SEC · SEC-68 · record R0061

Improve efficiency of comment letter ingestion

Securities and Exchange Commission · Office of the Secretary (OS)

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: 2025-04 (month precision)Source: 04/2025
Withheld from public reporting: NoSource: a) No

Mission

Topic area: Service Delivery
Operational functions: No function tag matched Derived by keyword rules; see methodology

Problem the AI is intended to solve

Using AI/ML to improve the timeliness and accuracy of the ingestion of comment letters, such as by automating the identification of comment file numbers, and enhancing the identification of spam, form letters, PII, profanity, and copyrighted material. 2. Increase the quality and amount of structured data (including metadata) related to individual comment letters to directly support downstream uses, including use by GenAI tools

Expected benefits

Improve the timeliness and accuracy of the ingestion of comment letters, and increase the quality and amount of structured data (including metadata) related to individual comment letters to directly support downstream uses, including use by GenAI tools

System outputs

Additional metadata and flags on incoming comment letters.

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): CLL
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): 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: Yes
Privacy Impact Assessment: www.sec.gov ↗
Authorization to Operate: Yes
Demographic features: k) None of the above
Training and evaluation data: Comment Letters
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