Document ID: SEC-2023-0441-0001
Agency: sec
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals: Ombudsman Matter Management System Submission Form
Posted Date: 2023-04-21T04:00Z

[Federal Register Volume 88, Number 77 (Friday, April 21, 2023)]
[Notices]
[Pages 24645-24646]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-08419]

-----------------------------------------------------------------------

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 https://www.sec.gov/ombudsman or 
directly at the web address https://omms.sec.gov.
    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, http://www.reginfo.gov. 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: [email protected]; 
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: [email protected]. 
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