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Ombuds Matter Management System (OMMS) Submission Form

Thank you for contacting the Ombuds for assistance. For more information about the Office of the Ombuds and how the Ombuds may be able to assist you, please visit sec.gov/ombuds.


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About You

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Retail investors – sometimes referred to as individual investors or Main Street investors – are persons who buy and sell securities for themselves, and not for an institution or organization.

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 their members for violating SRO rules. Go to https://www.investor.gov/introduction-markets/how-markets-work/market-participants for more information about SROs. Go to https://www.sec.gov/rules/sro.shtml for a listing of SROs.
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Go to https://www.sec.gov/fast-answers for more information on the types of securities and investment products listed.
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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.

► Additional Matter Details

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► Entities And Individuals Involved

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

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Entity/Individual Involved
 
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.

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Note: Please Print this page before you click the Submit Form button if you would like to retain a copy of the information you provided. The Cancel button allows you to cancel the submission and return to sec.gov/ombuds, while the Clear Form button gives you the option to clear all entries made on this submission.

 

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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-31 and the routine uses of the records are set forth at 85 FR 85440 (January 27, 2021).  

Ombuds | U.S. Securities and Exchange Commission | 100 F Street NE | Washington, DC 20549
202.551.3330 | toll-free 877.SEC.2001 (877.732.2001)  
[email protected] | https://www.sec.gov/ombuds