Section 230-RICR-50-05-1.9 - Licensing ApplicationsA. The application and consent to service of process requirements of R.I. Gen. Laws § 7-11-205 are met as follows: 1. The application for initial registration as a broker-dealer shall be made by completing Form BD in accordance with the form instructions and by filing the form with CRD. The annual renewal shall be filed with the CRD. The application for initial registration as a sales representative shall be made by filing Form U-4 with the CRD. The annual renewal shall be filed with the CRD. If the broker-dealer is not a FINRA member, the application, amendments, fee and renewal shall be filed with the Department.2. The application for initial registration as an investment adviser shall be made by completing Form ADV in accordance with the form instructions and by filing the form with the IARD. The application for an investment adviser annual renewal shall be filed with the IARD. 3. The application for initial registration as an investment adviser representative shall be made by filing Form U-4 with the CRD. The annual renewal shall be made with the CRD. 230 R.I. Code R. 230-RICR-50-05-1.9