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Thomas H. Kean CHAIR

Lee H. Hamilton VICE CHAIR

Richard Ben-Veniste

Max Cleland

Frederick F. Fielding

Jamie S. Gorelick

Slade Gorton

John F. Lehman

Timothy J. Roemer

James R. Thompson

Philip D. Zelikow


July 16, 2003

Richard M. Humes, Associate General Counsel Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C. 20549

Dear Mr. Humes:

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.

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



:1 Marcus

General Counsel

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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