SEC · SEC-23 · record R0021
Using Natural Language Processing Techniques to Search and Analyze Certain Filings
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
- 2020-04 (month precision)Source: 04/2020
- 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
Helps search and analyze a corpus of unstructured filings. Staff may consider the results of these efforts in their examination efforts.
Expected benefits
Helps search and analyze a corpus of unstructured filings. Staff may consider the results of these efforts in their examination efforts.
System outputs
This system allows for search and analysis of certain filings.
Technology
- AI classification
- Natural language processingSource: Natural Language Processing: AI that processes, interprets, and shares information in human language.
- System name(s)
- EDP
- 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
- 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
- No
- Privacy Impact Assessment
- Not reported
- Authorization to Operate
- Yes
- Demographic features
- k) None of the above
- Training and evaluation data
- Registrant Filings
- 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