Indiana HB1336 regulates securities and investment adviser representatives, exempts certain merger and acquisition brokers from registration, and.

Indiana HB1336 amends the Indiana Code to regulate securities and investment adviser representatives. It exempts certain merger and acquisition brokers from registering as broker-dealers under specific conditions. The bill mandates that applicants seeking to register as agents of broker-dealers must pass certain FINRA examinations unless exceptions apply. It also requires applicants seeking to register as investment adviser representatives to complete FINRA examinations or hold specific designations.

Indiana HB1336 regulates securities and investment adviser representatives, exempts certain merger and acquisition brokers from registration, and.

Indiana HB1336 amends the Indiana Code to regulate securities and investment adviser representatives. It exempts certain merger and acquisition brokers from registering as broker-dealers under specific conditions. The bill mandates that applicants seeking to register as agents of broker-dealers must pass certain FINRA examinations unless exceptions apply. It also requires applicants seeking to register as investment adviser representatives to complete FINRA examinations or hold specific designations.