Notice2026-01213
Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Ombudsman Matter Management System (OMMS) 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
January 23, 2026
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 91 Issue 15 (Friday, January 23, 2026)</title>
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[Federal Register Volume 91, Number 15 (Friday, January 23, 2026)]
[Notices]
[Pages 2981-2982]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-01213]
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SECURITIES AND EXCHANGE COMMISSION
[OMB Control No. 3235-0748]
Agency Information Collection Activities; Proposed Collection;
Comment Request; Extension: Ombudsman Matter Management System (OMMS)
Submission 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. Sec. 3501 et seq.), the Securities and Exchange
Commission (SEC or ``Commission'') is soliciting comments on the
proposed collection of information.
The Ombudsman Matter Management System (``OMMS'') is an electronic
data collection system for the receipt, collection and analysis of
inquiries, complaints, and recommendations from retail investors
directed to the SEC Ombudsman (``Ombuds'') and the Office of the
Investor Advocate. Section 4(g)(8) of the Securities Exchange Act of
1934 (Exchange Act), 15 U.S.C. 78d(g)(8) requires the SEC Ombuds to (i)
act as a liaison between the Commission and any retail investor in
resolving problems that retail investors may have with the Commission
or with self-regulatory organizations (``SROs''); (ii) review and make
recommendations regarding policies and procedures to encourage persons
to present questions to the Investor Advocate regarding compliance with
the securities laws; and (iii) establish safeguards to maintain the
confidentiality of communications between the persons described in
clause (ii) and the Ombuds. In addition, Section 4(g)(8) of the
Securities Exchange Act of 1934 (Exchange Act), 15 U.S.C. 78d(g)(8)
requires the Ombuds to submit a semi-annual report to the Investor
Advocate describing the activities and evaluating the effectiveness of
the Ombuds during the preceding year.
Each year, the SEC's Office of the Investor Advocate, Office of the
Ombuds receives over 2,500 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
Ombuds, the Ombuds created an electronic form, the OMMS 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 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 OMMS Submission Form is voluntary. Absent the forms,
the public still has several ways to contact the Ombuds, including
telephone, letters, and email. Investors can access the OMMS Submission
Form through the Ombuds web page at the web address <a href="https://www.sec.gov/ombuds">https://www.sec.gov/ombuds</a> or directly at the web address <a href="https://omms.sec.gov">https://omms.sec.gov</a>.
The dual purpose of the OMMS 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 Ombuds staff that
record, process, and respond to investor contacts. Investors who submit
complaints, ask questions, or provide tips do so voluntarily. Although
the OMMS Submission Form provides a structured format for incoming
investor correspondence, the Commission does not require that investors
use any particular form or format when
[[Page 2982]]
contacting the Ombuds. Investors who choose not to use the OMMS
Submission Form will receive the same level of service as those who do.
The Ombuds receives approximately 1,500 contacts each year through
the OMMS Submission Form. The Ombuds uses the information that
investors supply on the OMMS 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 OMMS 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.
An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid OMB Control Number.
Written comments are invited on: (a) whether this proposed
collection of information is necessary for the proper performance of
the functions of the SEC, including whether the information will have
practical utility; (b) the accuracy of the SEC's estimate of the burden
imposed by the proposed collection of information, including the
validity of the methodology and the assumptions used; (c) ways to
enhance the quality, utility, and clarity of the information to be
collected; and (d) ways to minimize the burden of the collection of
information on respondents, including through the use of automated,
electronic collection techniques or other forms of information
technology.
Please direct your written comments on this 60-Day Collection
Notice to Austin Gerig, Director/Chief Data Officer, Securities and
Exchange Commission, c/o Tanya Ruttenberg via email to
<a href="/cdn-cgi/l/email-protection#b7e7d6c7d2c5c0d8c5dce5d2d3c2d4c3ded8d9f6d4c3f7c4d2d499d0d8c1"><span class="__cf_email__" data-cfemail="2c7c4d5c495e5b435e477e4948594f584543426d4f586c5f494f024b435a">[email protected]</span></a> by March 24, 2026. There will be a second
opportunity to comment on this SEC request following the Federal
Register publishing a 30-Day Submission Notice.
Dated: January 20, 2026.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026-01213 Filed 1-22-26; 8:45 am]
BILLING CODE 8011-01-P
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