A document request to the SEC was sent nearly a month ago. The request asks for copies of investigative and other non-public files of the SEC. The files in this matter contain "financial records" of "customers" the files and information may be used by the Commission for the purposes set forth in Public Law 107-306.
Original Description:
Original Title
SD B4 SEC Fdr- 7-16-03 Letter From Dan Marcus to SEC Humes Re Financial Records Held 089
A document request to the SEC was sent nearly a month ago. The request asks for copies of investigative and other non-public files of the SEC. The files in this matter contain "financial records" of "customers" the files and information may be used by the Commission for the purposes set forth in Public Law 107-306.
A document request to the SEC was sent nearly a month ago. The request asks for copies of investigative and other non-public files of the SEC. The files in this matter contain "financial records" of "customers" the files and information may be used by the Commission for the purposes set forth in Public Law 107-306.
Lee H. Hamilton Richard M. Humes, Associate General Counsel
VICE CHAIR Securities and Exchange Commission Richard Ben-Veniste 450 Fifth Street, N.W. Washington, D.C. 20549 Max Cleland
Frederick F. Fielding Dear Mr. Humes:
Jamie S. Oorelick As you know, the Commission sent a document request to the SEC Slade Gorton 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 John F. Lehman SEC relating to the SEC's investigation into any trading activity designed to Timothy J. Roemer profit from, or to avoid losses from, the September 11, 2001 attacks. This request was made in connection with the Commission's statutory mandate, James R. Thompson pursuant to Public Law 107-306, to investigate the facts and circumstances surrounding the September 11, 2001 terrorist attacks, including the nation's Philip D. Zelikow preparedness for, and immediate response to, those attacks, as well as to EXECUTIVE DIRECTOR evaluate the lessons learned from those attacks and to make recommendations for preventing future attacks.
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
)aniel Marcus General Counsel
cc: John Knepper, U.S. Department of Justice
301 7'h Street SW, Room 5125 Washington, DC 20407 T 202.331.4060 F 202.296.5545 www.9-llcommission.gov