|
|
 |
|
Holdings of the Fund as of 9/30/2026
Total Number of Holdings (excluding cash): 204
| Twist Bioscience Corporation |
TWST |
90184D100 |
5,865 |
$1,133,352.60 |
2.17% |
| Xometry, Inc. (Class A) |
XMTR |
98423F109 |
9,649 |
$992,399.65 |
1.90% |
| Zeta Global Holdings Corp. (Class A) |
ZETA |
98956A105 |
25,691 |
$811,064.87 |
1.55% |
| JFrog Ltd. |
FROG |
M6191J100 |
7,873 |
$763,995.92 |
1.46% |
| Travere Therapeutics, Inc. |
TVTX |
89422G107 |
12,888 |
$758,845.44 |
1.45% |
| Guardant Health, Inc. |
GH |
40131M109 |
4,204 |
$749,825.44 |
1.44% |
| FirstCash Holdings, Inc. |
FCFS |
33768G107 |
3,443 |
$727,264.89 |
1.39% |
| Varonis Systems, Inc. |
VRNS |
922280102 |
13,442 |
$637,822.90 |
1.22% |
| Protagonist Therapeutics, Inc. |
PTGX |
74366E102 |
4,201 |
$591,878.89 |
1.13% |
| Ligand Pharmaceuticals Inc. (Class B) |
LGND |
53220K504 |
1,874 |
$585,381.38 |
1.12% |
| Rubrik, Inc. (Class A) |
RBRK |
781154109 |
5,071 |
$580,477.37 |
1.11% |
| Repligen Corporation |
RGEN |
759916109 |
2,832 |
$544,395.36 |
1.04% |
| Spyre Therapeutics, Inc. |
SYRE |
00773J202 |
6,084 |
$541,658.52 |
1.04% |
| Halozyme Therapeutics, Inc. |
HALO |
40637H109 |
4,810 |
$531,024.00 |
1.02% |
| SailPoint, Inc. |
SAIL |
78781J109 |
26,171 |
$532,841.56 |
1.02% |
| Silicon Motion Technology Corporation (ADR) |
SIMO |
82706C108 |
1,899 |
$531,720.00 |
1.02% |
| VSE Corporation |
VSEC |
918284100 |
3,119 |
$513,699.30 |
0.98% |
| Praxis Precision Medicines, Inc. |
PRAX |
74006W207 |
1,660 |
$483,441.80 |
0.93% |
| EZCORP, Inc. |
EZPW |
302301106 |
15,075 |
$448,632.00 |
0.86% |
| Definium Therapeutics Inc. |
DFTX |
24477V105 |
11,714 |
$445,834.84 |
0.85% |
| Ollie's Bargain Outlet Holdings, Inc. |
OLLI |
681116109 |
5,164 |
$442,296.60 |
0.85% |
| US Dollar |
$USD |
|
435,827 |
$435,827.46 |
0.83% |
| Exelixis, Inc. |
EXEL |
30161Q104 |
7,267 |
$424,465.47 |
0.81% |
| Edgewise Therapeutics, Inc. |
EWTX |
28036F105 |
10,276 |
$417,205.60 |
0.80% |
| DigitalOcean Holdings, Inc. |
DOCN |
25402D102 |
3,062 |
$408,440.18 |
0.78% |
| Manhattan Associates, Inc. |
MANH |
562750109 |
1,999 |
$397,201.30 |
0.76% |
| Fastly, Inc. (Class A) |
FSLY |
31188V100 |
15,197 |
$390,106.99 |
0.75% |
| BioLife Solutions, Inc. |
BLFS |
09062W204 |
9,807 |
$381,001.95 |
0.73% |
| RBC Bearings Incorporated |
RBC |
75524B104 |
750 |
$374,422.50 |
0.72% |
| WisdomTree, Inc. |
WT |
97717P104 |
15,530 |
$377,223.70 |
0.72% |
| Acadian Asset Management Inc. |
AAMI |
10948W103 |
3,982 |
$365,189.22 |
0.70% |
| MaxLinear, Inc. |
MXL |
57776J100 |
4,068 |
$367,381.08 |
0.70% |
| Virtu Financial, Inc. (Class A) |
VIRT |
928254101 |
6,580 |
$362,952.80 |
0.69% |
| Bandwidth Inc. (Class A) |
BAND |
05988J103 |
5,855 |
$355,457.05 |
0.68% |
| ICON Plc |
ICLR |
G4705A100 |
2,082 |
$353,919.18 |
0.68% |
| MACOM Technology Solutions Holdings, Inc. |
MTSI |
55405Y100 |
1,208 |
$344,062.56 |
0.66% |
| Life Time Group Holdings, Inc. |
LTH |
53190C102 |
8,398 |
$334,912.24 |
0.64% |
| Herc Holdings, Inc. |
HRI |
42704L104 |
2,652 |
$330,969.60 |
0.63% |
| Kymera Therapeutics, Inc. |
KYMR |
501575104 |
2,914 |
$325,756.06 |
0.62% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
8,828 |
$323,369.64 |
0.62% |
| Medpace Holdings, Inc. |
MEDP |
58506Q109 |
521 |
$325,197.78 |
0.62% |
| Septerna, Inc. |
SEPN |
81734D104 |
8,223 |
$321,765.99 |
0.62% |
| AeroVironment, Inc. |
AVAV |
008073108 |
2,228 |
$316,866.16 |
0.61% |
| Five9, Inc. |
FIVN |
338307101 |
9,379 |
$318,979.79 |
0.61% |
| Glaukos Corporation |
GKOS |
377322102 |
1,956 |
$321,155.64 |
0.61% |
| Scholar Rock Holding Corporation |
SRRK |
80706P103 |
6,582 |
$318,042.24 |
0.61% |
| Boot Barn Holdings, Inc. |
BOOT |
099406100 |
2,603 |
$313,583.41 |
0.60% |
| Five Below, Inc. |
FIVE |
33829M101 |
1,416 |
$310,911.12 |
0.60% |
| iRhythm Holdings, Inc. |
IRTC |
450056106 |
2,748 |
$312,337.68 |
0.60% |
| Piper Sandler Companies |
PIPR |
724078209 |
4,747 |
$313,159.59 |
0.60% |
| Encore Capital Group, Inc. |
ECPG |
292554102 |
3,269 |
$308,724.36 |
0.59% |
| Lattice Semiconductor Corporation |
LSCC |
518415104 |
2,436 |
$306,010.32 |
0.59% |
| First Watch Restaurant Group, Inc. |
FWRG |
33748L101 |
29,775 |
$302,811.75 |
0.58% |
| IMAX Corporation |
IMAX |
45245E109 |
5,441 |
$298,166.80 |
0.57% |
| Magnolia Oil & Gas Corporation (Class A) |
MGY |
559663109 |
12,597 |
$295,903.53 |
0.57% |
| Powell Industries, Inc. |
POWL |
739128106 |
1,603 |
$295,705.41 |
0.57% |
| The Chefs' Warehouse, Inc. |
CHEF |
163086101 |
2,600 |
$291,642.00 |
0.56% |
| Victoria's Secret & Co. |
VSXY |
926400102 |
3,295 |
$291,475.70 |
0.56% |
| HealthEquity, Inc. |
HQY |
42226A107 |
3,248 |
$287,318.08 |
0.55% |
| PTC Therapeutics, Inc. |
PTCT |
69366J200 |
4,412 |
$285,809.36 |
0.55% |
| Wingstop Inc. |
WING |
974155103 |
2,707 |
$285,236.59 |
0.55% |
| Semtech Corporation |
SMTC |
816850101 |
1,581 |
$281,971.35 |
0.54% |
| Supernus Pharmaceuticals, Inc. |
SUPN |
868459108 |
6,517 |
$280,491.68 |
0.54% |
| The Descartes Systems Group Inc. |
DSGX |
249906108 |
3,519 |
$284,546.34 |
0.54% |
| Onto Innovation Inc. |
ONTO |
683344105 |
891 |
$274,267.62 |
0.53% |
| Netskope, Inc. (Class A) |
NTSK |
64119N608 |
15,533 |
$270,895.52 |
0.52% |
| nLight, Inc. |
LASR |
65487K100 |
7,017 |
$273,277.14 |
0.52% |
| Xenon Pharmaceuticals Inc. |
XENE |
98420N105 |
7,323 |
$272,342.37 |
0.52% |
| Dave Inc. (Class A) |
DAVE |
23834J201 |
834 |
$268,139.34 |
0.51% |
| Adaptive Biotechnologies Corporation |
ADPT |
00650F109 |
9,022 |
$260,735.80 |
0.50% |
| Karman Holdings Inc. |
KRMN |
485924104 |
8,058 |
$261,240.36 |
0.50% |
| Kratos Defense & Security Solutions, Inc. |
KTOS |
50077B207 |
6,163 |
$263,098.47 |
0.50% |
| Moog Inc. |
MOG/A |
615394202 |
677 |
$258,255.19 |
0.49% |
| Rambus Inc. |
RMBS |
750917106 |
2,374 |
$253,448.24 |
0.49% |
| Viper Energy, Inc. (Class A) |
VNOM |
64361Q101 |
6,351 |
$253,341.39 |
0.49% |
| Amylyx Pharmaceuticals, Inc. |
AMLX |
03237H101 |
8,646 |
$251,598.60 |
0.48% |
| AXT, Inc. |
AXTI |
00246W103 |
3,245 |
$251,195.45 |
0.48% |
| Everpure, Inc. (Class A) |
P |
74624M102 |
1,936 |
$253,190.08 |
0.48% |
| Natera, Inc. |
NTRA |
632307104 |
596 |
$246,332.76 |
0.47% |
| Robert Half Inc. |
RHI |
770323103 |
6,629 |
$243,615.75 |
0.47% |
| Sitime Corporation |
SITM |
82982T106 |
375 |
$244,511.25 |
0.47% |
| Tidewater Inc. |
TDW |
88642R109 |
3,052 |
$247,517.20 |
0.47% |
| CECO Environmental Corp. |
CECO |
125141101 |
3,487 |
$242,834.68 |
0.46% |
| Genius Sports Limited |
GENI |
G3934V109 |
41,518 |
$237,898.14 |
0.46% |
| Paymentus Holdings, Inc. (Class A) |
PAY |
70439P108 |
7,902 |
$242,117.28 |
0.46% |
| Remitly Global, Inc. |
RELY |
75960P104 |
11,266 |
$240,416.44 |
0.46% |
| Agilysys, Inc. |
AGYS |
00847J105 |
2,436 |
$236,486.88 |
0.45% |
| Balchem Corporation |
BCPC |
057665200 |
1,437 |
$237,047.52 |
0.45% |
| Camtek Ltd. |
CAMT |
M20791105 |
1,499 |
$232,719.75 |
0.45% |
| Customers Bancorp, Inc. |
CUBI |
23204G100 |
3,176 |
$235,024.00 |
0.45% |
| SentinelOne, Inc. (Class A) |
S |
81730H109 |
9,807 |
$233,014.32 |
0.45% |
| Palomar Holdings, Inc. |
PLMR |
69753M105 |
1,874 |
$231,045.46 |
0.44% |
| TechnipFMC Plc |
FTI |
G87110105 |
3,415 |
$231,946.80 |
0.44% |
| Axsome Therapeutics, Inc. |
AXSM |
05464T104 |
1,206 |
$222,374.34 |
0.43% |
| BWX Technologies, Inc. |
BWXT |
05605H100 |
1,624 |
$222,488.00 |
0.43% |
| Flywire Corporation |
FLYW |
302492103 |
12,943 |
$226,502.50 |
0.43% |
| Guidewire Software, Inc. |
GWRE |
40171V100 |
1,582 |
$225,561.56 |
0.43% |
| Axogen, Inc. |
AXGN |
05463X106 |
5,226 |
$219,073.92 |
0.42% |
| Ultra Clean Holdings, Inc. |
UCTT |
90385V107 |
2,727 |
$221,050.62 |
0.42% |
| Amprius Technologies, Inc. |
AMPX |
03214Q108 |
22,196 |
$214,857.28 |
0.41% |
| Globus Medical, Inc. (Class A) |
GMED |
379577208 |
2,873 |
$215,187.73 |
0.41% |
| MAXIMUS, Inc. |
MMS |
577933104 |
4,060 |
$215,951.40 |
0.41% |
| Sezzle Inc. |
SEZL |
78435P105 |
1,982 |
$214,135.28 |
0.41% |
| Almonty Industries Inc. |
ALM |
020398707 |
15,869 |
$208,836.04 |
0.40% |
| Archrock, Inc. |
AROC |
03957W106 |
6,830 |
$206,880.70 |
0.40% |
| Cognex Corporation |
CGNX |
192422103 |
3,415 |
$207,119.75 |
0.40% |
| Impinj, Inc. |
PI |
453204109 |
1,166 |
$209,052.14 |
0.40% |
| AGCO Corporation |
AGCO |
001084102 |
1,784 |
$203,786.32 |
0.39% |
| Compass, Inc. (Class A) |
COMP |
20464U100 |
23,057 |
$204,746.16 |
0.39% |
| FIGS, Inc. (Class A) |
FIGS |
30260D103 |
14,882 |
$206,264.52 |
0.39% |
| StoneX Group Inc. |
SNEX |
861896108 |
3,123 |
$201,870.72 |
0.39% |
| e.l.f. Beauty, Inc. |
ELF |
26856L103 |
1,954 |
$197,295.38 |
0.38% |
| Elastic N.V. |
ESTC |
N14506104 |
2,179 |
$199,814.30 |
0.38% |
| IAMGOLD Corporation |
IAG |
450913108 |
10,853 |
$199,803.73 |
0.38% |
| Immunome, Inc. |
IMNM |
45257U108 |
9,232 |
$198,580.32 |
0.38% |
| Knight-Swift Transportation Holdings Inc. |
KNX |
499049104 |
3,120 |
$198,400.80 |
0.38% |
| Steven Madden, Ltd. |
SHOO |
556269108 |
4,480 |
$200,569.60 |
0.38% |
| Andersen Group Inc. (Class A) |
ANDG |
033853102 |
3,533 |
$192,195.20 |
0.37% |
| Fabrinet |
FN |
G3323L100 |
458 |
$194,315.66 |
0.37% |
| Ryan Specialty Holdings, Inc. (Class A) |
RYAN |
78351F107 |
5,185 |
$191,845.00 |
0.37% |
| Star Bulk Carriers Corp. |
SBLK |
Y8162K204 |
6,642 |
$195,009.12 |
0.37% |
| TAT Technologies Ltd. |
TATT |
M8740S227 |
5,455 |
$191,143.20 |
0.37% |
| Viavi Solutions Inc. |
VIAV |
925550105 |
4,602 |
$192,915.84 |
0.37% |
| Ambarella, Inc. |
AMBA |
G037AX101 |
2,728 |
$189,623.28 |
0.36% |
| Celldex Therapeutics Inc. |
CLDX |
15117B202 |
5,867 |
$190,149.47 |
0.36% |
| Federal Signal Corporation |
FSS |
313855108 |
1,677 |
$185,794.83 |
0.36% |
| Garrett Motion Inc. |
GTX |
366505105 |
7,310 |
$190,279.30 |
0.36% |
| Neptune Insurance Holdings Inc. (Class A) |
NP |
64073B103 |
6,819 |
$186,499.65 |
0.36% |
| The Vita Coco Company, Inc. |
COCO |
92846Q107 |
3,229 |
$184,876.43 |
0.35% |
| Webull Corporation (Class A) |
BULL |
G9572D103 |
26,401 |
$184,014.97 |
0.35% |
| Global-E Online Ltd. |
GLBE |
M5216V106 |
4,477 |
$177,871.21 |
0.34% |
| Lithia Motors, Inc. |
LAD |
536797103 |
617 |
$180,059.11 |
0.34% |
| AAON, Inc. |
AAON |
000360206 |
2,103 |
$174,044.28 |
0.33% |
| Power Integrations, Inc. |
POWI |
739276103 |
3,290 |
$170,422.00 |
0.33% |
| Rush Street Interactive, Inc. |
RSI |
782011100 |
8,365 |
$170,060.45 |
0.33% |
| Sportradar Group AG (Class A) |
SRAD |
H8088L103 |
15,033 |
$173,781.48 |
0.33% |
| American Superconductor Corporation |
AMSC |
030111207 |
5,684 |
$165,461.24 |
0.32% |
| Arrowhead Pharmaceuticals, Inc. |
ARWR |
04280A100 |
2,524 |
$165,195.80 |
0.32% |
| Braze, Inc. (Class A) |
BRZE |
10576N102 |
6,705 |
$168,295.50 |
0.32% |
| Cogent Biosciences, Inc. |
COGT |
19240Q201 |
5,257 |
$168,329.14 |
0.32% |
| Generac Holdings Inc. |
GNRC |
368736104 |
812 |
$168,043.40 |
0.32% |
| InterDigital, Inc. |
IDCC |
45867G101 |
512 |
$166,947.84 |
0.32% |
| Lindsay Corporation |
LNN |
535555106 |
1,478 |
$165,447.32 |
0.32% |
| Aehr Test Systems, Inc. |
AEHR |
00760J108 |
1,619 |
$161,284.78 |
0.31% |
| Kornit Digital Ltd. |
KRNT |
M6372Q113 |
9,870 |
$164,039.40 |
0.31% |
| Madrigal Pharmaceuticals, Inc. |
MDGL |
558868105 |
325 |
$163,787.00 |
0.31% |
| SiteOne Landscape Supply, Inc. |
SITE |
82982L103 |
1,791 |
$161,745.21 |
0.31% |
| Bullish |
BLSH |
G16910120 |
4,497 |
$156,900.33 |
0.30% |
| Commvault Systems, Inc. |
CVLT |
204166102 |
1,044 |
$156,516.48 |
0.30% |
| DPC Holdings Plc |
DPC |
G2R11M108 |
3,677 |
$155,390.02 |
0.30% |
| Enova International, Inc. |
ENVA |
29357K103 |
946 |
$158,086.06 |
0.30% |
| James Hardie Industries plc |
JHX |
G4253H101 |
6,184 |
$156,517.04 |
0.30% |
| Zurn Elkay Water Solutions Corp. |
ZWS |
98983L108 |
3,390 |
$157,533.30 |
0.30% |
| Park Aerospace Corp. |
PKE |
70014A104 |
5,060 |
$150,231.40 |
0.29% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
307 |
$150,976.46 |
0.29% |
| Titan Machinery Inc. |
TITN |
88830R101 |
6,663 |
$153,782.04 |
0.29% |
| Veracyte, Inc. |
VCYT |
92337F107 |
3,332 |
$153,405.28 |
0.29% |
| Antero Resources Corporation |
AR |
03674X106 |
4,310 |
$143,910.90 |
0.28% |
| Freshpet, Inc. |
FRPT |
358039105 |
2,563 |
$147,526.28 |
0.28% |
| Hut 8 Corp. |
HUT |
44812J104 |
1,670 |
$143,787.00 |
0.28% |
| Marriott Vacations Worldwide Corporation |
VAC |
57164Y107 |
1,442 |
$147,487.76 |
0.28% |
| Mercury Systems, Inc. |
MRCY |
589378108 |
1,781 |
$147,823.00 |
0.28% |
| Terex Corporation |
TEX |
880779103 |
2,811 |
$147,858.60 |
0.28% |
| Bright Horizons Family Solutions Inc. |
BFAM |
109194100 |
2,207 |
$140,630.04 |
0.27% |
| Champion Homes Inc. |
SKY |
830830105 |
1,619 |
$138,748.30 |
0.27% |
| Innovex International, Inc. |
INVX |
457651107 |
5,226 |
$141,206.52 |
0.27% |
| Alkermes Plc |
ALKS |
G01767105 |
3,354 |
$135,904.08 |
0.26% |
| ExlService Holdings, Inc. |
EXLS |
302081104 |
3,900 |
$134,082.00 |
0.26% |
| Harley-Davidson, Inc. |
HOG |
412822108 |
5,560 |
$135,830.80 |
0.26% |
| Mirion Technologies, Inc. |
MIR |
60471A101 |
9,765 |
$137,881.80 |
0.26% |
| Oceaneering International, Inc. |
OII |
675232102 |
3,102 |
$135,340.26 |
0.26% |
| Gulfport Energy Corporation |
GPOR |
402635502 |
854 |
$128,509.92 |
0.25% |
| Installed Building Products, Inc. |
IBP |
45780R101 |
687 |
$131,821.56 |
0.25% |
| Kodiak Gas Services, Inc. |
KGS |
50012A108 |
2,478 |
$131,259.66 |
0.25% |
| OPENLANE Inc. |
OPLN |
48238T109 |
3,842 |
$131,127.46 |
0.25% |
| Scorpio Tankers Inc. |
STNG |
Y7542C130 |
1,589 |
$132,999.30 |
0.25% |
| Tarsus Pharmaceuticals, Inc. |
TARS |
87650L103 |
1,650 |
$129,706.50 |
0.25% |
| CSW Industrials, Inc. |
CSW |
126402106 |
430 |
$123,874.40 |
0.24% |
| ESCO Technologies Inc. |
ESE |
296315104 |
467 |
$123,806.37 |
0.24% |
| Rush Enterprises, Inc. (Class A) |
RUSHA |
781846209 |
2,703 |
$123,824.43 |
0.24% |
| Construction Partners, Inc. (Class A) |
ROAD |
21044C107 |
1,327 |
$119,469.81 |
0.23% |
| Heartflow, Inc. |
HTFL |
42238D107 |
2,387 |
$118,753.25 |
0.23% |
| Modine Manufacturing Company |
MOD |
607828100 |
642 |
$120,182.40 |
0.23% |
| The Timken Company |
TKR |
887389104 |
1,031 |
$120,369.25 |
0.23% |
| Helmerich & Payne, Inc. |
HP |
423452101 |
3,078 |
$114,316.92 |
0.22% |
| Perimeter Solutions, Inc. |
PRM |
71385M107 |
4,447 |
$117,045.04 |
0.22% |
| Dianthus Therapeutics, Inc. |
DNTH |
252828108 |
1,229 |
$108,213.45 |
0.21% |
| The Cheesecake Factory Incorporated |
CAKE |
163072101 |
1,061 |
$111,659.64 |
0.21% |
| Figure Technology Solutions, Inc. (Class A) |
FIGR |
349381103 |
3,592 |
$103,629.20 |
0.20% |
| Uranium Energy Corp. |
UEC |
916896103 |
11,101 |
$104,904.45 |
0.20% |
| Cactus, Inc. (Class A) |
WHD |
127203107 |
1,586 |
$98,680.92 |
0.19% |
| First Advantage Corporation |
FA |
31846B108 |
5,536 |
$98,540.80 |
0.19% |
| AtriCure, Inc. |
ATRC |
04963C209 |
1,641 |
$92,224.20 |
0.18% |
| Navan, Inc. (Class A) |
NAVN |
639193101 |
4,162 |
$87,360.38 |
0.17% |
| Vishay Precision Group, Inc. |
VPG |
92835K103 |
1,187 |
$86,342.38 |
0.17% |
| Cardinal Infrastructure Group Inc. (Class A) |
CDNL |
14154A102 |
2,663 |
$81,487.80 |
0.16% |
| Crocs, Inc. |
CROX |
227046109 |
724 |
$84,932.44 |
0.16% |
| Eos Energy Enterprises, Inc. |
EOSE |
29415C101 |
27,708 |
$84,925.08 |
0.16% |
| Structure Therapeutics Inc. |
GPCR |
86366E106 |
2,704 |
$84,554.08 |
0.16% |
| Toast, Inc. (Class A) |
TOST |
888787108 |
2,894 |
$83,897.06 |
0.16% |
| YETI Holdings, Inc. |
YETI |
98585X104 |
2,078 |
$85,239.56 |
0.16% |
| Red Violet, Inc. |
RDVT |
75704L104 |
1,020 |
$80,590.20 |
0.15% |
| Universal Technical Institute, Inc. |
UTI |
913915104 |
2,730 |
$50,969.10 |
0.10% |
| 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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