|
|
 |
|
Holdings of the Fund as of 9/28/2026
Total Number of Holdings (excluding cash): 204
| Twist Bioscience Corporation |
TWST |
90184D100 |
5,865 |
$1,053,354.00 |
2.01% |
| Xometry, Inc. (Class A) |
XMTR |
98423F109 |
9,649 |
$995,197.86 |
1.90% |
| Travere Therapeutics, Inc. |
TVTX |
89422G107 |
12,888 |
$793,514.16 |
1.52% |
| FirstCash Holdings, Inc. |
FCFS |
33768G107 |
3,443 |
$746,958.85 |
1.43% |
| Guardant Health, Inc. |
GH |
40131M109 |
4,204 |
$745,495.32 |
1.43% |
| Zeta Global Holdings Corp. (Class A) |
ZETA |
98956A105 |
25,691 |
$744,782.09 |
1.42% |
| JFrog Ltd. |
FROG |
M6191J100 |
7,873 |
$699,201.13 |
1.34% |
| Varonis Systems, Inc. |
VRNS |
922280102 |
13,442 |
$644,207.91 |
1.23% |
| Protagonist Therapeutics, Inc. |
PTGX |
74366E102 |
4,201 |
$598,390.44 |
1.14% |
| Ligand Pharmaceuticals Inc. (Class B) |
LGND |
53220K504 |
1,874 |
$588,623.40 |
1.13% |
| Rubrik, Inc. (Class A) |
RBRK |
781154109 |
5,071 |
$573,479.39 |
1.10% |
| Repligen Corporation |
RGEN |
759916109 |
2,832 |
$549,662.88 |
1.05% |
| Halozyme Therapeutics, Inc. |
HALO |
40637H109 |
4,810 |
$543,000.90 |
1.04% |
| VSE Corporation |
VSEC |
918284100 |
3,119 |
$544,733.35 |
1.04% |
| SailPoint, Inc. |
SAIL |
78781J109 |
26,171 |
$538,337.47 |
1.03% |
| Silicon Motion Technology Corporation (ADR) |
SIMO |
82706C108 |
1,899 |
$528,054.93 |
1.01% |
| Spyre Therapeutics, Inc. |
SYRE |
00773J202 |
6,084 |
$521,946.36 |
1.00% |
| Praxis Precision Medicines, Inc. |
PRAX |
74006W207 |
1,660 |
$474,179.00 |
0.91% |
| EZCORP, Inc. |
EZPW |
302301106 |
15,075 |
$464,762.25 |
0.89% |
| Definium Therapeutics Inc. |
DFTX |
24477V105 |
11,714 |
$449,934.74 |
0.86% |
| Ollie's Bargain Outlet Holdings, Inc. |
OLLI |
681116109 |
5,164 |
$441,676.92 |
0.84% |
| US Dollar |
$USD |
|
435,827 |
$435,827.46 |
0.83% |
| Exelixis, Inc. |
EXEL |
30161Q104 |
7,267 |
$424,174.79 |
0.81% |
| DigitalOcean Holdings, Inc. |
DOCN |
25402D102 |
3,062 |
$417,319.98 |
0.80% |
| Edgewise Therapeutics, Inc. |
EWTX |
28036F105 |
10,276 |
$408,882.04 |
0.78% |
| Manhattan Associates, Inc. |
MANH |
562750109 |
1,999 |
$403,558.12 |
0.77% |
| BioLife Solutions, Inc. |
BLFS |
09062W204 |
9,807 |
$383,944.05 |
0.73% |
| Fastly, Inc. (Class A) |
FSLY |
31188V100 |
15,197 |
$378,709.24 |
0.72% |
| RBC Bearings Incorporated |
RBC |
75524B104 |
750 |
$378,150.00 |
0.72% |
| Acadian Asset Management Inc. |
AAMI |
10948W103 |
3,982 |
$373,471.78 |
0.71% |
| WisdomTree, Inc. |
WT |
97717P104 |
15,530 |
$373,651.80 |
0.71% |
| ICON Plc |
ICLR |
G4705A100 |
2,082 |
$365,536.74 |
0.70% |
| MaxLinear, Inc. |
MXL |
57776J100 |
4,068 |
$366,120.00 |
0.70% |
| Bandwidth Inc. (Class A) |
BAND |
05988J103 |
5,855 |
$357,213.55 |
0.68% |
| Herc Holdings, Inc. |
HRI |
42704L104 |
2,652 |
$355,102.80 |
0.68% |
| Piper Sandler Companies |
PIPR |
724078209 |
4,747 |
$340,312.43 |
0.65% |
| Virtu Financial, Inc. (Class A) |
VIRT |
928254101 |
6,580 |
$341,962.60 |
0.65% |
| Life Time Group Holdings, Inc. |
LTH |
53190C102 |
8,398 |
$332,476.82 |
0.64% |
| MACOM Technology Solutions Holdings, Inc. |
MTSI |
55405Y100 |
1,208 |
$336,500.48 |
0.64% |
| AeroVironment, Inc. |
AVAV |
008073108 |
2,228 |
$328,028.44 |
0.63% |
| Boot Barn Holdings, Inc. |
BOOT |
099406100 |
2,603 |
$328,394.48 |
0.63% |
| Five Below, Inc. |
FIVE |
33829M101 |
1,416 |
$322,848.00 |
0.62% |
| Five9, Inc. |
FIVN |
338307101 |
9,379 |
$325,076.14 |
0.62% |
| Kymera Therapeutics, Inc. |
KYMR |
501575104 |
2,914 |
$326,368.00 |
0.62% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
8,828 |
$323,722.76 |
0.62% |
| Scholar Rock Holding Corporation |
SRRK |
80706P103 |
6,582 |
$323,373.66 |
0.62% |
| Septerna, Inc. |
SEPN |
81734D104 |
8,223 |
$326,782.02 |
0.62% |
| Medpace Holdings, Inc. |
MEDP |
58506Q109 |
521 |
$320,904.74 |
0.61% |
| Encore Capital Group, Inc. |
ECPG |
292554102 |
3,269 |
$315,425.81 |
0.60% |
| Glaukos Corporation |
GKOS |
377322102 |
1,956 |
$310,143.36 |
0.59% |
| iRhythm Holdings, Inc. |
IRTC |
450056106 |
2,748 |
$309,424.80 |
0.59% |
| First Watch Restaurant Group, Inc. |
FWRG |
33748L101 |
29,775 |
$302,216.25 |
0.58% |
| IMAX Corporation |
IMAX |
45245E109 |
5,441 |
$305,403.33 |
0.58% |
| Lattice Semiconductor Corporation |
LSCC |
518415104 |
2,436 |
$302,137.08 |
0.58% |
| Magnolia Oil & Gas Corporation (Class A) |
MGY |
559663109 |
12,597 |
$298,674.87 |
0.57% |
| Powell Industries, Inc. |
POWL |
739128106 |
1,603 |
$300,129.69 |
0.57% |
| PTC Therapeutics, Inc. |
PTCT |
69366J200 |
4,412 |
$290,971.40 |
0.56% |
| Supernus Pharmaceuticals, Inc. |
SUPN |
868459108 |
6,517 |
$290,658.20 |
0.56% |
| The Chefs' Warehouse, Inc. |
CHEF |
163086101 |
2,600 |
$290,576.00 |
0.56% |
| Victoria's Secret & Co. |
VSXY |
926400102 |
3,295 |
$290,915.55 |
0.56% |
| HealthEquity, Inc. |
HQY |
42226A107 |
3,248 |
$287,253.12 |
0.55% |
| Netskope, Inc. (Class A) |
NTSK |
64119N608 |
15,533 |
$277,264.05 |
0.53% |
| nLight, Inc. |
LASR |
65487K100 |
7,017 |
$277,522.35 |
0.53% |
| Semtech Corporation |
SMTC |
816850101 |
1,581 |
$276,327.18 |
0.53% |
| The Descartes Systems Group Inc. |
DSGX |
249906108 |
3,519 |
$277,473.15 |
0.53% |
| Wingstop Inc. |
WING |
974155103 |
2,707 |
$275,572.60 |
0.53% |
| Karman Holdings Inc. |
KRMN |
485924104 |
8,058 |
$271,393.44 |
0.52% |
| Kratos Defense & Security Solutions, Inc. |
KTOS |
50077B207 |
6,163 |
$271,603.41 |
0.52% |
| Dave Inc. (Class A) |
DAVE |
23834J201 |
834 |
$267,463.80 |
0.51% |
| Xenon Pharmaceuticals Inc. |
XENE |
98420N105 |
7,323 |
$268,900.56 |
0.51% |
| Moog Inc. |
MOG/A |
615394202 |
677 |
$264,002.92 |
0.50% |
| Adaptive Biotechnologies Corporation |
ADPT |
00650F109 |
9,022 |
$257,217.22 |
0.49% |
| Amylyx Pharmaceuticals, Inc. |
AMLX |
03237H101 |
8,646 |
$258,083.10 |
0.49% |
| Genius Sports Limited |
GENI |
G3934V109 |
41,518 |
$255,335.70 |
0.49% |
| Onto Innovation Inc. |
ONTO |
683344105 |
891 |
$257,267.34 |
0.49% |
| Tidewater Inc. |
TDW |
88642R109 |
3,052 |
$254,140.04 |
0.49% |
| Viper Energy, Inc. (Class A) |
VNOM |
64361Q101 |
6,351 |
$257,406.03 |
0.49% |
| CECO Environmental Corp. |
CECO |
125141101 |
3,487 |
$251,970.62 |
0.48% |
| Everpure, Inc. (Class A) |
P |
74624M102 |
1,936 |
$250,518.40 |
0.48% |
| Natera, Inc. |
NTRA |
632307104 |
596 |
$245,414.92 |
0.47% |
| Remitly Global, Inc. |
RELY |
75960P104 |
11,266 |
$246,612.74 |
0.47% |
| Robert Half Inc. |
RHI |
770323103 |
6,629 |
$243,682.04 |
0.47% |
| Sitime Corporation |
SITM |
82982T106 |
375 |
$246,243.75 |
0.47% |
| AXT, Inc. |
AXTI |
00246W103 |
3,245 |
$239,059.15 |
0.46% |
| Balchem Corporation |
BCPC |
057665200 |
1,437 |
$242,393.16 |
0.46% |
| Customers Bancorp, Inc. |
CUBI |
23204G100 |
3,176 |
$240,709.04 |
0.46% |
| Rambus Inc. |
RMBS |
750917106 |
2,374 |
$242,432.88 |
0.46% |
| TechnipFMC Plc |
FTI |
G87110105 |
3,415 |
$241,167.30 |
0.46% |
| Agilysys, Inc. |
AGYS |
00847J105 |
2,436 |
$236,535.60 |
0.45% |
| Axsome Therapeutics, Inc. |
AXSM |
05464T104 |
1,206 |
$233,831.34 |
0.45% |
| Paymentus Holdings, Inc. (Class A) |
PAY |
70439P108 |
7,902 |
$236,427.84 |
0.45% |
| Guidewire Software, Inc. |
GWRE |
40171V100 |
1,582 |
$229,674.76 |
0.44% |
| Palomar Holdings, Inc. |
PLMR |
69753M105 |
1,874 |
$230,576.96 |
0.44% |
| Axogen, Inc. |
AXGN |
05463X106 |
5,226 |
$226,599.36 |
0.43% |
| Flywire Corporation |
FLYW |
302492103 |
12,943 |
$223,913.90 |
0.43% |
| SentinelOne, Inc. (Class A) |
S |
81730H109 |
9,807 |
$223,011.18 |
0.43% |
| BWX Technologies, Inc. |
BWXT |
05605H100 |
1,624 |
$218,184.40 |
0.42% |
| Amprius Technologies, Inc. |
AMPX |
03214Q108 |
22,196 |
$213,081.60 |
0.41% |
| Camtek Ltd. |
CAMT |
M20791105 |
1,499 |
$213,772.39 |
0.41% |
| Globus Medical, Inc. (Class A) |
GMED |
379577208 |
2,873 |
$214,842.97 |
0.41% |
| Sezzle Inc. |
SEZL |
78435P105 |
1,982 |
$214,650.60 |
0.41% |
| Ultra Clean Holdings, Inc. |
UCTT |
90385V107 |
2,727 |
$212,896.89 |
0.41% |
| AGCO Corporation |
AGCO |
001084102 |
1,784 |
$209,816.24 |
0.40% |
| Almonty Industries Inc. |
ALM |
020398707 |
15,869 |
$209,629.49 |
0.40% |
| Archrock, Inc. |
AROC |
03957W106 |
6,830 |
$208,656.50 |
0.40% |
| Compass, Inc. (Class A) |
COMP |
20464U100 |
23,057 |
$209,818.70 |
0.40% |
| MAXIMUS, Inc. |
MMS |
577933104 |
4,060 |
$211,526.00 |
0.40% |
| FIGS, Inc. (Class A) |
FIGS |
30260D103 |
14,882 |
$202,692.84 |
0.39% |
| IAMGOLD Corporation |
IAG |
450913108 |
10,853 |
$202,734.04 |
0.39% |
| Impinj, Inc. |
PI |
453204109 |
1,166 |
$206,242.08 |
0.39% |
| StoneX Group Inc. |
SNEX |
861896108 |
3,123 |
$205,805.70 |
0.39% |
| Cognex Corporation |
CGNX |
192422103 |
3,415 |
$200,631.25 |
0.38% |
| e.l.f. Beauty, Inc. |
ELF |
26856L103 |
1,954 |
$198,917.20 |
0.38% |
| Immunome, Inc. |
IMNM |
45257U108 |
9,232 |
$200,149.76 |
0.38% |
| Knight-Swift Transportation Holdings Inc. |
KNX |
499049104 |
3,120 |
$198,276.00 |
0.38% |
| Ryan Specialty Holdings, Inc. (Class A) |
RYAN |
78351F107 |
5,185 |
$197,652.20 |
0.38% |
| Steven Madden, Ltd. |
SHOO |
556269108 |
4,480 |
$201,152.00 |
0.38% |
| Elastic N.V. |
ESTC |
N14506104 |
2,179 |
$191,621.26 |
0.37% |
| Federal Signal Corporation |
FSS |
313855108 |
1,677 |
$192,871.77 |
0.37% |
| Star Bulk Carriers Corp. |
SBLK |
Y8162K204 |
6,642 |
$194,610.60 |
0.37% |
| TAT Technologies Ltd. |
TATT |
M8740S227 |
5,455 |
$194,416.20 |
0.37% |
| Ambarella, Inc. |
AMBA |
G037AX101 |
2,728 |
$187,359.04 |
0.36% |
| Andersen Group Inc. (Class A) |
ANDG |
033853102 |
3,533 |
$186,471.74 |
0.36% |
| Fabrinet |
FN |
G3323L100 |
458 |
$187,761.68 |
0.36% |
| Garrett Motion Inc. |
GTX |
366505105 |
7,310 |
$189,036.60 |
0.36% |
| Lithia Motors, Inc. |
LAD |
536797103 |
617 |
$186,994.19 |
0.36% |
| Neptune Insurance Holdings Inc. (Class A) |
NP |
64073B103 |
6,819 |
$189,568.20 |
0.36% |
| Sportradar Group AG (Class A) |
SRAD |
H8088L103 |
15,033 |
$187,611.84 |
0.36% |
| The Vita Coco Company, Inc. |
COCO |
92846Q107 |
3,229 |
$186,184.14 |
0.36% |
| Viavi Solutions Inc. |
VIAV |
925550105 |
4,602 |
$188,083.74 |
0.36% |
| Webull Corporation (Class A) |
BULL |
G9572D103 |
26,401 |
$186,127.05 |
0.36% |
| Celldex Therapeutics Inc. |
CLDX |
15117B202 |
5,867 |
$184,751.83 |
0.35% |
| AAON, Inc. |
AAON |
000360206 |
2,103 |
$179,470.02 |
0.34% |
| Global-E Online Ltd. |
GLBE |
M5216V106 |
4,477 |
$175,856.56 |
0.34% |
| Power Integrations, Inc. |
POWI |
739276103 |
3,290 |
$170,553.60 |
0.33% |
| American Superconductor Corporation |
AMSC |
030111207 |
5,684 |
$166,484.36 |
0.32% |
| Arrowhead Pharmaceuticals, Inc. |
ARWR |
04280A100 |
2,524 |
$165,221.04 |
0.32% |
| Cogent Biosciences, Inc. |
COGT |
19240Q201 |
5,257 |
$167,488.02 |
0.32% |
| Generac Holdings Inc. |
GNRC |
368736104 |
812 |
$166,630.52 |
0.32% |
| InterDigital, Inc. |
IDCC |
45867G101 |
512 |
$167,495.68 |
0.32% |
| Lindsay Corporation |
LNN |
535555106 |
1,478 |
$168,344.20 |
0.32% |
| Madrigal Pharmaceuticals, Inc. |
MDGL |
558868105 |
325 |
$168,038.00 |
0.32% |
| Bullish |
BLSH |
G16910120 |
4,497 |
$161,847.03 |
0.31% |
| Enova International, Inc. |
ENVA |
29357K103 |
946 |
$160,838.92 |
0.31% |
| Rush Street Interactive, Inc. |
RSI |
782011100 |
8,365 |
$163,535.75 |
0.31% |
| SiteOne Landscape Supply, Inc. |
SITE |
82982L103 |
1,791 |
$162,855.63 |
0.31% |
| Aehr Test Systems, Inc. |
AEHR |
00760J108 |
1,619 |
$159,455.31 |
0.30% |
| Braze, Inc. (Class A) |
BRZE |
10576N102 |
6,705 |
$155,354.85 |
0.30% |
| Commvault Systems, Inc. |
CVLT |
204166102 |
1,044 |
$154,595.52 |
0.30% |
| Hut 8 Corp. |
HUT |
44812J104 |
1,670 |
$154,825.70 |
0.30% |
| James Hardie Industries plc |
JHX |
G4253H101 |
6,184 |
$157,011.76 |
0.30% |
| Kornit Digital Ltd. |
KRNT |
M6372Q113 |
9,870 |
$157,920.00 |
0.30% |
| Terex Corporation |
TEX |
880779103 |
2,811 |
$156,010.50 |
0.30% |
| Titan Machinery Inc. |
TITN |
88830R101 |
6,663 |
$156,380.61 |
0.30% |
| Zurn Elkay Water Solutions Corp. |
ZWS |
98983L108 |
3,390 |
$158,414.70 |
0.30% |
| Innovex International, Inc. |
INVX |
457651107 |
5,226 |
$150,822.36 |
0.29% |
| Marriott Vacations Worldwide Corporation |
VAC |
57164Y107 |
1,442 |
$150,775.52 |
0.29% |
| Park Aerospace Corp. |
PKE |
70014A104 |
5,060 |
$150,686.80 |
0.29% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
307 |
$152,996.52 |
0.29% |
| Veracyte, Inc. |
VCYT |
92337F107 |
3,332 |
$150,706.36 |
0.29% |
| Antero Resources Corporation |
AR |
03674X106 |
4,310 |
$148,005.40 |
0.28% |
| DPC Holdings Plc |
DPC |
G2R11M108 |
3,677 |
$149,065.58 |
0.28% |
| Freshpet, Inc. |
FRPT |
358039105 |
2,563 |
$146,526.71 |
0.28% |
| Bright Horizons Family Solutions Inc. |
BFAM |
109194100 |
2,207 |
$140,652.11 |
0.27% |
| Champion Homes Inc. |
SKY |
830830105 |
1,619 |
$140,561.58 |
0.27% |
| Mercury Systems, Inc. |
MRCY |
589378108 |
1,781 |
$142,693.72 |
0.27% |
| Mirion Technologies, Inc. |
MIR |
60471A101 |
9,765 |
$140,127.75 |
0.27% |
| Oceaneering International, Inc. |
OII |
675232102 |
3,102 |
$142,195.68 |
0.27% |
| Alkermes Plc |
ALKS |
G01767105 |
3,354 |
$134,663.10 |
0.26% |
| ExlService Holdings, Inc. |
EXLS |
302081104 |
3,900 |
$134,940.00 |
0.26% |
| Harley-Davidson, Inc. |
HOG |
412822108 |
5,560 |
$137,165.20 |
0.26% |
| Installed Building Products, Inc. |
IBP |
45780R101 |
687 |
$134,713.83 |
0.26% |
| Gulfport Energy Corporation |
GPOR |
402635502 |
854 |
$129,884.86 |
0.25% |
| Kodiak Gas Services, Inc. |
KGS |
50012A108 |
2,478 |
$130,640.16 |
0.25% |
| OPENLANE Inc. |
OPLN |
48238T109 |
3,842 |
$133,240.56 |
0.25% |
| Rush Enterprises, Inc. (Class A) |
RUSHA |
781846209 |
2,703 |
$128,473.59 |
0.25% |
| Scorpio Tankers Inc. |
STNG |
Y7542C130 |
1,589 |
$132,188.91 |
0.25% |
| CSW Industrials, Inc. |
CSW |
126402106 |
430 |
$127,026.30 |
0.24% |
| ESCO Technologies Inc. |
ESE |
296315104 |
467 |
$124,240.68 |
0.24% |
| Perimeter Solutions, Inc. |
PRM |
71385M107 |
4,447 |
$123,982.36 |
0.24% |
| Tarsus Pharmaceuticals, Inc. |
TARS |
87650L103 |
1,650 |
$126,736.50 |
0.24% |
| Construction Partners, Inc. (Class A) |
ROAD |
21044C107 |
1,327 |
$121,380.69 |
0.23% |
| Heartflow, Inc. |
HTFL |
42238D107 |
2,387 |
$119,159.04 |
0.23% |
| The Timken Company |
TKR |
887389104 |
1,031 |
$120,369.25 |
0.23% |
| Helmerich & Payne, Inc. |
HP |
423452101 |
3,078 |
$115,332.66 |
0.22% |
| Dianthus Therapeutics, Inc. |
DNTH |
252828108 |
1,229 |
$107,943.07 |
0.21% |
| Modine Manufacturing Company |
MOD |
607828100 |
642 |
$112,375.68 |
0.21% |
| The Cheesecake Factory Incorporated |
CAKE |
163072101 |
1,061 |
$111,574.76 |
0.21% |
| Figure Technology Solutions, Inc. (Class A) |
FIGR |
349381103 |
3,592 |
$105,353.36 |
0.20% |
| First Advantage Corporation |
FA |
31846B108 |
5,536 |
$103,024.96 |
0.20% |
| Uranium Energy Corp. |
UEC |
916896103 |
11,101 |
$102,240.21 |
0.20% |
| Cactus, Inc. (Class A) |
WHD |
127203107 |
1,586 |
$101,884.64 |
0.19% |
| AtriCure, Inc. |
ATRC |
04963C209 |
1,641 |
$95,850.81 |
0.18% |
| Structure Therapeutics Inc. |
GPCR |
86366E106 |
2,704 |
$94,815.78 |
0.18% |
| Crocs, Inc. |
CROX |
227046109 |
724 |
$88,588.64 |
0.17% |
| Toast, Inc. (Class A) |
TOST |
888787108 |
2,894 |
$87,919.72 |
0.17% |
| YETI Holdings, Inc. |
YETI |
98585X104 |
2,078 |
$90,039.74 |
0.17% |
| Eos Energy Enterprises, Inc. |
EOSE |
29415C101 |
27,708 |
$85,063.56 |
0.16% |
| Navan, Inc. (Class A) |
NAVN |
639193101 |
4,162 |
$83,156.76 |
0.16% |
| Vishay Precision Group, Inc. |
VPG |
92835K103 |
1,187 |
$84,134.56 |
0.16% |
| Red Violet, Inc. |
RDVT |
75704L104 |
1,020 |
$80,182.20 |
0.15% |
| Cardinal Infrastructure Group Inc. (Class A) |
CDNL |
14154A102 |
2,663 |
$73,818.36 |
0.14% |
| Universal Technical Institute, Inc. |
UTI |
913915104 |
2,730 |
$50,423.10 |
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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