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2500 Key West Avorn
Rocko, MD. 20850
240 386-5007 Ph
240 380-8199 Fx
February 13, 2002
Via Overnight
Mr. Joseph Cella
Division of Enforcement
U.S. Securities and Exchange Commission
450 5" Street NW, Mail Stop 0804
Washington, DC 20549
Re: Pre-September 11 Trading Analysis
| Case Number: MRD200131207
Dear Joe:
Enclosbd please find a Referral Report summarizing the staff's findings regarding
the trading in certain securities surrounding the terrorist attacks of September 11,_
2001. |The staff will shortly forward to the SEC a CD containing an analysis of)
i trading by accounts that effected transactions in multiple securities prior to |
| September 11°. Mw
NASD Regulation, ine, considers the enclosed material, bate stamped 1- 112, to
be confidential and requests that the Commission maintain it in a nonpublic file
and treat it as confidential in accordance with 17 C.F.R. § 200.83. The enclosed
material is exempt from disclosure under the Freedom of Information Act ("FOIA")
Pursuant to the exemptions set forth in 5 USC § 552(b), including, but not limited
to Section 552(b)(7).
't@ FOIA request is made for any of the enclosed documents, NASD Regulation,
Inc. requests that it be allowed to comment upon such request before a final
decision on the request is made by the Commission. Notification of any such
request should be delivered to the Chief Counsel of the Legal Section within the
Market Regulation Department.rea adsa9 FAR gausausigs NASDR MKT REG Boos
Joseph Cella
February 13, 2002
Page Two
Should you have any questions regarding this matter, please contact me at
(240) 386-5007.
“Jami@s C, Dolan
Assistant Director
Market Regulation
Sincerely,
ce: FOIA Officer (Letter Only)WITHDRAWAL NOTICE
RG 148: Records of the National Commission on Terrorist Attacks Upon the
United States (9/11 Commission)
Series: Master Files
Document Number: RSEC 03003652F
Date: 02/13/2002
Description: Attachment
Reason for withdrawal: law enforcement sensitive
Box TOL. 33
Withdrawn by: kw, 6/4/2015