Large Language Model analysis for the Tips, Complaints and Referrals (TCR) system
Description
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; AI tools can help summarize submitted information and intelligence for more efficient review by triage staff.
Detailed example
Output will include various classification, analysis, trending and other analysis of Tips, Complaints and Referral system data.
AI / analytics pattern
Generative AI: AI that generates new or synthetic content (e.g., images, videos, audio, text, code).
Automation level / stage
a) Pre-deployment – The use case is in a development or acquisition status.
Expected benefit
Large Language Model analysis will be leveraged to more efficiently review submissions to the SEC's Tips, Complaints and Referrals system.
Controls / human review
ATO: Not reported; PIA: Not published