Retail Transfers and ATF Form 4473
May I use electronic software to process Forms 4473?
Yes. ATF allows the use of electronic Forms 4473 provided the requirements of ATF Ruling 2016-2 are met.
(Ref: ATF Ruling 2016-2)
How does an FFL verify identity of a transferee?
A valid (unexpired) government-issued photo identification document showing the transferee’s name, date of birth, current address must be used to prove their identity. If the photo identification document does not contain the current address of the transferee, a separate government-issued document establishing the address of the transferee may be utilized.
(Ref 478.124 / 478.11)
What are the multiple handgun sale reporting requirements?
FFLs must report the sale of two or more handguns if they occur at the same time or within five consecutive business days of each other.
(Ref: 478.126a)
What are the multiple rifle sale reporting requirements?
FFLs in Arizona, California, New Mexico, and Texas must report the sale of two or more semiautomatic rifles with the ability to accept a detachable magazine and of a caliber greater than .22 if they occur at the same time or within five consecutive business days of each other. (Ref: 478.126)
How long are FFLs required to maintain Forms 4473?
FFLs are required to maintain Forms 4473 for at least 20 years after the date of Disposition – records older than 20 years may be surrendered to ATF. Forms 4473 for which a background check was initiated but a firearm was not transferred are required to be maintained for a period of 5 years.
(Ref: 478.129)
How long must an FFL retain Forms 4473?
Forms 4473 must be retained by FFLs for at least 20 years if the firearms on the Form were transferred, although they may be retained permanently. If the FFL desires, they may submit Forms 4473 older than 20 years to the ATF. Forms 4473 for which a transfer did not occur but a NICS check (or state background check) was initiated must be retained for a period of at least 5 years.
(Ref: 478.129)
When must a background check be performed for a prospective transferee?
A NICS background check or a state-run background check must be performed for an FFL to transfer a firearm to a non-licensee subject to the following limited exceptions:
- The transferee has presented to the FFL a valid permit or license that allows the transferee to possess, acquire, or carry a firearm that was issued within the last 5 years by the State in which the transfer is to take place and ATF recognizes the permit as meeting Federal requirements (ATF maintains a list online called the Permanent Brady Permit Chart that lists all applicable states and permits).
- The firearm(s) on the Form 4473 are subject to the National Firearms Act and were approved for transfer by ATF on a Form 4. Note that if there are other firearms on the Form 4473 that are not subject to the National Firearms Act, a background check must be performed.
- Law enforcement officers purchasing firearms for official use who provide a licensee with a certification on agency letterhead that the officer will use the firearm in official duties and that a records check reveals the purchasing officer has no convictions for misdemeanor crimes of domestic violence are not required to complete an ATF Form 4473 or undergo a background check.
(Ref: 478.102 / 478.131 / 478.134)
When must an FFL obtain a Form 4473 from a firearm transferee?
A Form 4473 must be performed for all firearms transfers from an FFL to a non-licensee with the limited exception of when a law enforcement officer is purchasing firearms for official use who provide a licensee with a certification on agency letterhead that the officer will use the firearm in official duties and that a records check reveals the purchasing officer has no convictions for misdemeanor crimes of domestic violence
(Ref: 478.134)
Is an FFL required to provide secure gun storage or a safety device to transferees with every transfer?
FFLs are required to provide secure gun storage or a safety device when transferring a handgun to a non-licensed transferee, subject to the following exceptions:
- Transfers to the United States, a department or agency of the United States, a State, or a department, agency, or political subdivision of a State
- Transfers to law enforcement officers employed by any of the entities listed above
- transfer to a rail police officer directly employed by or contracted by a rail carrier and certified or commissioned as a police officer under the laws of a State for purposes of law enforcement
- transfers of handguns identified on ATF’s Curios or Relics List
(Ref 18 USC 922)
What information must an FFL provide to unlicensed transferees when transferring a firearm?
Federal law requires an FFL to provide ATF I 5300.2 Youth Handgun Safety Act Notice to handgun transferees. This information may also be included via a manufacturer’s product manual. Several states have their own laws that require FFLs to provide specific information to firearms purchasers.
(Ref: 18 USC 922)
Must an FFL perform a background check and complete a Form 4473 to return a firearm to a non-licensed individual who delivered it to the FFL?
An FFL must perform a Form 4473 transfer (including background check) if a non-licensed individual delivered a firearm to the FFL on consignment for the FFL to sell and the seller wishes to re-obtain the firearm; this applies whether the seller changed their mind or the firearm did not sell. If a non-licensed individual gave a firearm to an FFL for repair or customization, the FFL does not have to perform a Form 4473 transfer or conduct a background check in order to return the firearm to the individual.
(Ref: 478.124 / 18 USC 922)
What categories of individuals are prohibited from purchasing firearms?
Federally, in addition to the age limitations, the following persons are prohibited from purchasing firearms:
- Is or has been convicted in any court of a crime punishable by imprisonment for a term exceeding 1 year (unless they have received relief from this disability under 27 CFR 478.144, or, if the person is an FFL, any conviction has not become final).
- Is a fugitive from justice.
- Is an unlawful user of or addicted to any controlled substance.
- Has been adjudicated as a mental defective or has been committed to any mental institution.
- Has been discharged from the Armed Forces under dishonorable conditions.
- Who, having been a citizen of the United States, has renounced citizenship.
- Has been convicted of a misdemeanor crime of domestic violence.
- Is subject to a court order that restrains such person from harassing, stalking, or threatening an intimate partner of such person or child of such intimate partner or person, or engaging in other conduct that would place an intimate partner in reasonable fear of bodily injury to the partner or child, except that this shall only apply to a court order that
- (i) Was issued after a hearing of which such person received actual notice, and at which such person had the opportunity to participate; and
- (A) Includes a finding that such person represents a credible threat to the physical safety of such intimate partner or child; or
- (B) By its terms explicitly prohibits the use, attempted use, or threatened use of physical force against such intimate partner or child that would reasonably be expected to cause bodily injury.
- Is an alien illegally or unlawfully in the United States or, is an alien who has been admitted to the United States under a nonimmigrant visa: Provided, That the provisions of this paragraph do not apply to any alien who has been lawfully admitted to the United States under a nonimmigrant visa if that alien is
- (i) Admitted to the United States for lawful hunting or sporting purposes or is in possession of a hunting license or permit lawfully issued in the United States
- (ii) An official representative of a foreign government who is either accredited to the United States Government or the Government's mission to an international organization having its headquarters in the United States or en route to or from another country to which that alien is accredited. This exception only applies if the firearm or ammunition is shipped, transported, possessed, or received in the representative's official capacity
- (iii) An official of a foreign government or a distinguished foreign visitor who has been so designated by the Department of State. This exception only applies if the firearm or ammunition is shipped, transported, possessed, or received in the official's or visitor's official capacity, except if the visitor is a private individual who does not have an official capacity; or
- (iv) A foreign law enforcement officer of a friendly foreign government entering the United States on official law enforcement business.
(Ref: 478.99)