Federal Firearms Licensee Quick Reference and Best Practices Guide

ATF Publication 5300.15
Revised December 2021

ATF Industry Operations Investigators (IOIs) assist Federal firearms licensees (FFLs) in understanding and complying with the laws and regulations for operating a firearms business. Whether it is with proper recordkeeping or lawfully transferring firearms, IOIs ensure that FFLs comply with Federal firearms laws and regulations.

It is vital that FFLs comply with all laws and regulations, both to protect their communities from violent crime and to maintain their license. Adhering to the statutory and regulatory requirements discussed in this guidance document will assist FFLs in complying with all required firearm laws and regulations and will significantly contribute to ensuring public safety and the traceability of firearms. To maximize public safety, ATF will, absent extraordinary circumstances, initiate proceedings to revoke the license of any dealer that has committed a willful regulatory violation of the Gun Control Act (GCA) for specified violations. These violations are: Transferring a firearm to a prohibited person; failing to run a required background check: falsifying records, such as a firearms transaction form; failing to respond to an ATF tracing request; or refusing to permit ATF to conduct an inspection in violation of the law.

We encourage FFLs to contact ATF if they have any questions about their responsibilities as an FFL, or to report a public safety concern.

To learn more about firearms laws and regulations, as well as safety and security recommendations, we encourage FFLs to read the following publications found online at www.atf.gov:

ATF Publication 5300.4, Federal Firearms Regulations Reference Guide
ATF Publication 3317.2, Safety and Security Information for Federal Firearms Licensees
ATF Electronic P-5300.5, State Laws and Published Ordinances – Firearms
ATF eRegulations

This guide examines a list of the most common issues observed by ATF IOIs during ATF inspections.

Top Violations Impacting Public Safety

Failure to Obtain an ATF Form 4473—Firearms Transaction Record When Required.
Failure of an FFL to Obtain a Complete and Correct ATF Form 4473.
Failure to Conduct a National Instant Criminal Background Check System (NICS) Background Check Prior to the Transfer of a Firearm.
Sale or Transfer of a Firearm to a Prohibited Person.
Improper Sale to a Non-Resident.
Failure to Obtain Appropriate Identification Documents Prior to Transfer of a Firearm.
Failure to Record Complete and Accurate Acquisition and Disposition Information.
Failure to Report the Sale of Multiple Handguns and/or Certain Rifles, if Required.
Failure to Report Lost or Stolen Firearms.
Providing False Information.

Note: This guide pertains to Federal firearms laws under the Gun Control Act (GCA) and National Firearms Act (NFA). Each licensee must ensure compliance with all applicable Federal and State laws. ATF recognizes that the terms “mental defective” and “alien” are outdated, but are included in this document because they are the terms used in the relevant statutes and in the implementing regulations.

Educating Your Customers

One important way licensees can promote public safety is by educating customers. ATF publishes a variety of literature that FFLs can furnish to customers to help them better understand their legal obligations as firearms owners, as well as practical steps they can take to help keep firearms out of the hands of prohibited persons and facilitate the safe storage of firearms. ATF encourages FFLs to provide customers with the following useful publications which can be ordered from the ATF Distribution Center or downloaded from ATF's website.

Safety and Security for Firearm Owners (ATF P 5300.22)
This publication provides recommendations for safe firearms handling, as well as ways to help firearm owners protect themselves and the public from the theft, loss, or misuse of their firearm. Pursuant to 18 U.S.C. 922(d), it is unlawful for any person to sell or deliver a firearm to any person knowing or having reasonable cause to believe are prohibited from possessing or receiving firearms. Unlicensed persons do not have the ability to use NICS to conduct a background check on a prospective transferee/buyer and, consequently, have no comprehensive way to confirm whether the transferee/buyer is prohibited from receiving or possessing a firearm. ATF strongly encourages FFLs to assist unlicensed persons in facilitating private party transfers. ATF Procedure 2020-2 provides FFLs with formal guidance to comply with the recordkeeping and background check requirements while facilitating firearm transfers between private parties.
Do I need a license to buy or sell firearms? (ATF P 5310.2)
This publication contains information to help the public understand when those who buy and sell firearms must have a federal firearms license.
Youth Handgun Safety Act Notice (ATF I 5300.2)
This publication highlights the federal law that prohibits, except in certain limited circumstances, anyone under 18 years of age from knowingly possessing a handgun, or any person from selling, delivering, or otherwise transferring a handgun to a person under 18. Federal law requires licensees to provide the information contained in this publication at the time of transfer of a handgun to a nonlicensee. Federal law also requires the posting of this information in the licensed premises.
Personal Firearms Record (ATF P 3312.8)
This document – which is intended to be filled out and maintained by firearms owners – records important information about their firearms useful for identification and reporting in case of theft or loss.
Don't Lie for the Other Guy
Don’t Lie for the Other Guy is a national campaign to prevent the illegal straw purchase of firearms. The campaign includes a variety of products FFLs can utilize to help prevent straw purchasing, including training videos, posters, booklets, and other materials.

Your License Quick Reference

For the purposes of this guide, a Federal firearms licensee is referred to as “you,” “a licensee,” and “FFL.” Upon receipt of a firearms license, each licensee should carefully examine the license to make sure all information contained therein is correct. If you find an error, contact the Chief, Federal Firearms Licensing Center (FFLC) and, if the error was on ATF’s part, return the license to the FFLC along with a statement showing the nature of the error for correction. A new application may be required if the error was on the part of the applicant. Your license must be posted on the premises covered by the license and readily available for inspection by any ATF officer (27 CFR 478.91).

Expiration and Renewal of Your License

Applicable Laws and Regulations: 27 CFR §§ 478.45, 478.49, 478.50.

Your Federal firearms license is in effect until the expiration date on the license, unless terminated sooner. The license covers business operations only at the location specified on the license or at a qualifying gun show or event in the State where you are licensed. No additional license is required for a separate warehouse used solely for firearms storage, provided you maintain your required records at your licensed premises (27 CFR 478.50).

ATF will send you a renewal application—ATF Form 8 Part II, Federal Firearms Licensee (FFL) Renewal Application (ATF Form 8, Part II)—approximately 90 days before the expiration date on your license. If you have not received your renewal application 30 days before the license expiration date, please contact the FFLC toll-free at 1-866-662-2750. (Please also call FFLC and the National Tracing Center (NTC) at 1-800-788-7133 should you no longer wish to be licensed. Please see the “Sale of Business or Going Out of Business” section on page 27 of this guide regarding the delivery of your records upon discontinuance of your business.)

To renew your license, you must complete and submit the renewal application (ATF Form 8 Part II), with the required fee, to the address specified on the form prior to the license expiration date. The submission address is:

Federal Firearms Licensing Center
P.O. Box 6200-20
Portland, OR 97228-6200

If you file your renewal before the license expiration date, you may continue to operate until you receive your new license.

If the new license does not arrive by your expiration date, ATF’s FFLC can issue a Letter of Authorization to establish proof of your licensed status to other FFLs.

Changing Your Mailing Address or the Address of Your Premises

Applicable Laws and Regulations: 27 CFR §§ 478.41, 478.52.

If you intend to change the location of your business premises: Notify the Chief, FFLC, not less than 30 days prior to moving your business to a new address by filing ATF Form 5300.38, Application for an Amended Federal Firearms License. Your original license must be submitted with the ATF Form 5300.38. You may not operate as an FFL at a new address until you have received the amended license from ATF.

If your mailing address changes: You should notify ATF as soon as possible by sending a letter advising of the new mailing address to:

Chief, FFLC
ATF National Services Center
244 Needy Road
Martinsburg, WV 25405
Phone: (866) 662-2750

Change of Control or Change of Business Entity

Applicable Laws and Regulations: 27 CFR §§ 478.21, 478.44, 478.51, 478.53, 478.54.

A change of control occurs when the licensed entity (e.g., XYZ, Inc.) remains intact but actual or legal control of the entity changes, directly or indirectly, by change of stock ownership or control, by operation of law, or in any other manner. The licensee is not required to submit a new application for an FFL as the result of a change of control but must provide notification to the FFLC within 30 days of such change. However, upon expiration of the license, the corporation or association must file an Application for Federal Firearms License, ATF Form 7/7CR (5310.12/5310.16) (Form 7/7CR), as required by 27 CFR 478.44.

Licenses are not transferable. A change of the licensed business entity occurs when the actual licensed entity itself ceases to operate and a new entity is created (e.g., John Gun, a sole proprietor, ceases operations and John’s Guns, Inc. is created to assume the operations). The new business entity must submit an application to the FFLC, and receive a firearms license, prior to beginning operations requiring an FFL.

A licensee does not need to submit a new application for a license when a corporation becomes an LLC under a State conversion statute where no lease, sale, or other transfer of the authorized operations occurs. In these cases, the licensee must comply with the requirements in 27 CFR 478.54. Licensees should refer to the State law in the State of licensure for conversion statutes of legal entities.

Licensees may report new responsible persons by filing an ATF Form 7/7CR, Part B - Responsible Person Questionnaire (RPQ) with the Chief, FFLC. The licensee must provide all of the identifying information for the new responsible person(s) as required on ATF Form 7/7CR. The form must be accompanied by a current photograph of the responsible person(s) and fingerprints submitted on an FBI Fingerprint Card (FD-258). Fingerprints must be clear in order to conduct an accurate background check. ATF recommends that the fingerprint card be processed by an individual regularly accustomed to fingerprinting. When adding a responsible person using Part B, you must include a signed written request from a current/existing responsible person of the licensee authorizing the addition of the new responsible person(s).

ATF Inspections and Outcomes

Applicable Laws and Regulations: 18 U.S.C. § 923; 27 CFR § 478.23, 479.22

ATF may enter the premises and places of storage of any licensed manufacturer, licensed importer, licensed dealer, or licensed collector during business hours for the purposes of inspecting or examining the records, documents, ammunition and firearms and to ensure compliance with GCA recordkeeping requirements. Compliance inspections are conducted by ATF’s industry operations investigators (IOIs). Inspections are generally unannounced, occur during the licensee’s business hours, and may also include an inspection of off-site storage locations, if any. ATF is generally limited to the inspection of a licensee not more than once during any 12-month period. ATF, however, may contact a licensee at any time with respect to records maintained by the licensee that relate to a firearm involved in a criminal investigation. If a licensee refuses to comply by not letting the IOI enter the business premises or inspect their inventory and records, this conduct is considered a willful violation of the GCA and ATF will pursue revocation of the license. While the GCA does not define “willful,” Federal courts have held that a willful violation of the GCA’s regulations occurs when the FFL commits the violation with an intentional disregard of a known legal duty or with plain indifference to their legal obligations.

The purpose of ATF’s firearms inspection program is to educate licensees about regulatory responsibilities and to evaluate the level of compliance. Compliance inspections also serve to protect the public in that they promote voluntary internal controls to prevent and detect diversion of firearms from lawful commerce to the illegal market.

Upon arriving at the licensee’s business premises, IOI(s) will introduce themselves to the licensee, show their ATF credentials, provide their contact information, and conduct an opening conference with the industry member. The opening conference will provide the licensee an explanation of the inspection process, the generally intended scope (application inspection, compliance inspection, etc.), an estimated inspection timeframe, and information and resources needed to efficiently complete the inspection.

Steps IOI(s) conduct during inspections include, but are not limited to:

Reviewing business operations, including ownership and responsible person information
Evaluation of the licensee’s internal controls and security measures
Verification that licensee is in compliance with state and local laws
Physical inventorying firearms
Reviewing the acquisition & disposition (A&D) record, also known as the bound book
Reviewing all ATF forms, including Forms 4473
Suggesting voluntary actions or steps the licensee can take to improve compliance

At the conclusion of the inspection, the IOI will advise the licensee of any violations or discrepancies disclosed, if any. If violations are disclosed, the IOI will go over the final report of violations (“ROV”) during the inspection closing conference. The IOI will document the licensee’s response to the violations, including any corrective actions the licensee has taken. Later, ATF will provide the licensee with a physical or digital copy of the signed ROV.

ATF IOIs routinely work with industry groups and individual licensees to promote compliance and reduce the likelihood of violations occurring that may result in revocation of a license or other administrative action.

For additional information regarding the inspection process please go to Firearms Compliance Inspections | Bureau of Alcohol, Tobacco, Firearms and Explosives (atf.gov).

Some regulatory violations of the GCA pose inherent public safety risks and, when willfully committed, will result in ATF taking action to revoke the license of the offending FFL. ATF will also take action to revoke the license of an FFL that knowingly engages in a criminal violation of the federal firearms laws. While relatively few FFLs engage in such conduct, the negative effect that willful violations have on public safety can be immense. Consequently, the courts have also held that a single willful violation of a GCA regulation is a sufficient basis for ATF to revoke an FFL’s license.

Absent extraordinary circumstances, ATF will issue a notice of revocation whenever it determines an FFL has willfully committed a single act of one of the following violations:

Transferring a firearm to a prohibited person
Failing to conduct a required background check
Falsifying records, such as a firearms transaction form
Failing to respond to a trace request
Refusing to permit ATF to conduct an inspection

Other willful violations that may result in the issuance of a notice of revocation include but are not limited to failure to:

Account for firearms
Verify and document buyer eligibility
Maintain records needed for successful firearms tracing
Report multiple sales of handguns

If the violations do not warrant a notice of revocation, ATF has several ways to guide the FFL toward corrective actions and future compliance. These methods include issuing an ROV, sending a warning letter, and holding a warning conference (or meeting) with the industry member When an ATF inspection reveals that regulatory violations are the result of inadvertence or administrative mistakes, and are not recurring or threatening to public safety, ATF will work to assist the licensee in taking corrective actions to ensure those violations are not repeated and the licensee achieves full compliance.

When ATF does pursue revocation, the procedures specified under Title 27 of the Code of Federal Regulations, Part 478 (27 CFR 478), are followed.

First, ATF sends the licensee a notice of revocation (ATF Form 4500) that includes the violations that are the basis for pursuing revocation.
The licensee has 15 days from receipt of the notice to file a request for a hearing with the Director of Industry Operations (DIO) in their ATF field division.
At the hearing, the licensee can be represented by an attorney and may bring employees and documentation to address the violations cited in the notice. ATF is represented by ATF counsel and the industry operations investigators (IOIs) who conducted the inspection(s) that resulted in the revocation recommendation.
During the hearing, the licensee has the opportunity to challenge the violations, including presenting evidence supporting assertions that a violation was not willful or does not otherwise warrant revocation. Based on the evidence, testimony and exhibits presented at the hearing by the licensee and ATF, the DIO decides whether to continue with the revocation.
If the DIO decides that the violations were willful and revocation is justified, or if the licensee does not request a hearing, ATF sends a final notice of revocation (ATF Form 5300.13) to the licensee with a summary of the findings and legal conclusions that warrant revocation. If the DIO decides that the license should not be revoked, ATF will notify the licensee in writing.

Within 60 days of receipt of the final notice of revocation, the licensee may file a petition for judicial review in federal court. This petition must be filed with the U.S. District Court for the district where the licensee resides or has their principal place of business. There is a fee for filing a civil action in federal court.

For additional information regarding the revocation of firearms licenses please go to Revocation of Firearms Licenses | Bureau of Alcohol, Tobacco, Firearms and Explosives (atf.gov).

Secure Gun Storage

Applicable Laws and Regulations: 18 U.S.C. § 923(d); 27 CFR §§ 478.73, 478.104.

A final rule to implement certain provisions of Public Law 105-277, Omnibus Consolidated and Emergency Supplemental Appropriations Act, 1999 amends the regulations in title 27, Code of Federal Regulations (“CFR”), part 478. In part, the amended regulations require applicants for dealer’s, manufacturer’s, or importer’s licenses to certify that secure gun storage or safety devices will be available at any place where firearms are sold to nonlicensed individuals, and that the gun storage or safety devices are compatible with the firearms offered for sale by the licensee. Further, the rule makes clear that a notice of revocation of a Federal firearms license may be issued whenever the ATF Director has reason to believe that a licensee fails to have secure gun storage or safety devices available at any place in which firearms are sold under the license to persons who are not licensees (except in any case in which a secure gun storage or safety device is temporarily unavailable because of theft, casualty loss, consumer sales, backorders from a manufacturer, or any other similar reason beyond the control of the licensee).

ATF Form 4473

Applicable Laws and Regulations: 18 U.S.C. § 923(g); 27 CFR §§ 478.21, 478.124, 478.134.

You must obtain a completed Firearms Transaction Record, ATF Form 4473 (5300.9) (Form 4473); and, if necessary, an ATF Form 4473 Firearms Transaction Record Continuation Sheet (5300.9A), for every transfer of a firearm(s) to a non-licensee. The licensee must ensure each ATF Form 4473 is completed correctly in accordance with the instructions on the form. The correct completion of these forms enhances traceability of firearms. Correctly completing ATF Forms 4473 is one of the most important things you can do to ensure that ATF can trace crime guns. An ATF Form 4473 must be completed when you:

Sell or trade a firearm;
Return a consignment firearm;
Return a pawned firearm;
Loan or rent a firearm for use away from your licensed premises; or,
Otherwise transfer or dispose of a firearm to a non-licensed person.

Note: You may only transfer a firearm to the person who completed the ATF Form 4473 and NOT to a spouse, relative, or other representative of that person.

Exceptions to the ATF Form 4473 Requirement

You are not required to obtain an ATF Form 4473 for the following sales and other transfers:

Transfer of a firearm to another FFL (including collectors when transferring a Curio & Relic firearm);
The return of a repaired firearm to the person from whom it was received;
The sale of a firearm to a law enforcement agency or to a law enforcement officer for official duties if the transaction meets the requirements of 27 CFR 478.134, discussed in the Sales of Firearms to Law Enforcement Officers section of this guide; or,
Transfer of a replacement firearm of the same kind and type to the person from whom a firearm was received. However, you are required by 27 CFR 478.125 to maintain in your permanent records the disposition of such a replacement firearm.

Transferee’s Sections of ATF Form 4473

Before you transfer any firearm, it is YOUR responsibility to make sure that the buyer or transferee provides ALL information required in each section of the ATF Form 4473 (5300.9; and, if needed, 5300.9A) under the heading: “Must Be Completed Personally By Transferee/Buyer.”

Licensee’s Sections of ATF Form 4473

Licensees must accurately complete all sections of each ATF Form 4473 (5300.9) under the heading: “Must Be Completed By Transferor/Seller.” Licensees must also complete ATF Form 4473 Firearms Transaction Record Continuation Sheet (5300.9A) if more than three firearms are involved in a single transaction. All information required by the ATF Form 4473 should be recorded on the ATF Form 4473 (5300.9; and, if needed, 5300.9A) itself, and not on other miscellaneous documents.

Information contained on a State firearms transfer document, or any other document, cannot be used in lieu of entering the information required on the ATF Form 4473.

Errors and Omissions on the ATF Form 4473

If, after a firearm has been transferred, you discover that the ATF Form 4473 (5300.9 and/or 5300.9A) is incomplete or was improperly completed, do NOT make changes to the original ATF Form 4473. Instead, you should make corrections on a photocopy of the page pertaining to the inaccurate ATF Form 4473. The photocopied page(s) containing any changes or corrections should be attached the original ATF Form 4473 and retained as a part of your records. All changes should be initialed and dated.

A buyer or transferee may only make changes or corrections on the photocopy to the sections of the form completed by the buyer/transferee. A licensee may only document changes or corrections to the sections of the photocopied ATF Form 4473 completed by the licensee.

ATF recommends the implementation of a secondary review procedure of each ATF Form 4473 for errors and omissions prior to transferring a firearm.

Electronic ATF Form 4473

ATF Ruling 2016-2 authorizes licensees to use an electronic ATF Form 4473 provided all conditions set forth in the Ruling are met. All licensees should thoroughly read and understand Ruling 2016-2 before utilizing an electronic ATF Form 4473. Please note: ATF is currently drafting a superseding ruling to replace ATF Ruling 2016-2. Once approved, it will be available on the ATF website (https://www.atf.gov/rules-and-regulations/firearms-rulings).

Background Checks

Applicable Laws and Regulations: 18 U.S.C. § 922(t); 27 CFR §§ 478.102, 478.124, 478.131, 478.134.

Federal law requires that licensees conduct a National Instant Criminal Background Check System (NICS) background check for every transfer of a firearm to a non-licensee unless the transferee qualifies for one of the exceptions listed in 18 U.S.C. 922(t)(3). Some States, known as point of contact (POC) States, conduct NICS background checks for some or all firearms transfers. Please see the Permanent Brady State Lists for more information.

The NICS check ensures that any person who purchases a firearm from you may lawfully receive firearms. A NICS check MUST be conducted before:

The sale or trade of a firearm;
The return of a consigned firearm;
The redemption of a pawned firearm;
The loan or rental of a firearm for use away from your licensed premises; or
Any other non-exempt transfer of a firearm.

Failure to conduct a background check has a significant impact on public safety. You could be fined, have your license suspended or revoked, and be prosecuted if you fail to do so pursuant to 18 U.S.C. 922(t)(5).

Note: Licensees can only deliver a firearm to the person listed as the transferee on the ATF Form 4473 and NOT a spouse, relative, or other representative of that person.

Exceptions to the NICS Background Check

Applicable Laws and Regulations: 18 U.S.C. § 922(t); 27 CFR §§ 478.102(d), 478.131, 478.134.

You are NOT required to conduct a NICS check in the following limited situations:

The sale or transfer of a firearm where the transferee presents a valid State permit/license purchase or carry a firearm from the State in which your licensed premises is located that meets the requirements under 18 U.S.C. 922(t)(3) (See ATF’s Permanent Brady Permit Chart);
The transfer of a firearm to another FFL (including collectors when transferring a curio & relic firearm);
The return of a repaired firearm to the person from whom it was received;
The sale of a firearm to a law enforcement officer for official use if the transaction meets the specific requirements of 27 CFR 478.134 as discussed in the Sales of Firearms to Law Enforcement Officers section on page 14 of this guide;
The transfer of a replacement firearm of the same kind and type to the person from whom a firearm was received; or,
The transfer of a firearm that is subject to the National Firearms Act (NFA) if the person who will receive the firearm was subject to a background check as part of the NFA approval process. Persons who have undergone a background check during the NFA application process are listed on the approved NFA transfer form. Note: The ATF Form 4473 must be completed prior to the transfer of a NFA firearm to a non-licensee.

NOTE: A licensee may not allow an individual who is a prohibited person to receive or possess firearms or ammunition, including persons employed by the licensee. ATF encourages licensees to conduct background checks on their employees on a regular interval (e.g., on an annual basis) to ensure prohibited employees do not possess firearms or ammunition. However, licensees may not use the NICS system for these checks.

Prohibited Transfers

Applicable Laws and Regulations: 18 U.S.C. § 922(d); 27 CFR § 478.21, 478.99

You MAY NOT sell or otherwise dispose of a firearm to a person other than the actual buyer or transferee. A person has given you reason to believe he or she is not the actual buyer or transferee, and the transaction must be stopped, if the person answers:

“No” to the question on ATF Form 4473 (5300.9) that asks:

“Are you the actual transferee/buyer of the firearm(s) listed on this form and any continuation sheet(s) (ATF Form 5300.9A)?”

You MAY NOT sell or otherwise dispose of a firearm or ammunition to any person you know or have reasonable cause to believe is prohibited from shipping, transporting, possessing or receiving a firearm.

A person has given you reason to believe he or she is prohibited, and the transaction must be stopped, if the person answers:

“Yes” to a question on the ATF Form 4473 (5300.9) that asks:

“Are you under indictment or information in any court for a felony, or any other crime for which the judge could imprison you for more than one year, or are you a current member of the military who has been charged with violation(s) of the Uniform Code of Military Justice and whose charge(s) have been referred to a general court-martial?”
“Have you ever been convicted in any court, including a military court, of a felony, or any other crime for which the judge could have imprisoned you for more than one year, even if you received a shorter sentence including probation?”
“Are you a fugitive from justice?”
“Are you an unlawful user of, or addicted to, marijuana or any depressant, stimulant, narcotic drug, or any other controlled substance?”
“Have you ever been adjudicated as a mental defective OR have you ever been committed to a mental institution?”
“Have you ever been discharged from the Armed Forces under dishonorable conditions?”
“Are you subject to a court order, including a Military Protection Order issued by a military judge or magistrate, restraining you from harassing, stalking, or threatening your child or an intimate partner or child of such partner?”
“Have you ever been convicted in any court of a misdemeanor crime of domestic violence, or are you or have you ever been a member of the military and been convicted of a crime that included, as an element, the use of force against a person as identified in the instructions?”
“Have you ever renounced your United States citizenship?”
“Are you an alien illegally or unlawfully in the United States?”

– OR –

“Yes” to the question on the ATF Form 4473 (5300.9) that asks:

“Are you an alien who has been admitted to the United States under a nonimmigrant visa?”
AND

“No” to the question on the ATF Form 4473 (5300.9) that asks:

“If you are such an alien do you fall within any of the exceptions stated in the instructions?”

You MAY NOT sell or transfer a firearm or ammunition to persons prohibited from receiving or possessing firearms or ammunition as described below. Please see the instructions on the ATF Form 4473 (5300.9) for applicable definitions and/or possible exceptions.

Straw Purchaser: A “straw purchaser” is a person who is not the “actual buyer” of the firearm; that is, a person who obtains a firearm for another person. If you suspect that a transaction is a straw purchase, or there are suspicious circumstances surrounding the potential sale, you should not sell the firearm and you should notify your local ATF office.
Person Under Indictment or Information: Any person who is under indictment or information for a felony, or any other crime punishable by imprisonment for a term exceeding one year, in any Federal, including a General Court-Martial, State or local court. An information is a formal accusation of a crime verified by a prosecutor. A member of the Armed Forces must answer “Yes” to the applicable question if charged with an offense that is referred to a General Court-Martial.
Person Convicted of a Crime Punishable by Imprisonment for a Term Exceeding 1 Year: Any person who has been convicted in any Federal court, including a General Court-Martial, State or local court of a felony, or any other crime punishable by imprisonment for a term exceeding one year.

EXCEPTIONS: A person is not prohibited from receiving or possessing a firearm if that person: (1) has been convicted of any Federal or State offense pertaining to antitrust violations, unfair trade practices, restraints of trade, or other similar offenses relating to the regulation of business practices; or (2) has been convicted of a State misdemeanor punishable by imprisonment of two years or less. A person convicted of a felony or other crime for which the judge could have imprisoned the person for more than one year is not prohibited from receiving or possessing a firearm if, under the law of the jurisdiction in which the conviction occurred, the person has been pardoned, the conviction has been expunged or set aside, or the person has lost and regained civil rights (the right to vote, sit on a jury, and hold public office) AND the law of the convicting jurisdiction does not prohibit the person from receiving or possessing firearms.
Fugitive from Justice: Any person who has fled from any State to avoid prosecution for a felony or a misdemeanor; or any person who leaves the State to avoid giving testimony in any criminal proceeding. The term also includes any person who knows that misdemeanor or felony charges are pending against such person and who leaves the State of prosecution.
Unlawful Drug User or Drug Addict: Any person who is an unlawful user of, or addicted to, marijuana, or any depressant, stimulant, or narcotic drug, or any other controlled substance as defined in section 102 of the Controlled Substances Act (21 U.S.C. 802). The use or possession of marijuana remains unlawful under Federal law regardless of whether it has been legalized or decriminalized for medicinal or recreational purposes under State law.
a. Person Adjudicated as a Mental Defective: Any person found by a court, board, commission, or other lawful authority, as a result of marked subnormal intelligence, or mental illness, incompetency, condition or disease, to be: (1) a danger to himself or to others; or (2) lacking the mental capacity to contract or manage his own affairs. This term shall include: (1) a finding of insanity by a court in a criminal case; and (2) those persons found incompetent to stand trial or found not guilty by reason of lack of mental responsibility.

b. Person Committed to a Mental Institution: Any person formally committed to a mental institution by a court, board, commission, or other lawful authority. The term includes a commitment to a mental institution involuntarily. The term includes commitment for mental defectiveness or mental illness. It also includes commitments for other reasons, such as drug use. The term does not include a person in a mental institution for observation or a voluntary admission to a mental institution.

EXCEPTION: Under the NICS Improvement Amendments Act of 2007, a person who has been adjudicated as a mental defective or committed to a mental institution in a State proceeding is not prohibited by the adjudication or commitment if the person has been granted relief by the adjudicating/committing State pursuant to a qualifying mental health relief from disabilities program. Also, a person who has been adjudicated as a mental defective or committed to a mental institution by a department or agency of Federal Government is not prohibited by the adjudication or commitment if either: (a) the person’s adjudication or commitment was set-aside or expunged by the adjudicating/committing agency; (b) the person has been fully released or discharged from all mandatory treatment, supervision, or monitoring by the agency; (c) the person was found by a court, board, commission, or other lawful authority to no longer suffer from the mental health condition that served as the basis of the initial adjudication/commitment; (d) the adjudication or commitment, respectively, is based solely on a medical finding of disability, without an opportunity for a hearing by a court, board, commission, or other lawful authority, and the person has not been adjudicated as a mental defective consistent with section 922(g)(4) of title 18, United States Code; or (e) the person was granted relief from the adjudicating/committing agency pursuant to a qualified mental health relief from disabilities program. This exception to an adjudication or commitment by a Federal department or agency does not apply to any person who was adjudicated to be not guilty by reason of insanity, or based on lack of mental responsibility, or found incompetent to stand trial, in any criminal case or under the Uniform Code of Military Justice.
Person Dishonorably Discharged from the Military: Any person separated from the Armed Forces resulting from a dishonorable discharge or a dismissal adjudged by a General Court-Martial. The term does not include any other discharge or separation.
Person Subject to a Qualifying Restraining Order: Any person who is subject to a court order that: (A) was issued after a hearing of which the person received actual notice and had an opportunity to participate; (B) restrains such person from harassing, stalking or threatening an intimate partner 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; (C)(i) includes a finding that such person represents a credible threat to the physical safety of such intimate partner or child; or (ii) 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. An “intimate partner” of a person is: the spouse or former spouse of the person, the parent of a child of the person, or an individual who cohabitates or has cohabited with the person.
Person Convicted of a Misdemeanor Crime of Domestic Violence: Any person convicted of an offense that is a misdemeanor under Federal, State, or tribal law and has, as an element, the use or attempted use of physical force, or the threatened use of a deadly weapon, committed by a current or former spouse, parent, or guardian of the victim, by a person with whom the victim shares a child in common, by a person who is cohabitating with or has cohabited with the victim as a spouse, parent, or guardian, or by a person similarly situated to a spouse, parent, or guardian of the victim. The term includes all misdemeanors that have as an element the use or attempted use of physical force or the threatened use of a deadly weapon (e.g., assault and battery), including military convictions, if the offense is committed by one of the defined parties.

EXCEPTIONS: A person is not considered convicted of a misdemeanor crime of domestic violence unless: (1) the person was represented by counsel in the case or knowingly and intelligently gave up the right to counsel; and (2) where the jurisdiction provides for a jury trial, the case was tried by a jury, or the person knowingly and intelligently waived the right to a trial jury by guilty plea or otherwise. A person convicted of a misdemeanor crime of domestic violence is not prohibited from receiving or possessing a firearm if, under the law of the jurisdiction in which the conviction occurred, the person has been pardoned, the conviction has been expunged or set aside, or the person has lost and regained civil rights (the right to vote, sit on a jury, and hold public office) AND the law of the convicting jurisdiction does not prohibit the person from receiving or possessing firearms.

A current or former member of the military who has been convicted of a violation of the Uniform Code of Military Justice that included, as an element, the use of force against a person as identified in the instructions pertaining to misdemeanor crimes of domestic violence must answer “Yes” to the applicable question. This may include a qualifying offense that was referred to a Special or General Court-Martial.
Person who has Renounced U.S. Citizenship: Any person who, having been a citizen of the United States, renounced his or her citizenship either before a diplomatic or consular officer in a foreign state pursuant to 8 U.S.C. 1481(a)(5); or before an officer designated by the Attorney General when the United States is in a state of war pursuant to 8 U.S.C. 1481(a)(6). The term does not include any renunciation of citizenship reversed as a result of administrative or judicial appeal.
a. Aliens Illegally or Unlawfully in the United States: Any person, not a citizen or national of the United States, unlawfully in the United States (i.e. not in a valid immigrant, nonimmigrant, or parole status). Includes aliens who unlawfully entered the United States without inspection and authorization by an immigration officer; a nonimmigrant who illegally remains in the United States after his or her authorized period of stay has expired; an alien whose parolee status has expired or has been terminated; or an alien under an order of deportation, exclusion, removal, or voluntary departure.

b. Aliens Admitted to the United States under a Nonimmigrant Visa: Any person, not a citizen or national of the United States, admitted to the United States under a nonimmigrant visa (as that term is defined in section 101(a)(26) of the Immigration and Nationality Act (8 U.S.C. 1101(a)(26)). An alien admitted to the United States under a nonimmigrant visa includes, among others, persons visiting the United States temporarily for business or pleasure, persons studying in the United States who maintain a residence abroad, and certain temporary foreign workers.

EXCEPTIONS: The term admitted under a nonimmigrant visa does NOT include immigrant aliens, also known as lawful permanent residents, who are issued a permanent resident card (“green card”) or other documentation of permanent resident status, nor aliens legally admitted to the United States pursuant to either the Visa Waiver Program or regulations otherwise exempting them from visa requirements. An alien admitted to the United States under a nonimmigrant visa is generally prohibited from shipping, transporting, possessing or receiving firearms, unless he or she is: (1) admitted to the United States for lawful hunting or sporting purposes; (2) in possession of a hunting license or permit lawfully issued in the United States; (3) 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; (4) an official of a foreign government or a distinguished foreign visitor who has been so designated by the Department of State; (5) a foreign law enforcement officer of a friendly foreign government entering the United States on official law enforcement business; (6) an official representative of a foreign government who is en route to or from another country to which the alien is accredited; or (7) granted a waiver from the Attorney General of the United States.
Sale in Violation of State Law or Published Ordinance: You may not sell or deliver a firearm to any person in any State where the purchase or possession by such person of such firearm would be in violation of a State law or published ordinance applicable at the place of sale, delivery, or other disposition. We recommend that you refer to ATF P 5300.5, State Laws and Published Ordinances – Firearms.

Age Restrictions

Applicable Laws and Regulations: 18 U.S.C. § 922(b)(1); 27 CFR § 478.58, 478.99(b).

Licensees may not sell or deliver a firearm or ammunition to a person who the licensee knows or has reasonable cause to believe is less than 18 years of age, and may not sell or deliver a firearm other than a rifle or shotgun - or ammunition for other than a rifle or shotgun - to a person who the licensee knows or has reasonable cause to believe is less than 21 years of age. However, if State law or local ordinances establish a higher minimum age for the purchase or disposition of firearms, the licensee must observe the higher age requirement.

You may sell ammunition that is interchangeable between rifles and handguns to a buyer who is at least 18 years of age if you are satisfied that he or she will use the ammunition in a rifle. A firearm frame or receiver is not a rifle or shotgun and may not be sold or transferred to a person less than 21 years of age.

Transfers Between Licensees

Applicable Laws and Regulations: 18 U.S.C. § 922(a); 27 CFR §§ 478.93, 478.94, 478.95, 478.122, 478.123, and 478.125.

FFLs may transfer firearms to other FFLs (FFLs may not transfer a firearm other than a curio or relic to a Type 03 Collector of Curios and Relics FFL), including interstate transfers, without completing an ATF Form 4473 for these transactions. In these instances, the following procedures must be followed:

Transactions between licensees must be recorded in the Acquisition and Disposition (A&D) records of both licensees pursuant to 27 CFR 478.122, 478.123, or 478.125, as applicable.
The FFL who is buying the firearm must furnish a certified copy of the license to the selling FFL prior to the transfer of any firearm. This certified copy may be mailed, emailed, or faxed.

Licensees should take advantage of FFL eZ Check before transferring firearms to another licensee. The purpose of this program is to allow a licensee or other user to verify that a Federal firearms license is valid. The user needs the first 3 digits and the last 5 digits of the FFL being verified.

FFL eZ Check does not validate Type 03 (Collectors of Curios and Relics) and Type 06 (Manufacturer of Ammunition) licenses. All attempts to check the validity of Type 03 and Type 06 licenses will result in an error message, even though the license may be valid. An FFL should not use this error message as reason to deny dealing with a Type 03 or Type 06 licensee. A licensee needing to verify the validity of a Type 03 or Type 06 license may contact ATF’s FFLC at 1-866-662-2750.

State Residency Requirements

Applicable Laws and Regulations: 18 U.S.C. § 921(b) and 922(b); 27 CFR § 478.11, 478.94, 478.96, 478.99(a), 478.102(a)(3) and 478.124(c).

You may not sell or transfer a firearm to a nonlicensee who resides outside the State in which your licensed premises is located. A person’s State of residence is the State in which an individual resides. An individual resides in a State if he or she is present in a State with the intention of making a home in that State.

Military members on active duty have special residency considerations

Applicable Laws and Regulations: 18 U.S.C. § 921(b); 27 CFR § 478.11.

A member of the Armed Forces on active duty is a resident of the State in which his or her permanent duty station is located. An active duty military member may establish residency by presenting permanent change of station (PCS) orders (either paper or electronic) and a valid military photo identification card.

An active duty military member may also be a resident of a State other than where his/her permanent duty station is located. A military member claiming residency in a State in which he or she is present with the intention of making a home must demonstrate that residency to a licensee by presenting a valid identification document, or a combination of valid, government issued documents to satisfy the identification document requirement. See also ATF Ruling 2001-5.

Permitted Sales to Non-Residents of Your State

Applicable Laws and Regulations: 27 CFR §§ 478.94, 478.99(a).

You may sell a firearm to a person who does not reside in your State by shipping the firearm to a licensee in the buyer’s State of residence. The buyer can then take possession of the firearm from the licensee in the buyer’s State of residence. The licensee in the buyer’s State of residence is responsible for the ATF Form 4473 and NICS background check. The A&D records should reflect the transfer to the out-of-State FFL to whom the firearm was shipped, and not to the end purchaser.

You may make an over-the-counter sale of a rifle or shotgun to a non-resident of your State if the transaction complies with Federal law, as well as all the laws of your State and the laws of the buyer’s State. As this exception applies only to shotguns and rifles, frames and receivers not configured as a complete shotgun or rifle may not be sold to a buyer who does not reside in the State in which your business is located.

We recommend that you refer to the most recent edition of ATF P 5300.5, State Laws and Published Ordinances – Firearms for relevant State laws.

General Identification Requirements

Applicable Laws and Regulations: 18 U.S.C. § 922(t)(1)(C); 27 CFR §§ 478.11, 478.102, 478.124.

You MUST verify the identity of each non-licensee buyer by examining the person’s identification document(s) prior to the transfer of a firearm.

A proper “identification document” is:

A document containing the name, residence address, date of birth, and photograph of the person;
A document that was made or issued by or under the authority of the U.S. Government, a State or local government, or a foreign government;
A document that is of a type commonly accepted for the purpose of identification of individuals.

Common examples of acceptable identification documents are a valid driver’s license or a valid State identification card.

Ruling 2001-5 allows a buyer to be identified by any combination of valid government-issued documents which together contain all of the required information: name, residence address, photograph, and date of birth.

As stated on the ATF Form 4473, “[a] valid electronic document from a government website may be used as supplemental documentation provided it contains the transferee’s/buyer’s name and current residence address.”

Nonimmigrant Aliens Purchasing and Renting Firearms from an FFL for Possession in the United States

Applicable Laws and Regulations: 18 U.S.C. § 922(g), (y); 27 CFR §§ 478.11, 478.29(a), 478.32, 478.99.

Firearms Purchase

Under Federal law, nonimmigrant aliens lawfully admitted to the U.S. under a nonimmigrant visa are prohibited from possessing firearms.

The Gun Control Act of 1968 (GCA), codified at 18 U.S.C. 922(g)(5)(B), states:

It shall be unlawful for any person—who, being an alien—except as provided in subsection (y)(2), has been admitted to the United States under a nonimmigrant visa (as that term is defined in section 101(a)(26) of the Immigration and Nationality Act (8 U.S.C. 1101(a)(26))); to ship or transport in interstate or foreign commerce, or possess in or affecting commerce, any firearm or ammunition; or to receive any firearm or ammunition which has been shipped or transported in interstate or foreign commerce.

Due to the aforementioned, a person lawfully admitted to the United States under a nonimmigrant visa may not receive or possess any firearm or ammunition. However, exceptions to the 922(g)(5)(B) prohibition are provided in the GCA, 18 U.S.C. 922(y):

(2) EXCEPTIONS.—Subsections (d)(5)(B), (g)(5)(B), and (s)(3)(B)(v)(II) do not apply to any alien who has been lawfully admitted to the United States under a nonimmigrant visa, if that alien is—
(A) 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;
(B) an official representative of a foreign government who is—
(i) accredited to the United States Government or the Government’s mission to an international organization having its headquarters in the United States; or
(ii) en route to or from another country to which that alien is accredited;
(C) an official of a foreign government or a distinguished foreign visitor who has been so designated by the Department of State; or
(D) a foreign law enforcement officer of a friendly foreign government entering the United States on official law enforcement business.

Please note that a nonimmigrant alien without residency in any State may not purchase and take possession of a firearm. A nonimmigrant alien may only purchase a firearm through a licensee where the licensee arranges to have the firearm directly exported.

A nonimmigrant alien admitted to the United States under other than a nonimmigrant visa (e.g., Visa Waiver Program) may acquire or possess a firearm or ammunition in the United States and is not required to meet one of the aforementioned 922(y)(2) exceptions, provided he/she is not prohibited from shipping, transporting, receiving, or possessing firearms or ammunition in the U.S. and he/she complies with all applicable Federal, State and local laws. Further, in order to receive the firearm, the nonimmigrant alien must meet state of residency requirements pursuant to 27 CFR 478.29a.

Firearms Rental

Applicable Laws and Regulations: 18 U.S.C. § 922(b)(3), (d), (x); 27 CFR § 478.97, 478.99, 478.102, 478.122, 478.123, 478.124, and 478.125.

ATF advised in its March 2013 FFL Newsletter that the rental of firearms for use on a licensee’s business premises is not considered a sale, disposition, or delivery of a firearm. For this reason, an ATF Form 4473 (5300.9) is not required to be completed, and no NICS background check is required, for onsite firearms rentals. Licensees do not need to log the firearm out of the A&D record. With certain exceptions, a licensee may rent a handgun to a person less than 21 years of age, or a long gun to a person less than 18 years of age, for use at an on-premises shooting range. However, licensees are prohibited from renting or lending firearms or ammunition to any person the licensee knows or has reasonable cause to believe is prohibited from receiving or possessing that firearm or ammunition.

A licensee may rent a firearm to a person for temporary use away from the licensee’s business premises for lawful sporting purposes. This transaction is considered a “transfer” and must meet the following conditions:

The individual renting the firearm must be 21 years of age or older to rent a firearm, but may be 18 years of age or older to rent a rifle or shotgun;
The individual renting the firearm has a valid identification document as required by 27 CFR 478.102(a)(3) and 478.124(c)(3)(i);
An ATF Form 4473 must be completed pursuant to 27 CFR 478.124 and a NICS check must be conducted pursuant to 27 CFR 478.102; and
The FFL must log the firearm out of the A&D record as a disposition to the transferee pursuant to 27 CFR 478.122, 123, or 125, as applicable.

Sales of Firearms to Law Enforcement Officers

Applicable Laws and Regulations: 18 U.S.C. § 925(a)(1); 27 CFR § 478.121, 478.122, 478.123, 478.125, and 478.134.

The GCA generally exempts government agencies from the transportation, shipment, receipt, possession, or importation controls of the GCA when firearms or ammunition are imported for, sold or shipped to, or issued for use of, the United States or any department or agency thereof, or any State or any department, agency, or political subdivision thereof. The firearm must be for use within the scope of employment of the government personnel.

Law enforcement officers purchasing firearms for official duty must provide licensees with a certification letter in accordance with 27 CFR 478.134. The certification letter must be 1) on official agency letterhead; 2) signed by a person in authority within the agency (other than the person purchasing the firearm); and 3) state that the officer will use the firearm in official duties and that a records check reveals that the purchasing officer has not been convicted of a misdemeanor crime of domestic violence.

There are no restrictions as to the purchasing law enforcement officer’s State of residence or agency location. If the above conditions are met, you are not required to prepare an ATF Form 4473 (5300.9) for the transaction or conduct a NICS background check; however, the disposition to the officer must be entered into your Acquisition & Disposition (A&D) records, and the certification letter from the officer must be retained as part of your required records.

ATF considers the following persons as having authority to certify the eligibility of law enforcement officers:

In a city or county police department, the director of public safety or the chief or commissioner of police.
In a sheriff’s office, the sheriff.
In a State police or highway patrol department, the superintendent or the supervisor in charge of the office to which the State officer or employee is assigned.
In Federal law enforcement offices, the supervisor in charge of the office to which the Federal officer or employee is assigned.

Certification letters may be signed by persons other than those listed above, provided there is a proper delegation of authority. FFLs with any questions are encouraged to check with their local ATF field office before accepting certification letters from other officials.

Please also see ATF’s September 2013 FFL Newsletter, Sales to Law Enforcement, page 7, which states in part:

A licensee may sell and ship firearms to a law enforcement agency anywhere within the United States. The disposition of each firearm to the agency must be entered into the licensee’s acquisition and disposition (A&D) record.

ATF recommends that the licensee verify that the order is an official request by the law enforcement agency. If the licensee has reason to doubt the validity of the official request, he or she should contact his or her local ATF office. The licensee is not required to complete any paperwork for the transaction outside of recording the disposition in the A&D record. However, ATF suggests that the licensee retain an invoice or other receipt of such transaction to reflect the quantity and the description of the firearm(s), including type, manufacturer, model, caliber or gauge, and the serial number.

Sales to Members of the Armed Forces

Applicable Laws and Regulations: 18 U.S.C. § 921(b); 27 CFR § 478.11, 478.21, 478.102, and 478.124.

A member of the Armed Forces on active duty is a resident of the State in which his or her permanent duty station is located. However, if a military member maintains a home in one State and has a permanent duty station in another State to which he or she commutes each day, the military member is a resident of both states and may purchase a firearm in either State. If the military member is acquiring a firearm in a State where his/her permanent duty station is located, but resides in a different State, then he/she must list both his/her permanent duty station address and residence address on the ATF Form 4473 (5300.9) under “Current State of Residence and Address.”

A military member on active duty, like any transferee, must present an identification document to purchase or acquire a firearm. Active duty military members may satisfy the identification document requirement by presenting his or her permanent change of station (PCS) orders showing the military member’s permanent duty station along with his or her military identification card. See ATF Ruling 2001-5.

Note regarding military dependents: ATF advised in its November 2012 FFL Newsletter, PCS Orders and Military Dependents Purchasing Firearms, that 18 U.S.C. 921(b) applies only to members of the Armed Forces, not their spouses or other dependents. For purposes of purchasing firearms, the same residency rules apply to military spouses as applied to other individuals attempting to purchase a firearm–an individual resides in a State in which he/she is present with the intention of making a home. The military dependent must have the necessary document or combination of government-issued documents proving residency in the State in which he/she resides.

ATF has determined that licensees may accept electronic PCS orders. Licensees are reminded to exercise due diligence to ensure that PCS orders, whether electronic or paper, reflect a PCS and not a temporary move or deployment (TDY). The dates of the military member’s transfer are identified on the PCS orders and must be inclusive of the date of the military member’s attempted firearm acquisition.

Acquisition and Disposition (A&D) Record

Applicable Laws and Regulations: 27 CFR §§ 478.121, 478.125, and 478.129.

Licensed dealers (Type 01 and Type 02 FFLs) must maintain on their licensed premises A&D records that document the acquisition and disposition of firearms. A&D records must include information about the receipt, sale, or other disposition of firearms. This includes, but is not limited to, firearms for sale or trade, consignment, pawn, repair (if received for repair AND kept overnight), replacement, loan or rental away from your licensed premises, and all other acquisitions and dispositions of firearms. All firearms that you acquire must be documented in your A&D record.

Note: Licensees may maintain computerized A&D records provided the records meet the conditions outlined in ATF Ruling 2016-1.

Required Acquisition Information

For each firearm you acquire, you must completely and accurately record all of the following information in your A&D record:

The date of receipt of the firearm;
The name and address or the name and the license number (FFL) of the person from whom you received the firearm;
The name of the manufacturer and importer (if any) of the firearm;
The model of the firearm;
The serial number of the firearm;
The type of firearm (pistol, revolver, rifle, shotgun, receiver, frame, etc.); and
The caliber or gauge of the firearm.

Firearm information required in your A&D record should be obtained from the firearm frame, receiver, barrel, and/or slide of firearms received and not from any other source (e.g., commercial records, label on firearms box, etc.).

Required Disposition Information

For each firearm you sell or otherwise dispose of, you must completely and accurately record the following information in your A&D record:

The date of sale or other disposition of the firearm; and,
The name and address of the non-licensee or, if transferred to a licensee, the name and license number of the licensee to whom the firearm was transferred.

Alternatively, if you file your ATF Forms 4473 in numerical (transaction serial number) order in accordance with 27 CFR 478.124(b), you may record your internal ATF Form 4473 number in the A&D record in lieu of recording the name and address of the non-licensee to whom you sold or transferred the firearm.

Time Requirements for Recording Acquisition Information

The required acquisition information must be recorded in your A&D record no later than the close of the next business day following the date of acquisition. However, if you maintain a commercial record of the acquisition, and the commercial record meets the requirements of 27 CFR 478.125(g), you may delay the recording of the acquisition information in your bound book for 7 days following the date of acquisition. If the acquisition information is not entered in the A&D record prior to the sale or other disposition of the firearm, you must enter the acquisition information at the time of the sale or other disposition.

The commercial record must be (1) maintained by the licensee separated from other commercial documents maintained by such licensee and (2) readily available for inspection at the licensed premises.

Time Requirements for Recording Disposition Information

The required disposition information must be recorded in your A&D record no later than seven days following the date of the sale or other disposition.

A sample A&D record is located at the end of this guide for your reference.

Dealer acquisition and disposition records must be retained for 20 years under 27 CFR 478.129(e).

A&D Records – Licensed Firearms Manufacturers

Applicable Laws and Regulations: 27 CFR § 478.92, 478.123, 478.129.

Licensed manufacturers (Type 07 and Type 10 FFLs) are required to keep A&D records in accordance with 27 CFR 478.123.

Required Acquisition Information

Each licensed manufacturer shall include the following in their A&D records for each firearm acquired:

Type;
Model;
Caliber or gauge;
Serial number of each complete firearm; and,
The date of firearm manufacture or other acquisition made.

Required Disposition Information

Each licensed manufacturer shall include the following in the A&D record for each disposition of a firearm to another licensee:

Quantity;
Type;
Model;
Manufacturer (not required if manufactured by the licensee);
Caliber;
Size or gauge;
Serial number; and,
Name and licensee number of the licensee to whom the firearm was transferred.

Each licensed manufacturer shall include the following in a separate A&D record for each disposition of a firearm to a non-licensee:

Manufacturer and/or importer;
Model;
Serial number;
Type;
Caliber or gauge;
Date of acquisition;
Name and address or license number of the person from whom received;
Date of disposition;
Name of person to whom the firearm is transferred; and,
Address of the person to whom transferred or license number if the person is a licensee.

Time Requirements for Recording Acquisition and Disposition Information in Manufacturer Records

The required acquisition information for each firearm manufactured or otherwise acquired shall be recorded not later than the seventh day following such manufacture or other acquisition. All firearms manufactured, to include completed weapons and frames or receivers which are to be sold, shipped, or otherwise disposed of, must be marked pursuant to 27 CFR 478.92 and recorded. The sale or other disposition of a firearm shall be recorded not later than the seventh day following the transaction. See ATF Ruling 2012-1 for more information.

Manufacturer records of manufacture or acquisition must be retained as permanent records. Pursuant to 27 CFR 478.129(d), manufacturer records of sale or other disposition of firearms shall be retained for 20 years.

Consolidated Recordkeeping Ruling

ATF Ruling 2016-3 authorizes licensed manufacturers to consolidate their records of manufacture or other acquisition of firearms and their separate firearms disposition records, provided all conditions in the ruling are met.

A&D Records – Licensed Firearms Importers

Applicable Laws and Regulations: 27 CFR § 478.121, 478.122, 478.124, 478.125, and 478.129.

Licensed importers (Type 08 FFL) are required to keep A&D records in accordance with 27 CFR 478.122.

Required Acquisition Information

Each licensed importer shall record the following in an A&D record for each acquisition of a firearm:

Date of importation/acquisition;
Type;
Model;
Caliber or gauge;
Manufacturer;
Country of manufacture; and,
Serial number.

Required Disposition Information

Each licensed importer shall record the following in an A&D record for each disposition of a firearm to another licensee:

Quantity;
Type;
Manufacturer;
Country of manufacture;
Caliber or gauge;
Model;
Serial number;
The name and license number of the licensee to whom transferred; and,
The date of the transaction.

Each licensed importer shall include the following in a separate A&D record for each disposition of a firearm to a non-licensee:

Manufacturer and/or importer;
Model;
Serial number;
Type;
Caliber or gauge;
Date of acquisition;
Name and address or license number of the person from whom received;
Date of disposition;
Name of person to whom the firearm is transferred; and,
Address of the person to whom transferred or license number if the person is a licensee.

Time Requirements for Recording Acquisition and Disposition Information in Importer Records

The required acquisition information for each firearm imported or otherwise acquired shall be recorded within 15 days of the date of importation or other acquisition. The date of importation is the date the firearm is released from U.S. Customs custody. The sale or other disposition of imported firearms to other licensees shall be recorded not later than the seventh day following the transaction. Licensed importers are required to maintain separate records of the sales or other dispositions made of firearms to non-licensees. Such records shall be maintained in the form and manner as prescribed by §§ 478.124 and 478.125 in regard to firearms transaction records and records of acquisition and disposition of firearms.

Pursuant to 27 CFR 478.129(d), importer records of importation or other acquisition must be retained as permanent records and records of sale or other disposition must be retained for 20 years.

Consolidated Recordkeeping Ruling

ATF Ruling 2011-1 authorizes licensed importers to consolidate their records of importation or other acquisition of firearms and their separate firearms disposition records, provided all the requirements of the ruling are met.

NFA Transfers

Applicable Laws and Regulations: 27 CFR §§ 478.71, 478.121, 478.129, 479.71, 479.88, 479.101, 479.103, and 479.131.

The NFA, 26 U.S.C. § 5841 generally requires each manufacturer to notify the NFA Division of the manufacture of a firearm. The notification effectuates registration in the National Firearms Registration and Transfer Record (NFRTR). According to 27 C.F.R. 479.103, each qualified manufacturer shall file an accurate notice on an ATF Form 2, Notice of Firearms Manufactured or Imported (Form 2), executed under the penalties of perjury, to show manufactured firearms. All firearms manufactured in a single day shall be included in one Form 2 filed by the manufacturer by close of business the next day.

The ATF Form 2 states, “[t]he undersigned hereby serves notice of the manufacture, reactivation, or importation of firearms as required by § 5841 of the National Firearms Act, Title 26, U.S.C. Chapter 53.” The Form 2 also includes a signature requirement which states, “UNDER PENALTIES OF PERJURY, I DECLARE that I have examined this notice of firearms manufactured, reactivated or imported and, to the best of my knowledge and belief, it is true, correct and complete.”

The NFA, corresponding regulations, and the ATF Form 2 only permit the registration of firearms manufactured, reactivated, or imported. The ATF Form 2 notification should not be submitted prior to the making of the NFA firearm. The knowing submittal of an ATF Form 2 prior to the manufacture of a NFA firearm as defined by the Act is a violation of law and may be referred for prosecution.

An ATF Form 2 cannot be submitted for an item or device that does not meet the definition of a NFA firearm (i.e., chunk of metal, unfinished tube, non-existent firearm, GCA firearm). An ATF Form 3 or an ATF Form 4 cannot be submitted until the NFA item is manufactured and the associated Form 2 has been submitted.

An approved ATF Form 3 permits the tax-exempt transfer and registration of the NFA firearm listed on the Form 3 from a Special (occupational) Taxpayer (“SOT”) to the SOT transferee listed on the Form 3. An approved ATF Form 4 permits the tax paid transfer and registration of the NFA firearm listed on the Form 4 to the transferee listed on the Form 4. Some NFA manufacturers and distributors facilitate the transfer of NFA firearms through a cooperating dealer to the end consumer. In these circumstances, an ATF Form 3 must be approved and the NFA firearm must be in the cooperating dealer’s inventory before the cooperating dealer is permitted to submit an ATF Form 4 to ATF to effectuate the final transfer to the end consumer (i.e., ATF Form 3 and ATF Form 4 cannot be submitted to ATF concurrently). See also ATF Form 3 Instructions.

The NFA requires that a person possessing a firearm registered in the National Firearms Registration and Transfer Record (NFRTR) retain proof of registration which must be made available to any ATF officer upon request. Proof of registration would be on a Form 1 registering a firearm to its maker, Form 2 registering a firearm to an importer or manufacturer, or a Form 3, 4, or 5 showing registration of a firearm to a transferee.

FFLs/SOTs must maintain their registration documents in chronological order at their place of business. The regulation also requires each manufacturer, importer, and dealer in NFA firearms to maintain the records of the acquisition and disposition of firearms required by GCA regulations in 27 CFR Part 478, Subpart H as outlined above.

Alternate Methods or Procedures (Variances)

Applicable Laws and Regulations: 27 CFR §§ 478.22, 478.92(a)(4), 478.122(c), 487.123(c), 478.125(h), 479.102.

In certain circumstances, you may apply to ATF for a variance if you wish to operate your firearms business in a manner that differs from the requirements of the regulations.

ATF may authorize an alternate method or procedure only when good cause is shown for the use of the alternative method or procedure, the method or procedure is substantially equivalent to the procedure specified in the law, is not contrary to any provision of the law, and the alternate method does not hinder the effective administration and enforcement of the law and regulations or increase costs to the Government. Your request should be sent via email to fipb@atf.gov or via mail to:

Chief, Firearms Industry Programs Branch
Bureau of Alcohol, Tobacco, Firearms and Explosives
99 New York Avenue, NE. Room 6N-518
Washington, DC 20226

Please see request a variance for firearms.

Marking Variances

The GCA, 18 U.S.C. 923(i), and the NFA, 26 U.S.C. 5842, requires licensed manufacturers and importers to mark firearms manufactured or imported with specific identifying information as set forth in 27 CFR 478.92 and 27 CFR 479.102. However, these sections also provide that ATF may authorize other means of identification (“marking variance”) upon receipt of a letter application from a licensed manufacturer or importer showing that such other identification is reasonable and will not hinder the effective administration of the law.

ATF’s Firearms Technology Industry Services Branch (FTISB) evaluates and responds to marking variance requests. In lieu of sending a letter request, FTISB recommends that licensees submit marking variance requests on ATF Form 3311.4, Application for Alternate Means of Identification of Firearm(s) (Marking Variance), via email to marking_variances@atf.gov.

Reporting Multiple Sales

Applicable Laws and Regulations: 18 U.S.C. § 923(g)(5); 27 CFR § 478.21, 478.126a.

You MUST report to ATF, on a Report of Multiple Sale or Other Disposition of Pistols and Revolvers, ATF Form 3310.4 (Form 3310.4), whenever you sell or otherwise dispose of, at one time or during any five consecutive business days, two or more pistols, or revolvers, or any combination of pistols and revolvers totaling two or more, to an unlicensed person. The report must be made not later than the close of business on the day that the multiple sale or other disposition occurs.

Licensed dealers and licensed pawnbrokers in Arizona, California, New Mexico and Texas MUST report to ATF on a Report of Multiple Sale or Other Disposition of Certain Rifles, ATF Form 3310.12 (Form 3310.12), all transactions in which an unlicensed person acquired, at one time or during five consecutive business days, two or more semi-automatic rifles larger than .22 caliber (including .223/5.56 caliber) with the ability to accept a detachable magazine. 18 U.S.C. 923(g)(5)(A).

NOTE: A business day for purposes of reporting multiple sales of pistols or revolvers, or certain rifles, is a day that a licensee conducts business pursuant to the license, regardless of whether State offices are open. The application of the term “business day” is, therefore, distinguishable from the term “business day” as used in the NICS context.

NOTE 2: ATF Form 3310.4 and Form 3310.12 each contain six rows to account for six firearms. A separate sheet of paper is permissible to account for the transfer of more than six firearms provided all firearm information required on the form is recorded on the separate sheet of paper. Licensees may also use multiple form pages, in lieu of a separate sheet, to account for additional firearms.

Mail the original completed ATF Form 3310.4 or ATF Form 3310.12 to ATF, or email or fax a copy thereof, as directed on the form. You must also forward a completed copy of the ATF Form 3310.4 to the official designated by the State or local authorities to receive the form. In the absence of such a designation, forward a completed copy of the form to the department of State police or State law enforcement agency that has jurisdiction over the place where the transaction(s) occurred.

ATF Form 3310.4 may be mailed, faxed, or emailed to the following:

NTC
ATF National Services Center
244 Needy Road
Martinsburg, West Virginia 25405
Fax: 1-877-283-0288
Email: MultipleHandgunSalesForms@atf.gov

ATF Form 3310.12 may be mailed, faxed, or emailed to the following:

NTC
ATF National Services Center
244 Needy Road
Martinsburg, West Virginia 25405
Fax: 1-877-283-0288
Email: MultipleLonggunSalesForms@atf.gov

Pursuant to 27 CFR 478.129, you are required to retain a copy of the completed ATF Form 3310.4 or the ATF Form 3310.12. ATF Form 3310.4 must be attached to the back of the ATF Form 4473 for the transfer as part of your records. We recommend that licensees attach the ATF Form 3310.12 to the back of the corresponding ATF Form 4473.

Licensees do not need to complete ATF Form 3310.4 or ATF Form 3310.12 for the return of multiple handguns or rifles to the same person from whom they were received — such as the return of multiple consignment, pawned, or repaired firearms. Additionally, ATF Form 3310.4 is not required for frames or receivers of any firearms, or firearms having a pistol grip that expel a shotgun shell (pistol grip firearms), because they are not “pistols or revolvers;” see ATF Form 4473 instructions pertaining to the “Category of firearm(s) to be transferred.”

Accountability for Firearms

Applicable Laws and Regulations: 27 CFR § 478.125(e).

Firearms missing from inventory are among the most commonly cited GCA violations. Missing firearms also have a direct impact on public safety. These violations occur when FFLs have “open entries” in their A&D records and are unable to physically locate the firearms in inventory or otherwise account for the firearm’s final disposition.

To reduce or eliminate violations resulting from unaccounted firearms, please consider the following best practices to ensure accountability of your firearms inventory:

Consider setting aside all completed ATF Forms 4473 in a centralized location for each day’s sales. At the close of the business day, document in the A&D Record the disposition of each firearm recorded on the ATF Forms 4473.
Consider setting aside in a centralized location documentation for each day’s firearms taken into your business. At the close of the business day, document in the A&D Record the acquisition of each firearm acquired.
Consider conducting a full firearms inventory on a regular basis. ATF P 5380.2, How to Conduct a Firearms Inventory, contains information designed to help educate the firearms industry and FFLs about preventing the loss of firearms. ATF recommends that FFLs conduct business inventories to identify and prevent firearms inventory loss by theft or improper recordkeeping.

Lost or Stolen Firearms

Applicable Laws and Regulations: 27 CFR § 478.39a.

Licensees MUST report to ATF each missing, lost, or stolen firearm from the licensee’s inventory or collection within 48 hours of discovery of the loss or theft by calling (888) 930-9275 and by completing and then forwarding an original Federal Firearms Licensee Firearms Inventory Theft/Loss Report, ATF Form 3310.11 (Form 3310.11), to:

NTC – LESB – SFP
ATF National Services Center
244 Needy Road
Martinsburg, WV 25405
Fax: (304) 260-3676 or (304) 260-3671
Email: StolenFirearms@atf.gov

A loss of a firearm occurs when you cannot determine the disposition of a firearm and cannot locate it. These lost firearms are different from stolen firearms because there is no indication that they were stolen. You must also report the theft or loss to the appropriate local law enforcement agency.

The “open entries” in your A&D record pertaining to lost or stolen firearms must be closed out by documenting in the disposition section whether the firearm was lost or stolen, along with the ATF issued incident number, and the incident number provided by the local law enforcement agency. Retain a copy of the ATF Form 3310.11 as part of your records.

ATF encourages licensees to implement safety and security measures to prevent the theft or loss of any firearm which includes alarm and video surveillance systems. See ATF’s Learn About Firearms Safety and Security for more information.

NFA Firearms

When an FFL submits an ATF Form 3310.11 for the theft or loss of an NFA firearm, this report satisfies the notification requirements under the NFA pursuant to 27 CFR 479.141. However, anyone who submits ATF Form 3310.11 to the address listed on the form should also email the form to NFAStolen@atf.gov if the form contains any NFA firearms. If you have any questions, please contact the NFA Division by email at NFA@atf.gov, by phone at (304) 616-4500, by Fax at (304) 616-4501 or by mail at ATF National Services Center, NFA Division, 244 Needy Road Martinsburg, WV 25405.

Theft or Loss of Firearms in Transit

In the case of a firearm that is lost or stolen in transit, the sender/transferor FFL must report the theft or loss to ATF and to the appropriate local authorities within 48 hours after the transferor/sender FFL discovers the theft or loss of the firearm. The sender/transferor FFL shall report the theft or loss by calling 1-888-930-9275 and by preparing and submitting an original ATF Form 3310.11 to ATF as indicated on the form instructions.

Private Citizen Theft Reporting

ATF does not take reports of stolen firearms from private citizens. Private citizens should adhere to their state and local laws regarding reporting the theft of their firearms and report firearms thefts to local law enforcement. Law enforcement will request all information pertaining to your firearm (e.g., type, make, model, caliber or gauge, and serial number).

Please note, if you are an individual needing assistance in obtaining a serial number for a firearm, ATF is unable to assist private citizens in locating serial numbers as there is no national registration system. One of the following options may assist you:

Contact the firearms dealer where you purchased the firearm.
If the firearms dealer is out of business and your inquiry is in reference to a stolen firearm, contact your local police department. It is possible they will submit a request to the National Tracing Center for a Records Search Request assuming the circumstances are connected to a bona fide criminal investigation.
Contact your state firearms registration office if your state has one.

Providing False Information

Applicable Laws and Regulations: 18 U.S.C. §§ 922(m), 924(a)(3)(A).

The GCA, section 922(m) and 924(a)(3)(A), make it unlawful for a licensee to knowingly make a false statement or representation with respect to any record or form required to be maintained by a licensee. You must not record information in your required records that you know is false or that you have reason to believe is false.

The GCA, section 922(m), also makes it unlawful for a licensee to knowingly fail to make appropriate entry in, or properly maintain, a required record.

Required records include, but are not limited to, ATF Forms 4473, A&D records, ATF Forms 3310.4, and ATF Forms 3310.11.

You must not transfer a firearm to any person who provides information on an ATF Form 4473 or other required record that you know is false or have reason to believe is false. You must terminate the transaction.

Licensed Collectors

Applicable Laws and Regulations: 27 CFR §§ 478.50(b), 478.125(f), 478.126a.

Licensed collectors may acquire curio or relic firearms from any licensee or non-licensee. Licensed collectors may dispose of curio or relic firearms to another licensee at any location and to unlicensed persons who reside in the licensed collector’s State.

Licensed collectors must maintain A&D records. Your collector’s license entitles you to conduct transactions in curios and relics only. A licensed collector has the same status as a non-licensee in any transaction involving firearms other than curios and relics. A collector’s license does not entitle the holder to engage in the business of dealing in firearms, including dealing in curio or relic firearms.

An ATF Form 4473 is not required for curio and relic transactions conducted by licensed collectors. However, pursuant to 27 CFR 478.126a, licensed collectors must report to ATF on ATF Form 3310.4 any sale or transfer of two or more pistols, revolvers, or any combination of pistols and revolvers totaling two or more to an unlicensed individual.

Sale of Business or Going Out of Business

Applicable Laws and Regulations: 27 CFR §§ 478.57, 478.127.

FFLs, other than collectors, must give written notice to the Chief, FFLC, within 30 days after the sale or discontinuance of their firearms or ammunition business. When a discontinued firearms or ammunition business is succeeded by a new licensee, firearms records should be marked to show this fact and must be delivered to the successor. If there is no successor, all licensees, other than collectors, MUST deliver all of their firearms records within 30 days of absolute discontinuance of the firearms business to:

NTC
Out-of-Business Records
ATF National Services Center
244 Needy Road
Martinsburg, WV 25405
Phone: (800) 788-7133

You may also deliver your records to the ATF office that serves the area where your business was located. Licensed collectors are not required to submit records.

In order to comply with the regulation at 478.127 and to ensure required records are appropriately completed, ATF encourages the following when surrendering records to the Out-of-Business Records Center (OOBRC):

Reconcile all inventory, to include NFA firearms, prior to submission of records to the OOBRC. This means accounting for all firearms in inventory and properly disposing of firearms in accordance with Federal and State firearms laws. Report missing or unaccounted firearms by filing the appropriate Theft/Loss Report (Form 3310.11). Once reconciliation is completed, the A&D Record Book should be updated accordingly, and all “open dispositions” closed out with an appropriate entry.
A Responsible Person (RP) listed on the license should submit a cover letter stating the licensee’s name, license number, premises address, contact phone number, contact e-mail address, and out-of-business date. Please include any pertinent notes on the cover letter (e.g., to account for any missing record(s) and the timeframe(s) of the missing record(s). The RP should sign and date the cover letter.
Please only submit ATF out-of-business records related to the firearms business. Please do NOT submit firearms, firearms parts, ammunition, currency, State firearms records, etc. Prior to submission of your records, please examine your packaging materials to ensure items other than records are not included. If you have questions regarding this matter, please contact the ATF OOB Records Center.
The NTC can only accept out-of-business records. NTC cannot accept records of active licensees except those records that are 20 years or older. For example, if a licensee is going out of business but their license is unexpired, include a letter, signed by an RP with the FFL, with the records submission stating that the licensee is out-of-business as of the date indicated.
Prior to submission of records to OOBRC, please contact applicable State and/or local agencies regarding submission or disposal of state/local firearms records.
Since all records contain customer’s Personally Identifiable Information (PII), ATF recommends that licensees utilize a contract carrier (e.g., UPS, FedEx, etc.) to ship records to the OOBRC. Licensees who ship with the United States Postal System (USPS) should ship via first class in order to protect their customer’s PII.

Record Retention

Applicable Laws and Regulations: 27 CFR § 478.129.

Licensees must retain required records in accordance with 27 CFR 478.129.

Licensees shall retain each ATF Form 4473 for a period of not less than 20 years after the date of sale or disposition. Where a NICS check was conducted, but no sale, delivery, or transfer of a firearm is made, licensees need only retain the ATF Form 4473 for five years from the date of a NICS check.

The A&D records prepared by licensed dealers and licensed collectors pertaining to the sale or other disposition of firearms, and the corresponding record of receipt of such firearms, shall be retained for at least 20 years. Licensees, other than licensed importers and licensed manufacturers, may deliver to ATF those records older than 20 years that they no longer wish to maintain.

Licensees shall retain each copy of the ATF Form 3310.4 (Report of Multiple Sale or Other Disposition of Pistols or Revolvers) and the ATF Form 3310.11 (Federal Firearms Licensee Theft/Loss Report), for a period of not less than 5 years after the date of disposition or loss was reported to ATF.

Licensed importers and manufacturers must maintain permanent records of the importation, manufacture, or other acquisition of firearms, including ATF Forms 6 and 6A. Licensed importer and manufacturer records of sale or other disposition of firearms shall be retained for at least 20 years.

Conclusion

As a Federal firearms licensee, it is your responsibility to ensure you comply with all applicable firearms laws and regulations. The following resources may assist you:

ATF Publication 5300.4, Federal Firearms Regulations Reference Guide;
ATF Website: www.atf.gov;
FFL Newsletters;
Instructions on ATF Form 4473, 3310.4, 3310.11 and 3310.12;
ATF eRegulations
State Attorneys General (www.naag.org) for questions concerning State firearms laws and regulations.

If you are unable to determine the appropriate course of conduct, call your local ATF office for guidance.

To Obtain Assistance Regarding Your License:
Federal Firearms Licensing Center
ATF National Services Center
244 Needy Road
Martinsburg, WV 25405
(866) 662-2750
Email: fflc@atf.gov

To Receive ATF Forms and Publications:
ATF Distribution Center
(240) 828-5316
www.atf.gov/distribution-center-order-form

To Obtain Assistance with Out of Business Records:
National Tracing Center
ATF National Services Center
244 Needy Road
Martinsburg, WV 25405
(304) 260-1500 or (800) 788-7133

For questions concerning unlawful activities, contact the ATF Field Divisions below:

Atlanta Field Division 2635 Century Parkway, NE Suite 400 Atlanta, GA 30345 (404) 417-2600	Baltimore Field Division 31 Hopkins Plaza 5th Floor Baltimore, MD 21201 (443) 965-2000	Boston Field Division 10 Causeway Street Suite 791 Boston, MA 02222 (617) 557-1200	Charlotte Field Division 3600 Arco Corporate Dr. Suite 500 Charlotte, NC 28273 (704) 716-1800
Chicago Field Division 175 West Jackson Blvd. Suite 1500 Chicago, IL 60604 (312) 846-7200	Columbus Field Division 220 West Street Suite 400 Columbus, OH 43215 (614) 827-8400	Dallas Field Division 2501 S. State Hwy 121 Business Suite 300A Lewisville, TX 75067 (469) 451-4700	Denver Field Division 950 17th Street Suite 1800 Denver, CO 80202 (303) 575-7600
Detroit Field Division 1155 Brewery Park Blvd. Suite 300 Detroit, MI 48207 (313) 202-3400	Houston Field Division 5825 N. Sam Houston Pkwy West Suite 300 Houston, TX 77086 (281) 716-8200	Kansas City Field Division 1251 NW Briarcliff Pkwy Suite 600 Kansas City, MO 64116 (816) 559-0700	Los Angeles Field Division 550 North Brand Blvd. Suite 800 Glendale, CA 91203 (818) 265-2500
Louisville Field Division 600 Dr. Martin Luther King, Jr. Place Suite 500 Louisville, KY 40202 (502) 753-3400	Miami Field Division 11410 N.W. 20th Street Suite 201 Miami, FL 33172 (305) 597-4800	Nashville Field Division 302 Innovation Drive Suite 300 Franklin, TN 37067 (615) 565-1400	Newark Field Division 1 Garret Mountain Plaza Woodland Park, NJ 07424 (973) 413-1179
New Orleans Field Division One Galleria Boulevard Suite 1700 Metairie, LA 70001 (504) 841-7000	New York Field Division 32 Old Slip Suite 3500 New York, NY 10005 (646) 335-9000	Philadelphia Field Division 601 Walnut Street Suite 1000E Philadelphia, PA 19106 (215) 446-7800	Phoenix Field Division 40 N. Central Ave. #1000 Phoenix, AZ 85004 (602) 776-5480
San Francisco Field Division 5601 Arnold Road Suite 400 Dublin, CA 94568 (925) 557-2800	Seattle Field Division 1521 1st Avenue South Suite 600 Seattle, WA 98134 (206) 204-3205	St. Paul Field Division 30 East Seventh Street Suite 1900 St. Paul, MN 55101 (651) 726-0200	Tampa Field Division 400 North Tampa Street Suite 2100 Tampa, FL 33602 (813) 202-7300
Washington Field Division 90 K Street, NE Washington, DC 20226 (202) 648-8010

Sample Acquisition and Disposition Book Entries for Federal Firearms Licensee Brian Smith for Brian’s Sport Shop – in accordance with 27 CFR 478.125

Scroll horizontally to view entire table

Description of Firearm					Receipt		Disposition
Manufacturer and Importer (if any)	Model	Serial Number	Type	Caliber or Gauge	Date	Name and Address or Name and Licensee No.	Date	Name	Address or Licensee No. if licensee, or Form 4473 Serial Number if Forms 4473 filed numerically
1. ABC Inc.	None Visible	660138	Shotgun	20	8/2/15	John’s Fine Guns FFL 4-42-98777	1/29/16	James House	Form 4473 #2
2. XYZ, Inc	10	M60512	Revolver	.38	8/4/15	Sinap Shop FFL 7-86-34989	11/2/16	Jim Michaels	Form 4473 #68
3. John Doe Firearms	10504	G91467	Shotgun	20	8/4/15	John’s Fine Guns FFL 4-42-98777	11/2/16	Jim Michaels	Form 4473 #68
4. A to Z Firearms, LLC	94	382906	Rifle	30-30	11/4/15	Al Green 928 Bob Hill Oak Hill, IL 60651	9/1/16	William Bounce	Form 4473 #50
5. ABC Inc.	870	4932	Shotgun	16	6/9/16	Thomas Problem 605 E. Colonial Bluff, IL 60651	6/20/16	Fit It or Melt It, Inc.	FFL 5-46-39988
6. ABC Inc.	540X	312698V	Revolver	.22	7/2/16	Joan Realtor FFL 2-91-34487	7/14/16	Brian Smith	84 Name A Street (Personal Collection) Cambridge, IL 60731
7. John Doe Firearms	500	38679	Pistol Grip Firearm	12	8/24/16	Jon Doe 631 Pine Street Elkton, IL 60605	9/24/16	Jon Doe	Form 4473 #56
8. A to Z Firearms, LLC	10504	G91467	Shotgun	20	11/24/16	Jim Michaels 829 Columbia Springfield, IL 60685	12/2/16	Reported Stolen	ATF Issued Incident Number F2012-001579
9. XYZ, Inc	43-1	M60562	Pistol	.22	12/1/16	Brian Smith (owner) 84 Winsor Cambridge, IL 60731	12/12/16	Tom Jones- Metro Police	305 Wilkins Road Atchison, Kansas 70519 Certification Letter on File
10. ABC Inc.	870	4932	Shotgun	16	12/2/16	Fit It or Melt it, Inc. FFL 5-46-39988	12/2/16	Thomas Problem	605 E. Colonial Bluff, IL 60651
11. ABC Importers, LLC	WASR-3HI	7117	Rifle	.223	12/7/16	West Coast Importers, LLC FFL 3-68-87102	12/9/16	Matthew Johnson	Form 4473 #86

NOTICE: The contents of this document do not have the force and effect of law and are not meant to bind the public in any way. This document is intended only to provide clarity to the public regarding existing requirements under the law or Department policies.

Last Reviewed February 17, 2023

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Acquisition and Disposition (A&D) Record

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Time Requirements for Recording Acquisition Information

Time Requirements for Recording Disposition Information

A&D Records – Licensed Firearms Manufacturers

Required Acquisition Information

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Time Requirements for Recording Acquisition and Disposition Information in Manufacturer Records

Consolidated Recordkeeping Ruling

A&D Records – Licensed Firearms Importers

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Time Requirements for Recording Acquisition and Disposition Information in Importer Records

Consolidated Recordkeeping Ruling

NFA Transfers

Alternate Methods or Procedures (Variances)

Marking Variances

Reporting Multiple Sales

Accountability for Firearms

Lost or Stolen Firearms

NFA Firearms

Theft or Loss of Firearms in Transit

Private Citizen Theft Reporting

Providing False Information

Licensed Collectors

Sale of Business or Going Out of Business

Record Retention

Conclusion

Sample Acquisition and Disposition Book Entries for Federal Firearms Licensee Brian Smith for Brian’s Sport Shop – in accordance with 27 CFR 478.125