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Straight-ahead summaries built from the official bill text. We keep the source links front and center and leave the decision up to you.

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HB1336 • 2026

A BILL FOR AN ACT to amend the Indiana Code concerning business and other associations.

A BILL FOR AN ACT to amend the Indiana Code concerning business and other associations.

Education
Enacted

This bill passed the Legislature and reached final enactment based on the latest official action.

Sponsor
Representative Martin Carbaugh
Last action
2026-02-26
Official status
Enrolled House Bill (H)
Effective date
Not listed

Plain English Breakdown

The official source material does not provide detailed conditions under which exemptions and exceptions apply, nor does it specify the exact nature of continuing education programs required for investment adviser representatives.

Indiana Business and Association Law Changes

This law changes registration requirements for certain business professionals, including exemptions and exam extensions under specific conditions.

What This Bill Does

  • Exempts merger and acquisition brokers from needing to register as broker-dealers under some conditions.
  • Requires agents of broker-dealers to pass FINRA exams unless exceptions apply.
  • Requires investment adviser representatives to pass FINRA exams unless exceptions apply.
  • Allows the validity of certain FINRA qualifying exams to be extended in specific situations.
  • Requires investment adviser representatives to complete a continuing education program.

Who It Names or Affects

  • Merger and acquisition brokers
  • Agents of broker-dealers
  • Investment adviser representatives

Terms To Know

FINRA
Financial Industry Regulatory Authority, which sets rules for financial professionals.

Limits and Unknowns

  • The bill does not specify the exact conditions under which exemptions and exceptions apply.
  • It is unclear what specific continuing education programs are required for investment adviser representatives.

Amendments

These notes stay tied to the official amendment files and metadata from the legislature.

HB1336.03.COMS.AMS001

Filed House Bill (S) • Senator Scott Baldwin

Passed

Plain English: This amendment changes the Indiana Code to allow certain business associations more flexibility in their operations.

  • Allows business and other associations to have more operational flexibility.
  • The specific details of how this increased flexibility will be implemented are not provided in the amendment text, making it hard to explain further changes concretely.

Bill History

  1. 2026-02-26 House

    Signed by the Governor

  2. 2026-02-26 House

    Public Law 41

  3. 2026-02-25 Senate

    Signed by the President of the Senate

  4. 2026-02-24 Senate

    Signed by the President Pro Tempore

  5. 2026-02-23 House

    Signed by the Speaker

  6. 2026-02-19 House

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

  7. 2026-02-18 Senate

    Returned to the House with amendments

  8. 2026-02-18 House

    Motion to concur filed

  9. 2026-02-17 Senate

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

  10. 2026-02-16 Senate

    Second reading: amended, ordered engrossed

  11. 2026-02-16 Senate

    Amendment #1 (Baldwin) prevailed; voice vote

  12. 2026-02-12 Senate

    Committee report: do pass, adopted

  13. 2026-02-02 Senate

    First reading: referred to Committee on Insurance and Financial Institutions

  14. 2026-01-29 House

    Referred to the Senate

  15. 2026-01-28 House

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

  16. 2026-01-28 House

    Senate sponsor: Senator Baldwin

  17. 2026-01-22 House

    Second reading: ordered engrossed

  18. 2026-01-20 House

    Committee report: do pass, adopted

  19. 2026-01-06 House

    Authored by Representative Carbaugh

  20. 2026-01-06 House

    First reading: referred to Committee on Financial Institutions

Official Summary Text

A BILL FOR AN ACT to amend the Indiana Code concerning business and other associations.
Securities and investment adviser representatives.

Current Bill Text

Read the full stored bill text 
A BILL FOR AN ACT to amend the Indiana Code concerning business and other associations.

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.