John R. Fahy is a seasoned securities attorney with significant regulatory experience, including serving as an Enforcement Attorney for the U.S. Securities and Exchange Commission and the Texas State Securities Board. His extensive regulatory experience means that he has a great relationship with regulators, helping him navigate the complex SEC system. He’s also served as general counsel of two broker-dealers and an investment adviser. He currently serves as chair-elect and council member of the State Bar of Texas Business Law Section and previously chaired the Section’s Securities Law Committee, and currently serves as committee vice-chair.
John practices securities law, advising broker-dealers, investment advisers, and issuers on regulatory and compliance matters. He helps ensure that people seeking venture capital understand the nuances and hurdles so they can be set up correctly from the beginning in order to avoid complex and costly securities enforcement issues. John is experienced in preparing public and private offering documents, SEC filings and corporate documentation. He also represents clients in inquiries and investigations by the SEC, FINRA, the Texas State Securities Board, and other securities regulators and advises on compliance issues.
Awards & Recognitions
Named a Top Attorney in Securities Law, Fort Worth, Texas Magazine for 2007 to present
AV-Rated Martindale-Hubbell: Preeminent
Recognized as a Top Attorney by 360 West Magazine 2018 to present
Publications & Presentations
Securities Intermediaries
Private Causes of Action under the Texas Securities Act
Private Causes of Action under the Recodified Texas Securities Act
The SEC's New Intrastate Offering Exemption
The Election's Impact on Securities Regulation
John Fahy spoke to the Dallas Bar Association's Securities Section on the new SEC Regulation A Plus. Dan Zinn of OTC Markets was a co-presenter.
John Fahy gave a presentation to the Tarrant County Bar Association Corporate Counsel Section entitled: Double Back-Pay, Attorneys’ Fees, Reinstatement and a Ten Year Statute of Repose - The SEC’s New Bounty System and its Whistleblower Anti-Retaliation Protections.
John Fahy was elected to a two-year term on the Council of the Business Law Section for the State Bar of Texas in June 2014
John Fahy and Wayne Whitaker submitted a comment letter to the U.S. Securities and Exchange Commission on the SEC’s Crowdfunding rule proposal on January 7, 2014.
John Fahy and Wayne Whitaker submitted an extensive comment letter to the U.S. Securities and Exchange Commission September. 30, 2013. (“SEC”) on the SEC’s proposed changes to SEC Regulation D Rule 506.
