**Question 1.** Which of the following best describes the inherent power of a state supreme court to
regulate the practice of law?
A) It can only adopt rules that the legislature has expressly authorized.
B) It may prescribe rules of professional conduct even in the absence of legislative action.
C) It may regulate only the admission of attorneys, not their conduct.
D) It must defer to the state bar association’s policies.
Answer: B
Explanation: State supreme courts possess inherent authority to regulate the legal profession, including
adopting rules of professional conduct, without needing explicit legislative delegation.
**Question 2.** A state bar’s rule that requires a lawyer to be a resident of the state in order to be
admitted to practice is most likely unconstitutional under which principle?
A) The First Amendment’s free speech clause.
B) The Fourteenth Amendment’s Due Process Clause.
C) The Equal Protection Clause of the Fourteenth Amendment.
D) The Commerce Clause of the U.S. Constitution.
Answer: C
Explanation: Residency requirements discriminate against non-residents and have been held to violate
the Equal Protection Clause unless substantially related to a legitimate state interest.
**Question 3.** Under Rule 8.4, which of the following conduct would NOT be considered professional
misconduct?
A) Engaging in a scheme to defraud a client.
B) Associating with a non-lawyer in a business that does not involve the practice of law.
C) Failing to disclose a material fact to a client.
D) Making a false statement of fact to a third person.
Answer: B
Explanation: Rule 8.4 prohibits dishonest conduct, fraud, and false statements. Merely associating with a
non-lawyer in a lawful, non-legal business is not misconduct unless it interferes with the lawyer’s
independence.
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**Question 4.** When a disciplinary matter involves conduct that occurred in another state, which rule
determines the applicable law?
A) Rule 1.1 – Competence.
B) Rule 5.5 – Unauthorized Practice of Law.
C) Rule 8.5 – Choice of Law.
D) Rule 4.4 – Respect for Rights of Third Persons.
Answer: C
Explanation: Rule 8.5 directs that the law of the state where the alleged violation occurred governs the
disciplinary proceeding.
**Question 5.** A lawyer learns that a fellow attorney has been embezzling client funds. Under Rule
8.3, the lawyer’s duty to report is:
A) Mandatory, regardless of the amount involved.
B) Permissive, only if the lawyer believes the conduct is criminal.
C) Mandatory only if the amount exceeds $5,000.
D) Permissive, unless the misconduct reaches the “substantial question” threshold.
Answer: D
Explanation: Rule 8.3 requires reporting of misconduct that raises a “substantial question” as to the
lawyer’s honesty, trustworthiness, or fitness, not every minor infraction.
**Question 6.** Which of the following best defines the “practice of law” for purposes of Rule 5.5?
A) Giving legal advice to a friend in a casual conversation.
B) Drafting a legal document for a client in exchange for payment.
C) Representing a client in a small claims court without a license.
D) Both B and C.
Answer: D
Explanation: The practice of law includes preparing legal documents for compensation and representing
others in legal matters; both activities trigger Rule 5.5 when performed by a non-lawyer.
**Question 7.** A law firm hires a non-lawyer paralegal to conduct legal research and draft memoranda
for clients. Under Rule 5.4, this arrangement is:
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A) Permissible if the paralegal is supervised.
B) Prohibited because it constitutes fee-splitting.
C) Allowed only if the paralegal is a licensed attorney in another jurisdiction.
D) Unethical because non-lawyers may not perform any legal work.
Answer: A
Explanation: Rule 5.4 forbids fee-splitting and sharing professional judgment with non-lawyers, but
delegating supervised legal tasks to non-lawyer assistants is permissible.
**Question 8.** A lawyer is considering forming a partnership with a certified public accountant to
provide integrated services. Which rule most directly addresses the permissibility of this partnership?
A) Rule 1.5 – Fees.
B) Rule 5.4 – Professional Independence of a Lawyer.
C) Rule 7.5 – Advertising.
D) Rule 4.1 – Truthful Communication.
Answer: B
Explanation: Rule 5.4 governs a lawyer’s independence and restricts partnerships that could
compromise professional judgment, including certain joint ventures with non-lawyers.
**Question 9.** A prospective client contacts a lawyer seeking advice about a potential lawsuit. The
lawyer, before formally retaining the client, provides a brief assessment of the client’s case. Which rule
governs the lawyer’s duty to the prospective client?
A) Rule 1.2 – Scope of Representation.
B) Rule 1.18 – Prospective Clients.
C) Rule 1.6 – Confidentiality.
D) Rule 1.4 – Communication.
Answer: B
Explanation: Rule 1.18 imposes limited duties to prospective clients, including confidentiality of
information and refraining from representation if a conflict exists.
**Question 10.** Which decision is most appropriately reserved for the client under Rule 1.2?
A) The choice of legal research databases.
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B) The decision to settle a claim.
C) The selection of a particular line of argument.
D) The timing of filing a motion.
Answer: B
Explanation: Rule 1.2 requires that decisions concerning settlement, pleading guilty, or any matter that
fundamentally affects the client’s rights be made by the client, not the lawyer.
**Question 11.** A lawyer fails to inform a client that a critical filing deadline has passed, resulting in
dismissal of the case. Which rule has been violated?
A) Rule 1.4 – Communication.
B) Rule 1.5 – Fees.
C) Rule 1.1 – Competence.
D) Rule 1.6 – Confidentiality.
Answer: A
Explanation: Rule 1.4 obligates the lawyer to keep the client reasonably informed about the status of the
matter and to promptly communicate material developments.
**Question 12.** Under Rule 1.5, a lawyer may charge a contingent fee for a personal injury case
provided the fee agreement:
A) Is oral and signed by the client.
B) Is in writing, signed by the client, and includes a statement that the client may recover costs.
C) Is in writing but does not need the client’s signature.
D) Is oral but recorded in the lawyer’s file.
Answer: B
Explanation: Contingent fee agreements must be in writing, signed by the client, and contain a clear
statement that the client may recover costs, per Rule 1.5(b).
**Question 13.** Which of the following fee arrangements is expressly prohibited by Rule 1.5?
A) A contingent fee for a criminal defense matter.
B) A flat fee for drafting a will.