Year Joined Organization: 2008

Lawyer Overview

Cecilia Baute is an associate in the Securities Department. She joined the firm in 2007.

Past Experience

Ms. Baute has eight years of compliance and regulatory experience in the financial services industry. Her professional experience includes over four years with the NASD, now known as FINRA. While at FINRA, she worked on matters relating to variable insurance products, equity indexed annuities, life settlements, dually registered broker-dealers and investment advisers and soft dollars. Additionally, Ms. Baute participated in FINRA's variable annuity task force and provided training and interpretive guidance on related matters to various departments within FINRA. She also supported FINRA’s examination program and provided interpretive guidance to staff on federal securities laws, and MSRB and NASD rules. Ms. Baute began her career at FINRA, as a Senior Compliance Examiner for the Dallas District Office, where her duties included reviewing FOCUS filings, conducting investigations and developing examination findings into formal enforcement proceedings.

Before joining FINRA, Ms. Baute served as a Senior Compliance Examiner for H.D. Vest Investment Services, Inc. and a Registered Principal with Clark/Bardes Financial Services, Inc., in Dallas, Texas. In these roles, she drafted policies and procedures, supervised transactions and conducted branch office inspections. She also held the following securities licenses, Series 7, 24, 63, 4, 53, and 66.

Speaking Engagements

• NASD Spring Securities Conference 2006
• Joint Regulatory Conference 2005 and 2006
• NAVA 2006 Annual Meeting
• Financial Research Association Dual Registrant Association
• Life Insurance Settlement Association Annual Conference 2006

Areas of Practice

• Securities
• Insurance

West Practice Categories

Insurance Law, Securities Law

Bar Admissions

• District of Columbia
• New York

Education

• American University, Washington College of Law, 2007
  JD
• Trinity University, 1999
  BS, Business Administration

Published Works

• Regulating OTC Derivatives: How Hard Would It Be To Undo the CFMA?, 2009
• SEC Proposal for Better Safeguarding Personal Information: Easier Said Than Done?, 2008

Address

1875 Pennsylvania Avenue, NW
Washington, DC 20006

Phones

+1 202 663 6203 (Business Phone)

Faxes

+1 202 663 6363 (Business Fax)

Emails

Contact Us (Business Email)

Websites

www.wilmerhale.com