Compliance 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. This includes directed recordkeeping services and support for defined contribution, defined benefit, non-qualified, tax exempt, pooled employer, and other retirement plan offerings, as applicable, as well as ancillary services such as our emergency savings product, Goal Booster and Financial Wellness coaching.