8-K

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

PURSUANT TO SECTION 13 OR 15(d)

OF THE SECURITIES EXCHANGE ACT OF 1934

Date of Report: (Date of earliest event reported) September 16, 2013

SWS GROUP, INC.

(Exact name of registrant as specified in its charter)

Delaware	000-19483	75-2040825
(State or other jurisdiction of incorporation)	(Commission File Number)	(IRS Employer Identification No.)

1201 Elm Street, Suite 3500

Dallas, Texas 75270

(Address of principal executive offices and zip code)

(214) 859-1800

(Registrant’s telephone number, including area code)

N/A

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the Registrant under any of the following provisions (see General Instruction A.2. below):

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425).

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12).

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)).

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)).

Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

On September 16, 2013, Ms. Stacy M. Hodges announced her resignation from the positions of Executive Vice President, Chief Financial Officer and Treasurer of SWS Group, Inc. (the “Company”) effective September 30, 2013. Ms. Hodges’ resignation was not the result of any disagreement with the Company on any matter relating to the Company’s operations, policies or practices.

The Company issued a press release announcing the resignation of Ms. Hodges. A copy of the press release is filed as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated by reference herein.

Item 9.01(d). Exhibits.

Exhibit 99.1 Press Release issued by SWS on September 17, 2013.

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SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

	SWS GROUP, INC.
Date: September 17, 2013	By:	/s/ James H. Ross
		James H. Ross
		President and Chief Executive Officer

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EXHIBIT INDEX

Exhibit No.	Description
Exhibit 99.1	Press Release issued by SWS on September 17, 2013.

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EX-99.1

Exhibit 99.1

SWS Group Announces Resignation of Chief Financial Officer

Stacy M. Hodges to Depart September 30th to Accept New Position

DALLAS, Sept. 17, 2013 – SWS Group, Inc. (NYSE: SWS) (the “Company”) announced today that Executive Vice President, Chief Financial Officer and Treasurer Stacy M. Hodges has submitted her resignation effective September 30, 2013, to accept an executive position with a North Texas financial services company. The Company plans to immediately commence a search process to fill the position on a permanent basis and expects to name an interim Chief Financial Officer by September 30, 2013.

“We are extremely grateful for Stacy’s dedicated service and leadership throughout her 19-year career with SWS Group,” said James H. Ross, President and Chief Executive Officer of SWS Group. “While we regret seeing her leave the Company, we recognize the personal and professional opportunity this move represents for her and her family and we wish Stacy the best as she begins this new chapter.”

“It has been a privilege to be part of an institution of SWS’s caliber for nearly 20 years and I am proud of the achievements realized during my time here,” Ms. Hodges said. “I have great confidence in SWS’s leadership and future success, and intend to work with the finance team to ensure a smooth transition.”

The Company noted that there were no disagreements between Ms. Hodges and SWS Group’s Board of Directors or management and that her departure is not related to the Company’s operations, policies, practices or any issues regarding the integrity of SWS Group’s financial statements or accounting policies and practices.

(more)

SWS Announces Resignation of CFO / 2

About SWS Group

SWS Group, Inc. is a Dallas-based holding company offering a broad range of investment and financial services through its subsidiaries. The Company’s common stock is listed and traded on the New York Stock Exchange under the symbol SWS. SWS Group, Inc. subsidiaries include Southwest Securities, Inc., SWS Financial Services, Inc., and Southwest Securities, FSB.

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CONTACT: Ben Brooks—Corporate Communications, (214) 859-6351, bdbrooks@swst.com