RAG for Filings Setup Checklist
Retrieval-augmented generation lets a model answer from the actual filing instead of training memory, but only if the retrieval and grounding are built correctly. This checklist covers setting up RAG over SEC filings and similar documents.
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Checklist Sections
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Section 1
Phase 1: Ingestion and chunking
Section 2
Phase 2: Retrieval quality
Section 3
Phase 3: Grounding and verification
Section 4
Phase 4: Security and cost
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Sources & References
- Retrieval-Augmented Generation for Knowledge-Intensive NLP Tasks — Lewis et al., NeurIPS (2020)
- OWASP Top 10 for Large Language Model Applications — OWASP Foundation (2023)
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