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Published work

35 published item(s)

preprint2026arXiv

Enhancing Image Quality Assessment Ability of LMMs via Retrieval-Augmented Generation

Large Multimodal Models (LMMs) have recently shown remarkable promise in low-level visual perception tasks, particularly in Image Quality Assessment (IQA), demonstrating strong zero-shot capability. However, achieving state-of-the-art performance often requires computationally expensive fine-tuning methods, which aim to align the distribution of quality-related token in output with image quality levels. Inspired by recent training-free works for LMM, we introduce IQARAG, a novel, training-free framework that enhances LMMs' IQA ability. IQARAG leverages Retrieval-Augmented Generation (RAG) to retrieve some semantically similar but quality-variant reference images with corresponding Mean Opinion Scores (MOSs) for input image. These retrieved images and input image are integrated into a specific prompt. Retrieved images provide the LMM with a visual perception anchor for IQA task. IQARAG contains three key phases: Retrieval Feature Extraction, Image Retrieval, and Integration & Quality Score Generation. Extensive experiments across multiple diverse IQA datasets, including KADID, KonIQ, LIVE Challenge, and SPAQ, demonstrate that the proposed IQARAG effectively boosts the IQA performance of LMMs, offering a resource-efficient alternative to fine-tuning for quality assessment.

preprint2026arXiv

Forge-and-Quench: Enhancing Image Generation for Higher Fidelity in Unified Multimodal Models

Integrating image generation and understanding into a single framework has become a pivotal goal in the multimodal domain. However, how understanding can effectively assist generation has not been fully explored. Unlike previous works that focus on leveraging reasoning abilities and world knowledge from understanding models, this paper introduces a novel perspective: leveraging understanding to enhance the fidelity and detail richness of generated images. To this end, we propose Forge-and-Quench, a new unified framework that puts this principle into practice. In the generation process of our framework, an MLLM first reasons over the entire conversational context, including text instructions, to produce an enhanced text instruction. This refined instruction is then mapped to a virtual visual representation, termed the Bridge Feature, via a novel Bridge Adapter. This feature acts as a crucial link, forging insights from the understanding model to quench and refine the generation process. It is subsequently injected into the T2I backbone as a visual guidance signal, alongside the enhanced text instruction that replaces the original input. To validate this paradigm, we conduct comprehensive studies on the design of the Bridge Feature and Bridge Adapter. Our framework demonstrates exceptional extensibility and flexibility, enabling efficient migration across different MLLM and T2I models with significant savings in training overhead, all without compromising the MLLM's inherent multimodal understanding capabilities. Experiments show that Forge-and-Quench significantly improves image fidelity and detail across multiple models, while also maintaining instruction-following accuracy and enhancing world knowledge application. Models and codes are available at https://github.com/YanbingZeng/Forge-and-Quench.

preprint2026arXiv

Generalized Poincaré inequality for quantum Markov semigroups

We prove a noncommutative $(p,p)$-Poincaré inequality for trace-symmetric quantum Markov semigroups on tracial von Neumann algebras, assuming only the existence of a spectral gap. Extending semi-commutative results of Huang and Tropp, our argument uses Markov dilations to obtain chain-rule estimates for Dirichlet forms and employs amalgamated free products to define an appropriate noncommutative derivation. We further generalize the argument to non-tracial $σ$-finite von Neumann algebras under the weaker assumption of GNS-detailed balance, using Haagerup's reduction and Kosaki's interpolation theorem. As applications, we recover noncommutative Khintchine and sub-exponential concentration inequalities.

preprint2026arXiv

RTPrune: Reading-Twice Inspired Token Pruning for Efficient DeepSeek-OCR Inference

DeepSeek-OCR leverages visual-text compression to reduce long-text processing costs and accelerate inference, yet visual tokens remain prone to redundant textual and structural information. Moreover, current token pruning methods for conventional vision-language models (VLMs) fail to preserve textual fidelity due to improper compression mechanisms. By analyzing the decoding process of DeepSeek-OCR, we find that a distinct two-stage reading trajectory: the model initially prioritizes the majority of high-norm tokens, then subsequently redistributes its attention to the remaining ones. Motivated by this insight, we propose RTPrune, a two-stage token pruning method tailored for DeepSeek-OCR. In the first stage, we prioritize high-norm visual tokens that capture salient textual and structural information. In the second stage, the remaining tokens are paired and merged based on optimal transport theory to achieve efficient feature aggregation. We further introduce a dynamic pruning ratio that adapts to token similarity and textual density for OCR tasks, enabling a better efficiency-accuracy trade-off. Extensive experiments demonstrate state-of-the-art performance, as evidenced by 99.47% accuracy and 1.23$\times$ faster prefill on OmniDocBench, achieved with 84.25% token retention when applied to DeepSeek-OCR-Large.

preprint2026arXiv

STEP3-VL-10B Technical Report

We present STEP3-VL-10B, a lightweight open-source foundation model designed to redefine the trade-off between compact efficiency and frontier-level multimodal intelligence. STEP3-VL-10B is realized through two strategic shifts: first, a unified, fully unfrozen pre-training strategy on 1.2T multimodal tokens that integrates a language-aligned Perception Encoder with a Qwen3-8B decoder to establish intrinsic vision-language synergy; and second, a scaled post-training pipeline featuring over 1k iterations of reinforcement learning. Crucially, we implement Parallel Coordinated Reasoning (PaCoRe) to scale test-time compute, allocating resources to scalable perceptual reasoning that explores and synthesizes diverse visual hypotheses. Consequently, despite its compact 10B footprint, STEP3-VL-10B rivals or surpasses models 10$\times$-20$\times$ larger (e.g., GLM-4.6V-106B, Qwen3-VL-235B) and top-tier proprietary flagships like Gemini 2.5 Pro and Seed-1.5-VL. Delivering best-in-class performance, it records 92.2% on MMBench and 80.11% on MMMU, while excelling in complex reasoning with 94.43% on AIME2025 and 75.95% on MathVision. We release the full model suite to provide the community with a powerful, efficient, and reproducible baseline.

preprint2025arXiv

Achieving High Efficiency And Enhanced Beam Quality In Laser Wakefield Acceleration

Laser wakefield acceleration, characterized by the extremely high electric field gradient exceeding 100GV/m, is regarded as a compact and cost affordable technology for the next generation of particle colliders and light sources. However, it has always been a major challenge to effectively increase the energy transfer efficiency from the laser to the accelerated beam, while ensuring the beam quality remains suitable for practical applications. This study demonstrates that the laser with shorter pulse duration allows for a two-step dechirping process of the accelerated electron beam with charge of nanocoulomb level. The electron beams with an energy spread of 1% can be generated with the energy transfer efficiency of 10% to 30% in a large parameter space. For example, one electron beam with the energy of 420MeV, the charge of 5.5nC and the RMS energy spread of 2% can be produced using an 8.3J laser pulse with 7.2fs duration.

preprint2024arXiv

AttentionLut: Attention Fusion-based Canonical Polyadic LUT for Real-time Image Enhancement

Recently, many algorithms have employed image-adaptive lookup tables (LUTs) to achieve real-time image enhancement. Nonetheless, a prevailing trend among existing methods has been the employment of linear combinations of basic LUTs to formulate image-adaptive LUTs, which limits the generalization ability of these methods. To address this limitation, we propose a novel framework named AttentionLut for real-time image enhancement, which utilizes the attention mechanism to generate image-adaptive LUTs. Our proposed framework consists of three lightweight modules. We begin by employing the global image context feature module to extract image-adaptive features. Subsequently, the attention fusion module integrates the image feature with the priori attention feature obtained during training to generate image-adaptive canonical polyadic tensors. Finally, the canonical polyadic reconstruction module is deployed to reconstruct image-adaptive residual 3DLUT, which is subsequently utilized for enhancing input images. Experiments on the benchmark MIT-Adobe FiveK dataset demonstrate that the proposed method achieves better enhancement performance quantitatively and qualitatively than the state-of-the-art methods.

preprint2022arXiv

A Knowledge-Based Decision Support System for In Vitro Fertilization Treatment

In Vitro Fertilization (IVF) is the most widely used Assisted Reproductive Technology (ART). IVF usually involves controlled ovarian stimulation, oocyte retrieval, fertilization in the laboratory with subsequent embryo transfer. The first two steps correspond with follicular phase of females and ovulation in their menstrual cycle. Therefore, we refer to it as the treatment cycle in our paper. The treatment cycle is crucial because the stimulation medications in IVF treatment are applied directly on patients. In order to optimize the stimulation effects and lower the side effects of the stimulation medications, prompt treatment adjustments are in need. In addition, the quality and quantity of the retrieved oocytes have a significant effect on the outcome of the following procedures. To improve the IVF success rate, we propose a knowledge-based decision support system that can provide medical advice on the treatment protocol and medication adjustment for each patient visit during IVF treatment cycle. Our system is efficient in data processing and light-weighted which can be easily embedded into electronic medical record systems. Moreover, an oocyte retrieval oriented evaluation demonstrates that our system performs well in terms of accuracy of advice for the protocols and medications.

preprint2022arXiv

An Accelerated Proximal Gradient-based Model Predictive Control Algorithm

In this letter, an accelerated quadratic programming (QP) algorithm is proposed based on the proximal gradient method. The algorithm can achieve convergence rate $O(1/p^α)$, where $p$ is the iteration number and $α$ is the given positive integer. The proposed algorithm improves the convergence rate of existing algorithms that achieve $O(1/p^{2})$. The key idea is that iterative parameters are selected from a group of specific high order polynomial equations. The performance of the proposed algorithm is assessed on the randomly generated model predictive control (MPC) optimization problems. The experimental results show that our algorithm can outperform the state-of-the-art optimization software MOSEK and ECOS for the small size MPC problems.

preprint2022arXiv

Crossover polarons in a strongly interacting Fermi superfluid

We investigate the zero-temperature quasiparticle properties of a mobile impurity immersed in a strongly interacting Fermi superfluid at the crossover from a Bose-Einstein condensate (BEC) to a Bardeen--Cooper--Schrieffer (BCS) superfluid, by using a many-body $T$-matrix approach that excludes Efimov trimer bound states. Termed BEC-BCS crossover polaron, or crossover polaron in short, this quasiparticle couples to elementary excitations of a many-body background and therefore could provide a useful probe of the underlying strongly interacting Fermi superfluid. Due to the existence of a significant pairing gap $Δ$, we find that the repulsive polaron branch becomes less well-defined. In contrast, the attractive polaron branch is protected by the pairing gap and becomes more robust at finite momentum. It remains as a delta-function peak in the impurity spectral function below a threshold $2Δ$. Above the threshold, the attractive polaron enters the particle-hole continuum and starts to get damped. We predict the polaron energy, residue and effective mass for realistic Bose-Fermi mixtures, where the minority bosonic atoms play the role of impurity. These results are practically useful for future cold-atom experiments on crossover polarons.

preprint2022arXiv

Dual-CLVSA: a Novel Deep Learning Approach to Predict Financial Markets with Sentiment Measurements

It is a challenging task to predict financial markets. The complexity of this task is mainly due to the interaction between financial markets and market participants, who are not able to keep rational all the time, and often affected by emotions such as fear and ecstasy. Based on the state-of-the-art approach particularly for financial market predictions, a hybrid convolutional LSTM Based variational sequence-to-sequence model with attention (CLVSA), we propose a novel deep learning approach, named dual-CLVSA, to predict financial market movement with both trading data and the corresponding social sentiment measurements, each through a separate sequence-to-sequence channel. We evaluate the performance of our approach with backtesting on historical trading data of SPDR SP 500 Trust ETF over eight years. The experiment results show that dual-CLVSA can effectively fuse the two types of data, and verify that sentiment measurements are not only informative for financial market predictions, but they also contain extra profitable features to boost the performance of our predicting system.

preprint2022arXiv

Entanglement dynamics of an open moving-biparticle system driven by classical-field

In this work, the entanglement dynamics of a moving-biparticle system driven by an external classical field are investigated, where the moving-biparticle system is coupled with a zero temperature common environment. The analytical expressions of the density operator and the entanglement can be obtained by using the dressed-state basis when the total excitation number is one. We also discuss in detail the effects of different parameters on the entanglement dynamics. The results show that the classical driving can not only protect the entanglement, but also effectively eliminate the influence of the qubit velocity and the detuning on the quantum entanglement.

preprint2022arXiv

Exact quasiparticle properties of a heavy polaron in BCS Fermi superfluids

We present the Ramsey response and radio-frequency spectroscopy of a heavy impurity immersed in an interacting Fermi superfluid, using exact functional determinant approach. We describe the Fermi superfluid through the conventional Bardeen-Cooper-Schrieffer theory and investigate the role of the pairing gap on quasiparticle properties revealed by the two spectroscopies. The energy cost for pair breaking prevents Anderson\textquoteright s orthogonality catastrophe that occurs in a non-interacting Fermi gas and allows the existence of polaron quasiparticles in the exactly solvable heavy impurity limit. Hence, we rigorously confirm the remarkable features such as dark continuum, molecule-hole continuum and repulsive polaron. For a magnetic impurity scattering at finite temperature, we predict additional resonances related to the sub-gap Yu-Shiba-Rusinov bound state, whose positions can be used to measure the superfluid pairing gap. For a non-magnetic scattering at zero temperature, we surprisingly find undamped repulsive polarons. These exact results might be readily observed in quantum gas experiments with Bose-Fermi mixtures that have a large-mass ratio.

preprint2022arXiv

Fundamental Limits of Communication Efficiency for Model Aggregation in Distributed Learning: A Rate-Distortion Approach

One of the main focuses in distributed learning is communication efficiency, since model aggregation at each round of training can consist of millions to billions of parameters. Several model compression methods, such as gradient quantization and sparsification, have been proposed to improve the communication efficiency of model aggregation. However, the information-theoretic minimum communication cost for a given distortion of gradient estimators is still unknown. In this paper, we study the fundamental limit of communication cost of model aggregation in distributed learning from a rate-distortion perspective. By formulating the model aggregation as a vector Gaussian CEO problem, we derive the rate region bound and sum-rate-distortion function for the model aggregation problem, which reveals the minimum communication rate at a particular gradient distortion upper bound. We also analyze the communication cost at each iteration and total communication cost based on the sum-rate-distortion function with the gradient statistics of real-world datasets. It is found that the communication gain by exploiting the correlation between worker nodes is significant for SignSGD, and a high distortion of gradient estimator can achieve low total communication cost in gradient compression.

preprint2022arXiv

GREASE: Generate Factual and Counterfactual Explanations for GNN-based Recommendations

Recently, graph neural networks (GNNs) have been widely used to develop successful recommender systems. Although powerful, it is very difficult for a GNN-based recommender system to attach tangible explanations of why a specific item ends up in the list of suggestions for a given user. Indeed, explaining GNN-based recommendations is unique, and existing GNN explanation methods are inappropriate for two reasons. First, traditional GNN explanation methods are designed for node, edge, or graph classification tasks rather than ranking, as in recommender systems. Second, standard machine learning explanations are usually intended to support skilled decision-makers. Instead, recommendations are designed for any end-user, and thus their explanations should be provided in user-understandable ways. In this work, we propose GREASE, a novel method for explaining the suggestions provided by any black-box GNN-based recommender system. Specifically, GREASE first trains a surrogate model on a target user-item pair and its $l$-hop neighborhood. Then, it generates both factual and counterfactual explanations by finding optimal adjacency matrix perturbations to capture the sufficient and necessary conditions for an item to be recommended, respectively. Experimental results conducted on real-world datasets demonstrate that GREASE can generate concise and effective explanations for popular GNN-based recommender models.

preprint2022arXiv

Heavy polarons in ultracold atomic Fermi superfluids at the BEC-BCS crossover: formalism and applications

We investigate the system of a heavy impurity embedded in a paired two-component Fermi gas at the crossover from a Bose-Einstein condensate (BEC) to a Bardeen--Cooper--Schrieffer (BCS) superfluid via an extension of the functional determinant approach (FDA). FDA is an exact numerical approach applied to study manifestations of Anderson\textquoteright s orthogonality catastrophe (OC) in the system of a static impurity immersed in an ideal Fermi gas. Here, we extend the FDA to a strongly correlated superfluid background described by a BCS mean-field wavefunction. In contrast to the ideal Fermi gas case, the pairing gap in the BCS superfluid prevents the OC and leads to genuine polaron signals in the spectrum. Thus, our exactly solvable model can provide a deeper understanding of polaron physics. In addition, we find that the polaron spectrum can be used to measure the superfluid pairing gap, and in the case of a magnetic impurity, the energy of the sub-gap Yu-Shiba-Rusinov (YSR) bound state. Our theoretical predictions can be examined with state-of-art cold-atom experiments.

preprint2022arXiv

Injection induced by coaxial laser interference in laser wakefield accelerators

A new injection scheme using the interference of two coaxial laser pulses is proposed for generating high quality beams in laser wakefield accelerators. In this scheme, a relatively loosely focused laser pulse drives the plasma wakefield, and a tightly focused laser pulse with similar intensity triggers interference ring pattern which creates onion-like multi sheaths in the plasma wakefield. Due to the wavefront curvature change after the focal position of the tightly focused laser, the innermost sheath of the wakefield expands, which slows down the effective phase velocity of the wakefield and triggers injection of plasma electrons. Particle-in-cell simulations show that high quality electron beams with low energy spread (a few per mill), high charge (hundred picocoulomb) and small emittance (sub millimeter milliradian) at the same time can be generated using moderate laser parameters for properly chosen phase differences between the two lasers.

preprint2022arXiv

Multidimensional Spectroscopy of Time-Dependent Impurities in Ultracold Fermions

We investigate the system of a heavy impurity immersed in a degenerated Fermi gas, where the impurity's internal degree of freedom (pseudospin) is manipulated by a series of radiofrequency (RF) pulses at several different times. Applying the functional determinant approach, we carry out an essentially exact calculation of the Ramsey-interference-type responses to the RF pulses. These responses are universal functions of the multiple time intervals between the pulses for all time and can be regarded as multidimensional (MD) spectroscopy of the system in the time domain. A Fourier transformation of the time intervals gives the MD spectroscopy in the frequency domain, providing insightful information on the many-body correlation and relaxation via the cross-peaks, e.g., the off-diagonal peaks in a two-dimensional spectrum. These features are inaccessible for the conventional, one-dimensional absorption spectrum. Our scheme provides a new method to investigate many-body nonequilibrium physics beyond the linear response regime with the accessible tools in cold atoms.

preprint2022arXiv

On the Rate-Distortion-Perception Function

Rate-distortion-perception theory generalizes Shannon's rate-distortion theory by introducing a constraint on the perceptual quality of the output. The perception constraint complements the conventional distortion constraint and aims to enforce distribution-level consistencies. In this new theory, the information-theoretic limit is characterized by the rate-distortion-perception function. Although a coding theorem for the rate-distortion-perception function has recently been established, the fundamental nature of the optimal coding schemes remains unclear, especially regarding the role of randomness in encoding and decoding. It is shown in the present work that except for certain extreme cases, the rate-distortion-perception function is achievable by deterministic codes. This paper also clarifies the subtle differences between two notions of perfect perceptual quality and explores some alternative formulations of the perception constraint.

preprint2022arXiv

Photo-excitation measurement of Tan's contact for a strongly interacting Fermi gas

We derive theoretically an exact relation between Tan's universal contact and the photo-excitation rate of a strongly interacting Fermi gas, in the case of optically transferring fermionic pairs to a more tightly bound molecular state. Our deviation generalizes the relation between Tan's contact and the closed-channel molecular fraction found earlier by Werner, Tarruell and Castin in Eur. Phys. J. B \textbf{68}, 401 (2009). We use the relation to understand the recent low-temperature photo-excitation measurement in a strongly interacting $^{6}$Li Fermi gas {[}Liu \textit{et al.}, arXiv:1903.12321{]} and show that there is a reasonable agreement between theory and experiment close to the unitary limit. We propose that our relation can be applied to accurately measure Tan's contact coefficient at finite temperature in future experiments.

preprint2022arXiv

Pseudopotentials for Two-dimentional Ultracold Scattering in the Presence of Synthetic Spin-orbit-coupling

We derive a pseudopotential in two dimensions (2D) with the presence of a 2D Rashba spin-orbit-coupling (SOC), following the same spirit of frame transformation in {[}Phys. Rev. A 95, 020702(R) (2017){]}. The frame transformation correctly describes the non-trivial phase accumulation and partial wave couplings due to the presence of SOC and gives rise to a different pseudopotential than the free-space one, even when the length scale of SOC is significantly larger than the two-body potential range. As an application, we apply our pseudopotential with the Lippmann-Schwinger equation to obtain an analytical scattering matrix. To demonstrate the validity, we compare our results with a numerical scattering calculation of finite-range potential and show perfect agreement over a wide range of scattering energy and SOC strength. Our results also indicate that the differences between our pseudopotential and the original free-space pseudopotential are essential to reproduce scattering observables correctly.

preprint2022arXiv

Sentiment Analysis of Online Travel Reviews Based on Capsule Network and Sentiment Lexicon

With the development of online travel services, it has great application prospects to timely mine users' evaluation emotions for travel services and use them as indicators to guide the improvement of online travel service quality. In this paper, we study the text sentiment classification of online travel reviews based on social media online comments and propose the SCCL model based on capsule network and sentiment lexicon. SCCL model aims at the lack of consideration of local features and emotional semantic features of the text in the language model that can efficiently extract text context features like BERT and GRU. Then make the following improvements to their shortcomings. On the one hand, based on BERT-BiGRU, the capsule network is introduced to extract local features while retaining good context features. On the other hand, the sentiment lexicon is introduced to extract the emotional sequence of the text to provide richer emotional semantic features for the model. To enhance the universality of the sentiment lexicon, the improved SO-PMI algorithm based on TF-IDF is used to expand the lexicon, so that the lexicon can also perform well in the field of online travel reviews.

preprint2022arXiv

The Optimal Beam-loading in Two-bunch Nonlinear Plasma Wakefield Accelerators

Due to the highly nonlinear nature of the beam-loading, it is at present not possible to analytically determine the beam parameters needed in a two-bunch plasma wakefield accelerator for maintaining a low energy spread. Therefore in this paper, by using the Broyden-Fletcher-Goldfarb-Shanno algorithm for the parameter scanning with the code QuickPIC and the polynomial regression together with k-fold cross-validation method, we obtain two fitting formulas for calculating the parameters of tri-Gaussian electron beams when minimizing the energy spread based on the beam-loading effect in a nonlinear plasma wakefield accelerator. One formula allows the optimization of the normalized charge per unit length of a trailing beam to achieve the minimal energy spread, i.e. the optimal beam-loading. The other one directly gives the transformer ratio when the trailing beam achieves the optimal beam-loading. A simple scaling law for charges of drive beams and trailing beams is obtained from the fitting formula, which indicates that the optimal beam-loading is always achieved for a given charge ratio of the two beams when the length and separation of two beams and the plasma density are fixed. The formulas can also help obtain the optimal plasma densities for the maximum accelerated charge and the maximum acceleration efficiency under the optimal beam-loading respectively. These two fitting formulas will significantly enhance the efficiency for designing and optimizing a two-bunch plasma wakefield acceleration stage.

preprint2022arXiv

Two-dimensional spectroscopic diagnosis of quantum coherence in Fermi polarons

We present a full microscopic many-body calculation of a recently-proposed nonlinear two-dimensional spectroscopy for Fermi polarons, and show that the quantum coherence between the attractive and repulsive polarons, which has never been experimentally examined, can be unambiguously revealed via quantum beats at the two off-diagonal crosspeaks in the two-dimensional spectrum. We predict that particle-hole excitations make the two crosspeaks asymmetric and lead to an additional side peak near the diagonal repulsive polaron peak. Our simulated spectra can be readily examined in future cold-atom experiments, where the two-dimensional spectroscopy is to be implemented by using a Ramsey interference sequence of rf pulses in the time domain. Our results also provide a first-principle understanding of the recent two-dimensional coherent spectroscopy of interacting excitons and trions in doped monolayer transition metal dichalcogenides.

preprint2021arXiv

Anderson localization transition in a robust $\mathcal{PT}$-symmetric phase of a generalized Aubry-Andre model

We study a generalized Aubry-Andre model that obeys $\mathcal{PT}$-symmetry. We observe a robust $\mathcal{PT}$-symmetric phase with respect to system size and disorder strength, where all eigenvalues are real despite the Hamiltonian being non-hermitian. This robust $\mathcal{PT}$-symmetric phase can support an Anderson localization transition, giving a rich phase diagram as a result of the interplay between disorder and $\mathcal{PT}$-symmetry. Our model provides a perfect platform to study disorder-driven localization phenomena in a $\mathcal{PT}$-symmetric system.

preprint2021arXiv

CLVSA: A Convolutional LSTM Based Variational Sequence-to-Sequence Model with Attention for Predicting Trends of Financial Markets

Financial markets are a complex dynamical system. The complexity comes from the interaction between a market and its participants, in other words, the integrated outcome of activities of the entire participants determines the markets trend, while the markets trend affects activities of participants. These interwoven interactions make financial markets keep evolving. Inspired by stochastic recurrent models that successfully capture variability observed in natural sequential data such as speech and video, we propose CLVSA, a hybrid model that consists of stochastic recurrent networks, the sequence-to-sequence architecture, the self- and inter-attention mechanism, and convolutional LSTM units to capture variationally underlying features in raw financial trading data. Our model outperforms basic models, such as convolutional neural network, vanilla LSTM network, and sequence-to-sequence model with attention, based on backtesting results of six futures from January 2010 to December 2017. Our experimental results show that, by introducing an approximate posterior, CLVSA takes advantage of an extra regularizer based on the Kullback-Leibler divergence to prevent itself from overfitting traps.

preprint2021arXiv

Financial Markets Prediction with Deep Learning

Financial markets are difficult to predict due to its complex systems dynamics. Although there have been some recent studies that use machine learning techniques for financial markets prediction, they do not offer satisfactory performance on financial returns. We propose a novel one-dimensional convolutional neural networks (CNN) model to predict financial market movement. The customized one-dimensional convolutional layers scan financial trading data through time, while different types of data, such as prices and volume, share parameters (kernels) with each other. Our model automatically extracts features instead of using traditional technical indicators and thus can avoid biases caused by selection of technical indicators and pre-defined coefficients in technical indicators. We evaluate the performance of our prediction model with strictly backtesting on historical trading data of six futures from January 2010 to October 2017. The experiment results show that our CNN model can effectively extract more generalized and informative features than traditional technical indicators, and achieves more robust and profitable financial performance than previous machine learning approaches.

preprint2021arXiv

First-order Bose-Einstein condensation with three-body interacting bosons

Bose-Einstein condensation, observed in either strongly interacting liquid helium or weakly interacting atomic Bose gases, is widely known to be a second-order phase transition. Here, we predict a first-order Bose-Einstein condensation in a cloud of harmonically trapped bosons interacting with both attractive two-body interaction and repulsive three-body interaction, characterized respectively by an $s$-wave scattering length $a<0$ and a three-body scattering hypervolume $D>0$. It happens when the harmonic trapping potential is weak, so with increasing temperature the system changes from a low-temperature liquid-like quantum droplet to a normal gas, and therefore experiences a first-order liquid-to-gas transition. At large trapping potential, however, the quantum droplet can first turn into a superfluid gas, rendering the condensation transition occurred later from a superfluid gas to a normal gas smooth. We determine a rich phase diagram and show the existence of a tri-critical point, where the three phases - quantum droplet, superfluid gas and normal gas - meet together. We argue that an ensemble of spin-polarized tritium atoms could be a promising candidate to observe the predicted first-order Bose-Einstein condensation, across which the condensate fraction or central condensate density jumps to zero and the surface-mode frequencies diverge.

preprint2021arXiv

Scissor-cross ionization injection in laser wakefield accelerators

We propose to use a frequency doubled pulse colliding with the driving pulse at an acute angle to trigger ionization injection in a laser wakefield accelerator. This scheme effectively reduces the duration that injection occurs, thus high injection quality is obtained. Three-dimensional particle-in-cell simulations show that electron beams with energy of ~500 MeV, charge of ~40 pC, energy spread of ~1% and normalized emittance of a few millimeter milliradian can be produced by ~100 TW laser pulses. By adjusting the angle between the two pulses, the intensity of the trigger pulse and the gas dope ratio, the charge and energy spread of the electron beam can be controlled.

preprint2020arXiv

Alleviation of Gradient Exploding in GANs: Fake Can Be Real

In order to alleviate the notorious mode collapse phenomenon in generative adversarial networks (GANs), we propose a novel training method of GANs in which certain fake samples are considered as real ones during the training process. This strategy can reduce the gradient value that generator receives in the region where gradient exploding happens. We show the process of an unbalanced generation and a vicious circle issue resulted from gradient exploding in practical training, which explains the instability of GANs. We also theoretically prove that gradient exploding can be alleviated by penalizing the difference between discriminator outputs and fake-as-real consideration for very close real and fake samples. Accordingly, Fake-As-Real GAN (FARGAN) is proposed with a more stable training process and a more faithful generated distribution. Experiments on different datasets verify our theoretical analysis.

preprint2020arXiv

Spatial separation of 2-propanol monomer and its ionization-fragmentation pathways

The spatial separation of 2-propanol monomer from its clusters in a molecular beam by an electrostatic deflector was demonstrated. Samples of 2-propanol monomer with a purity of 90 % and a beam density of $7\times10^6~\text{cm}^{-3}$ were obtained. These samples were utilized to study the femtosecond-laser-induced strong-field multi-photon ionization and fragmentation of 2-propanol using non-resonant 800 nm light with peak intensities of $3-7\times10^{13}~W/cm^{2}$.

preprint2020arXiv

Spatial Separation of the Conformers of Methyl Vinyl Ketone

Methyl vinyl ketone (C$_4$H$_6$O) is a volatile, labile organic compound of importance in atmospheric chemistry. We prepared a molecular beam of methyl vinyl ketone with a rotational temperature of 1.2(2)~K and demonstrated the spatial separation of the \emph{s-cis} and \emph{s-trans} conformers of methyl vinyl ketone using the electrostatic deflector. The resulting sample density was $1.5(2)\times10^{8}~\text{cm}^{-3}$ for the direct beam in the laser ionization region. These conformer-selected methyl vinyl ketone samples are well suited for conformer-specific chemical reactivity studies such as in Diels-Alder cycloaddition reactions.

preprint2020arXiv

Ultradilute self-bound quantum droplets in Bose-Bose mixtures at finite temperature

We theoretically investigate the finite-temperature structure and collective excitations of a self-bound ultradilute Bose droplet in a flat space realized in a binary Bose mixture with attractive inter-species interactions on the verge of mean-field collapse. As the droplet formation relies critically on the repulsive force provided by Lee-Huang-Yang quantum fluctuations, which can be easily compensated by thermal fluctuations, we find a significant temperature effect in the density distribution and collective excitation spectrum of the Bose droplet. A finite-temperature phase diagram as a function of the number of particles is determined. We show that the critical number of particles at the droplet-to-gas transition increases dramatically with increasing temperature. Towards the bulk threshold temperature for thermally destabilizing an infinitely large droplet, we find that the excitation-forbidden, self-evaporation region in the excitation spectrum, predicted earlier by Petrov using a zero-temperature theory, shrinks and eventually disappears. All the collective excitations, including both surface modes and compressional bulk modes, become softened at the droplet-to-gas transition. The predicted temperature effects of a self-bound Bose droplet in this work could be difficult to measure experimentally due to the lack of efficient thermometry at low temperatures. However, these effects may already present in the current cold-atom experiments.

preprint2020arXiv

Uniform Interpolation Constrained Geodesic Learning on Data Manifold

In this paper, we propose a method to learn a minimizing geodesic within a data manifold. Along the learned geodesic, our method can generate high-quality interpolations between two given data samples. Specifically, we use an autoencoder network to map data samples into latent space and perform interpolation via an interpolation network. We add prior geometric information to regularize our autoencoder for the convexity of representations so that for any given interpolation approach, the generated interpolations remain within the distribution of the data manifold. Before the learning of a geodesic, a proper Riemannianmetric should be defined. Therefore, we induce a Riemannian metric by the canonical metric in the Euclidean space which the data manifold is isometrically immersed in. Based on this defined Riemannian metric, we introduce a constant speed loss and a minimizing geodesic loss to regularize the interpolation network to generate uniform interpolation along the learned geodesic on the manifold. We provide a theoretical analysis of our model and use image translation as an example to demonstrate the effectiveness of our method.

preprint2019arXiv

Efficient training and design of photonic neural network through neuroevolution

Recently, optical neural networks (ONNs) integrated in photonic chips has received extensive attention because they are expected to implement the same pattern recognition tasks in the electronic platforms with high efficiency and low power consumption. However, the current lack of various learning algorithms to train the ONNs obstructs their further development. In this article, we propose a novel learning strategy based on neuroevolution to design and train the ONNs. Two typical neuroevolution algorithms are used to determine the hyper-parameters of the ONNs and to optimize the weights (phase shifters) in the connections. In order to demonstrate the effectiveness of the training algorithms, the trained ONNs are applied in the classification tasks for iris plants dataset, wine recognition dataset and modulation formats recognition. The calculated results exhibit that the training algorithms based on neuroevolution are competitive with other traditional learning algorithms on both accuracy and stability. Compared with previous works, we introduce an efficient training method for the ONNs and demonstrate their broad application prospects in pattern recognition, reinforcement learning and so on.