|
|
 |
|
Holdings of the Fund as of 2/6/2026
Total Number of Holdings (excluding cash): 205
| MACOM Technology Solutions Holdings, Inc. |
MTSI |
55405Y100 |
3,040 |
$717,044.80 |
1.66% |
| VSE Corporation |
VSEC |
918284100 |
2,982 |
$596,370.18 |
1.38% |
| Piper Sandler Companies |
PIPR |
724078100 |
1,596 |
$581,550.48 |
1.35% |
| Fabrinet |
FN |
G3323L100 |
1,141 |
$575,052.59 |
1.33% |
| Xometry, Inc. (Class A) |
XMTR |
98423F109 |
8,569 |
$565,811.07 |
1.31% |
| Rambus Inc. |
RMBS |
750917106 |
4,858 |
$520,291.80 |
1.21% |
| Bloom Energy Corporation (Class A) |
BE |
093712107 |
3,559 |
$509,043.77 |
1.18% |
| Powell Industries, Inc. |
POWL |
739128106 |
863 |
$504,181.86 |
1.17% |
| Guardant Health, Inc. |
GH |
40131M109 |
4,893 |
$498,352.05 |
1.16% |
| Karman Holdings Inc. |
KRMN |
485924104 |
5,257 |
$501,307.52 |
1.16% |
| Boot Barn Holdings, Inc. |
BOOT |
099406100 |
2,331 |
$474,078.78 |
1.10% |
| Crinetics Pharmaceuticals, Inc. |
CRNX |
22663K107 |
10,063 |
$455,652.64 |
1.06% |
| EZCORP, Inc. |
EZPW |
302301106 |
17,618 |
$451,549.34 |
1.05% |
| Praxis Precision Medicines, Inc. |
PRAX |
74006W207 |
1,417 |
$452,830.69 |
1.05% |
| RBC Bearings Incorporated |
RBC |
75524B104 |
810 |
$440,656.20 |
1.02% |
| AeroVironment, Inc. |
AVAV |
008073108 |
1,698 |
$436,725.60 |
1.01% |
| Installed Building Products, Inc. |
IBP |
45780R101 |
1,285 |
$422,662.20 |
0.98% |
| FirstCash Holdings, Inc. |
FCFS |
33768G107 |
2,285 |
$415,687.20 |
0.96% |
| nLight, Inc. |
LASR |
65487K100 |
8,009 |
$409,420.08 |
0.95% |
| iRhythm Holdings, Inc. |
IRTC |
450056106 |
2,726 |
$399,277.22 |
0.93% |
| Kratos Defense & Security Solutions, Inc. |
KTOS |
50077B207 |
4,196 |
$396,144.36 |
0.92% |
| Planet Labs PBC (Class A) |
PL |
72703X106 |
16,556 |
$368,536.56 |
0.85% |
| TechnipFMC Plc |
FTI |
G87110105 |
6,112 |
$360,974.72 |
0.84% |
| Uranium Energy Corp |
UEC |
916896103 |
22,588 |
$364,118.56 |
0.84% |
| Eos Energy Enterprises, Inc. |
EOSE |
29415C101 |
29,018 |
$357,211.58 |
0.83% |
| InterDigital, Inc. |
IDCC |
45867G101 |
958 |
$355,494.64 |
0.82% |
| FTAI Aviation Ltd. |
FTAI |
G3730V105 |
1,286 |
$350,576.46 |
0.81% |
| Sitime Corporation |
SITM |
82982T106 |
839 |
$351,280.91 |
0.81% |
| Curtiss-Wright Corporation |
CW |
231561101 |
532 |
$345,438.24 |
0.80% |
| SPX Technologies |
SPXC |
78473E103 |
1,543 |
$343,039.76 |
0.80% |
| Encore Capital Group, Inc. |
ECPG |
292554102 |
5,794 |
$334,603.50 |
0.78% |
| Halozyme Therapeutics, Inc. |
HALO |
40637H109 |
4,121 |
$334,748.83 |
0.78% |
| Solaris Energy Infrastructure, Inc. (Class A) |
SEI |
83418M103 |
6,505 |
$335,527.90 |
0.78% |
| Mirion Technologies, Inc. |
MIR |
60471A101 |
13,845 |
$333,249.15 |
0.77% |
| Ligand Pharmaceuticals Inc. (Class B) |
LGND |
53220K504 |
1,728 |
$329,080.32 |
0.76% |
| SiteOne Landscape Supply, Inc. |
SITE |
82982L103 |
2,174 |
$326,121.74 |
0.76% |
| Five Below, Inc. |
FIVE |
33829M101 |
1,585 |
$321,136.85 |
0.74% |
| Nextpower Inc. (Class A) |
NXT |
65290E101 |
2,527 |
$306,701.99 |
0.71% |
| Travere Therapeutics, Inc. |
TVTX |
89422G107 |
10,376 |
$308,270.96 |
0.71% |
| Academy Sports and Outdoors, Inc. |
ASO |
00402L107 |
5,129 |
$303,277.77 |
0.70% |
| Carpenter Technology Corporation |
CRS |
144285103 |
825 |
$301,215.75 |
0.70% |
| Palomar Holdings, Inc. |
PLMR |
69753M105 |
2,376 |
$303,225.12 |
0.70% |
| Impinj, Inc. |
PI |
453204109 |
2,561 |
$297,178.44 |
0.69% |
| First Watch Restaurant Group, Inc. |
FWRG |
33748L101 |
16,755 |
$293,882.70 |
0.68% |
| Leonardo DRS, Inc. |
DRS |
52661A108 |
7,398 |
$288,004.14 |
0.67% |
| Turning Point Brands, Inc. |
TPB |
90041L105 |
2,234 |
$290,352.98 |
0.67% |
| Exelixis, Inc. |
EXEL |
30161Q104 |
6,442 |
$282,803.80 |
0.66% |
| BridgeBio Pharma, Inc. |
BBIO |
10806X102 |
4,101 |
$279,073.05 |
0.65% |
| Ollie's Bargain Outlet Holdings, Inc. |
OLLI |
681116109 |
2,502 |
$281,475.00 |
0.65% |
| Arrowhead Pharmaceuticals, Inc. |
ARWR |
04280A100 |
4,226 |
$272,661.52 |
0.63% |
| BWX Technologies, Inc. |
BWXT |
05605H100 |
1,367 |
$269,558.73 |
0.63% |
| Clearwater Analytics Holdings, Inc. (Class A) |
CWAN |
185123106 |
11,248 |
$268,264.80 |
0.62% |
| Natera, Inc. |
NTRA |
632307104 |
1,259 |
$255,627.36 |
0.59% |
| Cameco Corporation |
CCJ |
13321L108 |
2,219 |
$252,144.97 |
0.58% |
| Camtek Ltd. |
CAMT |
M20791105 |
1,664 |
$247,969.28 |
0.58% |
| Supernus Pharmaceuticals, Inc. |
SUPN |
868459108 |
4,823 |
$249,107.95 |
0.58% |
| Weatherford International Plc |
WFRD |
G48833118 |
2,375 |
$250,586.25 |
0.58% |
| Edgewise Therapeutics, Inc. |
EWTX |
28036F105 |
8,421 |
$245,051.10 |
0.57% |
| Rhythm Pharmaceuticals, Inc. |
RYTM |
76243J105 |
2,362 |
$244,726.82 |
0.57% |
| Credo Technology Group Holding Ltd |
CRDO |
G25457105 |
2,153 |
$239,844.20 |
0.56% |
| National Vision Holdings, Inc. |
EYE |
63845R107 |
8,360 |
$241,771.20 |
0.56% |
| Xenon Pharmaceuticals Inc. |
XENE |
98420N105 |
5,844 |
$241,824.72 |
0.56% |
| Coherent Corp. |
COHR |
19247G107 |
1,044 |
$237,697.92 |
0.55% |
| Pan American Silver Corp. |
PAAS |
697900108 |
4,274 |
$235,967.54 |
0.55% |
| Repligen Corporation |
RGEN |
759916109 |
1,656 |
$235,450.08 |
0.55% |
| Ciena Corporation |
CIEN |
171779309 |
863 |
$234,149.16 |
0.54% |
| Crane Company |
CR |
224408104 |
1,194 |
$234,286.68 |
0.54% |
| Kymera Therapeutics, Inc. |
KYMR |
501575104 |
2,920 |
$232,402.80 |
0.54% |
| Lumentum Holdings Inc. |
LITE |
55024U109 |
421 |
$232,387.79 |
0.54% |
| Apogee Therapeutics, Inc. |
APGE |
03770N101 |
3,688 |
$229,541.12 |
0.53% |
| OSI Systems, Inc. |
OSIS |
671044105 |
847 |
$229,757.22 |
0.53% |
| Travel + Leisure Co. |
TNL |
894164102 |
3,045 |
$223,655.25 |
0.52% |
| Viper Energy, Inc. (Class A) |
VNOM |
64361Q101 |
5,093 |
$218,438.77 |
0.51% |
| Amicus Therapeutics, Inc. |
FOLD |
03152W109 |
15,207 |
$217,460.10 |
0.50% |
| Construction Partners, Inc. (Class A) |
ROAD |
21044C107 |
1,708 |
$217,001.40 |
0.50% |
| MAXIMUS, Inc. |
MMS |
577933104 |
2,880 |
$216,230.40 |
0.50% |
| Medpace Holdings, Inc. |
MEDP |
58506Q109 |
397 |
$215,189.88 |
0.50% |
| Customers Bancorp, Inc. |
CUBI |
23204G100 |
2,753 |
$209,998.84 |
0.49% |
| Amprius Technologies, Inc. |
AMPX |
03214Q108 |
16,863 |
$206,403.12 |
0.48% |
| ESCO Technologies Inc. |
ESE |
296315104 |
810 |
$205,011.00 |
0.48% |
| Flowserve Corporation |
FLS |
34354P105 |
2,416 |
$206,471.36 |
0.48% |
| Montrose Environmental Group, Inc. |
MEG |
615111101 |
8,351 |
$206,186.19 |
0.48% |
| Saia, Inc. |
SAIA |
78709Y105 |
501 |
$208,145.46 |
0.48% |
| Scholar Rock Holding Corporation |
SRRK |
80706P103 |
4,376 |
$208,385.12 |
0.48% |
| AAON, Inc. |
AAON |
000360206 |
2,106 |
$203,081.58 |
0.47% |
| Balchem Corporation |
BCPC |
057665200 |
1,169 |
$202,424.04 |
0.47% |
| Kinsale Capital Group, Inc. |
KNSL |
49714P108 |
485 |
$200,838.50 |
0.47% |
| Lattice Semiconductor Corporation |
LSCC |
518415104 |
2,357 |
$203,668.37 |
0.47% |
| Magnolia Oil & Gas Corporation (Class A) |
MGY |
559663109 |
7,522 |
$203,018.78 |
0.47% |
| Modine Manufacturing Company |
MOD |
607828100 |
944 |
$203,639.68 |
0.47% |
| PTC Therapeutics, Inc. |
PTCT |
69366J200 |
2,741 |
$204,697.88 |
0.47% |
| Silicon Laboratories Inc. |
SLAB |
826919102 |
990 |
$204,435.00 |
0.47% |
| Sterling Infrastructure, Inc. |
STRL |
859241101 |
500 |
$200,645.00 |
0.47% |
| Dycom Industries, Inc. |
DY |
267475101 |
497 |
$199,033.59 |
0.46% |
| Ryan Specialty Holdings, Inc. (Class A) |
RYAN |
78351F107 |
4,140 |
$196,732.80 |
0.46% |
| Wingstop Inc. |
WING |
974155103 |
755 |
$199,327.55 |
0.46% |
| Bio-Techne Corporation |
TECH |
09073M104 |
2,897 |
$193,461.66 |
0.45% |
| Globus Medical, Inc. (Class A) |
GMED |
379577208 |
2,213 |
$194,323.54 |
0.45% |
| Axsome Therapeutics, Inc. |
AXSM |
05464T104 |
1,029 |
$187,843.95 |
0.44% |
| Madrigal Pharmaceuticals, Inc. |
MDGL |
558868105 |
401 |
$191,517.60 |
0.44% |
| Semtech Corporation |
SMTC |
816850101 |
2,199 |
$190,213.50 |
0.44% |
| Embraer S.A. (ADR) |
EMBJ |
29082A107 |
2,598 |
$184,432.02 |
0.43% |
| ICON Plc |
ICLR |
G4705A100 |
1,243 |
$187,183.37 |
0.43% |
| Virtu Financial, Inc. (Class A) |
VIRT |
928254101 |
4,787 |
$184,443.11 |
0.43% |
| Spyre Therapeutics, Inc. |
SYRE |
00773J202 |
5,191 |
$182,307.92 |
0.42% |
| Septerna, Inc. |
SEPN |
81734D104 |
7,015 |
$178,251.15 |
0.41% |
| TransMedics Group, Inc. |
TMDX |
89377M109 |
1,302 |
$175,848.12 |
0.41% |
| Compass, Inc. (Class A) |
COMP |
20464U100 |
13,883 |
$170,344.41 |
0.40% |
| JBT Marel Corporation |
JBTM |
477839104 |
1,031 |
$173,775.05 |
0.40% |
| Structure Therapeutics Inc. |
GPCR |
86366E106 |
2,307 |
$172,840.44 |
0.40% |
| Tarsus Pharmaceuticals, Inc. |
TARS |
87650L103 |
2,701 |
$174,538.62 |
0.40% |
| Wave Life Sciences Ltd. |
WVE |
Y95308105 |
12,732 |
$171,245.40 |
0.40% |
| Onto Innovation Inc. |
ONTO |
683344105 |
804 |
$167,634.00 |
0.39% |
| Silicon Motion Technology Corporation (ADR) |
SIMO |
82706C108 |
1,298 |
$166,221.88 |
0.39% |
| Hub Group, Inc. |
HUBG |
443320106 |
3,887 |
$163,098.52 |
0.38% |
| Protagonist Therapeutics, Inc. |
PTGX |
74366E102 |
1,949 |
$164,671.01 |
0.38% |
| BioLife Solutions, Inc. |
BLFS |
09062W204 |
7,163 |
$160,666.09 |
0.37% |
| BRP Inc. |
DOO |
05577W200 |
2,067 |
$160,905.67 |
0.37% |
| Immunome, Inc. |
IMNM |
45257U108 |
6,448 |
$160,426.24 |
0.37% |
| The Descartes Systems Group Inc. |
DSGX |
249906108 |
2,357 |
$157,400.46 |
0.37% |
| Bright Horizons Family Solutions Inc. |
BFAM |
109194100 |
1,764 |
$151,845.12 |
0.35% |
| HealthEquity, Inc. |
HQY |
42226A107 |
1,907 |
$151,511.15 |
0.35% |
| Hudbay Minerals Inc. |
HBM |
443628102 |
6,019 |
$148,849.87 |
0.35% |
| Magnite, Inc. |
MGNI |
55955D100 |
13,263 |
$149,739.27 |
0.35% |
| Zeta Global Holdings Corp. (Class A) |
ZETA |
98956A105 |
8,872 |
$149,848.08 |
0.35% |
| Definium Therapeutics Inc. |
DFTX |
24477V105 |
8,631 |
$145,863.90 |
0.34% |
| Lindsay Corporation |
LNN |
535555106 |
1,097 |
$147,030.91 |
0.34% |
| Federal Signal Corporation |
FSS |
313855108 |
1,226 |
$143,086.46 |
0.33% |
| Genius Sports Limited |
GENI |
G3934V109 |
23,216 |
$141,385.44 |
0.33% |
| Manhattan Associates, Inc. |
MANH |
562750109 |
990 |
$143,619.30 |
0.33% |
| Pure Storage, Inc. (Class A) |
PSTG |
74624M102 |
1,979 |
$140,489.21 |
0.33% |
| LendingClub Corporation |
LC |
52603A208 |
8,108 |
$137,349.52 |
0.32% |
| Rubrik, Inc. (Class A) |
RBRK |
781154109 |
2,699 |
$137,837.93 |
0.32% |
| Carvana Co. (Class A) |
CVNA |
146869102 |
331 |
$133,614.77 |
0.31% |
| MYR Group Inc. |
MYRG |
55405W104 |
505 |
$135,723.80 |
0.31% |
| Paymentus Holdings, Inc. (Class A) |
PAY |
70439P108 |
5,463 |
$135,537.03 |
0.31% |
| StoneX Group Inc. |
SNEX |
861896108 |
1,102 |
$132,835.08 |
0.31% |
| Victoria's Secret & Co. |
VSCO |
926400102 |
2,163 |
$135,057.72 |
0.31% |
| Archrock, Inc. |
AROC |
03957W106 |
3,994 |
$128,007.70 |
0.30% |
| Varonis Systems, Inc. |
VRNS |
922280102 |
5,705 |
$129,218.25 |
0.30% |
| Agilysys, Inc. |
AGYS |
00847J105 |
1,475 |
$126,864.75 |
0.29% |
| Centrus Energy Corp. (Class A) |
LEU |
15643U104 |
471 |
$124,094.37 |
0.29% |
| Indivior Pharmaceuticals, Inc. |
INDV |
45579U109 |
3,661 |
$125,791.96 |
0.29% |
| James Hardie Industries Plc |
JHX |
G4253H101 |
5,309 |
$125,504.76 |
0.29% |
| Nuvalent, Inc. (Class A) |
NUVL |
670703107 |
1,191 |
$123,375.69 |
0.29% |
| Power Integrations, Inc. |
POWI |
739276103 |
2,663 |
$126,066.42 |
0.29% |
| Sportradar Group AG (Class A) |
SRAD |
H8088L103 |
7,235 |
$122,922.65 |
0.29% |
| Thor Industries, Inc. |
THO |
885160101 |
1,044 |
$125,259.12 |
0.29% |
| Alliance Laundry Holdings Inc. |
ALH |
01862Q107 |
4,970 |
$119,379.40 |
0.28% |
| Arcutis Biotherapeutics, Inc. |
ARQT |
03969K108 |
4,343 |
$118,650.76 |
0.28% |
| Celestica Inc. |
CLS |
15101Q207 |
394 |
$121,166.82 |
0.28% |
| Everus Construction Group, Inc. |
ECG |
300426103 |
1,248 |
$121,417.92 |
0.28% |
| Guidewire Software, Inc. |
GWRE |
40171V100 |
937 |
$120,114.03 |
0.28% |
| Gulfport Energy Corporation |
GPOR |
402635502 |
576 |
$122,238.72 |
0.28% |
| IES Holdings, Inc. |
IESC |
44951W106 |
264 |
$120,352.32 |
0.28% |
| Knight-Swift Transportation Holdings Inc. |
KNX |
499049104 |
1,982 |
$119,256.94 |
0.28% |
| Legence Corp. (Class A) |
LGN |
52476L109 |
2,467 |
$120,562.29 |
0.28% |
| MP Materials Corp. |
MP |
553368101 |
1,941 |
$118,905.66 |
0.28% |
| Titan Machinery Inc. |
TITN |
88830R101 |
6,587 |
$122,518.20 |
0.28% |
| Brinker International, Inc. |
EAT |
109641100 |
701 |
$118,419.93 |
0.27% |
| Cognex Corporation |
CGNX |
192422103 |
2,754 |
$116,686.98 |
0.27% |
| Ormat Technologies, Inc. |
ORA |
686688102 |
944 |
$116,253.60 |
0.27% |
| Rush Street Interactive, Inc. |
RSI |
782011100 |
6,506 |
$114,961.02 |
0.27% |
| Schrodinger, Inc. |
SDGR |
80810D103 |
8,710 |
$117,497.90 |
0.27% |
| CG Oncology, Inc. |
CGON |
156944100 |
2,252 |
$113,410.72 |
0.26% |
| Dutch Bros Inc. (Class A) |
BROS |
26701L100 |
1,953 |
$111,399.12 |
0.26% |
| Kornit Digital Ltd. |
KRNT |
M6372Q113 |
7,900 |
$113,286.00 |
0.26% |
| Steven Madden, Ltd. |
SHOO |
556269108 |
3,084 |
$110,129.64 |
0.26% |
| Azenta Inc. |
AZTA |
114340102 |
3,815 |
$109,566.80 |
0.25% |
| Global-E Online Ltd. |
GLBE |
M5216V106 |
3,258 |
$106,243.38 |
0.25% |
| UL Solutions Inc. (Class A) |
ULS |
903731107 |
1,527 |
$109,165.23 |
0.25% |
| Antero Resources Corporation |
AR |
03674X106 |
2,988 |
$102,697.56 |
0.24% |
| SentinelOne, Inc. (Class A) |
S |
81730H109 |
7,864 |
$103,962.08 |
0.24% |
| US Dollar |
$USD |
|
105,613 |
$105,612.52 |
0.24% |
| Alkermes Plc |
ALKS |
G01767105 |
2,861 |
$99,877.51 |
0.23% |
| Ambarella, Inc. |
AMBA |
G037AX101 |
1,585 |
$100,869.40 |
0.23% |
| HCI Group, Inc. |
HCI |
40416E103 |
601 |
$98,137.29 |
0.23% |
| Axon Enterprise Inc. |
AXON |
05464C101 |
234 |
$96,922.80 |
0.22% |
| Generac Holdings Inc. |
GNRC |
368736104 |
521 |
$95,619.13 |
0.22% |
| Braze, Inc. (Class A) |
BRZE |
10576N102 |
4,986 |
$88,700.94 |
0.21% |
| Cipher Mining Inc. |
CIFR |
17253J106 |
6,132 |
$90,324.36 |
0.21% |
| Simulations Plus, Inc. |
SLP |
829214105 |
5,992 |
$87,303.44 |
0.20% |
| Tenable Holdings, Inc. |
TENB |
88025T102 |
4,032 |
$85,599.36 |
0.20% |
| PAR Technology Corporation |
PAR |
698884103 |
3,635 |
$80,842.40 |
0.19% |
| The RealReal, Inc. |
REAL |
88339P101 |
6,348 |
$83,095.32 |
0.19% |
| Veracyte, Inc. |
VCYT |
92337F107 |
2,271 |
$82,187.49 |
0.19% |
| Bullish |
BLSH |
G16910120 |
2,880 |
$79,056.00 |
0.18% |
| Alphatec Holdings, Inc. |
ATEC |
02081G201 |
5,379 |
$74,337.78 |
0.17% |
| HealthStream, Inc. |
HSTM |
42222N103 |
3,726 |
$74,855.34 |
0.17% |
| Netskope, Inc. (Class A) |
NTSK |
64119N608 |
6,262 |
$75,206.62 |
0.17% |
| TeraWulf Inc. |
WULF |
88080T104 |
5,270 |
$75,308.30 |
0.17% |
| Toast, Inc. (Class A) |
TOST |
888787108 |
2,412 |
$66,884.76 |
0.16% |
| Axogen, Inc. |
AXGN |
05463X106 |
1,817 |
$63,467.81 |
0.15% |
| JFrog Ltd. |
FROG |
M6191J100 |
1,331 |
$63,874.69 |
0.15% |
| Revolve Group, Inc. |
RVLV |
76156B107 |
2,393 |
$64,419.56 |
0.15% |
| Via Transportation, Inc. (Class A) |
VIA |
92556W104 |
3,167 |
$65,113.52 |
0.15% |
| American Superconductor Corporation |
AMSC |
030111207 |
2,051 |
$57,776.67 |
0.13% |
| Inspire Medical Systems, Inc. |
INSP |
457730109 |
811 |
$53,282.70 |
0.12% |
| Neptune Insurance Holdings Inc. (Class A) |
NP |
64073B103 |
2,237 |
$52,703.72 |
0.12% |
| Park Aerospace Corp. |
PKE |
70014A104 |
2,213 |
$53,820.16 |
0.12% |
| Patrick Industries, Inc. |
PATK |
703343103 |
367 |
$51,691.95 |
0.12% |
| GeneDx Holdings Corp. |
WGS |
81663L200 |
523 |
$44,083.67 |
0.10% |
| HEICO Corporation (Class A) |
HEI/A |
422806208 |
108 |
$27,124.20 |
0.06% |
| Insulet Corporation |
PODD |
45784P101 |
108 |
$26,128.44 |
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.
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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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