Thomas H.

Kean July 16, 2003

CHAIR

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. Gorelick
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

2 " /
•{/utM
: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