Since you are technically the administrator of your own plan, you are personally required to submit required filings for the plan. (thecollegeinvestor.com)
Increased penalties for violations of $ 5,000 for failure to make required filings, $ 10,000 for «knowingly» violating other campaign finance rules. (reinventalbany.org)
Any investment advisor you mimic is not required to tell you when they change their mind, aside from required filings with the SEC... which are delayed, and sometimes don't cover everything. (alephblog.com)