Dm B8 Team 4 Fdr- 7-16-03 Letter From Marcus To Sec Humes Re Financial Records And Non-disclosure 467
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Thomas H. Kean CHAIR
July 16, 2003
Lee H. Hamilton VICE CHAIR
Richard M. Humes, Associate General Counsel Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549
Richard Ben-Veniste Max Cleland Frederick F. Fielding
Dear Mr. Humes:
Jamie S. Gorelick
As you know, the Commission sent a document request to the SEC nearly a month ago, on June 19, 2003, entitled SEC Document Request No. 1. That request asks for copies of investigative and other non-public files of the SEC relating to the SEC's investigation into any trading activity designed to profit from, or to avoid losses from, the September 11, 2001 attacks. This request was made in connection with the Commission's statutory mandate, pursuant to Public Law 107-306, to investigate the facts and circumstances surrounding the September 11, 2001 terrorist attacks, including the nation's preparedness for, and immediate response to, those attacks, as well as to evaluate the lessons learned from those attacks and to make recommendations for preventing future attacks.
Slade Gorton John F. Lehman Timothy J. Roemer James R. Thompson
Philip D. Zelikow EXECUTIVE DIRECTOR
We understand that the files in this matter contain "financial records" of "customers," as those terms are defined in the Right to Financial Privacy Act of 1978, 12 U.S.C. sees. 3401-3422. We have reason to believe that that information is relevant to our investigation. We will establish and maintain such safeguards as are necessary and appropriate to protect the confidentiality of files to which access is granted, and information derived therefrom. The files and information may, however, be used by the Commission for the purposes set forth in Public Law 107-306. We look forward to prompt receipt of the requested documents. If you have any questions about this matter, please call me right away at 331-4065. Yours sincerely " / •{/utM
2
:1 Marcus General Counsel
cc: John Knepper, U.S. Department of Justice 301 7lh Street SW, Room 5125 Washington, DC 20407 T 202.331.4060 F 202.296.5545 www.9-1 lcommission.gov
July 16, 2003
Lee H. Hamilton VICE CHAIR
Richard M. Humes, Associate General Counsel Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549
Richard Ben-Veniste Max Cleland Frederick F. Fielding
Dear Mr. Humes:
Jamie S. Gorelick
As you know, the Commission sent a document request to the SEC nearly a month ago, on June 19, 2003, entitled SEC Document Request No. 1. That request asks for copies of investigative and other non-public files of the SEC relating to the SEC's investigation into any trading activity designed to profit from, or to avoid losses from, the September 11, 2001 attacks. This request was made in connection with the Commission's statutory mandate, pursuant to Public Law 107-306, to investigate the facts and circumstances surrounding the September 11, 2001 terrorist attacks, including the nation's preparedness for, and immediate response to, those attacks, as well as to evaluate the lessons learned from those attacks and to make recommendations for preventing future attacks.
Slade Gorton John F. Lehman Timothy J. Roemer James R. Thompson
Philip D. Zelikow EXECUTIVE DIRECTOR
We understand that the files in this matter contain "financial records" of "customers," as those terms are defined in the Right to Financial Privacy Act of 1978, 12 U.S.C. sees. 3401-3422. We have reason to believe that that information is relevant to our investigation. We will establish and maintain such safeguards as are necessary and appropriate to protect the confidentiality of files to which access is granted, and information derived therefrom. The files and information may, however, be used by the Commission for the purposes set forth in Public Law 107-306. We look forward to prompt receipt of the requested documents. If you have any questions about this matter, please call me right away at 331-4065. Yours sincerely " / •{/utM
2
:1 Marcus General Counsel
cc: John Knepper, U.S. Department of Justice 301 7lh Street SW, Room 5125 Washington, DC 20407 T 202.331.4060 F 202.296.5545 www.9-1 lcommission.gov
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