Company:  SWS GROUP INC (SWS)
Form Type:  10-Q
Filing Date:  11/7/2012 
CIK:  0000878520 
Address:  SUITE 3500
1201 ELM STREET
 
City, State, Zip:  DALLAS, Texas 75270 
Telephone:  (214) 651-1800 
Fiscal Year:  06/30 
Last Trade
Last Trade: 
$7.95  
Change: 
0.01 (0.13%)  
Trade Time: 
04:02 PM EST  
Market Cap: 
$262.89M
Description of Business
We are a diversified financial services holding company focused on delivering a broad range of investment banking, commercial banking and related financial services to corporate, individual and institutional investors, broker/dealers, governmental entities and financial intermediaries. We are the largest full-service brokerage firm headquartered in the Southwestern United States (based on the number of financial advisors). For purposes of this report, unless the context otherwise indicates, references to �we,� �us,� �our,� �SWS� and the �company� mean SWS Group, Inc. collectively with all of our subsidiaries, and references to "SWS Group" mean solely SWS Group, Inc. as a single entity. SWS Group is a Delaware corporation that was incorporated in 1972, and that has its common stock listed on the New York Stock Exchange (�NYSE�). Our principal executive offices are located at 1201 Elm Street, Suite 3500, Dallas, Texas 75270.
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  FORM 10-Q
    PART I. FINANCIAL INFORMATION
      Item 1. Financial Statements
        BALANCE SHEET
        INCOME STATEMENT
        CASH FLOW
        Notes to Consolidated Financial Statements
          BALANCE SHEET
      Item 2. Management's Discussion and Analysis of Financial ...
      Item 3. Quantitative and Qualitative Disclosures About ...
      Item 4. Controls and Procedures
    PART II. OTHER INFORMATION
      Item 1. Legal Proceedings
      Item 1A. Risk Factors
      Item 2. Unregistered Sales of Equity Securities and Use of ...
      Item 3. Defaults upon Senior Securities
      Item 4. Mine Safety Disclosures
      Item 5. Other Information
      Item 6. Exhibits
    SIGNATURES
    INDEX TO EXHIBITS
  EXHIBIT 31.1
    CHIEF EXECUTIVE OFFICER CERTIFICATION
  EXHIBIT 31.2
    CHIEF FINANCIAL OFFICER CERTIFICATION
  EXHIBIT 32.1
    CERTIFICATION FURNISHED PURSUANT TO 18 U.S.C. SECTION 1350,
  EXHIBIT 32.2
    CERTIFICATION FURNISHED PURSUANT TO 18 U.S.C. SECTION 1350,
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