b)(2)(v), requiring the "Advertisement" label on solicitation envelopes, and 7.3(b)(2)(i), requiring the lawyer to file a list of recipients with the General Counsel's Office. It relies on the Comment to Rule 7.3 to explain the label's purpose.

Citations and references

Rules of Professional Conduct:

• Model Rule 7.3 / Ala. R. Prof. C. 7.3(b)(2)(v) (the "Advertisement" envelope label)
• Ala. R. Prof. C. 7.3(b)(2)(i) (filing a list of direct-mail recipients with the General Counsel)

See also

• AL Ethics Op. 1996-07: Advertising on the Internet
• AL Ethics Op. 2006-01: Direct Solicitation of Former and Present Clients
• ABA Ethics Op. 501: Solicitation

Source

• Landing page: https://www.alabar.org/office-of-general-counsel/formal-opinions/1996-05/
• Original PDF: https://www.alabar.org/assets/2019/02/1996-05-1.pdf

Original opinion text

Best-effort transcription from a scanned PDF. Minor errors may remain; the linked PDF is authoritative.

ETHICS OPINION

RO-96-05

OFFICE OF GENERAL COUNSEL

QUESTION ONE:

Rule 7.3(b)(2)(v) of the Rules of Professional Conduct requires a lawyer who is sending out a direct mail letter to a prospective client to put the word "Advertisement" in 14-point red ink in the lower left hand corner of the envelope. If this aspect of the rule is complied with, is it permissible to put other words or terms on the envelope as well?

QUESTION TWO:

Rule 7.3(b)(2)(i) requires a lawyer to send to the General Counsel's Office a list of names and addresses of those persons to whom a direct mail solicitation letter has been sent. Can this requirement be satisfied by sending in a computer disk on which that information is contained?

ANSWER QUESTION ONE:

According to the Comment of new Rule 7.3, the purpose of requiring the word "Advertisement" on the envelope of a direct mail solicitation letter is to avoid the perception that the letter must be opened merely because it is from a lawyer, when it only contains a solicitation for legal business. It is the Commission's opinion that the addition of other words or terms on the envelope are nothing but attempts to subvert the recipient's option of disregarding a legal advertisement. Direct mail envelopes that contain extraneous terms are not permissible and would be in violation of Rule 7.3(b)(2)(v) of the Rules of Professional Conduct.

ANSWER QUESTION TWO:

The submission of computer disks containing the names and addresses of persons to whom direct mail letters have been sent does not comply with the filing requirement of Rule 7.3(b)(2)(i). The Commission interprets the term "list" as used in this rule to mean a written or printed series of names. The acceptance of computer disks creates storage problems, and more importantly, the risk of infecting the State Bar's computer system with a virus. The only way to access the information from a disk is to run it on a computer. The information on a printed list is immediately self-evident.

MLM/vf

8/20/96