AI Use Cases

Use case	Agency	Stage	High-impact	Topic area	AI classification	Sourcing
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 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
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
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
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
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 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