Series 65: Schedule 13D

Taken from our Series 65 Online Guide

Schedule 13D

Large changes in the underlying ownership of a company are considered very relevant information to most investors. Schedule 13D is filed with the SEC when any investor acquires more than 5% ownership in a publicly traded company. A 13D filing can signal a possible takeover.

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I took the exam three days after we spoke. I had to drive 75 miles to the test center. I finished the exam in a little under two hours and did not want to second guess myself in changing any of my answers. Upon completion of the exam, and subsequent grading I saw a 65 on the screen and I couldn't believe I did so poorly. However, the 65 I saw stood for the Series 65 not my grade and several lines below was my grade which was an 87. Thus I passed with a minimum amount of study looking over your online exam simulator. The questions were very similar to your review questions and I am sure that a candidate who reviews your questions and understands the application will have no problem passing the exam. Thanks for a great product.

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David Hartzell, Cornell Capital Management, New York