Review outside activities, personal trading controls, gifts rules, and political-contribution restrictions tested on the Series 7.
This chapter focuses on conduct controls that apply inside the firm, not just in customer-facing recommendations. The Series 7 expects you to recognize how outside activities, employee trading, gifts, and political contributions can create conflicts that need disclosure, supervision, or outright prohibition.
The exam angle is practical: know what must be disclosed, what must be approved, what must be restricted, and which conduct puts the firm or representative in violation.