Securities and Exchange Commission

Utilize existing Westlaw product to cross check SEC documents.

Using AI to carry out basic research on federal securities laws.

Strategic Hub for Innocation and Financial Technology (FinHub)

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

Division of Investment Management (IM), Disclosure Review and Accounting Office (DRAO)

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

Using AI to carry out basic research on opinions and submitted comments related to crypto assets.

Creating descriptions and other record keeping metadata on documents.

Assist ENF staff in identifying accounts with trading activity in advance of material equity price moves that warrant further investigation by the ENF staff.

Name Matching - Identifies certain similarities in names across data sources.

The SEC receives high volumes of Tips, Complaints, and Referrals (TCRs) and has limited staff to triage these TCRs effectively.

Retrieving and Summarizing support FAQ information

The solution will help in classifying comments letters.

Explore different mechanisms leveraging AI to inform and expedite cybersecurity processes.

Automates conversion of plain-language text into machine-readable standardized notations.

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

Extract structured data from unstructured digital image files of checks.

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

Capture and load data from a FOIA form into a SharePoint list for tracking through the eDiscovery Lifecycle.

Helps search and analyze a corpus of unstructured filings.

Analyze data to predict entities with certain risk characteristics.

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