arXiv subjects

Zining Zhu

Publications and source records attributed to Zining Zhu.

At least 37 records · Page 2Linked to original sources

arXiv2025

Contrastive Similarity Learning for Market Forecasting: The ContraSim Framework

We introduce the Contrastive Similarity Space Embedding Algorithm (ContraSim), a novel framework for uncovering the global semantic relationships between daily financial headlines and market movements. ContraSim operates in two key stages: (I) Weighted Headline Augmentation, which generates augmented financial headlines along with a semantic fine-grained similarity score, and (II) Weighted Self-Supervised Contrastive Learning (WSSCL), an extended version of classical self-supervised contrastive learning that uses the similarity metric to create a refined weighted embedding space. This embedding space clusters semantically similar headlines together, facilitating deeper market insights. Empirical results demonstrate that integrating ContraSim features into financial forecasting tasks improves classification accuracy from WSJ headlines by 7%. Moreover, leveraging an information density analysis, we find that the similarity spaces constructed by ContraSim intrinsically cluster days with homogeneous market movement directions, indicating that ContraSim captures market dynamics independent of ground truth labels. Additionally, ContraSim enables the identification of historical news days that closely resemble the headlines of the current day, providing analysts with actionable insights to predict market trends by referencing analogous past events.

q-fin.ST↗

arXiv2025

Unhackable Temporal Rewarding for Scalable Video MLLMs

In the pursuit of superior video-processing MLLMs, we have encountered a perplexing paradox: the "anti-scaling law", where more data and larger models lead to worse performance. This study unmasks the culprit: "temporal hacking", a phenomenon where models shortcut by fixating on select frames, missing the full video narrative. In this work, we systematically establish a comprehensive theory of temporal hacking, defining it from a reinforcement learning perspective, introducing the Temporal Perplexity (TPL) score to assess this misalignment, and proposing the Unhackable Temporal Rewarding (UTR) framework to mitigate the temporal hacking. Both theoretically and empirically, TPL proves to be a reliable indicator of temporal modeling quality, correlating strongly with frame activation patterns. Extensive experiments reveal that UTR not only counters temporal hacking but significantly elevates video comprehension capabilities. This work not only advances video-AI systems but also illuminates the critical importance of aligning proxy rewards with true objectives in MLLM development.

cs.CV↗

arXiv2025

ACCORD: Closing the Commonsense Measurability Gap

We present ACCORD, a framework and benchmark suite for disentangling the commonsense grounding and reasoning abilities of large language models (LLMs) through controlled, multi-hop counterfactuals. ACCORD introduces formal elements to commonsense reasoning to explicitly control and quantify reasoning complexity beyond the typical 1 or 2 hops. Uniquely, ACCORD can automatically generate benchmarks of arbitrary reasoning complexity, and so it scales with future LLM improvements. Benchmarking state-of-the-art LLMs -- including GPT-4o (2024-05-13), Llama-3-70B-Instruct, and Mixtral-8x22B-Instruct-v0.1 -- shows performance degrading to random chance with only moderate scaling, leaving substantial headroom for improvement. We release a leaderboard of the benchmark suite tested in this work, as well as code for automatically generating more complex benchmarks.

cs.AI↗

arXiv2025

PerPO: Perceptual Preference Optimization via Discriminative Rewarding

This paper presents Perceptual Preference Optimization (PerPO), a perception alignment method aimed at addressing the visual discrimination challenges in generative pre-trained multimodal large language models (MLLMs). To align MLLMs with human visual perception process, PerPO employs discriminative rewarding to gather diverse negative samples, followed by listwise preference optimization to rank them.By utilizing the reward as a quantitative margin for ranking, our method effectively bridges generative preference optimization and discriminative empirical risk minimization. PerPO significantly enhances MLLMs' visual discrimination capabilities while maintaining their generative strengths, mitigates image-unconditional reward hacking, and ensures consistent performance across visual tasks. This work marks a crucial step towards more perceptually aligned and versatile MLLMs. We also hope that PerPO will encourage the community to rethink MLLM alignment strategies.

cs.AI↗

arXiv2024

INVESTORBENCH: A Benchmark for Financial Decision-Making Tasks with LLM-based Agent

Recent advancements have underscored the potential of large language model (LLM)-based agents in financial decision-making. Despite this progress, the field currently encounters two main challenges: (1) the lack of a comprehensive LLM agent framework adaptable to a variety of financial tasks, and (2) the absence of standardized benchmarks and consistent datasets for assessing agent performance. To tackle these issues, we introduce \textsc{InvestorBench}, the first benchmark specifically designed for evaluating LLM-based agents in diverse financial decision-making contexts. InvestorBench enhances the versatility of LLM-enabled agents by providing a comprehensive suite of tasks applicable to different financial products, including single equities like stocks, cryptocurrencies and exchange-traded funds (ETFs). Additionally, we assess the reasoning and decision-making capabilities of our agent framework using thirteen different LLMs as backbone models, across various market environments and tasks. Furthermore, we have curated a diverse collection of open-source, multi-modal datasets and developed a comprehensive suite of environments for financial decision-making. This establishes a highly accessible platform for evaluating financial agents' performance across various scenarios.

cs.CE↗

arXiv2024

Show, Don't Tell: Uncovering Implicit Character Portrayal using LLMs

Tools for analyzing character portrayal in fiction are valuable for writers and literary scholars in developing and interpreting compelling stories. Existing tools, such as visualization tools for analyzing fictional characters, primarily rely on explicit textual indicators of character attributes. However, portrayal is often implicit, revealed through actions and behaviors rather than explicit statements. We address this gap by leveraging large language models (LLMs) to uncover implicit character portrayals. We start by generating a dataset for this task with greater cross-topic similarity, lexical diversity, and narrative lengths than existing narrative text corpora such as TinyStories and WritingPrompts. We then introduce LIIPA (LLMs for Inferring Implicit Portrayal for Character Analysis), a framework for prompting LLMs to uncover character portrayals. LIIPA can be configured to use various types of intermediate computation (character attribute word lists, chain-of-thought) to infer how fictional characters are portrayed in the source text. We find that LIIPA outperforms existing approaches, and is more robust to increasing character counts (number of unique persons depicted) due to its ability to utilize full narrative context. Lastly, we investigate the sensitivity of portrayal estimates to character demographics, identifying a fairness-accuracy tradeoff among methods in our LIIPA framework -- a phenomenon familiar within the algorithmic fairness literature. Despite this tradeoff, all LIIPA variants consistently outperform non-LLM baselines in both fairness and accuracy. Our work demonstrates the potential benefits of using LLMs to analyze complex characters and to better understand how implicit portrayal biases may manifest in narrative texts.

cs.CL↗

arXiv2024

VIP: Versatile Image Outpainting Empowered by Multimodal Large Language Model

In this paper, we focus on resolving the problem of image outpainting, which aims to extrapolate the surrounding parts given the center contents of an image. Although recent works have achieved promising performance, the lack of versatility and customization hinders their practical applications in broader scenarios. Therefore, this work presents a novel image outpainting framework that is capable of customizing the results according to the requirement of users. First of all, we take advantage of a Multimodal Large Language Model (MLLM) that automatically extracts and organizes the corresponding textual descriptions of the masked and unmasked part of a given image. Accordingly, the obtained text prompts are introduced to endow our model with the capacity to customize the outpainting results. In addition, a special Cross-Attention module, namely Center-Total-Surrounding (CTS), is elaborately designed to enhance further the the interaction between specific space regions of the image and corresponding parts of the text prompts. Note that unlike most existing methods, our approach is very resource-efficient since it is just slightly fine-tuned on the off-the-shelf stable diffusion (SD) model rather than being trained from scratch. Finally, the experimental results on three commonly used datasets, i.e. Scenery, Building, and WikiArt, demonstrate our model significantly surpasses the SoTA methods. Moreover, versatile outpainting results are listed to show its customized ability.

cs.CV↗

arXiv2024

LLM-Generated Black-box Explanations Can Be Adversarially Helpful

Large Language Models (LLMs) are becoming vital tools that help us solve and understand complex problems by acting as digital assistants. LLMs can generate convincing explanations, even when only given the inputs and outputs of these problems, i.e., in a ``black-box'' approach. However, our research uncovers a hidden risk tied to this approach, which we call *adversarial helpfulness*. This happens when an LLM's explanations make a wrong answer look right, potentially leading people to trust incorrect solutions. In this paper, we show that this issue affects not just humans, but also LLM evaluators. Digging deeper, we identify and examine key persuasive strategies employed by LLMs. Our findings reveal that these models employ strategies such as reframing the questions, expressing an elevated level of confidence, and cherry-picking evidence to paint misleading answers in a credible light. To examine if LLMs are able to navigate complex-structured knowledge when generating adversarially helpful explanations, we create a special task based on navigating through graphs. Most LLMs are not able to find alternative paths along simple graphs, indicating that their misleading explanations aren't produced by only logical deductions using complex knowledge. These findings shed light on the limitations of the black-box explanation setting and allow us to provide advice on the safe usage of LLMs.

cs.CL↗

arXiv2024

Scenarios and Approaches for Situated Natural Language Explanations

Large language models (LLMs) can be used to generate natural language explanations (NLE) that are adapted to different users' situations. However, there is yet to be a quantitative evaluation of the extent of such adaptation. To bridge this gap, we collect a benchmarking dataset, Situation-Based Explanation. This dataset contains 100 explanandums. Each explanandum is paired with explanations targeted at three distinct audience types-such as educators, students, and professionals-enabling us to assess how well the explanations meet the specific informational needs and contexts of these diverse groups e.g. students, teachers, and parents. For each "explanandum paired with an audience" situation, we include a human-written explanation. These allow us to compute scores that quantify how the LLMs adapt the explanations to the situations. On an array of pretrained language models with varying sizes, we examine three categories of prompting methods: rule-based prompting, meta-prompting, and in-context learning prompting. We find that 1) language models can generate prompts that result in explanations more precisely aligned with the target situations, 2) explicitly modeling an "assistant" persona by prompting "You are a helpful assistant..." is not a necessary prompt technique for situated NLE tasks, and 3) the in-context learning prompts only can help LLMs learn the demonstration template but can't improve their inference performance. SBE and our analysis facilitate future research towards generating situated natural language explanations.

cs.CL↗

arXiv2024

Focus Anywhere for Fine-grained Multi-page Document Understanding

Modern LVLMs still struggle to achieve fine-grained document understanding, such as OCR/translation/caption for regions of interest to the user, tasks that require the context of the entire page, or even multiple pages. Accordingly, this paper proposes Fox, an effective pipeline, hybrid data, and tuning strategy, that catalyzes LVLMs to focus anywhere on single/multi-page documents. We introduce a novel task to boost the document understanding by making LVLMs focus attention on the document-level region, such as redefining full-page OCR as foreground focus. We employ multiple vision vocabularies to extract visual hybrid knowledge for interleaved document pages (e.g., a page containing a photo). Meanwhile, we render cross-vocabulary vision data as the catalyzer to achieve a full reaction of multiple visual vocabularies and in-document figure understanding. Further, without modifying the weights of multiple vision vocabularies, the above catalyzed fine-grained understanding capabilities can be efficiently tuned to multi-page documents, enabling the model to focus anywhere in both format-free and page-free manners. Besides, we build a benchmark including 9 fine-grained sub-tasks (e.g., region-level OCR/summary, color-guided OCR) to promote document analysis in the community. The experimental results verify the superiority of our model.

cs.CV↗

arXiv2024

What does the Knowledge Neuron Thesis Have to do with Knowledge?

We reassess the Knowledge Neuron (KN) Thesis: an interpretation of the mechanism underlying the ability of large language models to recall facts from a training corpus. This nascent thesis proposes that facts are recalled from the training corpus through the MLP weights in a manner resembling key-value memory, implying in effect that "knowledge" is stored in the network. Furthermore, by modifying the MLP modules, one can control the language model's generation of factual information. The plausibility of the KN thesis has been demonstrated by the success of KN-inspired model editing methods (Dai et al., 2022; Meng et al., 2022). We find that this thesis is, at best, an oversimplification. Not only have we found that we can edit the expression of certain linguistic phenomena using the same model editing methods but, through a more comprehensive evaluation, we have found that the KN thesis does not adequately explain the process of factual expression. While it is possible to argue that the MLP weights store complex patterns that are interpretable both syntactically and semantically, these patterns do not constitute "knowledge." To gain a more comprehensive understanding of the knowledge representation process, we must look beyond the MLP weights and explore recent models' complex layer structures and attention mechanisms.

cs.CL↗

arXiv2024

Plug and Play with Prompts: A Prompt Tuning Approach for Controlling Text Generation

Transformer-based Large Language Models (LLMs) have shown exceptional language generation capabilities in response to text-based prompts. However, controlling the direction of generation via textual prompts has been challenging, especially with smaller models. In this work, we explore the use of Prompt Tuning to achieve controlled language generation. Generated text is steered using prompt embeddings, which are trained using a small language model, used as a discriminator. Moreover, we demonstrate that these prompt embeddings can be trained with a very small dataset, with as low as a few hundred training examples. Our method thus offers a data and parameter efficient solution towards controlling language model outputs. We carry out extensive evaluation on four datasets: SST-5 and Yelp (sentiment analysis), GYAFC (formality) and JIGSAW (toxic language). Finally, we demonstrate the efficacy of our method towards mitigating harmful, toxic, and biased text generated by language models.

cs.CL↗

arXiv2024

Situated Natural Language Explanations

Natural language is among the most accessible tools for explaining decisions to humans, and large pretrained language models (PLMs) have demonstrated impressive abilities to generate coherent natural language explanations (NLE). The existing NLE research perspectives do not take the audience into account. An NLE can have high textual quality, but it might not accommodate audiences' needs and preference. To address this limitation, we propose an alternative perspective, \textit{situated} NLE. On the evaluation side, we set up automated evaluation scores. These scores describe the properties of NLEs in lexical, semantic, and pragmatic categories. On the generation side, we identify three prompt engineering techniques and assess their applicability on the situations. Situated NLE provides a perspective and facilitates further research on the generation and evaluation of explanations.

cs.CL↗

arXiv2023

A State-Vector Framework for Dataset Effects

The impressive success of recent deep neural network (DNN)-based systems is significantly influenced by the high-quality datasets used in training. However, the effects of the datasets, especially how they interact with each other, remain underexplored. We propose a state-vector framework to enable rigorous studies in this direction. This framework uses idealized probing test results as the bases of a vector space. This framework allows us to quantify the effects of both standalone and interacting datasets. We show that the significant effects of some commonly-used language understanding datasets are characteristic and are concentrated on a few linguistic dimensions. Additionally, we observe some ``spill-over'' effects: the datasets could impact the models along dimensions that may seem unrelated to the intended tasks. Our state-vector framework paves the way for a systematic understanding of the dataset effects, a crucial component in responsible and robust model development.

cs.CL↗

arXiv2023

Measuring Information in Text Explanations

Text-based explanation is a particularly promising approach in explainable AI, but the evaluation of text explanations is method-dependent. We argue that placing the explanations on an information-theoretic framework could unify the evaluations of two popular text explanation methods: rationale and natural language explanations (NLE). This framework considers the post-hoc text pipeline as a series of communication channels, which we refer to as ``explanation channels''. We quantify the information flow through these channels, thereby facilitating the assessment of explanation characteristics. We set up tools for quantifying two information scores: relevance and informativeness. We illustrate what our proposed information scores measure by comparing them against some traditional evaluation metrics. Our information-theoretic scores reveal some unique observations about the underlying mechanisms of two representative text explanations. For example, the NLEs trade-off slightly between transmitting the input-related information and the target-related information, whereas the rationales do not exhibit such a trade-off mechanism. Our work contributes to the ongoing efforts in establishing rigorous and standardized evaluation criteria in the rapidly evolving field of explainable AI.

cs.CL↗

arXiv2023

CCGen: Explainable Complementary Concept Generation in E-Commerce

We propose and study Complementary Concept Generation (CCGen): given a concept of interest, e.g., "Digital Cameras", generating a list of complementary concepts, e.g., 1) Camera Lenses 2) Batteries 3) Camera Cases 4) Memory Cards 5) Battery Chargers. CCGen is beneficial for various applications like query suggestion and item recommendation, especially in the e-commerce domain. To solve CCGen, we propose to train language models to generate ranked lists of concepts with a two-step training strategy. We also teach the models to generate explanations by incorporating explanations distilled from large teacher models. Extensive experiments and analysis demonstrate that our model can generate high-quality concepts complementary to the input concept while producing explanations to justify the predictions.

cs.CL↗

arXiv2022

Predicting Fine-Tuning Performance with Probing

Large NLP models have recently shown impressive performance in language understanding tasks, typically evaluated by their fine-tuned performance. Alternatively, probing has received increasing attention as being a lightweight method for interpreting the intrinsic mechanisms of large NLP models. In probing, post-hoc classifiers are trained on "out-of-domain" datasets that diagnose specific abilities. While probing the language models has led to insightful findings, they appear disjointed from the development of models. This paper explores the utility of probing deep NLP models to extract a proxy signal widely used in model development -- the fine-tuning performance. We find that it is possible to use the accuracies of only three probing tests to predict the fine-tuning performance with errors $40\%$ - $80\%$ smaller than baselines. We further discuss possible avenues where probing can empower the development of deep NLP models.

cs.CL↗

arXiv2022

OOD-Probe: A Neural Interpretation of Out-of-Domain Generalization

The ability to generalize out-of-domain (OOD) is an important goal for deep neural network development, and researchers have proposed many high-performing OOD generalization methods from various foundations. While many OOD algorithms perform well in various scenarios, these systems are evaluated as ``black-boxes''. Instead, we propose a flexible framework that evaluates OOD systems with finer granularity using a probing module that predicts the originating domain from intermediate representations. We find that representations always encode some information about the domain. While the layerwise encoding patterns remain largely stable across different OOD algorithms, they vary across the datasets. For example, the information about rotation (on RotatedMNIST) is the most visible on the lower layers, while the information about style (on VLCS and PACS) is the most visible on the middle layers. In addition, the high probing results correlate to the domain generalization performances, leading to further directions in developing OOD generalization systems.

cs.LG↗