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Indiana bills · 2026 Regular Session

Indiana HB 1336

Securities and investment adviser representatives.

  1. Introduced
  2. In committee
  3. Passed House
  4. Passed Senate
  5. To Governor
  6. Became law

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Summary

Official abstract published by the Indiana legislature· Digest

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.

Text versions

Roll-call votes

State vote data last updated Oct 15, 2026, 8:04 PM.

DateVoteResultYour legislators
Feb 19, 2026
House		HB 1336 - CarbaughpassSet your home in Indiana to see
Feb 17, 2026
Senate		HB 1336 - Baldwin - 3rd ReadingpassSet your home in Indiana to see
Jan 28, 2026
House		HB 1336 - Carbaugh - 3rd ReadingpassSet your home in Indiana to see

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