U.S. Securities and Exchange Commission (SEC)

While not admitting or denying guilt, agrees to penalties totaling more than $4M.

Unanimous ruling allows businesses to sue over alleged constitutional violations of their oversight.

In letter to SEC, MBA says proposed rule on conflicts of interest is overly broad.

Regulators have been cracking down on retention of employee messages

The bank confirmed on Monday that they are being investigated by the U.S. Securities and Exchange Commission.