IN HB 1336

enacted

Securities and investment adviser representatives.

Indiana · 2026 Regular Session (2nd Regular Session, 124th General Assembly) · lower

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Quick answers

Did IN HB 1336 pass?

Yes. IN HB 1336 has been enacted into law. Latest recorded action (2026-02-26): Signed by the Governor

What is IN HB 1336 about?

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.

Who sponsors IN HB 1336?

Scott Baldwin, Martin Carbaugh are the primary sponsors of IN HB 1336.

Description

Introduced: —
Latest action: 2026-02-26 — Signed by the Governor
Bill type: bill
Last updated: —

Subjects

Committees

Not provided by source.

Action timeline

Newest first

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

Versions

Introduced House Bill (H)Compare
House Bill (S)Compare
Engrossed House Bill (H)Compare
Enrolled House Bill (H)Compare
(document, no version)Compare

Documents

Votes

HB 1336 - Carbaugh - 3rd Reading
2026-01-28 · pass · 89-0
Member-level votes (100)
- Abbott: yes
- GiaQuinta: yes
- Lopez: yes
- Prescott: yes
- Andrade: yes
- Gore: yes
- Lucas: yes
- Pressel: yes
- Aylesworth: yes
- Goss-Reaves: yes
- Manning: yes
- Pryor: yes
- Baird: yes
- Greene: yes
- May: yes
- Rowray: yes
- Bartels: yes
- Haggard: yes
- Mayfield: yes
- Shackleford: yes
- Bartlett: yes
- Hamilton: yes
- McGuire: yes
- Shonkwiler: yes
- Bascom: yes
- Harris: yes
- McNamara: yes
- Slager: yes
- Borders: yes
- Hatcher: yes
- Meltzer: yes
- Smaltz: yes
- Burton: yes
- Heaton: yes
- Miller, D: yes
- Smith, H: yes
- Campbell: yes
- Hostettler: yes
- Miller, K: yes
- Smith, V: yes
- Carbaugh: yes
- Ireland: yes
- Moed: yes
- Snow: yes
- Cash: yes
- Jackson, C: yes
- Morris: yes
- Steuerwald: yes
- Clere: yes
- Jeter: yes
- Moseley: yes
- Summers: yes
- Criswell: yes
- Johnson, B: yes
- Novak: yes
- Sweet: yes
- Culp: yes
- Jordan: yes
- O'Brien: yes
- Teshka: yes
- Dant Chesser: yes
- Judy: yes
- Olthoff: yes
- Thompson: yes
- Davis: yes
- King: yes
- Pack: yes
- VanNatter: yes
- DeLaney: yes
- Klinker: yes
- Patterson: yes
- Wesco: yes
- DeVon: yes
- Lauer: yes
- Payne: yes
- Yocum: yes
- Dvorak: yes
- Lawson: yes
- Pfaff: yes
- Zimmerman: yes
- Engleman: yes
- Ledbetter: yes
- Pierce, K: yes
- Errington: yes
- Lehman: yes
- Pierce, M: yes
- Genda: yes
- Lindauer: yes
- Porter: yes
- Bauer: excused
- Behning: excused
- Hall: excused
- Heine: excused
- Barrett: not voting
- Garcia Wilburn: not voting
- Karickhoff: not voting
- Mr. Speaker: not voting
- Commons: not voting
- Isa: not voting
- Soliday: not voting
HB 1336 - Baldwin - 3rd Reading
2026-02-17 · pass · 45-0
Member-level votes (50)
- Alexander: yes
- Charbonneau: yes
- Jackson, L: yes
- Rogers: yes
- Alting: yes
- Clark: yes
- Johnson: yes
- Schmitt: yes
- Baldwin: yes
- Crider: yes
- Koch: yes
- Spencer: yes
- Becker: yes
- Deery: yes
- Leising: yes
- Taylor: yes
- Bohacek: yes
- Dernulc: yes
- Maxwell: yes
- Tomes: yes
- Bray: yes
- Donato: yes
- McKinley: yes
- Walker G: yes
- Brown: yes
- Ford J.D.: yes
- Mishler: yes
- Walker K: yes
- Buchanan: yes
- Freeman: yes
- Niemeyer: yes
- Yoder: yes
- Buck: yes
- Gaskill: yes
- Niezgodski: yes
- Young: yes
- Busch: yes
- Glick: yes
- Qaddoura: yes
- Byrne: yes
- Goode: yes
- Raatz: yes
- Carrasco: yes
- Holdman: yes
- Randolph: yes
- Doriot: excused
- Bassler: not voting
- Garten: not voting
- Hunley: not voting
- Pol: not voting
HB 1336 - Carbaugh
2026-02-19 · pass · 94-0
Member-level votes (100)
- Abbott: yes
- Engleman: yes
- Lauer: yes
- Pierce, M: yes
- Andrade: yes
- Errington: yes
- Lawson: yes
- Porter: yes
- Aylesworth: yes
- Garcia Wilburn: yes
- Ledbetter: yes
- Prescott: yes
- Baird: yes
- GiaQuinta: yes
- Lehman: yes
- Pressel: yes
- Barrett: yes
- Gore: yes
- Lindauer: yes
- Pryor: yes
- Bartels: yes
- Goss-Reaves: yes
- Lopez: yes
- Rowray: yes
- Bartlett: yes
- Greene: yes
- Lucas: yes
- Shackleford: yes
- Bascom: yes
- Haggard: yes
- Manning: yes
- Shonkwiler: yes
- Bauer: yes
- Hall: yes
- May: yes
- Slager: yes
- Behning: yes
- Hamilton: yes
- Mayfield: yes
- Smaltz: yes
- Borders: yes
- Harris: yes
- McGuire: yes
- Smith, H: yes
- Burton: yes
- Hatcher: yes
- McNamara: yes
- Smith, V: yes
- Campbell: yes
- Heaton: yes
- Meltzer: yes
- Snow: yes
- Carbaugh: yes
- Heine: yes
- Miller, K: yes
- Steuerwald: yes
- Cash: yes
- Hostettler: yes
- Morris: yes
- Summers: yes
- Clere: yes
- Ireland: yes
- Moseley: yes
- Sweet: yes
- Commons: yes
- Isa: yes
- Novak: yes
- Teshka: yes
- Criswell: yes
- Jackson, C: yes
- O'Brien: yes
- Thompson: yes
- Culp: yes
- Johnson, B: yes
- Olthoff: yes
- VanNatter: yes
- Dant Chesser: yes
- Jordan: yes
- Pack: yes
- Wesco: yes
- Davis: yes
- Judy: yes
- Patterson: yes
- Yocum: yes
- DeLaney: yes
- Karickhoff: yes
- Payne: yes
- Zimmerman: yes
- DeVon: yes
- King: yes
- Pfaff: yes
- Dvorak: yes
- Klinker: yes
- Pierce, K: yes
- Jeter: excused
- Miller, D: excused
- Moed: excused
- Soliday: excused
- Genda: not voting
- Mr. Speaker: not voting

Related bills

No related bills recorded for this bill.

Official source

https://api.iga.in.gov/2026/bills/hb1336

Attribution

Data from openstates_bulk_csv, retrieved 2026-07-24T05:22:09.317128Z

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