republic-os/legislation/us/states/in/2026/hb-1336.md

type, title, description, jurisdiction, legislature, session, identifier, citation, classification, subjects, status, primary_sponsors, version_count, action_count, vote_count, first_action, last_action, source, source_identifier, source_url, source_hash, vintage, source_snapshot, retrieved_at, confidence, tags

type	title	description	jurisdiction	legislature	session	identifier	citation	classification	subjects	status	primary_sponsors	version_count	action_count	vote_count	first_action	last_action	source	source_identifier	source_url	source_hash	vintage	source_snapshot	retrieved_at	confidence	tags
Bill	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.	us/states/in	Indiana General Assembly	2026	HB 1336	Indiana HB 1336 (2026)	bill	FINANCIAL SERVICES; Financial Institutions REAL ESTATE APPRAISERS BROKERS AND SALESPERSONS	enacted	Martin Carbaugh Scott Baldwin	4	20	3	2026-01-06	2026-02-26	openstates	ocd-bill/3407be92-df8e-4084-8a57-7a8a1293261d	https://api.iga.in.gov/2026/bills/hb1336	442ad492928adca2c382d522b52abf138292bc80e05d4a72c9cb7ae0796635f3	2026-07-01	https://data.openstates.org/daily/2026-07-01/public.pgdump	2026-07-06	reported	legislation bill us-in

Indiana HB 1336 (2026) — 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.

Version chain

The bill's text revisions, in order — the diff chain from filing to enrollment.

1. Engrossed House Bill (H) (committee substitute) — source
2. Enrolled House Bill (H) (committee substitute) — source
3. House Bill (S) (committee substitute) — source
4. Introduced House Bill (H) (committee substitute) — source

Votes

• HB 1336 - Carbaugh - 3rd Reading — 89–0 (pass) · lower
• HB 1336 - Carbaugh — 94–0 (pass) · lower
• HB 1336 - Baldwin - 3rd Reading — 45–0 (pass) · upper

Sponsors

• Martin Carbaugh — primary (person)
• Scott Baldwin — primary (person)

Timeline

The legislative action history — every referral, reading, and vote.

• 2026-01-06 First reading: referred to Committee on Financial Institutions reading-1, referral-committee
• 2026-01-06 Authored by Representative Carbaugh
• 2026-01-20 Committee report: do pass, adopted committee-passage
• 2026-01-22 Second reading: ordered engrossed reading-2
• 2026-01-28 Senate sponsor: Senator Baldwin
• 2026-01-28 Third reading: passed; Roll Call 123: yeas 89, nays 0 passage, reading-3, reading-3
• 2026-01-29 Referred to the Senate referral
• 2026-02-02 First reading: referred to Committee on Insurance and Financial Institutions reading-1, referral-committee
• 2026-02-12 Committee report: do pass, adopted committee-passage
• 2026-02-16 Amendment #1 (Baldwin) prevailed; voice vote amendment-passage
• 2026-02-16 Second reading: amended, ordered engrossed reading-2
• 2026-02-18 Returned to the House with amendments receipt
• 2026-02-17 Third reading: passed; Roll Call 190: yeas 45, nays 0 passage, reading-3, reading-3
• 2026-02-18 Motion to concur filed filing
• 2026-02-19 House concurred with Senate amendments; Roll Call 298: yeas 94, nays 0
• 2026-02-23 Signed by the Speaker passage
• 2026-02-24 Signed by the President Pro Tempore passage
• 2026-02-25 Signed by the President of the Senate passage
• 2026-02-26 Public Law 41 became-law
• 2026-02-26 Signed by the Governor executive-signature

Source

OpenStates / OpenCivicData bulk snapshot 2026-07-01; origin ocd-bill/3407be92-df8e-4084-8a57-7a8a1293261d. Confidence: reported (aggregated from official Indiana legislature records).