AI Use Cases

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