IndianaHB 1545First Regular Session 124th General Assembly (2025)House

Investment adviser representatives and agents.

Sponsored By: Robert Heaton (Republican)

Failed

Summary

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.

financial institutions

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Bill Overview

No Economic Impacts Identified for this Bill

Sponsors & Cosponsors

Sponsor

  • Robert Heaton

    Republican • House

Cosponsors

There are no cosponsors for this bill.

Roll Call Votes

No roll call votes available for this bill.

Actions Timeline

  1. Authored by Representative Heaton

    1/21/2025House
  2. First reading: referred to Committee on Financial Institutions

    1/21/2025House

Bill Text

  • Introduced House Bill (H)

Related Bills

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