SEC Extension of Ombudsman Matter Management System (OMMS) Form Information Collection
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The U.S. Securities and Exchange Commission is requesting a three-year extension without change of OMB Control No. 3235-0748 for the Ombudsman Matter Management System Submission Form. This voluntary online form allows retail investors to submit complaints, questions, tips, or feedback regarding the SEC or self-regulatory organizations. The Ombuds office receives approximately 1,500 submissions per year through this form out of over 2,500 total contacts. The form collects contact details, involved parties, nature of the issue, supporting documents, and prior actions taken. Use remains voluntary; investors can still contact the office by phone, email, or letter and will receive identical service. The estimated annual burden is 750 hours based on 1,500 respondents taking 30 minutes each. The notice was published on March 30, 2026, with public comments due by April 30, 2026.
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Key Changes
- Extension without change of OMB Control No. 3235-0748 for three years
- Annual burden remains 750 hours (1,500 respondents × 30 minutes)
- Public comment period ends April 30, 2026
+ 3 more changes with Pro
Obligations
What this law requires
SEC Ombuds must act as a liaison between the Commission and retail investors in resolving problems with the SEC or self-regulatory organizations
SEC Ombuds must review and make recommendations regarding policies and procedures to encourage persons to present questions to the Investor Advocate regarding compliance with securities laws
SEC Ombuds must establish safeguards to maintain the confidentiality of communications between persons and the Ombuds
SEC Ombuds must submit a semi-annual report to the Investor Advocate describing Ombuds activities and evaluating effectiveness during the preceding year
SEC must maintain and operate the Ombudsman Matter Management System (OMMS) Submission Form accessible at https://www.sec.gov/ombuds and https://omms.sec.gov as a voluntary contact method for retail investors