Marc I. Steinberg

Southern Methodist University - Dedman School of Law

P.O. Box 750116

Dallas, TX 75275

United States

SCHOLARLY PAPERS

79

DOWNLOADS
Rank 12,464

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Top 12,464

in Total Papers Downloads

7,332

SSRN CITATIONS

9

CROSSREF CITATIONS

5

Scholarly Papers (79)

1.

Insider Trading (PLI 2d ed. 2006)

INSIDER TRADING, PLI Publisher, Second Edition, 2006
Number of pages: 18 Posted: 23 Apr 2007
William K. S. Wang and Marc I. Steinberg
University of California, Hastings College of the Law and Southern Methodist University - Dedman School of Law
Downloads 955 (46,035)

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insider trading, insider tipping, inside information, selective disclosure, material nonpublic information, material non-public information, Regulation FD, Regulation Fair Disclosure, 10b5-1, 10b5-2, 10b-5, 10(b), securities fraud, mail fraud, wire fraud, SEC, Securities and Exchange Commission

2.

Introduction: Insider Trading

INSIDER TRADING, Third Edition, Oxford University Press, 2010
Number of pages: 8 Posted: 12 Oct 2010
William K. S. Wang and Marc I. Steinberg
University of California, Hastings College of the Law and Southern Methodist University - Dedman School of Law
Downloads 764 (62,434)

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Insider Trading, Insider Tipping, Inside Information, Selective Disclosure, Material Nonpublic Information, Material Non-Public Information, Regulation FD, Regulation Fair Disclosure, 10b5-1, 10b5-2, 10b-5, 10(b), Securities Fraud, Mail Fraud, Wire Fraud, SEC, Securities and Exchange Committee

3.

Short-Form Mergers in Delaware

The Delaware Journal of Corporate Law, Vol. 27, No. 2, pp. 489-504, 2002
Number of pages: 10 Posted: 22 Nov 2003 Last Revised: 12 Dec 2022
Southern Methodist University - Dedman School of Law and affiliation not provided to SSRN
Downloads 586 (87,572)

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4.

To Call a Donkey a Racehorse — The Fiduciary Duty Misnomer in Corporate and Securities Law

48 Journal of Corporation Law 1 (2022) , SMU Dedman School of Law Legal Studies Research Paper No. 541
Number of pages: 36 Posted: 28 Mar 2022 Last Revised: 01 Feb 2023
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 295 (192,680)

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Securities law, Corporate law, Fiduciary duty, Duty of care, Business judgment rule, Duty of good faith, Shareholders, Closely-held corporations

5.

The Assault on Section 11 of the Securities Act: A Study in Judicial Activism

Rutgers Law Review, Vol. 63, No. 1, 2010, SMU Dedman School of Law Legal Studies Research Paper No. 79
Number of pages: 67 Posted: 17 Apr 2011 Last Revised: 20 Mar 2012
Marc I. Steinberg and Brent A. Kirby
Southern Methodist University - Dedman School of Law and affiliation not provided to SSRN
Downloads 270 (210,962)

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6.

Laxity at the Gates: The SEC's Neglect to Enforce Control Person Liability

Virginia Law & Business Review, Vol. 11, No. 2, (Winter 2017), SMU Dedman School of Law Legal Studies Research Paper No. 353
Number of pages: 49 Posted: 09 Aug 2017
Marc I. Steinberg and Forrest Roberts
Southern Methodist University - Dedman School of Law and Southern Methodist University (SMU), Dedman School of Law, Alumnus
Downloads 263 (216,535)
Citation 1

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SEC, U.S. Securities and Exchange Commission, financial markets - regulation, gatekeepers, control person liability, compliance, rule of law, corporate governance practices

7.

The Corporate/Securities Attorney as a 'Moving Target' - Client Fraud Dilemmas

46 Washburn L.J. 1 (2006), SMU Dedman School of Law Legal Studies Research Paper No. 2
Number of pages: 26 Posted: 01 Mar 2007 Last Revised: 09 Dec 2022
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 258 (220,709)
Citation 1

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Legal ethics, Securities law, Attorney and client relationships, Criminal liability, Aiding and abetting, SEC Rule 102(e)

8.

U.S. Prospectus Liability — An Overview and Critique

14 Journal of European Tort Law 124, 155 (2023), https://doi.org/10.1515/jetl-2023-0010, SMU Dedman School of Law Legal Studies Research Paper No. 582
Number of pages: 41 Posted: 10 Feb 2023 Last Revised: 20 Sep 2023
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 221 (256,461)

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Prospectus liability, United States, SEC rules, Securities law, Securities regulation, Disclosure, Due diligence defense

9.

Examining the Pipeline: A Contemporary Assessment of Private Investments in Public Equity ('PIPEs')

University of Pennsylvania Journal of Business Law, Vol. 11, p. 1, 2008, SMU Dedman School of Law Legal Studies Research Paper No. 00-42
Number of pages: 55 Posted: 24 Apr 2009 Last Revised: 13 Dec 2022
Marc I. Steinberg and Emmanuel Obi
Southern Methodist University - Dedman School of Law and The OBI Law Firm, PLLC
Downloads 202 (278,707)

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10.

'Disney' Goes Goofy: Agency, Delegation & Corporate Governance

60 Hastings L.J. 201 (2008), SMU Dedman School of Law Legal Studies Research Paper No. 00-39
Number of pages: 32 Posted: 24 Apr 2009 Last Revised: 13 Dec 2022
Marc I. Steinberg and Matthew D. Bivona
Southern Methodist University - Dedman School of Law and Southern Methodist University - Dedman School of Law
Downloads 196 (286,396)

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Corporate Governance, Agency, Good faith, Contracts

11.

Slack v. Pirani: Brief for Amici Curiae Law and Business Professors in Support of Respondent

Columbia Public Law Research Paper No. 4391777, The Wharton School Research Paper
Number of pages: 32 Posted: 27 Mar 2023
Columbia Law School, Columbia Law School, Brigham Young University - J. Reuben Clark Law School, Duke University School of Law, University of Idaho College of Law, Columbia University - Law School, Columbia Law School, University of North Carolina School of Law, Loyola University Chicago School of Law, Georgetown University Law Center, University of California, Los Angeles (UCLA) - School of Law, Georgetown University Law Center, Washington University in St Louis, School of Law, Southern Methodist University - Dedman School of Law, The Wharton School, University of Pennsylvania, Boston University School of Law, Cornell Law School and George Washington University Law School
Downloads 165 (333,363)

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securities law, direct listings, Section 11, tracing, FINRA, investor protection

12.

Attorney Liability Under the State Securities Laws: Landscapes and Minefields

Berkeley Business Law Journal, Vol. 3, No. 1, 2005, SMU Dedman School of Law Legal Studies Research Paper No. 379
Number of pages: 42 Posted: 02 Feb 2018
Marc I. Steinberg and Chris Claassen
Southern Methodist University - Dedman School of Law and Southern Methodist University (SMU), Dedman School of Law, Alumnus
Downloads 163 (336,831)

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Attorney liability, state securities law, Securities Litigation Uniform Standards Act, SLUSA, primary liability, secondary liability, Uniform Securities Acts, USA

13.

The Litigation Privilege as a Shelter for Miscreant Legal Counsel

Oregon Law Review, Vol. 97, No. 1, 2018, SMU Dedman School of Law Legal Studies Research Paper No. 390
Number of pages: 50 Posted: 18 Jun 2018 Last Revised: 26 Jan 2019
Marc I. Steinberg and Logan J. Weissler
Southern Methodist University - Dedman School of Law and Southern Methodist University (SMU), Dedman School of Law, Alumnus
Downloads 148 (365,023)

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litigation privilege, attorney conduct, attorney-client privilege, attorneys – ethical standards, attorneys – liabilities, legal profession - reputation

14.

Excerpt from Volume One of William K.S. Wang & Marc I. Steinberg, 'Insider Trading' (Practising Law Institute) (Second Edition 2006)

Insider Trading Treatise (Second Edition) (excerpt from Vol. 1), The Practising Law Institute, SMU Dedman School of Law Legal Studies Research Paper No. 00-11
Number of pages: 14 Posted: 22 May 2007
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 136 (390,219)

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15.

Regulation S and Rule 144A: Creating a Workable Fiction in an Expanding Global Securities Market

29 International Lawyer 43 (1995)
Number of pages: 22 Posted: 23 Feb 2021
Marc I. Steinberg and Daryl L. Landsdale Jr.
Southern Methodist University - Dedman School of Law and affiliation not provided to SSRN
Downloads 129 (406,719)

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Foreign investment, Global trading, Regulation, Securities Law, Safe harbor, Securities and Exchange Commission, SEC, Regulation S, Rule 144A

16.

Section 29(b) of the Securities Exchange Act of 1934: A Viable Remedy Awakened

48 George Washington Law Review 1 (1979)
Number of pages: 54 Posted: 02 Feb 2021
Samuel H. Gruenbaum and Marc I. Steinberg
affiliation not provided to SSRN and Southern Methodist University - Dedman School of Law
Downloads 127 (411,523)

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Securities law, Securities Exchange Act of 1934, Section 29(b), Fraud, Liability, Remedies

17.

Insider Trading - SEC v. Mark Cuban - A Litigation Saga

58 University of Louisville Law Review 1 (2019), SMU Dedman School of Law Legal Studies Research Paper No. 495
Number of pages: 16 Posted: 04 Mar 2021 Last Revised: 05 Mar 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 123 (421,378)

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Insider trading, Securities, Securities law, SEC v. Mark Cuban, Securities fraud, Litigation

18.

Professor Alan R. Bromberg's Rule 10b-5

68 SMU Law Review 617 (2015), SMU Dedman School of Law Legal Studies Research Paper No. 171
Number of pages: 13 Posted: 26 Jun 2015 Last Revised: 15 Mar 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 114 (446,151)

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Bromberg, Rule 10b-5, securities fraud

19.

Transnational Dealings - Morrison Continues to Make Waves

46 Int'l Law. 829 (2012), SMU Dedman School of Law Legal Studies Research Paper No. 115
Number of pages: 38 Posted: 23 Jan 2013 Last Revised: 13 Dec 2022
Marc I. Steinberg and Kelly Flanagan
Southern Methodist University - Dedman School of Law and Texas Association of Realtors
Downloads 97 (500,005)

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Securities law, Morrison v. National Australia Bank Ltd.

20.

U.S. Insider Trading Law: Its Unacceptable Framework and a Proposed Solution

Forthcoming in Research Handbook on Insider Trading (Second Edition) (Stephen Bainbridge editor) (Edward Elgar Publishing Ltd.), SMU Dedman School of Law Legal Studies Research Paper No. 581
Number of pages: 26 Posted: 02 Feb 2023 Last Revised: 10 Feb 2023
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 96 (503,368)

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insider trading, material nonpublic information, MNPI, United States law, fiduciary duty, parity and access approaches, proposals for improvement, financial regulation, insider trading framework

21.

Insider Trading Regulation - A Comparative Analysis

37 International Lawyer 153 (2003)
Number of pages: 20 Posted: 27 Jan 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 95 (506,830)

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Insider Trading, Regulation, United States, Securities and Exchange Commission, SEC, Financial Law, Securities Law, Stocks, Capital markets, Securities Exchange Act of 1934, SEC Rule 14e-3

22.

Texas Gulf Sulphur at Fifty - A Contemporary and Historical Perspective

SMU Law Review, Vol. 71, No. 3, (Summer 2018), SMU Dedman School of Law Legal Studies Research Paper No. 391
Number of pages: 18 Posted: 18 Jun 2018 Last Revised: 26 Jan 2019
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 94 (510,283)
Citation 1

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Securities and Exchange Commission v. Texas Gulf Sulphur, insider trading, U.S. securities laws, insider trades – disclosures, materiality, price impact, secondary trading markets – company liabilities, Securities Exchange Act – Section 16

23.

Blurring the Lines between Pleading Doctrines: The Enhanced Rule 8(a)(2) Plausibility Pleading Standard Converges with the Heightened Fraud Pleading Standards under Rule 9(b) and the PSLRA

30 Rev. Litig. 1 (2010), SMU Dedman School of Law Legal Studies Research Paper No. 78
Number of pages: 52 Posted: 16 Apr 2011 Last Revised: 13 Dec 2022
Marc I. Steinberg and Diego E. Gomez-Cornejo
Southern Methodist University - Dedman School of Law and affiliation not provided to SSRN
Downloads 88 (531,897)

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24.

The Federalization of Corporate Governance—An Evolving Process

50 Loyola University Chicago Law Journal 539 (2019), SMU Dedman School of Law Legal Studies Research Paper No. 430
Number of pages: 22 Posted: 24 Jul 2019
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 87 (535,516)

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corporate governance, federalization, publicly held corporations, federal law – publicly-traded companies, SEC

25.

Pleading Securities Fraud Claims - Only Part of the Story

45 LOY. U. CHI. L.J. 603 (2014), SMU Dedman School of Law Legal Studies Research Paper No. 131
Number of pages: 12 Posted: 17 May 2014 Last Revised: 08 Dec 2022
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 84 (547,202)
Citation 3

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26.

Corporate Lawyers: Ethical and Practical Lawyering with Vanishing Gatekeeper Liability (Colloquium Foreword)

88 Fordham Law Review 1575 (2020) , SMU Dedman School of Law Legal Studies Research Paper No. 498
Number of pages: 23 Posted: 17 Mar 2021 Last Revised: 22 Sep 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 80 (563,502)

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Corporate lawyers, Corporate law, Professional ethics, Ethical lawyering, Client-Attorney relationship

27.

The Most Important Decision in Federal Securities Law - Texas Gulf Sulphur

42 Quinnipiac L. Rev. 13 (2023) (Symposium Issue), SMU Dedman School of Law Legal Studies Research Paper No. 589
Number of pages: 19 Posted: 10 Mar 2023 Last Revised: 11 Apr 2024
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 77 (576,030)

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Texas Gulf Sulphur, TGS, U.S. Securities law, Securities regulation, Insider trading, Disclosure, Corporate liability, Materiality, Insider trading laws, Price impact, Timing of insider trades, SEC

28.

The SEC's Neglected Weapon: A Proposed Amendment to Section 17(a)(3) and the Application of Negligent Insider Trading

University of Pennsylvania Journal of Business Law, Vol. 19, No. 2, 2017, SMU Dedman School of Law Legal Studies Research Paper No. 352
Number of pages: 45 Posted: 28 Apr 2017
Marc I. Steinberg and Abel Ramirez
Southern Methodist University - Dedman School of Law and Southern Methodist University (SMU), Dedman School of Law, Alumnus
Downloads 73 (593,555)
Citation 1

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Insider Trading, Financial Regulation, Securities and Exchange Commission, SEC, Negligent Insider Trading, Section 17(a)(3)

29.

The Emergence of a New Battleground: Liability for Secondary Market Violations in Ontario

International Lawyer, Vol. 48, No. 1, (Summer 2014), SMU Dedman School of Law Legal Studies Research Paper No. 345
Number of pages: 16 Posted: 24 Feb 2017
Marc I. Steinberg and Alex Prescott
Southern Methodist University - Dedman School of Law and Condon Thornton Sladek PLLC
Downloads 69 (612,043)

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Securities Class Action Lawsuits – Canada, Public Securities Market, Ontario Securities Act, Bill 198, Liabilities, Damages, Section 138 Amendments, Secondary Market Liability, United States Securities Act

30.

Facilitating Capital Raising: The SEC’s 2020 Amendments to the Exempt Offering Framework

49 Securities Regulation Law Journal 193 (2021), SMU Dedman School of Law Legal Studies Research Paper No. 527
Number of pages: 17 Posted: 04 Nov 2021
Marc I. Steinberg and Taylor E. Santori
Southern Methodist University - Dedman School of Law and Southern Methodist University (SMU), Dedman School of Law, Students
Downloads 64 (636,526)

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Securities regulation, Securities and Exchange Commission, SEC, Financial Investment Advisors, Crowdfunding, Rule 506(b), Rule 506(c), Rule 504, Rule 241, Rule 148, Rule 152

31.

The American Law Institute's Draft Restatement on Corporate Governance: The Business Judgment Rule, Related Principles, and Some General Observations

37 University of Miami Law Review 295 (1983)
Number of pages: 24 Posted: 22 Jan 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 62 (646,794)

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Corporate governance, Draft restatement, Business judgment rule, Securities law, Duty of care, Shareholder derivative litigation

32.

A Prolonged Slump for ‘Plaintiff-Pitchers’: The Narrow ‘Strike Zone’ for Securities Plaintiffs in the Fourth Circuit

North Carolina Law Review, Vol. 88, p. 1923, 2010, SMU Dedman School of Law Legal Studies Research Paper No. 66
Number of pages: 83 Posted: 20 Oct 2010
Marc I. Steinberg and Dustin Appel
Southern Methodist University - Dedman School of Law and Southern Methodist University - Dedman School of Law
Downloads 56 (679,307)

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33.

The Application and Effectiveness of SEC Rule 144

49 Ohio State Law Journal 473 (1988)
Number of pages: 28 Posted: 03 Feb 2021
Marc I. Steinberg and Joseph E. Kempler
Southern Methodist University - Dedman School of Law and affiliation not provided to SSRN
Downloads 55 (684,898)

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Securities Law, Rule 144, Securities and Exchange Commission, SEC, Estates and Trusts, Regulation

34.

Notes as Securities: Reves and Its Implications

51 Ohio State Law Journal 675 (1990)
Number of pages: 12 Posted: 25 Jan 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 46 (740,562)

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Securities law, Regulation, Reves v. Ernst & Young

35.

From the Regulatory Abyss: The Weakened Gatekeeping Incentives Under the Uniform Securities Act

Yale Law & Policy Review, Vol. 35, No. 1, 2016, SMU Dedman School of Law Legal Studies Research Paper No. 351
Number of pages: 47 Posted: 15 Feb 2017 Last Revised: 19 Apr 2017
Marc I. Steinberg and James Ames
Southern Methodist University - Dedman School of Law and Samples Ames PLLC
Downloads 44 (754,181)

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Financial Markets, Securities Markets, Regulatory Control, Uniform Securities Act, USA, Private Securities – Liabilities, Regulatory Incentive

36.

Undue Limitations in the Section 10(b) Purchaser-Seller Requirement

99 Tulane Law Review, Issue No. 1 (Forthcoming), SMU Dedman School of Law Legal Studies Research Paper No. 646
Number of pages: 54 Posted: 24 Apr 2024
Marc I. Steinberg and Antonio R. Partida
Southern Methodist University - Dedman School of Law and Southern Methodist University - Dedman School of Law
Downloads 43 (775,436)

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Purchaser-Seller Rule, Securities law, Section 10b, Rule 10b-5, Securities regulation, case law, history, Birnbaum, Blue Chip Stamps, Nortel, Frutarom, Second Circuit Court of Appeals

37.

Contribution and Proportionate Liability under the Federal Securities Laws in Multidefendant Securities Litigation after the Private Securities Litigation Reform Act of 1995

50 SMU Law Review 337 (1996)
Number of pages: 46 Posted: 25 Feb 2021 Last Revised: 02 Mar 2021
Marc I. Steinberg and Christopher D. Olive
Southern Methodist University - Dedman School of Law and affiliation not provided to SSRN
Downloads 43 (761,145)

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Liability, Securities law, Private Securities Litigation Reform Act of 1995, PSLRA, Securities litigation

38.

Compliance Programs for Insider Trading

47 SMU Law Review 1783 (1994)
Number of pages: 54 Posted: 04 Feb 2021 Last Revised: 18 Mar 2021
Marc I. Steinberg and John Fletcher
Southern Methodist University - Dedman School of Law and affiliation not provided to SSRN
Downloads 40 (782,735)

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Business Organizations, Insider Trading, Securities Law, Fraud, Remedies, Investment banking, Broker-dealer policies, Conflicts of interest

39.

Disclosure of Information Bearing on Management Integrity and Competency

76 Northwestern University Law Review 555 (1981)
Number of pages: 58 Posted: 04 Feb 2021
Ralph C. Ferrara, Richard M. Starr and Marc I. Steinberg
affiliation not provided to SSRN, affiliation not provided to SSRN and Southern Methodist University - Dedman School of Law
Downloads 40 (782,735)

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Disclosure, Corporation management, Investors, Shareholders, Securities law, Fraud, Case law, Securities and Exchange Commission, SEC

40.

The Supreme Court and the Definition of 'Security': The 'Context' Clause, Investment Contract Analysis, and Their Ramifications

40 Vanderbilt Law Review 489 (1987)
Number of pages: 52 Posted: 03 Feb 2021
Marc I. Steinberg and William E. Kaulbach
Southern Methodist University - Dedman School of Law and affiliation not provided to SSRN
Downloads 40 (782,735)

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Marine Bank v. Weaver, Investment, Banking and Finance, Securities Law, Tender offers, Insider trading

41.

Counsel Conflict Dilemmas in Mergers and Acquisitions

47 South Texas Law Review 3 (2005)
Number of pages: 24 Posted: 29 Jan 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 40 (782,735)

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Mergers, Acquisitions, Conflicts of Interest, Corporate counsel, Constitutional Law, Professional Ethics, Model Rules of Professional Conduct

42.

Legal Opinions in Securities Transactions

16 Journal of Corporation Law 375 (1991)
Number of pages: 70 Posted: 04 Feb 2021
Darrel A. Rice and Marc I. Steinberg
affiliation not provided to SSRN and Southern Methodist University - Dedman School of Law
Downloads 38 (797,375)

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Securities law, Legal opinions, Securities transactions, Opinion letters, Due diligence, Liability

43.

Minimizing Corporate Liability Exposure When the Whistle Blows in the Post Sarbanes-Oxley Era

Journal of Corporation Law, Vol. 30, No. 3, (Spring 2005), SMU Dedman School of Law Legal Studies Research Paper No. 378
Number of pages: 20 Posted: 02 Feb 2018
Marc I. Steinberg and Seth A. Kaufman
Southern Methodist University - Dedman School of Law and Southen Methodist University (SMU), Dedman School of Law, Alumnus
Downloads 37 (805,020)

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whistleblowers – protection, Sarbanes-Oxley Act of 2002, SOX, retaliation, employee protection, discrimination claims, corporate liability

44.

Fiduciary Duties and Disclosure Obligations in Proxy and Tender Contests for Corporate Control

30 Emory Law Journal 169 (1981)
Number of pages: 94 Posted: 21 Jan 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 34 (828,736)

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Fiduciary duties, Disclosure obligations, Proxy contests, Proxy fights, Tender contests, Corporate governance, Corporate financial management, Stakeholder interests

45.

Application of the Business Judgment Rule and Related Judicial Principles-Reflections from a Corporate Accountability Perspective

56 Notre Dame Lawyer 903 (1981)
Number of pages: 13 Posted: 21 Jan 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 33 (836,867)

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Business judgment rule, Corporate governance, Corporate accountability, Burks v. Lasker, Goldberg v. Merzdor, Shareholder litigation

46.

Attorney Conflicts of Interest in Corporate Acquisitions

39 Hastings Law Journal 579 (1988)
Number of pages: 26 Posted: 22 Jan 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 32 (845,045)

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Conflicts of interest, Corporate counsel, Business corporations, Duty of loyalty, Corporate takeovers

47.

Insider Trading, Selective Disclosure, and Prompt Disclosure: A Comparative Analysis

22 University of Pennsylvania Journal of International Economic Law 635 (2001)
Number of pages: 42 Posted: 27 Jan 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 30 (862,071)

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Insider trading, United States securities law, Securities markets, Regulation

48.

Lurking in the Shadows: The Hidden Issues of the Securities and Exchange Commission's Regulation FD

27 Journal of Corporation Law 173 (2002)
Number of pages: 38 Posted: 17 Mar 2021
Marc I. Steinberg and Jason B. Myers
Southern Methodist University - Dedman School of Law and affiliation not provided to SSRN
Downloads 27 (888,610)

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Securities law, Regulation FD, Regulation Fair Disclosure, Rule 10b-5

49.

Section 17(a) of the Securities Act of 1933 After Naftalin and Redington

68 Georgetown Law Journal 163 (1979)
Number of pages: 28 Posted: 21 Jan 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 27 (888,610)

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Securities Act of 1933, Securities industry – Law and legislation, Securities, United States v. Naftalin, Touche Ross & Co. v. Redington, Securities and Exchange Commission, Securities regulation, Section 17(a)

50.

Attorney Conflicts of Interest: The Need for a Coherent Framework

66 Notre Dame Law Review 1 (1990)
Number of pages: 36 Posted: 03 Feb 2021
Marc I. Steinberg and Timothy U. Sharpe
Southern Methodist University - Dedman School of Law and affiliation not provided to SSRN
Downloads 26 (897,858)
Citation 1

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Conflict of interest, Attorneys, Clients, Professional ethics, Attorney-Client relationship

51.

The Use of Special Litigation Committees to Terminate Shareholder Derivative Suits

35 University of Miami Law Review 1 (1980)
Number of pages: 30 Posted: 21 Jan 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 26 (897,858)

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Business Judgment Rule, Burks v. Lasker, Special litigation committees, Shareholder derivative suits

52.

The Limited Liability Company as a Security

19 Pepperdine Law Review 1105 (1992)
Number of pages: 18 Posted: 04 Feb 2021
Marc I. Steinberg and Karen L. Conway
Southern Methodist University - Dedman School of Law and affiliation not provided to SSRN
Downloads 25 (906,927)

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Liability, Limited Liability Companies, LLC, SEC v. Howey, Marine Bank v. Weaver, Business organizations, State and local government law

53.

Issuer Affirmative Disclosure Obligations - An Analytical Framework for Merger Negotiations, Soft Information, and Bad News

46 Maryland Law Review 923 (1987)
Number of pages: 31 Posted: 03 Feb 2021
Marc I. Steinberg and Robin M. Goldman
Southern Methodist University - Dedman School of Law and affiliation not provided to SSRN
Downloads 25 (906,927)

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Mergers, Disclosure, Obligations, Business Organizations, Corporate Officers, Securities Law

54.

The Legitimacy of Defensive Tactics in Tender Offers

64 Cornell Law Review 901 (1979)
Number of pages: 39 Posted: 02 Feb 2021
Gary G. Lynch and Marc I. Steinberg
affiliation not provided to SSRN and Southern Methodist University - Dedman School of Law
Downloads 24 (916,452)

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Corporate governance, Williams Act, Tender offers, Defensive tactics, Corporate takeovers, Shareholder interests, Disclosure

55.

Emerging Capital Markets: Proposals and Recommendations for Implementation

30 International Lawyer 715 (1996)
Number of pages: 24 Posted: 27 Jan 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 24 (916,452)

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Securities markets, Securities law, Unites States, Regulation, Self-regulation, Capital markets, Fraud, Financial intermediaries, Stock exchange

56.

Attorney Liability for Client Fraud

1991 Columbia Business Law Review 1 (1991)
Number of pages: 26 Posted: 25 Jan 2021 Last Revised: 27 Jan 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 24 (916,452)

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Attorney liability, Corporate counsel, Client fraud, Securities markets, Securities Exchange Commission, SEC, SEC Rule 2(e), Disclosure, Securities transactions, ABA ethical rules, Securities law, Case law

57.

Corporate/Securities Counsel - Conflicts of interest

8 Journal of Corporation Law 577 (1983)
Number of pages: 24 Posted: 21 Jan 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 23 (926,072)

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Conflicts of interest, Corporate counsel, Securities counsel, Model Rules of Professional Conduct, Attorney-Client privilege

58.

The New Law of Squeeze-Out Mergers

62 Washington University Law Quarterly 351 (1984)
Number of pages: 64 Posted: 03 Feb 2021
Marc I. Steinberg and Evalyn N. Lindahl
Southern Methodist University - Dedman School of Law and affiliation not provided to SSRN
Downloads 22 (935,819)

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Mergers, Weinberger v. UOP, Inc., Corporation law, Securities law, Minority Shareholders, Fiduciary

59.

Tender Offer Regulation: The Need for Reform

23 Wake Forest Law Review 1 (1988)
Number of pages: 40 Posted: 22 Jan 2021 Last Revised: 17 Mar 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 22 (935,819)

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Regulation, Securities Law, Tender Offers, Business judgment rule, Shareholder interests, Business Organizations

60.

The Securities and Exchange Commission's Administrative, Enforcement, and Legislative Programs and Policies - Their Influence on Corporate Internal Affairs

58 Notre Dame Law Review 173 (1982)
Number of pages: 64 Posted: 21 Jan 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 19 (966,020)

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Securities Exchange Commission, SEC, Securities Law, Disclosure, SEC policies, Regulation

61.

The Evisceration of the Duty of Care

42 Southwestern Law Journal 919 (1988)
Number of pages: 12 Posted: 22 Jan 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 16 (996,932)

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Duty of care, Corporate officers, Liability, Remedies, Business organizations, Legislation

62.

Waiver of Venue under the National Bank Act: Preferential Treatment for National Banks

62 Iowa Law Review 129 (1976)
Number of pages: 18 Posted: 21 Jan 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 16 (996,932)

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Venue Provision, National Bank Act, national banks, US Banking Law, financial institutions – law and legislation, branch banking, business transactions

63.

Disclosure in Global Securities Offerings: Analysis of Jurisdictional Approaches, Commonality and Reciprocity

20 Michigan Journal of International Law 207 (1999)
Number of pages: 60 Posted: 25 Feb 2021
Marc I. Steinberg and Lee E. Michaels
Southern Methodist University - Dedman School of Law and affiliation not provided to SSRN
Downloads 14 (1,017,848)

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Regulation, Disclosure rules, Global securities offerings, International market, Reciprocity, Securities Law

64.

Ramifications of Recent U.S. Supreme Court Decisions on Federal and State Securities Regulation

70 Notre Dame Law Review 489 (1995)
Number of pages: 30 Posted: 26 Jan 2021 Last Revised: 17 Jan 2023
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 14 (1,017,848)

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Regulation, Securities Law, Aiding and Abetting, Liability, Central Bank of Denver v. First Interstate Bank of Denver

65.

The Supreme Court, Implied Rights of Action, and Proxy Regulation

54 Ohio State Law Journal 67 (1993)
Number of pages: 48 Posted: 04 Feb 2021
Marc I. Steinberg and William A. Reese
Southern Methodist University - Dedman School of Law and affiliation not provided to SSRN
Downloads 13 (1,028,062)

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Proxies, Regulation, Business organizations, Securities Exchange Act of 1934, Section 14(a), Virginia Bankshares, Inc. v. Sandberg

66.

The Judicial and Regulatory Constriction of Section 16(b) of the Securities Exchange Act of 1934

68 Notre Dame Law Review 33 (1992)
Number of pages: 48 Posted: 04 Feb 2021 Last Revised: 18 Mar 2021
Marc I. Steinberg and Daryl L. Landsdale Jr.
Southern Methodist University - Dedman School of Law and affiliation not provided to SSRN
Downloads 13 (1,028,062)

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Securities Exchange Act of 1934, Insider trading, Securities law, Securities and Exchange Commission, SEC, Gollust v. Mendell

67.

Reappraisal of Santa Fe: Rule 10b-5 and the New Federalism

129 University of Pennsylvania Law Review 263 (1980)
Number of pages: 39 Posted: 02 Feb 2021
Ralph C. Ferrara and Marc I. Steinberg
affiliation not provided to SSRN and Southern Methodist University - Dedman School of Law
Downloads 13 (1,028,062)

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Federalism, Liability, Minority Shareholders, Regulation, Securities Law, Santa Fe Industries, Inc. v. Green

68.

The Emergence of State Securities Laws: Partly Sunny Skies for Investors

62 University of Cincinnati Law Review 395 (1993)
Number of pages: 34 Posted: 26 Jan 2021 Last Revised: 18 Mar 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 12 (1,038,010)

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State securities laws, Investors, Federal securities law, Shareholders, Regulation, Securities and Exchange Commission, SEC

69.

Nightmare on Main Street: The Paramount Picture Horror Show

16 Delaware Journal of Corporate Law 1 (1991)
Number of pages: 32 Posted: 25 Jan 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 12 (1,038,010)

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Shareholder derivative litigation, Delaware Supreme Court, Cash-out mergers, Duty of care, Paramount Communications, Inc. v. Time Inc., Business organizations

70.

Citizens & Southern National Bank v. Bougas--Achieving Justice under the Venue Provision of the National Bank Act

12 Georgia Law Review 161 (1978)
Number of pages: 20 Posted: 21 Jan 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 12 (1,038,010)

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National Bank Act, Venue Provision, Citizens & Southern National Bank v. Bougas, national banks, US Banking Law, financial institutions – law and legislation, branch banking, business transactions

71.

SEC and Other Permanent Injunctions - Standards for Their Imposition, Modification, and Dissolution

66 Cornell Law Review 27 (1980)
Number of pages: 47 Posted: 21 Jan 2021 Last Revised: 27 Jan 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 10 (1,057,626)

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Securities law, Securities and Exchange Commission, SEC, Government injunctions, SEC injunctions, United States v. Swift & Co.

72.

The Propriety and Scope of Cumulative Remedies Under the Federal Securities Laws

67 Cornell Law Review 557 (1982)
Number of pages: 51 Posted: 20 Jan 2021 Last Revised: 23 Jan 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 10 (1,057,626)

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Remedies, Cumulative remedies, Securities Law, Securities Exchange Act of 1934, Section 18(a), Liability

73.

Implied Private Rights of Action Under Federal Law

55 Notre Dame Lawyer 33 (1979)
Number of pages: 20 Posted: 21 Jan 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 9 (1,066,971)

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Securities Exchange Act of 1934, Section 17(a), Implied cause of action, Private right of action, Touche Ross & Co. v. Redington, Cort v. Ash, Cannon v. University of Chicago, Federal law

74.

Enhanced 'Blue Sky' Enforcement: A Path to Help Solve Our Public School Funding Dilemma

50 Washburn Law Journal 563 (2011), SMU Dedman School of Law Legal Studies Research Paper No. 499
Number of pages: 10 Posted: 16 Mar 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 8 (1,076,303)

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Blue sky laws, Blue sky regulation, Securities law, Investor Protection

75.

Securities Arbitration: Better for Investors than the Courts

62 Brooklyn Law Review 1503 (1996)
Number of pages: 30 Posted: 17 Mar 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 7 (1,085,198)

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Arbitration, Courts, Securities Law, States, Dispute resolution, Punitive damages, Remedies

76.

Better for Investors than the Courts

62 Brooklyn Law Review 1503 (1996)
Number of pages: 30 Posted: 25 Feb 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law
Downloads 7 (1,085,198)

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Arbitration, Courts, Securities Law, States, Dispute resolution, Punitive damages, Remedies

77.

Rethinking Securities Law

RETHINKING SECURITIES LAW (Oxford University Press 2021) https://doi.org/10.1093/oso/9780197583142.001.0001 , SMU Dedman School of Law Legal Studies Research Paper No. 528
Posted: 06 Dec 2021 Last Revised: 09 Dec 2022
Marc I. Steinberg
Southern Methodist University - Dedman School of Law

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Securities law, Securities Act of 1933, Securities Exchange Act of 1934, Securities industry – Law and legislation, Disclosure, Corporate governance, Private securities, Insider trading, Mergers and acquisitions, Securities Exchange Commission, SEC

78.

Understanding Securities Law

UNDERSTANDING SECURITIES LAW (Carolina Academic Press, 7th ed. 2018), https://cap-press.com/books/isbn/9781531001445/Understanding-Securities-Law-Seventh-Edition
Posted: 19 Mar 2021
Marc I. Steinberg
Southern Methodist University - Dedman School of Law

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79.

The Federalization of Corporate Governance

THE FEDERALIZATION OF CORPORATE GOVERNANCE (Oxford University Press 2018), https://doi.org/10.1093/oso/9780199934546.001.0001
Posted: 19 Mar 2021 Last Revised: 15 Mar 2023
Marc I. Steinberg
Southern Methodist University - Dedman School of Law

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corporate governance, federalization, states, company law, federal developments