Senior Associate Dean for Research and Rupert and Lillian Radford Professor of Law
Tel: 214-768-4072
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msteinbe@mail.smu.edu
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Bio
Marc I. Steinberg, Rupert and Lillian Radford Professor of Law and Senior Associate Dean for Research at Southern Methodist University (SMU) Dedman School of Law. He is the Director of SMU's Corporate Directors' Institute and is the former Senior Associate Dean for Academics at the SMU Dedman School of Law. Prior to becoming the Radford Professor, Professor Steinberg taught at the University of Maryland School of Law, the Wharton School of the University of Pennsylvania, the National Law Center of the George Washington University, and the Georgetown University Law Center. His experience includes appointments as a Visiting Professor, Scholar and Fellow at law schools outside of the United States, including at Universities in Argentina, Australia, China, England, Finland, Germany, Japan, New Zealand, Scotland, South Africa, and Sweden. In addition, he has been retained as an expert witness in several significant matters, including Enron, Martha Stewart, Belnick (Tyco), and Baptist Foundation.
In addition to his University appointments, Professor Steinberg has lectured extensively both in the United States and abroad, including at The American Bar Association's Annual Meeting, the PLI Annual Institute on Securities Regulation, the University of Texas Annual Securities Law Conference, the Aresty Institute of Executive Education at the University of Pennsylvania, the International Development Law Institute in Rome, the Hong Kong Securities and Futures Commission, the Taiwan "SEC" in Taipei, the New Zealand Securities Commission, the Australian Law Council Section on International Law in Melbourne, the David Hume Institute in Edinburgh, the German-American Lawyers' Association in Munich, the International Law Society of South Africa, the Buenos Aires Stock Exchange, the Finnish Banking Lawyers Association in Helsinki, and the Swedish Banking Lawyers Association in Stockholm.
Professor Steinberg received his undergraduate degree at The University of Michigan and his law degrees at the University of California, Los Angeles (J.D.) and Yale University (LL.M.). He clerked for Judge Stanley N. Barnes of the U.S. Court of Appeals for the Ninth Circuit and Judge Anthony J. Celebrezze of the Sixth Circuit, was legislative counsel to former U.S. Senator Robert P. Griffin and served as the adviser to former U.S. Supreme Court Justice Arthur J. Goldberg for the Federal Advisory Committee Report on Tender Offers.
Professor Steinberg was an enforcement attorney at the U.S. Securities and Exchange Commission, and thereafter became special projects counsel. In that position, he directly assisted the SEC's General Counsel in a wide variety of projects and cases and served as the General Counsel's confidential legal adviser.
Professor Steinberg has authored more than 125 law review articles as well as twenty books, is editor-in-chief of The International Lawyer as well as The Securities Regulation Law Journal, and is an adviser to The Journal of Corporation Law and Law and Business Review of the Americas. Professor Steinberg is a member of the American Law Institute.
Primary Articles
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INSIDER TRADING REGULATION - A COMPARATIVE ANALYSIS, 37 International Lawyer 153 (2003).
LAWYER LIABILITY AFTER SARBANES-OXLEY - HAS THE LANDSCAPE CHANGED?, 3 Wyoming Law Review 371 (2003) (delivered as the Winston S. Howard Distinguished Lecturer).
INSIDER TRADING - A COMPARATIVE PERSPECTIVE, published in Current Developments in Monetary and Financial Law (International Monetary Fund Institute) (forthcoming).
“TIPS” TO AVOID CORPORATE/SECURITIES MALPRACTICE, 30 Securities Regulation Law Journal 117 (2003).
CURTAILING INVESTOR PROTECTION UNDER THE SECURITIES LAWS: GOOD FOR THE ECONOMY?, 55 SMU Law Review 347 (2002).
LURKING IN THE SHADOWS: THE HIDDEN ISSUES OF THE SECURITIES AND EXCHANGE COMMISSION’S REGULATION FD, 27 Journal of Corporation Law 173 (2002) (co-authored).
INSIDER TRADING, SELECTIVE DISCLOSURE AND PROMPT DISCLOSURE: A COMPARATIVE ANALYSIS, 22 University of Pennsylvania Journal of International Economic Law 635 (2001).
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Books
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SECURITIES REGULATION TEXTBOOK (4th ed., Spring 2004).
SECURITIES PRACTICE: FEDERAL AND STATE ENFORCEMENT (2d ed. 2001) (including 2002 + 2003, 2004 Supplements) (lead co-author) (two volumes).
SECURITIES REGULATION TEXTBOOK (3d ed. 1998) (including 1999-2003 Supplements) and Professor’s Manual.
SECURITIES PRACTICE: FEDERAL AND STATE ENFORCEMENT (1985) (including annual Supplements, 1997-2001) (lead co-author) (two volumes).
SECURITIES REGULATION: LIABILITIES AND REMEDIES (2002) (including biannual and annual Upkeeps 1997-2004, Releases 23-38).
SECURITIES REGULATION: LIABILITIES AND REMEDIES (Releases 35, 36, 37 & 38).
LAWYERING AND ETHICS FOR THE BUSINESS ATTORNEY (2002) and Professor’s Manual.
INTERNATIONAL SECURITIES LAW: A CONTEMPORARY AND COMPARATIVE ANALYSIS (1999) (Recipient of the SMU author’s award, presented by Dedman College, Godbey Lecture Series).
INSIDER TRADING (1996) (including 1998-2002 Annual Supplements) (co-authored).
UNDERSTANDING SECURITIES LAW (Student References Text)(3rd ed. 2001).
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Speeches/Presentations
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Public Lecture, Recent Developments in U.S. and European Securities Regulation, University of Hong Kong (Oct. 5, 2004)
Training Seminar, Securities and Futures Commission (SFC), Hong Kong (Oct. 8, 2004)
South Texas College of Law, Corporate Compliance Center, The Corporate/Securities Attorney as a Moving Target: Ethical and Legal Concerns (Nov. 12, 2004)
Paul Hastings Visiting Professor, Faculty of Law, Hong Kong University (Oct. 1-10, 2004).
Winston S. Howard Distinguished Lecturer, University of Wyoming College of Law.
Speaker, “Securities Regulation and Business Law Problems,” University of Texas Annual Conference.
Speaker, “Understanding Securities Law,” Vanderbilt University School of Law.
Speaker, “Ethics - Corporate/Securities Lawyers,” Bar Association for the City of New York.
Chair, FindLaw Corporate Counsel Program on Securities Law Update.
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Other
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Academic Advisory Board, Black’s Law Dictionary (8th ed. 2004)
Advisory Board, Corporate Compliance Center, South Texas College of Law
Contributing Author, Employee Benefits Law, ABA Section of Labor and Employment Law (2d ed. 2004 Supp.)
BOOK REVIEW, 32 Securities Regulation Law Journal 136 (2004).
THE SEC’S USE OF “PLAIN ENGLISH”: A NOTE FROM THE EDITOR-IN-CHIEF, 31 Securities Regulation Law Journal 272 (2003).
FOREWORD, SYMPOSIUM ON INTERNATIONAL COMPANY AND SECURITIES LAW, 37 International Lawyer 1 (2003).
THE SEC AND THE SECURITIES INDUSTRY RESPOND TO SEPTEMBER 11TH, 26 International Lawyer 131 (2002).
SHORT-FORM MERGERS IN DELAWARE, 27 Delaware Journal of Corporate Law 489 (2002).
LEGAL REFORM AND THE IMPORTANCE OF ROBUST SECURITIES MARKETS, published in International Financial Sector Reform, at 45 (2002).
THE DEVELOPMENT OF INTERNATIONALLY ACCEPTABLE ACCOUNTING STANDARDS: A UNIVERSAL LANGUAGE FOR FINANCE IN THE 21ST CENTURY, 27 Securities Regulation Law Journal 324 (1999) (co-authored) [Republished in Yearbook of International Financial and Economic Law - 1998, at 87 (1999) and in International Financial Sector Reform, at 87 (2002)].
EMERGING CAPITAL SECURITIES MARKETS: TASKS, CHALLENGES AND OBJECTIVES, PUBLISHED IN A NEW INTERNATIONAL FINANCIAL ARCHITECTURE: A VIABLE APPROACH at 237 (The British Institute of International and Comparative Law 2001).
THE “ACCREDITED” INDIVIDUAL PURCHASER UNDER SEC REGULATION D: TIME TO UP THE ANTE, 29 Securities Regulation Law Journal 93 (2001) [column].
THE PLIGHT OF “SECONDARY ACTORS” UNDER SECTION 10(B): DISTINGUISHING PRIMARY FROM SECONDARY LIABILITY, 28 Securities Regulation Law Journal 36 (2000) (co-authored).
SECURITIES ARBITRATION: A POST-MCMAHON IRONY, 1 Broker-Dealer Dispute Report No. 2, at 12 (Feb. 2000).
CORPORATE COUNSEL: ROLES AND LIABILITIES, 52 SMU Law Review 707 (1999), 64 Journal of Air Law and Commerce 663 (1999).
SECURITIES ARBITRATION IN THE UNITED STATES, published in Yearbook of International Financial and Economic Law - 1997 at 251 (1999).
SECURITIES ARBITRATION - A DECADE AFTER MCMAHON, 26 Securities Regulation Law Journal 117 (1998) (column).
THE PRIVATE SECURITIES LITIGATION REFORM ACT: CONTRIBUTION AND PROPORTIONATE LIABILITY, 25 Securities Regulation Law Journal 333 (1997) (co-authored).
CORPORATE/SECURITIES ATTORNEYS: ETHICAL AND LIABILITY CONCERNS, Program Sponsored by the Practising Law Institute and Vanderbilt University School of Law, Nashville (2002).
ETHICAL AND LEGAL CHALLENGES FACING SECURITIES LAWYERS, The Association of the Bar of the City of New York (2001).
CLOSELY-HELD CORPORATION DISPUTES: KEY LITIGATION ISSUES, Business Litigation Section, Dallas Bar Association (2001).
ETHICAL AND LEGAL ISSUES FACING SECURITIES LAWYERS, Thirty-First Annual Institute on Securities Regulation (Practising law Institute 1999).
EMERGING CAPITAL MARKETS: PROPOSALS FOR CONSIDERATION, ABA Annual Meeting, Section of Business Law, Toronto (1998).
CAPITAL MARKETS REFORM IN EMERGING MARKETS: SELECTIVE LESSONS FROM THE UNITED STATES MODELS, 100th Anniversary of the University of Peking, Beijing (1998).
INSIDER TRADING AND GOVERNMENT ENFORCEMENT, Perth Australia (1998).
THE U.S. CORPORATE ATTORNEY - ETHICAL AND LEGAL ISSUES, Tokyo (1997).
STATUTES OF LIMITATIONS IN SEC ENFORCEMENT ACTIONS, ABA Section of Business Law Spring Meeting (1997) (co-authored).
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Education
A.B., 1972, University of Michigan
J.D., 1975, UCLA
LL.M., 1977, Yale University
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