Notice2023-12850
Submission for OMB Review; Comment Request: Extension: “Investor 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
June 16, 2023
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 88 Issue 116 (Friday, June 16, 2023)</title>
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[Federal Register Volume 88, Number 116 (Friday, June 16, 2023)]
[Notices]
[Page 39497]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2023-12850]
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SECURITIES AND EXCHANGE COMMISSION
[SEC File No. 270-485, OMB Control No. 3235-0547]
Submission for OMB Review; Comment Request: Extension: ``Investor
Form''
Upon Written Request Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC
20549-2736
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 receives several thousand contacts from
investors who have complaints or questions on a wide range of
investment-related issues. To make it easier for the public to contact
the agency electronically, the Commission's Office of Investor
Education and Advocacy (``OIEA'') created an electronic form (the
Investor 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
Investor 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 Investor Form is voluntary. Absent the forms, the
public still has several ways to contact the agency, including
telephone, facsimile, letters, and email. Investors can access the
Investor Form through the consolidated Investor Complaint and Question
web page.
The dual purpose of the Investor 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 Commission staff that
record, process, and respond to investor contacts. Investors who submit
complaints, ask questions, or provide tips do so voluntarily. Although
the Investor 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 agency. Investors who
choose not to use the Investor Form will receive the same level of
service as those who do.
OIEA receives approximately 30,000 contacts each year through the
Investor Form. Investors who choose not to use the Investor Form
receive the same level of service as those who do. The Commission uses
the information that investors supply on the Investor Form to review
and process the contact (which may, in turn, involve responding to
questions, processing complaints, or, as appropriate, initiating
enforcement 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 Investor Form is 7,500 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: 30,000
respondents x 15 minutes = 7,500 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>. Written
comments and recommendations for the proposed information collection
should be sent within 30 days of publication of this notice by July 17,
2023 to (i) ><a href="/cdn-cgi/l/email-protection#fbb6b9a3d5b4b6b9d5b4b2a9bad5a8beb8a49f9e8890a4949d9d92989e89bb949699d59e948bd59c948d"><span class="__cf_email__" data-cfemail="511c13097f1e1c137f1e1803107f0214120e3534223a0e3e373738323423113e3c337f343e217f363e27">[email protected]</span></a>< and (ii) David
Bottom, Director/Chief Information Officer, Securities and Exchange
Commission, c/o John Pezzullo, 100 F Street NE, Washington, DC 20549,
or by sending an email to: <a href="/cdn-cgi/l/email-protection#5c0c0e1d03113d35303e33241c2f393f723b332a"><span class="__cf_email__" data-cfemail="3d6d6f7c62705c54515f52457d4e585e135a524b">[email protected]</span></a>.
Dated: June 12, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-12850 Filed 6-15-23; 8:45 am]
BILLING CODE 8011-01-P
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