UHC ETHICS AND COMPLIANCE EXAM QUESTIONS AND ANSWERS
UHC Ethics and Compliance
(VERIFIED AND WELL DETAILED ANSWERS) LATEST UPDATE
Study online at https://quizlet.com/_aaqwc4
2025/2026
1. In terms of events, which of the following is true? ...
Agents must only report formal marketing/sales
events UnitedHealthcare.
Agents must only report informal marketing/sales
events to UnitedHealthcare.
Agents must only report formal and informal market-
ing/sales events to UnitedHealthcare.
2. When completing an enrollment application in LEAN, The consumer/member
why is an agent prohibited from entering his or her would not receive plan re-
own email address in a field available for the con- lated correspondence in-
sumer's email address? tended for him/her.
The consumer/member would not receive plan related
correspondence intended for him/her.
The enrollment application may be denied.
The agent may experience commission payment pro-
cessing issues.
3. Which election period runs from October 15 to Decem- Annual Election Period
ber 7 and allows consumers to elect to join a Medicare (AEP)
Advantage Plan or switch to a different plan?
Open Enrollment Period (OEP)
Special Election Period (SEP)
Initial Coverage Election Period (ICEP)
Annual Election Period (AEP)
4. Which of the following materials is an agent NOT 5-dollar gift cards to an
permitted to display and/or distribute at a market- in-network pharmacy.
ing/sales event?
Medicare Made Clear brochures from the United-
Healthcare Toolkit.
Pens and notepads that contain the agent's contact
1/7
, UHC Ethics and Compliance
Study online at https://quizlet.com/_aaqwc4
information.
5-dollar gift cards to an in-network pharmacy.
Generic business reply cards for Medicare products.
5. Mr. and Mrs. Nelson, who are current members, unex- Yes, he needs to obtain
pectedly walk into Jake's insurance agency office and an SOA from both Mr. and
ask him to discuss Medicare Advantage Plans. Does Mrs. Nelson.
Jake need to obtain a Scope of Appointment (SOA)
form?
Yes, but just one because the Nelsons are husband and
wife.
Yes, he needs to obtain an SOA from both Mr. and Mrs.
Nelson.
No, because the Nelsons are current members.
No, because the Nelsons walked into his office instead
of scheduling an appointment in their home.
6. Educational events allow for which of the following to Provide objective informa-
occur? tion about the Medicare
Provide objective information about the Medicare pro- program and/or health
gram and/or health improvement and wellness. improvement and well-
Provide an opportunity to review benefits, premiums, ness.
and product information with consumers.
Provide an opportunity to steer a consumer toward a
specific or limited number of plans.
Provide an opportunity to give an introductory presen-
tation followed by an informal marketing/sales event.
7. How should agent Erin respond when consumer Mrs. ...
Rose notices that the presented MA Plan has a Star
Rating of 2 stars?
Erin should let Mrs. Rose know that the rating is for
2/7
UHC Ethics and Compliance
(VERIFIED AND WELL DETAILED ANSWERS) LATEST UPDATE
Study online at https://quizlet.com/_aaqwc4
2025/2026
1. In terms of events, which of the following is true? ...
Agents must only report formal marketing/sales
events UnitedHealthcare.
Agents must only report informal marketing/sales
events to UnitedHealthcare.
Agents must only report formal and informal market-
ing/sales events to UnitedHealthcare.
2. When completing an enrollment application in LEAN, The consumer/member
why is an agent prohibited from entering his or her would not receive plan re-
own email address in a field available for the con- lated correspondence in-
sumer's email address? tended for him/her.
The consumer/member would not receive plan related
correspondence intended for him/her.
The enrollment application may be denied.
The agent may experience commission payment pro-
cessing issues.
3. Which election period runs from October 15 to Decem- Annual Election Period
ber 7 and allows consumers to elect to join a Medicare (AEP)
Advantage Plan or switch to a different plan?
Open Enrollment Period (OEP)
Special Election Period (SEP)
Initial Coverage Election Period (ICEP)
Annual Election Period (AEP)
4. Which of the following materials is an agent NOT 5-dollar gift cards to an
permitted to display and/or distribute at a market- in-network pharmacy.
ing/sales event?
Medicare Made Clear brochures from the United-
Healthcare Toolkit.
Pens and notepads that contain the agent's contact
1/7
, UHC Ethics and Compliance
Study online at https://quizlet.com/_aaqwc4
information.
5-dollar gift cards to an in-network pharmacy.
Generic business reply cards for Medicare products.
5. Mr. and Mrs. Nelson, who are current members, unex- Yes, he needs to obtain
pectedly walk into Jake's insurance agency office and an SOA from both Mr. and
ask him to discuss Medicare Advantage Plans. Does Mrs. Nelson.
Jake need to obtain a Scope of Appointment (SOA)
form?
Yes, but just one because the Nelsons are husband and
wife.
Yes, he needs to obtain an SOA from both Mr. and Mrs.
Nelson.
No, because the Nelsons are current members.
No, because the Nelsons walked into his office instead
of scheduling an appointment in their home.
6. Educational events allow for which of the following to Provide objective informa-
occur? tion about the Medicare
Provide objective information about the Medicare pro- program and/or health
gram and/or health improvement and wellness. improvement and well-
Provide an opportunity to review benefits, premiums, ness.
and product information with consumers.
Provide an opportunity to steer a consumer toward a
specific or limited number of plans.
Provide an opportunity to give an introductory presen-
tation followed by an informal marketing/sales event.
7. How should agent Erin respond when consumer Mrs. ...
Rose notices that the presented MA Plan has a Star
Rating of 2 stars?
Erin should let Mrs. Rose know that the rating is for
2/7
