Ombudsman Matter Management System (OMMS) Submission Form

Thank you for contacting the Ombudsman for assistance.  By completing this OMMS Submission Form, you greatly enhance our ability to review your matter details and respond to you in a timely manner.  For more information about the Office of the Investor Advocate and how the Ombudsman may be able to assist you, please visit https://www.sec.gov/investorad.


IMPORTANT: We do not edit personally identifiable information (PII) from submissions.  To learn more about how we may use the information you send to us, please read the SEC Privacy Policy at https://www.sec.gov/privacy.htm.

DISCLAIMER: The Ombudsman generally treats matters as confidential, and takes reasonable steps to maintain the confidentiality of communications. The Ombudsman also attempts to address matters without sharing information outside of the Ombudsman staff, unless you give the Ombudsman permission to do so. However, the Ombudsman may need to contact other SEC divisions or offices, Self-Regulatory Organizations, entities, and/or individuals and share information without your permission under certain circumstances including, but not limited to: a threat of imminent risk or serious harm; assertions, complaints, or information relating to violations of the securities laws; allegations of government fraud, waste, or abuse; or if required by law, such as pursuant to a court order or Freedom of Information Act request initiated by a third party.


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About You

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Generally, a 'retail investor' is an individual investor who buys and sells securities for him/herself, and not for, or on behalf of, an institution or organization.
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Enter the prefix '+' for international phone numbers. Enter the 10-digit Area Code and Phone Number (do not enter the prefix '1') for phone numbers in the United States.
 
Enter the prefix '+' for international phone numbers. Enter the 10-digit Area Code and Phone Number (do not enter the prefix '1') for phone numbers in the United States.
**You must provide either a primary phone number or a primary email address.

Your Matter

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A Self-Regulatory Organization, or SRO, is a securities market participant that manages its industry through the adoption of rules governing the conduct of its members. SROs also enforce the rules they adopt and discipline members for violating SRO rules. Most, but not all, SROs also operate and regulate markets or clearing services. For more information about SROs, please visit https://investor.gov/introduction- markets/how-markets- work/market-participants. Please visit https://www.sec.gov/rules/sro.shtml for a listing of SROs.

Please identify the entities or individuals involved in or related to this matter below:

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Entity/Individual Involved
Entity Phone  
Enter the prefix '+' for international phone numbers. Enter the 10-digit Area Code and Phone Number (do not enter the prefix '1') for phone numbers in the United States.
 
Enter the prefix '+' for international phone numbers. Enter the 10-digit Area Code and Phone Number (do not enter the prefix '1') for phone numbers in the United States.
 
Enter the prefix '+' for international phone numbers. Enter the 10-digit Area Code and Phone Number (do not enter the prefix '1') for phone numbers in the United States.
 
Go to https://www.sec.gov/fast-answers for more information on the types of securities and investment products listed.
 
Tell us more about yourself and your matter. Please provide, for example: a detailed description and timeline of significant events, conversations, and correspondence; your questions or concerns about the investment product or security involved; and any other helpful information about the individuals and entities you have contacted about this matter.

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The information referenced in the OMMS Submission Form is informal and is not binding on the staff or the Commission.  The information is provided as a service to investors.  It is neither a legal representation nor a statement of SEC policy.  SEC staff cannot act as your personal representative or attorney.  For specific information on protecting your particular rights, or if you feel you need a definitive legal analysis of your particular situation, it may be in your best interest to consult with an attorney who specializes in securities law.

This collection of information has been reviewed by the Office of Management and Budget (OMB) in accordance with the clearance requirements of 44 U.S.C. §3507.  The applicable Privacy Act System of Records Notice (SORN) is SEC 65 and the routine uses of the records are set forth at 76 FR 30213 (May 24, 2011).  This SORN is exempt from certain sections of the Privacy Act and the citation for the rule exempting the notice is 76 FR 57636 (September 16, 2011).

Ombudsman | U.S. Securities and Exchange Commission | 100 F Street NE | Washington, DC 20549
202.551.3330 | toll-free 877.SEC.2001 (877.732.2001) |  fax 301.847.4722
Ombudsman@sec.gov | https://www.sec.gov/ombudsman