HB 1336 IN

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Became Law

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.

• Martin Carbaugh Republican · author
• Scott Baldwin Republican · sponsor

1. Jan 6, 2026 First reading: referred to Committee on Financial Institutions · lower
2. Jan 6, 2026 Authored by Representative Carbaugh · lower
3. Jan 20, 2026 Committee report: do pass, adopted · lower
4. Jan 22, 2026 Second reading: ordered engrossed · lower
5. Jan 28, 2026 Senate sponsor: Senator Baldwin · lower
6. Jan 28, 2026 Third reading: passed; Roll Call 123: yeas 89, nays 0 · lower
7. Jan 29, 2026 Referred to the Senate · lower
8. Feb 2, 2026 First reading: referred to Committee on Insurance and Financial Institutions · upper
9. Feb 12, 2026 Committee report: do pass, adopted · upper
10. Feb 16, 2026 Amendment #1 (Baldwin) prevailed; voice vote · upper
11. Feb 16, 2026 Second reading: amended, ordered engrossed · upper
12. Feb 18, 2026 Returned to the House with amendments · upper
13. Feb 17, 2026 Third reading: passed; Roll Call 190: yeas 45, nays 0 · upper
14. Feb 18, 2026 Motion to concur filed · lower
15. Feb 19, 2026 House concurred with Senate amendments; Roll Call 298: yeas 94, nays 0 · lower
16. Feb 23, 2026 Signed by the Speaker · lower
17. Feb 24, 2026 Signed by the President Pro Tempore · upper
18. Feb 25, 2026 Signed by the President of the Senate · upper
19. Feb 26, 2026 Public Law 41 · lower
20. Feb 26, 2026 Signed by the Governor · executive