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Yu Chen

Publications and source records attributed to Yu Chen.

At least 109 records · Page 6Linked to original sources
arXiv2026

FinReporting: An Agentic Workflow for Localized Reporting of Cross-Jurisdiction Financial Disclosures

Financial reporting systems increasingly leverage Large Language Models (LLMs) to extract and summarize corporate disclosures. However, most existing approaches assume a single-market setting and overlook structural differences across jurisdictions. Variations in accounting taxonomies, tagging infrastructures (e.g., XBRL vs.\ PDF), and aggregation conventions introduce substantial challenges for semantic alignment and reliable verification. Here, we aim to bridge this gap. We present FinReporting, an agentic workflow for localized cross-jurisdiction financial reporting. The system constructs a unified canonical ontology spanning the income statement, balance sheet, and cash flow statement, and decomposes reporting into auditable stages, including filing acquisition, extraction, canonical mapping, and anomaly logging. Rather than treating LLMs as free-form generators, FinReporting employs them as constrained verifiers operating under explicit decision rules with evidence grounding. Evaluated on annual filings from the USA, Japan, and China, FinReporting improves consistency and reliability under heterogeneous reporting regimes. We further release an interactive demo that enables cross-market inspection and supports structured export of localized financial statements. Our demo is available at url{https://huggingface.co/spaces/BoomQ/FinReporting-Demo. A video describing our system is available at https://www.youtube.com/watch?v=f65jdEL31Kk.

cs.CL↗
arXiv2026

When Alpha Disappears: A One-Switch Benchmark for Decision-Time Leakage in Financial Backtests

We introduce When Alpha Disappears, a paired evaluation benchmark for diagnosing decision-time leakage in financial machine-learning backtests. Rather than treating leakage as a binary property, the benchmark estimates protocol-induced inflation by toggling one evaluation convention at a time around a clean $t{+}1$-open reference, while holding the data panel, walk-forward split, model family, horizon, portfolio rule, and cost convention fixed. Across two daily-OHLCV equity panels, six model families, and yearly tests from 2016--2024, we find that inflation is highly selective: centered temporal features and same-day-open execution with post-open daily-bar information cause large and stable increases in both predictive and trading metrics, whereas global normalization, future-informed graph structure, and same-day-close execution are weak in most settings. The benchmark is diagnostic rather than a claim of tradable alpha, and is intended to make evaluation assumptions, failure modes, and protocol fragility directly measurable.

q-fin.RM↗
arXiv2026

Why Do Aligned LLMs Remain Jailbreakable: Refusal-Escape Directions, Operator-Level Sources, and Safety-Utility Trade-off

Aligned large language models (LLMs) remain vulnerable to jailbreak attacks. Recent mechanistic studies have identified latent features and representation shifts associated with jailbreak success, but they leave a more fundamental question open: why do aligned LLMs remain jailbreakable, and what structural vulnerabilities in the model make this possible? We study this question through a continuous input-transformation view. Our theoretical finding is that aligned models can still exhibit Refusal-Escape Directions (RED): local perturbation directions around a harmful input that shift the model's behavior from refusal to answering while preserving the model's harmful-semantics interpretation. From this perspective, a jailbreak is not only a successful discrete prompt construction, but can also be understood as a refusal-to-answer behavior transition induced by continuously perturbing a harmful input along RED. We then prove that RED can be exactly decomposed into contributions from operator-level sources across the model's operator structure, and identify normalization, residual-wiring, and terminal sources as analytically constrained operator-level sources. To eliminate RED, the shared expressive modules -- self-attention and MLP -- must eliminate the contributions from these analytically constrained sources while preserving the mechanisms that support benign responses. These competing requirements give rise to a conditional safety-utility trade-off. Experiments across multiple models and attack methods empirically analyze RED from two complementary perspectives and show that added token dimensions can expose RED, while successful jailbreaks exhibit refusal-to-answer shifts largely aligned with terminal-source contributions.

cs.CR↗
arXiv2026

FinCARDS: Card-Based Analyst Reranking for Financial Document Question Answering

Financial question answering (QA) over long corporate filings requires evidence to satisfy strict constraints on entities, financial metrics, fiscal periods, and numeric values. However, existing LLM-based rerankers primarily optimize semantic relevance, leading to unstable rankings and opaque decisions on long documents. We propose FinCards, a structured reranking framework that reframes financial evidence selection as constraint satisfaction under a finance-aware schema. FinCards represents filing chunks and questions using aligned schema fields (entities, metrics, periods, and numeric spans), enabling deterministic field-level matching. Evidence is selected via a multi-stage tournament reranking with stability-aware aggregation, producing auditable decision traces. Across two corporate filing QA benchmarks, FinCards substantially improves early-rank retrieval over both lexical and LLM-based reranking baselines, while reducing ranking variance, without requiring model fine-tuning or unpredictable inference budgets. Our code is available at https://github.com/XanderZhou2022/FINCARDS.

cs.IR↗
arXiv2026

Electric-Field Control of Quantum Tunneling Regimes in Focused He-Ion-Beam-Irradiated Oxide Interfaces

Helium focused ion beam irradiation enables the fabrication of tunnel field-effect transistors based on two-dimensional electron systems (2DESs) at an oxide interface.High resolution scanning transmission electron microscopy and strain mapping reveal localized lattice deformation confined to the irradiated regions, which act as nanoscale potential barriers. The barrier profile can be continuously tuned by electrostatic backgating at low temperature without degrading the electronic properties of the 2DES electrodes. Transport measurements demonstrate controlled access to thermionic emission, direct tunneling, and Fowler-Nordheim tunneling within a single device architecture. These results establish He FIB irradiation as a powerful tool for nanoscale functional engineering of complex-oxide interfaces and provide a platform for exploring gate-tunable quantum tunneling phenomena.

cond-mat.mes-hall↗
arXiv2026

Topology Structure Optimization of Reservoirs Using GLMY Homology

Reservoir is an efficient network for time series processing. It is well known that network structure is one of the determinants of its performance. However, the topology structure of reservoirs, as well as their performance, is hard to analyzed, due to the lack of suitable mathematical tools. In this paper, we study the topology structure of reservoirs using persistent GLMY homology theory, and develop a method to improve its performance. Specifically, it is found that the reservoir performance is closely related to the one-dimensional GLMY homology groups. Then, we develop a reservoir structure optimization method by modifying the minimal representative cycles of one-dimensional GLMY homology groups. Finally, by experiments, it is validated that the performance of reservoirs is jointly influenced by the reservoir structure and the periodicity of the dataset.

cs.LG↗
arXiv2026

Chance-Constrained Neural MPC under Uncontrollable Agents via Sequential Convex Programming

This work investigates the challenge of ensuring safety guarantees in the presence of uncontrollable agents, whose behaviors are stochastic and depend on both their own and the system's states. We present a neural model predictive control (MPC) framework that predicts the trajectory of the uncontrollable agent using a predictor learned from offline data. To provide formal probabilistic guarantees on prediction errors despite policy-induced distribution shifts, we propose a region-wise robust conformal prediction scheme to construct time-dependent uncertainty bounds, which are integrated into the MPC formulation. To solve the resulting non-convex, discontinuous optimization problem, we propose a two-loop iterative sequential convex programming algorithm. The inner loop solves convexified subproblems with fixed error bounds, while the outer loop refines these bounds based on updated control sequences. We establish convergence guarantees and analyze the optimality of the algorithm. We illustrate our method with an autonomous driving scenario involving interactive pedestrians. Experimental results demonstrate that our approach achieves superior safety and efficiency compared to baseline methods, with success rates exceeding 99.5% while maintaining higher average speeds in multi-pedestrian scenarios.

eess.SY↗
arXiv2026

MSA: Memory Sparse Attention for Efficient End-to-End Memory Model Scaling to 100M Tokens

Long-term memory is a cornerstone of human intelligence. Enabling AI to process lifetime-scale information remains a long-standing pursuit in the field. Due to the constraints of full-attention architectures, the effective context length of large language models (LLMs) is typically limited to 1M tokens. Existing approaches, such as hybrid linear attention, fixed-size memory states (e.g., RNNs), and external storage methods like RAG or agent systems, attempt to extend this limit. However, they often suffer from severe precision degradation and rapidly increasing latency as context length grows, an inability to dynamically modify memory content, or a lack of end-to-end optimization. These bottlenecks impede complex scenarios like large-corpus summarization, Digital Twins, and long-history agent reasoning, while limiting memory capacity and slowing inference. We present Memory Sparse Attention (MSA), an end-to-end trainable, efficient, and massively scalable memory model framework. Through core innovations including scalable sparse attention and document-wise RoPE, MSA achieves linear complexity in both training and inference while maintaining exceptional stability, exhibiting less than 9% degradation when scaling from 16K to 100M tokens. Furthermore, KV cache compression, combined with Memory Parallel, enables 100M-token inference on 2xA800 GPUs. We also propose Memory Interleaving to facilitate complex multi-hop reasoning across scattered memory segments. MSA significantly surpasses frontier LLMs, state-of-the-art RAG systems, and leading memory agents in long-context benchmarks. These results demonstrate that by decoupling memory capacity from reasoning, MSA provides a scalable foundation to endow general-purpose models with intrinsic, lifetime-scale memory.

cs.CL↗
arXiv2026

A MIDAS-based Data Acquisition System for Gaseous Detectors

We present a data acquisition~(DAQ) software based on the MIDAS framework, specifically for gaseous detectors to support the detector deployments and applications. It implements a comprehensive suite of functions, including parameter configuration, data acquisition, decoding, and storage, alongside web-based operation and real-time monitoring capabilities. We establish a fully unified workflow spanning data acquisition to offline analysis, enabling real-time visualization of signal waveforms and energy spectra. The system has been successfully deployed in the PandaX-III experiment, which utilized a high-pressure gaseous detector to search for neutrinoless double beta decay. Its performance and stability have been validated through tests involving two distinct electronics setups and joint commissioning with the detector.

physics.ins-det↗
arXiv2026

FreeScale: Scaling 3D Scenes via Certainty-Aware Free-View Generation

The development of generalizable Novel View Synthesis (NVS) models is critically limited by the scarcity of large-scale training data featuring diverse and precise camera trajectories. While real-world captures are photorealistic, they are typically sparse and discrete. Conversely, synthetic data scales but suffers from a domain gap and often lacks realistic semantics. We introduce FreeScale, a novel framework that leverages the power of scene reconstruction to transform limited real-world image sequences into a scalable source of high-quality training data. Our key insight is that an imperfect reconstructed scene serves as a rich geometric proxy, but naively sampling from it amplifies artifacts. To this end, we propose a certainty-aware free-view sampling strategy identifying novel viewpoints that are both semantically meaningful and minimally affected by reconstruction errors. We demonstrate FreeScale's effectiveness by scaling up the training of feedforward NVS models, achieving a notable gain of 2.7 dB in PSNR on challenging out-of-distribution benchmarks. Furthermore, we show that the generated data can actively enhance per-scene 3D Gaussian Splatting optimization, leading to consistent improvements across multiple datasets. Our work provides a practical and powerful data generation engine to overcome a fundamental bottleneck in 3D vision. Project page: https://mvp-ai-lab.github.io/FreeScale.

cs.CV↗
arXiv2026

FAITH: Factuality Alignment through Integrating Trustworthiness and Honestness

Large Language Models (LLMs) can generate factually inaccurate content even if they have corresponding knowledge, which critically undermines their reliability. Existing approaches attempt to mitigate this by incorporating uncertainty in QA prompt during training, but these numerical scores lack the semantic richness for LLM to properly understand its internal states of trustworthiness and honestness, leading to insufficient factuality alignment. We introduce FAITH (Factuality Alignment through Integrating Trustworthiness and Honestness), a post-training framework for factuality alignment that integrates natural-language uncertainty signals with external knowledge. Specifically, we augment training datasets by computing confidence scores and semantic entropy from LLM outputs and mapping them into a knowledge state quadrant that describes the model's internal knowledge possession (trustworthiness) and answering behaviors (honestness) in natural language. Based on this enhanced data, we design a reward function that considers both correctness and uncertainty signals, and fine-tune the LLM using the Proximal Policy Optimization (PPO) algorithm. To further mitigate weakly grounded responses, we design a retrieval-augmented module that retrieves relevant external passages, improving the consistency between internal and external knowledge representations. Extensive experiments on four knowledge-intensive benchmarks demonstrate that FAITH enhances the factual accuracy and truthfulness of LLMs.

cs.CL↗
arXiv2026

Feature-Label Modal Alignment for Robust Partial Multi-Label Learning

In partial multi-label learning (PML), each instance is associated with a set of candidate labels containing both ground-truth and noisy labels. The presence of noisy labels disrupts the correspondence between features and labels, degrading classification performance. To address this challenge, we propose a novel PML method based on feature-label modal alignment (PML-MA), which treats features and labels as two complementary modalities and restores their consistency through systematic alignment. Specifically, PML-MA first employs low-rank orthogonal decomposition to generate pseudo-labels that approximate the true label distribution by filtering noisy labels. It then aligns features and pseudo-labels through both global projection into a common subspace and local preservation of neighborhood structures. Finally, a multi-peak class prototype learning mechanism leverages the multi-label nature where instances simultaneously belong to multiple categories, using pseudo-labels as soft membership weights to enhance discriminability. By integrating modal alignment with prototype-guided refinement, PML-MA ensures pseudo-labels better reflect the true distribution while maintaining robustness against label noise. Extensive experiments on both real-world and synthetic datasets demonstrate that PML-MA significantly outperforms state-of-the-art methods, achieving superior classification accuracy and noise robustness.

cs.LG↗
arXiv2026

Bringing Clustering to MLL: Weakly-Supervised Clustering for Partial Multi-Label Learning

Label noise in multi-label learning (MLL) poses significant challenges for model training, particularly in partial multi-label learning (PML) where candidate labels contain both relevant and irrelevant labels. While clustering offers a natural approach to exploit data structure for noise identification, traditional clustering methods cannot be directly applied to multi-label scenarios due to a fundamental incompatibility: clustering produces membership values that sum to one per instance, whereas multi-label assignments require binary values that can sum to any number. We propose a novel weakly-supervised clustering approach for PML (WSC-PML) that bridges clustering and multi-label learning through membership matrix decomposition. Our key innovation decomposes the clustering membership matrix $\mathbf{A}$ into two components: $\mathbf{A} = \mathbfΠ \odot \mathbf{F}$, where $\mathbfΠ$ maintains clustering constraints while $\mathbf{F}$ preserves multi-label characteristics. This decomposition enables seamless integration of unsupervised clustering with multi-label supervision for effective label noise handling. WSC-PML employs a three-stage process: initial prototype learning from noisy labels, adaptive confidence-based weak supervision construction, and joint optimization via iterative clustering refinement. Extensive experiments on 24 datasets demonstrate that our approach outperforms six state-of-the-art methods across all evaluation metrics.

cs.LG↗
arXiv2026

When Numbers Speak: Aligning Textual Numerals and Visual Instances in Text-to-Video Diffusion Models

Text-to-video diffusion models have enabled open-ended video synthesis, but often struggle with generating the correct number of objects specified in a prompt. We introduce NUMINA , a training-free identify-then-guide framework for improved numerical alignment. NUMINA identifies prompt-layout inconsistencies by selecting discriminative self- and cross-attention heads to derive a countable latent layout. It then refines this layout conservatively and modulates cross-attention to guide regeneration. On the introduced CountBench, NUMINA improves counting accuracy by up to 7.4% on Wan2.1-1.3B, and by 4.9% and 5.5% on 5B and 14B models, respectively. Furthermore, CLIP alignment is improved while maintaining temporal consistency. These results demonstrate that structural guidance complements seed search and prompt enhancement, offering a practical path toward count-accurate text-to-video diffusion. The code is available at https://github.com/H-EmbodVis/NUMINA.

cs.CV↗
arXiv2026

A 44-minute periodic radio transient in a supernova remnant

Long-period radio transients (LPTs) are a newly discovered class of radio emitters with periods ranging from minutes to hours. The astrophysical nature remains undetermined, particularly of LPTs with no detectable companions. We report the first evidence for a plausible supernova remnant (SNR) association with an LPT (DART J1832-0911, 2656.23+-0.15 s period), which supports a neutron star origin of such objects. The dispersion measure of this LPT, SNR's CO emission and HI absorption, and low probability of chance of alignment with field pulsars are all consistent with such an association. The source displays either phase-locked circular or nearly 100\% linear polarization, indicating its strong and geometrically stable magnetic field. No detectable optical counterpart was found, even with a 10m-class telescope. The SNR association and the stable polarization suggest that DART J1832-0911 most likely originates from a young neutron star, whose spin could have been braked by supernova's fallback materials. This discovery provides critical insights into the nature of ultra-long period transients and their link to stellar remnants.

astro-ph.HE↗
arXiv2026

Behavioral Consistency Validation for LLM Agents: An Analysis of Trading-Style Switching through Stock-Market Simulation

Recent works have increasingly applied Large Language Models (LLMs) as agents in financial stock market simulations to test if micro-level behaviors aggregate into macro-level phenomena. However, a crucial question arises: Do LLM agents' behaviors align with real market participants? This alignment is key to the validity of simulation results. To explore this, we select a financial stock market scenario to test behavioral consistency. Investors are typically classified as fundamental or technical traders, but most simulations fix strategies at initialization, failing to reflect real-world trading dynamics. In this work, we assess whether agents' strategy switching aligns with financial theory, providing a framework for this evaluation. We operationalize four behavioral-finance drivers-loss aversion, herding, wealth differentiation, and price misalignment-as personality traits set via prompting and stored long-term. In year-long simulations, agents process daily price-volume data, trade under a designated style, and reassess their strategy every 10 trading days. We introduce four alignment metrics and use Mann-Whitney U tests to compare agents' style-switching behavior with financial theory. Our results show that recent LLMs' switching behavior is only partially consistent with behavioral-finance theories, highlighting the need for further refinement in aligning agent behavior with financial theory.

q-fin.TR↗
arXiv2026

Oxygen-vacancy quantum spin defects in silicon carbide

Optically addressable spin defects in wide-bandgap semiconductors are promising building blocks for quantum sensing and quantum networks. Establishing their atomic structure is essential for understanding functionality and enabling controlled engineering. In 4H-SiC, the PL5 and PL6 centers have long been recognized for their exceptional charge stability and room-temperature optically detected magnetic resonance (ODMR) performance, but their structural origin has remained elusive for over a decade. Here, we provide direct evidence for their oxygen-vacancy (${\rm O_C V_{Si}}$) origins through a combined chemical and isotopic control strategy. Under oxygen ion implantation, we observe over tenfold enhancement in the yield of PL5 and PL6 compared to nitrogen ion implantation. Furthermore, implantation with $^{17}{\rm O}$ ions produces PL5 and PL6 defects that exhibit a characteristic six-fold $^{17}{\rm O}$ hyperfine splitting in their ODMR spectra. These results affirm PL6 as the ${\rm O_C V_{Si}}$ defect in the $hh$ configuration. For PL5, the oxygen-related evidence, together with \textit{ab initio} calculations and additional measurements of the zero-field splitting and hyperfine structure, establishes it as the ${\rm O_C V_{Si}}$ defect in the $kh$ configuration. This unambiguous structural identification, achieved through materials-level chemical control, provides the microscopic foundation for deterministic engineering of these defects, paving the way for scalable photonic devices and high-sensitivity ensemble quantum sensors based on oxygen-vacancy centers.

cond-mat.mtrl-sci↗
arXiv2026

Multimodal OCR: Parse Anything from Documents

We present Multimodal OCR (MOCR), a document parsing paradigm that jointly parses text and graphics into unified textual representations. Unlike conventional OCR systems that focus on text recognition and leave graphical regions as cropped pixels, our method, termed dots.mocr, treats visual elements such as charts, diagrams, tables, and icons as first-class parsing targets, enabling systems to parse documents while preserving semantic relationships across elements. It offers several advantages: (1) it reconstructs both text and graphics as structured outputs, enabling more faithful document reconstruction; (2) it supports end-to-end training over heterogeneous document elements, allowing models to exploit semantic relations between textual and visual components; and (3) it converts previously discarded graphics into reusable code-level supervision, unlocking multimodal supervision embedded in existing documents. To make this paradigm practical at scale, we build a comprehensive data engine from PDFs, rendered webpages, and native SVG assets, and train a compact 3B-parameter model through staged pretraining and supervised fine-tuning. We evaluate dots.mocr from two perspectives: document parsing and structured graphics parsing. On document parsing benchmarks, it ranks second only to Gemini 3 Pro on our OCR Arena Elo leaderboard, surpasses existing open-source document parsing systems, and sets a new state of the art of 83.9 on olmOCR Bench. On structured graphics parsing, our model achieves higher reconstruction quality than Gemini 3 Pro across image-to-SVG benchmarks, demonstrating strong performance on charts, UI layouts, scientific figures, and chemical diagrams. These results show a scalable path toward building large-scale image-to-code corpora for multimodal pretraining. Code and models are publicly available at https://github.com/rednote-hilab/dots.mocr.

cs.CV↗