mlsanityData to 7 Oct 2026

Position: Understanding LLMs Requires More Than Statistical Generalization

arXiv 2405.01964 ↗First posted 3 May 2024stat.ML cs.LGcited by 20

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Abstract (arXiv)

The last decade has seen blossoming research in deep learning theory attempting to answer, "Why does deep learning generalize?" A powerful shift in perspective precipitated this progress: the study of overparametrized models in the interpolation regime. In this paper, we argue that another perspective shift is due, since some of the desirable qualities of LLMs are not a consequence of good statistical generalization and require a separate theoretical explanation. Our core argument relies on the observation that AR probabilistic models are inherently non-identifiable: models zero or near-zero KL divergence apart -- thus, equivalent test loss -- can exhibit markedly different behaviors. We support our position with mathematical examples and empirical observations, illustrating why non-identifiability has practical relevance through three case studies: (1) the non-identifiability of zero-shot rule extrapolation; (2) the approximate non-identifiability of in-context learning; and (3) the non-identifiability of fine-tunability. We review promising research directions focusing on LLM-relevant generalization measures, transferability, and inductive biases.

Key facts. Cited by 20 papers in the map (data through 7 Oct 2026). Builds on 79 of its 133 references that are in the map. First posted on arXiv 3 May 2024.

Builds on

79 of 133 references.

References · 79

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38 more
  1. 2023Fine-tuning Aligned Language Models Compromises Safety, Even When Users Do Not Intend To!cited by 1,106
  2. 2017A Closer Look at Memorization in Deep Networkscited by 936
  3. 2021An Explanation of In-context Learning as Implicit Bayesian Inferencecited by 915
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Citing papers per year: 2024: 6; 2025: 10; 2026: 4.

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  1. 2024Out-of-distribution generalization via composition: a lens through induction heads in Transformerscited by 28
  2. 2024KiVA: Kid-inspired Visual Analogies for Testing Large Multimodal Modelscited by 22
  3. 2024All or None: Identifiable Linear Properties of Next-token Predictors in Language Modelingcited by 14
  4. 2025Towards Interpretable Deep Generative Models via Causal Representation Learningcited by 12
  5. 2025Position: An Empirically Grounded Identifiability Theory Will Accelerate Self-Supervised Learning Researchcited by 9
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  7. 2024A Survey of Large Language Models for European Languagescited by 6
  8. 2025AMoPO: Adaptive Multi-objective Preference Optimization without Reward Models and Reference Modelscited by 6
  9. 2025MeMo: Towards Language Models with Associative Memory Mechanismscited by 5
  10. 2024Slaves to the Law of Large Numbers: An Asymptotic Equipartition Property for Perplexity in Generative Language Modelscited by 4
  11. 2025When Does Closeness in Distribution Imply Representational Similarity? An Identifiability Perspectivecited by 4
  12. 2026Statistical and structural identifiability in representation learningcited by 4
8 more
  1. 2024Rule Extrapolation in Language Models: A Study of Compositional Generalization on OOD Promptscited by 2
  2. 2025Q-resafe: Assessing Safety Risks and Quantization-aware Safety Patching for Quantized Large Language Modelscited by 2
  3. 2025Out-of-distribution Tests Reveal Compositionality in Chess Transformerscited by 2
  4. 2026Stabilizing Extrapolation in Looped Transformers via Learned Stochastic Stoppingcited by 2
  5. 2025Learning Model Successorscited by 0
  6. 2025DiscoVerse: Multi-Agent Pharmaceutical Co-Scientist for Traceable Drug Discovery and Reverse Translationcited by 0
  7. 2026Toward Epistemic Stability: Engineering Consistent Procedures for Industrial LLM Hallucination Reductioncited by 0
  8. 2026Inductive Generalization for Robotic Manipulationcited by 0