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 Association

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;

Work Highlights

Represented Norwix, Inc. in a merger transaction whereby inc.jet Holding, Inc. f/k/a Gunther International Ltd (the “Company”) was merged with and into Norwix, Inc., a wholly-owned subsidiary of the Company, with Norwix, Inc. being the surviving corporation. This intercompany merger involved removing Company stock from the OTC Pink Market, among other things.

Represented Rhode Island PBS Foundation, a Rhode Island non-profit corporation (“RIPBS”), in facilitating the merger with Rhode Island Public Radio d/b/a The Public’s Radio, a Rhode Island non-profit corporation (“TPR”) with and into RIPBS. This transaction brought together two highly trusted media sources, creating an integrated multi-media organization that serves as an independent, trusted source for news, investigative journalism, education, and entertainment.

Expert in these Jurisdictions

Ohio

Rhode Island

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.

Education

Awards