· IN legislature · 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 seek…

Sponsor

Scott Baldwin (R-IN)

Introduced

2026-01-06

Policy area

Finance and Financial Sector

Latest action

Signed by the Speaker