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STATE BILLIN HB 1336PASSED
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Securities and investment adviser representatives.

State of Indiana

Securities and investment adviser representatives. 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.

Status
Passed
Signed or otherwise enacted
Status date
Feb 26, 2026
259 days ago
Current chamber
House of Representatives
Session
2026 Regular Session
IN HB 1336 · PassedFeb 26

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Bill details

Last action
Public Law 41 · Feb 26, 2026

Sponsors

MCMartin CarbaughRepresentative · Republican · HD-081Primary sponsor
SBScott BaldwinSenator · Republican · SD-020

Bill history

Newest first.

Feb 26, 2026Public Law 41House
Feb 26, 2026Signed by the GovernorHouse
Feb 25, 2026Signed by the President of the SenateSenate
Feb 24, 2026Signed by the President Pro TemporeSenate
Feb 23, 2026Signed by the SpeakerHouse
Feb 19, 2026House concurred with Senate amendments; Roll Call 298: yeas 94, nays 0House
Feb 18, 2026Motion to concur filedHouse
Feb 18, 2026Returned to the House with amendmentsSenate
Show 12 earlier actions
Feb 17, 2026Third reading: passed; Roll Call 190: yeas 45, nays 0Senate
Feb 16, 2026Second reading: amended, ordered engrossedSenate
Feb 16, 2026Amendment #1 (Baldwin) prevailed; voice voteSenate
Feb 12, 2026Committee report: do pass, adoptedSenate
Feb 2, 2026First reading: referred to Committee on Insurance and Financial InstitutionsSenate
Jan 29, 2026Referred to the SenateHouse
Jan 28, 2026Senate sponsor: Senator BaldwinHouse
Jan 28, 2026Third reading: passed; Roll Call 123: yeas 89, nays 0House
Jan 22, 2026Second reading: ordered engrossedHouse
Jan 20, 2026Committee report: do pass, adoptedHouse
Jan 6, 2026First reading: referred to Committee on Financial InstitutionsHouse
Jan 6, 2026Authored by Representative CarbaughHouse

Recorded votes

House - Third readingJan 28, 2026 · House · 89 yea · 0 nayPassed
Senate - Third readingFeb 17, 2026 · Senate · 45 yea · 0 nayPassed
House - House concurred with Senate amendmentsFeb 19, 2026 · House · 94 yea · 0 nayPassed

Read the bill at the source

This page follows the bill as the legislature records it. For the bill's full text and the official record, use the legislature's own site.

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Bill data from LegiScan, licensed under CC BY 4.0.

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