HB 1545 IN
Investment adviser representatives and agents.
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Summary
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.
Sponsor (1)
- Robert Heaton Republican · author
Action history (2)
- Jan 21, 2025 First reading: referred to Committee on Financial Institutions · lower
- Jan 21, 2025 Authored by Representative Heaton · lower
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