EDGAR Filing Audit Report Solution

EDGAR Technical Support Public Chatbot

EDGAR Filing Signature Review Solution

EDGAR Filing Risk Disclosure Review Solution

Testing Developer Workflows

Name Matching

Name Matching - Identifies certain similarities in names across data sources. This allows staff to more easily compare information across data sources.

Forms Filed

Parsing of Plain Language Descriptions to Machine-Readable Notations

Automates conversion of plain-language text into machine-readable standardized notations. This permits ease of analysis

Identification of Potentially Manipulative Trading Activity in Registrant Data

Identifies potentially manipulative trading activity for further review by an examination team.

Testing of Various AI Algorithms and Models

Using Natural Language Processing Techniques to Search and Analyze Certain Filings

Helps search and analyze a corpus of unstructured filings. Staff may consider the results of these efforts in their examination efforts.

Using Machine Learning/Artificial Intelligence Techniques to Predict Entities With Certain Risk Characteristics

Analyze data to predict entities with certain risk characteristics. Staff may consider the results of these efforts in their examination efforts.

Developed Parsing Logic for Filings

Help staff more efficiently search and analyze disclosure text contained in various filings.

Identification of Potentially Manipulative Activity in Certain Accounts

Identifies accounts with certain activity of interest for further review by an examination team

Using AI to Help with Coding-Related Tasks/Questions

Tailored Shareholder Report (TSR)

Optical Character Recognition (OCR) for Records Analysis

Extract structured data from unstructured digital image files of checks.

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.

Utilize Westlaw Quick Check to cross check SEC documents.

Utilize existing Westlaw product to cross check SEC documents.

Augmenting cyber threat alerts on the ACES platform with ACES's specific information.

The current Cyberthreat alerts on the ACES platform are difficult to understand and we often see false positives relative to new use cases.

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;…

Using AI Large Language Model chat for general tasks/questions

Using an AI Large Language Model chat for general tasks and answer questions

Agentic Knowledge Base of Amazon Web Services Cloud Environment for the Securities and Exchange Commission (ACES)

Retrieving and Summarizing support FAQ information

Extracting data from FOIA request forms

Capture and load data from a FOIA form into a SharePoint list for tracking through the eDiscovery Lifecycle. This alleviates time demands for manual entry from one system to anoth…