How Far Can Transformers Reason? The Locality Barrier and Inductive Scratchpad

Can Transformers predict new syllogisms by composing established ones? More generally, what type of targets can be learned by such models from scratch? Recent works show that Transformers can be Turing-complete in terms of expressivity, but this does not address the learnability objective. This paper puts forward the notion of 'distribution locality' to capture when weak learning is efficiently achievable by regular Transformers, where the locality measures the least number of tokens required in addition to the tokens histogram to correlate nontrivially with the target. As shown experimentally and theoretically under additional assumptions, distributions with high locality cannot be learned efficiently. In particular, syllogisms cannot be composed on long chains. Furthermore, we show that (i) an agnostic scratchpad cannot help to break the locality barrier, (ii) an educated scratchpad can help if it breaks the locality at each step, (iii) a notion of 'inductive scratchpad' can both break the locality and improve the out-of-distribution generalization, e.g., generalizing to almost double input size for some arithmetic tasks.

On the Minimal Degree Bias in Generalization on the Unseen for non-Boolean Functions

We investigate the out-of-domain generalization of random feature (RF) models and Transformers. We first prove that in the `generalization on the unseen (GOTU)' setting, where training data is fully seen in some part of the domain but testing is made on another part, and for RF models in the small feature regime, the convergence takes place to interpolators of minimal degree as in the Boolean case (Abbe et al., 2023). We then consider the sparse target regime and explain how this regime relates to the small feature regime, but with a different regularization term that can alter the picture in the non-Boolean case. We show two different outcomes for the sparse regime with q-ary data tokens: (1) if the data is embedded with roots of unities, then a min-degree interpolator is learned like in the Boolean case for RF models, (2) if the data is not embedded as such, e.g., simply as integers, then RF models and Transformers may not learn minimal degree interpolators. This shows that the Boolean setting and its roots of unities generalization are special cases where the minimal degree interpolator offers a rare characterization of how learning takes place. For more general integer and real-valued settings, a more nuanced picture remains to be fully characterized.

When can transformers reason with abstract symbols?

We investigate the capabilities of transformer large language models (LLMs) on relational reasoning tasks involving abstract symbols. Such tasks have long been studied in the neuroscience literature as fundamental building blocks for more complex abilities in programming, mathematics, and verbal reasoning. For (i) regression tasks, we prove that transformers generalize when trained, but require astonishingly large quantities of training data. For (ii) next-token-prediction tasks with symbolic labels, we show an "inverse scaling law": transformers fail to generalize as their embedding dimension increases. For both settings (i) and (ii), we propose subtle transformer modifications which can reduce the amount of data needed by adding two trainable parameters per head.

Provable Advantage of Curriculum Learning on Parity Targets with Mixed Inputs

Experimental results have shown that curriculum learning, i.e., presenting simpler examples before more complex ones, can improve the efficiency of learning. Some recent theoretical results also showed that changing the sampling distribution can help neural networks learn parities, with formal results only for large learning rates and one-step arguments. Here we show a separation result in the number of training steps with standard (bounded) learning rates on a common sample distribution: if the data distribution is a mixture of sparse and dense inputs, there exists a regime in which a 2-layer ReLU neural network trained by a curriculum noisy-GD (or SGD) algorithm that uses sparse examples first, can learn parities of sufficiently large degree, while any fully connected neural network of possibly larger width or depth trained by noisy-GD on the unordered samples cannot learn without additional steps. We also provide experimental results supporting the qualitative separation beyond the specific regime of the theoretical results.

Transformers learn through gradual rank increase

We identify incremental learning dynamics in transformers, where the difference between trained and initial weights progressively increases in rank. We rigorously prove this occurs under the simplifying assumptions of diagonal weight matrices and small initialization. Our experiments support the theory and also show that phenomenon can occur in practice without the simplifying assumptions.

SGD learning on neural networks: leap complexity and saddle-to-saddle dynamics

We investigate the time complexity of SGD learning on fully-connected neural networks with isotropic data. We put forward a complexity measure -- the leap -- which measures how "hierarchical" target functions are. For $d$-dimensional uniform Boolean or isotropic Gaussian data, our main conjecture states that the time complexity to learn a function $f$ with low-dimensional support is $\tilde\Theta (d^{\max(\mathrm{Leap}(f),2)})$. We prove a version of this conjecture for a class of functions on Gaussian isotropic data and 2-layer neural networks, under additional technical assumptions on how SGD is run. We show that the training sequentially learns the function support with a saddle-to-saddle dynamic. Our result departs from [Abbe et al. 2022] by going beyond leap 1 (merged-staircase functions), and by going beyond the mean-field and gradient flow approximations that prohibit the full complexity control obtained here. Finally, we note that this gives an SGD complexity for the full training trajectory that matches that of Correlational Statistical Query (CSQ) lower-bounds.

Generalization on the Unseen, Logic Reasoning and Degree Curriculum

This paper considers the learning of logical (Boolean) functions with focus on the generalization on the unseen (GOTU) setting, a strong case of out-of-distribution generalization. This is motivated by the fact that the rich combinatorial nature of data in certain reasoning tasks (e.g., arithmetic/logic) makes representative data sampling challenging, and learning successfully under GOTU gives a first vignette of an 'extrapolating' or 'reasoning' learner. We then study how different network architectures trained by (S)GD perform under GOTU and provide both theoretical and experimental evidence that for a class of network models including instances of Transformers, random features models, and diagonal linear networks, a min-degree-interpolator (MDI) is learned on the unseen. We also provide evidence that other instances with larger learning rates or mean-field networks reach leaky MDIs. These findings lead to two implications: (1) we provide an explanation to the length generalization problem (e.g., Anil et al. 2022); (2) we introduce a curriculum learning algorithm called Degree-Curriculum that learns monomials more efficiently by incrementing supports.

On the non-universality of deep learning: quantifying the cost of symmetry

We prove computational limitations for learning with neural networks trained by noisy gradient descent (GD). Our result applies whenever GD training is equivariant (true for many standard architectures), and quantifies the alignment needed between architectures and data in order for GD to learn. As applications, (i) we characterize the functions that fully-connected networks can weak-learn on the binary hypercube and unit sphere, demonstrating that depth-2 is as powerful as any other depth for this task; (ii) we extend the merged-staircase necessity result for learning with latent low-dimensional structure [ABM22] to beyond the mean-field regime. Our techniques extend to stochastic gradient descent (SGD), for which we show nontrivial hardness results for learning with fully-connected networks, based on cryptographic assumptions.

Learning to Reason with Neural Networks: Generalization, Unseen Data and Boolean Measures

This paper considers the Pointer Value Retrieval (PVR) benchmark introduced in [ZRKB21], where a 'reasoning' function acts on a string of digits to produce the label. More generally, the paper considers the learning of logical functions with gradient descent (GD) on neural networks. It is first shown that in order to learn logical functions with gradient descent on symmetric neural networks, the generalization error can be lower-bounded in terms of the noise-stability of the target function, supporting a conjecture made in [ZRKB21]. It is then shown that in the distribution shift setting, when the data withholding corresponds to freezing a single feature (referred to as canonical holdout), the generalization error of gradient descent admits a tight characterization in terms of the Boolean influence for several relevant architectures. This is shown on linear models and supported experimentally on other models such as MLPs and Transformers. In particular, this puts forward the hypothesis that for such architectures and for learning logical functions such as PVR functions, GD tends to have an implicit bias towards low-degree representations, which in turn gives the Boolean influence for the generalization error under quadratic loss.

An initial alignment between neural network and target is needed for gradient descent to learn

This paper introduces the notion of "Initial Alignment" (INAL) between a neural network at initialization and a target function. It is proved that if a network and target function do not have a noticeable INAL, then noisy gradient descent on a fully connected network with normalized i.i.d. initialization will not learn in polynomial time. Thus a certain amount of knowledge about the target (measured by the INAL) is needed in the architecture design. This also provides an answer to an open problem posed in [AS20]. The results are based on deriving lower-bounds for descent algorithms on symmetric neural networks without explicit knowledge of the target function beyond its INAL.