Securities and investment adviser representatives.

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Plain-English Summary

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 seeking to register as an investment adviser representative in Indiana to pass FINRA examinations unless certain exceptions apply. Provi…

Source: OpenStates · fetched February 26, 2026

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