Indiana · 2026 Regular Session · Bill
HB 1336: Securities and investment adviser representatives.
Enacted Official data
- Introduced
- In committee
- Passed one chamber
- Passed both chambers
- Enacted
Last official action: ·Record last updated:
Plain-language summary
HB 1336 is a bill introduced in the Indiana House on January 6, 2026. According to its official title, it concerns: Securities and investment adviser representatives. Primary sponsor: Martin Carbaugh (Republican), Scott Baldwin (Republican). Most recent recorded action (February 26, 2026): Signed by the Governor.
Generated automatically from the official title, sponsor list, and status record only. It does not characterize the bill’s purpose or effects. How summaries are written
Official summary
Abstract published by the legislature (via Open States). Text as published by the legislature; reproduced verbatim.
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.
Sponsors
Sponsors by party (alphabetical): Republican 2
| Name | Role | Party | Chamber | District |
|---|---|---|---|---|
| Martin Carbaugh | Primary sponsor | Republican | House | 81 |
| Scott Baldwin | Primary sponsor | Republican | Senate | 20 |
“Support” is shown only as formal sponsorship recorded by the legislature. Roll-call votes are available on the official bill page.
Recent official actions
- Signed by the Governor
- Public Law 41
- Signed by the President of the Senate
- Signed by the President Pro Tempore
- Signed by the Speaker
- House concurred with Senate amendments; Roll Call 298: yeas 94, nays 0
- Motion to concur filed
- Returned to the House with amendments
- Third reading: passed; Roll Call 190: yeas 45, nays 0
- Second reading: amended, ordered engrossed
- Amendment #1 (Baldwin) prevailed; voice vote
- Committee report: do pass, adopted
Showing 12 most recent of 20 actions. Full history