Why are Sensitive Functions Hard for Transformers?

Empirical studies have identified a range of learnability biases and limitations of transformers, such as a persistent difficulty in learning to compute simple formal languages such as PARITY, and a bias towards low-degree functions. However, theoretical understanding remains limited, with existing expressiveness theory either overpredicting or underpredicting realistic learning abilities. We prove that, under the transformer architecture, the loss landscape is constrained by the input-space sensitivity: Transformers whose output is sensitive to many parts of the input string inhabit isolated points in parameter space, leading to a low-sensitivity bias in generalization. We show theoretically and empirically that this theory unifies a broad array of empirical observations about the learning abilities and biases of transformers, such as their generalization bias towards low sensitivity and low degree, and difficulty in length generalization for PARITY. This shows that understanding transformers' inductive biases requires studying not just their in-principle expressivity, but also their loss landscape.

A Cross-Linguistic Pressure for Uniform Information Density in Word Order

While natural languages differ widely in both canonical word order and word order flexibility, their word orders still follow shared cross-linguistic statistical patterns, often attributed to functional pressures. In the effort to identify these pressures, prior work has compared real and counterfactual word orders. Yet one functional pressure has been overlooked in such investigations: the uniform information density (UID) hypothesis, which holds that information should be spread evenly throughout an utterance. Here, we ask whether a pressure for UID may have influenced word order patterns cross-linguistically. To this end, we use computational models to test whether real orders lead to greater information uniformity than counterfactual orders. In our empirical study of 10 typologically diverse languages, we find that: (i) among SVO languages, real word orders consistently have greater uniformity than reverse word orders, and (ii) only linguistically implausible counterfactual orders consistently exceed the uniformity of real orders. These findings are compatible with a pressure for information uniformity in the development and usage of natural languages.

A Theory of Emergent In-Context Learning as Implicit Structure Induction

Scaling large language models (LLMs) leads to an emergent capacity to learn in-context from example demonstrations. Despite progress, theoretical understanding of this phenomenon remains limited. We argue that in-context learning relies on recombination of compositional operations found in natural language data. We derive an information-theoretic bound showing how in-context learning abilities arise from generic next-token prediction when the pretraining distribution has sufficient amounts of compositional structure, under linguistically motivated assumptions. A second bound provides a theoretical justification for the empirical success of prompting LLMs to output intermediate steps towards an answer. To validate theoretical predictions, we introduce a controlled setup for inducing in-context learning; unlike previous approaches, it accounts for the compositional nature of language. Trained transformers can perform in-context learning for a range of tasks, in a manner consistent with the theoretical results. Mirroring real-world LLMs in a miniature setup, in-context learning emerges when scaling parameters and data, and models perform better when prompted to output intermediate steps. Probing shows that in-context learning is supported by a representation of the input's compositional structure. Taken together, these results provide a step towards theoretical understanding of emergent behavior in large language models.

Crosslinguistic word order variation reflects evolutionary pressures of dependency and information locality

Languages vary considerably in syntactic structure. About 40% of the world's languages have subject-verb-object order, and about 40% have subject-object-verb order. Extensive work has sought to explain this word order variation across languages. However, the existing approaches are not able to explain coherently the frequency distribution and evolution of word order in individual languages. We propose that variation in word order reflects different ways of balancing competing pressures of dependency locality and information locality, whereby languages favor placing elements together when they are syntactically related or contextually informative about each other. Using data from 80 languages in 17 language families and phylogenetic modeling, we demonstrate that languages evolve to balance these pressures, such that word order change is accompanied by change in the frequency distribution of the syntactic structures which speakers communicate to maintain overall efficiency. Variability in word order thus reflects different ways in which languages resolve these evolutionary pressures. We identify relevant characteristics that result from this joint optimization, particularly the frequency with which subjects and objects are expressed together for the same verb. Our findings suggest that syntactic structure and usage across languages co-adapt to support efficient communication under limited cognitive resources.

Sensitivity as a Complexity Measure for Sequence Classification Tasks

We introduce a theoretical framework for understanding and predicting the complexity of sequence classification tasks, using a novel extension of the theory of Boolean function sensitivity. The sensitivity of a function, given a distribution over input sequences, quantifies the number of disjoint subsets of the input sequence that can each be individually changed to change the output. We argue that standard sequence classification methods are biased towards learning low-sensitivity functions, so that tasks requiring high sensitivity are more difficult. To that end, we show analytically that simple lexical classifiers can only express functions of bounded sensitivity, and we show empirically that low-sensitivity functions are easier to learn for LSTMs. We then estimate sensitivity on 15 NLP tasks, finding that sensitivity is higher on challenging tasks collected in GLUE than on simple text classification tasks, and that sensitivity predicts the performance both of simple lexical classifiers and of vanilla BiLSTMs without pretrained contextualized embeddings. Within a task, sensitivity predicts which inputs are hard for such simple models. Our results suggest that the success of massively pretrained contextual representations stems in part because they provide representations from which information can be extracted by low-sensitivity decoders.

RNNs can generate bounded hierarchical languages with optimal memory

Recurrent neural networks empirically generate natural language with high syntactic fidelity. However, their success is not well-understood theoretically. We provide theoretical insight into this success, proving in a finite-precision setting that RNNs can efficiently generate bounded hierarchical languages that reflect the scaffolding of natural language syntax. We introduce Dyck-($k$,$m$), the language of well-nested brackets (of $k$ types) and $m$-bounded nesting depth, reflecting the bounded memory needs and long-distance dependencies of natural language syntax. The best known results use $O(k^{\frac{m}{2}})$ memory (hidden units) to generate these languages. We prove that an RNN with $O(m \log k)$ hidden units suffices, an exponential reduction in memory, by an explicit construction. Finally, we show that no algorithm, even with unbounded computation, can suffice with $o(m \log k)$ hidden units.

Tabula nearly rasa: Probing the Linguistic Knowledge of Character-Level Neural Language Models Trained on Unsegmented Text

Recurrent neural networks (RNNs) have reached striking performance in many natural language processing tasks. This has renewed interest in whether these generic sequence processing devices are inducing genuine linguistic knowledge. Nearly all current analytical studies, however, initialize the RNNs with a vocabulary of known words, and feed them tokenized input during training. We present a multi-lingual study of the linguistic knowledge encoded in RNNs trained as character-level language models, on input data with word boundaries removed. These networks face a tougher and more cognitively realistic task, having to discover any useful linguistic unit from scratch based on input statistics. The results show that our "near tabula rasa" RNNs are mostly able to solve morphological, syntactic and semantic tasks that intuitively presuppose word-level knowledge, and indeed they learned, to some extent, to track word boundaries. Our study opens the door to speculations about the necessity of an explicit, rigid word lexicon in language learning and usage.

Theoretical Limitations of Self-Attention in Neural Sequence Models

Transformers are emerging as the new workhorse of NLP, showing great success across tasks. Unlike LSTMs, transformers process input sequences entirely through self-attention. Previous work has suggested that the computational capabilities of self-attention to process hierarchical structures are limited. In this work, we mathematically investigate the computational power of self-attention to model formal languages. Across both soft and hard attention, we show strong theoretical limitations of the computational abilities of self-attention, finding that it cannot model periodic finite-state languages, nor hierarchical structure, unless the number of layers or heads increases with input length. Our results precisely describe theoretical limitations of the techniques underlying recent advances in NLP.

Character-based Surprisal as a Model of Human Reading in the Presence of Errors

Intuitively, human readers cope easily with errors in text; typos, misspelling, word substitutions, etc. do not unduly disrupt natural reading. Previous work indicates that letter transpositions result in increased reading times, but it is unclear if this effect generalizes to more natural errors. In this paper, we report an eye-tracking study that compares two error types (letter transpositions and naturally occurring misspelling) and two error rates (10% or 50% of all words contain errors). We find that human readers show unimpaired comprehension in spite of these errors, but error words cause more reading difficulty than correct words. Also, transpositions are more difficult than misspellings, and a high error rate increases difficulty for all words, including correct ones. We then present a computational model that uses character-based (rather than traditional word-based) surprisal to account for these results. The model explains that transpositions are harder than misspellings because they contain unexpected letter combinations. It also explains the error rate effect: upcoming words are more difficultto predict when the context is degraded, leading to increased surprisal.