17 C.F.R. § 146.10
Information supplied by the Commission when collecting information from an individual.
Cite as 17 C.F.R. § 146.10 (2026)
The Commission will inform each individual whom it asks to supply information, on the form which it uses to collect the information or on a separate form that can be retained by the individual of:
(a) The authority (whether granted by statute, or by executive order of the President) which authorizes the solicitation of the information and whether disclosure of such information is mandatory or voluntary;
(b) The principal purpose or purposes for which the information is intended to be used;
(c) The routine uses which may be made of the information, as published in the
Federal Register;
and
(d) The effects on him, if any, of not providing all or any part of the requested information.