|
|
 |
|
Holdings of the Fund as of 9/23/2026
Total Number of Holdings (excluding cash): 204
| Xometry, Inc. (Class A) |
XMTR |
98423F109 |
9,649 |
$1,013,241.49 |
1.93% |
| Twist Bioscience Corporation |
TWST |
90184D100 |
5,865 |
$929,602.50 |
1.77% |
| Travere Therapeutics, Inc. |
TVTX |
89422G107 |
12,888 |
$771,089.04 |
1.47% |
| Zeta Global Holdings Corp. (Class A) |
ZETA |
98956A105 |
25,691 |
$765,334.89 |
1.46% |
| FirstCash Holdings, Inc. |
FCFS |
33768G107 |
3,443 |
$745,306.21 |
1.42% |
| Guardant Health, Inc. |
GH |
40131M109 |
4,204 |
$741,207.24 |
1.41% |
| JFrog Ltd. |
FROG |
M6191J100 |
7,873 |
$726,914.09 |
1.39% |
| Varonis Systems, Inc. |
VRNS |
922280102 |
13,442 |
$649,920.70 |
1.24% |
| Rubrik, Inc. (Class A) |
RBRK |
781154109 |
5,071 |
$586,055.47 |
1.12% |
| Protagonist Therapeutics, Inc. |
PTGX |
74366E102 |
4,201 |
$582,678.70 |
1.11% |
| Ligand Pharmaceuticals Inc. (Class B) |
LGND |
53220K504 |
1,874 |
$559,220.34 |
1.07% |
| SailPoint, Inc. |
SAIL |
78781J109 |
26,171 |
$560,321.11 |
1.07% |
| VSE Corporation |
VSEC |
918284100 |
3,119 |
$556,866.26 |
1.06% |
| Halozyme Therapeutics, Inc. |
HALO |
40637H109 |
4,810 |
$540,836.40 |
1.03% |
| Spyre Therapeutics, Inc. |
SYRE |
00773J202 |
6,084 |
$536,426.28 |
1.02% |
| Repligen Corporation |
RGEN |
759916109 |
2,832 |
$522,588.96 |
1.00% |
| Silicon Motion Technology Corporation (ADR) |
SIMO |
82706C108 |
1,899 |
$525,130.47 |
1.00% |
| Praxis Precision Medicines, Inc. |
PRAX |
74006W207 |
1,660 |
$468,319.20 |
0.89% |
| EZCORP, Inc. |
EZPW |
302301106 |
15,075 |
$455,114.25 |
0.87% |
| Fastly, Inc. (Class A) |
FSLY |
31188V100 |
15,197 |
$450,591.05 |
0.86% |
| Definium Therapeutics Inc. |
DFTX |
24477V105 |
11,714 |
$441,032.10 |
0.84% |
| US Dollar |
$USD |
|
435,827 |
$435,827.46 |
0.83% |
| DigitalOcean Holdings, Inc. |
DOCN |
25402D102 |
3,062 |
$432,385.02 |
0.82% |
| Ollie's Bargain Outlet Holdings, Inc. |
OLLI |
681116109 |
5,164 |
$426,598.04 |
0.81% |
| Edgewise Therapeutics, Inc. |
EWTX |
28036F105 |
10,276 |
$421,829.80 |
0.80% |
| Manhattan Associates, Inc. |
MANH |
562750109 |
1,999 |
$420,529.63 |
0.80% |
| Exelixis, Inc. |
EXEL |
30161Q104 |
7,267 |
$412,256.91 |
0.79% |
| RBC Bearings Incorporated |
RBC |
75524B104 |
750 |
$375,195.00 |
0.72% |
| BioLife Solutions, Inc. |
BLFS |
09062W204 |
9,807 |
$370,116.18 |
0.71% |
| WisdomTree, Inc. |
WT |
97717P104 |
15,530 |
$368,371.60 |
0.70% |
| Acadian Asset Management Inc. |
AAMI |
10948W103 |
3,982 |
$364,392.82 |
0.69% |
| Herc Holdings, Inc. |
HRI |
42704L104 |
2,652 |
$363,933.96 |
0.69% |
| Five9, Inc. |
FIVN |
338307101 |
9,379 |
$353,400.72 |
0.67% |
| AeroVironment, Inc. |
AVAV |
008073108 |
2,228 |
$347,434.32 |
0.66% |
| Bandwidth Inc. (Class A) |
BAND |
05988J103 |
5,855 |
$346,206.15 |
0.66% |
| Piper Sandler Companies |
PIPR |
724078209 |
4,747 |
$343,777.74 |
0.66% |
| Virtu Financial, Inc. (Class A) |
VIRT |
928254101 |
6,580 |
$348,805.80 |
0.66% |
| ICON Plc |
ICLR |
G4705A100 |
2,082 |
$341,239.80 |
0.65% |
| MaxLinear, Inc. |
MXL |
57776J100 |
4,068 |
$343,013.76 |
0.65% |
| Kymera Therapeutics, Inc. |
KYMR |
501575104 |
2,914 |
$336,479.58 |
0.64% |
| MACOM Technology Solutions Holdings, Inc. |
MTSI |
55405Y100 |
1,208 |
$333,214.72 |
0.64% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
8,828 |
$330,255.48 |
0.63% |
| Life Time Group Holdings, Inc. |
LTH |
53190C102 |
8,398 |
$333,148.66 |
0.63% |
| Scholar Rock Holding Corporation |
SRRK |
80706P103 |
6,582 |
$328,112.70 |
0.63% |
| Boot Barn Holdings, Inc. |
BOOT |
099406100 |
2,603 |
$324,047.47 |
0.62% |
| Five Below, Inc. |
FIVE |
33829M101 |
1,416 |
$322,012.56 |
0.61% |
| Medpace Holdings, Inc. |
MEDP |
58506Q109 |
521 |
$321,535.15 |
0.61% |
| Septerna, Inc. |
SEPN |
81734D104 |
8,223 |
$316,174.35 |
0.60% |
| Encore Capital Group, Inc. |
ECPG |
292554102 |
3,269 |
$308,822.43 |
0.59% |
| iRhythm Holdings, Inc. |
IRTC |
450056106 |
2,748 |
$307,089.00 |
0.59% |
| Magnolia Oil & Gas Corporation (Class A) |
MGY |
559663109 |
12,597 |
$307,618.74 |
0.59% |
| Powell Industries, Inc. |
POWL |
739128106 |
1,603 |
$308,769.86 |
0.59% |
| First Watch Restaurant Group, Inc. |
FWRG |
33748L101 |
29,775 |
$303,705.00 |
0.58% |
| Glaukos Corporation |
GKOS |
377322102 |
1,956 |
$300,226.44 |
0.57% |
| HealthEquity, Inc. |
HQY |
42226A107 |
3,248 |
$293,586.72 |
0.56% |
| Lattice Semiconductor Corporation |
LSCC |
518415104 |
2,436 |
$296,363.76 |
0.56% |
| IMAX Corporation |
IMAX |
45245E109 |
5,441 |
$290,005.30 |
0.55% |
| Netskope, Inc. (Class A) |
NTSK |
64119N608 |
15,533 |
$288,447.81 |
0.55% |
| nLight, Inc. |
LASR |
65487K100 |
7,017 |
$287,556.66 |
0.55% |
| Kratos Defense & Security Solutions, Inc. |
KTOS |
50077B207 |
6,163 |
$284,484.08 |
0.54% |
| Supernus Pharmaceuticals, Inc. |
SUPN |
868459108 |
6,517 |
$282,772.63 |
0.54% |
| The Chefs' Warehouse, Inc. |
CHEF |
163086101 |
2,600 |
$283,114.00 |
0.54% |
| The Descartes Systems Group Inc. |
DSGX |
249906108 |
3,519 |
$282,364.56 |
0.54% |
| Dave Inc. (Class A) |
DAVE |
23834J201 |
834 |
$272,042.46 |
0.52% |
| PTC Therapeutics, Inc. |
PTCT |
69366J200 |
4,412 |
$275,044.08 |
0.52% |
| Victoria's Secret & Co. |
VSXY |
926400102 |
3,295 |
$274,605.30 |
0.52% |
| Karman Holdings Inc. |
KRMN |
485924104 |
8,058 |
$266,316.90 |
0.51% |
| Semtech Corporation |
SMTC |
816850101 |
1,581 |
$267,710.73 |
0.51% |
| Xenon Pharmaceuticals Inc. |
XENE |
98420N105 |
7,323 |
$267,728.88 |
0.51% |
| Amylyx Pharmaceuticals, Inc. |
AMLX |
03237H101 |
8,646 |
$264,610.83 |
0.50% |
| CECO Environmental Corp. |
CECO |
125141101 |
3,487 |
$261,472.72 |
0.50% |
| Tidewater Inc. |
TDW |
88642R109 |
3,052 |
$262,197.32 |
0.50% |
| Viper Energy, Inc. (Class A) |
VNOM |
64361Q101 |
6,351 |
$259,946.43 |
0.50% |
| Wingstop Inc. |
WING |
974155103 |
2,707 |
$264,961.16 |
0.50% |
| Adaptive Biotechnologies Corporation |
ADPT |
00650F109 |
9,022 |
$251,623.58 |
0.48% |
| Genius Sports Limited |
GENI |
G3934V109 |
41,518 |
$254,090.16 |
0.48% |
| Moog Inc. |
MOG/A |
615394202 |
677 |
$253,861.46 |
0.48% |
| Onto Innovation Inc. |
ONTO |
683344105 |
891 |
$251,538.21 |
0.48% |
| Agilysys, Inc. |
AGYS |
00847J105 |
2,436 |
$246,474.48 |
0.47% |
| Rambus Inc. |
RMBS |
750917106 |
2,374 |
$245,637.78 |
0.47% |
| Robert Half Inc. |
RHI |
770323103 |
6,629 |
$247,659.44 |
0.47% |
| Balchem Corporation |
BCPC |
057665200 |
1,437 |
$241,760.88 |
0.46% |
| Customers Bancorp, Inc. |
CUBI |
23204G100 |
3,176 |
$243,662.72 |
0.46% |
| Guidewire Software, Inc. |
GWRE |
40171V100 |
1,582 |
$241,871.98 |
0.46% |
| TechnipFMC Plc |
FTI |
G87110105 |
3,415 |
$243,284.60 |
0.46% |
| AXT, Inc. |
AXTI |
00246W103 |
3,245 |
$236,820.10 |
0.45% |
| Palomar Holdings, Inc. |
PLMR |
69753M105 |
1,874 |
$238,391.54 |
0.45% |
| Paymentus Holdings, Inc. (Class A) |
PAY |
70439P108 |
7,902 |
$236,664.90 |
0.45% |
| SentinelOne, Inc. (Class A) |
S |
81730H109 |
9,807 |
$236,348.70 |
0.45% |
| Axsome Therapeutics, Inc. |
AXSM |
05464T104 |
1,206 |
$233,300.70 |
0.44% |
| BWX Technologies, Inc. |
BWXT |
05605H100 |
1,624 |
$230,299.44 |
0.44% |
| Natera, Inc. |
NTRA |
632307104 |
596 |
$232,910.84 |
0.44% |
| Sitime Corporation |
SITM |
82982T106 |
375 |
$228,341.25 |
0.44% |
| Axogen, Inc. |
AXGN |
05463X106 |
5,226 |
$226,390.32 |
0.43% |
| Immunome, Inc. |
IMNM |
45257U108 |
9,232 |
$223,783.68 |
0.43% |
| Remitly Global, Inc. |
RELY |
75960P104 |
11,266 |
$227,460.54 |
0.43% |
| Camtek Ltd. |
CAMT |
M20791105 |
1,499 |
$220,442.94 |
0.42% |
| Flywire Corporation |
FLYW |
302492103 |
12,943 |
$218,218.98 |
0.42% |
| MAXIMUS, Inc. |
MMS |
577933104 |
4,060 |
$218,387.40 |
0.42% |
| AGCO Corporation |
AGCO |
001084102 |
1,784 |
$217,077.12 |
0.41% |
| Almonty Industries Inc. |
ALM |
020398707 |
15,869 |
$216,135.78 |
0.41% |
| Amprius Technologies, Inc. |
AMPX |
03214Q108 |
22,196 |
$215,967.08 |
0.41% |
| IAMGOLD Corporation |
IAG |
450913108 |
10,853 |
$215,866.17 |
0.41% |
| Archrock, Inc. |
AROC |
03957W106 |
6,830 |
$210,637.20 |
0.40% |
| Compass, Inc. (Class A) |
COMP |
20464U100 |
23,057 |
$211,202.12 |
0.40% |
| Everpure, Inc. (Class A) |
P |
74624M102 |
1,936 |
$212,282.40 |
0.40% |
| Globus Medical, Inc. (Class A) |
GMED |
379577208 |
2,873 |
$212,487.08 |
0.40% |
| Knight-Swift Transportation Holdings Inc. |
KNX |
499049104 |
3,120 |
$209,570.40 |
0.40% |
| Sezzle Inc. |
SEZL |
78435P105 |
1,982 |
$211,855.98 |
0.40% |
| StoneX Group Inc. |
SNEX |
861896108 |
3,123 |
$211,676.94 |
0.40% |
| TAT Technologies Ltd. |
TATT |
M8740S227 |
5,455 |
$208,217.35 |
0.40% |
| Ultra Clean Holdings, Inc. |
UCTT |
90385V107 |
2,727 |
$210,769.83 |
0.40% |
| Impinj, Inc. |
PI |
453204109 |
1,166 |
$206,615.20 |
0.39% |
| Cognex Corporation |
CGNX |
192422103 |
3,415 |
$198,718.85 |
0.38% |
| e.l.f. Beauty, Inc. |
ELF |
26856L103 |
1,954 |
$196,924.12 |
0.38% |
| Elastic N.V. |
ESTC |
N14506104 |
2,179 |
$198,899.12 |
0.38% |
| Sportradar Group AG (Class A) |
SRAD |
H8088L103 |
15,033 |
$197,984.61 |
0.38% |
| Star Bulk Carriers Corp. |
SBLK |
Y8162K204 |
6,642 |
$201,916.80 |
0.38% |
| Webull Corporation (Class A) |
BULL |
G9572D103 |
26,401 |
$201,967.65 |
0.38% |
| Steven Madden, Ltd. |
SHOO |
556269108 |
4,480 |
$194,432.00 |
0.37% |
| Andersen Group Inc. (Class A) |
ANDG |
033853102 |
3,533 |
$190,605.35 |
0.36% |
| Federal Signal Corporation |
FSS |
313855108 |
1,677 |
$189,920.25 |
0.36% |
| Garrett Motion Inc. |
GTX |
366505105 |
7,310 |
$186,405.00 |
0.36% |
| Lithia Motors, Inc. |
LAD |
536797103 |
617 |
$189,431.34 |
0.36% |
| Neptune Insurance Holdings Inc. (Class A) |
NP |
64073B103 |
6,819 |
$189,295.44 |
0.36% |
| Ryan Specialty Holdings, Inc. (Class A) |
RYAN |
78351F107 |
5,185 |
$187,541.45 |
0.36% |
| The Vita Coco Company, Inc. |
COCO |
92846Q107 |
3,229 |
$187,217.42 |
0.36% |
| Ambarella, Inc. |
AMBA |
G037AX101 |
2,728 |
$184,467.36 |
0.35% |
| Celldex Therapeutics Inc. |
CLDX |
15117B202 |
5,867 |
$182,581.04 |
0.35% |
| Fabrinet |
FN |
G3323L100 |
458 |
$183,589.30 |
0.35% |
| Global-E Online Ltd. |
GLBE |
M5216V106 |
4,477 |
$184,631.48 |
0.35% |
| American Superconductor Corporation |
AMSC |
030111207 |
5,684 |
$176,488.20 |
0.34% |
| Bullish |
BLSH |
G16910120 |
4,497 |
$180,374.67 |
0.34% |
| FIGS, Inc. (Class A) |
FIGS |
30260D103 |
14,882 |
$178,137.54 |
0.34% |
| AAON, Inc. |
AAON |
000360206 |
2,103 |
$173,203.08 |
0.33% |
| Braze, Inc. (Class A) |
BRZE |
10576N102 |
6,705 |
$173,458.35 |
0.33% |
| Hut 8 Corp. |
HUT |
44812J104 |
1,670 |
$171,108.20 |
0.33% |
| Lindsay Corporation |
LNN |
535555106 |
1,478 |
$171,211.52 |
0.33% |
| Rush Street Interactive, Inc. |
RSI |
782011100 |
8,365 |
$171,984.40 |
0.33% |
| Arrowhead Pharmaceuticals, Inc. |
ARWR |
04280A100 |
2,524 |
$169,007.04 |
0.32% |
| InterDigital, Inc. |
IDCC |
45867G101 |
512 |
$167,193.60 |
0.32% |
| James Hardie Industries plc |
JHX |
G4253H101 |
6,184 |
$166,040.40 |
0.32% |
| Madrigal Pharmaceuticals, Inc. |
MDGL |
558868105 |
325 |
$166,731.50 |
0.32% |
| Power Integrations, Inc. |
POWI |
739276103 |
3,290 |
$167,954.50 |
0.32% |
| SiteOne Landscape Supply, Inc. |
SITE |
82982L103 |
1,791 |
$167,942.07 |
0.32% |
| Viavi Solutions Inc. |
VIAV |
925550105 |
4,602 |
$167,650.86 |
0.32% |
| Cogent Biosciences, Inc. |
COGT |
19240Q201 |
5,257 |
$165,122.37 |
0.31% |
| Generac Holdings Inc. |
GNRC |
368736104 |
812 |
$161,929.04 |
0.31% |
| Terex Corporation |
TEX |
880779103 |
2,811 |
$163,628.31 |
0.31% |
| Titan Machinery Inc. |
TITN |
88830R101 |
6,663 |
$161,377.86 |
0.31% |
| Aehr Test Systems, Inc. |
AEHR |
00760J108 |
1,619 |
$157,658.22 |
0.30% |
| Commvault Systems, Inc. |
CVLT |
204166102 |
1,044 |
$156,004.92 |
0.30% |
| Enova International, Inc. |
ENVA |
29357K103 |
946 |
$159,278.02 |
0.30% |
| Mirion Technologies, Inc. |
MIR |
60471A101 |
9,765 |
$159,950.70 |
0.30% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
307 |
$157,184.00 |
0.30% |
| Zurn Elkay Water Solutions Corp. |
ZWS |
98983L108 |
3,390 |
$158,584.20 |
0.30% |
| Antero Resources Corporation |
AR |
03674X106 |
4,310 |
$153,651.50 |
0.29% |
| DPC Holdings Plc |
DPC |
G2R11M108 |
3,677 |
$154,176.61 |
0.29% |
| Freshpet, Inc. |
FRPT |
358039105 |
2,563 |
$151,755.23 |
0.29% |
| Kornit Digital Ltd. |
KRNT |
M6372Q113 |
9,870 |
$149,727.90 |
0.29% |
| Bright Horizons Family Solutions Inc. |
BFAM |
109194100 |
2,207 |
$146,787.57 |
0.28% |
| Harley-Davidson, Inc. |
HOG |
412822108 |
5,560 |
$144,448.80 |
0.28% |
| Innovex International, Inc. |
INVX |
457651107 |
5,226 |
$148,522.92 |
0.28% |
| Marriott Vacations Worldwide Corporation |
VAC |
57164Y107 |
1,442 |
$145,425.70 |
0.28% |
| Mercury Systems, Inc. |
MRCY |
589378108 |
1,781 |
$147,324.32 |
0.28% |
| Park Aerospace Corp. |
PKE |
70014A104 |
5,060 |
$149,523.00 |
0.28% |
| Veracyte, Inc. |
VCYT |
92337F107 |
3,332 |
$146,008.24 |
0.28% |
| Alkermes Plc |
ALKS |
G01767105 |
3,354 |
$141,304.02 |
0.27% |
| Installed Building Products, Inc. |
IBP |
45780R101 |
687 |
$139,316.73 |
0.27% |
| Oceaneering International, Inc. |
OII |
675232102 |
3,102 |
$143,436.48 |
0.27% |
| Champion Homes Inc. |
SKY |
830830105 |
1,619 |
$138,359.74 |
0.26% |
| ExlService Holdings, Inc. |
EXLS |
302081104 |
3,900 |
$135,837.00 |
0.26% |
| Gulfport Energy Corporation |
GPOR |
402635502 |
854 |
$136,400.88 |
0.26% |
| Kodiak Gas Services, Inc. |
KGS |
50012A108 |
2,478 |
$132,077.40 |
0.25% |
| OPENLANE Inc. |
OPLN |
48238T109 |
3,842 |
$131,357.98 |
0.25% |
| Rush Enterprises, Inc. (Class A) |
RUSHA |
781846209 |
2,703 |
$129,852.12 |
0.25% |
| Scorpio Tankers Inc. |
STNG |
Y7542C130 |
1,589 |
$129,106.25 |
0.25% |
| Construction Partners, Inc. (Class A) |
ROAD |
21044C107 |
1,327 |
$123,994.88 |
0.24% |
| CSW Industrials, Inc. |
CSW |
126402106 |
430 |
$128,109.90 |
0.24% |
| ESCO Technologies Inc. |
ESE |
296315104 |
467 |
$124,310.73 |
0.24% |
| Figure Technology Solutions, Inc. (Class A) |
FIGR |
349381103 |
3,592 |
$124,498.72 |
0.24% |
| Modine Manufacturing Company |
MOD |
607828100 |
642 |
$123,976.62 |
0.24% |
| Perimeter Solutions, Inc. |
PRM |
71385M107 |
4,447 |
$125,761.16 |
0.24% |
| Helmerich & Payne, Inc. |
HP |
423452101 |
3,078 |
$121,765.68 |
0.23% |
| Tarsus Pharmaceuticals, Inc. |
TARS |
87650L103 |
1,650 |
$122,578.50 |
0.23% |
| The Timken Company |
TKR |
887389104 |
1,031 |
$121,286.84 |
0.23% |
| Dianthus Therapeutics, Inc. |
DNTH |
252828108 |
1,229 |
$114,837.76 |
0.22% |
| Heartflow, Inc. |
HTFL |
42238D107 |
2,387 |
$113,119.93 |
0.22% |
| First Advantage Corporation |
FA |
31846B108 |
5,536 |
$110,720.00 |
0.21% |
| The Cheesecake Factory Incorporated |
CAKE |
163072101 |
1,061 |
$110,779.01 |
0.21% |
| Uranium Energy Corp. |
UEC |
916896103 |
11,101 |
$110,454.95 |
0.21% |
| Cactus, Inc. (Class A) |
WHD |
127203107 |
1,586 |
$104,723.58 |
0.20% |
| AtriCure, Inc. |
ATRC |
04963C209 |
1,641 |
$98,386.16 |
0.19% |
| Eos Energy Enterprises, Inc. |
EOSE |
29415C101 |
27,708 |
$99,194.64 |
0.19% |
| Structure Therapeutics Inc. |
GPCR |
86366E106 |
2,704 |
$97,208.80 |
0.19% |
| Crocs, Inc. |
CROX |
227046109 |
724 |
$90,224.88 |
0.17% |
| YETI Holdings, Inc. |
YETI |
98585X104 |
2,078 |
$86,985.08 |
0.17% |
| Navan, Inc. (Class A) |
NAVN |
639193101 |
4,162 |
$81,824.92 |
0.16% |
| Toast, Inc. (Class A) |
TOST |
888787108 |
2,894 |
$86,270.14 |
0.16% |
| Vishay Precision Group, Inc. |
VPG |
92835K103 |
1,187 |
$82,888.21 |
0.16% |
| Cardinal Infrastructure Group Inc. (Class A) |
CDNL |
14154A102 |
2,663 |
$76,374.84 |
0.15% |
| Red Violet, Inc. |
RDVT |
75704L104 |
1,020 |
$77,724.00 |
0.15% |
| Universal Technical Institute, Inc. |
UTI |
913915104 |
2,730 |
$55,746.60 |
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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