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…
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.
Create description of documents for records management in sharepoint
Creating descriptions and other record keeping metadata on documents.
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.