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. The Senior Representative, Brokerage Operations will be expected to deliver world class service to internal and external clients by settling their trade and transfer obligations timely and accurately while adhering to policies, procedures, and regulatory guidelines.