Practice Test Geeks(CBLE) Customs Broker License Exam Practice Test
← All CBLE Flashcard Decks

Professional Ethics and Conduct Flashcards

7 cards from real CBLE practice questions. Tap to flip, then mark Knew It or Still Learning — missed cards come back until you master them.

Read the first 7 Professional Ethics and Conduct flashcards as text

  1. Under CBP regulations, a broker who has been convicted of a felony involving moral turpitude may have their license:

    Answer: Revoked by the Secretary of Homeland Security

    Under 19 USC 1641(d), CBP may revoke a broker's license for conviction of a felony involving moral turpitude.

  2. A customs broker receives a check from a client to cover duties but deposits it in the broker's general operating account instead of a separate trust account. This action:

    Answer: Violates the broker's fiduciary duty to handle client funds separately

    Brokers have a fiduciary obligation to safeguard client funds and must not commingle duty payments with their own operating funds.

  3. How often must a customs broker who is not associated with a licensed customs broker organization file a status report with CBP?

    Answer: Every three years in February of the triennial period

    Under 19 CFR 111.30, individual brokers must file a triennial status report every three years in February to maintain their license.

  4. A broker knowingly files a false entry by declaring goods as samples of no commercial value when they are actually for resale. This act may result in:

    Answer: Criminal prosecution under 18 USC 542 for entry of goods by false statement

    Knowingly filing false entry documents can constitute a federal crime under 18 USC 542, in addition to civil penalties.

  5. When a client terminates a relationship with their customs broker mid-shipment, the broker's ethical duty is to:

    Answer: Provide reasonable transitional assistance to avoid harm to the client's interests

    Even upon termination, a broker should provide reasonable assistance to transition the client's affairs and avoid prejudicing the client's interests.

  6. A broker who allows an unlicensed individual to exercise responsible supervision and control of customs business is subject to:

    Answer: License suspension or revocation and monetary penalties

    Permitting an unlicensed person to exercise responsible supervision violates 19 CFR 111.28 and may result in suspension, revocation, and penalties.

  7. Which best describes the 'responsible supervision' standard a customs broker must maintain over a licensed customs broker corporation's employees?

    Answer: Ensuring employees are trained, supervised, and that errors are promptly corrected

    Responsible supervision means implementing procedures to ensure employee competence, oversight of their work, and timely correction of errors.