Ombudsman Matter Management
System (OMMS) Submission Form
Revision of a currently approved collection
No
Regular
03/30/2026
Requested
Previously Approved
36 Months From Approved
06/30/2026
1,500
1,500
750
750
0
0
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.
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
On behalf of this Federal agency, I certify that
the collection of information encompassed by this request complies
with 5 CFR 1320.9 and the related provisions of 5 CFR
1320.8(b)(3).
The following is a summary of the topics, regarding
the proposed collection of information, that the certification
covers:
(i) Why the information is being collected;
(ii) Use of information;
(iii) Burden estimate;
(iv) Nature of response (voluntary, required for a
benefit, or mandatory);
(v) Nature and extent of confidentiality; and
(vi) Need to display currently valid OMB control
number;
If you are unable to certify compliance with any of
these provisions, identify the item by leaving the box unchecked
and explain the reason in the Supporting Statement.
03/30/2026
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Ombudsman Matter Management System (OMMS)