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HB1336Introduced in the House

Securities and investment adviser representatives.

Passed

Introduced by Martin Carbaugh, District 81

What does this bill do?

Plain-English breakdown

Writing a plain-English summary of this bill… this can take a few seconds the first time.

Official description

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.

Where it stands

Public Law 41

February 26, 2026

How did lawmakers vote?

House votes

2 recorded votes · each counted separately

Senate votes

1 recorded vote · each counted separately

HouseStage: House - House concurred with Senate amendments · February 19, 2026

94

Yes

0

No

6

Absent or Not Voting

100 representatives recorded in this House vote. Colors show vote categories only, not whether a vote was good or bad.

See how each representative voted

RepresentativeDistrictVote
Carolyn Jackson1Yes
Earl Harris2Yes
Ragen Hatcher3Yes
Edmond Soliday4Absent
Dale DeVon5Yes
Maureen Bauer6Yes
Jake Teshka7Yes
Ryan Dvorak8Yes
Randy Novak9Yes
Charles Moseley10Yes

Bill history

  1. Authored by Representative Carbaugh

  2. First reading: referred to Committee on Financial Institutions

  3. Committee report: do pass, adopted

  4. Second reading: ordered engrossed

  5. Third reading: passed; Roll Call 123: yeas 89, nays 0

  6. Senate sponsor: Senator Baldwin

  7. Referred to the Senate

  8. First reading: referred to Committee on Insurance and Financial Institutions

  9. Committee report: do pass, adopted

  10. Amendment #1 (Baldwin) prevailed; voice vote

  11. Second reading: amended, ordered engrossed

  12. Third reading: passed; Roll Call 190: yeas 45, nays 0

  13. Returned to the House with amendments

  14. Motion to concur filed

  15. House concurred with Senate amendments; Roll Call 298: yeas 94, nays 0

  16. Signed by the Speaker

  17. Signed by the President Pro Tempore

  18. Signed by the President of the Senate

  19. Signed by the Governor

  20. Public Law 41

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