|
|
 |
|
Holdings of the Fund as of 9/24/2026
Total Number of Holdings (excluding cash): 204
| Twist Bioscience Corporation |
TWST |
90184D100 |
5,865 |
$1,079,335.95 |
2.05% |
| Xometry, Inc. (Class A) |
XMTR |
98423F109 |
9,649 |
$939,619.62 |
1.79% |
| Travere Therapeutics, Inc. |
TVTX |
89422G107 |
12,888 |
$781,270.56 |
1.49% |
| Zeta Global Holdings Corp. (Class A) |
ZETA |
98956A105 |
25,691 |
$759,682.87 |
1.44% |
| FirstCash Holdings, Inc. |
FCFS |
33768G107 |
3,443 |
$745,065.20 |
1.42% |
| Guardant Health, Inc. |
GH |
40131M109 |
4,204 |
$741,795.80 |
1.41% |
| JFrog Ltd. |
FROG |
M6191J100 |
7,873 |
$741,636.60 |
1.41% |
| Varonis Systems, Inc. |
VRNS |
922280102 |
13,442 |
$644,543.90 |
1.23% |
| Protagonist Therapeutics, Inc. |
PTGX |
74366E102 |
4,201 |
$576,965.34 |
1.10% |
| Rubrik, Inc. (Class A) |
RBRK |
781154109 |
5,071 |
$577,079.80 |
1.10% |
| SailPoint, Inc. |
SAIL |
78781J109 |
26,171 |
$578,902.52 |
1.10% |
| Ligand Pharmaceuticals Inc. (Class B) |
LGND |
53220K504 |
1,874 |
$560,400.96 |
1.07% |
| VSE Corporation |
VSEC |
918284100 |
3,119 |
$562,792.36 |
1.07% |
| Halozyme Therapeutics, Inc. |
HALO |
40637H109 |
4,810 |
$554,208.20 |
1.05% |
| Repligen Corporation |
RGEN |
759916109 |
2,832 |
$539,920.80 |
1.03% |
| Spyre Therapeutics, Inc. |
SYRE |
00773J202 |
6,084 |
$529,855.56 |
1.01% |
| Silicon Motion Technology Corporation (ADR) |
SIMO |
82706C108 |
1,899 |
$522,414.90 |
0.99% |
| Praxis Precision Medicines, Inc. |
PRAX |
74006W207 |
1,660 |
$467,771.40 |
0.89% |
| EZCORP, Inc. |
EZPW |
302301106 |
15,075 |
$456,621.75 |
0.87% |
| Ollie's Bargain Outlet Holdings, Inc. |
OLLI |
681116109 |
5,164 |
$436,048.16 |
0.83% |
| US Dollar |
$USD |
|
435,827 |
$435,827.46 |
0.83% |
| Definium Therapeutics Inc. |
DFTX |
24477V105 |
11,714 |
$430,255.22 |
0.82% |
| DigitalOcean Holdings, Inc. |
DOCN |
25402D102 |
3,062 |
$433,487.34 |
0.82% |
| Edgewise Therapeutics, Inc. |
EWTX |
28036F105 |
10,276 |
$422,960.16 |
0.80% |
| Exelixis, Inc. |
EXEL |
30161Q104 |
7,267 |
$421,122.65 |
0.80% |
| Manhattan Associates, Inc. |
MANH |
562750109 |
1,999 |
$419,050.37 |
0.80% |
| Fastly, Inc. (Class A) |
FSLY |
31188V100 |
15,197 |
$405,455.96 |
0.77% |
| BioLife Solutions, Inc. |
BLFS |
09062W204 |
9,807 |
$378,354.06 |
0.72% |
| RBC Bearings Incorporated |
RBC |
75524B104 |
750 |
$377,887.50 |
0.72% |
| Acadian Asset Management Inc. |
AAMI |
10948W103 |
3,982 |
$371,600.24 |
0.71% |
| WisdomTree, Inc. |
WT |
97717P104 |
15,530 |
$372,564.70 |
0.71% |
| Bandwidth Inc. (Class A) |
BAND |
05988J103 |
5,855 |
$362,014.65 |
0.69% |
| ICON Plc |
ICLR |
G4705A100 |
2,082 |
$362,059.80 |
0.69% |
| AeroVironment, Inc. |
AVAV |
008073108 |
2,228 |
$353,249.40 |
0.67% |
| Herc Holdings, Inc. |
HRI |
42704L104 |
2,652 |
$347,252.88 |
0.66% |
| MaxLinear, Inc. |
MXL |
57776J100 |
4,068 |
$347,041.08 |
0.66% |
| Virtu Financial, Inc. (Class A) |
VIRT |
928254101 |
6,580 |
$346,502.80 |
0.66% |
| Five9, Inc. |
FIVN |
338307101 |
9,379 |
$343,834.14 |
0.65% |
| MACOM Technology Solutions Holdings, Inc. |
MTSI |
55405Y100 |
1,208 |
$344,207.52 |
0.65% |
| Kymera Therapeutics, Inc. |
KYMR |
501575104 |
2,914 |
$337,470.34 |
0.64% |
| Life Time Group Holdings, Inc. |
LTH |
53190C102 |
8,398 |
$334,744.28 |
0.64% |
| Piper Sandler Companies |
PIPR |
724078209 |
4,747 |
$337,416.76 |
0.64% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
8,828 |
$331,844.52 |
0.63% |
| Boot Barn Holdings, Inc. |
BOOT |
099406100 |
2,603 |
$327,978.00 |
0.62% |
| Encore Capital Group, Inc. |
ECPG |
292554102 |
3,269 |
$318,989.02 |
0.61% |
| Medpace Holdings, Inc. |
MEDP |
58506Q109 |
521 |
$323,327.39 |
0.61% |
| Scholar Rock Holding Corporation |
SRRK |
80706P103 |
6,582 |
$319,951.02 |
0.61% |
| Five Below, Inc. |
FIVE |
33829M101 |
1,416 |
$314,890.08 |
0.60% |
| Septerna, Inc. |
SEPN |
81734D104 |
8,223 |
$313,542.99 |
0.60% |
| Magnolia Oil & Gas Corporation (Class A) |
MGY |
559663109 |
12,597 |
$311,649.78 |
0.59% |
| First Watch Restaurant Group, Inc. |
FWRG |
33748L101 |
29,775 |
$304,300.50 |
0.58% |
| Glaukos Corporation |
GKOS |
377322102 |
1,956 |
$302,945.28 |
0.58% |
| iRhythm Holdings, Inc. |
IRTC |
450056106 |
2,748 |
$304,478.40 |
0.58% |
| Powell Industries, Inc. |
POWL |
739128106 |
1,603 |
$307,166.86 |
0.58% |
| IMAX Corporation |
IMAX |
45245E109 |
5,441 |
$300,125.56 |
0.57% |
| Lattice Semiconductor Corporation |
LSCC |
518415104 |
2,436 |
$297,727.92 |
0.57% |
| HealthEquity, Inc. |
HQY |
42226A107 |
3,248 |
$287,772.80 |
0.55% |
| Kratos Defense & Security Solutions, Inc. |
KTOS |
50077B207 |
6,163 |
$289,784.26 |
0.55% |
| Netskope, Inc. (Class A) |
NTSK |
64119N608 |
15,533 |
$288,447.81 |
0.55% |
| The Chefs' Warehouse, Inc. |
CHEF |
163086101 |
2,600 |
$286,936.00 |
0.55% |
| nLight, Inc. |
LASR |
65487K100 |
7,017 |
$285,030.54 |
0.54% |
| Supernus Pharmaceuticals, Inc. |
SUPN |
868459108 |
6,517 |
$282,120.93 |
0.54% |
| The Descartes Systems Group Inc. |
DSGX |
249906108 |
3,519 |
$281,977.47 |
0.54% |
| Dave Inc. (Class A) |
DAVE |
23834J201 |
834 |
$276,433.47 |
0.53% |
| Karman Holdings Inc. |
KRMN |
485924104 |
8,058 |
$281,385.36 |
0.53% |
| Victoria's Secret & Co. |
VSXY |
926400102 |
3,295 |
$276,153.95 |
0.53% |
| Xenon Pharmaceuticals Inc. |
XENE |
98420N105 |
7,323 |
$278,713.38 |
0.53% |
| PTC Therapeutics, Inc. |
PTCT |
69366J200 |
4,412 |
$274,779.36 |
0.52% |
| Semtech Corporation |
SMTC |
816850101 |
1,581 |
$275,884.50 |
0.52% |
| Adaptive Biotechnologies Corporation |
ADPT |
00650F109 |
9,022 |
$266,780.54 |
0.51% |
| Amylyx Pharmaceuticals, Inc. |
AMLX |
03237H101 |
8,646 |
$260,590.44 |
0.50% |
| Tidewater Inc. |
TDW |
88642R109 |
3,052 |
$264,974.64 |
0.50% |
| Viper Energy, Inc. (Class A) |
VNOM |
64361Q101 |
6,351 |
$264,455.64 |
0.50% |
| Wingstop Inc. |
WING |
974155103 |
2,707 |
$264,852.88 |
0.50% |
| Moog Inc. |
MOG/A |
615394202 |
677 |
$259,121.75 |
0.49% |
| CECO Environmental Corp. |
CECO |
125141101 |
3,487 |
$254,062.82 |
0.48% |
| AXT, Inc. |
AXTI |
00246W103 |
3,245 |
$246,295.50 |
0.47% |
| Onto Innovation Inc. |
ONTO |
683344105 |
891 |
$249,239.43 |
0.47% |
| Rambus Inc. |
RMBS |
750917106 |
2,374 |
$248,201.70 |
0.47% |
| Agilysys, Inc. |
AGYS |
00847J105 |
2,436 |
$242,820.48 |
0.46% |
| Balchem Corporation |
BCPC |
057665200 |
1,437 |
$241,186.08 |
0.46% |
| Customers Bancorp, Inc. |
CUBI |
23204G100 |
3,176 |
$244,012.08 |
0.46% |
| Genius Sports Limited |
GENI |
G3934V109 |
41,518 |
$240,804.40 |
0.46% |
| Natera, Inc. |
NTRA |
632307104 |
596 |
$243,638.84 |
0.46% |
| Paymentus Holdings, Inc. (Class A) |
PAY |
70439P108 |
7,902 |
$244,566.90 |
0.46% |
| Sitime Corporation |
SITM |
82982T106 |
375 |
$241,215.00 |
0.46% |
| TechnipFMC Plc |
FTI |
G87110105 |
3,415 |
$242,294.25 |
0.46% |
| Axsome Therapeutics, Inc. |
AXSM |
05464T104 |
1,206 |
$236,412.18 |
0.45% |
| Everpure, Inc. (Class A) |
P |
74624M102 |
1,936 |
$235,959.68 |
0.45% |
| Guidewire Software, Inc. |
GWRE |
40171V100 |
1,582 |
$238,882.00 |
0.45% |
| Palomar Holdings, Inc. |
PLMR |
69753M105 |
1,874 |
$235,430.62 |
0.45% |
| Remitly Global, Inc. |
RELY |
75960P104 |
11,266 |
$238,388.56 |
0.45% |
| Robert Half Inc. |
RHI |
770323103 |
6,629 |
$237,251.91 |
0.45% |
| SentinelOne, Inc. (Class A) |
S |
81730H109 |
9,807 |
$235,171.86 |
0.45% |
| Axogen, Inc. |
AXGN |
05463X106 |
5,226 |
$226,390.32 |
0.43% |
| BWX Technologies, Inc. |
BWXT |
05605H100 |
1,624 |
$225,216.32 |
0.43% |
| Flywire Corporation |
FLYW |
302492103 |
12,943 |
$221,195.87 |
0.42% |
| Amprius Technologies, Inc. |
AMPX |
03214Q108 |
22,196 |
$215,079.24 |
0.41% |
| Camtek Ltd. |
CAMT |
M20791105 |
1,499 |
$217,534.88 |
0.41% |
| Compass, Inc. (Class A) |
COMP |
20464U100 |
23,057 |
$214,199.53 |
0.41% |
| Globus Medical, Inc. (Class A) |
GMED |
379577208 |
2,873 |
$213,377.71 |
0.41% |
| MAXIMUS, Inc. |
MMS |
577933104 |
4,060 |
$213,637.20 |
0.41% |
| Sezzle Inc. |
SEZL |
78435P105 |
1,982 |
$217,583.96 |
0.41% |
| StoneX Group Inc. |
SNEX |
861896108 |
3,123 |
$217,110.96 |
0.41% |
| Archrock, Inc. |
AROC |
03957W106 |
6,830 |
$209,544.40 |
0.40% |
| IAMGOLD Corporation |
IAG |
450913108 |
10,853 |
$210,114.08 |
0.40% |
| Ultra Clean Holdings, Inc. |
UCTT |
90385V107 |
2,727 |
$208,670.04 |
0.40% |
| AGCO Corporation |
AGCO |
001084102 |
1,784 |
$207,318.64 |
0.39% |
| Immunome, Inc. |
IMNM |
45257U108 |
9,232 |
$206,242.88 |
0.39% |
| Impinj, Inc. |
PI |
453204109 |
1,166 |
$205,880.62 |
0.39% |
| Knight-Swift Transportation Holdings Inc. |
KNX |
499049104 |
3,120 |
$204,360.00 |
0.39% |
| TAT Technologies Ltd. |
TATT |
M8740S227 |
5,455 |
$203,962.45 |
0.39% |
| Elastic N.V. |
ESTC |
N14506104 |
2,179 |
$198,899.12 |
0.38% |
| Star Bulk Carriers Corp. |
SBLK |
Y8162K204 |
6,642 |
$198,595.80 |
0.38% |
| Steven Madden, Ltd. |
SHOO |
556269108 |
4,480 |
$198,150.40 |
0.38% |
| Almonty Industries Inc. |
ALM |
020398707 |
15,869 |
$196,775.60 |
0.37% |
| Cognex Corporation |
CGNX |
192422103 |
3,415 |
$197,045.50 |
0.37% |
| e.l.f. Beauty, Inc. |
ELF |
26856L103 |
1,954 |
$196,513.78 |
0.37% |
| Sportradar Group AG (Class A) |
SRAD |
H8088L103 |
15,033 |
$196,781.97 |
0.37% |
| Ambarella, Inc. |
AMBA |
G037AX101 |
2,728 |
$190,578.08 |
0.36% |
| Andersen Group Inc. (Class A) |
ANDG |
033853102 |
3,533 |
$188,556.21 |
0.36% |
| Federal Signal Corporation |
FSS |
313855108 |
1,677 |
$189,132.06 |
0.36% |
| Lithia Motors, Inc. |
LAD |
536797103 |
617 |
$191,023.20 |
0.36% |
| Ryan Specialty Holdings, Inc. (Class A) |
RYAN |
78351F107 |
5,185 |
$190,496.90 |
0.36% |
| The Vita Coco Company, Inc. |
COCO |
92846Q107 |
3,229 |
$191,059.93 |
0.36% |
| Webull Corporation (Class A) |
BULL |
G9572D103 |
26,401 |
$191,671.26 |
0.36% |
| Celldex Therapeutics Inc. |
CLDX |
15117B202 |
5,867 |
$184,693.16 |
0.35% |
| Fabrinet |
FN |
G3323L100 |
458 |
$182,448.88 |
0.35% |
| FIGS, Inc. (Class A) |
FIGS |
30260D103 |
14,882 |
$185,876.18 |
0.35% |
| Garrett Motion Inc. |
GTX |
366505105 |
7,310 |
$184,943.00 |
0.35% |
| Global-E Online Ltd. |
GLBE |
M5216V106 |
4,477 |
$183,019.76 |
0.35% |
| Neptune Insurance Holdings Inc. (Class A) |
NP |
64073B103 |
6,819 |
$184,794.90 |
0.35% |
| AAON, Inc. |
AAON |
000360206 |
2,103 |
$177,219.81 |
0.34% |
| Bullish |
BLSH |
G16910120 |
4,497 |
$178,485.93 |
0.34% |
| American Superconductor Corporation |
AMSC |
030111207 |
5,684 |
$172,907.28 |
0.33% |
| Viavi Solutions Inc. |
VIAV |
925550105 |
4,602 |
$171,332.46 |
0.33% |
| Arrowhead Pharmaceuticals, Inc. |
ARWR |
04280A100 |
2,524 |
$166,760.68 |
0.32% |
| Hut 8 Corp. |
HUT |
44812J104 |
1,670 |
$169,571.80 |
0.32% |
| InterDigital, Inc. |
IDCC |
45867G101 |
512 |
$167,951.36 |
0.32% |
| Lindsay Corporation |
LNN |
535555106 |
1,478 |
$166,659.28 |
0.32% |
| Madrigal Pharmaceuticals, Inc. |
MDGL |
558868105 |
325 |
$166,793.25 |
0.32% |
| Power Integrations, Inc. |
POWI |
739276103 |
3,290 |
$167,066.20 |
0.32% |
| Braze, Inc. (Class A) |
BRZE |
10576N102 |
6,705 |
$165,412.35 |
0.31% |
| Cogent Biosciences, Inc. |
COGT |
19240Q201 |
5,257 |
$165,227.51 |
0.31% |
| Enova International, Inc. |
ENVA |
29357K103 |
946 |
$162,617.40 |
0.31% |
| Generac Holdings Inc. |
GNRC |
368736104 |
812 |
$160,816.60 |
0.31% |
| James Hardie Industries plc |
JHX |
G4253H101 |
6,184 |
$161,402.40 |
0.31% |
| Rush Street Interactive, Inc. |
RSI |
782011100 |
8,365 |
$163,452.10 |
0.31% |
| SiteOne Landscape Supply, Inc. |
SITE |
82982L103 |
1,791 |
$165,094.38 |
0.31% |
| Veracyte, Inc. |
VCYT |
92337F107 |
3,332 |
$161,735.28 |
0.31% |
| Aehr Test Systems, Inc. |
AEHR |
00760J108 |
1,619 |
$157,722.98 |
0.30% |
| Antero Resources Corporation |
AR |
03674X106 |
4,310 |
$155,547.90 |
0.30% |
| Commvault Systems, Inc. |
CVLT |
204166102 |
1,044 |
$156,600.00 |
0.30% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
307 |
$157,712.04 |
0.30% |
| Terex Corporation |
TEX |
880779103 |
2,811 |
$159,158.82 |
0.30% |
| Titan Machinery Inc. |
TITN |
88830R101 |
6,663 |
$156,447.24 |
0.30% |
| Zurn Elkay Water Solutions Corp. |
ZWS |
98983L108 |
3,390 |
$157,974.00 |
0.30% |
| DPC Holdings Plc |
DPC |
G2R11M108 |
3,677 |
$152,007.18 |
0.29% |
| Mirion Technologies, Inc. |
MIR |
60471A101 |
9,765 |
$153,310.50 |
0.29% |
| Park Aerospace Corp. |
PKE |
70014A104 |
5,060 |
$150,079.60 |
0.29% |
| Bright Horizons Family Solutions Inc. |
BFAM |
109194100 |
2,207 |
$146,412.38 |
0.28% |
| Freshpet, Inc. |
FRPT |
358039105 |
2,563 |
$149,448.53 |
0.28% |
| Innovex International, Inc. |
INVX |
457651107 |
5,226 |
$149,254.56 |
0.28% |
| Kornit Digital Ltd. |
KRNT |
M6372Q113 |
9,870 |
$149,727.90 |
0.28% |
| Marriott Vacations Worldwide Corporation |
VAC |
57164Y107 |
1,442 |
$145,281.50 |
0.28% |
| Mercury Systems, Inc. |
MRCY |
589378108 |
1,781 |
$148,134.68 |
0.28% |
| Oceaneering International, Inc. |
OII |
675232102 |
3,102 |
$144,770.34 |
0.28% |
| Harley-Davidson, Inc. |
HOG |
412822108 |
5,560 |
$141,891.20 |
0.27% |
| Alkermes Plc |
ALKS |
G01767105 |
3,354 |
$136,809.66 |
0.26% |
| Champion Homes Inc. |
SKY |
830830105 |
1,619 |
$138,715.92 |
0.26% |
| ExlService Holdings, Inc. |
EXLS |
302081104 |
3,900 |
$137,124.00 |
0.26% |
| Gulfport Energy Corporation |
GPOR |
402635502 |
854 |
$138,271.14 |
0.26% |
| Installed Building Products, Inc. |
IBP |
45780R101 |
687 |
$134,851.23 |
0.26% |
| Kodiak Gas Services, Inc. |
KGS |
50012A108 |
2,478 |
$130,863.18 |
0.25% |
| OPENLANE Inc. |
OPLN |
48238T109 |
3,842 |
$132,549.00 |
0.25% |
| Rush Enterprises, Inc. (Class A) |
RUSHA |
781846209 |
2,703 |
$129,689.94 |
0.25% |
| CSW Industrials, Inc. |
CSW |
126402106 |
430 |
$126,613.50 |
0.24% |
| ESCO Technologies Inc. |
ESE |
296315104 |
467 |
$125,352.14 |
0.24% |
| Modine Manufacturing Company |
MOD |
607828100 |
642 |
$126,441.90 |
0.24% |
| Perimeter Solutions, Inc. |
PRM |
71385M107 |
4,447 |
$124,782.82 |
0.24% |
| Scorpio Tankers Inc. |
STNG |
Y7542C130 |
1,589 |
$128,645.44 |
0.24% |
| Tarsus Pharmaceuticals, Inc. |
TARS |
87650L103 |
1,650 |
$125,334.00 |
0.24% |
| Construction Partners, Inc. (Class A) |
ROAD |
21044C107 |
1,327 |
$119,230.95 |
0.23% |
| Helmerich & Payne, Inc. |
HP |
423452101 |
3,078 |
$122,565.96 |
0.23% |
| The Timken Company |
TKR |
887389104 |
1,031 |
$120,822.89 |
0.23% |
| Figure Technology Solutions, Inc. (Class A) |
FIGR |
349381103 |
3,592 |
$117,314.72 |
0.22% |
| Heartflow, Inc. |
HTFL |
42238D107 |
2,387 |
$116,151.42 |
0.22% |
| Dianthus Therapeutics, Inc. |
DNTH |
252828108 |
1,229 |
$111,482.59 |
0.21% |
| First Advantage Corporation |
FA |
31846B108 |
5,536 |
$110,277.12 |
0.21% |
| The Cheesecake Factory Incorporated |
CAKE |
163072101 |
1,061 |
$111,458.05 |
0.21% |
| Cactus, Inc. (Class A) |
WHD |
127203107 |
1,586 |
$103,407.20 |
0.20% |
| Uranium Energy Corp. |
UEC |
916896103 |
11,101 |
$105,126.47 |
0.20% |
| AtriCure, Inc. |
ATRC |
04963C209 |
1,641 |
$99,723.57 |
0.19% |
| Structure Therapeutics Inc. |
GPCR |
86366E106 |
2,704 |
$97,398.08 |
0.19% |
| Crocs, Inc. |
CROX |
227046109 |
724 |
$89,370.56 |
0.17% |
| Eos Energy Enterprises, Inc. |
EOSE |
29415C101 |
27,708 |
$89,912.52 |
0.17% |
| Toast, Inc. (Class A) |
TOST |
888787108 |
2,894 |
$87,138.34 |
0.17% |
| YETI Holdings, Inc. |
YETI |
98585X104 |
2,078 |
$87,255.22 |
0.17% |
| Navan, Inc. (Class A) |
NAVN |
639193101 |
4,162 |
$80,867.66 |
0.15% |
| Red Violet, Inc. |
RDVT |
75704L104 |
1,020 |
$80,641.20 |
0.15% |
| Vishay Precision Group, Inc. |
VPG |
92835K103 |
1,187 |
$81,392.59 |
0.15% |
| Cardinal Infrastructure Group Inc. (Class A) |
CDNL |
14154A102 |
2,663 |
$73,339.02 |
0.14% |
| Universal Technical Institute, Inc. |
UTI |
913915104 |
2,730 |
$56,429.10 |
0.11% |
| 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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