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Quest for Automated Corporate Governance Tool Leads to hCue

By Allen Tubb
February 01, 2004

With the Sarbanes-Oxley Act requiring that all Section 16 insider-trading transactions be reported to the Securities and Exchange Commission (SEC) in electronic format and within two business days, SWS Group Inc., like many companies, struggled with how to comply with the new law quickly and cost effectively.

SWS Group is a Dallas-based, full-service securities and banking firm with more than 1000 employees nationwide. The company has approximately a dozen subsidiaries including Southwest Securities, Inc., First Savings Bank, SWS Financial Services, Inc., and SWS Capital Corporation.

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