SEC Commissioner Mark T. Uyeda argued that the securities laws were not designed with variable insurance products in mind and highlighted ongoing efforts to improve disclosure.
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An investment adviser settled charges with the SEC for inaccurately describing investments in periodic reports.
A consumer goods company and its former CEO settled charges with the SEC for making misleading statements to investors by using non-GAAP measures on "core growth" and "core sales" in earnings reports.
An investment adviser settled charges with the SEC for failing to disclose conflicts of interest to clients involving payments received by an affiliated custodian.
An online transportation networking company settled charges with the SEC for failing to disclose a "related person" transaction in which one of its directors assisted in the sale of a large block of private shares worth $424 million prior to the company's IPO.