|
|
 |
|
Holdings of the Fund as of 8/28/2026
Total Number of Holdings (excluding cash): 175
| Apple Inc. |
AAPL |
037833100 |
Information Technology |
602,813 |
$192,719,316.10 |
7.73% |
| NVIDIA Corporation |
NVDA |
67066G104 |
Information Technology |
674,544 |
$146,747,047.20 |
5.89% |
| JPMorgan Chase & Co. |
JPM |
46625H100 |
Financials |
194,336 |
$69,498,440.32 |
2.79% |
| US Dollar |
$USD |
|
Other |
67,795,221 |
$67,795,221.21 |
2.72% |
| Amazon.com, Inc. |
AMZN |
023135106 |
Consumer Discretionary |
245,417 |
$65,386,451.31 |
2.62% |
| Microsoft Corporation |
MSFT |
594918104 |
Information Technology |
124,820 |
$64,098,814.60 |
2.57% |
| Bank of America Corporation |
BAC |
060505104 |
Financials |
989,748 |
$61,681,095.36 |
2.47% |
| GE Vernova Inc. |
GEV |
36828A101 |
Industrials |
63,599 |
$57,997,836.04 |
2.33% |
| Costco Wholesale Corporation |
COST |
22160K105 |
Consumer Staples |
60,145 |
$56,865,293.15 |
2.28% |
| ASML Holding N.V. (New York Registry Shares) |
ASML |
N07059210 |
Information Technology |
32,781 |
$55,601,820.96 |
2.23% |
| Broadcom Inc. |
AVGO |
11135F101 |
Information Technology |
144,339 |
$53,230,779.81 |
2.14% |
| Dell Technologies Inc. (Class C) |
DELL |
24703L202 |
Information Technology |
115,215 |
$52,565,691.60 |
2.11% |
| Alphabet Inc. (Class A) |
GOOGL |
02079K305 |
Communication Services |
149,210 |
$51,714,693.90 |
2.07% |
| Nebius Group N.V. |
NBIS |
N97284108 |
Information Technology |
242,558 |
$50,738,282.44 |
2.04% |
| Alphabet Inc. (Class C) |
GOOG |
02079K107 |
Communication Services |
126,303 |
$43,306,772.64 |
1.74% |
| Amgen Inc. |
AMGN |
031162100 |
Health Care |
92,428 |
$39,967,715.76 |
1.60% |
| Oracle Corporation |
ORCL |
68389X105 |
Information Technology |
261,992 |
$39,521,493.20 |
1.59% |
| Gilead Sciences, Inc. |
GILD |
375558103 |
Health Care |
222,473 |
$32,409,866.64 |
1.30% |
| Cisco Systems, Inc. |
CSCO |
17275R102 |
Information Technology |
292,534 |
$32,158,262.62 |
1.29% |
| Linde Plc |
LIN |
G54950103 |
Materials |
61,939 |
$30,319,759.89 |
1.22% |
| Meta Platforms, Inc. (Class A) |
META |
30303M102 |
Communication Services |
51,759 |
$29,917,737.18 |
1.20% |
| Fortinet, Inc. |
FTNT |
34959E109 |
Information Technology |
174,886 |
$29,031,076.00 |
1.16% |
| Johnson & Johnson |
JNJ |
478160104 |
Health Care |
108,247 |
$29,014,525.88 |
1.16% |
| ExxonMobil Holdings Corp. |
XOM |
30233Q108 |
Energy |
178,375 |
$27,953,146.25 |
1.12% |
| Coca-Cola European Partners Plc |
CCEP |
G25839104 |
Consumer Staples |
254,489 |
$27,764,749.90 |
1.11% |
| AbbVie Inc. |
ABBV |
00287Y109 |
Health Care |
102,684 |
$26,233,708.32 |
1.05% |
| Eli Lilly and Company |
LLY |
532457108 |
Health Care |
20,854 |
$24,495,316.94 |
0.98% |
| Tesla, Inc. |
TSLA |
88160R101 |
Consumer Discretionary |
69,320 |
$24,175,350.00 |
0.97% |
| Union Pacific Corporation |
UNP |
907818108 |
Industrials |
78,032 |
$23,987,817.12 |
0.96% |
| Caterpillar Inc. |
CAT |
149123101 |
Industrials |
25,354 |
$20,289,538.50 |
0.81% |
| Altria Group, Inc. |
MO |
02209S103 |
Consumer Staples |
287,048 |
$19,705,845.20 |
0.79% |
| Jackson Financial Inc. (Class A) |
JXN |
46817M107 |
Financials |
146,002 |
$19,587,628.32 |
0.79% |
| Colgate-Palmolive Company |
CL |
194162103 |
Consumer Staples |
206,962 |
$18,781,801.50 |
0.75% |
| Comfort Systems USA, Inc. |
FIX |
199908104 |
Industrials |
12,284 |
$18,656,079.32 |
0.75% |
| Novartis AG (ADR) |
NVS |
66987V109 |
Health Care |
116,823 |
$17,968,545.63 |
0.72% |
| Palantir Technologies Inc. (Class A) |
PLTR |
69608A108 |
Information Technology |
96,629 |
$18,001,016.41 |
0.72% |
| Celestica Inc. |
CLS |
15101Q207 |
Information Technology |
56,349 |
$16,831,446.30 |
0.68% |
| Walmart Inc. |
WMT |
931142103 |
Consumer Staples |
160,237 |
$16,518,832.33 |
0.66% |
| InterDigital, Inc. |
IDCC |
45867G101 |
Information Technology |
45,264 |
$15,170,229.60 |
0.61% |
| Royalty Pharma Plc (Class A) |
RPRX |
G7709Q104 |
Health Care |
244,632 |
$14,885,857.20 |
0.60% |
| EMCOR Group, Inc. |
EME |
29084Q100 |
Industrials |
19,754 |
$14,621,318.18 |
0.59% |
| Chevron Corporation |
CVX |
166764100 |
Energy |
71,111 |
$14,354,466.46 |
0.58% |
| HF Sinclair Corp. |
DINO |
403949100 |
Energy |
146,036 |
$14,561,249.56 |
0.58% |
| TechnipFMC Plc |
FTI |
G87110105 |
Energy |
190,822 |
$14,471,940.48 |
0.58% |
| Citigroup Inc. |
C |
172967424 |
Financials |
106,170 |
$14,109,993.00 |
0.57% |
| The Coca-Cola Company |
KO |
191216100 |
Consumer Staples |
155,253 |
$13,919,983.98 |
0.56% |
| United Parcel Service, Inc. (Class B) |
UPS |
911312106 |
Industrials |
133,164 |
$14,026,164.12 |
0.56% |
| Hilton Worldwide Holdings Inc. |
HLT |
43300A203 |
Consumer Discretionary |
42,121 |
$13,556,643.85 |
0.54% |
| IDACORP, Inc. |
IDA |
451107106 |
Utilities |
98,006 |
$13,307,254.68 |
0.53% |
| Equinix, Inc. |
EQIX |
29444U700 |
Real Estate |
12,281 |
$12,826,399.21 |
0.51% |
| GE Aerospace |
GE |
369604301 |
Industrials |
35,825 |
$12,272,928.50 |
0.49% |
| AngloGold Ashanti plc |
AU |
G0378L100 |
Materials |
105,197 |
$11,907,248.43 |
0.48% |
| Chubb Limited |
CB |
H1467J104 |
Financials |
35,071 |
$11,921,334.32 |
0.48% |
| Ross Stores, Inc. |
ROST |
778296103 |
Consumer Discretionary |
51,042 |
$11,665,649.10 |
0.47% |
| The Cigna Group |
CI |
125523100 |
Health Care |
42,240 |
$11,779,891.20 |
0.47% |
| The Travelers Companies, Inc. |
TRV |
89417E109 |
Financials |
31,462 |
$11,637,793.80 |
0.47% |
| The Williams Companies, Inc. |
WMB |
969457100 |
Energy |
160,387 |
$11,825,333.51 |
0.47% |
| Curtiss-Wright Corporation |
CW |
231561101 |
Industrials |
19,210 |
$11,456,267.70 |
0.46% |
| US Foods Holding Corp. |
USFD |
912008109 |
Consumer Staples |
106,224 |
$11,394,648.48 |
0.46% |
| Netflix, Inc. |
NFLX |
64110L106 |
Communication Services |
138,366 |
$11,307,269.52 |
0.45% |
| RTX Corporation |
RTX |
75513E101 |
Industrials |
53,519 |
$11,330,507.49 |
0.45% |
| Antero Midstream Corp. |
AM |
03676B102 |
Energy |
497,425 |
$11,087,603.25 |
0.44% |
| Philip Morris International Inc. |
PM |
718172109 |
Consumer Staples |
57,060 |
$10,949,243.40 |
0.44% |
| Merck & Co., Inc. |
MRK |
58933Y105 |
Health Care |
71,660 |
$10,630,761.00 |
0.43% |
| Vistra Corp. |
VST |
92840M102 |
Utilities |
75,591 |
$10,362,770.19 |
0.42% |
| British American Tobacco Plc (ADR) |
BTI |
110448107 |
Consumer Staples |
184,273 |
$10,343,243.49 |
0.41% |
| DT Midstream, Inc. |
DTM |
23345M107 |
Energy |
74,651 |
$9,669,544.03 |
0.39% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
Industrials |
20,894 |
$9,831,044.88 |
0.39% |
| The Goldman Sachs Group, Inc. |
GS |
38141G104 |
Financials |
9,512 |
$9,835,312.88 |
0.39% |
| APA Corporation |
APA |
03743Q108 |
Energy |
215,140 |
$9,152,055.60 |
0.37% |
| Ciena Corporation |
CIEN |
171779309 |
Information Technology |
24,248 |
$9,176,413.12 |
0.37% |
| The Toronto-Dominion Bank |
TD |
891160509 |
Financials |
74,628 |
$9,048,645.00 |
0.36% |
| Advanced Micro Devices, Inc. |
AMD |
007903107 |
Information Technology |
18,857 |
$8,779,442.06 |
0.35% |
| CME Group Inc. |
CME |
12572Q105 |
Financials |
29,279 |
$8,367,938.20 |
0.34% |
| Digital Realty Trust, Inc. |
DLR |
253868103 |
Real Estate |
44,148 |
$8,188,129.56 |
0.33% |
| Yum! Brands, Inc. |
YUM |
988498101 |
Consumer Discretionary |
53,522 |
$8,234,894.92 |
0.33% |
| Advanced Energy Industries, Inc. |
AEIS |
007973100 |
Information Technology |
28,813 |
$7,860,762.66 |
0.32% |
| Kinder Morgan, Inc. |
KMI |
49456B101 |
Energy |
243,181 |
$7,674,792.36 |
0.31% |
| Allison Transmission Holdings, Inc. |
ALSN |
01973R101 |
Industrials |
58,755 |
$7,421,931.60 |
0.30% |
| ING Groep N.V. (ADR) |
ING |
456837103 |
Financials |
211,925 |
$7,468,237.00 |
0.30% |
| The Boeing Company |
BA |
097023105 |
Industrials |
35,148 |
$7,374,753.36 |
0.30% |
| APi Group Corporation |
APG |
00187Y100 |
Industrials |
180,676 |
$7,171,030.45 |
0.29% |
| The TJX Companies, Inc. |
TJX |
872540109 |
Consumer Discretionary |
54,406 |
$7,351,338.72 |
0.29% |
| Duke Energy Corporation |
DUK |
26441C204 |
Utilities |
58,613 |
$7,048,213.25 |
0.28% |
| Encompass Health Corporation |
EHC |
29261A100 |
Health Care |
57,708 |
$6,974,011.80 |
0.28% |
| Prologis, Inc. |
PLD |
74340W103 |
Real Estate |
48,765 |
$6,861,235.50 |
0.28% |
| Southern Copper Corporation |
SCCO |
84265V105 |
Materials |
32,689 |
$6,858,152.20 |
0.28% |
| Aflac Incorporated |
AFL |
001055102 |
Financials |
57,050 |
$6,647,466.00 |
0.27% |
| Cboe Global Markets, Inc. |
CBOE |
12503M108 |
Financials |
21,440 |
$6,656,048.00 |
0.27% |
| East West Bancorp, Inc. |
EWBC |
27579R104 |
Financials |
51,432 |
$6,657,358.08 |
0.27% |
| Taiwan Semiconductor Manufacturing Company Limited (ADR) |
TSM |
874039100 |
Information Technology |
15,938 |
$6,654,433.76 |
0.27% |
| Entergy Corporation |
ETR |
29364G103 |
Utilities |
60,509 |
$6,398,826.75 |
0.26% |
| ITT Inc. |
ITT |
45073V108 |
Industrials |
32,541 |
$6,605,497.59 |
0.26% |
| UMB Financial Corporation |
UMBF |
902788108 |
Financials |
44,638 |
$6,453,985.66 |
0.26% |
| Royal Bank of Canada |
RY |
780087102 |
Financials |
30,749 |
$6,279,868.27 |
0.25% |
| Unilever PLC (ADR) |
UL |
904767803 |
Consumer Staples |
94,618 |
$6,156,793.36 |
0.25% |
| Wells Fargo & Company |
WFC |
949746101 |
Financials |
72,652 |
$6,298,201.88 |
0.25% |
| AT&T Inc. |
T |
00206R102 |
Communication Services |
226,445 |
$5,889,834.45 |
0.24% |
| Cal-Maine Foods, Inc. |
CALM |
128030202 |
Consumer Staples |
74,405 |
$5,968,025.05 |
0.24% |
| DHT Holdings, Inc. |
DHT |
Y2065G121 |
Energy |
300,907 |
$5,915,831.62 |
0.24% |
| Urban Outfitters, Inc. |
URBN |
917047102 |
Consumer Discretionary |
72,496 |
$5,878,700.64 |
0.24% |
| BlackRock, Inc. |
BLK |
09290D101 |
Financials |
4,937 |
$5,749,037.76 |
0.23% |
| AerCap Holdings N.V. |
AER |
N00985106 |
Industrials |
36,901 |
$5,442,528.49 |
0.22% |
| Applied Materials, Inc. |
AMAT |
038222105 |
Information Technology |
11,901 |
$5,494,334.67 |
0.22% |
| Enbridge Inc. |
ENB |
29250N105 |
Energy |
108,392 |
$5,441,278.40 |
0.22% |
| Banco Santander S.A. (ADR) |
SAN |
05964H105 |
Financials |
360,355 |
$5,286,407.85 |
0.21% |
| Casey's General Stores, Inc. |
CASY |
147528103 |
Consumer Staples |
7,066 |
$5,338,151.02 |
0.21% |
| Everpure, Inc. (Class A) |
P |
74624M102 |
Information Technology |
55,910 |
$5,221,994.00 |
0.21% |
| Watts Water Technologies, Inc. |
WTS |
942749102 |
Industrials |
14,568 |
$5,336,841.12 |
0.21% |
| Dave Inc. (Class A) |
DAVE |
23834J201 |
Financials |
13,113 |
$4,963,926.15 |
0.20% |
| Fluor Corporation |
FLR |
343412102 |
Industrials |
94,710 |
$5,045,201.70 |
0.20% |
| International Business Machines Corporation |
IBM |
459200101 |
Information Technology |
20,863 |
$4,915,114.17 |
0.20% |
| Sabra Health Care REIT, Inc. |
SBRA |
78573L106 |
Real Estate |
242,187 |
$4,991,474.07 |
0.20% |
| The Charles Schwab Corporation |
SCHW |
808513105 |
Financials |
45,592 |
$5,022,414.72 |
0.20% |
| Cloudflare, Inc. (Class A) |
NET |
18915M107 |
Information Technology |
15,474 |
$4,639,724.16 |
0.19% |
| MYR Group Inc. |
MYRG |
55405W104 |
Industrials |
16,494 |
$4,856,163.48 |
0.19% |
| Nextpower Inc. (Class A) |
NXT |
65290E101 |
Industrials |
55,927 |
$4,778,402.88 |
0.19% |
| Energy Transfer LP |
ET |
29273V100 |
Energy |
216,270 |
$4,608,713.70 |
0.18% |
| Liberty Media Corp-Liberty Formula One (Class C) |
FWONK |
531229755 |
Communication Services |
44,690 |
$4,549,442.00 |
0.18% |
| The Bank of Nova Scotia |
BNS |
064149107 |
Financials |
48,738 |
$4,502,903.82 |
0.18% |
| Wabtec Corporation |
WAB |
929740108 |
Industrials |
15,400 |
$4,500,342.00 |
0.18% |
| Anheuser-Busch InBev S.A./N.V. (ADR) |
BUD |
03524A108 |
Consumer Staples |
53,046 |
$4,250,575.98 |
0.17% |
| BankUnited, Inc. |
BKU |
06652K103 |
Financials |
92,172 |
$4,275,859.08 |
0.17% |
| Ionis Pharmaceuticals, Inc. |
IONS |
462222100 |
Health Care |
70,371 |
$4,296,149.55 |
0.17% |
| The Southern Company |
SO |
842587107 |
Utilities |
46,667 |
$4,118,362.75 |
0.17% |
| NewMarket Corporation |
NEU |
651587107 |
Materials |
4,373 |
$3,999,939.37 |
0.16% |
| OPENLANE Inc. |
OPLN |
48238T109 |
Industrials |
117,210 |
$4,112,898.90 |
0.16% |
| The Gap, Inc. |
GAP |
364760108 |
Consumer Discretionary |
165,328 |
$3,881,901.44 |
0.16% |
| Evergy, Inc. |
EVRG |
30034W106 |
Utilities |
44,888 |
$3,620,217.20 |
0.15% |
| Gold Fields Limited (ADR) |
GFI |
38059T106 |
Materials |
83,477 |
$3,836,602.92 |
0.15% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
Industrials |
96,621 |
$3,723,773.34 |
0.15% |
| America Movil, S.A.B. de C.V. (ADR) |
AMX |
02390A101 |
Communication Services |
155,152 |
$3,596,423.36 |
0.14% |
| Rio Tinto plc (ADR) |
RIO |
767204100 |
Materials |
32,778 |
$3,385,967.40 |
0.14% |
| Robinhood Markets, Inc. (Class A) |
HOOD |
770700102 |
Financials |
34,354 |
$3,581,748.04 |
0.14% |
| Canadian Imperial Bank of Commerce |
CM |
136069101 |
Financials |
27,770 |
$3,174,944.10 |
0.13% |
| NiSource Inc. |
NI |
65473P105 |
Utilities |
81,525 |
$3,307,469.25 |
0.13% |
| Nordson Corporation |
NDSN |
655663102 |
Industrials |
10,125 |
$3,286,473.75 |
0.13% |
| Performance Food Group Company |
PFGC |
71377A103 |
Consumer Staples |
31,610 |
$3,187,868.50 |
0.13% |
| Vale S.A. (ADR) |
VALE |
91912E105 |
Materials |
219,011 |
$3,291,735.33 |
0.13% |
| Bank of Montreal |
BMO |
063671101 |
Financials |
17,594 |
$3,023,704.84 |
0.12% |
| Deutsche Bank AG |
DB |
D18190898 |
Financials |
74,194 |
$2,994,469.84 |
0.12% |
| Morgan Stanley |
MS |
617446448 |
Financials |
13,398 |
$2,877,488.46 |
0.12% |
| Simon Property Group, Inc. |
SPG |
828806109 |
Real Estate |
14,106 |
$3,026,583.36 |
0.12% |
| SolarEdge Technologies, Inc. |
SEDG |
83417M104 |
Information Technology |
98,199 |
$3,084,430.59 |
0.12% |
| Xcel Energy Inc. |
XEL |
98389B100 |
Utilities |
37,860 |
$2,894,397.00 |
0.12% |
| Kimco Realty Corporation |
KIM |
49446R109 |
Real Estate |
115,117 |
$2,737,482.26 |
0.11% |
| Toll Brothers, Inc. |
TOL |
889478103 |
Consumer Discretionary |
19,235 |
$2,812,541.70 |
0.11% |
| Alamos Gold Inc. |
AGI |
011532108 |
Materials |
66,632 |
$2,448,726.00 |
0.10% |
| Grand Canyon Education, Inc. |
LOPE |
38526M106 |
Consumer Discretionary |
16,128 |
$2,438,392.32 |
0.10% |
| NextEra Energy, Inc. |
NEE |
65339F101 |
Utilities |
29,991 |
$2,454,463.44 |
0.10% |
| TotalEnergies SE |
TTE |
F92124100 |
Energy |
30,071 |
$2,596,630.85 |
0.10% |
| American Electric Power Company, Inc. |
AEP |
025537101 |
Utilities |
19,116 |
$2,338,077.96 |
0.09% |
| CVB Financial Corp. |
CVBF |
126600105 |
Financials |
100,727 |
$2,235,132.13 |
0.09% |
| TKO Group Holdings, Inc. (Class A) |
TKO |
87256C101 |
Communication Services |
11,678 |
$2,156,225.92 |
0.09% |
| WEC Energy Group, Inc. |
WEC |
92939U106 |
Utilities |
22,220 |
$2,360,208.40 |
0.09% |
| Booking Holdings Inc. |
BKNG |
09857L108 |
Consumer Discretionary |
10,253 |
$2,108,324.39 |
0.08% |
| Sempra |
SRE |
816851109 |
Utilities |
22,801 |
$1,922,352.31 |
0.08% |
| AMETEK, Inc. |
AME |
031100100 |
Industrials |
7,580 |
$1,790,775.00 |
0.07% |
| Cirrus Logic, Inc. |
CRUS |
172755100 |
Information Technology |
17,023 |
$1,846,655.04 |
0.07% |
| Edwards Lifesciences Corporation |
EW |
28176E108 |
Health Care |
18,400 |
$1,659,864.00 |
0.07% |
| Ferguson Enterprises Inc. |
FERG |
31488V107 |
Industrials |
7,207 |
$1,646,727.43 |
0.07% |
| NetEase, Inc. (ADR) |
NTES |
64110W102 |
Communication Services |
14,716 |
$1,806,536.16 |
0.07% |
| OSI Systems, Inc. |
OSIS |
671044105 |
Information Technology |
8,740 |
$1,806,033.60 |
0.07% |
| ARMOUR Residential REIT, Inc. |
ARR |
042315705 |
Financials |
86,549 |
$1,412,479.68 |
0.06% |
| National Health Investors, Inc. |
NHI |
63633D104 |
Real Estate |
20,904 |
$1,505,715.12 |
0.06% |
| Arch Capital Group Ltd. |
ACGL |
G0450A105 |
Financials |
12,128 |
$1,198,731.52 |
0.05% |
| The Hartford Insurance Group, Inc. |
HIG |
416515104 |
Financials |
9,565 |
$1,325,230.75 |
0.05% |
| VICI Properties Inc. |
VICI |
925652109 |
Real Estate |
34,993 |
$905,268.91 |
0.04% |
| Weyerhaeuser Company |
WY |
962166104 |
Real Estate |
16,483 |
$389,658.12 |
0.02% |
| Canadian Dollar |
$CAD |
|
Other |
87,783 |
$63,121.36 |
0.00% |
| 2026-09-18 S&P 500® Index - Price Return C 7,825 |
SPX 260918C07825000 |
|
N/A |
-325 |
($1,077,050.00) |
-0.04% |
| 2026-09-18 S&P 500® Index - Price Return C 7,775 |
SPX 260918C07775000 |
|
N/A |
-340 |
($1,822,400.00) |
-0.07% |
| 2026-09-18 S&P 500® Index - Price Return C 7,750 |
SPX 260918C07750000 |
|
N/A |
-325 |
($2,087,800.00) |
-0.08% |
| 2026-10-16 S&P 500® Index - Price Return C 7,800 |
SPX 261016C07800000 |
|
N/A |
-325 |
($3,529,500.00) |
-0.14% |
| 2026-09-18 S&P 500® Index - Price Return C 7,650 |
SPX 260918C07650000 |
|
N/A |
-320 |
($4,021,120.00) |
-0.16% |
| 2026-10-16 S&P 500® Index - Price Return C 7,750 |
SPX 261016C07750000 |
|
N/A |
-325 |
($4,449,250.00) |
-0.18% |
| 2026-09-18 S&P 500® Index - Price Return C 7,600 |
SPX 260918C07600000 |
|
N/A |
-320 |
($5,242,880.00) |
-0.21% |
Holdings are subject to change.
The holdings information set forth above for the date indicated reflects creation and redemption transactions from the prior business day and may differ from the holdings information currently available from the Fund's custodian and accounting agent. With respect to the market value of the Fund's holdings set forth above, the pricing sources are generally third party vendors. The Fund ultimately relies on pricing information provided by the Fund's accounting agent.
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The information presented is not intended to constitute an investment recommendation for, or advice to, any specific person. By providing this information, First Trust is not undertaking to give advice in any fiduciary capacity within the meaning of ERISA, the Internal Revenue Code or any other regulatory framework. Financial professionals are responsible for evaluating investment risks independently and for exercising independent judgment in determining whether investments are appropriate for their clients.
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