|
|
 |
|
Holdings of the Fund as of 1/28/2026
Total Number of Holdings (excluding cash): 205
| MACOM Technology Solutions Holdings, Inc. |
MTSI |
55405Y100 |
2,951 |
$667,663.75 |
1.56% |
| VSE Corporation |
VSEC |
918284100 |
2,894 |
$596,221.88 |
1.40% |
| Karman Holdings Inc. |
KRMN |
485924104 |
5,102 |
$588,209.58 |
1.38% |
| Rambus Inc. |
RMBS |
750917106 |
4,715 |
$586,734.60 |
1.37% |
| Bloom Energy Corporation (Class A) |
BE |
093712107 |
3,454 |
$571,257.06 |
1.34% |
| Fabrinet |
FN |
G3323L100 |
1,107 |
$554,607.00 |
1.30% |
| Piper Sandler Companies |
PIPR |
724078100 |
1,549 |
$547,726.40 |
1.28% |
| Xometry, Inc. (Class A) |
XMTR |
98423F109 |
8,317 |
$539,523.79 |
1.26% |
| Guardant Health, Inc. |
GH |
40131M109 |
4,749 |
$521,107.77 |
1.22% |
| AeroVironment, Inc. |
AVAV |
008073108 |
1,648 |
$505,837.12 |
1.18% |
| Crinetics Pharmaceuticals, Inc. |
CRNX |
22663K107 |
9,767 |
$501,242.44 |
1.17% |
| Eos Energy Enterprises, Inc. |
EOSE |
29415C101 |
28,165 |
$469,792.20 |
1.10% |
| Kratos Defense & Security Solutions, Inc. |
KTOS |
50077B207 |
4,073 |
$458,904.91 |
1.07% |
| Planet Labs PBC (Class A) |
PL |
72703X106 |
16,069 |
$448,003.72 |
1.05% |
| Uranium Energy Corp |
UEC |
916896103 |
21,924 |
$441,549.36 |
1.03% |
| Praxis Precision Medicines, Inc. |
PRAX |
74006W207 |
1,375 |
$426,140.00 |
1.00% |
| Impinj, Inc. |
PI |
453204109 |
2,486 |
$401,638.16 |
0.94% |
| iRhythm Holdings, Inc. |
IRTC |
450056106 |
2,646 |
$401,782.00 |
0.94% |
| RBC Bearings Incorporated |
RBC |
75524B104 |
786 |
$400,034.70 |
0.94% |
| Boot Barn Holdings, Inc. |
BOOT |
099406100 |
2,262 |
$389,719.98 |
0.91% |
| Powell Industries, Inc. |
POWL |
739128106 |
838 |
$371,602.72 |
0.87% |
| FirstCash Holdings, Inc. |
FCFS |
33768G107 |
2,218 |
$368,343.26 |
0.86% |
| Installed Building Products, Inc. |
IBP |
45780R101 |
1,247 |
$366,568.12 |
0.86% |
| EZCORP, Inc. |
EZPW |
302301106 |
17,100 |
$358,758.00 |
0.84% |
| nLight, Inc. |
LASR |
65487K100 |
7,773 |
$357,402.54 |
0.84% |
| FTAI Aviation Ltd. |
FTAI |
G3730V105 |
1,248 |
$344,023.68 |
0.81% |
| Curtiss-Wright Corporation |
CW |
231561101 |
516 |
$342,861.36 |
0.80% |
| Mirion Technologies, Inc. |
MIR |
60471A101 |
13,438 |
$341,056.44 |
0.80% |
| Solaris Energy Infrastructure, Inc. (Class A) |
SEI |
83418M103 |
6,314 |
$339,503.78 |
0.79% |
| TechnipFMC Plc |
FTI |
G87110105 |
5,932 |
$327,743.00 |
0.77% |
| Ligand Pharmaceuticals Inc. (Class B) |
LGND |
53220K504 |
1,677 |
$318,998.94 |
0.75% |
| SPX Technologies |
SPXC |
78473E103 |
1,498 |
$316,587.32 |
0.74% |
| BridgeBio Pharma, Inc. |
BBIO |
10806X102 |
3,980 |
$308,410.20 |
0.72% |
| InterDigital, Inc. |
IDCC |
45867G101 |
930 |
$308,685.60 |
0.72% |
| Encore Capital Group, Inc. |
ECPG |
292554102 |
5,624 |
$303,189.84 |
0.71% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
7,180 |
$304,934.60 |
0.71% |
| SiteOne Landscape Supply, Inc. |
SITE |
82982L103 |
2,110 |
$304,620.70 |
0.71% |
| Travere Therapeutics, Inc. |
TVTX |
89422G107 |
10,071 |
$304,949.88 |
0.71% |
| Nextpower Inc. (Class A) |
NXT |
65290E101 |
2,453 |
$294,286.41 |
0.69% |
| Sitime Corporation |
SITM |
82982T106 |
814 |
$293,951.68 |
0.69% |
| Cameco Corporation |
CCJ |
13321L108 |
2,154 |
$288,829.86 |
0.68% |
| Halozyme Therapeutics, Inc. |
HALO |
40637H109 |
4,000 |
$291,320.00 |
0.68% |
| BWX Technologies, Inc. |
BWXT |
05605H100 |
1,327 |
$287,030.10 |
0.67% |
| Five Below, Inc. |
FIVE |
33829M101 |
1,538 |
$285,175.96 |
0.67% |
| Natera, Inc. |
NTRA |
632307104 |
1,222 |
$288,306.46 |
0.67% |
| Palomar Holdings, Inc. |
PLMR |
69753M105 |
2,306 |
$276,028.20 |
0.65% |
| Academy Sports and Outdoors, Inc. |
ASO |
00402L107 |
4,978 |
$274,437.14 |
0.64% |
| Pan American Silver Corp. |
PAAS |
697900108 |
4,148 |
$273,436.16 |
0.64% |
| Arrowhead Pharmaceuticals, Inc. |
ARWR |
04280A100 |
4,102 |
$269,009.16 |
0.63% |
| Credo Technology Group Holding Ltd |
CRDO |
G25457105 |
2,090 |
$270,989.40 |
0.63% |
| Turning Point Brands, Inc. |
TPB |
90041L105 |
2,168 |
$269,894.32 |
0.63% |
| Carpenter Technology Corporation |
CRS |
144285103 |
801 |
$265,619.61 |
0.62% |
| Clearwater Analytics Holdings, Inc. (Class A) |
CWAN |
185123106 |
10,917 |
$263,427.21 |
0.62% |
| Exelixis, Inc. |
EXEL |
30161Q104 |
6,253 |
$266,752.98 |
0.62% |
| First Watch Restaurant Group, Inc. |
FWRG |
33748L101 |
16,262 |
$263,281.78 |
0.62% |
| MAXIMUS, Inc. |
MMS |
577933104 |
2,795 |
$264,938.05 |
0.62% |
| Ollie's Bargain Outlet Holdings, Inc. |
OLLI |
681116109 |
2,428 |
$259,383.24 |
0.61% |
| Repligen Corporation |
RGEN |
759916109 |
1,607 |
$257,200.35 |
0.60% |
| Apogee Therapeutics, Inc. |
APGE |
03770N101 |
3,580 |
$253,070.20 |
0.59% |
| Camtek Ltd. |
CAMT |
M20791105 |
1,615 |
$242,524.55 |
0.57% |
| Xenon Pharmaceuticals Inc. |
XENE |
98420N105 |
5,672 |
$237,940.40 |
0.56% |
| Edgewise Therapeutics, Inc. |
EWTX |
28036F105 |
8,173 |
$234,401.64 |
0.55% |
| Rhythm Pharmaceuticals, Inc. |
RYTM |
76243J105 |
2,293 |
$235,422.31 |
0.55% |
| Medpace Holdings, Inc. |
MEDP |
58506Q109 |
385 |
$230,195.35 |
0.54% |
| Supernus Pharmaceuticals, Inc. |
SUPN |
868459108 |
4,681 |
$229,088.14 |
0.54% |
| ICON Plc |
ICLR |
G4705A100 |
1,206 |
$224,701.92 |
0.53% |
| Coherent Corp. |
COHR |
19247G107 |
1,013 |
$224,014.82 |
0.52% |
| OSI Systems, Inc. |
OSIS |
671044105 |
822 |
$223,082.58 |
0.52% |
| Ciena Corporation |
CIEN |
171779309 |
838 |
$215,617.40 |
0.50% |
| Amicus Therapeutics, Inc. |
FOLD |
03152W109 |
14,760 |
$210,772.80 |
0.49% |
| Crane Company |
CR |
224408104 |
1,159 |
$211,250.93 |
0.49% |
| Genius Sports Limited |
GENI |
G3934V109 |
22,533 |
$209,556.90 |
0.49% |
| National Vision Holdings, Inc. |
EYE |
63845R107 |
8,114 |
$208,773.22 |
0.49% |
| Weatherford International Plc |
WFRD |
G48833118 |
2,305 |
$210,769.20 |
0.49% |
| Customers Bancorp, Inc. |
CUBI |
23204G100 |
2,672 |
$204,434.72 |
0.48% |
| Travel + Leisure Co. |
TNL |
894164102 |
2,955 |
$205,608.90 |
0.48% |
| Viper Energy, Inc. (Class A) |
VNOM |
64361Q101 |
4,943 |
$203,750.46 |
0.48% |
| Kymera Therapeutics, Inc. |
KYMR |
501575104 |
2,834 |
$201,667.44 |
0.47% |
| PTC Therapeutics, Inc. |
PTCT |
69366J200 |
2,660 |
$201,096.00 |
0.47% |
| Structure Therapeutics Inc. |
GPCR |
86366E106 |
2,239 |
$199,382.95 |
0.47% |
| Wingstop Inc. |
WING |
974155103 |
733 |
$199,889.10 |
0.47% |
| Amprius Technologies, Inc. |
AMPX |
03214Q108 |
16,367 |
$196,076.66 |
0.46% |
| Globus Medical, Inc. (Class A) |
GMED |
379577208 |
2,148 |
$197,250.85 |
0.46% |
| Balchem Corporation |
BCPC |
057665200 |
1,135 |
$190,838.90 |
0.45% |
| Embraer S.A. (ADR) |
EMBJ |
29082A107 |
2,522 |
$192,882.56 |
0.45% |
| Lattice Semiconductor Corporation |
LSCC |
518415104 |
2,288 |
$194,113.92 |
0.45% |
| Madrigal Pharmaceuticals, Inc. |
MDGL |
558868105 |
389 |
$193,154.06 |
0.45% |
| Magnite, Inc. |
MGNI |
55955D100 |
12,873 |
$191,292.78 |
0.45% |
| Ryan Specialty Holdings, Inc. (Class A) |
RYAN |
78351F107 |
4,018 |
$191,055.90 |
0.45% |
| AAON, Inc. |
AAON |
000360206 |
2,044 |
$186,453.68 |
0.44% |
| Construction Partners, Inc. (Class A) |
ROAD |
21044C107 |
1,658 |
$187,934.30 |
0.44% |
| Axsome Therapeutics, Inc. |
AXSM |
05464T104 |
999 |
$184,984.83 |
0.43% |
| Bio-Techne Corporation |
TECH |
09073M104 |
2,812 |
$184,354.72 |
0.43% |
| Kinsale Capital Group, Inc. |
KNSL |
49714P108 |
471 |
$183,567.54 |
0.43% |
| Magnolia Oil & Gas Corporation (Class A) |
MGY |
559663109 |
7,301 |
$184,131.22 |
0.43% |
| Montrose Environmental Group, Inc. |
MEG |
615111101 |
8,105 |
$181,957.25 |
0.43% |
| Scholar Rock Holding Corporation |
SRRK |
80706P103 |
4,247 |
$183,173.11 |
0.43% |
| The Descartes Systems Group Inc. |
DSGX |
249906108 |
2,288 |
$182,536.64 |
0.43% |
| Varonis Systems, Inc. |
VRNS |
922280102 |
5,537 |
$184,991.17 |
0.43% |
| Dycom Industries, Inc. |
DY |
267475101 |
482 |
$178,335.18 |
0.42% |
| Flowserve Corporation |
FLS |
34354P105 |
2,345 |
$180,330.50 |
0.42% |
| Hub Group, Inc. |
HUBG |
443320106 |
3,773 |
$179,330.69 |
0.42% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
485 |
$181,157.20 |
0.42% |
| TransMedics Group, Inc. |
TMDX |
89377M109 |
1,264 |
$178,211.36 |
0.42% |
| Compass, Inc. (Class A) |
COMP |
20464U100 |
13,475 |
$175,848.75 |
0.41% |
| ESCO Technologies Inc. |
ESE |
296315104 |
786 |
$175,325.16 |
0.41% |
| Semtech Corporation |
SMTC |
816850101 |
2,134 |
$174,070.38 |
0.41% |
| Virtu Financial, Inc. (Class A) |
VIRT |
928254101 |
4,646 |
$174,178.54 |
0.41% |
| Zeta Global Holdings Corp. (Class A) |
ZETA |
98956A105 |
8,611 |
$174,889.41 |
0.41% |
| Saia, Inc. |
SAIA |
78709Y105 |
486 |
$170,036.82 |
0.40% |
| Onto Innovation Inc. |
ONTO |
683344105 |
780 |
$166,686.00 |
0.39% |
| Rubrik, Inc. (Class A) |
RBRK |
781154109 |
2,620 |
$165,557.80 |
0.39% |
| Spyre Therapeutics, Inc. |
SYRE |
00773J202 |
5,038 |
$166,959.32 |
0.39% |
| Tarsus Pharmaceuticals, Inc. |
TARS |
87650L103 |
2,622 |
$168,279.96 |
0.39% |
| US Dollar |
$USD |
|
166,710 |
$166,709.57 |
0.39% |
| Septerna, Inc. |
SEPN |
81734D104 |
6,809 |
$161,100.94 |
0.38% |
| BioLife Solutions, Inc. |
BLFS |
09062W204 |
6,952 |
$159,478.88 |
0.37% |
| Bright Horizons Family Solutions Inc. |
BFAM |
109194100 |
1,712 |
$157,349.92 |
0.37% |
| BRP Inc. |
DOO |
05577W200 |
2,006 |
$157,571.30 |
0.37% |
| Hudbay Minerals Inc. |
HBM |
443628102 |
5,842 |
$158,201.36 |
0.37% |
| JBT Marel Corporation |
JBTM |
477839104 |
1,001 |
$157,607.45 |
0.37% |
| Lumentum Holdings Inc. |
LITE |
55024U109 |
409 |
$157,465.00 |
0.37% |
| Wave Life Sciences Ltd. |
WVE |
Y95308105 |
12,358 |
$157,317.34 |
0.37% |
| Centrus Energy Corp. (Class A) |
LEU |
15643U104 |
457 |
$154,356.32 |
0.36% |
| HealthEquity, Inc. |
HQY |
42226A107 |
1,851 |
$153,355.35 |
0.36% |
| Immunome, Inc. |
IMNM |
45257U108 |
6,258 |
$154,885.50 |
0.36% |
| LendingClub Corporation |
LC |
52603A208 |
7,870 |
$154,015.90 |
0.36% |
| Manhattan Associates, Inc. |
MANH |
562750109 |
961 |
$154,855.54 |
0.36% |
| Protagonist Therapeutics, Inc. |
PTGX |
74366E102 |
1,892 |
$154,689.92 |
0.36% |
| Guidewire Software, Inc. |
GWRE |
40171V100 |
909 |
$147,885.21 |
0.35% |
| Paymentus Holdings, Inc. (Class A) |
PAY |
70439P108 |
5,302 |
$150,523.78 |
0.35% |
| Silicon Motion Technology Corporation (ADR) |
SIMO |
82706C108 |
1,260 |
$147,546.00 |
0.35% |
| Azenta Inc. |
AZTA |
114340102 |
3,703 |
$144,528.09 |
0.34% |
| Definium Therapeutics Inc. |
DFTX |
24477V105 |
8,377 |
$141,068.68 |
0.33% |
| Pure Storage, Inc. (Class A) |
PSTG |
74624M102 |
1,921 |
$142,711.09 |
0.33% |
| Modine Manufacturing Company |
MOD |
607828100 |
916 |
$134,560.40 |
0.32% |
| Silicon Laboratories Inc. |
SLAB |
826919102 |
961 |
$138,614.64 |
0.32% |
| Carvana Co. (Class A) |
CVNA |
146869102 |
321 |
$131,622.84 |
0.31% |
| Celestica Inc. |
CLS |
15101Q207 |
382 |
$131,877.86 |
0.31% |
| Lindsay Corporation |
LNN |
535555106 |
1,065 |
$131,623.35 |
0.31% |
| Sportradar Group AG (Class A) |
SRAD |
H8088L103 |
7,022 |
$130,468.76 |
0.31% |
| Federal Signal Corporation |
FSS |
313855108 |
1,190 |
$129,674.30 |
0.30% |
| MP Materials Corp. |
MP |
553368101 |
1,884 |
$126,246.84 |
0.30% |
| Steven Madden, Ltd. |
SHOO |
556269108 |
2,993 |
$129,866.27 |
0.30% |
| Agilysys, Inc. |
AGYS |
00847J105 |
1,432 |
$122,679.44 |
0.29% |
| Axon Enterprise Inc. |
AXON |
05464C101 |
227 |
$124,818.22 |
0.29% |
| Indivior Pharmaceuticals Inc |
INDV |
45579U109 |
3,553 |
$124,106.29 |
0.29% |
| James Hardie Industries Plc |
JHX |
G4253H101 |
5,153 |
$123,517.41 |
0.29% |
| Legence Corp. (Class A) |
LGN |
52476L109 |
2,394 |
$122,620.68 |
0.29% |
| MYR Group Inc. |
MYRG |
55405W104 |
490 |
$123,259.50 |
0.29% |
| Schrodinger, Inc. |
SDGR |
80810D103 |
8,454 |
$123,174.78 |
0.29% |
| CG Oncology, Inc. |
CGON |
156944100 |
2,186 |
$117,694.24 |
0.28% |
| Global-E Online Ltd. |
GLBE |
M5216V106 |
3,162 |
$119,808.18 |
0.28% |
| IES Holdings, Inc. |
IESC |
44951W106 |
256 |
$121,610.24 |
0.28% |
| Power Integrations, Inc. |
POWI |
739276103 |
2,585 |
$120,900.45 |
0.28% |
| Victoria's Secret & Co. |
VSCO |
926400102 |
2,099 |
$118,467.56 |
0.28% |
| Braze, Inc. (Class A) |
BRZE |
10576N102 |
4,839 |
$115,023.03 |
0.27% |
| Everus Construction Group, Inc. |
ECG |
300426103 |
1,211 |
$113,531.25 |
0.27% |
| Nuvalent, Inc. (Class A) |
NUVL |
670703107 |
1,156 |
$115,912.12 |
0.27% |
| Ormat Technologies, Inc. |
ORA |
686688102 |
916 |
$117,220.52 |
0.27% |
| SentinelOne, Inc. (Class A) |
S |
81730H109 |
7,633 |
$113,960.69 |
0.27% |
| StoneX Group Inc. |
SNEX |
861896108 |
1,070 |
$115,346.00 |
0.27% |
| Thor Industries, Inc. |
THO |
885160101 |
1,013 |
$113,324.31 |
0.27% |
| Archrock, Inc. |
AROC |
03957W106 |
3,877 |
$109,990.49 |
0.26% |
| Cipher Mining Inc. |
CIFR |
17253J106 |
5,952 |
$112,909.44 |
0.26% |
| Gulfport Energy Corporation |
GPOR |
402635502 |
559 |
$111,118.02 |
0.26% |
| Arcutis Biotherapeutics, Inc. |
ARQT |
03969K108 |
4,215 |
$107,271.75 |
0.25% |
| Brinker International, Inc. |
EAT |
109641100 |
680 |
$106,515.20 |
0.25% |
| Dutch Bros Inc. (Class A) |
BROS |
26701L100 |
1,896 |
$108,906.24 |
0.25% |
| Knight-Swift Transportation Holdings Inc. |
KNX |
499049104 |
1,924 |
$106,916.68 |
0.25% |
| Rush Street Interactive, Inc. |
RSI |
782011100 |
6,315 |
$105,776.25 |
0.25% |
| Simulations Plus, Inc. |
SLP |
829214105 |
5,816 |
$108,352.08 |
0.25% |
| UL Solutions Inc. (Class A) |
ULS |
903731107 |
1,482 |
$106,941.12 |
0.25% |
| Alliance Laundry Holdings Inc. |
ALH |
01862Q107 |
4,824 |
$103,908.96 |
0.24% |
| Ambarella, Inc. |
AMBA |
G037AX101 |
1,538 |
$102,569.22 |
0.24% |
| Cognex Corporation |
CGNX |
192422103 |
2,673 |
$104,380.65 |
0.24% |
| PAR Technology Corporation |
PAR |
698884103 |
3,528 |
$100,724.40 |
0.24% |
| Titan Machinery Inc. |
TITN |
88830R101 |
6,393 |
$103,246.95 |
0.24% |
| Antero Resources Corporation |
AR |
03674X106 |
2,900 |
$99,934.00 |
0.23% |
| Kornit Digital Ltd. |
KRNT |
M6372Q113 |
7,668 |
$99,377.28 |
0.23% |
| Netskope, Inc. (Class A) |
NTSK |
64119N608 |
6,078 |
$97,855.80 |
0.23% |
| Alkermes Plc |
ALKS |
G01767105 |
2,777 |
$94,140.30 |
0.22% |
| Bullish |
BLSH |
G16910120 |
2,795 |
$95,952.35 |
0.22% |
| The RealReal, Inc. |
REAL |
88339P101 |
6,161 |
$94,201.69 |
0.22% |
| Generac Holdings Inc. |
GNRC |
368736104 |
506 |
$88,130.02 |
0.21% |
| HCI Group, Inc. |
HCI |
40416E103 |
583 |
$90,656.50 |
0.21% |
| Tenable Holdings, Inc. |
TENB |
88025T102 |
3,913 |
$87,925.11 |
0.21% |
| Veracyte, Inc. |
VCYT |
92337F107 |
2,204 |
$84,809.92 |
0.20% |
| Alphatec Holdings, Inc. |
ATEC |
02081G201 |
5,221 |
$79,672.46 |
0.19% |
| HealthStream, Inc. |
HSTM |
42222N103 |
3,616 |
$78,611.84 |
0.18% |
| JFrog Ltd. |
FROG |
M6191J100 |
1,292 |
$77,616.91 |
0.18% |
| TeraWulf Inc. |
WULF |
88080T104 |
5,115 |
$77,287.65 |
0.18% |
| Via Transportation, Inc. (Class A) |
VIA |
92556W104 |
3,074 |
$77,526.28 |
0.18% |
| Toast, Inc. (Class A) |
TOST |
888787108 |
2,341 |
$74,584.26 |
0.17% |
| Revolve Group, Inc. |
RVLV |
76156B107 |
2,323 |
$66,321.65 |
0.16% |
| American Superconductor Corporation |
AMSC |
030111207 |
1,991 |
$63,353.62 |
0.15% |
| Inspire Medical Systems, Inc. |
INSP |
457730109 |
787 |
$64,541.87 |
0.15% |
| Axogen, Inc. |
AXGN |
05463X106 |
1,764 |
$60,170.04 |
0.14% |
| Neptune Insurance Holdings Inc. (Class A) |
NP |
64073B103 |
2,171 |
$54,730.91 |
0.13% |
| Park Aerospace Corp. |
PKE |
70014A104 |
2,148 |
$50,177.28 |
0.12% |
| GeneDx Holdings Corp. |
WGS |
81663L200 |
508 |
$48,407.32 |
0.11% |
| Patrick Industries, Inc. |
PATK |
703343103 |
356 |
$46,162.52 |
0.11% |
| HEICO Corporation (Class A) |
HEI/A |
422806208 |
105 |
$26,785.50 |
0.06% |
| Insulet Corporation |
PODD |
45784P101 |
105 |
$27,111.00 |
0.06% |
| OmniAb Inc. 12.50 Earnout |
2200963D |
68218J202 |
46 |
$0.00 |
0.00% |
| OmniAb Inc. 15.00 Earnout |
2200964D |
68218J301 |
46 |
$0.00 |
0.00% |
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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