Notice2023-03230
Proposed Collection; Comment Request: Extension; “Ombudsman Matter Management System Submission Form”
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
February 15, 2023
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 88 Issue 31 (Wednesday, February 15, 2023)</title>
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[Federal Register Volume 88, Number 31 (Wednesday, February 15, 2023)]
[Notices]
[Pages 9929-9930]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-03230]
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SECURITIES AND EXCHANGE COMMISSION
[SEC File No. 270-797, OMB Control No. 3235-0748]
Proposed Collection; Comment Request: Extension; ``Ombudsman
Matter Management System Submission Form''
Upon Written Request Copies Available From: Securities and Exchange
Commission, Office of the Investor Advocate, Washington, DC 20549-3720
Notice is hereby given pursuant to the Paperwork Reduction Act of
1995 (44 U.S.C. 3501 et seq.) that the Securities and Exchange
Commission (``Commission'') is soliciting comments on the collection of
information summarized below. The Commission plans to submit this
existing collection of information to the Office of Management and
Budget (``OMB'') for extension and approval.
Each year the Commission's Office of the Investor Advocate, Office
of the Ombudsman (``Ombudsman'') receives over a thousand contacts from
investors who have complaints or questions about the SEC or any of the
self-regulatory organizations that it oversees. To make it easier for
the public to contact the Ombudsman, the Ombudsman (``Ombudsman'')
created an electronic form (Ombudsman Matter Management System
Submission Form) that provides drop down options to choose from in
order to categorize the investor's complaint or question, and may also
provide the investor with automated information about their issue. The
Ombudsman Matter Management System (OMMS) Submission Form asks
investors to provide information concerning, among other things, their
names, how they can be reached, the names of the individuals or
entities involved, the nature of their complaint or tip, what documents
they can provide, and what, if any, actions they have taken. Use of the
Ombudsman Matter Management System Submission Form is voluntary. Absent
the forms, the public still has several ways to contact the Ombudsman,
including telephone, letters, and email. Investors can access the
Ombudsman Matter Management System Submission Form through the
Ombudsman web page at the web address <a href="https://www.sec.gov/ombudsman">https://www.sec.gov/ombudsman</a> or
directly at the web address <a href="https://omms.sec.gov">https://omms.sec.gov</a>.
The dual purpose of the Ombudsman Matter Management System
Submission Form is to make it easier for the public to contact the
agency with complaints,
[[Page 9930]]
questions, tips, or other feedback and to streamline the workflow of
Ombudsman staff that record, process, and respond to investor contacts.
Investors who submit complaints, ask questions, or provide tips do so
voluntarily. Although the Ombudsman Matter Management System Submission
Form provides a structured format for incoming investor correspondence,
the Commission does not require that investors use any particular form
or format when contacting the Ombudsman. Investors who choose not to
use the Ombudsman Matter Management System Submission Form will receive
the same level of service as those who do.
The Ombudsman receives approximately 1,500 contacts each year
through the Ombudsman Matter Management System Submission Form. The
Ombudsman uses the information that investors supply on the Ombudsman
Matter Management System Submission Form to review and process the
contact (which may, in turn, involve responding to questions,
processing complaints, or, as appropriate, referring matters to
enforcement or examinations for potential investigations), to maintain
a record of contacts, to track the volume of investor complaints, and
to analyze trends.
The staff of the Commission estimates that the total reporting
burden for using the Ombudsman Matter Management System Submission Form
is 750 hours. The calculation of this estimate depends on the number of
investors who use the forms each year and the estimated time it takes
to complete the forms: 1,500 respondents x 30 minutes = 750 burden
hours. Members of the public should be aware that an agency may not
conduct or sponsor, and a person is not required to respond to, a
collection of information unless a currently valid OMB control number
is displayed. Background documentation for this information collection
may be viewed at the following link, <a href="http://www.reginfo.gov">http://www.reginfo.gov</a>. General
comments regarding the above information submitted within 60 days of
this publication will be considered by April 17, 2023 and should be
directed to the following persons: (i) Desk Officer for the Securities
and Exchange Commission, Office of Information and Regulatory Affairs,
Office of Management and Budget, Room 10102, New Executive Office
Building, Washington, DC 20503 or send an email to:
<a href="/cdn-cgi/l/email-protection#73201b1214061507122c321b1e1617331c1e115d161c035d141c05"><span class="__cf_email__" data-cfemail="75261d1412001301142a341d181011351a18175b101a055b121a03">[email protected]</span></a>; and (ii) David Bottom, Director/Chief
Information Officer, Securities and Exchange Commission, c/o John R.
Pezzullo, 100 F St NE, Washington, DC 20549; or send an email to:
<a href="/cdn-cgi/l/email-protection#f4a4a6b5abb9959d98969b8cb4879197da939b82"><span class="__cf_email__" data-cfemail="e2b2b0a3bdaf838b8e808d9aa2918781cc858d94">[email protected]</span></a>.
Dated: February 10, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-03230 Filed 2-14-23; 8:45 am]
BILLING CODE 8011-01-P
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