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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.

Credentials

Work Experience

  • 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)

Honors & Awards

  • Best Lawyers in America® (2005-2020)
    • Lawyer of the Year (2014, 2016, 2020)
    • Recognized for Corporate Law, Mergers and Acquisitions Law, Securities/Capital Markets Law and Securities Regulation Law
  • Butler Hospital Corporation, Member of the Year (2017)
  • American Lawyer Women Leaders in the Law (2014); Who's Who in America, East Region, American Women
  • Rhode Island Monthly, Professional Excellence in Law (2019)
  • Super Lawyers, Rhode Island (2007-2012)
  • Women & Infants Hospital
    • Special Recognition for Leadership (2011)
    • Distinguished Service Award (2005)
  • Business Women Award for Career Achievement by the Providence Business News (2010)
  • Chambers USA America's Leading Lawyers for the Category of Corporate/Commercial
  • Martindale-Hubbell® AV Peer Review Rating, Recipient

Charitable & Civic Involvement

  • American Hospital Association Congress of Hospital Trustees, Rhode Island Delegate (1993-1995)
  • American Hospital Association Regional Policy Board, Trustee Delegate (1995-1998)
  • Bancorp Rhode Island, Inc., Director and Member of Executive Committee (2000-2006)
  • Bank Rhode Island, Director and Member of Executive Committee (1996-2006)
  • Butler Hospital: Trustee (1995-2011)
    • Member of Medical Matters Committee (1995-Present)
    • Butler Hospital Foundation Trustee (2011-2019)
  • Care New England Health System
    • Board of Governance and Nominating Committee Member, and Past Vice Chair (2011-2015)
    • Strategic Planning Committee Member, and Past Director and Vice Chair (1996-2011)
    • Finance Committee Member
    • Quality Committee Member
    • Vice Chair of Credentials Committee (2016-Present)
  • Foundation for Repertory Theatre of Rhode Island, Inc. (Trinity Rep)
    • Trustee and Executive Board (1978-1984)
    • Secretary (1980-1982)
    • President (1982-1983)
  • Family Service of Rhode Island, Director, Secretary and Finance Committee Member (2013-Present)
  • Gordon School, Board of Governors (1990-1995)
  • Hospital Association of Rhode Island
    • Director (1989-2003)
    • Member of Executive Committee and Chair of Community Affairs Council (1998-2003)
  • Providence After School Alliance (2013-Present)
    • Director
    • Finance Committee Member
    • Secretary
  • Providence Preservation Society Revolving Fund, Inc., Trustee and Secretary (1982-1988)
  • Rhode Island Business Plan Competition
    • Judge (2005-Present)
    • Co-Chair (2012-Present)
  • The Public's Radio (2013-2019)
    • Co Chain of Sound and Vision Capital Campaign (2016-Present)
    • Past Director
    • Past Member of Finance Committee
    • Past Chair of Development Committee
  • Rhode Island Board of Regents for Elementary and Secondary Education, Regent (1987-1990)
  • Rhode Island Historical Society, Trustee (1980-1985)
  • Technology Council of Rhode Island, Director and Secretary (1986-1991)
  • Women & Infants Hospital
    • Trustee (1981-2011)
    • Chairman (2003-2006)
    • Vice Chairman (1997-2003)
    • Secretary (1986-1989, 1990-1996)
    • Assistant Secretary (1983-1986)
  • Women & Infants Corporation
    • Director (1989-2011)
    • Treasurer (2009-2010)
    • Chairman (2003-2006)
    • Vice Chairman (1997-2003)
    • Secretary (1989-1996)

Professional Affiliations

  • 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

Bar Memberships

  • Ohio, 1974
  • Rhode Island, 1976

Speaking Engagements

  • Speaker, The Knowledge Group, “Update on the SEC’s Executive Compensation Disclosure Rulemaking under Dodd-Frank: What Do You Need to Know Now?” Webcast – 11/18/2015
  • Speaker, National Business Institute Seminar: Handling the Sale of a Business, “Structuring and Drafting the Acquisition Agreement,” 6/12/2015
  • Presentation at NBI “Forming and Converting to LLCs Conference – “LLCs vs. Incorporation: choosing the Right Business Structure” and “Forming an LLC: Procedure, Requirements and Practical Tips” – 2/23/2012
  • Boston Bar Association, Securities Law Committee Lecture – “Executive Compensation Votes and Golden Parachute Disclosure – Lessons Learned” – 12/2011
  • Presentation at NBI Mergers and Acquisitions from Start to Finish Conference – “Drafting and Negotiating the Purchase Agreement” – 2/7/11
  • Annual Income Tax Symposium (1978 – 1981)

News & Insight

Publication

SEC Rule 15c2-12 Amendments Require Disclosure of Additional Events

August 28, 2018

On August 15, 2018, the Securities and Exchange Commission (SEC) finalized and adopted amendments to Rule 15c2-12 of the Securities Exchange Act of 1934 (Rule 15c2-12), which proscribes certain notice requirements pertaining to obligations of state and loc…

Publication

SEC Expands "Smaller Reporting Company" Definition

July 17, 2018

On June 28, 2018, the Securities and Exchange Commission (“SEC”) amended the definition of “smaller reporting company” so that more companies qualify and thereby enjoy reduced disclosure obligations. The change might also affect company status unde…

Publication

SEC Releases Proposed Rule to Ease Auditor Independence Standard In Certain Situations

May 16, 2018

On May 2, 2018, the Securities and Exchange Commission (SEC) released a proposed rule (“Proposed Rule”) regarding auditor independence standards that aims to ease compliance burdens currently in place when an auditor maintains loans and/or debtor-credi…

Publication

SEC Adopts Final Crowdfunding Rules

November 19, 2015

On October 30, 2015, the Securities and Exchange Commission (“SEC”) adopted final crowdfunding rules as required by Title III of the Jumpstart Our Business Startups Act (“JOBS Act”). The proposed crowdfunding rules were released just over two years…

Publication

SEC Adopts Final Rules on Pay Ratio Disclosure

September 22, 2015

On August 5, 2015, the Securities and Exchange Commission (SEC) adopted a final rule to implement the “CEO pay ratio” disclosure mandated by Section 953(b) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. New Item 402(u) of Regulati…

Publication

SEC Adopts Final Rules for “Regulation A+”

April 9, 2015

On March 25, 2015, following the mandate of Title IV of the Jumpstart Our Business Startups Act (JOBS Act), the Securities and Exchange Commission (SEC) adopted final rules that update and expand Regulation A, which provides an exemption from registration …

Publication

Forum Selection Bylaws

February 5, 2015

More than 90% of proposed M&A transactions valued at over $100 million are challenged by stockholders in court. In many cases, such actions are brought by stockholders in more than one jurisdiction, thereby requiring companies and their directors to li…

Publication

Business Plan is More Than a Roadmap, It's a Tool

February 17, 2014
Publication

SEC Adds to and Amends Broker-Dealer Financial Responsibility and Investor Protection Rules

August 14, 2013

On July 30, 2013, the Securities and Exchange Commission (“SEC”) made two significant announcements affecting broker-dealers: the adoption of new rules designed to increase protections for investors whose money and securities are held by SEC-registered…

Publication

SEC Lifts Ban on General Solicitation in Certain Private Securities Transactions, Disqualifies “Bad Actors” from Rule 506 Offerings

July 25, 2013

On July 10, 2013, the Securities and Exchange Commission (the “SEC”) adopted amendments to Rule 506 of Regulation D and Rule 144A under the Securities Act of 1933, as amended (the “Securities Act”) that eliminate the long-standing prohibition on ge…

Publication

SEC and CFTC Adopt Identity Theft Red Flag Rules

April 24, 2013

On April 10, 2013, the Securities and Exchange Commission (the "SEC") and the Commodity Futures Trading Commission (the "CFTC" and together with the SEC, the "Commissions") jointly adopted rules and guidelines that require certain entities subject to th…

Publication

SEC Approves NASDAQ and NYSE Listing Standards on Compensation Committees and Advisers

February 15, 2013

The Securities and Exchange Commission ("SEC") has approved amendments to the NASDAQ Stock Market ("NASDAQ") and New York Stock Exchange ("NYSE") listing standards regarding the independence of compensation committees and the selection of their advisers. T…

Publication

SEC Proposes Rule Eliminating Ban on General Solicitation in Rule 506 and Rule 144A Offerings

September 11, 2012

On August 29, 2012, the Securities and Exchange Commission ("SEC") proposed amendments to Rule 506 of Regulation D and Rule 144A under the Securities Act of 1933 (the "Securities Act") mandated by Section 201(a) of the Jumpstart Our Business Startups Act (…

Publication

New Requirements for Advisers to Private Funds

July 23, 2010

On July 21, 2010, President Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"). Title IV of the Dodd-Frank Act codifies the Private Fund Investment Advisers Registration Act of 2010 ("Title IV"), which signifi…

Publication

The Consumate Advocate and Consistent Friend

May 24, 2010

Hinckley Allen Partner Margaret Farrell is featured in the Providence Business News for her career achievements. Read the provided PDF to read more about Peggy's mark on Rhode Island's business scene.

Publication

U.S. Department of the Treasury Issues Statements on Executive Compensation

July 7, 2009

In a speech on June 10, 2009, Secretary of the U.S. Department of the Treasury Timothy Geithner announced a set of principles designed to guide the future of executive compensation. The announcement was framed as a set of “standards that reward innovatio…

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Firm News

56 Hinckley Allen Attorneys Recognized by Best Lawyers in America 2020

August 15, 2019

Only one lawyer in each specialty in each region is honored as a “Lawyer of the Year” by Best Lawyers®. Since its first publication in 1983, Best Lawyers® has become universally regarded as the definitive guide to legal excellence. Best Lawyers compi…

Firm News

Chambers USA 2019 Ranks Hinckley Allen Attorneys and Practices

April 25, 2019

Hinckley Allen is proud to announce that the 2019 edition of Chambers USA has recognized several of the firm’s practice areas and attorneys for their outstanding work.Chambers USA rankings are based on extensive in-depth interviews with attorneys and cli…

Firm News

51 Hinckley Allen Attorneys Recognized by Best Lawyers in America 2019

August 15, 2018

Hinckley Allen is pleased to announce that Best Lawyers® has recognized 51 attorneys in the 2019 edition of The Best Lawyers in America®, including seven “Lawyers of the Year.” Only one lawyer in each specialty in each region is honored as a “La…

Firm News

Chambers USA 2018 Ranks Hinckley Allen Attorneys and Practices

May 3, 2018

Hinckley Allen is proud to announce that the 2018 edition of Chambers USA has recognized several of the firm’s practice areas and attorneys for their outstanding work.Chambers USA rankings are based on extensive in-depth interviews with attorneys and cli…

Firm News

52 Hinckley Allen Attorneys Recognized by Best Lawyers of America

August 18, 2017

Noble F.Jomarie T.Robert J.James J.Leon C.John J.William W.Christine K.

Firm News

Chambers USA 2017 Ranks Hinckley Allen Attorneys and Practices

May 26, 2017

The Chambers USA 2017 edition, has named 18 Hinckley Allen attorneys as leaders in their fields.The Hinckley Allen attorneys featured in the Chambers USA 2017 guide include: William W. Bouton III; Christine K. Bush; Stephen J. Carlotti; Christopher H.M. Ca…

Firm News

Chambers USA 2016 Ranks Hinckley Allen Attorneys and Practices

June 10, 2016

The Hinckley Allen attorneys featured in the Chambers USA 2016 guide include: E. Jerome Batty; William W. Bouton III; Christine K. Bush; Stephen J. Carlotti; Michael J. Connolly; Scott E. Cooper; Margaret D. Farrell; Robert G.

Firm News

Hinckley Allen Partner Margaret D. Farrell Named “Lawyer of the Year” in Mergers and Acquisitions Law by Best Lawyers

August 17, 2015

Margaret D. “Peggy” Farrell, a partner at Hinckley Allen, was named the Best Lawyers® 2016 Mergers and Acquisitions Law “Lawyer of the Year” in Providence, RI.Peggy chairs the firm's Securities Law Group and focuses her practice in the area of …

Firm News

Chambers USA 2015 Ranks Hinckley Allen Attorneys and Practices

May 19, 2015

Publication Recognizes 20% of the Firm’s PartnershipThe Chambers USA 2015 edition, released on May 19, has named 21 Hinckley Allen attorneys as leaders in their fields The Hinckley Allen attorneys featured in the Chambers USA 2015 guide include: E. Jerom…

Firm News

Hinckley Allen Partner Margaret D. Farrell Named Best Lawyers’ Securities/Capital Markets Law “Lawyer of the Year"

August 21, 2013

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 restruc…

Firm News

Best Lawyers® Recognizes 44 Hinckley, Allen & Snyder Partners

September 13, 2012

September 13, 2012 - Hinckley, Allen & Snyder LLP is proud to announce that 44 of its attorneys have been recognized by their peers as being among the nation’s best lawyers in the 2013 edition of The Best Lawyers in America®.Best Lawyers® is based …

Firm News

Hinckley, Allen & Snyder Receives Top Rankings in Chambers USA 2012

July 3, 2012

PROVIDENCE, RI - Hinckley, Allen & Snyder LLP is pleased to announce Chambers Guides, an international publisher of guides to the world’s leading lawyers, has recognized seventeen partners of the Firm as leaders in their fields, including top rankin…

Firm News

Best Lawyers Recognizes 41 Hinckley, Allen & Snyder Attorneys

September 22, 2011

Hinckley, Allen & Snyder LLP is proud to announce that 41 of its attorneys have been recognized by their peers as being among the nation’s best lawyers in the 2012 edition of The Best Lawyers in America ® 2012. Best Lawyers is based on a peer-review…

Firm News

Hinckley, Allen & Snyder Receives Top Ranking in Chambers USA 2011

July 1, 2011

PROVIDENCE, RI - Hinckley, Allen & Snyder LLP is pleased to announce Chambers Guides, an international publisher of guides to the world’s leading lawyers, has recognized nineteen partners of the Firm as leaders in their fields, including top rankings…

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Case Study

Hinckley Allen Guides Major Urban Mixed-Use Redevelopment: Arsenal Yards

Hinckley Allen provided strategic counsel to Boylston Properties and The Wilder Companies, who recently secured the equity funding and construction loan necessary to begin construction of New England’s premier urban mixed-use redevelopment project. Arsen…

Case Study

Hinckley Allen Counsels Charles Widger on $25 Million Gift to Villanova University School of Law

Hinckley Allen is proud to have advised Charles Widger, founder and executive chairman of Brinker Capital, in connection with his $25 million leadership gift to his alma mater, Villanova University’s School of Law.This investment will enhance academic in…

Events

Past Event

Critical Issues Facing Boards in Proxy Season

January 15, 2019

Margaret D. Farrell will provide her legal perspective on critical issues facing boards during the proxy season. Learn more about the National Association of Corporate Directors (NACD) New England Chapter's event, which is sure to bring a very healthy and…

Past Event

What to Know About the SEC's Executive Compensation Disclosure Rulemaking under Dodd-Frank

November 18, 2015

Margaret D. Farrell joined The Knowledge Group's webcast "Update on the SEC's Executive Compensation Disclosure Rulemaking under Dodd-Frank: What Do You Need to Know Now?"

Past Event

Handling the Sale of a Business: Structuring and Drafting the Acquisition Agreement

June 12, 2015

Margaret D. Farrell spoke at the National Business Institute to discuss "Handling the Sale of a Business: Structuring and Drafting the Acquisition Agreement."

Past Event

Bryant University - Women's Summit 2012

March 15, 2012

The Firm is once again a sponsor of the upcoming Bryant University Women's Summit being held on Thursday, March 15th. Peggy Farrell has been invited back to speak during one of the programs. Those on her panel will discuss Entrepreneurship and Women.This e…

Past Event

Forming and Converting to LLCs

February 23, 2012

Margaret D. Farrell spoke at the National Business Institute's Forming and Converting to LLCs Conference to discuss "LLCs v. Incorporation: Choosing the Right Business Structure" and "Forming an LLC: Procedure, Requirements, and Practical Tips."

Past Event

Executive Compensation Votes and Golden Parachute Disclosure: Lessons Learned

December 20, 2011

Peggy Farrell will be speaking at a brown bag lunch hosted by the Boston Bar Association. She will be discussing executive compensation votes and golden parachute disclosure. For more information and to register, please go to www.bostonbar.org.This event w…

Past Event

Lessons Learned: Executive Compensation Votes and Golden Parachute Disclosure

December 1, 2011

Margaret D. Farrell spoke to the Boston Bar Association's Securities Law Committee regarding "Executive Compensation Votes and Golden Parachute Disclosure - Lessons Learned."

Past Event

The November NACD New England Breakfast Event

November 8, 2011

Peggy Farrell will speak on the Board's role when faced with Shareholder Activism.This event will be held at the Newton Marriott Hotel.

Past Event

Drafting and Negotiating the Purchase Agreement

February 7, 2011

Margaret D. Farrell joined the National Business Institute's Mergers & Acquisitions from Start-to-Finish Conference to discuss "Drafting and Negotiating the Purchase Agreement."

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Featured Press