No. 17-571
`
`
`IN THE
`Supreme Court of the United States
`__________
`
`
`
`
`
`FOURTH ESTATE PUBLIC BENEFIT CORPORATION,
`Petitioner,
`
`
`v.
`
`
`WALL-STREET.COM, LLC AND JERROLD D. BURDEN,
`Respondents.
`
`__________
`
`On Writ of Certiorari
`to the United States Court of Appeals
`for the Eleventh Circuit
`__________
`
`BRIEF FOR PETITIONER
`__________
`
`
`JOEL B. ROTHMAN
`JEROLD I. SCHNEIDER
`SCHNEIDER ROTHMAN
` INTELLECTUAL PROPERTY
` LAW GROUP, PLLC
`4651 N. Federal Highway
`Boca Raton, Florida 33431
`(561) 404-4350
`
`
`August 27, 2018
`
`AARON M. PANNER
` Counsel of Record
`GREGORY G. RAPAWY
`GRACE W. KNOFCZYNSKI
`KELLOGG, HANSEN, TODD,
` FIGEL & FREDERICK, P.L.L.C.
`1615 M Street, N.W.
`Suite 400
`Washington, D.C. 20036
`(202) 326-7900
`(apanner@kellogghansen.com)
`
`
`
`

`

`QUESTION PRESENTED
`Section 411(a) of the Copyright Act provides (with
`qualifications) that “no civil action for infringement
`of [a] copyright in any United States work shall be
`instituted until preregistration or registration of the
`copyright claim has been made in accordance with
`this title.” 17 U.S.C. § 411(a). The question presented
`is:
`Whether “registration of [a] copyright claim has
`been made” within the meaning of § 411(a) when the
`copyright holder delivers the required application,
`deposit, and fee to the Copyright Office, as the Fifth
`and Ninth Circuits have held, or only once the
`Copyright Office acts on that application, as the
`Tenth Circuit and, in the decision below, the
`Eleventh Circuit have held.
`
`
`
`
`

`

`
`
`ii
`
`PARTIES TO THE PROCEEDINGS
`Petitioner Fourth Estate Public Benefit Corporation
`was the plaintiff and the appellant in the proceed-
`ings below.
`Respondents Wall-Street.com, LLC and Jerrold D.
`Burden were the defendants and the appellees in the
`proceedings below.
`
`
`

`

`
`
`iii
`
`RULE 29.6 STATEMENT
`Pursuant to this Court’s Rule 29.6, petitioner
`Fourth Estate Public Benefit Corporation states that
`it is a public benefit corporation that has not issued
`any stock.
`
`

`

`
`
`iv
`
`TABLE OF CONTENTS
`
`Page
`QUESTION PRESENTED .......................................... i
`PARTIES TO THE PROCEEDINGS ......................... ii
`RULE 29.6 STATEMENT ......................................... iii
`TABLE OF AUTHORITIES ...................................... vi
`INTRODUCTION ....................................................... 1
`OPINIONS BELOW ................................................... 3
`JURISDICTION .......................................................... 3
`STATUTORY PROVISIONS INVOLVED ................. 3
`STATEMENT .............................................................. 3
`A. Statutory Background .................................... 3
`B. Factual Background ...................................... 15
`C. Proceedings Below ........................................ 16
`SUMMARY OF ARGUMENT .................................. 18
`ARGUMENT ............................................................. 21
`I. THE STATUTORY TEXT MAKES
`CLEAR THAT THE COPYRIGHT
`OWNER MAKES REGISTRATION
`FOR PURPOSES OF § 411(a) BY
`COMPLYING WITH THE STATUTE’S
`REQUIREMENTS ........................................ 21
`A. The Statute Employs the Phrase
`“Make Registration” and Its Vari-
`ants To Refer to the Actions of the
`Copyright Owner ..................................... 21
`
`

`

`
`
`v
`B. The Portion of § 411(a) Addressing
`the Consequences of Refusal of
`Registration Further Supports the
`Conclusion That “Registration . . . Has
`Been Made” Refers to the Action of
`the Copyright Owner ............................... 29
`II. THE HISTORY OF § 411(a) FURTHER
`DEMONSTRATES THAT A COPY-
`RIGHT OWNER MAY INSTITUTE A
`CIVIL ACTION FOR INFRINGEMENT
`ONCE STATUTORY REQUIREMENTS
`ARE COMPLIED WITH ............................... 32
`III. THE STATUTORY SCHEME OF
`RIGHTS AND REMEDIES FAVORS
`ALLOWING SUITS TO PROCEED
`ONCE THE COPYRIGHT OWNER
`HAS COMPLIED WITH REQUIRED
`FORMALITIES ............................................. 36
`CONCLUSION .......................................................... 43
`
`
`
`

`

`
`
`vi
`
`TABLE OF AUTHORITIES
`
`Page
`
`CASES
`Almendarez-Torres v. United States, 523 U.S.
`224 (1998) ............................................................ 27
`American Broad. Co. v. Aereo, Inc., 134 S. Ct.
`2498 (2014) ......................................... 20, 32, 34, 35
`Barber v. Thomas, 560 U.S. 474 (2010) ................... 28
`CBOCS W., Inc. v. Humphries, 553 U.S. 442
`(2008) ................................................................... 34
`Cosmetic Ideas, Inc. v. IAC/Interactivecorp.,
`606 F.3d 612 (9th Cir. 2010) ............................... 41
`Dollar Sav. Bank v. United States, 86 U.S.
`(19 Wall.) 227 (1874) ........................................... 30
`Dowling v. United States, 473 U.S. 207 (1985) ........ 37
`Exxon Mobil Corp. v. Allapattah Servs., Inc.,
`545 U.S. 546 (2005) ............................................. 36
`FDA v. Brown & Williamson Tobacco Corp.,
`529 U.S. 120 (2000) ............................................. 36
`Feist Publ’ns, Inc. v. Rural Tel. Serv. Co.,
`499 U.S. 340 (1991) ............................................. 34
`Feltner v. Columbia Pictures Television, Inc.,
`523 U.S. 340 (1998) .................................. 19, 23, 28
`Golan v. Holder, 565 U.S. 302 (2012) ...... 10, 22, 29, 38
`Harper & Row, Publ’ers, Inc. v. Nation Enters.,
`471 U.S. 539 (1985) .............................. 3, 22, 37, 38
`Kirtsaeng v. John Wiley & Sons, Inc., 568 U.S.
`519 (2013) ............................................................ 18
`La Resolana Architects, PA v. Clay Realtors
`Angel Fire, 416 F.3d 1195 (10th Cir. 2005) ........ 39
`
`

`

`
`
`vii
`Liteky v. United States, 510 U.S. 540 (1994) ........... 30
`Lumiere v. Pathe Exch., Inc., 275 F. 428 (2d
`Cir. 1921) ........................................................... 7, 8
`Microsoft Corp. v. i4i Ltd. P’ship, 564 U.S. 91
`(2011) ................................................................... 40
`Powerex Corp. v. Reliant Energy Servs., Inc.,
`551 U.S. 224 (2007) ........................................22, 23
`Reed Elsevier, Inc. v. Muchnick, 559 U.S. 154
`(2010) ............................................ 11, 22, 29, 34, 38
`Roth Greeting Cards v. United Card Co.,
`429 F.2d 1106 (9th Cir. 1970) ......................... 8, 33
`Star Athletica, L.L.C. v. Varsity Brands, Inc.,
`137 S. Ct. 1002 (2017) ......................................... 21
`Syntek Semiconductor Co. v. Microchip Tech.
`Inc., 307 F.3d 775 (9th Cir. 2002) ....................... 41
`Taniguchi v. Kan Pac. Saipan, Ltd., 566 U.S.
`560 (2012) ............................................................ 29
`Vacheron & Constantin-Le Coultre Watches,
`Inc. v. Benrus Watch Co., 260 F.2d 637
`(2d Cir. 1958), ........................................ 7, 8, 29-30,
`33, 34, 35, 38
`Washingtonian Publ’g Co. v. Pearson, 306 U.S.
`30 (1939) .................................................... 2, 5, 6, 7,
`20, 37, 38
`Wheaton v. Peters, 33 U.S. (8 Pet.) 591 (1834) ........... 4
`White-Smith Music Publ’g Co. v. Goff, 187 F.
`247 (1st Cir. 1911) ........................................... 7, 33
`
`

`

`
`
`viii
`STATUTES AND REGULATIONS
`Act of May 31, 1790, ch. 15, 1 Stat. 124 ....................... 4
`
`§ 3, 1 Stat. 125 .......................................................... 4
`
`§ 4, 1 Stat. 125 .......................................................... 4
`Act of Apr. 29, 1802, ch. 36, § 1, 2 Stat. 171, 171 ........ 4
`Artists’ Rights and Theft Prevention Act of
`2005, Pub. L. No. 109-9, tit. I, § 104(b),
`119 Stat. 218, 222 ................................................ 10
`Berne Convention Implementation Act of 1988,
`Pub. L. No. 100-568, § 9(b)(1), 102 Stat. 2853,
`2859 ...................................................................... 10
`Copyright Act of 1909, ch. 320, 35 Stat. 1075 ....... 5, 6,
`8, 26, 32
`§ 13, 35 Stat. 1078 ............................................... 26
`
`Copyright Act of 1976, Pub. L. No. 94-553,
`90 Stat. 2541 ...................................... 5, 7, 8, 18, 20,
`23, 26, 27, 29, 32, 34
`
`
`
`
`
`§ 101:
`
`90 Stat. 2583 .............................................10, 23
`
`90 Stat. 2593 .................................................. 27
`§ 110, 90 Stat. 2600, reprinted in 17 U.S.C.
`§ 407 note ............................................................. 26
`Copyright Act (17 U.S.C.) .................................. passim
`17 U.S.C. § 2 (1970) ............................................... 5
`17 U.S.C. § 10 (1970) ............................................. 5
`17 U.S.C. § 11 (1970) ............................................. 5
`17 U.S.C. § 12 (1970) ............................................. 5
`17 U.S.C. § 13 (1970) .............. 5, 7, 8, 20, 32, 33, 34
`
`

`

`
`
`1X
`
`ix
`17 U.S.C. § 14 (1970) ........................................... 26
`17 U.S.C. § 14 (1970) ........................................... 26
`17 U.S.C. § 102(a) ................................... 2, 3, 37, 41
`17 U.S.C. § 102(a) ................................... 2, 3, 37, 41
`17 U.S.C. § 106 ...................................................... 3
`17 U.S.C. § 106 ...................................................... 3
`17 U.S.C. § 205(a) ................................................ 27
`17 U.S.C. § 205(a) ................................................ 27
`17 U.S.C. § 205(c) ...........................................25, 26
`17 U.S.C. § 205(c) ........................................... 25, 26
`17 U.S.C. § 405(b) ................................................ 25
`17 U.S.C. § 405(b) ................................................ 25
`17 U.S.C. § 406(a) ................................................ 25
`17 U.S.C. § 406(a) ................................................ 25
`17 U.S.C. § 406(a)(1) ............................................ 25
`17 U.S.C. § 406(a)(1) ............................................ 25
`17 U.S.C. § 407 ...................................................... 9
`17 U.S.C. § 407 ...................................................... 9
`17 U.S.C. § 407(d) .................................................. 7
`17 U.S.C. § 407(d) .................................................. 7
`17 U.S.C. § 408 ....................................... 1, 9, 22, 25
`17 U.S.C. § 408 ....................................... 1, 9, 22, 25
`17 U.S.C. § 408(a) ................... 1, 2, 9, 17, 20, 25, 27
`17 U.S.C. § 408(a) ................... 1, 2, 9, 17, 20,25, 27
`17 U.S.C. § 408(b) .................................................. 9
`17 U.S.C. § 408(b) .................................................. 9
`17 U.S.C. § 408(c) ................................................ 19
`17 U.S.C. § 408(c) ................................................ 19
`17 U.S.C. § 408(c)(3) ............................................ 24
`17 U.S.C. § 408(c)(3) ............................................ 24
`17 U.S.C. § 408(e) ...........................................19, 42
`17 U.S.C. § 408(e) ........................................... 19, 42
`17 U.S.C. § 409 ........................................... 9, 25, 26
`17 U.S.C. § 409 ........................................... 9, 25,26
`17 U.S.C. § 410 .................................................... 25
`17 U.S.C. § 410 .................................................... 25
`17 U.S.C. § 410(a) ............................. 1, 9, 17, 19, 28
`17 U.S.C. § 410(a) ............................. 1, 9, 17, 19,28
`17 U.S.C. § 410(b) ....................................... 9, 17, 28
`17 U.S.C. § 410(b) ....................................... 9, 17,28
`17 U.S.C. § 410(c) ..................................... 11, 39, 40
`17 U.S.C. § 410(c) ..................................... 11, 39, 40
`17 U.S.C. § 410(d) ....................... 2, 9, 17, 21, 25, 38
`17 U.S.C. § 410(d) ....................... 2, 9, 17, 21, 25, 38
`17 U.S.C. § 411 ................................................ 1, 21
`17 U.S.C. § 411 ................................................ 1, 21
`17 U.S.C. § 411(a) .............................. 1, 2, 9, 10, 16,
`17 U.S.C. § 411(a) .............................. 1, 2, 9, 10,16,
`18, 19, 20, 21, 22, 23,
`27, 29, 31, 32, 36, 37, 40
`27,29,31,32,36,37,40
`
`18,19,20,21,22,23,
`
`

`

`
`
`x
`17 U.S.C. § 411(b) ...........................................18, 23
`17 U.S.C. § 411(c) ..................................... 18, 22, 24
`17 U.S.C. § 411(c)(2) .......................................19, 22
`17 U.S.C. § 412 ......................... 1, 11, 19, 23, 26, 38
`17 U.S.C. § 412(2) ............................... 11, 19, 23, 24
`17 U.S.C. § 504 .................................................... 24
`17 U.S.C. § 505 .................................................... 24
`17 U.S.C. § 508(a) ................................................ 39
`17 U.S.C. § 708 .................................................... 28
`17 U.S.C. § 708(a) ................................................ 27
`17 U.S.C. § 708(a)(1) ............................................ 27
`17 U.S.C. § 708(a)(2) ............................................ 27
`Copyright Renewal Act of 1992, Pub. L. No.
`102-307, tit. I, § 102(b)(2), 106 Stat. 264, 266 ..... 29
`Digital Millennium Copyright Act, Pub. L. No.
`105-304, § 102(d), 112 Stat. 2860, 2863
`(1998) ................................................................... 10
`Prioritizing Resources and Organization for
`Intellectual Property Act of 2008, Pub. L.
`No. 110-403, § 101(a), 122 Stat. 4256, 4257 ....... 10
`28 U.S.C. § 1254(1) ..................................................... 3
`28 U.S.C. § 1367 ........................................................ 36
`37 C.F.R.:
`
`§ 202.5 .................................................................... 9
`
`§ 202.16(b) ............................................................ 43
`
`
`
`

`

`
`
`xi
`LEGISLATIVE MATERIALS
`H.R. Rep. No. 90-83 (1967) ....................................... 31
`H.R. Rep. No. 94-1476 (1976), reprinted in 1976
`U.S.C.C.A.N. 5659 .............................. 23, 24, 31, 33
`Statement of Maria A. Pallante, U.S. Register
`of Copyrights, Before the Subcommittee
`on Legislative Branch Appropriations,
`U.S. Senate, Fiscal 2016 Budget Request
`(Mar. 17, 2015), available at https://www.
`appropriations.senate.gov/imo/media/doc/
`hearings/031715%20LOC%20Register%20
`of%20Copyrights%20Testimony%20-%20Leg
`Branch.pdf .................................................... 11-12, 16
`
`
`
`ADMINISTRATIVE MATERIALS
`Comments of Science Fiction and Fantasy
`Writers of America, Inc., et al., Group Reg-
`istration of Unpublished Works, Copyright
`Office Docket No. 2017-15 (filed Nov. 13,
`2017), available at https://www.regulations.
`gov/document?D=COLC-2017-0009-0076 ........... 12
`Comments of the National Press Photographers
`Ass’n, Copyright Office Fees, Copyright
`Office Docket No. 2012-1 (filed May 14,
`2012), available at https://www.copyright.
`gov/docs/newfees/comments/05142012/ ......... 12-13
`Copyright Office Fees, 83 Fed. Reg. 24,054
`(May 24, 2018) ..................................................... 15
`
`

`

`
`
`xii
`Joint Comments of American Society of Media
`Photographers and Professional Photo-
`graphers of America, Copyright Office Fees,
`Copyright Office Docket No. 2012-1 (filed
`May 14, 2012), available at https://www.
`copyright.gov/docs/newfees/comments/
`05142012/ ............................................................. 13
`Policy Decision: Revised Special Handling
`Procedures, 56 Fed. Reg. 37,528 (Aug. 7,
`1991) ..................................................................... 14
`Policy Decision Announcing Fee for Special
`Handling of Applications for Copyright
`Registration, 47 Fed. Reg. 19,254 (May 4,
`1982) ..................................................................... 14
`Registration Nos.
`(searchable at https://
`cocatalog.loc.gov/cgi-bin/Pwebrecon.cgi?DB=
`local&PAGE=First):
` TX0006595981 (Apr. 30, 2007) ........................... 16
` TX0006595982 (Apr. 30, 2007) ........................... 16
` TX0006596887 (June 25, 2007) ........................... 16
`U.S. Copyright Office:
` Annual Report of the Register of Copyrights
`(2009), available at https://www.copyright.
`gov/reports/annual/2009/ar2009.pdf ................... 12
` Annual Report of the Register of Copyrights
`(2011), available at https://www.copyright.
`gov/reports/annual/2011/ar2011.pdf ................... 12
` Compendium of U.S. Copyright Office Prac-
`tices (3d ed. 2017), https://www.copyright.
`gov/comp3/docs/compendium.pdf ........................ 14
`
`

`

`
`
`xiii
`
` Copyright Law Revision: Report of the Reg-
`ister of Copyrights on the General Revision
`of the U.S. Copyright Law (Comm. Print
`1961), available at https://www.copyright.
`gov/history/other_reports.html ............................. 35
` Copyright Law Revision – Part 6: Supple-
`mentary Report of the Register of Copy-
`rights on the General Revision of the U.S.
`Copyright Law: 1965 Revision Bill (Comm.
`Print 1965), available at https://babel.hathi
`trust.org/cgi/pt?id=mdp.39015030337722;
`view=1up;seq=151 .............................................. 23, 35
` Fiscal 2017 Annual Report (2017), avail-
`able at https://www.copyright.gov/reports/
`annual/2017/ar2017.pdf .................................12, 13
` Benjamin Kaplan, Study No. 17: The
`Registration of Copyright (Aug. 1958), re-
`printed in Copyright Law Revision: Studies
`Prepared for the Subcomm. on Patents,
`Trademarks, and Copyrights of the S. Comm.
`on the Judiciary, 86th Cong. (Comm. Print
`1960), available at https://www.copyright.
`gov/history/studies/ ................................................ 4
`“Preregister Your Work,” https://www.
`copyright.gov/prereg/ (last visited Aug. 23,
`2018) ..................................................................... 42
`“Registration Processing Times,” https://www.
`copyright.gov/registration/docs/processing-
`times-faqs.pdf ...................................................... 12
`
`
`
`
`
`
`
`
`

`

`
`
`xiv
`
`OTHER MATERIALS
`Robert Brauneis, Properly Funding the Copy-
`right Office: The Case for Significantly
`Differentiated Fees, GW Law School Public
`Law and Legal Theory Paper No. 2017-58
`(2017), available at https://ssrn.com/abstract
`=2997192 .........................................................13, 14
`Copyright Alliance, “Copyright Registration,”
`https://copyrightalliance.org/ca_faq_post/can-
`you-please-explain-why-the-timeline-for-
`receiving-a-certificate-of-registration-has-
`gone-from-three-months-to-eight-months/
`(last visited Aug. 21, 2018) ............................. 13-14
`Arthur Fisher, U.S. Register of Copyrights,
`“The Copyright Office and the Examination
`of Claims to Copyright,” in 1953 Copyright
`Problems Analyzed 11 (Theodore R. Kupfer-
`man ed.) .......................................................... 42-43
`2 Melville B. Nimmer & David Nimmer,
`Nimmer on Copyright (2013).................... 36, 40, 41
`
`
`
`
`
`
`

`

`INTRODUCTION
`The Copyright Act requires, before a civil action for
`infringement is brought, that “registration of the
`copyright claim . . . be[] made in accordance with this
`title.” 17 U.S.C. § 411(a). Read together with the
`statute as a whole, that language is best understood
`to mean that, before bringing suit, the copyright
`owner must comply with the statutory formalities
`required for registration – that is, the owner must
`“deliver[] to the Copyright Office the deposit [of
`copies of the work] specified” in § 408, “together with
`the application and fee specified by sections 409 and
`708.” Id. § 408(a). It does not require the completion
`of the potentially far longer process – frequently
`taking months or years – through which the Register
`of Copyrights, “after examination, . . . determines that,
`in accordance with the provisions of this title, the
`material deposited constitutes copyrightable subject
`matter and that the other legal and formal require-
`ments of this title have been met,” and thus “regis-
`ter[s] the claim.” Id. § 410(a).
`The Copyright Act, including in the provisions
`most directly addressing the significance of registra-
`tion in litigation, consistently employs the phrase
`“make registration” and its passive-voice counter-
`parts such as “registration has been made” to refer to
`the copyright owner’s compliance with the statutory
`registration requirement, not the determination by
`the Copyright Office that all formalities have been
`satisfied. That is true of other subsections of § 411
`itself, and of a related provision – § 412 – that
`requires copyright owners to make registration
`within three months of first publication of a work
`as a condition of obtaining statutory damages and
`attorney’s fees.
`
`

`

`
`
`2
`Just as important, petitioner’s construction comports
`with the statute’s rejection of formalities – which all
`prior federal statutes had required to some degree –
`as a condition of statutory copyright protection. The
`Act grants a copyright owner exclusive rights in a
`work as soon as it is fixed in a tangible medium of
`expression, see id. § 102(a), and “registration is not a
`condition of copyright protection,” id. § 408(a). To be
`sure, before a copyright owner can sue to enforce
`those rights, the copyright owner must register the
`claim with the Copyright Office. But once the copy-
`right owner has submitted the required application,
`deposit, and fee, that requirement is vindicated.
`That is confirmed by the fact that, in cases where the
`Register refuses to register the claim, the copyright
`owner may sue nevertheless; it is likewise confirmed
`by the fact that the statute, in § 410(d), gives courts
`the power to determine, in the first instance, whether
`the copyright owner complied with the statutory
`prerequisites for registration.
`A contrary reading of § 411(a) would make the
`Register a gatekeeper to the courthouse, allowing
`bureaucratic delays concerning such matters as clas-
`sification to prevent a copyright owner from promptly
`enjoining infringement that may significantly under-
`mine the value of its property. As this Court has
`noted, “[w]ithout right of vindication a copyright is
`valueless.” Washingtonian Publ’g Co. v. Pearson, 306
`U.S. 30, 40 (1939). There is nothing in the structure
`or history of the Copyright Act to suggest that
`the Register’s determination – or, in this case, the
`16-month-long absence of any such determination –
`should be given such out-sized importance in the
`statutory scheme.
`
`

`

`
`
`3
`
`OPINIONS BELOW
`The opinion of the court of appeals (App. 1a-10a) is
`reported at 856 F.3d 1338. The order of the district
`court granting respondents’ motion to dismiss (App.
`11a-14a) is not reported (but is available at 2016 WL
`9045625).
`
`JURISDICTION
`The court of appeals entered its judgment on
`May 18, 2017. On August 7, 2017, Justice Thomas
`extended the time for filing a certiorari petition
`to and including October 13, 2017, App. 36a; the
`petition was filed on that date and granted on June
`28, 2018, 138 S. Ct. 2707. The jurisdiction of this
`Court rests on 28 U.S.C. § 1254(1).
`STATUTORY PROVISIONS INVOLVED
`Relevant provisions of the Copyright Act (17 U.S.C.)
`are reproduced at App. 23a-35a.
`STATEMENT
`A. Statutory Background
`The Copyright Act protects “original works of
`authorship fixed in any tangible medium of expression
`. . . from which they can be perceived, reproduced,
`or otherwise communicated.” 17 U.S.C. § 102(a). As
`soon as a work is created, the copyright owner holds
`exclusive rights “to do and to authorize” others to do
`certain things with the work. Id. § 106; see Harper &
`Row, Publ’ers, Inc. v. Nation Enters., 471 U.S. 539,
`546-47 (1985). Accordingly, unlike useful inventions
`– which are protected by exclusive rights only after a
`patent application has been approved by the Patent
`and Trademark Office and a patent issued – original
`works of authorship are protected by virtue of their
`creation, not by an administrative agency’s affirma-
`tive grant.
`
`

`

`
`
`4
`1. The Copyright Act also contains provisions for
`registration of copyrights. The statutory registration
`requirement dates to the original copyright statute,
`but its nature has changed substantially over time.
`See generally Benjamin Kaplan, Study No. 17: The
`Registration of Copyright (Aug. 1958) (“Kaplan, Reg-
`istration”) (reviewing history).1 The first copyright
`statute, adopted by the First Congress in 1790, made
`registration a prerequisite for any statutory right.
`See Wheaton v. Peters, 33 U.S. (8 Pet.) 591, 662
`(1834). Copyright protection extended to domestic
`“map[s], chart[s], [and] book[s]”; and “no person”
`would be entitled to the protection “unless he shall
`before publication deposit a printed copy of the title
`. . . in the clerk’s office of the district court.” Act of
`May 31, 1790, ch. 15, § 3, 1 Stat. 124, 125. The
`clerk was “directed and required to record the same
`forthwith.” Id. The “author or proprietor” was also
`required to publish a copy of the district court record
`in a newspaper “for the space of four weeks.” Id.
`After publication, it was required that a copy of the
`work be delivered to the Secretary of State, “to be
`preserved.” Id. § 4. In 1802, Congress added a
`provision requiring publication of copyright notice
`in the work itself. Act of Apr. 29, 1802, ch. 36, § 1,
`2 Stat. 171, 171.
`Although the details changed, these basic require-
`ments – publications with notice, registration, and
`deposit – remained in place for more than a century.
`See Kaplan, Registration at 15 (“[T]he old pattern
`
`1 Reprinted in Copyright Law Revision: Studies Prepared for
`the Subcomm. on Patents, Trademarks, and Copyrights of the
`S. Comm. on the Judiciary, 86th Cong. (Comm. Print 1960),
`available at https://www.copyright.gov/history/studies/.
`
`

`

`
`
`5
`was unbroken: securing copyright depended on
`compliance, and exact compliance, with formalities –
`notice, registration, and deposit.”); Washingtonian
`Publ’g, 306 U.S. at 37.
`2. The Copyright Act of 1909 (“1909 Act”) –
`which remained in force (with amendments) until
`the current Copyright Act of 1976 (“1976 Act”) came
`into effect – abolished the requirement of registration
`as a condition of copyright. Instead, the statute
`(1) provided that, in the case of unpublished works,
`the author could enforce common-law rights (under
`state, not federal, law), see 17 U.S.C. § 2 (1970);
`(2) established that statutory copyright in published
`works could be secured “by publication thereof with
`the notice of copyright required by this title,” id. § 10;
`and (3) allowed statutory copyright to be obtained for
`works, “of which copies are not reproduced for sale,”
`by deposit of the work, id. § 12. Registration could
`still be obtained for published works, by “complying
`with the provisions” of the statute, including the
`requirement for “deposit of copies” as set forth in
`§ 13. Id. § 11. In the case of works published with
`notice of copyright, furthermore, the statute required
`that two copies of the work be “promptly deposited”
`in the Copyright Office. Id. § 13. Although the 1909
`Act (unlike prior legislation) did not require registra-
`tion as a condition of copyright, it did provide that
`“[n]o action or proceeding shall be maintained for
`infringement of copyright in any work until the
`provisions of this title with respect to the deposit of
`copies and registration of such work shall have been
`complied with.” Id.
`Two interpretative issues arose concerning the
`deposit and registration requirements contained
`in § 13. The first was whether a copyright owner’s
`
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`

`
`
`6
`failure to deposit copies promptly could bar an action
`for infringement. In Washingtonian Publishing, this
`Court answered that question in the negative. In
`that case, the petitioner had published an issue of
`a monthly magazine with the required copyright
`notice; 14 months later, copies were first deposited
`and a certificate of registration issued. 306 U.S. at
`33-34. The defendant argued that failure to make
`prompt deposit defeated the copyright owner’s right
`to bring an action “because of infringement prior in
`date to a tardy deposit.” Id. at 35-36.
`This Court disagreed. It noted that the 1909 Act
`“was intended definitely to grant valuable, enforce-
`able rights to authors, publishers, etc., without
`burdensome requirements.” Id. at 36. Although
`“[u]nder the old Act deposit of the work was essential
`to the existence of copyright,” that “requirement
`caused serious difficulties and unfortunate losses.”
`Id. at 37. The new statute therefore made publica-
`tion with notice all that was necessary to secure a
`copyright in a published work. Although the statute
`also required prompt deposit, allowing failure to
`comply with that requirement to defeat the copyright
`owner’s cause of action “would not square with the
`words actually used in the statute, would cause con-
`flict with its general purpose, and in practice produce
`unfortunate consequences.” Id. at 39. “Petitioner’s
`claim of copyright came to fruition immediately upon
`publication. Without further notice it was good
`against all the world. Its value depended upon the
`possibility of enforcement.” Id.2
`
`2 The Court noted if the Register “finds undue delay” he could
`“require deposit of copies”; failure to comply would subject the
`copyright owner to a fine, a penalty “adequate . . . to enforce
`
`
`

`

`
`
`7
`A second question arose as to whether a copyright
`owner could bring suit if the copyright owner had
`complied with the requirements of § 13 but the
`Register had not granted registration. The first
`court to address this issue said yes: in White-Smith
`Music Publishing Co. v. Goff, 187 F. 247 (1st Cir.
`1911), the plaintiff (a music publisher) claimed a
`statutory extension of copyright, applied for regis-
`tration, and was refused. The court, while ruling
`against the plaintiff on the merits, held that it could
`sue because “it fully complied with the requirements
`of law, and is entitled to maintain this suit if it had
`any statutory right to the extension.” Id. at 247.
`A subsequent decision of the Second Circuit,
`however, suggested a different view. In that case,
`the plaintiff published photographs and obtained
`certificates of registration, but “[t]he trouble [wa]s
`that the certificates of registration [we]re for photo-
`graphs not to be reproduced for sale, no date of publi-
`cation being stated.” Lumiere v. Pathe Exch., Inc.,
`275 F. 428, 430 (2d Cir. 1921). The court held that,
`because “[d]eposit of copies and registration is each
`a condition precedent of the right to maintain an
`action for infringement,” the suit had to be dismissed
`without prejudice. Id.
`These conflicting views persisted until the 1976 Act
`was adopted. In Vacheron & Constantin-Le Coultre
`Watches, Inc. v. Benrus Watch Co., 260 F.2d 637 (2d
`Cir. 1958), the question was whether the plaintiff,
`which had sought copyright registration for a watch-
`
`contributions of desirable books to the Library [of Congress].”
`Washingtonian Publ’g, 306 U.S. at 40-41; cf. 17 U.S.C. § 407(d)
`(maintaining fines for failure to comply with current deposit
`requirements); infra note 4.
`
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`

`
`
`8
`face design, could sue despite the refusal of regis-
`tration by the Register. A divided Second Circuit,
`in an opinion by Judge Learned Hand (who had been
`the district judge in Lumiere), said no: the court held
`that the 1909 Copyright Act “forbade any action
`for infringement of the copyright when the Register
`of Copyrights had refused” registration. Id. at 639.
`Instead, the copyright owner would first have to seek
`mandamus to correct the allegedly unlawful refusal
`to grant registration. Id. at 640.3 By contrast, in
`Roth Greeting Cards v. United Card Co., 429 F.2d
`1106 (9th Cir. 1970), the court