Request for Records Search by Securities-Related Entities, Including Brokers, Dealers, Investment Advisers, Investment Companies, Municipal Securities Dealers and Transfer Agents
FOR IMMEDIATE RELEASE
Washington, D.C., September 26, 2001 On September 23, 2001, President Bush signed an executive order freezing United States assets of and blocking transactions with 27 individuals and organizations. The Federal Bureau of Investigation has also published a list of people who are under investigation in connection with the World Trade Center and Pentagon attacks. The Commission asks that all securities-related entities (whether or not registered with the SEC) voluntarily check their records for any relationships or transactions with the individuals and organizations named in the executive order or FBI's list. Names on those lists are set forth below.
We are asking all securities-related entities, including brokers, dealers, investment advisers, investment companies, municipal securities dealers, and transfer agents, for your help. If you know of any relationship (for example, an account), or a transaction (such as the purchase or sale of securities or a wire transfer), with any of the individuals or organizations on this list, please let us know. You may send this information via:
We also ask securities-related entities to advise any foreign subsidiaries and affiliates of this request. If foreign subsidiaries or affiliates identify any responsive information, we ask the securities-related entities to notify the SEC in the manner described above, so that we may take appropriate steps to obtain the information.
List of Individuals and Entities