Securities and investment adviser representatives.

Summary

The act changes Indiana’s securities code to let merger‑and‑acquisition brokers operate without registering as broker‑dealers in limited situations, and to require new broker‑dealer agents and investment adviser representatives to pass FINRA exams unless specific exceptions apply. It also permits limited extensions of exam validity, requires ongoing education for investment adviser representatives, and sets new registration timelines, fees, and insurance/bond limits. The bill was enacted and becomes effective July 1 2026.

AI-generated summary — may be incomplete or inaccurate. Verify against the official bill text.

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