FinRobot: An Open-Source AI Agent Platform for Financial Applications using Large Language Models

As financial institutions and professionals increasingly incorporate Large Language Models (LLMs) into their workflows, substantial barriers, including proprietary data and specialized knowledge, persist between the finance sector and the AI community. These challenges impede the AI community's ability to enhance financial tasks effectively. Acknowledging financial analysis's critical role, we aim to devise financial-specialized LLM-based toolchains and democratize access to them through open-source initiatives, promoting wider AI adoption in financial decision-making. In this paper, we introduce FinRobot, a novel open-source AI agent platform supporting multiple financially specialized AI agents, each powered by LLM. Specifically, the platform consists of four major layers: 1) the Financial AI Agents layer that formulates Financial Chain-of-Thought (CoT) by breaking sophisticated financial problems down into logical sequences; 2) the Financial LLM Algorithms layer dynamically configures appropriate model application strategies for specific tasks; 3) the LLMOps and DataOps layer produces accurate models by applying training/fine-tuning techniques and using task-relevant data; 4) the Multi-source LLM Foundation Models layer that integrates various LLMs and enables the above layers to access them directly. Finally, FinRobot provides hands-on for both professional-grade analysts and laypersons to utilize powerful AI techniques for advanced financial analysis. We open-source FinRobot at \url{https://github.com/AI4Finance-Foundation/FinRobot}.

Hunting imaging biomarkers in pulmonary fibrosis: Benchmarks of the AIIB23 challenge

Airway-related quantitative imaging biomarkers are crucial for examination, diagnosis, and prognosis in pulmonary diseases. However, the manual delineation of airway trees remains prohibitively time-consuming. While significant efforts have been made towards enhancing airway modelling, current public-available datasets concentrate on lung diseases with moderate morphological variations. The intricate honeycombing patterns present in the lung tissues of fibrotic lung disease patients exacerbate the challenges, often leading to various prediction errors. To address this issue, the 'Airway-Informed Quantitative CT Imaging Biomarker for Fibrotic Lung Disease 2023' (AIIB23) competition was organized in conjunction with the official 2023 International Conference on Medical Image Computing and Computer Assisted Intervention (MICCAI). The airway structures were meticulously annotated by three experienced radiologists. Competitors were encouraged to develop automatic airway segmentation models with high robustness and generalization abilities, followed by exploring the most correlated QIB of mortality prediction. A training set of 120 high-resolution computerised tomography (HRCT) scans were publicly released with expert annotations and mortality status. The online validation set incorporated 52 HRCT scans from patients with fibrotic lung disease and the offline test set included 140 cases from fibrosis and COVID-19 patients. The results have shown that the capacity of extracting airway trees from patients with fibrotic lung disease could be enhanced by introducing voxel-wise weighted general union loss and continuity loss. In addition to the competitive image biomarkers for prognosis, a strong airway-derived biomarker (Hazard ratio>1.5, p<0.0001) was revealed for survival prognostication compared with existing clinical measurements, clinician assessment and AI-based biomarkers.

Mechanical Characterization and Inverse Design of Stochastic Architected Metamaterials Using Neural Operators

Machine learning (ML) is emerging as a transformative tool for the design of architected materials, offering properties that far surpass those achievable through lab-based trial-and-error methods. However, a major challenge in current inverse design strategies is their reliance on extensive computational and/or experimental datasets, which becomes particularly problematic for designing micro-scale stochastic architected materials that exhibit nonlinear mechanical behaviors. Here, we introduce a new end-to-end scientific ML framework, leveraging deep neural operators (DeepONet), to directly learn the relationship between the complete microstructure and mechanical response of architected metamaterials from sparse but high-quality in situ experimental data. The approach facilitates the inverse design of structures tailored to specific nonlinear mechanical behaviors. Results obtained from spinodal microstructures, printed using two-photon lithography, reveal that the prediction error for mechanical responses is within a range of 5 - 10%. Our work underscores that by employing neural operators with advanced micro-mechanics experimental techniques, the design of complex micro-architected materials with desired properties becomes feasible, even in scenarios constrained by data scarcity. Our work marks a significant advancement in the field of materials-by-design, potentially heralding a new era in the discovery and development of next-generation metamaterials with unparalleled mechanical characteristics derived directly from experimental insights.

Enhancing Financial Sentiment Analysis via Retrieval Augmented Large Language Models

Financial sentiment analysis is critical for valuation and investment decision-making. Traditional NLP models, however, are limited by their parameter size and the scope of their training datasets, which hampers their generalization capabilities and effectiveness in this field. Recently, Large Language Models (LLMs) pre-trained on extensive corpora have demonstrated superior performance across various NLP tasks due to their commendable zero-shot abilities. Yet, directly applying LLMs to financial sentiment analysis presents challenges: The discrepancy between the pre-training objective of LLMs and predicting the sentiment label can compromise their predictive performance. Furthermore, the succinct nature of financial news, often devoid of sufficient context, can significantly diminish the reliability of LLMs' sentiment analysis. To address these challenges, we introduce a retrieval-augmented LLMs framework for financial sentiment analysis. This framework includes an instruction-tuned LLMs module, which ensures LLMs behave as predictors of sentiment labels, and a retrieval-augmentation module which retrieves additional context from reliable external sources. Benchmarked against traditional models and LLMs like ChatGPT and LLaMA, our approach achieves 15\% to 48\% performance gain in accuracy and F1 score.

Post-Hoc Explainability of BI-RADS Descriptors in a Multi-task Framework for Breast Cancer Detection and Segmentation

Despite recent medical advancements, breast cancer remains one of the most prevalent and deadly diseases among women. Although machine learning-based Computer-Aided Diagnosis (CAD) systems have shown potential to assist radiologists in analyzing medical images, the opaque nature of the best-performing CAD systems has raised concerns about their trustworthiness and interpretability. This paper proposes MT-BI-RADS, a novel explainable deep learning approach for tumor detection in Breast Ultrasound (BUS) images. The approach offers three levels of explanations to enable radiologists to comprehend the decision-making process in predicting tumor malignancy. Firstly, the proposed model outputs the BI-RADS categories used for BUS image analysis by radiologists. Secondly, the model employs multi-task learning to concurrently segment regions in images that correspond to tumors. Thirdly, the proposed approach outputs quantified contributions of each BI-RADS descriptor toward predicting the benign or malignant class using post-hoc explanations with Shapley Values.

Instruct-FinGPT: Financial Sentiment Analysis by Instruction Tuning of General-Purpose Large Language Models

Sentiment analysis is a vital tool for uncovering insights from financial articles, news, and social media, shaping our understanding of market movements. Despite the impressive capabilities of large language models (LLMs) in financial natural language processing (NLP), they still struggle with accurately interpreting numerical values and grasping financial context, limiting their effectiveness in predicting financial sentiment. In this paper, we introduce a simple yet effective instruction tuning approach to address these issues. By transforming a small portion of supervised financial sentiment analysis data into instruction data and fine-tuning a general-purpose LLM with this method, we achieve remarkable advancements in financial sentiment analysis. In the experiment, our approach outperforms state-of-the-art supervised sentiment analysis models, as well as widely used LLMs like ChatGPT and LLaMAs, particularly in scenarios where numerical understanding and contextual comprehension are vital.

Multi-site, Multi-domain Airway Tree Modeling : A Public Benchmark for Pulmonary Airway Segmentation

Open international challenges are becoming the de facto standard for assessing computer vision and image analysis algorithms. In recent years, new methods have extended the reach of pulmonary airway segmentation that is closer to the limit of image resolution. Since EXACT'09 pulmonary airway segmentation, limited effort has been directed to quantitative comparison of newly emerged algorithms driven by the maturity of deep learning based approaches and clinical drive for resolving finer details of distal airways for early intervention of pulmonary diseases. Thus far, public annotated datasets are extremely limited, hindering the development of data-driven methods and detailed performance evaluation of new algorithms. To provide a benchmark for the medical imaging community, we organized the Multi-site, Multi-domain Airway Tree Modeling (ATM'22), which was held as an official challenge event during the MICCAI 2022 conference. ATM'22 provides large-scale CT scans with detailed pulmonary airway annotation, including 500 CT scans (300 for training, 50 for validation, and 150 for testing). The dataset was collected from different sites and it further included a portion of noisy COVID-19 CTs with ground-glass opacity and consolidation. Twenty-three teams participated in the entire phase of the challenge and the algorithms for the top ten teams are reviewed in this paper. Quantitative and qualitative results revealed that deep learning models embedded with the topological continuity enhancement achieved superior performance in general. ATM'22 challenge holds as an open-call design, the training data and the gold standard evaluation are available upon successful registration via its homepage.

Data-aware customization of activation functions reduces neural network error

Activation functions play critical roles in neural networks, yet current off-the-shelf neural networks pay little attention to the specific choice of activation functions used. Here we show that data-aware customization of activation functions can result in striking reductions in neural network error. We first give a simple linear algebraic explanation of the role of activation functions in neural networks; then, through connection with the Diaconis-Shahshahani Approximation Theorem, we propose a set of criteria for good activation functions. As a case study, we consider regression tasks with a partially exchangeable target function, \emph{i.e.} $f(u,v,w)=f(v,u,w)$ for $u,v\in \mathbb{R}^d$ and $w\in \mathbb{R}^k$, and prove that for such a target function, using an even activation function in at least one of the layers guarantees that the prediction preserves partial exchangeability for best performance. Since even activation functions are seldom used in practice, we designed the ``seagull'' even activation function $\log(1+x^2)$ according to our criteria. Empirical testing on over two dozen 9-25 dimensional examples with different local smoothness, curvature, and degree of exchangeability revealed that a simple substitution with the ``seagull'' activation function in an already-refined neural network can lead to an order-of-magnitude reduction in error. This improvement was most pronounced when the activation function substitution was applied to the layer in which the exchangeable variables are connected for the first time. While the improvement is greatest for low-dimensional data, experiments on the CIFAR10 image classification dataset showed that use of ``seagull'' can reduce error even for high-dimensional cases. These results collectively highlight the potential of customizing activation functions as a general approach to improve neural network performance.

High-Quality Supersampling via Mask-reinforced Deep Learning for Real-time Rendering

To generate high quality rendering images for real time applications, it is often to trace only a few samples-per-pixel (spp) at a lower resolution and then supersample to the high resolution. Based on the observation that the rendered pixels at a low resolution are typically highly aliased, we present a novel method for neural supersampling based on ray tracing 1/4-spp samples at the high resolution. Our key insight is that the ray-traced samples at the target resolution are accurate and reliable, which makes the supersampling an interpolation problem. We present a mask-reinforced neural network to reconstruct and interpolate high-quality image sequences. First, a novel temporal accumulation network is introduced to compute the correlation between current and previous features to significantly improve their temporal stability. Then a reconstruct network based on a multi-scale U-Net with skip connections is adopted for reconstruction and generation of the desired high-resolution image. Experimental results and comparisons have shown that our proposed method can generate higher quality results of supersampling, without increasing the total number of ray-tracing samples, over current state-of-the-art methods.

Detachable Novel Views Synthesis of Dynamic Scenes Using Distribution-Driven Neural Radiance Fields

Representing and synthesizing novel views in real-world dynamic scenes from casual monocular videos is a long-standing problem. Existing solutions typically approach dynamic scenes by applying geometry techniques or utilizing temporal information between several adjacent frames without considering the underlying background distribution in the entire scene or the transmittance over the ray dimension, limiting their performance on static and occlusion areas. Our approach $\textbf{D}$istribution-$\textbf{D}$riven neural radiance fields offers high-quality view synthesis and a 3D solution to $\textbf{D}$etach the background from the entire $\textbf{D}$ynamic scene, which is called $\text{D}^4$NeRF. Specifically, it employs a neural representation to capture the scene distribution in the static background and a 6D-input NeRF to represent dynamic objects, respectively. Each ray sample is given an additional occlusion weight to indicate the transmittance lying in the static and dynamic components. We evaluate $\text{D}^4$NeRF on public dynamic scenes and our urban driving scenes acquired from an autonomous-driving dataset. Extensive experiments demonstrate that our approach outperforms previous methods in rendering texture details and motion areas while also producing a clean static background. Our code will be released at https://github.com/Luciferbobo/D4NeRF.