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dees Gi avons pas exvooootoy NASDK AR KEG ove RLt 18.00 3p 5F @naspD REQULATON aanans NASD Reguation ne 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RSEC 03003652F Date: 02/13/2002 Description: Attachment Reason for withdrawal: law enforcement sensitive Box TOL. 33 Withdrawn by: kw, 6/4/2015