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Information Retrieval on SEC 10-K Documents

The financial statements of a company provide a lot of valuable insights about it. However, extracting crucial information from these statements is time-consuming and often quite cumbersome. We propose an interactive information retrieval system that can query the financial information of a company, summarise SEC 10-K filings and visualise a company’s performance over the past few years. Our proposed system can be used by, but not limited to, investors, traders, analysts, auditors, and corporate executives.

Folder Structure

.
├── Backend
│   ├── helper.py
│   ├── requirements.txt
│   └── server.py
├── Frontend
│   ├── babel.config.js
│   ├── package.json
│   ├── public
│   ├── server.js
│   ├── src
│   ├── static.json
│   └── vue.config.js
├── Other
│   ├── Notebooks
│   ├── Presentation.pdf
│   └── Report.pdf
└── README.md

Setup 🛠️

Backend

  • Install the required libraries using pip install -r requirements.txt
  • Download the data folder from here and place it in the Backend directory

Frontend

  • Install the required node modules using npm install

Build ⚙️

Backend

cd Backend
python3 server.py

Frontend

cd Frontend
npm run serve

Features ⭐

  • User can give natural language queries to search for relevant financial documents.
  • Important parts of 10-K documents of a company are summarised.
  • Important tables are extracted and presented to the user.
  • Change in crucial financial indicators of a company are visualised using plots.
  • Sentiment Analysis on Management's Decisions.

Evaluation 📊

Method Precision@3 Precision@5 Precision@10
TF-IDF 0.78 0.74 0.54
log(TF)-IDF 0.48 0.46 0.41
BM-25 0.66 0.65 0.51

Team

Anuneet Anand
Isha Gupta
Osheen Sachdev
Paras Mehan
Uday Narayan Goel