Dynamic Objective Selection with Safeguards and LLM Oversight for Financial Decision-Making

Financial decision-making tasks such as stock recommendation and portfolio allocation typically estimate future return and risk and then select trades or allocations for an investor, and the chosen optimization objective often determines realized performance. However, because market conditions evolve over time, a fixed objective can be suboptimal across regimes, while regime-switching pipelines that rely on latent regime estimates can be noisy or delayed and frequent switching can increase turnover and operational instability. In this paper, we propose DOSS (Dynamic Objective Selection with Safeguards), a learning-based selector that directly chooses the decision-relevant objective function at each time point from interpretable statistical summaries of recent returns, selecting among a small set of candidates (e.g., return-seeking, loss-averse, and risk-adjusted) without introducing intermediate regime variables. DOSS formulates objective selection as a classification problem over objectives and performs sequential updates with a rolling window to make forward-looking selections without temporal leakage, while also outputting a confidence score for each proposal. To mitigate misselection and excessive switching in deployment, DOSS applies confidence-aware gating with a fail-safe that overrides low-confidence proposals to a conservative default and enforces explicit controls tied to switching frequency. We further integrate governance by positioning a Large Language Model (LLM) as an oversight component rather than a generator of new objectives: the LLM is restricted to accept a proposed objective or override it to a predefined safe default, with deterministic rule-based constraints triggering overrides when needed.

LLM is Knowledge Graph Reasoner: LLM's Intuition-aware Knowledge Graph Reasoning for Cold-start Sequential Recommendation

Knowledge Graphs (KGs) represent relationships between entities in a graph structure and have been widely studied as promising tools for realizing recommendations that consider the accurate content information of items. However, traditional KG-based recommendation methods face fundamental challenges: insufficient consideration of temporal information and poor performance in cold-start scenarios. On the other hand, Large Language Models (LLMs) can be considered databases with a wealth of knowledge learned from the web data, and they have recently gained attention due to their potential application as recommendation systems. Although approaches that treat LLMs as recommendation systems can leverage LLMs' high recommendation literacy, their input token limitations make it impractical to consider the entire recommendation domain dataset and result in scalability issues. To address these challenges, we propose a LLM's Intuition-aware Knowledge graph Reasoning model (LIKR). Our main idea is to treat LLMs as reasoners that output intuitive exploration strategies for KGs. To integrate the knowledge of LLMs and KGs, we trained a recommendation agent through reinforcement learning using a reward function that integrates different recommendation strategies, including LLM's intuition and KG embeddings. By incorporating temporal awareness through prompt engineering and generating textual representations of user preferences from limited interactions, LIKR can improve recommendation performance in cold-start scenarios. Furthermore, LIKR can avoid scalability issues by using KGs to represent recommendation domain datasets and limiting the LLM's output to KG exploration strategies. Experiments on real-world datasets demonstrate that our model outperforms state-of-the-art recommendation methods in cold-start sequential recommendation scenarios.

MMT-BERT: Chord-aware Symbolic Music Generation Based on Multitrack Music Transformer and MusicBERT

We propose a novel symbolic music representation and Generative Adversarial Network (GAN) framework specially designed for symbolic multitrack music generation. The main theme of symbolic music generation primarily encompasses the preprocessing of music data and the implementation of a deep learning framework. Current techniques dedicated to symbolic music generation generally encounter two significant challenges: training data's lack of information about chords and scales and the requirement of specially designed model architecture adapted to the unique format of symbolic music representation. In this paper, we solve the above problems by introducing new symbolic music representation with MusicLang chord analysis model. We propose our MMT-BERT architecture adapting to the representation. To build a robust multitrack music generator, we fine-tune a pre-trained MusicBERT model to serve as the discriminator, and incorporate relativistic standard loss. This approach, supported by the in-depth understanding of symbolic music encoded within MusicBERT, fortifies the consonance and humanity of music generated by our method. Experimental results demonstrate the effectiveness of our approach which strictly follows the state-of-the-art methods.