Extension of OMBPRA Submission for Ombudsman Matter Management System

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Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 20549-2736

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. § 3501 et seq.), the Securities and Exchange Commission (SEC or “Commission”) is submitting to the Office of Management and Budget (OMB)
this request for extension without change of the proposed collection of information.

Section 4(g)(8) of the Securities Exchange Act of 1934 (Exchange Act), 15 U.S.C. 78d(g)(8) requires the SEC Ombuds 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 Ombuds. In addition, Section 4(g)(8) of the Securities Exchange Act of 1934 (Exchange Act), 15 U.S.C. 78d(g)(8) requires
the Ombuds to submit a semi-annual report to the Investor Advocate describing the activities and evaluating the effectiveness
of the Ombuds during the preceding year.

Each year, the Commission's Office of the Investor Advocate, Office of the Ombuds (“Ombuds”) receives over 2,500 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

  Ombuds, the Ombuds 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 OMMS Submission Form is voluntary. Absent the forms, the public still has several ways to contact the Ombuds, including
  telephone, letters, and email. Investors can access the OMMS Submission Form through the Ombuds web page at the web address *https://www.sec.gov/ombuds* or directly at the web address *https://omms.sec.gov.*

The dual purpose of the OMMS Submission Form is to make it easier for the public to contact the agency with complaints, questions,
tips, or other feedback and to streamline the workflow of Ombuds staff that record, process, and respond to investor contacts.
Investors who submit complaints, ask questions, or provide tips do so voluntarily. Although the OMMS 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 Ombuds. Investors who choose not to use the OMMS Submission Form will receive the same
level of service as those who do.

The Ombuds 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 × 30 minutes = 750 burden hours.

An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays
a currently valid OMB Control Number.

The public may view and comment on this information collection request at: https://www.reginfo.gov/public/do/PRAViewICR?ref_nbr=202601-3532-008 or email comment to MBX.OMB.OIRA.SECdeskofficer@omb.eop.gov within 30 days of the day after publication of this notice, by April 30, 2026.

Dated: March 25, 2026. Sherry R. Haywood, Assistant Secretary. [FR Doc. 2026-06034 Filed 3-27-26; 8:45 am] BILLING CODE 8011-01-P

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