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1. Fetilda: An effective framework for fin-tuned embeddings for long financial text documents

   Xia, Bolun; Rawte, Vipula D; Zaki, Mohammed J; Gupta, Aparna (June 2022, arXiv preprints)

   Unstructured data, especially text, continues to grow rapidly in various domains. In particular, in the financial sphere, there is a wealth of accumulated unstructured financial data, such as the textual disclosure documents that companies submit on a regular basis to regulatory agencies, such as the Securities and Exchange Commission (SEC). These documents are typically very long and tend to contain valuable soft information about a company's performance. It is therefore of great interest to learn predictive models from these long textual documents, especially for forecasting numerical key performance indicators (KPIs). Whereas there has been a great progress in pre-trained language models (LMs) that learn from tremendously large corpora of textual data, they still struggle in terms of effective representations for long documents. Our work fills this critical need, namely how to develop better models to extract useful information from long textual documents and learn effective features that can leverage the soft financial and risk information for text regression (prediction) tasks. In this paper, we propose and implement a deep learning framework that splits long documents into chunks and utilizes pre-trained LMs to process and aggregate the chunks into vector representations, followed by self-attention to extract valuable document-level features. We evaluate our model on a collection of 10-K public disclosure reports from US banks, and another dataset of reports submitted by US companies. Overall, our framework outperforms strong baseline methods for textual modeling as well as a baseline regression model using only numerical data. Our work provides better insights into how utilizing pre-trained domain-specific and fine-tuned long-input LMs in representing long documents can improve the quality of representation of textual data, and therefore, help in improving predictive analyses. 

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2. KALM: Knowledge-Aware Integration of Local, Document, and Global Contexts for Long Document Understanding

   Feng, Shangbin; Tan, Zhaoxuan; Zhang, Wenqian; Lei, Zhenyu; Tsvetkov, Yulia (July 2023, ACL: Annual Meeting of the Association for Computational Linguistics)

   With the advent of pre-trained language models (LMs), increasing research efforts have been focusing on infusing commonsense and domain-specific knowledge to prepare LMs for downstream tasks. These works attempt to leverage knowledge graphs, the de facto standard of symbolic knowledge representation, along with pre-trained LMs. While existing approaches leverage external knowledge, it remains an open question how to jointly incorporate knowledge graphs represented in varying contexts — from local (e.g., sentence), document-level, to global knowledge, to enable knowledge-rich and interpretable exchange across contexts. In addition, incorporating varying contexts can especially benefit long document understanding tasks that leverage pre-trained LMs, typically bounded by the input sequence length. In light of these challenges, we propose KALM, a language model that jointly leverages knowledge in local, document-level, and global contexts for long document understanding. KALM firstly encodes long documents and knowledge graphs into the three knowledge-aware context representations. KALM then processes each context with context-specific layers. These context-specific layers are followed by a ContextFusion layer that facilitates knowledge exchange to derive an overarching document representation. Extensive experiments demonstrate that KALM achieves state-of-the-art performance on three long document understanding tasks across 6 datasets/settings. Further analyses reveal that the three knowledge-aware contexts are complementary and they all contribute to model performance, while the importance and information exchange patterns of different contexts vary on different tasks and datasets. 

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3. Tiered Reasoning for Intuitive Physics: Toward Verifiable Commonsense Language Understanding

   https://doi.org/10.18653/v1/2021.findings-emnlp.422  

   Storks, Shane; Gao, Qiaozi; Zhang, Yichi; Chai, Joyce (January 2021, Findings of Conference on Empirical Methods in Natural Language Processing (EMNLP) 2021)

   Large-scale, pre-trained language models (LMs) have achieved human-level performance on a breadth of language understanding tasks. However, evaluations only based on end task performance shed little light on machines’ true ability in language understanding and reasoning. In this paper, we highlight the importance of evaluating the underlying reasoning process in addition to end performance. Toward this goal, we introduce Tiered Reasoning for Intuitive Physics (TRIP), a novel commonsense reasoning dataset with dense annotations that enable multi-tiered evaluation of machines’ reasoning process. Our empirical results show that while large LMs can achieve high end performance, they struggle to support their predictions with valid supporting evidence. The TRIP dataset and our baseline results will motivate verifiable evaluation of commonsense reasoning and facilitate future research toward developing better language understanding and reasoning models. 

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4. Contrastive Learning of Sentence Representations

   Qiu, Hefei; Ding, Wei; Chen, Ping (December 2021, Proceedings of the 18th International Conference on Natural Language Processing)

   Learning sentence representations which capture rich semantic meanings has been crucial for many NLP tasks. Pre-trained language models such as BERT have achieved great success in NLP, but sentence embeddings extracted directly from these models do not perform well without fine-tuning. We propose Contrastive Learning of Sentence Representations (CLSR), a novel approach which applies contrastive learning to learn universal sentence representations on top of pre-trained language models. CLSR utilizes semantic similarity of two sentences to construct positive instance for contrastive learning. Semantic information that has been captured by the pre-trained models is kept by getting sentence embeddings from these models with proper pooling strategy. An encoder followed by a linear projection takes these embeddings as inputs and is trained under a contrastive objective. To evaluate the performance of CLSR, we run experiments on a range of pre-trained language models and their variants on a series of Semantic Contextual Similarity tasks. Results show that CLSR gains significant performance improvements over existing SOTA language models. 

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5. A Comparative Study of Transformer-Based Neural Text Representation Techniques on Bug Triaging

   https://doi.org/10.1109/ASE56229.2023.00217  

   Dipongkor, Atish Kumar; Moran, Kevin (September 2023, 2023 38th IEEE/ACM International Conference on Automated Software Engineering (ASE))

   Often, the first step in managing bug reports is related to triaging a bug to the appropriate developer who is best suited to understand, localize, and fix the target bug. Additionally, assigning a given bug to a particular part of a software project can help to expedite the fixing process. However, despite the importance of these activities, they are quite challenging, where days can be spent on the manual triaging process. Past studies have attempted to leverage the limited textual data of bug reports to train text classification models that automate this process -- to varying degrees of success. However, the textual representations and machine learning models used in prior work are limited by their expressiveness, often failing to capture nuanced textual patterns that might otherwise aid in the triaging process. Recently, large, transformer-based, pre-trained neural text representation techniques such as BERT have achieved greater performance in several natural language processing tasks. However, the potential for using these techniques to improve upon prior approaches for automated bug triaging is not well studied or understood. Therefore, in this paper we offer one of the first investigations that fine-tunes transformer-based language models for the task of bug triaging on four open source datasets, spanning a collective 53 years of development history with over 400 developers and over 150 software project components. Our study includes both a quantitative and qualitative analysis of effectiveness. Our findings illustrate that DeBERTa is the most effective technique across the triaging tasks of developer and component assignment, and the measured performance delta is statistically significant compared to other techniques. However, through our qualitative analysis, we also observe that each technique possesses unique abilities best suited to certain types of bug reports. 

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