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| SWS > SEC Filings for SWS > Form 8-K on 15-Jan-2013 | All Recent SEC Filings |
15-Jan-2013
Other Events, Financial Statements and Exhibits
On January 14, 2013, Southwest Securities, FSB (the "Bank"), a wholly-owned subsidiary of SWS Group, Inc. ("Company"), announced that the Office of the Comptroller of the Currency ("OCC") had terminated the Order to Cease and Desist ("Order") that the Bank entered into on February 4, 2011 with the Office of Thrift Supervision ("OTS"). The Order was administered by the OCC as the successor to the OTS. A copy of the press release is attached hereto as Exhibit 99.1.
The Bank will continue to remain subject to compliance with regulatory requirements including minimum capital ratios and liquidity requirements as well as adherence to its business plan regarding, among other things, growth of assets and expansion of products or services.
(d) Exhibits.
Exhibit 99.1 Press Release issued by the Company on January 15, 2013.
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