How would question 21(a) on the 4473 be answered for redemption of a pawn ticket?
Question 21(a) should be answered “yes,” to reflect that the person completing the form is the actual purchaser of the firearm.
NSSF Member Webinars
 |
 |
| From transfers to inspections to trace, the new (as of July 2020) Form 4473 is a critical document for all firearms retailers. This course is designed to take you step-by-step through a big picture overview and then line-by-line through the nuances of completing each section of the new form. | This 3 part course, presented by retired ATF deputy Director, Wally Nelson, and retired ATF Inspector, Jean Zabel, covers The Basics of ATF inspections, Issues and Resolutions and Proactive Steps to Prepare for an ATF Inspection.
|
More Retailer Compliance Resources Here
24-Hour Compliance Hotline
NSSF members can greatly benefit from the NSSF’s Retail Member Hotline. The toll-free hotline will bring calls in to the NSSF headquarters on a 24/7 basis. If questions regarding compliance, transactions, legislation or any other topic cannot be answered at the time of the call, an all-out attempt will be made to provide the answer within 24 hours.
NSSF members have exclusive 24/7 access to the NSSF’s Retail Member Hotline. Non-member retailers can view some of the questions that have been asked and answered through this service here.
Compliance Resources for Members
NSSF offers an array of resources and information to help members operate their businesses in compliance with laws and regulations. NSSF’s regulatory compliance resources include articles, newsletters, videos, online training courses, legal and regulatory compliance consultants and more. Log in to access.
If our FFL operates in a state with a waiting period do we sign Form 4473 on the day we ran the NICS check or on the day we transferred the firearm to the individual?
You (the FFL/transferor) always complete Section E, block 34 (print your name), block 35 (signature), and block 36 (the date) on the date you transfer the firearm. Because you are in a State with a waiting period, the buyer/customer will also have to recertify (sign and date) in Section D of the 4473 when they come back after the waiting period is satisfied. The dates in Section D (recertification) and Section E, the transferor’s certification must match. Further, the dates in Section B, the transferee/buyer’s certification (which is the date they initially completed 4473) and the date you contacted NICS should be the same.
This question was asked during NSSF Compliance Consultant’s “Report from the Field.”
NSSF Compliance Consultants “Report from the Field”
The risk of ATF administrative actions, including license revocation, demands proactive measures. This presentation will help you gather valuable insights for maintaining compliance at your firearms business.
Retired ATF Director of Industry Operations Judyth LeDoux and Compliance Expert John ‘JC’ Clark – both NSSF Compliance Consultants, address critical topics impacting Federal Firearms Licensees (FFLs) while delving into essential topics that every FFL should be aware of.
Watch at SHOT University™ Online
More NSSF Member Webinars
 |
 |
| From transfers to inspections to trace, the new (as of 2023) Form 4473 is a critical document for all firearms retailers. This course is designed to take you step-by-step and line-by-line through the nuances of completing each section of ATF Form 4473. | Presented by Jason Smith, this 3 part course focuses on range safety and health specifically through the lens of the OSHA’s 7 Core Elements and recommendations for workplace safety. |
More Retailer Compliance Resources Here
Looking for more education opportunities?
Consider NSSF’s SHOT University Online, a one-stop e-learning platform for firearms retailers and ranges. On-demand and free for NSSF members, this library of interactive online courses provides a deep dive on critical topics ranging from compliance and regulatory issues to operational guidance and business improvement for both business owners and employees.
Learn more about SHOT University Online
Looking for more guidance?
NSSF’s Premium Range Membership offers unparalleled protection and benefits. Designed to offer the best protection and benefits in the industry, this membership is available to any qualifying NSSF range or retailer/range member who is not currently facing any OSHA and or state OSH violations.
Membership directly supports NSSF in its mission to promote, protect and preserve our industry and our sports. NSSF stands in defense of every segment of our industry on Capitol Hill and in state capitols nationwide and is working on behalf of every one of its members every day to strengthen our industry. Start your application today, or upgrade your existing membership to premium.
24-Hour Compliance Hotline
NSSF members can greatly benefit from the NSSF’s Retail Member Hotline. The toll-free hotline will bring calls in to the NSSF headquarters on a 24/7 basis. If questions regarding compliance, transactions, legislation or any other topic cannot be answered at the time of the call, an all-out attempt will be made to provide the answer within 24 hours.
NSSF members have exclusive 24/7 access to the NSSF’s Retail Member Hotline. Non-member retailers can view some of the questions that have been asked and answered through this service here.
Compliance Resources for Members
NSSF offers an array of resources and information to help members operate their businesses in compliance with laws and regulations. NSSF’s regulatory compliance resources include articles, newsletters, videos, online training courses, legal and regulatory compliance consultants and more. Log in to access.
When will hard copies of the revised (August 2023) Form 4473 be available?
Hard copies of the Revised Form will be available through the ATF Distribution Center beginning November 1, 2023. The ATF eForm 4473 application is also being revised and notification will be sent when it is ready for use.
ATF encourages all federal firearms licensees (FFLs) to begin using the Revised Form immediately. The Revised Form is available on ATF’s website, and can be downloaded and printed for immediate use. Please note that the entire Form, including instructions, must be printed, and stored together.
More Information here:
Am I required to keep a copy of the identification that was presented by the transferee while completing a 4473?
No. Be careful with copies of anything that includes someone else’s personally identifiable information (PII), it is recommended you shred any unnecessary copies.
NSSF Member Webinars
|
|
| From transfers to inspections to trace, the new (as of 2023) Form 4473 is a critical document for all firearms retailers. This course is designed to take you step-by-step and line-by-line through the nuances of completing each section of ATF Form 4473. | Presented by Jason Smith, this 3 part course focuses on range safety and health specifically through the lens of the OSHA’s 7 Core Elements and recommendations for workplace safety. |
More Retailer Compliance Resources Here
Looking for more education opportunities?
Consider NSSF’s SHOT University Online, a one-stop e-learning platform for firearms retailers and ranges. On-demand and free for NSSF members, this library of interactive online courses provides a deep dive on critical topics ranging from compliance and regulatory issues to operational guidance and business improvement for both business owners and employees.
Learn more about SHOT University Online
Looking for more guidance?
NSSF’s Premium Range Membership offers unparalleled protection and benefits. Designed to offer the best protection and benefits in the industry, this membership is available to any qualifying NSSF range or retailer/range member who is not currently facing any OSHA and or state OSH violations.
Membership directly supports NSSF in its mission to promote, protect and preserve our industry and our sports. NSSF stands in defense of every segment of our industry on Capitol Hill and in state capitols nationwide and is working on behalf of every one of its members every day to strengthen our industry. Start your application today, or upgrade your existing membership to premium.
24-Hour Compliance Hotline
NSSF members can greatly benefit from the NSSF’s Retail Member Hotline. The toll-free hotline will bring calls in to the NSSF headquarters on a 24/7 basis. If questions regarding compliance, transactions, legislation or any other topic cannot be answered at the time of the call, an all-out attempt will be made to provide the answer within 24 hours.
NSSF members have exclusive 24/7 access to the NSSF’s Retail Member Hotline. Non-member retailers can view some of the questions that have been asked and answered through this service here.
Compliance Resources for Members
NSSF offers an array of resources and information to help members operate their businesses in compliance with laws and regulations. NSSF’s regulatory compliance resources include articles, newsletters, videos, online training courses, legal and regulatory compliance consultants and more. Log in to access.
How would question 11(a) (Are you the actual buyer of the firearm(s) listed on this form) on the 4473 form be answered if the person is picking up a firearm that was being repaired for another person?
If the person picking up a repaired firearm for the individual who brought it to the licensee, a Form 4473 must be prepared and question 11(a) may be left blank. A NICS (or POC State) background check must also be conducted on the individual picking up the firearm. It is a good business practice for the licensee to contact the person who dropped the firearm off to verify that they want the person to pick the firearm up for them.
How should a Licensee respond to a police officer's request for an original 4473?
Generally a Licensee should not surrender an original Form 4473. However under special circumstances, a law enforcement agency may insist upon an original form for a criminal investigation. In those cases, the licensee should make a copy of the form to maintain for their records. In addition, the licensee should record the requesting officer’s name and badge number and a contact name for the agency in case ATF requests that information. The licensee should also obtain a receipt for the Form 4473 from the officer, even if it’s a handwritten one, that contains the officer’s name, badge number, and telephone number.
NSSF Member Webinars
|
|
| From transfers to inspections to trace, the new (as of July 2020) Form 4473 is a critical document for all firearms retailers. This course is designed to take you step-by-step through a big picture overview and then line-by-line through the nuances of completing each section of the new form. | This 3 part course, presented by retired ATF deputy Director, Wally Nelson, and retired ATF Inspector, Jean Zabel, covers The Basics of ATF inspections, Issues and Resolutions and Proactive Steps to Prepare for an ATF Inspection.
|
More Retailer Compliance Resources Here
24-Hour Compliance Hotline
NSSF members can greatly benefit from the NSSF’s Retail Member Hotline. The toll-free hotline will bring calls in to the NSSF headquarters on a 24/7 basis. If questions regarding compliance, transactions, legislation or any other topic cannot be answered at the time of the call, an all-out attempt will be made to provide the answer within 24 hours.
NSSF members have exclusive 24/7 access to the NSSF’s Retail Member Hotline. Non-member retailers can view some of the questions that have been asked and answered through this service here.
Compliance Resources for Members
NSSF offers an array of resources and information to help members operate their businesses in compliance with laws and regulations. NSSF’s regulatory compliance resources include articles, newsletters, videos, online training courses, legal and regulatory compliance consultants and more. Log in to access.
Someone with whom I am acquainted wishes to buy a firearm. I know that during his divorce proceeding, a restraining order was placed against him. I know that in my State such an order prohibits the possession or acquisition of a firearm. He has checked No to Question 11h (Are you subject to a court order restraining you from harassing, stalking or threatening your child or an intimate partner or child of such partner?) and explains to me that after the settlement, the order was lifted. Should I ask for written corroboration?
Generally, if the Federal Firearms Licensee (FFL) has reasonable cause to believe that the transferee is disqualified by law (e.g., subject to a restraining order), the FFL may not complete the transaction. A prohibition as a result of a domestic violence restraining order exists only as long as the restraining order is in force. However, if the purchaser provides adequate documentation showing the FFL that such order was lifted and is no longer in effect, the buyer is no longer prohibited and the FFL may transfer the firearm. The FFL needs to be aware that he or she could be held liable (administratively/criminally) if the purchaser indeed was prohibited from receiving and possessing such a firearm and the FFL transfers the firearm anyway. Also, the purchaser needs to be advised that any information, including supplemental documents, submitted in furtherance of obtaining a firearm is subject to penalties of perjury.
May we as an FFL use a customer's name and address information from Form 4473 for our advertisement mailing? We would not be selling the information or otherwise distributing it in any form, but, rather, simply sending a postcard about an upcoming gun-safe sale.
The information and certification on the ATF Form 4473 Firearms Transaction Record are designed so that an FFL may determine if he or she may lawfully sell or deliver a firearm to the person identified in Section A (transferee/purchaser). The form should only be used for sales or transfers of firearms. We suggest that the FFL seek private legal counsel to inquire about privacy issues and lawful marketing practices.
NSSF Member Webinars
|
|
| From transfers to inspections to trace, the new (as of July 2020) Form 4473 is a critical document for all firearms retailers. This course is designed to take you step-by-step through a big picture overview and then line-by-line through the nuances of completing each section of the new form. | This 3 part course, presented by retired ATF deputy Director, Wally Nelson, and retired ATF Inspector, Jean Zabel, covers The Basics of ATF inspections, Issues and Resolutions and Proactive Steps to Prepare for an ATF Inspection.
|
More Retailer Compliance Resources Here
24-Hour Compliance Hotline
NSSF members can greatly benefit from the NSSF’s Retail Member Hotline. The toll-free hotline will bring calls in to the NSSF headquarters on a 24/7 basis. If questions regarding compliance, transactions, legislation or any other topic cannot be answered at the time of the call, an all-out attempt will be made to provide the answer within 24 hours.
NSSF members have exclusive 24/7 access to the NSSF’s Retail Member Hotline. Non-member retailers can view some of the questions that have been asked and answered through this service here.
Compliance Resources for Members
NSSF offers an array of resources and information to help members operate their businesses in compliance with laws and regulations. NSSF’s regulatory compliance resources include articles, newsletters, videos, online training courses, legal and regulatory compliance consultants and more. Log in to access.
I have a customer who has commissioned me to special-order a firearm I do not have in stock. By special-ordering the gun I will be invoiced, and the firearm will become part of my inventory when it arrives at my business premises. To prevent the possibility of not being able to sell it to this customer if he does not pass the NICS check, may I conduct a NICS inquiry at the time that he orders the firearm?
No. The licensee may conduct the NICS check only after the transferee (buyer) has completed Section A of the ATF F 4473, including signing question 14 and indicating the date of certification in question 15.
In addition, the instructions on page 3 of the form state, ‘Generally, ATF Form 4473 must be completed at the licensed business premises when a firearm is transferred over the counter.’ Placing/accepting a special order for a firearm is not transferring the firearm.
What should a Federal Firearms Licensee (FFL) do when it finds it has lost a completed Form 4473 and a thorough search of the premises fails to locate it?
If you have lost a Form 4473, we recommend the following actions:
If you find that you are missing a single Form 4473, you should conduct a thorough and diligent search of your premises and make a call to the customer to verify that he did not mistakenly take it with him.
If you still cannot locate it, contact your local ATF field office immediately. As best you can, reconstruct the missing Form 4473, identify it as such and attach a statement concerning the loss of the original form. File the form in your normal 4473 files.
In cases where all of your files of Forms 4473 are missing or stolen, you should promptly notify your local ATF field office of the loss or theft and get guidance on record reconstruction.
I understand that FFL holders are required to maintain Form 4473 records for 20 years and that the records are to be sent to ATF if the FFL goes out of business. If an FFL remains in business beyond the 20-year holding period, does it still have to maintain the records?
No. The only requirement is to keep the Forms 4473 for 20 years. (See NSSF Factsheet.) The federal firearms regulations allow for licensees to dispose of forms that are older than 20 years. Disposition includes submission of those records to the ATF National Tracing Center (NTC). Submission of these records will allow ATF to more effectively trace crime guns. The NTC requests that licensees enclose a copy of the Active FFL and appropriately indicate that the records are over 20 years old. Records are to be sent to ATF, Out of Business Records Center, (OOBRC), 244 Needy Road, Martinsburg, WV 25405. It is recommended to send your records in a manner that can be tracked, i.e., via Federal Express, U.S. Postal Service, United Parcel Service or any service that provides delivery confirmation. Contact the NTC, Tracing Operations and Records Management Branch, at 800-788-7133, with additional questions on this topic.
NSSF Member Webinars
|
|
| From transfers to inspections to trace, the new (as of July 2020) Form 4473 is a critical document for all firearms retailers. This course is designed to take you step-by-step through a big picture overview and then line-by-line through the nuances of completing each section of the new form. | This 3 part course, presented by retired ATF deputy Director, Wally Nelson, and retired ATF Inspector, Jean Zabel, covers The Basics of ATF inspections, Issues and Resolutions and Proactive Steps to Prepare for an ATF Inspection.
|
More Retailer Compliance Resources Here
24-Hour Compliance Hotline
NSSF members can greatly benefit from the NSSF’s Retail Member Hotline. The toll-free hotline will bring calls in to the NSSF headquarters on a 24/7 basis. If questions regarding compliance, transactions, legislation or any other topic cannot be answered at the time of the call, an all-out attempt will be made to provide the answer within 24 hours.
NSSF members have exclusive 24/7 access to the NSSF’s Retail Member Hotline. Non-member retailers can view some of the questions that have been asked and answered through this service here.
Compliance Resources for Members
NSSF offers an array of resources and information to help members operate their businesses in compliance with laws and regulations. NSSF’s regulatory compliance resources include articles, newsletters, videos, online training courses, legal and regulatory compliance consultants and more. Log in to access.
During compliance inspections, can the inspecting officer physically take all of the dealers Forms 4473 back to his office for further review at his convenience?
It is standard procedure for ATF inspections to be conducted on the premises of the licensee being inspected; however, there may be some very rare instances when the ATF officer believes the inspection could be expedited by removing the records from the premises for review. In those very rare cases, it is okay to allow the ATF officer to remove the records under the following conditions.
The Forms 4473 are the property of the licensee until that licensee goes out of business and submits the records to the ATF Out of Business Records Center. ATF may, with the licensees consent, take the Forms 4473 off premises. If done, ATF will issue a receipt for the forms, which the licensee is expected to retain in his permanent records until the forms are returned. The receipt, at a minimum, should contain the date the forms are being removed from the premises, the total number of forms involved, the time period covered by the forms, and the name, title and telephone number of the ATF officer removing the records.” For more information, read When You Are Inspected.
If the customer answers question 12.d.1 with “No”, must he or she answer question 12.d.2?
Yes, question 12.d.2 must be answered: “N/A.”
If a customer innocently answers a question on the 4473 form incorrectly or omits an entry and the licensee notices the error after the transfer, what is the correct procedure to rectify the error?
If the licensee discovers that a Section A or C of a Firearms Transaction Record, ATF Form 4473, is incomplete or improperly completed after the firearms have been transferred, the licensee should immediately contact the transferee (buyer) and request that they return to the store to correct the form. When the buyer returns to the store, the FFL should photocopy the page(s) that need correction and have the buyer make the necessary changes to errors or omissions in Sections A and/or C on the copy and initial and date them. The customer is the only person who can make any changes in Sections A and C. In cases where the licensee made an error or omission in sections B and/or D the person who made the errors should make the changes on a photocopy and should initial and date them. The corrected photocopy should be attached to the original ATF F 4473 and retained as part of the licensee’s permanent records.
Is the transferee required to provide his or her Social Security Number on the ATF Form 4473?
No. This information is optional. However, providing this information may help ensure the lawfulness of the sale by minimizing the possibility of the transferee being incorrectly identified as a felon or other prohibited person. It may also help NICS process the transaction more quickly. Furthermore, inclusion of the Social Security Number will help differentiate the transferee from any other person with the same name who might come under ATF investigation. [27 CFR 478.124(c)(2)]
NSSF Member Webinars
|
|
| From transfers to inspections to trace, the new (as of July 2020) Form 4473 is a critical document for all firearms retailers. This course is designed to take you step-by-step through a big picture overview and then line-by-line through the nuances of completing each section of the new form. | This 3 part course, presented by retired ATF deputy Director, Wally Nelson, and retired ATF Inspector, Jean Zabel, covers The Basics of ATF inspections, Issues and Resolutions and Proactive Steps to Prepare for an ATF Inspection.
|
More Retailer Compliance Resources Here
24-Hour Compliance Hotline
NSSF members can greatly benefit from the NSSF’s Retail Member Hotline. The toll-free hotline will bring calls in to the NSSF headquarters on a 24/7 basis. If questions regarding compliance, transactions, legislation or any other topic cannot be answered at the time of the call, an all-out attempt will be made to provide the answer within 24 hours.
NSSF members have exclusive 24/7 access to the NSSF’s Retail Member Hotline. Non-member retailers can view some of the questions that have been asked and answered through this service here.
Compliance Resources for Members
NSSF offers an array of resources and information to help members operate their businesses in compliance with laws and regulations. NSSF’s regulatory compliance resources include articles, newsletters, videos, online training courses, legal and regulatory compliance consultants and more. Log in to access.
If a person who is unable to complete a 4473 form because of illiteracy or a physical disability wishes to purchase a firearm, how may the transfer be legally completed? May an accompanying person complete the form for the purchaser?
The buyer must personally complete Section A of the ATF Form 4473 and certify (sign) that the answers are true, correct and complete. However, if the buyer is unable to read and/or write, the answers (other than the signature) may be completed by another person, excluding the seller. Two persons (other than the seller or his employees) must then sign and date the form as witnesses to the buyers answers and signature in blocks 14 and 15. [Instructions on ATF F 4473, page 3, Question 1]
If information is contained on a state firearms transfer document, do I still have to enter the same information on the ATF Form 4473?
Yes. ATF Form 4473 is required by Federal law regardless of any state documentation required by the state in which the licensees business premise is located. With the exception of the return of a repaired firearm to the person from whom it was received, a licensee shall not sell or otherwise dispose of, temporarily or permanently, any firearm to any person, other than another licensee, unless the licensee records the transaction on a firearms transaction record, Form 4473.
24-Hour Compliance Hotline
NSSF members can greatly benefit from the NSSF’s Retail Member Hotline. The toll-free hotline will bring calls in to the NSSF headquarters on a 24/7 basis. If questions regarding compliance, transactions, legislation or any other topic cannot be answered at the time of the call, an all-out attempt will be made to provide the answer within 24 hours.
NSSF members have exclusive 24/7 access to the NSSF’s Retail Member Hotline. Non-member retailers can view some of the questions that have been asked and answered through this service here.
Compliance Resources for Members
NSSF offers an array of resources and information to help members operate their businesses in compliance with laws and regulations. NSSF’s regulatory compliance resources include articles, newsletters, videos, online training courses, legal and regulatory compliance consultants and more. Log in to access.
ATF Q&A: 4473 FORMS
How would question 21(a) on the 4473 be answered for redemption of a pawn ticket?
Question 21(a) should be answered “yes,” to reflect that the person completing the form is the actual purchaser of the firearm.
NSSF Member Webinars
|
|
| From transfers to inspections to trace, the new (as of July 2020) Form 4473 is a critical document for all firearms retailers. This course is designed to take you step-by-step through a big picture overview and then line-by-line through the nuances of completing each section of the new form. | This 3 part course, presented by retired ATF deputy Director, Wally Nelson, and retired ATF Inspector, Jean Zabel, covers The Basics of ATF inspections, Issues and Resolutions and Proactive Steps to Prepare for an ATF Inspection.
|
More Retailer Compliance Resources Here
24-Hour Compliance Hotline
NSSF members can greatly benefit from the NSSF’s Retail Member Hotline. The toll-free hotline will bring calls in to the NSSF headquarters on a 24/7 basis. If questions regarding compliance, transactions, legislation or any other topic cannot be answered at the time of the call, an all-out attempt will be made to provide the answer within 24 hours.
NSSF members have exclusive 24/7 access to the NSSF’s Retail Member Hotline. Non-member retailers can view some of the questions that have been asked and answered through this service here.
Compliance Resources for Members
NSSF offers an array of resources and information to help members operate their businesses in compliance with laws and regulations. NSSF’s regulatory compliance resources include articles, newsletters, videos, online training courses, legal and regulatory compliance consultants and more. Log in to access.
If our FFL operates in a state with a waiting period do we sign Form 4473 on the day we ran the NICS check or on the day we transferred the firearm to the individual?
You (the FFL/transferor) always complete Section E, block 34 (print your name), block 35 (signature), and block 36 (the date) on the date you transfer the firearm. Because you are in a State with a waiting period, the buyer/customer will also have to recertify (sign and date) in Section D of the 4473 when they come back after the waiting period is satisfied. The dates in Section D (recertification) and Section E, the transferor’s certification must match. Further, the dates in Section B, the transferee/buyer’s certification (which is the date they initially completed 4473) and the date you contacted NICS should be the same.
This question was asked during NSSF Compliance Consultant’s “Report from the Field.”
NSSF Compliance Consultants “Report from the Field”
The risk of ATF administrative actions, including license revocation, demands proactive measures. This presentation will help you gather valuable insights for maintaining compliance at your firearms business.
Retired ATF Director of Industry Operations Judyth LeDoux and Compliance Expert John ‘JC’ Clark – both NSSF Compliance Consultants, address critical topics impacting Federal Firearms Licensees (FFLs) while delving into essential topics that every FFL should be aware of.
Watch at SHOT University™ Online
More NSSF Member Webinars
|
|
| From transfers to inspections to trace, the new (as of 2023) Form 4473 is a critical document for all firearms retailers. This course is designed to take you step-by-step and line-by-line through the nuances of completing each section of ATF Form 4473. | Presented by Jason Smith, this 3 part course focuses on range safety and health specifically through the lens of the OSHA’s 7 Core Elements and recommendations for workplace safety. |
More Retailer Compliance Resources Here
Looking for more education opportunities?
Consider NSSF’s SHOT University Online, a one-stop e-learning platform for firearms retailers and ranges. On-demand and free for NSSF members, this library of interactive online courses provides a deep dive on critical topics ranging from compliance and regulatory issues to operational guidance and business improvement for both business owners and employees.
Learn more about SHOT University Online
Looking for more guidance?
NSSF’s Premium Range Membership offers unparalleled protection and benefits. Designed to offer the best protection and benefits in the industry, this membership is available to any qualifying NSSF range or retailer/range member who is not currently facing any OSHA and or state OSH violations.
Membership directly supports NSSF in its mission to promote, protect and preserve our industry and our sports. NSSF stands in defense of every segment of our industry on Capitol Hill and in state capitols nationwide and is working on behalf of every one of its members every day to strengthen our industry. Start your application today, or upgrade your existing membership to premium.
24-Hour Compliance Hotline
NSSF members can greatly benefit from the NSSF’s Retail Member Hotline. The toll-free hotline will bring calls in to the NSSF headquarters on a 24/7 basis. If questions regarding compliance, transactions, legislation or any other topic cannot be answered at the time of the call, an all-out attempt will be made to provide the answer within 24 hours.
NSSF members have exclusive 24/7 access to the NSSF’s Retail Member Hotline. Non-member retailers can view some of the questions that have been asked and answered through this service here.
Compliance Resources for Members
NSSF offers an array of resources and information to help members operate their businesses in compliance with laws and regulations. NSSF’s regulatory compliance resources include articles, newsletters, videos, online training courses, legal and regulatory compliance consultants and more. Log in to access.
When will hard copies of the revised (August 2023) Form 4473 be available?
Hard copies of the Revised Form will be available through the ATF Distribution Center beginning November 1, 2023. The ATF eForm 4473 application is also being revised and notification will be sent when it is ready for use.
ATF encourages all federal firearms licensees (FFLs) to begin using the Revised Form immediately. The Revised Form is available on ATF’s website, and can be downloaded and printed for immediate use. Please note that the entire Form, including instructions, must be printed, and stored together.
More Information here:
Am I required to keep a copy of the identification that was presented by the transferee while completing a 4473?
No. Be careful with copies of anything that includes someone else’s personally identifiable information (PII), it is recommended you shred any unnecessary copies.
NSSF Member Webinars
|
|
| From transfers to inspections to trace, the new (as of 2023) Form 4473 is a critical document for all firearms retailers. This course is designed to take you step-by-step and line-by-line through the nuances of completing each section of ATF Form 4473. | Presented by Jason Smith, this 3 part course focuses on range safety and health specifically through the lens of the OSHA’s 7 Core Elements and recommendations for workplace safety. |
More Retailer Compliance Resources Here
Looking for more education opportunities?
Consider NSSF’s SHOT University Online, a one-stop e-learning platform for firearms retailers and ranges. On-demand and free for NSSF members, this library of interactive online courses provides a deep dive on critical topics ranging from compliance and regulatory issues to operational guidance and business improvement for both business owners and employees.
Learn more about SHOT University Online
Looking for more guidance?
NSSF’s Premium Range Membership offers unparalleled protection and benefits. Designed to offer the best protection and benefits in the industry, this membership is available to any qualifying NSSF range or retailer/range member who is not currently facing any OSHA and or state OSH violations.
Membership directly supports NSSF in its mission to promote, protect and preserve our industry and our sports. NSSF stands in defense of every segment of our industry on Capitol Hill and in state capitols nationwide and is working on behalf of every one of its members every day to strengthen our industry. Start your application today, or upgrade your existing membership to premium.
24-Hour Compliance Hotline
NSSF members can greatly benefit from the NSSF’s Retail Member Hotline. The toll-free hotline will bring calls in to the NSSF headquarters on a 24/7 basis. If questions regarding compliance, transactions, legislation or any other topic cannot be answered at the time of the call, an all-out attempt will be made to provide the answer within 24 hours.
NSSF members have exclusive 24/7 access to the NSSF’s Retail Member Hotline. Non-member retailers can view some of the questions that have been asked and answered through this service here.
Compliance Resources for Members
NSSF offers an array of resources and information to help members operate their businesses in compliance with laws and regulations. NSSF’s regulatory compliance resources include articles, newsletters, videos, online training courses, legal and regulatory compliance consultants and more. Log in to access.
How would question 11(a) (Are you the actual buyer of the firearm(s) listed on this form) on the 4473 form be answered if the person is picking up a firearm that was being repaired for another person?
If the person picking up a repaired firearm for the individual who brought it to the licensee, a Form 4473 must be prepared and question 11(a) may be left blank. A NICS (or POC State) background check must also be conducted on the individual picking up the firearm. It is a good business practice for the licensee to contact the person who dropped the firearm off to verify that they want the person to pick the firearm up for them.
How should a Licensee respond to a police officer's request for an original 4473?
Generally a Licensee should not surrender an original Form 4473. However under special circumstances, a law enforcement agency may insist upon an original form for a criminal investigation. In those cases, the licensee should make a copy of the form to maintain for their records. In addition, the licensee should record the requesting officer’s name and badge number and a contact name for the agency in case ATF requests that information. The licensee should also obtain a receipt for the Form 4473 from the officer, even if it’s a handwritten one, that contains the officer’s name, badge number, and telephone number.
NSSF Member Webinars
|
|
| From transfers to inspections to trace, the new (as of July 2020) Form 4473 is a critical document for all firearms retailers. This course is designed to take you step-by-step through a big picture overview and then line-by-line through the nuances of completing each section of the new form. | This 3 part course, presented by retired ATF deputy Director, Wally Nelson, and retired ATF Inspector, Jean Zabel, covers The Basics of ATF inspections, Issues and Resolutions and Proactive Steps to Prepare for an ATF Inspection.
|
More Retailer Compliance Resources Here
24-Hour Compliance Hotline
NSSF members can greatly benefit from the NSSF’s Retail Member Hotline. The toll-free hotline will bring calls in to the NSSF headquarters on a 24/7 basis. If questions regarding compliance, transactions, legislation or any other topic cannot be answered at the time of the call, an all-out attempt will be made to provide the answer within 24 hours.
NSSF members have exclusive 24/7 access to the NSSF’s Retail Member Hotline. Non-member retailers can view some of the questions that have been asked and answered through this service here.
Compliance Resources for Members
NSSF offers an array of resources and information to help members operate their businesses in compliance with laws and regulations. NSSF’s regulatory compliance resources include articles, newsletters, videos, online training courses, legal and regulatory compliance consultants and more. Log in to access.
Someone with whom I am acquainted wishes to buy a firearm. I know that during his divorce proceeding, a restraining order was placed against him. I know that in my State such an order prohibits the possession or acquisition of a firearm. He has checked No to Question 11h (Are you subject to a court order restraining you from harassing, stalking or threatening your child or an intimate partner or child of such partner?) and explains to me that after the settlement, the order was lifted. Should I ask for written corroboration?
Generally, if the Federal Firearms Licensee (FFL) has reasonable cause to believe that the transferee is disqualified by law (e.g., subject to a restraining order), the FFL may not complete the transaction. A prohibition as a result of a domestic violence restraining order exists only as long as the restraining order is in force. However, if the purchaser provides adequate documentation showing the FFL that such order was lifted and is no longer in effect, the buyer is no longer prohibited and the FFL may transfer the firearm. The FFL needs to be aware that he or she could be held liable (administratively/criminally) if the purchaser indeed was prohibited from receiving and possessing such a firearm and the FFL transfers the firearm anyway. Also, the purchaser needs to be advised that any information, including supplemental documents, submitted in furtherance of obtaining a firearm is subject to penalties of perjury.
May we as an FFL use a customer's name and address information from Form 4473 for our advertisement mailing? We would not be selling the information or otherwise distributing it in any form, but, rather, simply sending a postcard about an upcoming gun-safe sale.
The information and certification on the ATF Form 4473 Firearms Transaction Record are designed so that an FFL may determine if he or she may lawfully sell or deliver a firearm to the person identified in Section A (transferee/purchaser). The form should only be used for sales or transfers of firearms. We suggest that the FFL seek private legal counsel to inquire about privacy issues and lawful marketing practices.
NSSF Member Webinars
|
|
| From transfers to inspections to trace, the new (as of July 2020) Form 4473 is a critical document for all firearms retailers. This course is designed to take you step-by-step through a big picture overview and then line-by-line through the nuances of completing each section of the new form. | This 3 part course, presented by retired ATF deputy Director, Wally Nelson, and retired ATF Inspector, Jean Zabel, covers The Basics of ATF inspections, Issues and Resolutions and Proactive Steps to Prepare for an ATF Inspection.
|
More Retailer Compliance Resources Here
24-Hour Compliance Hotline
NSSF members can greatly benefit from the NSSF’s Retail Member Hotline. The toll-free hotline will bring calls in to the NSSF headquarters on a 24/7 basis. If questions regarding compliance, transactions, legislation or any other topic cannot be answered at the time of the call, an all-out attempt will be made to provide the answer within 24 hours.
NSSF members have exclusive 24/7 access to the NSSF’s Retail Member Hotline. Non-member retailers can view some of the questions that have been asked and answered through this service here.
Compliance Resources for Members
NSSF offers an array of resources and information to help members operate their businesses in compliance with laws and regulations. NSSF’s regulatory compliance resources include articles, newsletters, videos, online training courses, legal and regulatory compliance consultants and more. Log in to access.
I have a customer who has commissioned me to special-order a firearm I do not have in stock. By special-ordering the gun I will be invoiced, and the firearm will become part of my inventory when it arrives at my business premises. To prevent the possibility of not being able to sell it to this customer if he does not pass the NICS check, may I conduct a NICS inquiry at the time that he orders the firearm?
No. The licensee may conduct the NICS check only after the transferee (buyer) has completed Section A of the ATF F 4473, including signing question 14 and indicating the date of certification in question 15.
In addition, the instructions on page 3 of the form state, ‘Generally, ATF Form 4473 must be completed at the licensed business premises when a firearm is transferred over the counter.’ Placing/accepting a special order for a firearm is not transferring the firearm.
What should a Federal Firearms Licensee (FFL) do when it finds it has lost a completed Form 4473 and a thorough search of the premises fails to locate it?
If you have lost a Form 4473, we recommend the following actions:
If you find that you are missing a single Form 4473, you should conduct a thorough and diligent search of your premises and make a call to the customer to verify that he did not mistakenly take it with him.
If you still cannot locate it, contact your local ATF field office immediately. As best you can, reconstruct the missing Form 4473, identify it as such and attach a statement concerning the loss of the original form. File the form in your normal 4473 files.
In cases where all of your files of Forms 4473 are missing or stolen, you should promptly notify your local ATF field office of the loss or theft and get guidance on record reconstruction.
I understand that FFL holders are required to maintain Form 4473 records for 20 years and that the records are to be sent to ATF if the FFL goes out of business. If an FFL remains in business beyond the 20-year holding period, does it still have to maintain the records?
No. The only requirement is to keep the Forms 4473 for 20 years. (See NSSF Factsheet.) The federal firearms regulations allow for licensees to dispose of forms that are older than 20 years. Disposition includes submission of those records to the ATF National Tracing Center (NTC). Submission of these records will allow ATF to more effectively trace crime guns. The NTC requests that licensees enclose a copy of the Active FFL and appropriately indicate that the records are over 20 years old. Records are to be sent to ATF, Out of Business Records Center, (OOBRC), 244 Needy Road, Martinsburg, WV 25405. It is recommended to send your records in a manner that can be tracked, i.e., via Federal Express, U.S. Postal Service, United Parcel Service or any service that provides delivery confirmation. Contact the NTC, Tracing Operations and Records Management Branch, at 800-788-7133, with additional questions on this topic.
NSSF Member Webinars
|
|
| From transfers to inspections to trace, the new (as of July 2020) Form 4473 is a critical document for all firearms retailers. This course is designed to take you step-by-step through a big picture overview and then line-by-line through the nuances of completing each section of the new form. | This 3 part course, presented by retired ATF deputy Director, Wally Nelson, and retired ATF Inspector, Jean Zabel, covers The Basics of ATF inspections, Issues and Resolutions and Proactive Steps to Prepare for an ATF Inspection.
|
More Retailer Compliance Resources Here
24-Hour Compliance Hotline
NSSF members can greatly benefit from the NSSF’s Retail Member Hotline. The toll-free hotline will bring calls in to the NSSF headquarters on a 24/7 basis. If questions regarding compliance, transactions, legislation or any other topic cannot be answered at the time of the call, an all-out attempt will be made to provide the answer within 24 hours.
NSSF members have exclusive 24/7 access to the NSSF’s Retail Member Hotline. Non-member retailers can view some of the questions that have been asked and answered through this service here.
Compliance Resources for Members
NSSF offers an array of resources and information to help members operate their businesses in compliance with laws and regulations. NSSF’s regulatory compliance resources include articles, newsletters, videos, online training courses, legal and regulatory compliance consultants and more. Log in to access.
During compliance inspections, can the inspecting officer physically take all of the dealers Forms 4473 back to his office for further review at his convenience?
It is standard procedure for ATF inspections to be conducted on the premises of the licensee being inspected; however, there may be some very rare instances when the ATF officer believes the inspection could be expedited by removing the records from the premises for review. In those very rare cases, it is okay to allow the ATF officer to remove the records under the following conditions.
The Forms 4473 are the property of the licensee until that licensee goes out of business and submits the records to the ATF Out of Business Records Center. ATF may, with the licensees consent, take the Forms 4473 off premises. If done, ATF will issue a receipt for the forms, which the licensee is expected to retain in his permanent records until the forms are returned. The receipt, at a minimum, should contain the date the forms are being removed from the premises, the total number of forms involved, the time period covered by the forms, and the name, title and telephone number of the ATF officer removing the records.” For more information, read When You Are Inspected.
If the customer answers question 12.d.1 with “No”, must he or she answer question 12.d.2?
Yes, question 12.d.2 must be answered: “N/A.”
If a customer innocently answers a question on the 4473 form incorrectly or omits an entry and the licensee notices the error after the transfer, what is the correct procedure to rectify the error?
If the licensee discovers that a Section A or C of a Firearms Transaction Record, ATF Form 4473, is incomplete or improperly completed after the firearms have been transferred, the licensee should immediately contact the transferee (buyer) and request that they return to the store to correct the form. When the buyer returns to the store, the FFL should photocopy the page(s) that need correction and have the buyer make the necessary changes to errors or omissions in Sections A and/or C on the copy and initial and date them. The customer is the only person who can make any changes in Sections A and C. In cases where the licensee made an error or omission in sections B and/or D the person who made the errors should make the changes on a photocopy and should initial and date them. The corrected photocopy should be attached to the original ATF F 4473 and retained as part of the licensee’s permanent records.
Is the transferee required to provide his or her Social Security Number on the ATF Form 4473?
No. This information is optional. However, providing this information may help ensure the lawfulness of the sale by minimizing the possibility of the transferee being incorrectly identified as a felon or other prohibited person. It may also help NICS process the transaction more quickly. Furthermore, inclusion of the Social Security Number will help differentiate the transferee from any other person with the same name who might come under ATF investigation. [27 CFR 478.124(c)(2)]
NSSF Member Webinars
|
|
| From transfers to inspections to trace, the new (as of July 2020) Form 4473 is a critical document for all firearms retailers. This course is designed to take you step-by-step through a big picture overview and then line-by-line through the nuances of completing each section of the new form. | This 3 part course, presented by retired ATF deputy Director, Wally Nelson, and retired ATF Inspector, Jean Zabel, covers The Basics of ATF inspections, Issues and Resolutions and Proactive Steps to Prepare for an ATF Inspection.
|
More Retailer Compliance Resources Here
24-Hour Compliance Hotline
NSSF members can greatly benefit from the NSSF’s Retail Member Hotline. The toll-free hotline will bring calls in to the NSSF headquarters on a 24/7 basis. If questions regarding compliance, transactions, legislation or any other topic cannot be answered at the time of the call, an all-out attempt will be made to provide the answer within 24 hours.
NSSF members have exclusive 24/7 access to the NSSF’s Retail Member Hotline. Non-member retailers can view some of the questions that have been asked and answered through this service here.
Compliance Resources for Members
NSSF offers an array of resources and information to help members operate their businesses in compliance with laws and regulations. NSSF’s regulatory compliance resources include articles, newsletters, videos, online training courses, legal and regulatory compliance consultants and more. Log in to access.
If a person who is unable to complete a 4473 form because of illiteracy or a physical disability wishes to purchase a firearm, how may the transfer be legally completed? May an accompanying person complete the form for the purchaser?
The buyer must personally complete Section A of the ATF Form 4473 and certify (sign) that the answers are true, correct and complete. However, if the buyer is unable to read and/or write, the answers (other than the signature) may be completed by another person, excluding the seller. Two persons (other than the seller or his employees) must then sign and date the form as witnesses to the buyers answers and signature in blocks 14 and 15. [Instructions on ATF F 4473, page 3, Question 1]
If information is contained on a state firearms transfer document, do I still have to enter the same information on the ATF Form 4473?
Yes. ATF Form 4473 is required by Federal law regardless of any state documentation required by the state in which the licensees business premise is located. With the exception of the return of a repaired firearm to the person from whom it was received, a licensee shall not sell or otherwise dispose of, temporarily or permanently, any firearm to any person, other than another licensee, unless the licensee records the transaction on a firearms transaction record, Form 4473.
24-Hour Compliance Hotline
NSSF members can greatly benefit from the NSSF’s Retail Member Hotline. The toll-free hotline will bring calls in to the NSSF headquarters on a 24/7 basis. If questions regarding compliance, transactions, legislation or any other topic cannot be answered at the time of the call, an all-out attempt will be made to provide the answer within 24 hours.
NSSF members have exclusive 24/7 access to the NSSF’s Retail Member Hotline. Non-member retailers can view some of the questions that have been asked and answered through this service here.
Compliance Resources for Members
NSSF offers an array of resources and information to help members operate their businesses in compliance with laws and regulations. NSSF’s regulatory compliance resources include articles, newsletters, videos, online training courses, legal and regulatory compliance consultants and more. Log in to access.