Legislative record
HB 1336STATE · IndianaIntroduced
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.
Voted 2/26/2026