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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549FORM 12b25 NOTIFICATION OF LATE FILING (Check one): Form 10K Form NEAR Form 20F Form CSR Form 11K Form 10QOMB APPROVAL OMB Number:

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Who needs 17 cfr27030a-2 - certification?

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The 17 cfr27030a-2 - certification is needed by individuals or entities who fall under the specific requirements set forth by the U.S. Securities and Exchange Commission (SEC) and need to certify their compliance with certain regulations. Typically, this certification is required for individuals or entities involved in the financial industry, such as investment advisers, broker-dealers, and other market participants regulated by the SEC. It is important to consult the relevant regulations and legal professionals to determine if you or your organization requires the 17 cfr27030a-2 - certification.

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What is 17 cfr27030a-2 - certification?

17 CFR 270.30a-2 is a regulation that requires investment companies to certify that they have adopted and implemented policies and procedures reasonably designed to prevent violations of the Investment Company Act of 1940.

Who is required to file 17 cfr27030a-2 - certification?

Investment companies registered under the Investment Company Act of 1940 are required to file the 17 CFR 270.30a-2 certification.

How to fill out 17 cfr27030a-2 - certification?

To fill out the 17 CFR 270.30a-2 certification, investment companies must provide the required information regarding their compliance policies and procedures, ensuring that they meet the regulatory standards set forth in the act.

What is the purpose of 17 cfr27030a-2 - certification?

The purpose of 17 CFR 270.30a-2 certification is to ensure that investment companies have established and are following compliance policies that align with regulations designed to protect investors and maintain market integrity.

What information must be reported on 17 cfr27030a-2 - certification?

The certification must report on the effectiveness of the policies and procedures in preventing violations, any material compliance issues, and other relevant compliance-related information as specified in the regulation.

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