ATF Q&A: Firearms Transactions

Even if the identifying information is not legible, if the licensee knows the manufacturer and model of the firearm, he or she is expected to record such information in the A&D record. Documenting all firearm identification information enhances the traceability of the firearm. It is important that the identifying information of firearms is accurately and fully recorded in the acquisition and disposition records retained by FFLs for tracing purposes. However, the ATF understands that licensees can only be expected to record identifying information marked on a firearm. If the licensee cannot determine the manufacturer or other information due to defaced or missing markings, he or she can enter “Unknown” or “Not Marked” as applicable in the appropriate column of his A&D record. If firearms markings have been defaced, we encourage licensees to notify their local ATF office. In fact, if the serial number is defaced, it is a crime to receive or possess the firearm; you must notify the ATF immediately. [18 USC 922(k)]

The shotgun may not be transferred to the customers wife, as she is not the intended transferee. The customer must return to the store himself and complete the ATF Form 4473 to receive the firearm. He must recertify that his answers in section A are still true, correct and complete by signing and dating Section C on the ATF Form 4473.

Once the FFL has verified that a family member of the person who dropped the firearm off for repair is picking it up, the family member must complete Section A of Form 4473 and must be the subject of a NICS background check. Please be aware that in such cases the family member need not answer question 11a on Form 4473. Additionally, it is recommended that the licensee indicate that the Form 4473 is for a repair pick up in block 31 of Form 4473.

No, as long as the certification letter also includes a specific statement that the officer has not been convicted of a misdemeanor crime of domestic violence. The licensee is not required to prepare a Form 4473 covering this particular sale, as the certification letter is evidence of the transaction; however, disposition to the officer is to be entered in the licensee’s permanent A&D records; and the certification letter must be kept in the licensee’s files.

Generally, licensees are required to enter the acquisition of a firearm by the close of the next business day after the acquisition and shall record sales or other dispositions within seven days. However, if commercial records containing the required information are available for inspection and are separate from other commercial documents, dealers have seven days from the time of receipt to record the receipt in the bound book. If a disposition is made before the acquisition has been entered in the bound book, the acquisition entry must be made at the same time as the disposition entry. We recommend that the A&D record be entered at the same time as the Form 4473 is being completed or as soon as possible afterward.

No, a Social Security card does not contain sufficient information to identify a firearms purchaser. A purchaser may be identified by any combination of valid government-issued documents that together establish all of the required information: Name, residence address, date of birth and photograph of the holder. [27 CFR 478.11 and 478.124(c)]

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. Watch at SHOT University™ Online	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. Watch at SHOT University™ Online

Yes, you can access this at: https://fflezcheck.atf.gov/FFLEzCheck/

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.

Yes, an FFL may acquire firearms from any FFL in any state and from any non-licensed individual, provided that the state that the FFL is visiting allows the transfer.

Yes, a family member of a prohibited individual who placed a firearm on consignment with a licensee may pick up the firearm subsequent to completion of a form 4473 and a background check. However, that family member may not transfer the firearm to the prohibited person. In addition, if the family member lives in the same household with the prohibited person, the family member must never allow the prohibited person to have either constructive or actual possession of the firearm. Please note that if the licensee is returning the firearm to the same individual who placed the firearm on consignment, and that person is not a prohibited person, a 4473 form must still be completed and a background check must be conducted.

No. If a prospective purchaser answers yes to any of the questions relating to prohibited categories of persons, the transaction should be stopped.  At that point the licensee has reasonable cause to believe that the customer is in fact prohibited from possessing a firearm and no NICS background check should be conducted.

No, under certain situations, family members may pick up a pawned firearm for a family member.  For example, ATF has held that a pawn ticket can be transferred to a family member or any other individual as long as it complies with all state and local laws.  If the person who pawned the firearm turns out to be a prohibited person, or is denied by NICS when they attempt to redeem the firearm, it is not lawful to return the pawned firearm to that person.

Federal Firearms Licensees (FFLs) are required to conduct business from their licensed business premises. The Form 4473 is intended for an over the counter transaction.  The buyer must appear in person at the FFL’s premises to complete the 4473.  Licensees may not conduct firearms transactions from locations other than their licensed premises, with the exception of gun shows or other events dedicated to the sporting use of firearms and held in the state where the FFL’s premises are located.  See the regulations, at 27 CFR 478.96(b), for a very specific and limited exception to the requirement for over-the-counter transfers.  That limited exception is rarely used.

Yes. During the time you reside in State X, you are a resident of that state. When you are residing in State Y, you are a resident of that state. In order to comply with regulations, you must be able to provide a Government-issued photo ID with an address that matches the address you indicate on Form 4473. Supplemental documentation to verify the address can be present, as per Ruling 2001-5. The supplemental document must have been issued by a Government agency, and examples are given in the Ruling as a vehicle registration, a recreation identification card (park district card in which the park district is administered by the city/county government), a fishing or hunting license, a voter identification card, or a [property] tax bill. The document must be valid and current at the time of purchase. This document must have the purchaser’s residence address in that state and be in the purchaser’s name.

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.

You must conduct a NICS check, as well as complete an ATF Form 4473, and follow all additional applicable laws. For the law enforcement officer to satisfy the exemption from the Brady Law, he or she must provide a certification on agency letterhead, signed by a person in authority within the agency (other than the officer purchasing the firearm), stating that the officer will use the firearm in official duties and that a records check reveals that the purchasing officer has no convictions for misdemeanor crimes of domestic violence (otherwise known as the Lautenberg Act statement). [27 CFR 478.134]

Under the GCA and ATF regulation 27 CFR 478.100 an FFL may temporarily extend its premises to a gun show or other qualifying event in the state where its premises are located. Therefore, the provisions of ATF Procedure 2017-1 could be employed to facilitate a Private Party Transfer at a gun show. A background check would have to be conducted in all cases and FFLs would need to make sure that all firearms involved in PPTs are properly logged into and out of its firearms acquisition and disposition records.

The NICS check is valid for 30 calendar days from when the check was initiated.

EXAMPLE: A NICS check is initiated on March 21. The FFL receives a “proceed” response from NICS on March 23. The purchaser does not return to pick up the firearm until April 22. The FFL must conduct another NICS check before transferring the firearm to the purchaser.

EXAMPLE: A NICS check is initiated on March 21. The FFL receives a “delayed” response from NICS; no further response is received. The purchaser does not return to pick up the firearm until April 22. The FFL must conduct another NICS check before transferring the firearm to the purchaser. [27 CFR 478.102(c)]

It is unlawful for any person to assemble from imported parts any semi-automatic rifle or any shotgun that is identical to any rifle or shotgun prohibited from importation under section 925(d)(3) of the Gun Control Act as not being particularly suitable for or readily adaptable to sporting purposes except that this subsection shall not apply to: the assembly of any such rifle or shotgun for sale or distribution by a licensed manufacturer to the United States or any department or agency thereof or to any state or any department, agency or political subdivision thereof; or the assembly of any such rifle or shotgun for the purposes of testing or experimentation authorized by the Attorney General.

The installation of the larger-capacity magazine would be assembling a rifle that is non-importable under 925(d)(3) as being nonsporting. If the rifle is otherwise importable and it does not contain more than 10 of the listed imported parts, its assembly is not prohibited under 18 U.S.C. section 922(r). Refer to the parts listed under 27CFR 478.39 to determine the number of imported parts of the particular Saiga rifle you possess. [18 U.S.C. 922(r) & 27 CFR 478.39]

Yes. However, possession of handguns by juveniles (less than 18 years of age) is generally unlawful. Juveniles generally may only receive and possess handguns with the written permission of a parent or guardian for limited purposes (e.g., employment, ranching, farming, target practice or hunting), and that permission slip must be carried by the juvenile while possessing the handgun. [18 U.S.C. 922(x)]

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Non-immigrant aliens from countries that do not require a VISA to come to the US and who have established residency in a state, may purchase firearms if they meet all other requirements. A non-immigrant alien from a country that requires a VISA to come to the US must meet all purchasing requirements (such as having established residency in a state) and at least one of the exceptions as provided in 18 USC 922(y)(2), such as a valid hunting license.

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 the concealed weapons permit issued in your state has been qualified by ATF as an alternative to a background check under the provisions of federal firearms laws, you must comply with the following requirements when transferring a firearm to an unlicensed person pursuant to this permit alternative:

• Have the transferee complete and sign ATF Form 4473, Firearms Transaction Record.
• Verify the identity of the transferee through government-issued photo identification (for example, a driver’s license).
• Verify that the permit was issued within the past five years by the state in which the transfer is to occur, that the permit is valid and that the permit has not expired.
• Record on the Form 4473 any identifying number from the permit, its date of issuance, and its expiration date.

A listing of permits that qualify as an alternative to a background check under the provisions of federal firearms law may be found at https://www.atf.gov/rules-and-regulations/permanent-brady-permit-chart

The Department of Justice is correcting a direct final rule titled ‘‘Bipartisan Safer Communities Act Conforming Regulations’’ that appeared in the Federal Register on April 19, 2024. That document amended Bureau of Alcohol, Tobacco, Firearms, and Explosives (‘‘ATF’’) regulations to conform ATF regulatory text to the new firearms-related definitions and requirements established by the Bipartisan Safer Communities Act and the NICS Denial Notification Act. This document makes some minor technical corrections to the direct final rule, which otherwise remains the same as previously published. All corrections are noted in this document.

Corrections were made on page 47789, in the first column, in part 270, instruction 9, On page 47789, in the third column,
in part 275, instructions 12 as well as on page 28630, in the third column, amendatory instructions b.iv and v, and the respective regulatory text for instruction 2.b.v

See the corrected document here.

These corrections will become effective July 18, 2024.

Information courtesy of the Bureau of Alcohol, Tobacco, Firearms, and Explosives (ATF)

For sales requiring the firearm to be transferred to another FFL in the purchaser’s state of residence, the name and complete 15-character federal firearms license number of the licensee to whom the firearm was shipped should be recorded. That FFL will then have the purchaser complete an ATF Form 4473 and conduct a background check in compliance with the Brady Law. Upon approval of the background check, the purchaser will take delivery of the firearm from that dealer.

The individual must present a valid Active Duty Military Identification Card that includes a photograph of the individual and approved Permanent Change of Station (PCS) Orders that show that the individual is permanently stationed at a military installation within the State where the FFL is licensed.  The effective date of the PCS Orders must be no later than the date the individual is attempting to make the purchase.  Any orders other than PCS Orders (TDY, TAD) are not valid to establish the service member as a resident of the State in which the FFL is located and cannot be used to allow the sale of a handgun to that person.