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- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
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- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
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- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
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- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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NEWSLETTERS & ALERTS
SEC Promotes Donna Esau to Associate Regional Director for Examinations
[Photo: SEC Washington, DC, Headquarters - by Jared Soares / NYTimes]
The SEC has promoted Donna Esau to Associate Director for Examinations in the Atlanta Regional Office. She'll direct a staff of some 40 accountants, examiners, and attorneys in the examination of B/D's, RIAs, RICs, and transfer agents across 5 southeastern states - AL, GA, NC, SC, TN.
Ms. Esau has been with the SEC since 1996, when she joined as an examiner in the Atlanta office's examination program. She has served as a senior program adviser in the National Examination Program and most recently as Acting Associate Regional Director in the Atlanta office. From 2009 to 2011, she served as Assistant Regional Director in the SEC's Fort Worth Regional Office before returning to the Atlanta Regional Office.
Ms. Esau holds a bachelor's degree in business from UNC, a master's degree in accounting from Kennesaw State, and is a CPA.