Notice2023-08419
Submission for OMB Review; 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
April 21, 2023
Issuing agencies
Securities and Exchange Commission
Full Text
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[Federal Register Volume 88, Number 77 (Friday, April 21, 2023)]
[Notices]
[Pages 24645-24646]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-08419]
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SECURITIES AND EXCHANGE COMMISSION
[SEC File No. 270-797 OMB Control No. 3235-0748]
Submission for OMB Review; Comment Request: Extension;
``Ombudsman Matter Management System Submission Form''
Upon Written Request Copies Available From: Securities and Exchange
Commission, Office of the Investor Advocate, 100 F Street NE,
Washington, DC 20549-3720
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') has submitted to the Office of Management
and Budget (``OMB'') a request to approve the collection of information
discussed below.
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, 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 should be directed to the
following persons within 30 days of publication of this notice by May
22, 2023 to (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#57043f36302231233608163f3a323317383a357932382779303821"><span class="__cf_email__" data-cfemail="0b58636a6c7e6d7f6a544a63666e6f4b646669256e647b256c647d">[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#dc8c8e9d8391bdb5b0beb3a49cafb9bff2bbb3aa"><span class="__cf_email__" data-cfemail="6a3a382b35270b03060805122a190f09440d051c">[email protected]</span></a>.
Comments must be
[[Page 24646]]
submitted to OMB within 30 days of this notice.
Dated: April 17, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-08419 Filed 4-20-23; 8:45 am]
BILLING CODE 8011-01-P
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