Margaret D Farrell

Practice Areas

Corporate & Business Transactions; Banking & Financial Institutions; Health Care; Mergers & Acquisitions; Securities; Private Equity & Venture Capital; International; Technology & Emerging Growth Companies; Sports & Entertainment

Career

Hinckley Allen - Chair, Securities Law Group - Partner (1981 - Present); Tillinghast, Collins & Graham - Partner (1980 - 1981) - Associate (1976 - 1980); Bryant College - Lecturer, Masters in Taxation (1979 - 1981); Frost & Jacobs - Associate (1974 - 1976)

Professional Memberships

American Bar Association - Banking Law Section - Corporation Law Section - Business Law Section; Federal Tax Forum of Rhode Island, Inc. (1977 - 1987); Ohio Bar Assocation; Rhode Island Bar Association; RI Women's Bar Association

Publications

Final Amendments to Regulation S-P under Securities Exchange Act of 1934; Every Business Should Pay Attention to Climate-Related Disclosure Rules: Here’s Why; Connecting With Our Community: The Partnership Between Hinckley Allen and Rhode Island PBS; SEC Adopts Amendments to the Internet Adviser Exemption; SEC Adopts Rules to Enhance and Standardize Climate-Related Disclosures for Investors; SEC Adopts Changes to the Definition of “Dealer” and “Government Securities Dealer”; SEC Adopts Final Rules to Enhance Disclosures and Investor Protections Relating to Special Purpose Acquisition Companies (SPACs) and De-SPAC Transactions; SEC Adopts Amendments to Beneficial Ownership Reporting Rules; SEC Adopts New Cybersecurity Disclosure Rules; SEC Amends Reporting Requirements to Form PF; Changing Event Reporting Requirements for Fund Advisers; SEC Adopts Enhanced Share Repurchase Disclosure Rules; Issuers to Disclose Adoption and Termination of Rule 10b5-1 Plans;

SEC Proposes New Safeguarding Rule for Investment Advisers;

Experience

Peggy chairs the firm’s Securities Law Group and focuses her practice in the area of corporate and securities law, with extensive experience in business and capital formation, mergers and acquisitions (both domestic and cross border), corporate restructurings, strategic alliances, and corporate governance matters. She has broad expertise in securities law matters, including private equity and venture capital financings and public debt and equity offerings, 1934 Act compliance issues, proxy contests, and investment company, investment adviser and broker-dealer registration and regulation. Peggy has in-depth knowledge of financial institution regulation and experience in partnering and other arrangements for developing and commercializing technology; Peggy serves as outside general counsel to a wide array of public and private business concerns, providing advice on business strategies and their legal ramifications. She regularly counsels directors and officers on executive compensation and regulatory compliance matters and evolving best practices in corporate governance; Furthermore, Peggy has experience representing numerous authors in negotiations with book publishers and managing the private placement syndication of various theatrical productions, including Broadway shows.

Expert in these Jurisdictions

Ohio; Rhode Island

Education

Awards