SEC revises Ombudsman submission form to capture respondent role

The Securities and Exchange Commission has issued a 60-day notice to revise the Ombudsman Matter Management System (OMMS) Submission Form. The revision adds a pre-populated list requiring submitters to indicate whether they are an Individual Investor, Registered Representative, Accountant, Other Financial Professional, Issuer/Attorney for an Issuer, Brokerage Firm Compliance Officer, Academic/Researcher/Student, or Member of the Press. The collection is identified by OMB Control No. 3235-0748 and appears in Federal Register Vol. 91, No. 172 (Sept. 8, 2026), FR Doc No. 2026-18253.

Each year the SEC's Office of the Investor Advocate and the Office of the Ombuds receive over 2,500 contacts from investors. Approximately 1,500 of those contacts are submitted through the electronic OMMS form, which gathers names, contact information, parties involved, complaint nature, supporting documents, and prior actions taken. The form is voluntary; investors may also reach the Ombuds by telephone, letter, or email and will receive the same level of service.

The Commission estimates the total reporting burden for the revised form at 750 hours, calculated as 1,500 respondents multiplied by 30 minutes per submission. The agency is seeking written comments on the necessity, utility, burden estimate, and potential improvements to the collection. Comments must be submitted to Austin Gerig, Director/Chief Data Officer, via email to the address provided no later than Nov. 9, 2026.

The revision does not obligate any respondent to use the form, but it streamlines the Ombuds staff's workflow for recording, processing, and responding to investor contacts, and it enhances the SEC's ability to track complaint volume and analyze trends.