RefineAI - Enhanced Summary Statements
DIR would benefit from an automated system that would correct or solve grammatical issues, redundant comments, and acronym expansion at the merging stage within ARM to increase ef…
Name Matching
Name Matching - Identifies certain similarities in names across data sources. This allows staff to more easily compare information across data sources.
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.
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
Optical Character Recognition (OCR) for Records Analysis
Extract structured data from unstructured digital image files of checks.
Utilize Westlaw Quick Check to cross check SEC documents.
Utilize existing Westlaw product to cross check SEC documents.
Using AI Large Language Model chat for general tasks/questions
Using an AI Large Language Model chat for general tasks and answer questions
Knowledge base of federal securities law and chatbot
Using AI to carry out basic research on federal securities laws.
Knowledge base of crypto comments and chatbot
Using AI to carry out basic research on opinions and submitted comments related to crypto assets.
Westlaw Co-Counsel
The AI output will facilitate legal research, document analysis, and document production.
Lexis Protege
The AI output will facilitate legal research, document analysis, and document production.
Semantic Layer Natural Language Query
This use case prepares data for use by AI and then enables users to query data with AI without having to write code.
Using AI to answer questions about a corpus of uploaded files
This AI service will provide a internal Large Language Model for general usage for chatting and answering questions about user uploaded files and internal knowledge bases.
AI Chart Generation
Our solution uses AI to generate chart code to automatically render interactive data visualizations for various chart types.
Creating AI generated images
Facilitate the use of models for AI generated image creation
8-K Filing Solution
Business users now can quickly go through the details to make a informed decisions using AWS image recognition AI service
Disclosure Review Chatbot
Disclosure Review Automation (DREAM) Chatbot helps division staff search within review guides and generating detailed responses to disclosure review questions
Note-Taking Assistant
The application assists staff with review and analysis of the examiner's notes taken during the examination process.
Public Website Search
This application summarizes a public website and allows staff to ask natural language questions about the contents of the website.
Chatbot with SEC Documents
This application includes a knowledge base of internal SEC guidelines and procedures. It will help answer staff questions on those guidelines/procedures.