Sales 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. Our branches offer a full range of investment products and services to individual mutual fund and brokerage customers – including personal, needs-based investment guidance, wealth management, retirement planning, income strategies, and college planning services.