Brokerage Operations Please be advised that Fidelity’s business is governed by the provisions of the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company Act of 1940, ERISA, numerous state laws governing securities, investment and retirement-related financial activities and the rules and regulations of numerous self-regulatory organizations, including FINRA, among others. You will Analyze industry problems that may include – Transfers of Assets, Stock Trading, Dividends, Mutual Funds, Corporate Actions, Security Data, Securities Pricing and Physical Stock Certificates.