[Federal Register Volume 76, Number 116 (Thursday, June 16, 2011)]
[Notices]
[Page 35245]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-14988]


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SECURITIES AND EXCHANGE COMMISSION


Submission for OMB Review; Comment Request

Upon Written Request, Copies Available From: Securities and Exchange 
Commission, Office of Investor Education and Advocacy, Washington, DC 
20549-0213.

``Investor Form;'' SEC File No. 270-485; OMB Control No. 3235-0547.

    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 (``Commission'') has submitted to the Office of Management 
and Budget a request to approve the collection of information discussed 
below.
    Investors who submit complaints, ask questions, or provide tips do 
so voluntarily. To make it easier for the public to contact the agency 
electronically, the Commission created a series of investor complaint 
and question electronic forms. Investors can access forms through the 
SEC Center for Complaints and Enforcement Tips portal. The Commission 
consolidated four paper complaint forms into one electronic form (the 
Investor 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 
investor may describe their complaint and submit it without their name 
or contact information.
    The Investor 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 Investor Form is strictly voluntary. Moreover, 
the Commission does not require investors to submit complaints, 
questions, tips, or other feedback. Absent the forms, the public still 
has several ways to contact the agency, including telephone, facsimile, 
letters, and e-mail.
    Approximately 20,000 investors each year voluntarily choose to use 
the complaint and question form. Investors who choose not to use the 
electronic Investor Form receive the same level of service as those who 
do. The dual purpose of the form is to make it easier for the public to 
contact the agency with complaints, questions, tips, or other feedback 
and to further streamline the workflow of Commission staff that record, 
process, and respond to investor contacts.
    The SEC has used--and will continue to use--the information that 
investors supply on the complaint and question forms, and the 
electronic Investor Form to review and process the contact (which may, 
in turn, involve responding to questions, processing complaints, or, as 
appropriate, initiating enforcement investigations), to maintain a 
record of contacts, to track the volume of investor complaints, and to 
analyze trends.
    The Commission estimates that the total reporting burden for using 
the Investor Form is 5,000 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: 20,000 respondents x 15 
minutes = 5,000 burden hours.
    Members of the public should be aware that an agency may not 
conduct or sponsor, and a person is not required to respond to, a 
collection of information unless a currently valid Office of Management 
and Budget control number is displayed. Background documentation for 
this information collection may be viewed at the following link, http://www.reginfo.gov. General comments regarding the above information 
should be directed to the following persons: (i) Desk Officer for the 
Securities and Exchange Commission, Office of Information and 
Regulatory Affairs, Office of Management and Budget, Room 10102, New 
Executive Office Building, Washington, DC 20503 or send an e-mail to: 
[email protected]; and (ii) Thomas Bayer, Director/Chief 
Information Officer, Securities and Exchange Commission, c/o Remi 
Pavlik-Simon, 6432 General Green Way, Alexandria, VA 22312; or send an 
e-mail to: [email protected]. Comments must be submitted to OMB 
within 30 days of this notice.

     June 11, 2011.
Cathy H. Ahn,
Deputy Secretary.
[FR Doc. 2011-14988 Filed 6-15-11; 8:45 am]
BILLING CODE 8011-01-P