Fabio
83 lines
5.1 KiB
Markdown
83 lines
5.1 KiB
Markdown
---
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type: "Bill"
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title: "Securities and investment adviser representatives."
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description: "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."
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jurisdiction: "us/states/in"
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legislature: "Indiana General Assembly"
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session: "2026"
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identifier: "HB 1336"
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citation: "Indiana HB 1336 (2026)"
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classification: ["bill"]
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subjects: ["FINANCIAL SERVICES; Financial Institutions", "REAL ESTATE APPRAISERS", "BROKERS", "AND SALESPERSONS"]
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status: "enacted"
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primary_sponsors: ["Martin Carbaugh", "Scott Baldwin"]
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version_count: 4
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action_count: 20
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vote_count: 3
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first_action: "2026-01-06"
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last_action: "2026-02-26"
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source: "openstates"
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source_identifier: "ocd-bill/3407be92-df8e-4084-8a57-7a8a1293261d"
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source_url: "https://api.iga.in.gov/2026/bills/hb1336"
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source_hash: "442ad492928adca2c382d522b52abf138292bc80e05d4a72c9cb7ae0796635f3"
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vintage: "2026-07-01"
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source_snapshot: "https://data.openstates.org/daily/2026-07-01/public.pgdump"
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retrieved_at: "2026-07-06"
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confidence: "reported"
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tags: ["legislation", "bill", "us-in"]
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---
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# Indiana HB 1336 (2026) — Securities and investment adviser representatives.
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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.
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## Version chain
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The bill's text revisions, in order — the diff chain from filing to enrollment.
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1. **Engrossed House Bill (H)** (committee substitute) — [source](https://iga.in.gov/pdf-documents/124/2026/house/bills/HB1336/HB1336.04.ENGS.pdf)
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2. **Enrolled House Bill (H)** (committee substitute) — [source](https://iga.in.gov/pdf-documents/124/2026/house/bills/HB1336/HB1336.05.ENRS.pdf)
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3. **House Bill (S)** (committee substitute) — [source](https://iga.in.gov/pdf-documents/124/2026/house/bills/HB1336/HB1336.03.COMS.pdf)
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4. **Introduced House Bill (H)** (committee substitute) — [source](https://iga.in.gov/pdf-documents/124/2026/house/bills/HB1336/HB1336.01.INTR.pdf)
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## Votes
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- HB 1336 - Carbaugh - 3rd Reading — **89–0** (pass) · lower
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- HB 1336 - Carbaugh — **94–0** (pass) · lower
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- HB 1336 - Baldwin - 3rd Reading — **45–0** (pass) · upper
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## Sponsors
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- Martin Carbaugh — primary (person)
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- Scott Baldwin — primary (person)
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## Timeline
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The legislative action history — every referral, reading, and vote.
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- **2026-01-06** First reading: referred to Committee on Financial Institutions `reading-1, referral-committee`
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- **2026-01-06** Authored by Representative Carbaugh
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- **2026-01-20** Committee report: do pass, adopted `committee-passage`
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- **2026-01-22** Second reading: ordered engrossed `reading-2`
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- **2026-01-28** Senate sponsor: Senator Baldwin
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- **2026-01-28** Third reading: passed; Roll Call 123: yeas 89, nays 0 `passage, reading-3, reading-3`
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- **2026-01-29** Referred to the Senate `referral`
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- **2026-02-02** First reading: referred to Committee on Insurance and Financial Institutions `reading-1, referral-committee`
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- **2026-02-12** Committee report: do pass, adopted `committee-passage`
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- **2026-02-16** Amendment #1 (Baldwin) prevailed; voice vote `amendment-passage`
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- **2026-02-16** Second reading: amended, ordered engrossed `reading-2`
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- **2026-02-18** Returned to the House with amendments `receipt`
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- **2026-02-17** Third reading: passed; Roll Call 190: yeas 45, nays 0 `passage, reading-3, reading-3`
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- **2026-02-18** Motion to concur filed `filing`
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- **2026-02-19** House concurred with Senate amendments; Roll Call 298: yeas 94, nays 0
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- **2026-02-23** Signed by the Speaker `passage`
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- **2026-02-24** Signed by the President Pro Tempore `passage`
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- **2026-02-25** Signed by the President of the Senate `passage`
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- **2026-02-26** Public Law 41 `became-law`
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- **2026-02-26** Signed by the Governor `executive-signature`
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## Source
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OpenStates / OpenCivicData bulk snapshot [2026-07-01](https://data.openstates.org/daily/2026-07-01/public.pgdump); origin `ocd-bill/3407be92-df8e-4084-8a57-7a8a1293261d`. Confidence: reported (aggregated from official Indiana legislature records).
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