Large language models (LLMs) have demonstrated notable potential in conducting complex tasks and are increasingly utilized in various financial applications. However, high-quality sequential financial investment decision-making remains challenging. These tasks require multiple interactions with a volatile environment for every decision, demanding sufficient intelligence to maximize returns and manage risks. Although LLMs have been used to develop agent systems that surpass human teams and yield impressive investment returns, opportunities to enhance multi-sourced information synthesis and optimize decision-making outcomes through timely experience refinement remain unexplored. Here, we introduce the FinCon, an LLM-based multi-agent framework with CONceptual verbal reinforcement tailored for diverse FINancial tasks. Inspired by effective real-world investment firm organizational structures, FinCon utilizes a manager-analyst communication hierarchy. This structure allows for synchronized cross-functional agent collaboration towards unified goals through natural language interactions and equips each agent with greater memory capacity than humans. Additionally, a risk-control component in FinCon enhances decision quality by episodically initiating a self-critiquing mechanism to update systematic investment beliefs. The conceptualized beliefs serve as verbal reinforcement for the future agent's behavior and can be selectively propagated to the appropriate node that requires knowledge updates. This feature significantly improves performance while reducing unnecessary peer-to-peer communication costs. Moreover, FinCon demonstrates strong generalization capabilities in various financial tasks, including single stock trading and portfolio management.
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Large language models (LLMs) have shown increasing capability in problem-solving and decision-making, largely based on the step-by-step chain-of-thought reasoning processes. However, evaluating these reasoning abilities has become increasingly challenging. Existing outcome-based benchmarks are beginning to saturate, becoming less effective in tracking meaningful progress. To address this, we present a process-based benchmark MR-Ben that demands a meta-reasoning skill, where LMs are asked to locate and analyse potential errors in automatically generated reasoning steps. Our meta-reasoning paradigm is especially suited for system-2 slow thinking, mirroring the human cognitive process of carefully examining assumptions, conditions, calculations, and logic to identify mistakes.MR-Ben comprises 5,975 questions curated by human experts across a wide range of subjects, including physics, chemistry, logic, coding, and more. Through our designed metrics for assessing meta-reasoning on this benchmark, we identify interesting limitations and weaknesses of current LLMs (open-source and closed-source models). For example, with models like the o1 series from OpenAI demonstrating strong performance by effectively scrutinizing the solution space, many other state-of-the-art models fall significantly behind on MR-Ben, exposing potential shortcomings in their training strategies and inference methodologies.
Large language models (LLMs) have shown impressive capabilities across various tasks, but their performance on domain-specific tasks remains limited. While methods like retrieval augmented generation and fine-tuning can help to address this, they require significant resources. In-context learning (ICL) is a cheap and efficient alternative but cannot match the accuracies of advanced methods. We present Ensemble SuperICL, a novel approach that enhances ICL by leveraging the expertise of multiple fine-tuned small language models (SLMs). Ensemble SuperICL achieves state of the art (SoTA) results on several natural language understanding benchmarks. Additionally, we test it on a medical-domain labelling task and showcase its practicality by using off-the-shelf SLMs fine-tuned on a general language task, achieving superior accuracy in large-scale data labelling compared to all baselines. Finally, we conduct an ablation study and sensitivity analyses to elucidate the underlying mechanism of Ensemble SuperICL. Our research contributes to the growing demand for efficient domain specialisation methods in LLMs, offering a cheap and effective method for practitioners.
Large language models (LLMs) have been widely applied in various practical applications, typically comprising billions of parameters, with inference processes requiring substantial energy and computational resources. In contrast, the human brain, employing bio-plausible spiking mechanisms, can accomplish the same tasks while significantly reducing energy consumption, even with a similar number of parameters. Based on this, several pioneering researchers have proposed and implemented various large language models that leverage spiking neural networks. They have demonstrated the feasibility of these models, validated their performance, and open-sourced their frameworks and partial source code. To accelerate the adoption of brain-inspired large language models and facilitate secondary development for researchers, we are releasing a software toolkit named DarwinKit (Darkit). The toolkit is designed specifically for learners, researchers, and developers working on spiking large models, offering a suite of highly user-friendly features that greatly simplify the learning, deployment, and development processes.
With the adoption of retrieval-augmented generation (RAG), large language models (LLMs) are expected to ground their generation to the retrieved contexts. Yet, this is hindered by position bias of LLMs, failing to evenly attend to all contexts. Previous work has addressed this by synthesizing contexts with perturbed positions of gold segment, creating a position-diversified train set. We extend this intuition to propose consistency regularization with augmentation and distillation. First, we augment each training instance with its position perturbation to encourage consistent predictions, regardless of ordering. We also distill behaviors of this pair, although it can be counterproductive in certain RAG scenarios where the given order from the retriever is crucial for generation quality. We thus propose CORD, balancing COnsistency and Rank Distillation. CORD adaptively samples noise-controlled perturbations from an interpolation space, ensuring both consistency and respect for the rank prior. Empirical results show this balance enables CORD to outperform consistently in diverse RAG benchmarks.
Large language models (LLMs) have made significant advancements across various tasks, but their safety alignment remain a major concern. Exploring jailbreak prompts can expose LLMs' vulnerabilities and guide efforts to secure them. Existing methods primarily design sophisticated instructions for the LLM to follow, or rely on multiple iterations, which could hinder the performance and efficiency of jailbreaks. In this work, we propose a novel jailbreak paradigm, Simple Assistive Task Linkage (SATA), which can effectively circumvent LLM safeguards and elicit harmful responses. Specifically, SATA first masks harmful keywords within a malicious query to generate a relatively benign query containing one or multiple [MASK] special tokens. It then employs a simple assistive task such as a masked language model task or an element lookup by position task to encode the semantics of the masked keywords. Finally, SATA links the assistive task with the masked query to jointly perform the jailbreak. Extensive experiments show that SATA achieves state-of-the-art performance and outperforms baselines by a large margin. Specifically, on AdvBench dataset, with mask language model (MLM) assistive task, SATA achieves an overall attack success rate (ASR) of 85% and harmful score (HS) of 4.57, and with element lookup by position (ELP) assistive task, SATA attains an overall ASR of 76% and HS of 4.43.
Recent advancements in large language models (LLMs) have significantly enhanced their ability to understand both natural language and code, driving their use in tasks like natural language-to-code (NL2Code) and code summarization. However, LLMs are prone to hallucination-outputs that stray from intended meanings. Detecting hallucinations in code summarization is especially difficult due to the complex interplay between programming and natural languages. We introduce a first-of-its-kind dataset with $\sim$10K samples, curated specifically for hallucination detection in code summarization. We further propose a novel Entity Tracing Framework (ETF) that a) utilizes static program analysis to identify code entities from the program and b) uses LLMs to map and verify these entities and their intents within generated code summaries. Our experimental analysis demonstrates the effectiveness of the framework, leading to a 0.73 F1 score. This approach provides an interpretable method for detecting hallucinations by grounding entities, allowing us to evaluate summary accuracy.
Despite the significant progress made by existing retrieval augmented language models (RALMs) in providing trustworthy responses and grounding in reliable sources, they often overlook effective alignment with human preferences. In the alignment process, reward models (RMs) act as a crucial proxy for human values to guide optimization. However, it remains unclear how to evaluate and select a reliable RM for preference alignment in RALMs. To this end, we propose RAG-RewardBench, the first benchmark for evaluating RMs in RAG settings. First, we design four crucial and challenging RAG-specific scenarios to assess RMs, including multi-hop reasoning, fine-grained citation, appropriate abstain, and conflict robustness. Then, we incorporate 18 RAG subsets, six retrievers, and 24 RALMs to increase the diversity of data sources. Finally, we adopt an LLM-as-a-judge approach to improve preference annotation efficiency and effectiveness, exhibiting a strong correlation with human annotations. Based on the RAG-RewardBench, we conduct a comprehensive evaluation of 45 RMs and uncover their limitations in RAG scenarios. Additionally, we also reveal that existing trained RALMs show almost no improvement in preference alignment, highlighting the need for a shift towards preference-aligned training.We release our benchmark and code publicly at //huggingface.co/datasets/jinzhuoran/RAG-RewardBench/ for future work.
The exceptional capabilities of large language models (LLMs) have substantially accelerated the rapid rise and widespread adoption of agents. Recent studies have demonstrated that generating Python code to consolidate LLM-based agents' actions into a unified action space (CodeAct) is a promising approach for developing real-world LLM agents. However, this step-by-step code generation approach often lacks consistency and robustness, leading to instability in agent applications, particularly for complex reasoning and out-of-domain tasks. In this paper, we propose a novel approach called Tree-of-Code (ToC) to tackle the challenges of complex problem planning and execution with an end-to-end mechanism. By integrating key ideas from both Tree-of-Thought and CodeAct, ToC combines their strengths to enhance solution exploration. In our framework, each final code execution result is treated as a node in the decision tree, with a breadth-first search strategy employed to explore potential solutions. The final outcome is determined through a voting mechanism based on the outputs of the nodes.
Recent advancements in large language models (LLMs) have shown impressive versatility across various tasks. To eliminate its hallucinations, retrieval-augmented generation (RAG) has emerged as a powerful approach, leveraging external knowledge sources like knowledge graphs (KGs). In this paper, we study the task of KG-driven RAG and propose a novel Similar Graph Enhanced Retrieval-Augmented Generation (SimGRAG) method. It effectively addresses the challenge of aligning query texts and KG structures through a two-stage process: (1) query-to-pattern, which uses an LLM to transform queries into a desired graph pattern, and (2) pattern-to-subgraph, which quantifies the alignment between the pattern and candidate subgraphs using a graph semantic distance (GSD) metric. We also develop an optimized retrieval algorithm that efficiently identifies the top-$k$ subgraphs within 1-second latency on a 10-million-scale KG. Extensive experiments show that SimGRAG outperforms state-of-the-art KG-driven RAG methods in both question answering and fact verification, offering superior plug-and-play usability and scalability.
The emergence of large language models (LLMs) has substantially influenced natural language processing, demonstrating exceptional results across various tasks. In this study, we employ ``Introspective Tips" to facilitate LLMs in self-optimizing their decision-making. By introspectively examining trajectories, LLM refines its policy by generating succinct and valuable tips. Our method enhances the agent's performance in both few-shot and zero-shot learning situations by considering three essential scenarios: learning from the agent's past experiences, integrating expert demonstrations, and generalizing across diverse games. Importantly, we accomplish these improvements without fine-tuning the LLM parameters; rather, we adjust the prompt to generalize insights from the three aforementioned situations. Our framework not only supports but also emphasizes the advantage of employing LLM in in-contxt decision-making. Experiments involving over 100 games in TextWorld illustrate the superior performance of our approach.
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