5 matching use cases
OMB-IND-SEC-33OMB Individually Reported
Optical Character Recognition (OCR) for Records Analysis
Extract structured data from unstructured digital image files of checks.
OMB Individually ReportedOtherLow risk
OMB-IND-SEC-34OMB Individually Reported
Single Event Insider Trading Analysis
Assist ENF staff in identifying accounts with trading activity in advance of material equity price moves that warrant further investigation by the ENF staff.
OMB Individually ReportedLaw EnforcementLow risk
OMB-IND-SEC-35OMB Individually Reported
Utilize Westlaw Quick Check to cross check SEC documents.
Utilize existing Westlaw product to cross check SEC documents.
OMB Individually ReportedOtherLow risk
OMB-IND-SEC-37OMB Individually Reported
Large Language Model analysis for the Tips, Complaints and Referrals (TCR) system
The SEC receives high volumes of Tips, Complaints, and Referrals (TCRs) and has limited staff to triage these TCRs effectively. Some TCRs contain large narratives for allegations;…
OMB Individually ReportedService DeliveryLow risk
OMB-IND-SEC-38OMB Individually Reported
Using AI Large Language Model chat for general tasks/questions
Using an AI Large Language Model chat for general tasks and answer questions
OMB Individually ReportedOtherLow risk