House Bill
HB 1336
Securities and investment adviser representatives.
In plain English
Exempts a merger and acquisition broker from registering as a broker-dealer under certain circumstances. Requires people seeking to register as a broker-dealer agent or an investment adviser representative in Indiana to pass FINRA examinations unless certain exceptions apply. Requires investment adviser representatives to take part in a continuing education program, and makes other changes.
Written by AI from the official digest below, and checked only by automated rules. If they differ, the official digest and bill text control.
Official digest
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.
Latest action: Signed by the Governor, February 26, 2026Full text and history at iga.in.gov
Authors and sponsors
Martin Carbaugh, Scott Baldwin
Roll-call votes
3 recorded votes, oldest first. Third-reading votes decide whether a bill passes a chamber; amendment votes and procedural motions are listed too.
House · Jan 28, 2026
Third reading: vote to pass
Roll call text: HB 1336 - Carbaugh - 3rd Reading
Passed
89 yes0 no11 did not vote
Republicans: 60 yes, 0 no, 9 did not voteDemocrats: 28 yes, 0 no, 2 did not voteIndependents: 1 yes, 0 no
How each member voted
Yes (89)
- Alaina Shonkwiler (R)
- Alex Burton (D)
- Alex Zimmerman (R)
- Andrew Ireland (R)
- Beau Baird (R)
- Becky Cash (R)
- Ben Smaltz (R)
- Blake Johnson (D)
- Bob Heaton (R)
- Bob Morris (R)
- Bruce Borders (R)
- Carey Hamilton (D)
- Carolyn Jackson (D)
- Cherrish Pryor (D)
- Chris Campbell (D)
- Chris Jeter (R)
- Chris Judy (R)
- Chris May (R)
- Chuck Moseley (D)
- Cindy Ledbetter (R)
- Cory Criswell (R)
- Craig Haggard (R)
- Craig Snow (R)
- Dale DeVon (R)
- Danny Lopez (R)
- David Abbott (R)
- Doug Miller (R)
- Earl Harris (D)
- Ed Clere (I)
- Ed DeLaney (D)
- Elizabeth Rowray (R)
- Ethan Lawson (R)
- Ethan Manning (R)
- Garrett Bascom (R)
- Greg Steuerwald (R)
- Gregory Porter (D)
- Hal Slager (R)
- Heath VanNatter (R)
- Hunter Smith (R)
- J.D. Prescott (R)
- Jack Jordan (R)
- Jake Teshka (R)
- Jeff Thompson (R)
- Jenny Meltzer (R)
- Jim Lucas (R)
- Jim Pressel (R)
- Joanna King (R)
- John Bartlett (D)
- Julie McGuire (R)
- Julie Olthoff (R)
- Justin Moed (D)
- Karen Engleman (R)
- Kendell Culp (R)
- Kyle Miller (D)
- Kyle Pierce (R)
- Lindsay Patterson (R)
- Lori Goss-Reaves (R)
- Lorissa Sweet (R)
- Mark Genda (R)
- Martin Carbaugh (R)
- Matt Hostettler (R)
- Matt Lehman (R)
- Matt Pierce (D)
- Michelle Davis (R)
- Mike Andrade (D)
- Mike Aylesworth (R)
- Mitch Gore (D)
- Peggy Mayfield (R)
- Phil GiaQuinta (D)
- Ragen Hatcher (D)
- Randy Novak (D)
- Reneé Pack (D)
- Robb Greene (R)
- Robin Shackleford (D)
- Ryan Dvorak (D)
- Ryan Lauer (R)
- Shane Lindauer (R)
- Sheila Klinker (D)
- Steve Bartels (R)
- Sue Errington (D)
- Tim O'Brien (R)
- Tim Wesco (R)
- Tim Yocum (R)
- Tonya Pfaff (D)
- Vanessa Summers (D)
- Vernon Smith (D)
- Wendy Dant Chesser (D)
- Wendy McNamara (R)
- Zach Payne (R)
Did not vote (11)
- Bob Behning (R)
- Brad Barrett (R)
- Dave Hall (R)
- Dave Heine (R)
- Ed Soliday (R)
- Matt Commons (R)
- Maureen Bauer (D)
- Mike Karickhoff (R)
- Todd Huston (R)
- Tony Isa (R)
- Victoria Garcia Wilburn (D)
Senate · Feb 17, 2026
Third reading: vote to pass
Roll call text: HB 1336 - Baldwin - 3rd Reading
Passed
45 yes0 no5 did not vote
Republicans: 37 yes, 0 no, 3 did not voteDemocrats: 8 yes, 0 no, 2 did not vote
How each member voted
Yes (45)
- Aaron Freeman (R)
- Brett Clark (R)
- Brian Buchanan (R)
- Cyndi Carrasco (R)
- Dan Dernulc (R)
- Daryl Schmitt (R)
- David Niezgodski (D)
- Ed Charbonneau (R)
- Eric Koch (R)
- Fady Qaddoura (D)
- Gary Byrne (R)
- Greg Goode (R)
- Greg Taylor (D)
- Greg Walker (R)
- J.D. Ford (D)
- Jean Leising (R)
- Jeff Raatz (R)
- Jim Buck (R)
- Jim Tomes (R)
- Justin Busch (R)
- Kyle Walker (R)
- La Keisha Jackson (D)
- Linda Rogers (R)
- Liz Brown (R)
- Lonnie Randolph (D)
- Mark Spencer (D)
- Michael Crider (R)
- Mike Bohacek (R)
- Mike Gaskill (R)
- Mike Young (R)
- Nick McKinley (R)
- Randy Maxwell (R)
- Rick Niemeyer (R)
- Rod Bray (R)
- Ron Alting (R)
- Ryan Mishler (R)
- Scott Alexander (R)
- Scott Baldwin (R)
- Shelli Yoder (D)
- Spencer Deery (R)
- Stacey Donato (R)
- Sue Glick (R)
- Travis Holdman (R)
- Tyler Johnson (R)
- Vaneta Becker (R)
Did not vote (5)
- Andrea Hunley (D)
- Blake Doriot (R)
- Chris Garten (R)
- Eric Bassler (R)
- Rodney Pol (D)
House · Feb 19, 2026
Final vote: concurrence or conference report
Roll call text: HB 1336 - Carbaugh
Passed
94 yes0 no6 did not vote
Republicans: 64 yes, 0 no, 5 did not voteDemocrats: 29 yes, 0 no, 1 did not voteIndependents: 1 yes, 0 no
How each member voted
Yes (94)
- Alaina Shonkwiler (R)
- Alex Burton (D)
- Alex Zimmerman (R)
- Andrew Ireland (R)
- Beau Baird (R)
- Becky Cash (R)
- Ben Smaltz (R)
- Blake Johnson (D)
- Bob Behning (R)
- Bob Heaton (R)
- Bob Morris (R)
- Brad Barrett (R)
- Bruce Borders (R)
- Carey Hamilton (D)
- Carolyn Jackson (D)
- Cherrish Pryor (D)
- Chris Campbell (D)
- Chris Judy (R)
- Chris May (R)
- Chuck Moseley (D)
- Cindy Ledbetter (R)
- Cory Criswell (R)
- Craig Haggard (R)
- Craig Snow (R)
- Dale DeVon (R)
- Danny Lopez (R)
- Dave Hall (R)
- Dave Heine (R)
- David Abbott (R)
- Earl Harris (D)
- Ed Clere (I)
- Ed DeLaney (D)
- Elizabeth Rowray (R)
- Ethan Lawson (R)
- Ethan Manning (R)
- Garrett Bascom (R)
- Greg Steuerwald (R)
- Gregory Porter (D)
- Hal Slager (R)
- Heath VanNatter (R)
- Hunter Smith (R)
- J.D. Prescott (R)
- Jack Jordan (R)
- Jake Teshka (R)
- Jeff Thompson (R)
- Jenny Meltzer (R)
- Jim Lucas (R)
- Jim Pressel (R)
- Joanna King (R)
- John Bartlett (D)
- Julie McGuire (R)
- Julie Olthoff (R)
- Karen Engleman (R)
- Kendell Culp (R)
- Kyle Miller (D)
- Kyle Pierce (R)
- Lindsay Patterson (R)
- Lori Goss-Reaves (R)
- Lorissa Sweet (R)
- Martin Carbaugh (R)
- Matt Commons (R)
- Matt Hostettler (R)
- Matt Lehman (R)
- Matt Pierce (D)
- Maureen Bauer (D)
- Michelle Davis (R)
- Mike Andrade (D)
- Mike Aylesworth (R)
- Mike Karickhoff (R)
- Mitch Gore (D)
- Peggy Mayfield (R)
- Phil GiaQuinta (D)
- Ragen Hatcher (D)
- Randy Novak (D)
- Reneé Pack (D)
- Robb Greene (R)
- Robin Shackleford (D)
- Ryan Dvorak (D)
- Ryan Lauer (R)
- Shane Lindauer (R)
- Sheila Klinker (D)
- Steve Bartels (R)
- Sue Errington (D)
- Tim O'Brien (R)
- Tim Wesco (R)
- Tim Yocum (R)
- Tony Isa (R)
- Tonya Pfaff (D)
- Vanessa Summers (D)
- Vernon Smith (D)
- Victoria Garcia Wilburn (D)
- Wendy Dant Chesser (D)
- Wendy McNamara (R)
- Zach Payne (R)
Did not vote (6)
- Chris Jeter (R)
- Doug Miller (R)
- Ed Soliday (R)
- Justin Moed (D)
- Mark Genda (R)
- Todd Huston (R)
Source: Open States, compiled from the Indiana General Assembly's official roll calls. The official record at iga.in.gov controls. Spot an error? Let us know.