Xiuze Zhou

Yujie Ding, Shuai Jia, Tianyi Ma et al.

The remarkable achievements and rapid advancements of Large Language Models (LLMs) such as ChatGPT and GPT-4 have showcased their immense potential in quantitative investment. Traders can effectively leverage these LLMs to analyze financial news and predict stock returns accurately. However, integrating LLMs into existing quantitative models presents two primary challenges: the insufficient utilization of semantic information embedded within LLMs and the difficulties in aligning the latent information within LLMs with pre-existing quantitative stock features. We propose a novel framework consisting of two components to surmount these challenges. The first component, the Local-Global (LG) model, introduces three distinct strategies for modeling global information. These approaches are grounded respectively on stock features, the capabilities of LLMs, and a hybrid method combining the two paradigms. The second component, Self-Correlated Reinforcement Learning (SCRL), focuses on aligning the embeddings of financial news generated by LLMs with stock features within the same semantic space. By implementing our framework, we have demonstrated superior performance in Rank Information Coefficient and returns, particularly compared to models relying only on stock features in the China A-share market.

Hong Chen, Pengcheng Wu, Yuanguo Lin et al.

We rethink Federated Learning (FL) from a nested learning perspective, framing the core challenge as how to collaboratively learn optimization rules, not just static models, to tackle Non-IID client data. To address this, we propose Federated Nested Learning (FedNL), a novel framework that reformulates FL as a three-level nested optimization system. FedNL embeds Titans-based linear attention into FL, enabling clients to perform lightweight, zero-shot test-time adaptation by treating a delta rule as an online gradient step. Experiments on Non-IID MMLU and long-context benchmarks show that FedNL achieves competitive performance in short-context reasoning, enhances the performance of long-context retrieval and streaming Cross-Entropy, and maintains constant inference memory.

Xiang Liu, Zhenheng Tang, Hong Chen et al.

This paper investigates an underexplored challenge in large language models (LLMs): the impact of KV cache compression methods on LLMs' fundamental capabilities. Although existing methods achieve impressive compression ratios on long-context benchmarks, their effects on core model capabilities remain understudied. We present a comprehensive benchmark KVFundaBench to systematically evaluate the effects of KV cache compression across diverse fundamental LLM capabilities, spanning world knowledge, commonsense reasoning, arithmetic reasoning, code generation, safety, and long-context understanding and generation.Our analysis reveals serval key findings: (1) \textit{Task-Dependent Degradation}; (2) \textit{Model-Type Robustness} (3) \textit{Prompt Length Vulnerability}; (4) \textit{Chunk-Level Superiority}; (5) \textit{Prompt-Gain Sensitivity}; (6) \textit{Long-Context Generation Sensitivity}. Based on our analysis of attention patterns and cross-task compression performance, we propose ShotKV, a novel compression approach that distinctly handles prefill and decoding phases while maintaining shot-level semantic coherence. Empirical results show that ShotKV achieves $9\%$-$18\%$ performance improvements on long-context generation tasks under aggressive compression ratios.

Junzhuo Li, Bo Wang, Xiuze Zhou et al.

The interpretability of Mixture-of-Experts (MoE) models, especially those with heterogeneous designs, remains underexplored. Existing attribution methods for dense models fail to capture dynamic routing-expert interactions in sparse MoE architectures. To address this issue, we propose a cross-level attribution algorithm to analyze sparse MoE architectures (Qwen 1.5-MoE, OLMoE, Mixtral-8x7B) against dense models (Qwen 1.5-7B, Llama-7B, Mistral-7B). Results show MoE models achieve 37% higher per-layer efficiency via a "mid-activation, late-amplification" pattern: early layers screen experts, while late layers refine knowledge collaboratively. Ablation studies reveal a "basic-refinement" framework--shared experts handle general tasks (entity recognition), while routed experts specialize in domain-specific processing (geographic attributes). Semantic-driven routing is evidenced by strong correlations between attention heads and experts (r=0.68), enabling task-aware coordination. Notably, architectural depth dictates robustness: deep Qwen 1.5-MoE mitigates expert failures (e.g., 43% MRR drop in geographic tasks when blocking top-10 experts) through shared expert redundancy, whereas shallow OLMoE suffers severe degradation (76% drop). Task sensitivity further guides design: core-sensitive tasks (geography) require concentrated expertise, while distributed-tolerant tasks (object attributes) leverage broader participation. These insights advance MoE interpretability, offering principles to balance efficiency, specialization, and robustness.

Junzhuo Li, Bo Wang, Xiuze Zhou et al.

Mixture-of-Experts (MoE) models offer immense capacity via sparsely gated expert subnetworks, yet adapting them to multiple domains without catastrophic forgetting remains an open challenge. Existing approaches either incur prohibitive computation, suffer cross-domain interference, or require separate runs per domain. We propose DES-MoE, a dynamic expert specialization framework for multi-domain adaptation of Mixture-of-Experts models. DES-MoE addresses catastrophic forgetting through three innovations: (1) an adaptive router balancing pre-trained knowledge retention and task-specific updates via distillation, (2) real-time expert-domain correlation mapping to isolate domain-specific gradients, and (3) a three-phase adaptive fine-tuning schedule that progressively freezes non-specialized parameters. Evaluated on six domains (math, code, law, etc.), DES-MoE matches single-domain ESFT performance while training one unified model, reduces forgetting by 89% compared to full fine-tuning as domains scale from 2 to 6, and achieves 68% faster convergence than conventional methods. Our work establishes dynamic expert isolation as a scalable paradigm for multi-task MoE adaptation.

Kang Chen, Xiuze Zhou, Yuanguo Lin et al.

Large Language Models (LLMs), now a foundation in advancing natural language processing, power applications such as text generation, machine translation, and conversational systems. Despite their transformative potential, these models inherently rely on massive amounts of training data, often collected from diverse and uncurated sources, which exposes them to serious data security risks. Harmful or malicious data can compromise model behavior, leading to issues such as toxic output, hallucinations, and vulnerabilities to threats such as prompt injection or data poisoning. As LLMs continue to be integrated into critical real-world systems, understanding and addressing these data-centric security risks is imperative to safeguard user trust and system reliability. This survey offers a comprehensive overview of the main data security risks facing LLMs and reviews current defense strategies, including adversarial training, RLHF, and data augmentation. Additionally, we categorize and analyze relevant datasets used for assessing robustness and security across different domains, providing guidance for future research. Finally, we highlight key research directions that focus on secure model updates, explainability-driven defenses, and effective governance frameworks, aiming to promote the safe and responsible development of LLM technology. This work aims to inform researchers, practitioners, and policymakers, driving progress toward data security in LLMs.