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OMB Control No: 3235-0748	ICR Reference No: 202601-3235-008
Status: Received in OIRA	Previous ICR Reference No: 202303-3235-038
Agency/Subagency: SEC	Agency Tracking No: OIAD
Title: Ombudsman Matter Management System (OMMS) Submission Form
Type of Information Collection: Revision of a currently approved collection	Common Form ICR: No
Type of Review Request: Regular	Date Submitted to OIRA: 03/30/2026

	Requested	Previously Approved
Expiration Date	36 Months From Approved	06/30/2026
Responses	1,500	1,500
Time Burden (Hours)	750	750
Cost Burden (Dollars)	0	0

Abstract: In 2017, the Securities and Exchange Commission (“Commission”) introduced the Ombudsman Matter Management System (“OMMS”), an electronic data collection system for the receipt, collection and analysis of inquiries, complaints, and recommendations from retail investors directed to the SEC Ombudsman and the Office of the Investor Advocate. Section 4(g)(8) of the Securities Exchange Act of 1934 (Exchange Act), 15 U.S.C. § 78d(g)(8) requires the SEC Ombudsman 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 Ombudsman. In addition, Section 4(g)(8) of the Securities Exchange Act of 1934 (Exchange Act), 15 U.S.C. § 78d(g)(8) requires the Ombudsman to submit a semi-annual report to the Investor Advocate describing the activities and evaluating the effectiveness of the Ombudsman during the preceding year. Prior to 2017, the Ombudsman utilized a manual system to input investor inquiries and concerns, track staff responses, and analyze data and trends. This process was time-intensive and not optimally efficient. To address these challenges, the Commission retained consultants to build an electronic record-keeping system. The result was OMMS, which was launched for internal use by SEC staff in 2017. OMMS was designed to automate the information collection and management process, centralize records and related information in a single system, and increase the efficiency with which the staff can access and use that information. OMMS uses a web-based form (the “OMMS Form”) to guide the user through a series of basic questions, pre-populated lists, and fillable input fields specifically tailored to elicit information concerning matters within the scope of the Ombudsman’s function. The OMMS Form, which was made available to the public for use in September 2017, requests detailed contact information to enhance efficient communication with users and provides an electronic attachment feature for users to upload and submit related documents for staff review. The Commission records and provides user feedback to its consultants, as necessary, in an effort to improve subsequent iterations of OMMS and the OMMS Form.

Authorizing Statute(s): PL: Pub.L. 11 - 203 919D Name of Law: Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
US Code: 15 USC 78d(g)(8) Name of Law: Securities Exchange Act of 1934

Citations for New Statutory Requirements: None

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 2981	01/23/2026
30-day Notice:	Federal Register Citation:	Citation Date:
	91 FR 15654	03/30/2026
Did the Agency receive public comments on this ICR? No

Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
Ombudsman Matter Management System (OMMS)	Ombudsman Matter Management System (OMMS) Form

ICR Summary of Burden

	Total Request	Previously Approved
Annual Number of Responses	1,500	1,500
Annual Time Burden (Hours)	750	750
Annual Cost Burden (Dollars)	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement:

Annual Cost to Federal Government: $679,500

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination. Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination. Yes

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? Yes

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? No

Agency Contact: Lisa Skrzycki 202 551-5953 skrzyckil@sec.gov

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