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arXiv research

A locally-built, LLM-digested index of recent arXiv papers in quant finance, geometry/topology, and statistical ML — keyword search served straight from SQLite on this machine.

168,742 papers · 148 categories

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2795588371,116 · Jun 202019922001200920172026
48 results for SEC data

We establish a new algebraic characterization of sectional curvature bounds seck\sec\geq k and seck\sec\leq k using only curvature terms in the Weitzenböck formulae for symmetric pp-tensors. By introducing a symmetric analogue of the Kulkarni-Nomizu product, we provide a simple formula for such curvature terms. We also gi…

2017-08-29abs ↗pdf ↗

Meta clustering categorizes learners for collaborative learning.

problem Filtering out unqualified collaborators in collaborative learning.
method Select-Exchange-Cluster (SEC) method to classify learners by their supervised functions.
result SEC can cluster learners into accurate collaboration sets and enhance single-learner performance.

Study uses LLMs to generate investor briefs from company reports and SEC filings.

problem Improving data analysis for individual investors.
method Preprocessed data, used gpt-4o model in RAG regime, evaluated by investors.
result LLMs can generate useful investor briefs from company reports and SEC filings.

Study shows SEC crypto classification led to significant market reactions.

problem Impact of SEC classification of crypto assets as securities.
method Event study methodology focusing on explicitly named crypto assets.
result Significant adverse market reactions, with returns plummeting 12% over one week.

We classify four-dimensional shrinking Ricci solitons satisfying Sec124RSec \geq \frac{1}{24} R, where SecSec and RR denote the sectional and the scalar curvature, respectively. They are isometric to either R4\mathbb{R}^{4} (and quotients), S4\mathbb{S}^{4}, RP4\mathbb{RP}^{4} or CP2\mathbb{CP}^{2} with their standard metrics…

2018-07-16abs ↗pdf ↗

The study analyzes trading imbalances from SEC Form 13F-HR filings to identify profitable trading opportunities.

problem Identifying profitable trading opportunities based on SEC Form 13F-HR filings.
method Statistical analysis of holdings variations and imbalances between consecutive reporting periods.
result A profitable trading strategy can be implemented by betting against the sign of imbalances with a 1-2 month time horizon.

New rigidity results for critical metrics with curvature pinching.

problem Understanding critical metrics with curvature pinching conditions.
method Proving rigidity for metrics defined on closed smooth manifolds that are critical for a quadratic functional.
result Bach-flat metrics with constant scalar curvature satisfying Sec > 1/48 R are Einstein and isometric to specific spaces.

We investigate length decreasing maps f:MNf:M\to N between Riemannian manifolds MM, NN of dimensions m2m\ge 2 and nn, respectively. Assuming that MM is compact and NN is complete such that $$\sec_M>-σ\quad\text{and}\quad{\Ric}_M\ge(m-1)σ\ge(m-1)\sec_N\ge-μ,$$ where σσ, μμ are positive constants, we show that the m…

2013-12-03abs ↗pdf ↗

We consider minimal maps f:MNf:M\to N between Riemannian manifolds (M,gM)(M,\mathrm{g}_M) and (N,gN)(N,\mathrm{g}_N), where MM is compact and where the sectional curvatures satisfy secNσsecM\sec_N\le σ\le \sec_M for some σ>0σ>0. Under certain assumptions on the differential of the map and the second fundamental form of the graph Γ(f)Γ(f)

2017-11-27abs ↗pdf ↗

A Lorentzian manifold is defined here as a smooth pseudo-Riemannian manifold with a metric tensor of signature ((2n +1, 1)). A Robinson manifold is a Lorentzian manifold (M) of dimension (\geqslant 4) with a subbundle (N) of the complexification of (TM) such that the fibers of (N\to M) are maximal totally null (isotrop…

2002-01-28abs ↗pdf ↗

We show that in each dimension n10n\ge 10 there exist infinite sequences of homotopy equivalent but mutually non-homeomorphic closed simply connected Riemannian nn-manifolds with 0sec10\le \sec\le 1, positive Ricci curvature and uniformly bounded diameter. We also construct open manifolds of fixed diffeomorphism type whic…

2004-11-08abs ↗pdf ↗

The study of fibrations of the target manifolds of string/M/F-theories has provided many insights to the dualities among these theories or even as a tool to build up dualities since the work of Strominger, Yau, and Zaslow on the Calabi-Yau case. For M-theory compactified on a Joyce manifold M7M^7, the fact that M7M^7 i…

1998-09-01abs ↗pdf ↗

FinReflectKG builds a comprehensive financial knowledge graph from SEC filings, improving extraction quality.

problem Lack of large-scale, open-source financial knowledge graph datasets.
method Intelligent document parsing, table-aware chunking, schema-guided iterative extraction, reflection-driven feedback loop.
result Reflection-agent-based mode achieves best balance of efficiency, accuracy, and reliability.

FinReflectKG - EvalBench benchmarks financial KG extraction from SEC 10-K filings.

problem Lack of universal benchmark and evaluation framework for financial KG construction.
method Agentic and holistic evaluation principles, deterministic commit-then-justify judging protocol, binary and ordinal evaluations.
result Reflection-based extraction outperforms single-pass extraction in comprehensiveness, precision, and relevance.

The paper explores numerical characteristics of compact Riemannian manifolds and proves inequalities.

problem Analyzing numerical characteristics of compact Riemannian manifolds.
method Proving inequalities involving scalar curvature, Ricci curvature, and sectional curvature.
result Proven inequalities for the curvature of compact Riemannian manifolds.

Study finds CNNs perform better with financial ratio data than fundamental data.

problem Improving CNN performance with financial data.
method Developed and analyzed three image encoding methods for financial data.
result Image encoding methods improve CNN performance for financial ratio data but not significantly for fundamental data.

We show that the 2-jet bundle of local Riemannian metrics on an arbitrary differentiable manifold admits a section which pointwise fulfills the curvature relation sec(g)=a for any real number a. It follows by Gromov's h-principle for open, invariant differential relations that every noncompact differentiable manifold c…

2010-09-15abs ↗pdf ↗

Let MM be a 5 dimensional Riemannian manifold with SecM[0,1]Sec_M\in[0,1], ΣΣ be a locally conformally flat hypersphere in MM with mean curvature HH. We prove that, there exists ε0>0\varepsilon_0>0, such that Σ(1+H2)28π2/3\int_Σ(1+H^2)^2 \ge 8π^2/3, provided Hε0H \le \varepsilon_0. In particular, if ΣΣ is a locally conformally flat mi…

2016-11-02abs ↗pdf ↗

Rigidity results are obtained for Riemannian dd-manifolds with sec1\sec \geqslant 1 and spherical rank at least d2>0d-2>0. Conjecturally, all such manifolds are locally isometric to a round sphere or complex projective space with the (symmetric) Fubini--Study metric. This conjecture is verified in all odd dimensions, for …

2014-09-26abs ↗pdf ↗

The paper studies magnetic curvature and proves the existence of closed orbits on low energy levels.

problem Existence of closed magnetic geodesics on low energy levels.
method Derived magnetic curvature operator and used Bonnet-Myers argument.
result Established the existence of a contractible periodic orbit on closed manifolds.

The Blaschke's conjecture asserts that if $\diam(M)=\text{Inj}(M)=\frac\pi2$ (up to a rescaling) for a complete Riemannian manifold MM, then MM is isometric to Sn(12)\Bbb S^n(\frac12), RPn{\Bbb R\Bbb P}^{n}, CPn{\Bbb C\Bbb P}^{n}, HPn{\Bbb H\Bbb P}^{n} or CaP2{\Bbb Ca\Bbb P}^{2} endowed with the canonical metric. In the paper…

2015-04-21abs ↗pdf ↗

New restrictions found on 4-manifolds with pinched curvature.

problem Restrictions on Euler characteristic and signature of 4-manifolds with pinched curvature.
method Proved new restrictions on Euler characteristic and signature of oriented 4-manifolds with pinched sectional curvature.
result Simply connected 4-manifolds with δsec1δ\leq \sec\leq 1 are homeomorphic to S4S^4 or CP2\mathbb C P^2.

Let NN be a complete manifold with bounded geometry, such that secNσ<0\sec_N\le -σ< 0 for some positive constant σσ. We investigate the mean curvature flow of the graphs of smooth length-decreasing maps f:RmNf:\mathbb{R}^m\to N. In this case, the solution exists for all times and the evolving submanifold stays the graph of a…

2018-05-29abs ↗pdf ↗

We derive general structure and rigidity theorems for submetries f:MXf: M \to X, where MM is a Riemannian manifold with sectional curvature secM1\sec M \ge 1. When applied to a non-trivial Riemannian submersion, it follows that diamXπ/2diam X \leq π/2 . In case of equality, there is a Riemannian submersion SM\mathbb{S} \to M fro…

2014-04-14abs ↗pdf ↗

Insider trading is one of the numerous white collar crimes that can contribute to the instability of the economy. Traditionally, the detection of illegal insider trades has been a human-driven process. In this paper, we collect the insider tradings made available by the US Securities and Exchange Commissions (SEC) thro…

2017-02-19abs ↗pdf ↗

Experts predict significant adoption of decentralized finance by 2034, with traditional finance adapting.

problem Adoption and integration of decentralized finance (DeFi) in financial services.
method Survey analysis using New Institutional Economics and Dynamic Capabilities Theory.
result Experts expect adoption of DeFi to rise from negligible to 43% by 2034, with traditional finance likely to embrace it.

Analyzing a comprehensive news dataset, we document that joint news coverage triggers attention contagion, causing temporarily inflated valuations for affected stocks. Tracing SEC EDGAR visits from unique IPs, we provide direct evidence of attention spillovers between stocks. Stocks with greater joint news coverage exh…

2017-03-08abs ↗pdf ↗

Benchmark evaluates AI-generated financial QA hallucinations, highlighting system vulnerabilities.

problem Ensuring factual accuracy of AI-generated financial QA outputs.
method Developed a benchmark dataset and evaluated six detection methods under clean and noisy conditions.
result LLM-based judges and embedding methods perform best, but degrade under noisy conditions.

LLMs cause inconsistent financial outputs, smaller models are more reliable.

problem Inconsistent outputs from LLMs undermine auditability and trust in financial workflows.
method Finance-calibrated deterministic test harness, task-specific invariant checking, model classification, and cross-provider validation.
result Smaller models (Granite-3-8B, Qwen2.5-7B) achieve 100% output consistency, while larger models like GPT-OSS-120B have high drift.