OMBudsman Matter Management System (OMMS) Submission Form

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.

The latest form for OMBudsman Matter Management System (OMMS) Submission Form expires 2026-06-30 and can be found here.