State Government / Indiana / Legislation / HB 1336
Exempts a merger and acquisition broker from registering as a broker-dealer under certain circumstances. Requires an applicant seeking to register as an agent of a broker-dealer in Indiana to pass financial industry regulatory authority (FINRA) examinations unless certain exceptions apply. Requires an applicant seeking to register as an investment adviser representative in Indiana to pass FINRA examinations unless certain exceptions apply. Provides that under certain circumstances an agent of a broker-dealer or an investment adviser representative may have the validity of the individual's FINRA qualifying examinations extended. Requires an investment adviser representative to participate in a continuing education program.
Latest development · Feb 26, 2026
Signed by the Governor
Source subjects
Document type
Primary sponsors are listed before cosponsors and other sponsoring entities.
Newest action first. Action language is supplied by the state source.
Signed by the Governor
Public Law 41
Signed by the President of the Senate
Signed by the President Pro Tempore
Signed by the Speaker
House concurred with Senate amendments; Roll Call 298: yeas 94, nays 0
Motion to concur filed
Returned to the House with amendments
Third reading: passed; Roll Call 190: yeas 45, nays 0
Second reading: amended, ordered engrossed
Amendment #1 (Baldwin) prevailed; voice vote
Committee report: do pass, adopted
First reading: referred to Committee on Insurance and Financial Institutions
Referred to the Senate
Third reading: passed; Roll Call 123: yeas 89, nays 0
Senate sponsor: Senator Baldwin
Second reading: ordered engrossed
Committee report: do pass, adopted
Authored by Representative Carbaugh
First reading: referred to Committee on Financial Institutions
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