miscellaneous 9/11 commission documents

8/14/2019 Miscellaneous 9/11 Commission Documents

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Work Plan: Investigatio n re alleged Insider Trad ing

I. Review any SEC reports or mem oranda summ arizing results of investigation (tothe extent th ey exist): _A. Key Issues:

1. What companies were investigated for unusual stock trading patterns:a. United, Americanb. Oth er Airlines // / /c. Insurance Cos /d. Other companies based in WTCe. Any oth ers (ho w selected for analysis)

2. W h at period used-(i.e., how far before/September 11 did investigators look)- 3. -Were anyunusual trading patterns detected

a. short-selling -b. put options or other stock derivative tradingc. large sales^4. To extent any relevant equities/ean be traded on any overseas exchange, whatwas done to investigate any such trading.

Non-Company Specific Derivatives:a. In addition to specific companies, w as there any unu sual trading in anyindex-based or whole market derivatives (e.g., S&P futures or similarproducts)b. Wha t if anything was done to investigate potential tra ding on foreignexchanges in whole market derivatives or similar products linked to broadU.S. indicesFollow-Up by SECa. How ma ny suspicious traders identified

i. any offshoreii. uniden tified tradersb. W h at document requests or subpoenas were issued


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c. What witnesses interviewedA

*SJd. Was any testimony taken ( ' * - "e. Any refusals to cooperate; Fifth Amendment Assertions , < jt u^ x "f. Did any other agency play any role ininvestigation . . ^ y vi

_ .. S E C Conclusions x . t r - 1V ' V ^a. Suspicious trading; satisfactory explanations \b. Suspicious trading; no compelling explanations, but no link to 9/11

c. A re there any issues not resolved, still pending investigation\'

n. Meet w/ SECEnforcement Staff who led investigation y v I" ^A. Get answers to questions u nresolved by any reports or memos. 4 9B. Follow up on questions unresolved by reports, mem os.

ffl. To the extent necessary, review "raw" investigative data: account statements,interview m emos, testimony transcripts, etc.: This review wou ld be limited toresolving any questions or conflicts raised by the above.IV. Other A gencies/Entities w / potential information regarding illicit securitiestrading ~

A . DOJ/FBI: need to determine if any criminal investigation initiated; p ursu eif it exists; to learn of existence, we can serve document requests or askSEC.B. Chicago Board/other options exchanges: could be source of inform ation,bu t likely anything useful provided to SECC. Broker-dealers/Banks etc: could be source of inform ation, but likelyanything useful provided to SEC.D. Foreign securities regulators/prosecutors: need to assess their role basedon information provided by SEC or DoJ

V. Non-stock securities: To investigate allegations of illicit speculation in preciousmetals or other non-stock based de rivatives, we w ill likely need to pursu e inquirywith the CFTC, along the lines of the SEC investigation described above.


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Thomas I I . KcanC H A I RI,cc 1 - 1 . Hamil t on

VlOliCHA I R

Ri c h a rd B u n - V c n i s t eMax C lc lnndFrctl l;. FieldingJamie S. CorclickSladc Gortono h n Le h m a nTimothy J. K o c m c r

II. Thompson

Phi l ip D. /clikowK X H C U T I V K n i K I - C T O K

D O C U M E N T RE Q U E S T N o . 1N A T I O N A L S E C U R I T Y A G E N C Y (NSA)

T he National Commiss ion on Terroris t Attacks Upon th e United States (the"Commission") requests that th e Nation al Securi ty Agency (NSA or the"respondent") prov ide the Commiss ion wi th copies of the fo l lowing d oc um e n t snola ter than J une 25, 2003 ( the "product ion date"):1. Documents prepared between 1995 and 2003 that set forth NSA's strategicplans for its SIG INT collection, analysis and management activities.2. 9/11 Classified Information3. Approved requirements documents tasking NSA systems to collect andanalyze information on terrorism from 1995 to 2003, particularly those

documents that tie to PDD-35.4. Director NSA memoranda to senior leadership on the efforts to combatterrorism, the effectiveness of NSA's counterterrorism SIG INT efforts,counterterrorism man agement wit hin NSA an d resource issues.5.

6.9/11 Classified Information

Any intern al "after action" reports for the 1993 W TC bombing, K hobarTowers, Nairobi and Dar es Salaam bombings, the attempted M illenn iumattacks, the C ole attack, and the a ttacks of September 11 th .

8.9/11 Classified Information

9. All signals intelligence reporting concerning th e f i nanc i ng of the September11 terrorist attacks. r i - x (2 02 )3 3 1-4060F A X (202) 296-3545

www. 9-1 l c ommi ss i on .gov


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DOCUMENT REQUEST No. 32

10. Any other documents, briefings, reports, emails or memoranda that theDirector NSA believes are important to the conduct of this investigation.The Commission requests that the documents requested above be provided as soon asthey are available, even though all requested documents may not be provided at thesame time, through means of a "rolling" production.If an y requested d ocuments ar e withheld from production, even temporarily, based onan alleged claim of privilege or for any other reason, the C omm ission requests thatthe responden t, as soon as possible and in no event later than the production d ate,identify and describe each such document or class of documents, as well as thealleged basis for not prod ucing it, with sufficient specificity to allow a meaningfulchallenge to any such withholding.If the respondent does not have possession, custody or control of any requesteddocuments but has information about where such documents may be located, th eCommission requests that the respondent provide such information as soon aspossible and in no event later than the production date.If the respondent has any questions or concerns about the interpretation or scope ofthese docum ent requests, the Comm ission requests that any such que stions orconcerns be raised w ith the Com mission as soon as possible so that any such issuescan be addressed and resolved prior to the production date.

June 11, 2003 Daniel MarcusGeneral Counsel


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Unclassified

September 11 Plot Financing: Key QuestionsFinancial Activity of 19 Hijackers (and Moussaui)

A. How much can we show they spent (living expenses, travel, flighttraining, flight supplies, etc.).B. What other costs, if any, do we know they must have incurred,

even if not demonstrableC. What is the best estimate of how much the plot cost resolve conflict on this figure

requires setting start date for each participant inplotA. How much can we show they received

wire transfers toHamburg wire transfers toU.S. cash deposits inU.S. other funds received

A. How much of a "gap" exists between what they spent and what weknow they received where is "gap" (i.e., can we identify which hijackers

must have received more funding than we can trace) Al-Mihdhar Al-Hazmi Others

Best explanation for gap(i.e., what does evidencesuggest is most likely explanation, additional overseas funding, morecash, funding by persons in U.S., or something else).

A. What U.S. persons, if any, may have provided funds to 19hijackers Persons in contact with Al-Mihdhar andAl-Hazmi in

San Diego Anyone else

A. How were Moussaoui's activities funded Funds received andspent Story of Moussaoui's financing inextricably linked to19 hijackers

A. Return of Unused Funds


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Unclassified

how muchto whomwhenE l. Sources of Funds

A. Who provided hijackers (and Moussaoui) with funds wire transfers from overseas Cash/Traveler's Checks Anything else Resolve conflicting testimony re source of transfers

from U AEA. Can we trace funds originating overseas beyond initial source

From whom didpersons providing money tohijackersge t those funds Ifnotfrom direct Al-Qaeda source, were fundsprovided with knowledge of purpose

A. Can we identify source of funds , if any, received by hijackers frompersons in United States San Diego persons What is status ofinvestigation, reported bypress, intoallegations Saudi Princess Haifa Al-Faisal, wife of Prince Bandar,provided funds to families of certain persons who had contact withhijackers in San Diego What knowledge, if any, did anysource have ofpurpose

for fundsffl. Other questions

A. Did any of the hijackers use false social security numbers to openbank accounts hasbeen alleged inpress, but nomention of it in Govt.sources would beinconsistent with Mueller's public testimony("they lived lawfully"); would be major omission in Lormel's public

2/02 testimony that "none of hijackers ha d social security numbers"A. Did any Banks file S ARs re any of the hijackers' financialactivities

Allegation by M.Levitt that SARs> were filed, but notdid not reach proper authorities until after 9/1 1 . See M. Levitt,Stemming the Flow of Terrorist Financing,Fletcher Forum of World


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Unclassified

Affairs, Vol. 27:1 at 64. See also H. Morgan, TNR Article (April 14 ,03) making similar allegation.The Financial Times (November 29,01) reported thatwhen A tta opened a SunTru st account in June 2000 with a $69K w iretransfer, "three months later prompted SunT rust Bank to ma ke asuspicious transaction report" to FinCEN.If not, did circumstances of any transactions w arrant aSA R


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DocumentRequest toFBI: Draft (6/10)[Documents produced to the Joint Inq uiry excluded] . .

. ;,x '1. Documents summ arizing, identifying, or analyzing the financial transactions(including expenditure and receipt of funds) of the September 11 hijackers andeach co-conspirator including:

a. Comprehensive timelines of the financial transactions of the September 11plot;b. Individ ual spreadsheets reflecting the financia l transactions of each of theSeptember 11 hijackers and any other co-conspirator,c. Documents identifying any funds expended on behalf of the September 11hijackers by any person and any reimbursement of any such expenditures;d. Documents estimating or analyzing the total cost of the September 11attacks (and explaining th e methodology of any such estimates).

2. Documents summ arizing, identifying, or analyzing the source of any fundsreceived by the September 11 hijackers or any co-conspirator.3.

9/11 Closed by Statute4.

5. All FD-302s or other documents reflecting or memorializing interviews of theemployees of any bank , foreign or domestic, used by the September 11 hijackersor any co-conspirator.6. All documents reflecting or memorializing interviews of the employees of theWall Street Exchange, Dubai, United Arab Emirates (UAE ), UAE ExchangeCentre, Bur Dubaie, UA E, or any other persons interviewed in connection withany transfer of funds from outside the United States to any of the September 11hijackers or any co-conspirator.7. All docum ents, including account statemen ts, checks, and any;spreadsheetsrelated to any bank accounts in the names of the Septemberfl 1 hijackers or otherco-conspirator at any bank or other financial institution in the United States or anyforeign country.


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8. All debit card and credit card records, statements and spreadsheets for theSeptember 11 hijackers or other co-conspirator.9. All money orders, traveler's checks, or other financial instruments utilized by theSeptember 11 hijackers or other co-conspirator.10. All documents reflecting any financial transaction by any of the September 11

hijackers or other co-conspirator, including such documents as rent receipts,purchase receipts, wire transfer records, etc.11. Reports, summ aries, and intelligence or analytic products, concerning the timeperiod from 1996 to the present, discussing or describing the means or methodsby which Usama bin Laden, al-Qaeda or related groups raise'fiinds, in cluding,without limitation:

a) any direct or indirect funding of Usama bin Laden, al-Qaeda or related grou psby any foreign government (or persons or entities associated or related to anyforeign government);b) the use of informal value transfer systems, such as hawala, for terroristfinancing activities or the movement of money in support of terrorist activitiesor groups;c) the use or potential use of commodities, precious metals or stones, and trade-based value transfer systems for terrorist financing activities or the movementof mon ey in support of terrorist activities or groups;d) the use or potential use of charities or other non-governm ental organizationsto raise funds for Usama bin Laden, al-Qaeda or related groups;e) direct or indirect funding of al-Qaeda or related groups by any persons locatedwithin the United States; C H"f) the extent to which the financing activities of Usama bin Laden or al-Qaedaare linked or interrelated to the financing activities of any other Islamicextremist group.

12. Reports, summ aries, and intelligence or analytic products, concerning the tim eperiod from 1996 to the present:a. Describing or discussing any effort prior to September 20, 2001 to securecooperation of any foreign government in any effort to identify, track or disruptthe financing activities of Usama bin Laden, al-Qaeda or related groups;


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b. Describing or discussing any actual or contemplated program, policy, oroperation prior to September 20, 2001 designed to identify, track or disrupt thefinancing activities of U sam a bin Laden, al-Qaeda or related groups;c. Identifying or discussing known or suspected assets prior to September 20,2001 of al-Qaeda or Usama bin Laden.

13. All docum ents received from the National Security Council (NSC) Office of thePresident, or Attorney General containing strategy, policy or guidance on effortsto identify, track or disrupt the financing of terrorist activities or the movement ofmoney in support of terrorist activities or groups, from 1996 to the present.14. All docum ents, concerning the period from 1996 to the present:

a. Evaluating or analyzing the effectiveness of programs or policies of the FBIspecifically, o r the U.S. govern men t generally, to identify, track or disruptterrorist financing activities. This includes, but is not limited to, all internalinspections reports, inspector general reports, and GAO evaluations;

b. Setting forth, describing or interpreting policies and procedures, includingMem oranda of Un derstanding, for cooperation with any local, state, or fede ralgovernment agency (or between or among com ponents within the Departmentof Justice), to identify, track or disrupt the financing activities of Usama binLaden, al-Qaeda or related groups;c. Setting forth, describing or interpreting policies and procedures forcooperation with foreign governm ents or multilateral organizations toidentify, track or disrupt the financing activities of Usam a bin Laden, al-

Qaeda, or related groups.15. All docum ents received from the terrorist financing Policy Coord inatingCom mittee (PCC) o r its predecessor, reflecting guidance , strategy, or policy, fromSeptember 11, 2001 to the present.16. All FD-302s, inves tigative inserts, electronic com mun ications, LetterheadMemoranda and other summaries or analytic documents relating to pre September

11,2001 investigations into any of the follow ing persons or entities:a. Al-Barakaatb. Al-Taquac. Global Relief Foundationd. Benevolence International Foundation ;e. Al-Harimain Islamic Foundationf. [Individual 1; name to be provided]g. [Individual 2; nam e to be provided]


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17 . Documents reflecting the organizational structure, mission, role and function ofthe Terrorist Financing Operations Section or its predecessor, the TerroristFinancial Rev iew G roup (collectively, "TFOS"), including:a. mission statements, organizational charts, roster of personnel;b. mem oranda or other docum ents setting forth policies or proceduresregarding the coordination or communication between the TFOSand the Field Offices, the National Joint Terrorism Task Force(JTTF) or the JTTF programs at the field offices;c. memoranda or other documents setting forth policies or proceduresconcerning TFOS's international outreach program;d. docum ents describing the goals and capabilities of TFOS's datamining projects and efforts to develop predictive models fordetecting terrorist financing activities, including, withou t

limitation, documents describing the Financial Control List andidentifying the criteria for inclusions of persons on the FinancialControl L ist;e. documents setting forth policies or procedures regardingcooperation with domestic private banks or other financialinstitutions to track or disrupt terrorist financing activities;f. documents setting forth policies or procedures for cooperation withforeign governments or multilateral organizations to identify, trackor disrupt terrorist financing activities, or encouraging foreign

governments to take action to identify, track or disrupt terroristfinancing.18. To the extent not covered by previous requests, docum ents setting forth orsummarizing any post-September 11, 2001 changes in the FBI s policies orprocedures regarding identifying, tracking or disrupting terrorist financing

activities.19 . Reports, summaries, and intelligence or analytic products discussing any changesin the financing activities of al-Qaeda or other Islamic extremist groups inresponse to the post-September 11,2001 efforts of the U.S. government to

identify, track or disrupt terrorist financing activities.20 . Summ aries, reports and mem oranda concerning any investigation into anysecurities or other trading a ctivity designed to profit (or avoid losses) from theSeptember 11, 2001 terrorist attacks.


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21. For the period from 1996 through September 11, 2001, any docum ents related toany investigation of 18 U.S.C. 2339A or 2339B presented to the Department ofJustice (including any U.S. Attorney's office) fo r prosecution, where suchprosecution was declined.22 . Any po licy statemen ts, procedures, and guidelines received from the Departm ent

of Justice regarding investigations or prosecutions under 18 U.S.C. Sections2339A or 2339B.


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Document Request to FBI: Draft (6/2)[Documents produced to the Joint Inquiry Excluded]1. Documents summarizing, identifying, or analyzing the financial transactions of

the September 11 hijackers, including:a. documents summarizing or identifying all funds received by

the September 11 hijackers;b. documents summarizing or identifying all funds expended by,

or on the behalf of, the September 11 hijackers;c. documents estimating or analyzing the total cost of the

September 11 attacks (any explaining the methodology of anysuch estimates.

2. Documents summarizing, identifying, or analyzing the source of any fundsreceived by the September 11 hijackers.

3. To the extent permissible by law and under applicable court orders, documentssummarizing, identifying, or analyzing the financial transactions of ZacariasMoussaoui and the source of funds received by Zacarias Moussaoui.

4. Documents summarizing, identifying, or analyzing any funds spent on behalf of(or reimbursed by) any of the September 11 hijackers by any person, including,without limitation, any funds spent on behalf of the September 11 hijackers by:

5. All documents related to any investigation into any allegation that any personaffiliated with the Saudi royal family, the Saudi government, or any Saudicorporation or institution provided funds to the September 11 hijackers or anyperson who potentially aided or associated with the September 11 hijackers.

6. Memoranda, reports, and summaries created prior to September 11, 2001discussing known or suspected Bin Ladin or Al-Qaeda assets.

7. Memoranda, reports, and summaries discussing any pre-September 11,2001actual or contemplated program, policy, or operation designed to track or disruptthe financing activities of Al-Qaeda or other Islamic extremist groups.

8. Memoranda, reports, or summaries related to any pre-September 11 effort tosecure cooperation of any foreign government in any effort to identify, track ordisrupt the financing activities of Al-Qaeda or other Islamic extremist groups orencourage any foreign government to make such efforts.

9. Memoranda, reports, or summaries evaluating the pre-September 11 cooperationor actions of any foreign government in identifying, tracking or disrupting thefinancing activities of Al-Qaeda or other Islamic extremist groups.


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10. Any and all documents evaluating, critiquing or assessing the pre-September 11efforts by the FBI specifically, or the U.S. government generally, to identify, trackor disrupt terrorist financing activities.

11. Memoranda, reports, and summaries discussing the means and methods by whichAl-Qaeda or other Islamic extremist groups raise funds for terrorist purposes,including, without limitation,a. use or potential use of charities or other Non-Governmental Organizations

(NGOs) to raise funds for Al-Qaeda or other Islamic extremist groups;b. direct or indirect funding of Al-Qaeda or other Islamic extremist groups

by any foreign government or persons affiliated or associated with anyforeign government;c. direct or indirect funding of Al-Qaeda by any persons located within the

United States;d. informal value transfer systems, such as Hawala, for the purpose of

financing Al-Qaeda or other terrorist groups;e. the extent to which the financing activities are linked or inter-related to thefinancing activities of any other Islamic extremist group.12. Any and all documents, including Memorandums of Understanding, reflecting

policies and procedures for cooperating with any other government agency totrack or disrupt the financing activities of Al-Qaeda or other Islamic extremistgroups, including, without limitation:

a. Documents setting forth policies and procedures regarding cooperationwith OFAC to track or seize terrorist assets;b. Documents setting forth policies and procedures regarding cooperationwith FinCEN on any issue related to terrorist financing;c. Documents setting forth policies and procedures regarding cooperation

with the CIA's Counterterrorism Center, Financial Operations Group.13. Documents reflecting the organizational structure, mission, role and function ofthe Terrorist Financing Operations Section or its predecessor, the Terrorist

Financial Review Group (collectively, "TFOS") and the place of the TFOS withinthe Counterterrorism Division.

14. Memoranda or other documents setting forth policies or procedures regarding thecoordination or communication between the TFOS and the Field Offices, theNational Joint Terrorism Task Force (JTTF) or the JTTF programs at the fieldoffices. I'M

15. Memoranda or other documents setting forth policies or procedures concerningTFOS's international outreach program to share information regarding terroristfinancing with foreign financial institutions or law enforcement organizations.


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16. Documents describing the goals and capabilities of TFOS's data mining projectsand efforts to develop predictive models for detecting terrorist financingactivities, including, without limitation, documents describing the FinancialControl list, (used to identify individuals under investigation for potential links toterrorists and terror organizations), and identifying the criteria for inclusions ofpersons on the Financial Control List.

17. Documents setting forth policies or procedures regarding cooperation withdomestic financial institutions to track or disrupt terrorist financing activities.

18. Documents setting forth policies or procedures for cooperation with foreigngovernments or multilateral organizations to identify, track or disrupt terroristfinancing activities, or encouraging foreign governments to take action to identify,track or disrupt terrorist financing.

19. All documents evaluating, critiquing or assessing the post-September 11 effortsby the FBI specifically, or the U.S. government generally, to identify, track ordisrupt terrorist financing activities.

20. All documents evaluating, critiquing or assessing the cooperation of any foreigngovernment or multilateral organization in identifying, tracking or disrupting thefinancing activities of Al-Qaeda or other Islamic extremist groups sinceSeptember 11,2001:

21. To the extent not covered by previous requests, documents setting forth orsummarizing any post-September 11, 2001 changes in policies or proceduresregarding identifying, tracking or disrupting terrorist financing activities.

22. Memoranda, reports, and summaries discussing any changes in the financingactivities of Al-Qaeda or other Islamic extremist groups in response to the post-September 11,2001 efforts of the U.S. government to identify, track or disruptterrorist financing activies.


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SubstantiveBriefing Request:CIAA briefing from the CIA personnel best able to provide it on the history of Al-

Qaeda's financing activities from its emergence to the present day. The briefing shouldinclude discussions of the following subjects:

a. all means and methods by which Al-Qaeda finances its activities, and howthose means and methods have changed over time;b. the source of Al-Qaeda's funding, and how the sources have changed over

time;c. any involvement of any foreign government in directly or indirectly funding

Al-Qaeda, and how any such foreign government involvement has changedover time;

d. the best estimates of how much Al-Qaeda spends on an annual basis, and howits "budget" has changed over time;

e. the impact on Al-Qaeda's operations of the U.S. government's efforts todisrupt its financing activities;

f. how Al-Qaeda has responded to the efforts of the U.S. government to disruptits financing activities;

g. the extent to which Al-Qaeda's financing activities are interrelated with thefinancing activities of other Islamic extremist groups;

h. the most significant loopholes, failings, or shortcomings in the currentinternational effort to disrupt the financing activities or Al-Qaeda and otherIslamic extremist groups.

To promote the efficiency and usefulness of the briefing, we would like to receiveany memoranda, reports, or other analytical documents recommended by the CIAaddressing the above issues in advance of the briefing.


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OFAC document requestThe National Commission on Terrorist Attacks Upon the United States ("theCommission") requests that Office of Foreign Asset Control, Department of the Treasury,("respondent") provide the Commission with an opportunity to inspect [and copies of] thefollowing documents no later than [production date] ("production date"):1) Memoranda, reports and summaries prepared in connection with the listing by

executive order designation of the following entities or individuals:a) Al-Qaida and bin Laden (8/22/1998)b) Taliban (7/4/1999)c) Al-Barakaat and al-Taqua (11/7/2001)d) Global Relief Foundation and Benevolence International Foundation (12/14/01)e) Al-Hamati Sweets Bakeries and Al-Shifa' Honey Press For Industry and

Commerce, et al., (10/12/2001)f) Afghan Support Committee and Revival of Islamic Heritage Society (1/9/2002)g) Al-Harimain Islamic Foundation (3/11/2002)

2) Memoranda, reports and summaries of Specially Designated Terrorists (SDT)associated with the above designations.

3) Memoranda, reports and summaries involving the designation of Foreign TerroristOrganizations by the Department of State associated with the above designation.

4) Memoranda, reports and summaries describing assets frozen andblocked as a resultof the above Executive Order and SDT designations.5) Memoranda, reports and summaries, including after action reports, prepared in

connection with trips taken by OFAC personnel to Saudi Arabia, Bahrain, Kuwait andthe UAE from 1998 to present.

6) Memoranda, reports and summaries prepared in connection with meetings betweenOFAC personnel and the bin-Laden family, including post-meeting summaries.

7) Memoranda, reports and summaries identifying or describing known or suspectedassets of Usama bin Laden, his associates, or Al-Qaeda generally, and the sources ofsuch assets, from 1995 to the present.

8) Memoranda, reports or summaries prepared in connection with OFAC charitiesoutreach program, from 1995 to the present.

9) Memoranda, reports and summaries prepared in connection with the implementationof and compliance with Presidential Decision Directive 42 (1995).


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10) Memoranda, reports and summaries prepared in connection with the implementationof and compliance with the conclusions and recommendations pf the NationalCommission on Terrorism (Bremer Commission).

The Commission requests that documents requested above be provided as soon asthey are available, even though all requested documents may not be provided atthe same time, through means of a "rolling" production.If any requested documents are withheld from production, even temporarily,based on an alleged claim of privilege or for any other reason, the Commissionrequests that the respondent, as soon as possible and in no event later thanthe production date, identify and describe each such document or class ofdocuments, as well as the alleged basis for not producing it, with sufficientspecificity to allow a meaningful challenge to any such withholding.If the respondent does not have possession, custody or control of anyrequested documents but has information about where such documents may belocated, the Commission requests that the respondent provide suchinformation as soon as possible and in no event later than the production date.If the respondent has any questions or concerns about the interpretation orscope of these document requests, the Commission requests that any suchquestions or concerns be raised as soon as possible so that anysuch issues can be addressed and resolved prior to the production date.


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Re: Briefing requests on terrorist financing:W e would like to request each of the agencies to provide us with a briefing on its efforts regarding terroristfinancing. We are interested, in general terms, wha t the efforts of each agency ha s been, what units areresponsible and the chain of command, how it generally coordinates with other agencies, and the types ofdocuments that get generated. W e would also be interested in any existing written summaries or otherwork produc t generally describing what they do or the results of their efforts, as well as organizationalcharts and telephone directories of the personnel involved.W e would like briefings from the follow ing agencies:FB I TFOS (hold pending review of Joint Inquiry an d briefing)Justice, Criminal Division, CT SectionMain TreasuryIRS, Exempt O rganizationsFinCENOFACCustomsCIA CTC (hold pending review of Joint Inquiry an d 5/20 b riefing)State, Office of the Coordinator for Counter-terrorism and/or Intelligence an d ResearchWe understand that these requests need to be centrally co ordinated. Please advise.


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Securities and Exchange Commission Document Request DRAFTThe National Commission on Terrorist Attacks Upon the United States

(Commission) requests that the Securities and Exchange Commission (SEC) provide theCommission with an opportunity to inspect and copy the following documents no laterthan (the production date).

Any and all documents (including memoranda, spreadsheets and otherstaff-generated documents, as well as documents received from any othersource) related to any investigation into any trading activity designed toprofit (or avoid losses) from the September 11, 2001 terrorist attacks,including, without limitation: short selling purchase of put options sales of stock.

The Commission requests the documents requested be provided as soon as theyare available, even though all requested documents may not be provided at the same time,through means of a "rolling" production.

If any requested documents are withheld from production, even temporarily,based on an alleged claim of privilege or for any other reason, the Commission requeststhat the respondent, as soon as possible and in no event later than the production date,identify and describe each such document or class of documents, as well as the allegedbasis for not producing it, with sufficient specificity to allow a meaningful challenge toany such withholding.

If the SEC does not have possession, custody or control of any requesteddocuments but has information about where such documents may be located, theCommission requests that the SEC provide such information as soon as possible and inno event later than the production date.

If the SEC has any questions or concerns about the interpretation or scope of thesedocument requests, the Commission requests that any such questions or concerns beraised as soon as possible so that such issues can be addressed and resolved prior to theproduction date.


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FinCEN docum ent request1) Any and all documents used to develop or reflecting the analysis contained withinFinCEN Report Num ber 4, January 2002.2) Mem oranda, reports, analysis and summaries prepared in connection with Suspicious

Activity Reports filed from 1994 to September 11 , 2001. Include any writtenreferrals to law enforcement agencies and the results, if known, of the referral.3) Mem oranda, reports and summaries describing the functions, staffing, budget andduties the Office of Intelligence, from 1999 to the present. Include any writtenreferrals resulting from the activities of the Office of Intelligence to law enforcementor intelligence agencies and the results, if known, of the referral.4) 1998 report on hawala prepared by Patrick lost.5) Memoranda, reports and summaries regarding assessments of the status and

effectiveness of the Financial Intelligence Units (by whatever name, and regardless ofmembership in the Egmont Group) of Saudi Arabia, Bahrain, Yemen, UAE, Qatarand Kuwait.6) Mem oranda, reports and summaries regarding assessments of the anti-moneylaundering and anti-terrorist financing laws, regulations and practices of SaudiArabia, Bahrain, Yemen, UAE, Qatar and Kuwait.7) Mem oranda, reports and summ aries prepared in connection with the proposedregulation of money services businesses (including wire remitters, check cashers,money exchangers and informal value transfer systems) from 1994 to September 11,

2001.8) Mem oranda, reports and summ aries prepared in connection with the implementationof and compliance with Presidential Decision Directive 42 (1995).9) Mem oranda, reports and summaries prepared in connection with the implementationof and compliance with the conclusions and recommendations of the NationalCommission on Terrorism (Bremer Commission).


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/9/11 Classified Information

Main Treasury document request1. Memoranda, reports andsummaries prepared in connection with the establishment ofthe Foreign Asset Tracking Center, and its| || HIncludes report toCongress on status ofFT AT pursuant tosection 906 of the US A PATRIOT Act, due February 2002, delivered on or about

July 23, 2002.2. Memoranda, reports and summaries (including meeting agendas and minutes)prepared in connection with the terrorist financing PCC, from its inception to thepresent.3. Memoranda, reports and summaries prepared in connection with proposals for anti-money laundering or terrorist financing legislation, by the Department of the Treasury

or others, from 1994 toSeptember 11 , 2001.4. Memoranda, reports and summaries regarding assessments of the anti-moneylaundering and anti-terrorist financing laws, regulations and practices of Saudi

Arabia, Yemen, UAE, Qatar and Kuwait, since 1994. This should includeassessments done as part of training proposals prepared by the Office of TechnicalAssistance within the Office of International Affairs.5. Memoranda, reports and summaries prepared in connection with the implementationof and compliance with Presidential Decision Directive 42 (1995);i'} '''( , ' J6. Memoranda, reports and summaries prepared in connection with the implementationof and compliance with the conclusions and recommendations of the NationalCommission on Terrorism (Bremer Commission).


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Substantive Briefing Request: CIAA briefing from the CIA personnel best able to provide it on the history of Al-

Qaeda's financing activities from its emergence to the present day. The briefing shouldinclude discussions of the following subjects:a. all means and methods by which Al-Qaeda finances its activities, and howthose means and methods have changed over time;b. the source of Al-Qaeda's funding, and how the sources have changed over

time;c. the best estimates of how much Al-Qaeda spends on an annual basis, and how

its "budget" has changed over time;d. the impact on Al-Qaeda's operations of the U.S. government's efforts to

disrupt its financing activities;e. how Al-Qaeda has responded to the efforts of the U.S. government's to

disrupt its financing activities;f. the extent to which Al-Qaeda's financing activities are interrelated with thefinancing activities of other Islamic extremist groups;g. the most significant loopholes, failings, or shortcomings in the current

international effort to disrupt the financing activities or Al-Qaeda and otherIslamic extremist groups.

To promote the efficiency and usefulness of the briefing, we would like to receiveany memoranda, reports, or other analytical documents recommended by the CIAaddressing the above issues in advance of the briefing.


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Date: Mon, 2 Jun2003 1 1 :16:02 -0400From: "" 4PTo: "" 4F

Subject: Fwd:John:

Please just print this for me. Thanks.Barbara

The National Commission on Terrorist Attacks Upon the United States ("theCommission") requests that the FBI provide the Commission with copies of thefollowing ,documents as soon as possible, on a "rolling" basis, but no later than June 10,2003:1. Curricula and manuals from the following FBI training courses:a. New Agent training, both a current version and the one in effect onSeptember 11, 2001;b. Any "in-services" and conferences on Counterterrorism matters, from August1998 to the present;c. Any training courses, including the College of Analytic Studies, for FBIanalytic personnel from August 1998 to the present;d. Any training courses and conferences for FBI Legal Attaches, from 1998 tothe present;e. Any training courses specifically designed for FBI counterterrorism managersand executives, August 1998 to the present;f. Reports Officer training courses.2. Copy of the Manual of Investigative and Operational Guidelines, both acurrent version and the one in effect on September 11, 2001. ';

' f i

3. Copy of the Manual of Administrative and Operational Procedures, both acurrent version and the one in effect on September 11, 2001.4. Any written communications from the National Security Council to the FBI orthe Department of Justice containing counterterrorism strategy, policy orguidance, from August 1998 to the present5. Policy statements, directives, or guidance from the Attorney General, DeputyAttorney General, or Assistant Attorney General of the Criminal Division to the

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FBI or to the U.S. Attorney's Offices on counterterrorism matters from August1998 to the present, except for those exclusively relating to particularinvestigations.6. Copy of all versions of the Attorney General Guidelines for ForeignIntelligence and Counterintelligence Investigations from 1983-Present.7. FBI's annual Congressional Budget Justification Books, FY 1995-FY 2004.8. Documents containing instructions from FBI Headquarters to FBI Field Officesin late 2002/early 2003 to conduct an international terrorism-relateddemographic survey within their territories, and any responses by the FBI FieldOffices.9. A copy of the documents listed below from each of the following FBI FieldOffices: Baltimore, Jacksonville, Los Angeles, Miami, Newark, New York,Phoenix, San Diego, Tampa, and Washington Field Office.a. Each of the above listed Field Offices' annual organizational charts, on anat least an annual basis, from August 1998; and documents sufficient to show,on at least an annual basis, the breakdown of the number of personnel (brokendown by agent/support) assigned to each Field Office squad, and a descriptionof each squads' areas of responsibility.b. Documents sufficient to show annual statistics from 1998 to the present ofthe above listed Field Offices' TURK rates, broken down by programclassification.c. A current version and the one in effect on September 11, 2001 of anyMemoranda of Understanding and other documents reflecting agreements ofcoordination on counterterrorism matters between the above listed FBI FieldOffices and state/local law enforcement authorities (including the JointTerrorism Task Forces).d. A current version and the one in effect on September 11, 2001 of anyMemoranda of Understanding between the above listed FBI Field:Offices and otherfederal agencies regarding their cooperation and coordination oncounterterrorism matters.e. FBI Annual Field Office Reports and any other documents, including programplans outlining each of the above listed Field Offices' priorities andstrategies from August 1998 to the present. This request should be construedto include any program plans or strategy documents specifically for or by theoffices' international terrorism squads.f. Inspection Reports of the above listed Field Offices from 1998 to thepresent, including interrogatories, written responses, and program write-ups .g. Documents containing the annual statistics from 1998 to the presentregarding the number of counterterrorism intelligence (199 classification) andcounterterrorism criminal investigations (265 classification) pending at eachof the above listed Field Offices; and, records reflecting whether theseinvestigations were Preliminary Inquiries or Full Field investigations, andbroken down by program classification.h. Documents containing statistics from 1998 to the present regarding thenumber of surveillance targets authorized under FISA targeting internationalterrorist groups for each of the above listed Field Offices; and, records which

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of these surveillance were targeting al-Qa'ida targets and which were targetingother terrorist organization targets.i. Documents containing annual statistics from 1998 to the present, regardingthe number of "informational assets" and "operational assets" who were solelyor primarily reporting on international terrorism matters for each FieldOffice.10. Inspection Reports from 1998 to the present, including interrogatories,written responses, and program write-ups from Legats Riyadh, Paris,Bonn/Berlin, Madrid, London, and Singapore.11. Inspection Reports from 1998 to the present, including interrogatories,written responses, and program write-ups from all of the FBI HQCounterterrorism Analytic Units.12. Inspection Reports from 1998 to the present, including interrogatories,written responses, and program write-ups from all of the FBI HQCounterterrorism Operational Units.13. Any documents from August 1998 to the present reflecting agreements ofcoordination and collaboration on Counterterrorism matters between the FBI andthe intelligence and law enforcement agencies of Saudi Arabia, Germany, Spain,Yemen, and Pakistan.14. Any briefing materials created by the FBI relating to Counterterrorism orforeign intelligence collection in the United States created for or provided tothe Bush-Cheney TransitionTeam.

15. Written policy statements, directives, guidance, organization charts, andbriefing material used by the Director, Deputy Director, Executive AssistantDirector for Counterterrorism, and the Assistant Director for Counterterrorismregarding the post-September 11, 2001 FBI reforms, including but not limited to:a. the FBI HQ Counterterrorism reorganization;b. the creation of the Office of Intelligence;c. the Counterterrorism "flying squad";d. the National Joint Terrorism Task Force and the expansion of the JTTFprogram at the FBI Field Offices;e. the establishment of a Reports Officer program;f. the efforts to upgrade the FBI's Intelligence Research Specialist andIntelligence Operations Specialists programs;g. the efforts to centralize the FBI's Counterterrorism program at FBI HQ.16. Documents containing annual statistics from 1998 to the present regardingthe FBI's total number of pending Counterterrorism intelligence investigations(199 classification), and Counterterrorism criminal investigations (265classification); and records reflecting whether the investigations werePreliminary Inquiries or Full Field investigations, and broken down by program

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classification.17. Copies of the FBI's annual budget requests to the Department of Justice,Fiscal Years 1998 to 2004.The Commission requests that documents requested above be provided as soon asthey are available, even though all requested documents may not be provided atthe same time, through means of a "rolling" production.

If any requested documents are withheld from production, even temporarily,based on an alleged claim of privilege or for any other reason, the Commissionrequests that the respondent, as soon as possible and in no event later thanthe production date, identify and describe each such document or class ofdocuments, as well as the alleged basis for not producing it, with sufficientspecificity to allow a meaningful challenge to any such withholding.If the respondent does not have possession, custody or control of anyrequested documents but has information about where such documents may belocated, the Commission requests that the respondent provide suchinformation as soon as possible and in no event later than the production date.If the respondent has any questions or concerns about the interpretation orscope of these document requests, the Commission requests that any suchquestions or concerns be raised as soon as possible so that anysuch issues can be addressed and resolved

End forwarded message

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