I received their vague feedback today;
On Thu, Mar 28, 2024, 13:58 Ombuds OMMS wrote:
U.S. SECURITIES AND
EXCHANGE COMMISSION
Thank you for contacting the Ombuds of the U.S. Securities and Exchange Commission (SEC). In your submission to our office, you appear to complain about a lack of oversight over the trading of equity interests in Federal National Mortgage Association ("Fannie Mae") (OTCMKTS: FNMA) and Federal Home Loan Mortgage Corp ("Freddie Mac") (OTCMKTS: FMCC).
The Office of the Ombuds handles retail investor recommendations, questions and complaints about the SEC and the self-regulatory organizations (SROs) that it oversees. Please note our office is generally unable to comment about specific market activity or the SEC's oversight of specific market participants.
It is not clear if your submission to our office was prompted by any specific concerns. To report possible violations of the United States securities laws, you should report your concerns to the SEC’s Division of Enforcement (“Enforcement”). On the “Report Suspected Securities Fraud or Wrongdoing page” (https://www.sec.gov/tcr), please click the “Submit a Tip” button to submit Tips, Complaints, and Referrals (“TCRs”) and provide the requested information in the TCR form. You will receive a TCR number once you successfully submit the TCR form.
It is the SEC’s policy to conduct its investigations on a nonpublic basis in order to preserve the integrity of its investigative process, as well as to protect persons against whom unfounded charges may be made or against whom the SEC decides not to bring an enforcement action. Subject to the provisions of the Freedom of Information Act, we cannot disclose to you any information that SEC staff may gather, nor can we confirm the existence or non-existence of an investigation, unless such information is made a matter of public record in proceedings brought before the SEC or in the courts. You may wish to check our website, www.sec.gov, for information about pending SEC civil actions, administrative cases, and other matters.
The Ombuds generally treats matters as confidential and takes reasonable steps to maintain the confidentiality of communications. However, our Office may need to contact other SEC divisions or offices, SROs, entities, and/or individuals to disclose information without 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 otherwise required by law. Information received by the Ombuds may also be used in future recommendations to the SEC.
If you have any further concerns relating to your personal investments, you should contact the SEC Office of Investor Education and Advocacy (OIEA) (https://www.sec.gov/page/oieasectionlanding) for assistance. OIEA has staff available to handle questions and complaints relating to personal investments and financial matters, brokers and certain other financial professionals, and to answer general questions about the securities laws. OIEA staff may also contact brokers, advisers or other financial professionals on your behalf, with your consent.
You can contact OIEA for assistance by email at Help @qtips - greasy ear spammer, or by using the Investor Complaint Form at https://www.sec.gov/oiea/Complaint.html.
Thank you again for contacting the SEC Ombuds. We appreciate your views.
The Ombuds generally treats matters as confidential, and takes reasonable steps to maintain the confidentiality of communications. The Ombuds also attempts to address matters without sharing information outside of the Ombuds staff, unless you give the Ombuds permission to do so. However, the Ombuds 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.
Information provided by the staff via email 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 communication and any attachments may be privileged or confidential. If you are not the intended recipient, you have received this communication in error and any review, dissemination, distribution, copying, or use of this communication is strictly prohibited. In such an event, please notify SEC staff immediately by reply email to Ombudsman@sec.gov or by phone toll-free at 877.732.2001 and immediately delete this communication and all attachments.
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)
Ombudsman@sec.gov | https://www.sec.gov/ombuds
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