Form 8-K

SWS GROUP, INC.

Date: January 9, 2014

/s/ J. Michael Edge

J. Michael Edge

Chief Financial Officer

0001193125-14-006169.txt : 20140109 0001193125-14-006169.hdr.sgml : 20140109 20140109102759 ACCESSION NUMBER: 0001193125-14-006169 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140109 ITEM INFORMATION: Other Events FILED AS OF DATE: 20140109 DATE AS OF CHANGE: 20140109 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SWS GROUP INC CENTRAL INDEX KEY: 0000878520 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 752040825 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-19483 FILM NUMBER: 14517830 BUSINESS ADDRESS: STREET 1: SUITE 3500 STREET 2: 1201 ELM STREET CITY: DALLAS STATE: TX ZIP: 75270 BUSINESS PHONE: 2146511800 MAIL ADDRESS: STREET 1: SUITE 3500 STREET 2: 1201 ELM STREET CITY: DALLAS STATE: TX ZIP: 75270 FORMER COMPANY: FORMER CONFORMED NAME: SOUTHWEST SECURITIES GROUP INC DATE OF NAME CHANGE: 19930328 8-K 1 d655821d8k.htm FORM 8-K Form 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) January 9, 2014

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 8.01 Other Events.

A copy of the Corporate Governance Guidelines of SWS Group, Inc. (the “Company”) is available to the public on the Company’s website at http://swsgroupinc.com/Pages/swsgroupcorporategovernance.aspx. Section I.B.1.a of the Company’s Corporate Governance Guidelines discloses the procedure by which a presiding director is selected for each of the executive sessions of the non-management directors of the Company’s Board of Directors (the “Board”). The non-management directors of the Board meet in executive session during each of the Board’s regularly scheduled meetings without any management directors or any members of management present. The non-management directors rotate the presiding position among the chairs of the authorized Board committees.

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.