结合大语言模型和领域知识库的证券规则规约方法
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国家自然科学基金(62161146001, 62372176, 62272166); 上海市可信工业互联网软件协同创新中心项目; 上海市“数字丝路”可信智能软件国际联合实验室项目(22510750100)


Specification Method of Securities Rules Integrating Large Language Models and Domain Knowledge Base
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    摘要:

    业务规则在证券领域至关重要, 它们是证券交易系统的需求的来源. 鉴于业务规则的易变性, 如何提升从业务规则交易文档中规约出软件需求的效率, 成为一个核心的问题. 证券业务规则文档具有与软件不相关描述多、专业术语多、上下文相关表述多和抽象表示多等特性, 其自动化规约需要领域相关知识的支持. 如何将领域相关知识融入自动化过程中, 成为规约的关键问题. 提出了一种结合大语言模型和领域知识库的证券领域业务规则自动规约方法, 对大语言模型通过微调、上下文学习等嵌入领域知识执行规则分类和需求信息提取等自然语言处理任务. 此外, 还通过领域知识库提供专业领域知识, 进行需求的可操作化和关系识别, 最终形成数据流形式的需求规约. 评估结果显示, 该方法能够处理各种证券交易领域的业务规则文档, 在评估数据集上的平均功能点识别率为91.97%, 达到甚至超越了领域专家的水平, 与人类参与者相比, 效率平均提高了10倍.

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    Business rules are crucial for the securities domain and serve as the source of requirements for securities trading systems. Due to the variability of these business rules, how to improve the efficiency of specifying software requirements from business rule trading documents has become a core problem. The securities business rule documents feature numerous software-unrelated descriptions, abundant professional terms, and many context-related expressions and abstract representations, which necessitate the support of domain-specific knowledge for automatic specification. As a result, how to integrate the domain-related knowledge into the automatic process becomes a key problem for specification. This study proposes an automatic specification method for securities domain businesses integrating large language models and the domain knowledge base. It leverages the large language models, employing techniques such as fine-tuning and in-context learning to embed domain knowledge for natural language processing tasks such as rule classification and requirement information extraction. Additionally, this study also employs the domain knowledge base to provide professional knowledge and assist in the operationalization and relationship extraction of requirements. Finally, requirement specification in the form of data flow is formed. The evaluation results show that the proposed approach can process business rule documents in various securities trading fields, achieving an average function point identification rate of 91.97% on the evaluation dataset, which matches or even surpasses the level of experts in the domain, with the efficiency improved by an average of 10 times compared to human participants.

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李靓果,薛志一,陈小红,张民,陈良育,李萍萍,姜婷婷.结合大语言模型和领域知识库的证券规则规约方法.软件学报,2025,36(10):4671-4694

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  • 收稿日期:2024-01-31
  • 最后修改日期:2024-04-18
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  • 在线发布日期: 2025-06-27
  • 出版日期: 2025-10-06
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