Federal AI Intelligence
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Snapshot · OMB 2025 inventory · processed Oct 11, 2026
SEC · SEC-19 · record R0017

Name Matching

Securities and Exchange Commission · Division of Examinations (EXAMS)

Overview

Development stage
DeployedSource: c) Deployed – The use case is being actively authorized or utilized to support the functions or mission of an agency.
High-impact designation
Not high-impactSource: c) Not high-impact
Impact justification
Not reported
Start date
2018-02 (month precision)Source: 02/2018
Withheld from public reporting
NoSource: a) No

Mission

Topic area
Other
Operational functions
No function tag matched Derived by keyword rules; see methodology

Problem the AI is intended to solve

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

Expected benefits

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

System outputs

The system outputs a number which measures how closely names match.

Technology

AI classification
Classical / predictive MLSource: Classical/Predictive Machine Learning: Models trained on data to make predictions or classifications based on identified patterns or relatio…
System name(s)
NEAT
Custom-developed code
Yes
Public source code
Not reported

Sourcing

How it was built
Contract and in-houseSource: c) Developed with both contracting and in-house resources
Vendor (as reported)
Aretec Inc
Vendors (standardized)
Aretec

A vendor is the supplier named by the agency. It does not identify the underlying model or AI technology.

Data and privacy

Involves PII
Yes
Privacy Impact Assessment
www.sec.gov ↗
Authorization to Operate
Yes
Demographic features
k) None of the above
Training and evaluation data
Registrant Data
Federal Data Catalog
Not reported

Governance

0 of 8 minimum-practice questions answered. A blank answer means the agency reported nothing; it does not mean the practice is absent.

Pre-deployment testingNo answer reported
AI impact assessmentNo answer reported
Independent reviewNo answer reported
Ongoing monitoringNo answer reported
Operator trainingNo answer reported
Fail-safeNo answer reported
Appeal processNo answer reported
User and public consultationNo answer reported

Potential impacts and how they were identified

Not reported