Document ID: SEC-2023-0174-0001
Agency: sec
Document Type: Notice
Title: Agency Information Collection Activities; Proposals, Submissions, and Approvals: Ombudsman Matter Management System Submission Form
Posted Date: 2023-02-15T05:00Z

[Federal Register Volume 88, Number 31 (Wednesday, February 15, 2023)]
[Notices]
[Pages 9929-9930]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-03230]

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

SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-797, OMB Control No. 3235-0748]

Proposed Collection; Comment Request: Extension; ``Ombudsman 
Matter Management System Submission Form''

Upon Written Request Copies Available From: Securities and Exchange 
Commission, Office of the Investor Advocate, Washington, DC 20549-3720

    Notice is hereby given pursuant to the Paperwork Reduction Act of 
1995 (44 U.S.C. 3501 et seq.) that the Securities and Exchange 
Commission (``Commission'') is soliciting comments on the collection of 
information summarized below. The Commission plans to submit this 
existing collection of information to the Office of Management and 
Budget (``OMB'') for extension and approval.
    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,

[[Page 9930]]

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 submitted within 60 days of 
this publication will be considered by April 17, 2023 and should be 
directed to the following persons: (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].

    Dated: February 10, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-03230 Filed 2-14-23; 8:45 am]
BILLING CODE 8011-01-P