|
|
 |
|
Holdings of the Fund as of 1/30/2026
Total Number of Holdings (excluding cash): 205
| MACOM Technology Solutions Holdings, Inc. |
MTSI |
55405Y100 |
2,951 |
$646,446.06 |
1.55% |
| VSE Corporation |
VSEC |
918284100 |
2,894 |
$632,541.58 |
1.52% |
| Fabrinet |
FN |
G3323L100 |
1,107 |
$541,810.08 |
1.30% |
| Guardant Health, Inc. |
GH |
40131M109 |
4,749 |
$541,575.96 |
1.30% |
| Piper Sandler Companies |
PIPR |
724078100 |
1,549 |
$536,496.15 |
1.29% |
| Rambus Inc. |
RMBS |
750917106 |
4,715 |
$536,708.45 |
1.29% |
| Karman Holdings Inc. |
KRMN |
485924104 |
5,102 |
$529,587.60 |
1.27% |
| Bloom Energy Corporation (Class A) |
BE |
093712107 |
3,454 |
$522,831.98 |
1.26% |
| Crinetics Pharmaceuticals, Inc. |
CRNX |
22663K107 |
9,767 |
$487,763.98 |
1.17% |
| Xometry, Inc. (Class A) |
XMTR |
98423F109 |
8,317 |
$475,150.21 |
1.14% |
| AeroVironment, Inc. |
AVAV |
008073108 |
1,648 |
$458,786.72 |
1.10% |
| Praxis Precision Medicines, Inc. |
PRAX |
74006W207 |
1,375 |
$431,750.00 |
1.04% |
| Kratos Defense & Security Solutions, Inc. |
KTOS |
50077B207 |
4,073 |
$419,559.73 |
1.01% |
| Eos Energy Enterprises, Inc. |
EOSE |
29415C101 |
28,165 |
$412,335.60 |
0.99% |
| iRhythm Holdings, Inc. |
IRTC |
450056106 |
2,646 |
$408,833.46 |
0.98% |
| Boot Barn Holdings, Inc. |
BOOT |
099406100 |
2,262 |
$403,721.76 |
0.97% |
| Planet Labs PBC (Class A) |
PL |
72703X106 |
16,069 |
$401,242.93 |
0.96% |
| RBC Bearings Incorporated |
RBC |
75524B104 |
786 |
$392,740.62 |
0.94% |
| FirstCash Holdings, Inc. |
FCFS |
33768G107 |
2,218 |
$378,169.00 |
0.91% |
| Uranium Energy Corp |
UEC |
916896103 |
21,924 |
$377,969.76 |
0.91% |
| Powell Industries, Inc. |
POWL |
739128106 |
838 |
$371,728.42 |
0.89% |
| EZCORP, Inc. |
EZPW |
302301106 |
17,100 |
$366,795.00 |
0.88% |
| Installed Building Products, Inc. |
IBP |
45780R101 |
1,247 |
$359,310.58 |
0.86% |
| nLight, Inc. |
LASR |
65487K100 |
7,773 |
$354,526.53 |
0.85% |
| Solaris Energy Infrastructure, Inc. (Class A) |
SEI |
83418M103 |
6,314 |
$348,469.66 |
0.84% |
| Impinj, Inc. |
PI |
453204109 |
2,486 |
$343,316.60 |
0.83% |
| FTAI Aviation Ltd. |
FTAI |
G3730V105 |
1,248 |
$339,855.36 |
0.82% |
| Curtiss-Wright Corporation |
CW |
231561101 |
516 |
$338,852.04 |
0.81% |
| Mirion Technologies, Inc. |
MIR |
60471A101 |
13,438 |
$333,799.92 |
0.80% |
| TechnipFMC Plc |
FTI |
G87110105 |
5,932 |
$330,531.04 |
0.79% |
| Ligand Pharmaceuticals Inc. (Class B) |
LGND |
53220K504 |
1,677 |
$322,151.70 |
0.77% |
| Encore Capital Group, Inc. |
ECPG |
292554102 |
5,624 |
$310,444.80 |
0.75% |
| SPX Technologies |
SPXC |
78473E103 |
1,498 |
$312,198.18 |
0.75% |
| Travere Therapeutics, Inc. |
TVTX |
89422G107 |
10,071 |
$313,107.39 |
0.75% |
| BridgeBio Pharma, Inc. |
BBIO |
10806X102 |
3,980 |
$307,534.60 |
0.74% |
| InterDigital, Inc. |
IDCC |
45867G101 |
930 |
$303,589.20 |
0.73% |
| SiteOne Landscape Supply, Inc. |
SITE |
82982L103 |
2,110 |
$302,869.40 |
0.73% |
| Five Below, Inc. |
FIVE |
33829M101 |
1,538 |
$294,742.32 |
0.71% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
7,180 |
$294,810.80 |
0.71% |
| Sitime Corporation |
SITM |
82982T106 |
814 |
$295,571.54 |
0.71% |
| Halozyme Therapeutics, Inc. |
HALO |
40637H109 |
4,000 |
$286,840.00 |
0.69% |
| Nextpower Inc. (Class A) |
NXT |
65290E101 |
2,453 |
$287,221.77 |
0.69% |
| Palomar Holdings, Inc. |
PLMR |
69753M105 |
2,306 |
$284,998.54 |
0.69% |
| Arrowhead Pharmaceuticals, Inc. |
ARWR |
04280A100 |
4,102 |
$284,391.66 |
0.68% |
| Natera, Inc. |
NTRA |
632307104 |
1,222 |
$282,453.08 |
0.68% |
| Academy Sports and Outdoors, Inc. |
ASO |
00402L107 |
4,978 |
$273,839.78 |
0.66% |
| BWX Technologies, Inc. |
BWXT |
05605H100 |
1,327 |
$272,605.61 |
0.66% |
| Cameco Corporation |
CCJ |
13321L108 |
2,154 |
$265,782.06 |
0.64% |
| Ollie's Bargain Outlet Holdings, Inc. |
OLLI |
681116109 |
2,428 |
$267,832.68 |
0.64% |
| Clearwater Analytics Holdings, Inc. (Class A) |
CWAN |
185123106 |
10,917 |
$262,990.53 |
0.63% |
| Credo Technology Group Holding Ltd |
CRDO |
G25457105 |
2,090 |
$261,835.20 |
0.63% |
| First Watch Restaurant Group, Inc. |
FWRG |
33748L101 |
16,262 |
$260,029.38 |
0.63% |
| MAXIMUS, Inc. |
MMS |
577933104 |
2,795 |
$263,959.80 |
0.63% |
| Turning Point Brands, Inc. |
TPB |
90041L105 |
2,168 |
$262,653.20 |
0.63% |
| Exelixis, Inc. |
EXEL |
30161Q104 |
6,253 |
$258,624.08 |
0.62% |
| Carpenter Technology Corporation |
CRS |
144285103 |
801 |
$254,581.83 |
0.61% |
| Repligen Corporation |
RGEN |
759916109 |
1,607 |
$240,037.59 |
0.58% |
| Camtek Ltd. |
CAMT |
M20791105 |
1,615 |
$236,645.95 |
0.57% |
| Rhythm Pharmaceuticals, Inc. |
RYTM |
76243J105 |
2,293 |
$235,078.36 |
0.57% |
| Apogee Therapeutics, Inc. |
APGE |
03770N101 |
3,580 |
$234,525.80 |
0.56% |
| Xenon Pharmaceuticals Inc. |
XENE |
98420N105 |
5,672 |
$232,608.72 |
0.56% |
| Edgewise Therapeutics, Inc. |
EWTX |
28036F105 |
8,173 |
$230,069.95 |
0.55% |
| Medpace Holdings, Inc. |
MEDP |
58506Q109 |
385 |
$224,254.80 |
0.54% |
| Pan American Silver Corp. |
PAAS |
697900108 |
4,148 |
$226,480.80 |
0.54% |
| Supernus Pharmaceuticals, Inc. |
SUPN |
868459108 |
4,681 |
$225,436.96 |
0.54% |
| Coherent Corp. |
COHR |
19247G107 |
1,013 |
$214,938.34 |
0.52% |
| ICON Plc |
ICLR |
G4705A100 |
1,206 |
$217,381.50 |
0.52% |
| Weatherford International Plc |
WFRD |
G48833118 |
2,305 |
$216,854.40 |
0.52% |
| Amicus Therapeutics, Inc. |
FOLD |
03152W109 |
14,760 |
$210,920.40 |
0.51% |
| Ciena Corporation |
CIEN |
171779309 |
838 |
$211,016.78 |
0.51% |
| Crane Company |
CR |
224408104 |
1,159 |
$211,679.76 |
0.51% |
| Customers Bancorp, Inc. |
CUBI |
23204G100 |
2,672 |
$211,141.44 |
0.51% |
| National Vision Holdings, Inc. |
EYE |
63845R107 |
8,114 |
$213,803.90 |
0.51% |
| Kymera Therapeutics, Inc. |
KYMR |
501575104 |
2,834 |
$206,003.46 |
0.50% |
| Viper Energy, Inc. (Class A) |
VNOM |
64361Q101 |
4,943 |
$209,286.62 |
0.50% |
| Amprius Technologies, Inc. |
AMPX |
03214Q108 |
16,367 |
$203,605.48 |
0.49% |
| OSI Systems, Inc. |
OSIS |
671044105 |
822 |
$205,615.08 |
0.49% |
| Travel + Leisure Co. |
TNL |
894164102 |
2,955 |
$205,490.70 |
0.49% |
| PTC Therapeutics, Inc. |
PTCT |
69366J200 |
2,660 |
$200,909.80 |
0.48% |
| Structure Therapeutics Inc. |
GPCR |
86366E106 |
2,239 |
$198,039.55 |
0.48% |
| Genius Sports Limited |
GENI |
G3934V109 |
22,533 |
$196,037.10 |
0.47% |
| Globus Medical, Inc. (Class A) |
GMED |
379577208 |
2,148 |
$194,780.64 |
0.47% |
| Ryan Specialty Holdings, Inc. (Class A) |
RYAN |
78351F107 |
4,018 |
$193,989.04 |
0.47% |
| Wingstop Inc. |
WING |
974155103 |
733 |
$194,560.19 |
0.47% |
| Balchem Corporation |
BCPC |
057665200 |
1,135 |
$193,142.95 |
0.46% |
| Madrigal Pharmaceuticals, Inc. |
MDGL |
558868105 |
389 |
$190,341.59 |
0.46% |
| Virtu Financial, Inc. (Class A) |
VIRT |
928254101 |
4,646 |
$192,855.46 |
0.46% |
| AAON, Inc. |
AAON |
000360206 |
2,044 |
$186,126.64 |
0.45% |
| Embraer S.A. (ADR) |
EMBJ |
29082A107 |
2,522 |
$185,266.12 |
0.45% |
| Kinsale Capital Group, Inc. |
KNSL |
49714P108 |
471 |
$186,459.48 |
0.45% |
| Magnite, Inc. |
MGNI |
55955D100 |
12,873 |
$186,272.31 |
0.45% |
| Magnolia Oil & Gas Corporation (Class A) |
MGY |
559663109 |
7,301 |
$186,248.51 |
0.45% |
| Scholar Rock Holding Corporation |
SRRK |
80706P103 |
4,247 |
$188,311.98 |
0.45% |
| Axsome Therapeutics, Inc. |
AXSM |
05464T104 |
999 |
$184,065.75 |
0.44% |
| Construction Partners, Inc. (Class A) |
ROAD |
21044C107 |
1,658 |
$182,181.04 |
0.44% |
| Flowserve Corporation |
FLS |
34354P105 |
2,345 |
$183,261.75 |
0.44% |
| Lattice Semiconductor Corporation |
LSCC |
518415104 |
2,288 |
$184,229.76 |
0.44% |
| Bio-Techne Corporation |
TECH |
09073M104 |
2,812 |
$180,221.08 |
0.43% |
| ESCO Technologies Inc. |
ESE |
296315104 |
786 |
$179,341.62 |
0.43% |
| Hub Group, Inc. |
HUBG |
443320106 |
3,773 |
$179,519.34 |
0.43% |
| Montrose Environmental Group, Inc. |
MEG |
615111101 |
8,105 |
$180,579.40 |
0.43% |
| Dycom Industries, Inc. |
DY |
267475101 |
482 |
$175,635.98 |
0.42% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
485 |
$173,586.35 |
0.42% |
| Compass, Inc. (Class A) |
COMP |
20464U100 |
13,475 |
$168,707.00 |
0.41% |
| Modine Manufacturing Company |
MOD |
607828100 |
916 |
$169,148.56 |
0.41% |
| Semtech Corporation |
SMTC |
816850101 |
2,134 |
$170,186.50 |
0.41% |
| Tarsus Pharmaceuticals, Inc. |
TARS |
87650L103 |
2,622 |
$169,223.88 |
0.41% |
| The Descartes Systems Group Inc. |
DSGX |
249906108 |
2,288 |
$171,050.88 |
0.41% |
| TransMedics Group, Inc. |
TMDX |
89377M109 |
1,264 |
$169,344.40 |
0.41% |
| US Dollar |
$USD |
|
166,710 |
$166,709.57 |
0.40% |
| Varonis Systems, Inc. |
VRNS |
922280102 |
5,537 |
$165,224.08 |
0.40% |
| Lumentum Holdings Inc. |
LITE |
55024U109 |
409 |
$160,262.56 |
0.39% |
| Saia, Inc. |
SAIA |
78709Y105 |
486 |
$162,746.82 |
0.39% |
| Spyre Therapeutics, Inc. |
SYRE |
00773J202 |
5,038 |
$161,115.24 |
0.39% |
| Bright Horizons Family Solutions Inc. |
BFAM |
109194100 |
1,712 |
$158,582.56 |
0.38% |
| HealthEquity, Inc. |
HQY |
42226A107 |
1,851 |
$158,575.17 |
0.38% |
| JBT Marel Corporation |
JBTM |
477839104 |
1,001 |
$157,467.31 |
0.38% |
| Onto Innovation Inc. |
ONTO |
683344105 |
780 |
$157,599.00 |
0.38% |
| Septerna, Inc. |
SEPN |
81734D104 |
6,809 |
$158,922.06 |
0.38% |
| Wave Life Sciences Ltd. |
WVE |
Y95308105 |
12,358 |
$159,912.52 |
0.38% |
| Zeta Global Holdings Corp. (Class A) |
ZETA |
98956A105 |
8,611 |
$159,992.38 |
0.38% |
| Immunome, Inc. |
IMNM |
45257U108 |
6,258 |
$154,071.96 |
0.37% |
| Protagonist Therapeutics, Inc. |
PTGX |
74366E102 |
1,892 |
$154,765.60 |
0.37% |
| BioLife Solutions, Inc. |
BLFS |
09062W204 |
6,952 |
$151,553.60 |
0.36% |
| BRP Inc. |
DOO |
05577W200 |
2,006 |
$151,192.22 |
0.36% |
| Silicon Motion Technology Corporation (ADR) |
SIMO |
82706C108 |
1,260 |
$149,851.80 |
0.36% |
| Azenta Inc. |
AZTA |
114340102 |
3,703 |
$143,972.64 |
0.35% |
| Manhattan Associates, Inc. |
MANH |
562750109 |
961 |
$145,120.61 |
0.35% |
| Rubrik, Inc. (Class A) |
RBRK |
781154109 |
2,620 |
$146,589.00 |
0.35% |
| Definium Therapeutics Inc. |
DFTX |
24477V105 |
8,377 |
$141,403.76 |
0.34% |
| Paymentus Holdings, Inc. (Class A) |
PAY |
70439P108 |
5,302 |
$141,722.46 |
0.34% |
| Hudbay Minerals Inc. |
HBM |
443628102 |
5,842 |
$138,338.56 |
0.33% |
| Silicon Laboratories Inc. |
SLAB |
826919102 |
961 |
$136,894.45 |
0.33% |
| LendingClub Corporation |
LC |
52603A208 |
7,870 |
$133,081.70 |
0.32% |
| Lindsay Corporation |
LNN |
535555106 |
1,065 |
$133,412.55 |
0.32% |
| Pure Storage, Inc. (Class A) |
PSTG |
74624M102 |
1,921 |
$133,586.34 |
0.32% |
| Steven Madden, Ltd. |
SHOO |
556269108 |
2,993 |
$131,332.84 |
0.32% |
| Carvana Co. (Class A) |
CVNA |
146869102 |
321 |
$128,756.31 |
0.31% |
| Centrus Energy Corp. (Class A) |
LEU |
15643U104 |
457 |
$127,173.96 |
0.31% |
| Federal Signal Corporation |
FSS |
313855108 |
1,190 |
$128,627.10 |
0.31% |
| Guidewire Software, Inc. |
GWRE |
40171V100 |
909 |
$127,950.84 |
0.31% |
| Sportradar Group AG (Class A) |
SRAD |
H8088L103 |
7,022 |
$127,168.42 |
0.31% |
| Agilysys, Inc. |
AGYS |
00847J105 |
1,432 |
$124,226.00 |
0.30% |
| Indivior Pharmaceuticals, Inc. |
INDV |
45579U109 |
3,553 |
$125,705.14 |
0.30% |
| MYR Group Inc. |
MYRG |
55405W104 |
490 |
$122,519.60 |
0.29% |
| Nuvalent, Inc. (Class A) |
NUVL |
670703107 |
1,156 |
$118,940.84 |
0.29% |
| Power Integrations, Inc. |
POWI |
739276103 |
2,585 |
$118,754.90 |
0.29% |
| StoneX Group Inc. |
SNEX |
861896108 |
1,070 |
$120,118.20 |
0.29% |
| Archrock, Inc. |
AROC |
03957W106 |
3,877 |
$114,720.43 |
0.28% |
| Global-E Online Ltd. |
GLBE |
M5216V106 |
3,162 |
$115,571.10 |
0.28% |
| James Hardie Industries Plc |
JHX |
G4253H101 |
5,153 |
$118,467.47 |
0.28% |
| Ormat Technologies, Inc. |
ORA |
686688102 |
916 |
$114,445.04 |
0.28% |
| Schrodinger, Inc. |
SDGR |
80810D103 |
8,454 |
$118,102.38 |
0.28% |
| Victoria's Secret & Co. |
VSCO |
926400102 |
2,099 |
$114,416.49 |
0.28% |
| CG Oncology, Inc. |
CGON |
156944100 |
2,186 |
$113,781.30 |
0.27% |
| Gulfport Energy Corporation |
GPOR |
402635502 |
559 |
$114,131.03 |
0.27% |
| Legence Corp. (Class A) |
LGN |
52476L109 |
2,394 |
$112,302.54 |
0.27% |
| MP Materials Corp. |
MP |
553368101 |
1,884 |
$110,722.68 |
0.27% |
| Rush Street Interactive, Inc. |
RSI |
782011100 |
6,315 |
$111,586.05 |
0.27% |
| Thor Industries, Inc. |
THO |
885160101 |
1,013 |
$113,324.31 |
0.27% |
| Alliance Laundry Holdings Inc. |
ALH |
01862Q107 |
4,824 |
$106,513.92 |
0.26% |
| Arcutis Biotherapeutics, Inc. |
ARQT |
03969K108 |
4,215 |
$106,934.55 |
0.26% |
| Axon Enterprise Inc. |
AXON |
05464C101 |
227 |
$109,772.66 |
0.26% |
| Brinker International, Inc. |
EAT |
109641100 |
680 |
$107,249.60 |
0.26% |
| Celestica Inc. |
CLS |
15101Q207 |
382 |
$107,338.18 |
0.26% |
| Everus Construction Group, Inc. |
ECG |
300426103 |
1,211 |
$107,161.39 |
0.26% |
| SentinelOne, Inc. (Class A) |
S |
81730H109 |
7,633 |
$106,709.34 |
0.26% |
| Antero Resources Corporation |
AR |
03674X106 |
2,900 |
$105,473.00 |
0.25% |
| Cognex Corporation |
CGNX |
192422103 |
2,673 |
$103,552.02 |
0.25% |
| Dutch Bros Inc. (Class A) |
BROS |
26701L100 |
1,896 |
$103,123.44 |
0.25% |
| Knight-Swift Transportation Holdings Inc. |
KNX |
499049104 |
1,924 |
$106,012.40 |
0.25% |
| Titan Machinery Inc. |
TITN |
88830R101 |
6,393 |
$104,014.11 |
0.25% |
| UL Solutions Inc. (Class A) |
ULS |
903731107 |
1,482 |
$104,080.86 |
0.25% |
| Ambarella, Inc. |
AMBA |
G037AX101 |
1,538 |
$98,493.52 |
0.24% |
| Braze, Inc. (Class A) |
BRZE |
10576N102 |
4,839 |
$100,747.98 |
0.24% |
| Kornit Digital Ltd. |
KRNT |
M6372Q113 |
7,668 |
$99,300.60 |
0.24% |
| Simulations Plus, Inc. |
SLP |
829214105 |
5,816 |
$98,232.24 |
0.24% |
| Alkermes Plc |
ALKS |
G01767105 |
2,777 |
$94,112.53 |
0.23% |
| Cipher Mining Inc. |
CIFR |
17253J106 |
5,952 |
$94,993.92 |
0.23% |
| IES Holdings, Inc. |
IESC |
44951W106 |
256 |
$97,354.24 |
0.23% |
| HCI Group, Inc. |
HCI |
40416E103 |
583 |
$92,504.61 |
0.22% |
| Netskope, Inc. (Class A) |
NTSK |
64119N608 |
6,078 |
$90,258.30 |
0.22% |
| PAR Technology Corporation |
PAR |
698884103 |
3,528 |
$92,468.88 |
0.22% |
| The RealReal, Inc. |
REAL |
88339P101 |
6,161 |
$90,381.87 |
0.22% |
| Tenable Holdings, Inc. |
TENB |
88025T102 |
3,913 |
$86,320.78 |
0.21% |
| Bullish |
BLSH |
G16910120 |
2,795 |
$84,409.00 |
0.20% |
| Generac Holdings Inc. |
GNRC |
368736104 |
506 |
$85,028.24 |
0.20% |
| Veracyte, Inc. |
VCYT |
92337F107 |
2,204 |
$83,928.32 |
0.20% |
| Alphatec Holdings, Inc. |
ATEC |
02081G201 |
5,221 |
$77,427.43 |
0.19% |
| HealthStream, Inc. |
HSTM |
42222N103 |
3,616 |
$80,600.64 |
0.19% |
| Toast, Inc. (Class A) |
TOST |
888787108 |
2,341 |
$72,828.51 |
0.18% |
| JFrog Ltd. |
FROG |
M6191J100 |
1,292 |
$70,801.60 |
0.17% |
| Via Transportation, Inc. (Class A) |
VIA |
92556W104 |
3,074 |
$71,470.50 |
0.17% |
| TeraWulf Inc. |
WULF |
88080T104 |
5,115 |
$68,387.55 |
0.16% |
| Axogen, Inc. |
AXGN |
05463X106 |
1,764 |
$61,475.40 |
0.15% |
| Revolve Group, Inc. |
RVLV |
76156B107 |
2,323 |
$64,230.95 |
0.15% |
| American Superconductor Corporation |
AMSC |
030111207 |
1,991 |
$59,570.72 |
0.14% |
| Inspire Medical Systems, Inc. |
INSP |
457730109 |
787 |
$59,638.86 |
0.14% |
| Neptune Insurance Holdings Inc. (Class A) |
NP |
64073B103 |
2,171 |
$55,360.50 |
0.13% |
| Park Aerospace Corp. |
PKE |
70014A104 |
2,148 |
$52,604.52 |
0.13% |
| GeneDx Holdings Corp. |
WGS |
81663L200 |
508 |
$48,900.08 |
0.12% |
| Patrick Industries, Inc. |
PATK |
703343103 |
356 |
$44,916.52 |
0.11% |
| HEICO Corporation (Class A) |
HEI/A |
422806208 |
105 |
$26,731.95 |
0.06% |
| Insulet Corporation |
PODD |
45784P101 |
105 |
$26,860.05 |
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.
|
|
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.
|