Asian Institute of International Financial Law (AIIFL), HKU

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Academic Advisory Board

Professor Marc I. Steinberg

Affiliation AIIFL Academic Advisory Board Member, AIIFL Honorary Fellow (2026), AIIFL Visiting Fellow (1 December 2023, 13 December 2024, 3 December 2025) and Rupert and Lillian Radford Chair in Law and Professor of Law, Dedman School of Law, Southern Methodist University
Research Areas Corporate law, securities regulation, financial regulation, corporate governance, investor protection, international securities law, and legal ethics
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  1. CORPORATE DIRECTOR AND OFFICER LIABILITY - 2025
  2. Unflexed Muscle: SEC Enforcement and Officer SOX 302 Certifications, 80 University of Miami Law Review 1 (forthcoming 2025) (with A.B.… Read more Unflexed Muscle: SEC Enforcement and Officer SOX 302 Certifications 2025
  3. Securities and Exchange Commission Enforcement Based on Deficient Disclosure — Practices, Policies, and Insights, 50 Journal of Corporation Law 943… Read more Securities and Exchange Commission Enforcement Based on Deficient Disclosure — Practices, Policies, and Insights 2025
  4. BUSINESS ENTERPRISES: LEGAL STRUCTURES, GOVERNANCE, AND POLICY, 5th ed. (Carolina Academic Press 2024) (also Lexis Nexis Publishing 1st ed. 2009 and 2d ed.… Read more et al 2024
  5. INSIDE COUNSEL – PRACTICES, STRATEGIES, AND INSIGHTS, 3d ed. (West Academic Press 2024) (also 1st ed. 2015 and 2d ed.… Read more 2024
  6. Undue Limitations in the Section 10(b) Purchaser-Seller Requirement, 99 Tulane Law Review 1 (2024) (with Antonio R.… Read more Undue Limitations in the Section 10(b) Purchaser-Seller Requirement 2024
  7. UNDERSTANDING SECURITIES LAW, 8th ed. (Carolina Academic Press, forthcoming 2023) (also Matthew Bender & Co 1st ed. 1989 and 2d ed.… Read more 2023
  8. SECURITIES REGULATION: LIABILITIES AND REMEDIES (Release #64, 2023) (Law Journal Press 1984) 2023
  9. The Most Important Decision in Federal Securities Law – Texas Gulf Sulphur, 42 Quinnipiac Law Review 13 (2023)  SSRN | SMU… Read more The Most Important Decision in Federal Securities Law – Texas Gulf Sulphur 2023
  10. US Prospectus Liability - An Overview and Critique, 14 Journal of European Tort Law 124 (2023) SSRN US Prospectus Liability - An Overview and Critique 2023
  11. SECURITIES REGULATION, 8th ed. (Carolina Academic Press 2022) (also Matthew Bender & Co.: 1st ed 1986, 2d ed. 1993 and 3d ed.… Read more 2022
  12. To Call a Donkey a Racehorse — The Fiduciary Duty Misnomer in Corporate and Securities Law, 48 Journal of Corporation Law 1 (2022)  SSRN | SMU… Read more To Call a Donkey a Racehorse — The Fiduciary Duty Misnomer in Corporate and Securities Law 2022
  13. RETHINKING SECURITIES LAW (Oxford University Press 2021) 2021
  14. SECURITIES LITIGATION: LAW, POLICY, AND PRACTICE, 2d ed. (Carolina Academic Press 2021) (also 1st ed. 2016) (with Wendy Gerwick et al.… Read more et al 2021
  15. SECURITIES REGULATION: LIABILITIES AND REMEDIES (Law Journal Press 2021, and updates 1-63) (first published 1984)    2021
  16. From the Editor-in-Chief, 49 Securities Regulation Law Journal 233 (2021) (regular contribution also in 45 Securities Regulation Law Journal 5 (2017) From the Editor-in-Chief 2021
  17. Facilitating Capital Raising: The SEC's 2020 Amendments to the Exempt Offering Framework, 49 Securities Regulation Law Journal 193 (2021) (with Taylor E.… Read more Facilitating Capital Raising: The SEC's 2020 Amendments to the Exempt Offering Framework,  2020
  18. The SEC’s Proposed Amendments to the Accredited Investor Definition: Slighting Investor Protection Priorities, 48 Securities Regulation Law Journal 73 (2020) (column) The SEC’s Proposed Amendments to the Accredited Investor Definition: Slighting Investor Protection Priorities 2020
  19. Corporate Lawyers: Ethical and Practical Lawyering with Vanishing Gatekeeper Liability, 88 Fordham Law Review 1575 (2020) SSRN | SMU… Read more Corporate Lawyers: Ethical and Practical Lawyering with Vanishing Gatekeeper Liability 2020
  20. THE SECURITIES & EXCHANGE COMMISSION V. MARK CUBAN—A TRIAL OF INSIDER TRADER (Twelve Tables Press 2019) 2019
  21. The Federalization of Corporate Governance—An Evolving Process, 50 Loyola University Chicago Law Journal 539 (2019) SSRN | SMU… Read more The Federalization of Corporate Governance—An Evolving Process 2019
  22. Insider Trading — SEC v. Mark Cuban — A Litigation Saga, 58 University of Louisville Law Review 1 (2019) (The 2019 William Marshall Bullitt Lecture) SSRN | SMU… Read more Insider Trading — SEC v. Mark Cuban — A Litigation Saga 2019
  23. THE FEDERALIZATION OF CORPORATE GOVERNANCE (Oxford University Press 2018) 2018
  24. UNDERSTANDING SECURITIES LAW, 7th ed. (Carolina Academic Press 2018) 2018
  25. The Litigation Privilege as a Shelter for Miscreant Legal Counsel, 97 Oregon Law Review 1 (2018) (with Logan J.… Read more The Litigation Privilege as a Shelter for Miscreant Legal Counsel 2018
  26. Texas Gulf Sulphur at Fifty—A Contemporary and Historical Perspective, 71 SMU Law Review 625 (2018) SSRN | SMU… Read more Texas Gulf Sulphur at Fifty—A Contemporary and Historical Perspective 2018
  27. Laxity at the Gates: The SEC's Neglect to Enforce Control Person Liability, 11 Virginia Law & Business Review 201 (2017) (with Forrest Roberts) SSRN | SMU… Read more Laxity at the Gates: The SEC's Neglect to Enforce Control Person Liability 2017
  28. The SEC's Neglected Weapon: A Proposed Amendment to Section 17(a)(3) and the Application of Negligent Insider Trading, 19 University of Pennsylvania Journal of… Read more The SEC's Neglected Weapon: A Proposed Amendment to Section 17(a)(3) and the Application of Negligent Insider Trading 2017
  29. From the Regulatory Abyss: The Weakened Gatekeeping Incentives under the Uniform Securities Act, 35 Yale Law & Policy Review 1 (2016) (with James Ames) SSRN |… Read more From the Regulatory Abyss: The Weakened Gatekeeping Incentives under the Uniform Securities Act 2016
  30. Professor Alan R. Bromberg's Rule 10B-5,68 SMU Law Review 617 (2015) SSRN | SMU Repository Professor Alan R. Bromberg's Rule 10B-5 2015
  31. In Honor of Stanley Sporkin, 43 Securities Regulation Law Journal 5 (2015) In Honor of Stanley Sporkin 2015
  32. Pleading Securities Fraud Claims - Only Part of the Story, 45 Loyola University (Chicago) Law Journal 603 (2014) SSRN | SMU… Read more Pleading Securities Fraud Claims - Only Part of the Story 2014
  33. Enhanced Enhanced "Blue Sky" Enforcement 2011
  34. INSIDER TRADING, 3d ed. (Oxford University Press 3d ed 2010) (also Little Brown & Co. 1996 and Practising Law Institute 2d ed. 2005) (co-authored) 2010
  35. The Assault on Section 11 of the Securities Act: A Study in Judicial Activism, 63 Rutgers Law Review 1 (2010) (with Brent A.… Read more The Assault on Section 11 of the Securities Act: A Study in Judicial Activism 2010
  36. A Prolonged Slump for A Prolonged Slump for "Plaintiff-Pitchers:" The Narrow "Strike Zone" for Securities Plaintiffs in the Fourth Circuit 2010
  37. Blurring the Lines Between Pleading Doctrines: The Enhanced Rule 8(a)(2) Plausibility Pleading Standard Converges With the Heightened Pleading Standards Under… Read more Blurring the Lines Between Pleading Doctrines: The Enhanced Rule 8(a)(2) Plausibility Pleading Standard Converges With the Heightened Pleading Standards Under Rule 9(b) and the PSLRA 2010
  38. Disney Goes Goofy:  Agency, Delegation, and Corporate Governance, 60 Hastings Law Journal 201 (2008) (with Matthew D.… Read more Disney Goes Goofy:  Agency, Delegation, and Corporate Governance 2008
  39. Examining the Pipeline: A Contemporary Assessment of Private Investments in Public Equity (“PIPES Examining the Pipeline: A Contemporary Assessment of Private Investments in Public Equity (“PIPES”) 2008
  40. The Corporate /Securities Attorney as a “Moving Target The Corporate /Securities Attorney as a “Moving Target” — Client Fraud Dilemmas 2006
  41. ATTORNEY LIABILITY AFTER SARBANES-OXLEY (Law Journal Press 2005) (with 2018 Supplement) 2005
  42. Attorney Liability Under the State Securities Laws: Landscapes and Minefields, 3 University of California, Berkeley Business Law Journal 1 (2005) (with Chris… Read more Attorney Liability Under the State Securities Laws: Landscapes and Minefields 2005
  43. Counsel Conflict Dilemmas in Mergers and Acquisitions, 47 South Texas Law Review 3 (2005) SSRN | SMU Repository Counsel Conflict Dilemmas in Mergers and Acquisitions 2005
  44. Minimizing Corporate Liability Exposure When the Whistle Blows in the Post Sarbanes-Oxley Era, 30 Journal of Corporation Law 445 (2005) (with Seth A.… Read more Minimizing Corporate Liability Exposure When the Whistle Blows in the Post Sarbanes-Oxley Era 2005
  45. Lurking in the Shadows: The Hidden Issues of the Securities and Exchange Commission's Regulation FD, 27 Journal of Corporation Law 173 (2002) (with Jason B.… Read more Lurking in the Shadows: The Hidden Issues of the Securities and Exchange Commission's Regulation FD 2002
  46. Short-Form Mergers in Delaware, 27 Delaware Journal of Corporate Law 489 (2002) SSRN | SMU Repository Short-Form Mergers in Delaware 2002
  47. Insider Trading, Selective Disclosure and Prompt Disclosure: A Comparative Analysis, 22 University of Pennsylvania Journal of International Economic Law 635… Read more Insider Trading, Selective Disclosure and Prompt Disclosure: A Comparative Analysis 2001
  48. The Development of Internationally Acceptable Accounting Standards: A Universal Language for Finance in the 21st Century, 27 Securities Regulation Law Journal 324 (1999) (coauthored) The Development of Internationally Acceptable Accounting Standards: A Universal Language for Finance in the 21st Century 1999
  49. TENDER OFFERS—DEVELOPMENTS AND COMMENTARIES (Quorum Press 1985) (editor) 1985
  50. CORPORATE INTERNAL AFFAIRS — A CORPORATE AND SECURITIES LAW PERSPECTIVE (Quorum Press) (1983) 1983
  1. The True Status of Corporate Directors and Officers – “Discretionaries” Not Fiduciaries
    AIIFL Distinguished Public Lecture
    As SPEAKER with Professor Giuliano Castellano (Chair) Recording
  2. US Insider Trading Regulation
    AIIFL Lectures & Seminars
    As SPEAKER with Professor Douglas Arner (Chair) Recording
  3. Rethinking Securities Law
    As SPEAKER with Professor Douglas Arner (Chair) Recording
  1. Innovation in Financial Law and Systems (A Conference in Honour of Professor Joseph J. Norton – Part 2)