SEC · SEC-59 · record R0052

Rule and Comment Organization and Summarization

Securities and Exchange Commission · Division of Trading and Markets (TM), Office of the Chief Data Officer (OCDO), Division of Economic and Risk Assessment (DERA), Division of Investment Management (IM), Division of Corporation Finance (CF)

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Overview

Development stage: In development or acquisitionSource: a) Pre-deployment – The use case is in a development or acquisition status.
High-impact designation: Not high-impactSource: c) Not high-impact
Impact justification: Not reported
Start date: Not reported
Withheld from public reporting: NoSource: a) No

Mission

Topic area: Service Delivery
Operational functions: Summarization Derived by keyword rules; see methodology

Problem the AI is intended to solve

Downloading, navigating, searching, and understanding comments and rule filings can be slow and burdensome using existing tools.

Expected benefits

The tool aims to ease these burdens of downloading, navigating, searching, and understanding comments and rule filing. In particular, AI is used to summarize individual comments, rule proposals, and overall subject matters to promote the understanding of vast quantities of unstructured data, i.e. text.

System outputs

The tool generates summaries and summaries of summaries using LLMs.

Technology

AI classification: Generative AISource: Generative AI: AI that generates new or synthetic content (e.g., images, videos, audio, text, code).
System name(s): Not reported
Custom-developed code: Not reported
Public source code: Not reported

Sourcing

How it was built: Not reported
Vendor (as reported): Not reported
Vendors (standardized): None on the standard list

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

Data and privacy

Involves PII: Not reported
Privacy Impact Assessment: Not reported
Authorization to Operate: Not reported
Demographic features: Not reported
Training and evaluation data: Not reported
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