Notice2026-06034
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Ombudsman Matter Management System (OMMS) 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 30, 2026
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 91 Issue 60 (Monday, March 30, 2026)</title>
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[Federal Register Volume 91, Number 60 (Monday, March 30, 2026)]
[Notices]
[Pages 15654-15655]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-06034]
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SECURITIES AND EXCHANGE COMMISSION
[OMB Control No. 3235-0748]
Agency Information Collection Activities; Submission for OMB
Review; Comment Request; Extension: Ombudsman Matter Management System
(OMMS) 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 submitting to the Office of
Management and Budget (OMB) this request for extension without change
of the proposed collection of information.
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 Commission's Office of the Investor Advocate, Office
of the Ombuds (``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
[[Page 15655]]
Ombuds, the Ombuds 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 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 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 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.
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.
The public may view and comment on this information collection
request at: <a href="https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202601-3532-008">https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202601-3532-008</a> or email comment to
<a href="/cdn-cgi/l/email-protection#410c03196f0e0c036f0e0813006f1204021e2524322a1e2e272728222433012e2c236f242e316f262e37"><span class="__cf_email__" data-cfemail="f4b9b6acdabbb9b6dabbbda6b5daa7b1b7ab9091879fab9b92929d979186b49b9996da919b84da939b82">[email protected]</span></a> within 30 days of the day
after publication of this notice, by April 30, 2026.
Dated: March 25, 2026.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2026-06034 Filed 3-27-26; 8:45 am]
BILLING CODE 8011-01-P
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