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Bill

HB 1545

Investment adviser representatives and agents.

2025 Regular Session Introduced by Bob Heaton

Indiana bill modifying investment adviser representative and agent licensing or regulatory requirements, likely affecting financial services industry compliance standards and consumer protections.

Authored by Representative Heaton
#professionalandoccupationallicensing;financeindustry
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Bill Summary · HB 1545

Legislative bill overview

HB 1545 appears to address regulatory requirements and licensing standards for investment adviser representatives and agents operating in Indiana. The bill was recently introduced and referred to the Committee on Financial Institutions for review. Without access to the full text, the specific provisions regarding registration, education, or compliance standards cannot be detailed.

Why is this important

Investment adviser regulations directly affect how financial professionals can operate and serve clients in Indiana. Changes to licensing or registration requirements impact both the financial services industry's operational costs and consumer protections in investment advisory relationships.

Potential points of contention

  • Whether new licensing requirements might create barriers to entry for smaller firms or independent advisers
  • How state-level requirements align with existing federal Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) standards
  • Whether changes adequately protect consumers without being overly burdensome on compliance and operational costs for financial institutions

Compiled from official sources — confirm details with the bill’s official record.

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