Notice2026-04787
Agency Information Collection Activities; Proposed Collection; 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
March 12, 2026
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 91 Issue 48 (Thursday, March 12, 2026)</title>
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[Federal Register Volume 91, Number 48 (Thursday, March 12, 2026)]
[Notices]
[Pages 12229-12230]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-04787]
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SECURITIES AND EXCHANGE COMMISSION
[OMB Control No. 3235-0547]
Agency Information Collection Activities; Proposed Collection;
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. Sec. 3501 et seq.), the Securities and Exchange
Commission (SEC or ``Commission'') is soliciting comments on the
proposed collection of information.
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 Assistance (``OIEA'') created an electronic form (the
Investor Form at <a href="http://www.sec.gov/complaint/question.shtml">http://www.sec.gov/complaint/question.shtml</a>) 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 (<a href="http://www.sec.gov/complaint/question.shtml">http://www.sec.gov/complaint/question.shtml</a>).
OIEA receives approximately 13,000 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 dual purpose of
the form is to make it easier for the public to contact the agency with
complaints, questions, tips, or other feedback and to further
streamline the workflow of Commission staff that record, process, and
respond to investor contacts.
The Commission uses the information that investors supply on the
Investor
[[Page 12230]]
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. Use of the Investor Form is voluntary. 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.
The staff of the Commission estimates that the total reporting
burden for using the Investor Form is 3,250 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: 13,000
respondents x 15 minutes = 3,250 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#beeedfcedbccc9d1ccd5ecdbdacbddcad7d1d0ffddcafecddbdd90d9d1c8"><span class="__cf_email__" data-cfemail="5606372633242139243d0433322335223f39381735221625333578313920">[email protected]</span></a> by May 11, 2026. There will be a second
opportunity to comment on this SEC request following the Federal
Register publishing a 30-Day Submission Notice.
Dated: March 9, 2026.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026-04787 Filed 3-11-26; 8:45 am]
BILLING CODE 8011-01-P
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