UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 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): 
December 28, 2009
 
STIFEL FINANCIAL CORP.
(Exact name of registrant as specified in its charter)
 
 



  
    
      
Delaware
(State of
      incorporation)
      
 
    
      
1-9305
(Commission File
      Number)
      
 
    
      
43-1273600
(IRS
      Employer
Identification No.)
      
 
 
One Financial Plaza
501 North Broadway
St. Louis, Missouri 63102-2102
(Address of principal executive offices, including zip code)
 
Registrant's telephone number, including area code:
(314) 342-2000
 
 



  
    
      
 
    
      
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):


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

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

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

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

 

 





Item 8.01  Other Events.

On December 28, 2009, Stifel Financial
Corp. (the "Company") (NYSE: SF) announced that its principal operating
subsidiary, Stifel, Nicolaus & Company, Incorporated, will complete its
repurchase of auction rate securities ("ARS") no later than December 2011, six
months earlier than previously planned. The accelerated repurchase plan is part
of an agreement the Company reached with state regulators in Missouri, Indiana,
Colorado and other members of the North American Securities Administrators
Association ("NASAA") Task Force regarding ARS.

A copy of the press release is filed as exhibit 99.1 hereto and
is incorporated herein by reference.

The information in Item 8.01 of this Report, including the
information contained in Exhibit 99.1, shall be deemed "furnished" and shall not
be deemed "filed" for the purposes of Section 18 of the Securities Exchange Act
of 1934, as amended (the "Exchange Act"), or otherwise subject to the liabilities of that section,
nor shall it be deemed incorporated by reference in any filing under the
Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by
specific reference in such filing. 
 

Cautionary Statement Concerning Forward-Looking Statements
 

This Current Report on Form 8-K contains certain statements that may be
deemed to be "forward-looking statements" within the meaning of Section 27A of
the Securities Act of 1933 and Section 21E of the Securities Exchange Act of
1934. All statements in this report not dealing with historical results are
forward-looking and are based on various assumptions. The forward-looking
statements in this report are subject to risks and uncertainties that could
cause actual results to differ materially from those expressed in or implied by
the statements. Factors that may cause actual results to differ materially from
those contemplated by such forward-looking statements include, among other
things, the following possibilities: the ability to successfully integrate the
acquired companies or  the branch offices and
financial advisors as part of the our transaction with UBS; a material adverse
change in the financial condition; the risk of borrower, depositor and other
customer attrition; a change in general business and economic conditions;
changes in the interest rate environment, deposit flows, loan demand, real
estate values, and competition; changes in accounting principles, policies or
guidelines; changes in legislation and regulation; other economic, competitive,
governmental, regulatory, geopolitical, and technological factors affecting the
companies' operations, pricing, and services; and other risk factors referred to
from time to time in filings made by the Company with the Securities and Exchange
Commission. Forward-looking statements speak only as to the date they are made.
The Company does not undertake to update forward-looking statements to reflect
circumstances or events that occur after the date the forward-looking statements
are made. The Company disclaims any intent or obligation to update these
forward-looking statements. 


 

Item 9.01   Financial Statements and
Exhibits.
 



  
    
      
(d) 
    
      
Exhibits.
 



  
    
      
Exhibit Number
    
      
Description of Exhibit
  
    
      
 
    
      
 
  
    
      
99.1
    
      

		Press release dated December 28, 2009.
 
 




SIGNATURE
 
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.
 
 



  
    
      
 
    
      
STIFEL FINANCIAL CORP.
  
    
      
 
    
      
 
    
      
 
  
    
      
 
    
      
 
    
      
 
  
    
      
Date: January 4, 2010
    
      
By:
    
      
/s/ Ronald J. Kruszewski
  
    
      
 
    
      
 
    
      
Ronald J. Kruszewski
  
    
      
 
    
      
 
    
      
President and Chief Executive
  Officer
 
 




EXHIBIT INDEX
 





  
    
      
Exhibit Number
    
      
Description of Exhibit
  
    
      
    
      
  
    
       
    
       
  
    
      
99.1
    
      

		Press release dated December 28, 2009.