AI use-case explorer
AI use cases
Search and filter every reported use case. Open a record for the agency's full description, governance answers and source provenance.
Columns (7)
| Use case | Agency | Stage | High-impact | Topic area | AI classification | Sourcing |
|---|---|---|---|---|---|---|
| 8-K Filing Solution SEC-5 · Division of Corporate Finance (CF) | SEC | Deployed | Not high-impact | Other | Computer vision | Developed in-house |
| Training Conversation Tool SEC-6 · Office of Human Resources (OHR) | SEC | Deployed | Not high-impact | Human Resources | Natural language processing | Purchased from vendor |
| Name Matching SEC-19 · Division of Examinations (EXAMS) | SEC | Deployed | Not high-impact | Other | Classical / predictive ML | Contract and in-house |
| Parsing of Plain Language Descriptions to Machine-Readable Notations SEC-20 · Division of Examinations (EXAMS) | SEC | Deployed | Not high-impact | Other | Classical / predictive ML | Contract and in-house |
| Using Natural Language Processing Techniques to Search and Analyze Certain Filings SEC-23 · Division of Examinations (EXAMS) | SEC | Deployed | Not high-impact | Other | Natural language processing | Contract and in-house |
| Using Machine Learning/Artificial Intelligence Techniques to Predict Entities With Certain Risk Characteristics SEC-24 · Division of Examinations (EXAMS) | SEC | Deployed | Not high-impact | Other | Classical / predictive ML | Contract and in-house |
| Developed Parsing Logic for Filings SEC-25 · Division of Examinations (EXAMS), Division of Economic and R | SEC | Deployed | Not high-impact | Other | Reinforcement learning | Developed in-house |
| Identification of Potentially Manipulative Activity in Certain Accounts SEC-26 · Division of Examinations (EXAMS) | SEC | Deployed | Not high-impact | Other | Classical / predictive ML | Contract and in-house |
| Optical Character Recognition (OCR) for Records Analysis SEC-33 · Division of Enforcement (ENF) | SEC | Deployed | Not high-impact | Other | Computer vision | Contract and in-house |
| Single Event Insider Trading Analysis SEC-34 · Division of Enforcement (ENF) | SEC | Deployed | Not high-impact | Law Enforcement | Classical / predictive ML | Contract and in-house |
| Extracting data from FOIA request forms SEC-40 · Office of Information Technology (OIT) | SEC | Deployed | Not high-impact | Administrative Functions | Generative AI | Contract and in-house |
| Using AI to answer questions about a corpus of uploaded files SEC-47 · Division of Enforcement (ENF), Division of Economic and Risk | SEC | Deployed | Not high-impact | Other | Generative AI | Contract and in-house |
| Creating AI generated images SEC-49 · Division of Enforcement (ENF), Division of Economic and Risk | SEC | Deployed | Not high-impact | Other | Generative AI | Contract and in-house |
| Legal Research (Lexis+) SEC-62 · Office of the Chief Data Officer (OCDO) | SEC | Deployed | Not high-impact | Other | Generative AI | Purchased from vendor |
| Legal Research (Westlaw Precision) SEC-63 · Office of the Chief Data Officer (OCDO) | SEC | Deployed | Not high-impact | Other | Generative AI | Purchased from vendor |
| Natural language search on images through FlashPoint SEC-64 · Division of Examinations (EXAMS), Division of Enforcement (E | SEC | Deployed | Not high-impact | Other | Computer vision | Purchased from vendor |
| Tracing digital asset transactions and identifying entities controlling wallet addresses SEC-67 · Division of Enforcement (ENF), Division of Examinations (EXA | SEC | Deployed | Not high-impact | Other | Classical / predictive ML | Purchased from vendor |
| Improve efficiency of comment letter ingestion SEC-68 · Office of the Secretary (OS) | SEC | Deployed | Not high-impact | Service Delivery | Classical / predictive ML | Contract and in-house |
| Using AI Large Language Model chat for general tasks/questions SEC-38 · Division of Enforcement (ENF) | SEC | Deployed | Not high-impact | Other | Generative AI | Contract and in-house |
| Utilize Westlaw Quick Check to cross check SEC documents. SEC-35 · Division of Enforcement (ENF) | SEC | Deployed | Not high-impact | Other | Generative AI | Purchased from vendor |
| Evaluating Cybersecurity Alerts SEC-11 · Office of Information Technology (OIT) | SEC | Pilot | Not high-impact | Cybersecurity | Agentic AI | Developed in-house |
| Westlaw Co-Counsel SEC-44 · Division of Enforcement (ENF), Division of Examinations (EXA | SEC | Pilot | Not high-impact | Other | Generative AI | Purchased from vendor |
| Lexis Protege SEC-45 · Division of Enforcement (ENF), Division of Examinations (EXA | SEC | Pilot | Not high-impact | Other | Generative AI | Purchased from vendor |
| Agentic Knowledge Base of Amazon Web Services Cloud Environment for the Securities and Exchange Commission (ACES) SEC-39 · Office of Information Technology (OIT) | SEC | Pilot | Not high-impact | Information Technology | Generative AI | Developed in-house |
| Augmenting cyber threat alerts on the ACES platform with ACES's specific information. SEC-36 · Office of Information Technology (OIT) | SEC | Pilot | Not high-impact | Cybersecurity | Generative AI | Developed in-house |
| CF Staff Review Comments SEC-9 · Division of Corporate Finance (CF) | SEC | Pre-deployment | Not high-impact | Other | Classical / predictive ML | Not reported |
| Identification of Potentially Manipulative Trading Activity in Registrant Data SEC-21 · Division of Examinations (EXAMS) | SEC | Pre-deployment | Not high-impact | Other | Classical / predictive ML | Not reported |
| Large Language Model analysis for the Tips, Complaints and Referrals (TCR) system SEC-37 · Division of Enforcement (ENF) | SEC | Pre-deployment | Not high-impact | Service Delivery | Generative AI | Not reported |
| Knowledge base of federal securities law and chatbot SEC-41 · Division of Investment Management (IM) | SEC | Pre-deployment | Not high-impact | Other | Generative AI | Not reported |
| Knowledge base of crypto comments and chatbot SEC-42 · Division of Investment Management (IM) | SEC | Pre-deployment | Not high-impact | Other | Generative AI | Not reported |
| Create description of documents for records management in sharepoint SEC-43 · Office of the Chief Operating Officer (OCOO) | SEC | Pre-deployment | Not high-impact | Administrative Functions | Generative AI | Not reported |
| Semantic Layer Natural Language Query SEC-46 · Division of Economic and Risk Assessment (DERA), Office of t | SEC | Pre-deployment | Not high-impact | Other | Generative AI | Not reported |
| AI Chart Generation SEC-48 · Division of Economic and Risk Assessment (DERA), Office of t | SEC | Pre-deployment | Not high-impact | Other | Generative AI | Not reported |
| Disclosure Review Chatbot SEC-50 · Division of Corporation Finance (CF) | SEC | Pre-deployment | Not high-impact | Other | Generative AI | Not reported |
| Note-Taking Assistant SEC-51 · Division of Examinations (EXAMS) | SEC | Pre-deployment | Not high-impact | Other | Generative AI | Not reported |
| Public Website Search SEC-52 · Division of Examinations (EXAMS) | SEC | Pre-deployment | Not high-impact | Other | Generative AI | Not reported |
| Chatbot with SEC Documents SEC-53 · Division of Examinations (EXAMS) | SEC | Pre-deployment | Not high-impact | Other | Generative AI | Not reported |
| Enhancing Analysis of SEC Web Engagement Trends Using AI SEC-54 · Office of Information Technology (OIT), Office of the Chief | SEC | Pre-deployment | Not high-impact | Service Delivery | Classical / predictive ML | Not reported |
| Identifying Citations of SEC Publications to Measure Market Impact SEC-55 · Office of the Chief Data Officer (OCDO), Office of Informati | SEC | Pre-deployment | Not high-impact | Service Delivery | Classical / predictive ML | Not reported |
| Analyzing Registered Offerings Data to Understand Capital Formation Trends SEC-56 · Office of Information Technology (OIT), Office of the Chief | SEC | Pre-deployment | Not high-impact | Other | Classical / predictive ML | Not reported |
| Analyzing EDGAR Search Trends to Understand Public Interest in Filings SEC-57 · Office of the Chief Data Officer (OCDO), Office of Informati | SEC | Pre-deployment | Not high-impact | Service Delivery | Classical / predictive ML | Not reported |
| Analyzing Form ADV Data to Identify Trends Among Investment Advisers SEC-58 · Office of the Chief Data Officer (OCDO), Office of Informati | SEC | Pre-deployment | Not high-impact | Other | Classical / predictive ML | Not reported |
| Rule and Comment Organization and Summarization SEC-59 · Division of Trading and Markets (TM), Office of the Chief Da | SEC | Pre-deployment | Not high-impact | Service Delivery | Generative AI | Not reported |
| AI-enabled information collection and curation SEC-60 · Office of the Chief Data Officer (OCDO) | SEC | Pre-deployment | Not high-impact | Information Technology | Agentic AI | Not reported |
| AI-enabled information dissemination SEC-61 · Office of the Chief Data Officer (OCDO) | SEC | Pre-deployment | Not high-impact | Information Technology | Agentic AI | Not reported |
| Streamlining initial research SEC-65 · Division of Enforcement (ENF), Division of Examinations (EXA | SEC | Pre-deployment | Not high-impact | Other | Generative AI | Not reported |
| Use natural language to query crypto market data and create on demand visualizations with prepopulated thresholds SEC-66 · Office of the Chief Data Officer (OCDO) | SEC | Pre-deployment | Not high-impact | Other | Generative AI | Not reported |
| Comparing EDGAR system access request forms SEC-69 · EDGAR Business Office (EBO) | SEC | Pre-deployment | Not high-impact | Service Delivery | Computer vision | Not reported |
| Comment Letter Review and Analysis SEC-1 · Office of Information Technology (OIT) | SEC | Retired | Not high-impact | Not reported | Not reported | Not reported |
| Forms Filed SEC-2 · Division of Investment Management (IM) | SEC | Retired | Not high-impact | Not reported | Not reported | Not reported |
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