URGENT
[13982]
September 27, 2001
TO: BANK AND TRUST ADVISORY COMMITTEE No. 19-01
BROKER/DEALER ASSOCIATE MEMBERS No. 7-01
COMPLIANCE ADVISORY COMMITTEE No. 42-01
INTERNATIONAL MEMBERS No. 17-01
PRIMARY CONTACTS - MEMBER COMPLEX No. 71-01
SEC RULES MEMBERS No. 65-01
TRANSFER AGENT ADVISORY COMMITTEE No. 68-01
RE: SEC REQUEST FOR RECORDS REVIEW
Earlier this week, President Bush signed an executive order freezing the assets of 27
known or suspected terrorists or terrorist organizations.1 On September 26, the Securities and
Exchange Commission requested that all securities-related entities (whether or not registered
with the SEC) voluntarily check their records for any relationships or transactions with the
individuals or entities listed in that executive order or named by the Federal Bureau of
Investigations as being under investigation in connection with the September 11th terrorist
attacks. The combined list of names is set forth in the SEC’s release, which is available at
www.sec.gov. A copy of the SEC’s release also is attached.
If you know of any relationship or transaction with any of the individuals on this list,
the SEC has requested that you notify them via e-mail to Enf-Search@sec.gov (put Enf-Search
Request on the subject line) or by US mail to:
United States Securities and Exchange Commission
450 Fifth Street, N.W.
Washington, D.C. 20549-0801
Attn: Executive Order Records Search
1 See Memorandum dated September 24, 2001 to Bank and Trust Advisory Committee (No. 17-01), Broker/Dealer
Associate Members (No. 6-01), Compliance Advisory Committee (No. 38-01), International Members (No. 14-01),
Primary Contacts – Member Complex (No. 68-01), SEC Rules Members (No. 61-01) and Transfer Agent Advisory
Committee (No. 65-01).
2
The SEC further has requested US securities-related entities to advise any foreign
subsidiaries and affiliates of this request.
Robert C. Grohowski
Associate Counsel
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