Free Ethics & Professional Conduct Questions and Answers 3 — Questions and Answers
Question 1: What is the ethical obligation of a notary when a signer requests that the notary back-date a document?
- The notary may back-date if the signer explains a valid reason
- The notary must refuse — falsifying the date of a notarial act is fraud (Correct answer)
- The notary can back-date by up to 30 days as a courtesy
- Back-dating is acceptable for acknowledgments but not jurats
Correct answer: The notary must refuse — falsifying the date of a notarial act is fraud
Back-dating a notarial certificate is fraud. A notary must always enter the actual date of the notarial act. Any request to falsify the date must be refused, and the notary should decline to perform the act.
Question 2: Which of the following best illustrates the unauthorized practice of law (UPL) by a notary?
- Asking the signer to present a government-issued ID
- Selecting the appropriate legal form for a client and advising them on its content (Correct answer)
- Recording the notarial act in a journal
- Applying the official notary seal to the certificate
Correct answer: Selecting the appropriate legal form for a client and advising them on its content
Selecting the appropriate legal form for a client and advising them on its content constitutes legal advice and the practice of law. A notary who is not also a licensed attorney must not provide such guidance.
Question 3: A notary observes that the signer of a will appears very agitated and keeps looking to another person in the room for permission to sign. The notary should:
- Proceed because the signer is physically present
- Refuse to proceed or speak privately with the signer to confirm free and voluntary signing (Correct answer)
- Ask the other person to leave temporarily and then proceed
- Proceed but note the concern in the journal
Correct answer: Refuse to proceed or speak privately with the signer to confirm free and voluntary signing
Apparent duress or undue influence — such as looking to another person before signing — is a red flag. The ethical notary should privately speak with the signer or refuse to proceed if free signing cannot be confirmed.
Question 4: Professional conduct standards require a notary to keep their official seal:
- In the office manager's desk for easy access
- Secure and under the sole control of the notary at all times (Correct answer)
- At the local bank for safe storage
- With the employer for use during business hours
Correct answer: Secure and under the sole control of the notary at all times
A notary's official seal must be kept secure under the sole control of the notary. Allowing others to use the seal or leaving it unattended creates liability and is a violation of commission duties.
Question 5: A notary who knowingly performs a false notarization may face:
- Only a written warning from the state
- Criminal prosecution, civil liability, commission revocation, and fines (Correct answer)
- A mandatory ethics course as the only penalty
- No consequences if the signer requested the false notarization
Correct answer: Criminal prosecution, civil liability, commission revocation, and fines
Knowingly performing a false notarization is fraud. Consequences can include criminal prosecution (felony in many states), civil liability for damages, immediate revocation of the notary commission, and personal fines.
Question 6: When a notary retires or their commission expires, what must they do with their official seal and journal?
- Keep the seal for personal use and discard the journal
- Destroy or deface the seal to prevent unauthorized use; retain or transfer the journal per state law (Correct answer)
- Return the seal to the state and destroy the journal immediately
- Pass the seal to a successor notary in the same office
Correct answer: Destroy or deface the seal to prevent unauthorized use; retain or transfer the journal per state law
Upon retirement or expiration, the notary must destroy or defaced their seal to prevent unauthorized use. Most states also require the journal to be retained for a specified period or transferred to a designated repository.
Free Ethics & Professional Conduct Questions and Answers 3
What is the ethical obligation of a notary when a signer requests that the notary back-date a document?