SEC · SEC-38 · record R0031
Using AI Large Language Model chat for general tasks/questions
Securities and Exchange Commission · Division of Enforcement (ENF)
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
- 2024-04 (month precision)Source: 04/2024
- Withheld from public reporting
- NoSource: a) No
Mission
- Topic area
- Other
- Operational functions
- Chatbot or virtual assistant Derived by keyword rules; see methodology
Problem the AI is intended to solve
Using an AI Large Language Model chat for general tasks and answer questions
Expected benefits
This AI service will provide a internal Large Language Model for general usage.
System outputs
Chat response is in direct response to users individual request.
Technology
- AI classification
- Generative AISource: Generative AI: AI that generates new or synthetic content (e.g., images, videos, audio, text, code).
- System name(s)
- SEARCH
- Custom-developed code
- Not reported
- 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, Elder Research
- Vendors (standardized)
- Elder ResearchAretec
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
- No training
- 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