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When individuals decide to purchase a firearm from a federally licensed dealer in the United States, they embark on a process that is both straightforward and complex. Central to this process is the ATF 4473 form, a crucial document required by the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF). This form serves multiple purposes: it ensures that the buyer is legally eligible to purchase a firearm, aids in the prevention of firearms falling into the wrong hands, and acts as a key piece of documentation for record-keeping purposes. The form asks for detailed information, including the buyer's personal information, identification details, and answers to questions regarding the individual's background, drug use, and criminal history, among other things. The completion of this form, followed by a mandatory background check, forms the core of the lawful firearm purchasing process. Thus, the ATF 4473 form plays an indispensable role in balancing the right to bear arms with the need for public safety, making its thorough understanding and accurate completion essential for any potential firearm buyer.

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U.S. Department of Justice

OMB No. 1140-0020

Bureau of Alcohol, Tobacco, Firearms and Explosives

 

 

Firearms Transaction Record

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

WARNING: The information you provide will be used to determine whether you are prohibited by Federal or State law from receiving

Transferor’s/Seller’s

a firearm. Certain violations of the Gun Control Act, 18 U.S.C. 921 et. seq., are punishable by up to 10 years imprisonment and/or up to a

Transaction Serial

$250,000 fine. Any person who exports a firearm without a proper authorization from either the Department of Commerce or the

Number (if any)

Department of State, as applicable, is subject to a fine of not more than $1,000,000 and up to 20 years imprisonment.

 

 

 

 

Read the Notices, Instructions, and Definitions on this form. Prepare in original only at the licensed premises (including business

 

 

 

 

temporarily conducted from a qualifying gun show or event in the same State in which the premises is located) unless the transaction

 

 

 

 

qualifies under 18 U.S.C. 922(c). All entries must be handwritten in ink unless completed under ATF Rul. 2016-2. PLEASE PRINT.

 

 

 

 

 

 

 

 

 

 

 

 

Section A - Must Be Completed By Transferor/Seller Before Transferee/Buyer Completes Section B

 

 

 

 

1.

 

2.

 

3.

 

4.

5.

 

 

Manufacturer and Importer (if any)

 

Model

 

Serial Number

 

Type

Caliber or

(If the manufacturer and importer are

 

(if designated)

 

 

 

 

Gauge

different, include both.)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

1.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

2.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

3.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

6. Total Number of Firearms to be Transferred (Please spell total number e.g.,

 

7. Check if any part of this transaction is a pawn redemption.

 

 

one, two, etc. Do not use numerals.)

 

 

Record Line Number(s) From Question 1:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

8. Check if this transaction is to facilitate a private party transfer.

 

 

 

 

 

 

 

Section B - Must Be Completed Personally By Transferee/Buyer

9. Transferee’s/Buyer’s Full Name (If legal name contains an initial only, record the initial followed by “IO” in quotes. If no middle initial or name, record “NMN”.)

Last Name (including suffix, e.g., Jr, Sr, II, III)

 

 

First Name

 

 

 

 

 

 

 

 

 

Middle Name

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

10. Current State of Residence and Address (U.S. postal abbreviations are acceptable. Cannot be a post office box.)

 

 

 

 

 

Number and Street Address

 

 

 

 

 

 

 

City

 

 

 

 

 

 

 

 

State

 

ZIP Code

 

County/Parish/Borough

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

11. Place of Birth

 

 

 

 

 

 

 

 

12. Height

13. Weight

14. Sex

 

15. Birth Date

 

 

 

U.S. City and State

-OR-

 

Foreign Country

Ft.

 

 

(lbs.)

Male

 

Month

 

Day

 

Year

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Female

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

In.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Non-Binary

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

16. Social Security Number (optional, but will help prevent misidentification)

 

 

17. Unique Personal Identification Number (UPIN) orAppeals Management

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Database Identification (AMD ID) (if applicable)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

18.a. Ethnicity

18.b. Race (Select one or more race in 18.b. Both 18.a. and 18.b. must be answered.)

 

 

 

 

 

 

 

 

Hispanic or Latino

 

 

American Indian or Alaska Native

 

 

Black or African American

 

 

 

 

 

White

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Not Hispanic or Latino

 

 

Asian

 

 

 

 

 

 

 

Native Hawaiian or Other Pacific Islander

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

19. Country of Citizenship: (Check/List more than one, if applicable. Nationals of the United States may check U.S.A.)

 

 

 

 

United States of America (U.S.A)

 

Other Country/Countries (Specify):

 

 

 

 

 

 

20.

If you are an alien, record your U.S.-issued alien or admission number (AR#, USCIS#, or I94#):

 

 

 

 

 

 

 

 

 

 

21.

Answer the following questions by checking or marking either the “yes” or “no” box to the right of the questions:

Yes No

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

 

 

 

 

Warning: You are not the actual transferee/buyer if you are acquiring the firearm(s) on behalf of another person. If you are

 

 

 

 

not the actual transferee/buyer, the licensee cannot transfer the firearm(s) to you. Exception: If you are only picking up a repaired

 

 

 

 

firearm(s) for another person, you are not required to answer 21.a. and may proceed to question 21.b.

 

 

 

 

 

 

 

 

 

 

 

b.

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?

 

 

c.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?

d. Are you a fugitive from justice?

e.Are you an unlawful user of, or addicted to, marijuana or any depressant, stimulant, narcotic drug, or any other controlled substance?

Warning: 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 in the state where you reside.

Previous Editions Are Obsolete

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ATF Form 4473 (5300.9) Revised May 2020

Yes No

f. Have you ever been adjudicated as a mental defective OR have you ever been committed to a mental institution?

g. Have you ever been discharged from the Armed Forces under dishonorable conditions?

h. 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?

i.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?

j. Have you ever renounced your United States citizenship?

k. Are you an alien illegally or unlawfully in the United States?

21.l.1. Are you an alien who has been admitted to the United States under a nonimmigrant visa?

21.l.2. If you are such an alien do you fall within any of the exceptions stated in the instructions? (U.S. citizens/nationals leave 21.l.2. blank)

I certify that my answers in Section B are true, correct, and complete. I have read and understand the Notices, Instructions, and Definitions on ATF Form 4473. I understand that answering “yes” to question 21.a. if I am not the actual transferee/buyer is a crime punishable as a felony under Federal law, and may also violate State and/or local law. I understand that a person who answers “yes” to any of the questions 21.b. through 21.k. is prohibited from receiving or possessing a firearm. I understand that a person who answers “yes” to question 21.l.1. is prohibited from receiving or possessing a firearm, unless the person answers “yes” to question 21.l.2. and provides the documentation required in 26.d. I also understand that making any false oral or written statement, or exhibiting any false or misrepresented identification with respect to this transaction, is a crime punishable as a felony under Federal law, and may also violate State and/or local law. I further understand that the repetitive purchase of firearms for the purpose of resale for livelihood and profit without a Federal firearms license is a violation of Federal law.

 

 

 

 

 

 

 

 

 

 

 

22.

Transferee’s/Buyer’s Signature

 

 

 

 

 

23. Certification Date

 

 

 

 

 

 

 

 

 

 

 

 

Month

Day

Year

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Section C - Must Be Completed By Transferor/Seller Prior To The Transfer Of The Firearm(s)

 

 

24.

Category of firearm(s) to be transferred (check or mark all that apply):

25. If sale or transfer is at a qualifying gun show or event:

 

 

 

 

Handgun

 

Long Gun

 

Other Firearm (frame, receiver, etc.)

Name of Function:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

(rifle or

 

 

City, State:

 

 

 

 

 

 

 

 

shotgun)

 

 

 

 

26.a. Identification (e.g., Virginia driver’s license (VA DL) or other valid government-issued photo identification including military ID.)

 

Issuing Authority and Type of Identification

Number on Identification

Expiration Date of Identification (if any)

 

 

Month

Day

Year

26.b. Supplemental Government Issued Documentation (if identification document does not show current residence address or full legal name)

26.c. Official Military Orders Establishing Permanent Change of Station (PCS):

PCS Base/City and State:

PCS Effective Date:

PCS Order Number (if any):

26.d. Exception to the Nonimmigrant Alien Prohibition: If the transferee/buyer answered “yes” to 21.1.2. record the type of documentation showing the exception to the prohibition and attach a copy to this ATF Form 4473:

27.a. Date the transferee’s/buyer’s identifying information in Section B was

27.b. The NICS or State transaction number (if provided) was:

 

 

transmitted to NICS or the appropriate State agency:

 

 

 

 

 

 

 

 

 

Month

 

Day

 

 

 

Year

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

27.c. The response initially provided by NICS or the appropriate State

27.d. Prior to transfer the following response(s) was/were later provided

 

 

agency was:

 

 

 

 

 

 

 

by NICS or the appropriate State agency:

Overturned

 

 

 

 

Proceed

 

Delayed

 

 

Proceed

 

(date)

 

 

 

 

 

 

 

 

 

 

 

 

 

Denied

 

[The firearm(s) may be transferred on

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Denied

 

(date)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

if State law permits (optional)]

 

 

 

 

 

 

 

 

Cancelled

 

 

 

 

 

 

Cancelled

 

(date)

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

No response was provided within 3 business days.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

27.e. After the firearm was transferred, the following response was provided by NICS or the appropriate State agency (if applicable) on:

(date).

Proceed

Denied

Cancelled

27.f. Name and Brady identification number

of the NICS examiner. (optional) 27.g. Name of FFL Employee Completing NICS check. (optional)

(name)

(number)

28.No NICS check is required because a background check was completed during the NFA approval process on the individual who will receive the NFA firearm(s), as reflected on the approved NFA application.

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ATF Form 4473 (5300.9) Revised May 2020

29.

No NICS check is required because the transferee/buyer has a valid permit from the State where the transfer is to take place, which qualifies as an exemption to NICS.

Issuing State and Permit Type

Date of Issuance (if any)

Expiration Date (if any)

Section D - Must Be Completed Personally By Transferee/Buyer

Permit Number (if any)

If the transfer of the firearm(s) takes place on a different day from the date that the transferee/buyer signed Section B, the transferee/buyer must complete Section D immediately prior to the transfer of the firearm(s).

I certify that all of my responses in Section B of this form are still true, correct, and complete.

 

30.

Transferee’s/Buyer’s Signature

 

31. Recertification Date

 

 

 

 

Month

 

Day

 

Year

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Section E - Must Be Completed By Transferor/Seller

 

 

 

 

 

32.

For Use by Licensee

33. Trade/corporate name and address of transferor/seller and Federal

 

 

 

Firearm License Number (must contain at least first three and last

 

 

 

five digits X-XX-XXXXX; hand stamp may be used)

 

 

The Individual Transferring The Firearm(s) Must Complete Questions 34-36.

For Denied/Cancelled Transactions, The Individual Who Completed Section C Must Complete Questions 34-35.

I certify that: (1) I have read and understand the Notices, Instructions, and Definitions on thisATF Form 4473; (2) the information recorded in SectionsA, C and E is true, correct, and complete; and (3) this entire transaction record has been completed at the licensed business premises (“licensed premises” includes business temporarily conducted from a qualifying gun show or event in the same State in which the licensed premises is located) unless this transaction has met the requirements of 18 U.S.C. 922(c). Unless this transaction has been denied or cancelled by NICS or State agency, I further certify on the basis of — (1) the transferee’s/buyer’s responses in Section B (and Section D, if applicable); (2) the verification of the identification recorded in question 26 (and the re-verification at the time of transfer, if Section D was completed); and (3) State or local law applicable to the firearms business — it is my belief that it is not unlawful for me to sell, deliver, transport, or otherwise dispose of the firearm(s) listed on this form to the person identified in Section B.

34. Transferor’s/Seller’s Name (please print)

35. Transferor’s/Seller’s Signature

36. Date Transferred

Year

 

 

Month

Day

REMINDER - By the Close of Business Complete ATF Form 3310.4 for Multiple Sales of Handguns Within 5 Consecutive Business Days

NOTICES, INSTRUCTIONS, AND DEFINITIONS

Purpose of the Form: The information and certification on this form are designed so that a person licensed under 18 U.S.C. 923 may determine if he/she may law- fully sell or deliver a firearm to the person identified in Section B, and to alert the transferee/buyer of certain restrictions on the receipt and possession of firearms. The transferor/seller of a firearm must determine the lawfulness of the transaction and maintain proper records of the transaction. Consequently, the transferor/seller must be familiar with the provisions of 18 U.S.C. 921-931 and the regulations in 27 CFR Parts 478 and 479. In determining the lawfulness of the sale or delivery of a rifle or shotgun to a resident of another State, the transferor/seller is presumed to know the applicable State laws and published ordinances in both the transferor’s/seller’s State and the transferee’s/buyer’s State. (See State Laws and Published Ordinances -Firearms (ATF Electronic Publication 5300.5) on https://www.atf.gov/.)

Generally, ATF Form 4473 must be completed at the licensed business premises when a firearm is transferred over-the-counter. Federal law, 18 U.S.C. 922(c), allows a licensed importer, manufacturer, or dealer to sell a firearm to a nonlicensee who does not appear in person at the licensee’s business premises only if the transferee/ buyer meets certain requirements. These requirements are set forth in section 922(c), 27 CFR 478.96(b), and ATF Procedure 2013-2 (or subsequent update).

After the transferor/seller has completed the firearms transaction, he/she must make the completed, original ATF Form 4473 (which includes the Notices, General Instructions, and Definitions), and any supporting documents, part of his/her permanent records. Such Forms 4473 must be retained for at least 20 years and after that period may be submitted to ATF. Filing may be chronological (by date of disposition), alphabetical (by name of purchaser), or numerical (by transaction serial number), as long as all of the transferor’s/seller’s completed Forms 4473 are filed in the same manner.

FORMS 4473 FOR DENIED/CANCELLED TRANSFERS MUST BE RETAINED: If the transfer of a firearm is denied/cancelled by NICS, or if for any other reason the transfer is not completed after a NICS check is initiated, the licensee must retain the ATF Form 4473 in his/her records for at least 5 years. Forms 4473 with respect to which a sale, delivery, or transfer did not take place shall be separately retained in alphabetical (by name of transferee) or chronological (by date of transferee’s certification) order.

If the transferor/seller or the transferee/buyer discovers that an ATF Form 4473 is incomplete or improperly completed after the firearm has been transferred, and the transferor/seller or the transferee/buyer wishes to correct the omission(s) or error(s), photocopy the inaccurate form and make any necessary additions or revisions to the photocopy. The transferor/seller should only make changes to Sections A, C, and E. The transferee/buyer should only make changes to Sections B and D. Whoever made the changes should initial and date the changes. The corrected photocopy should be attached to the original Form 4473 and retained as part of the transferor’s/seller’s permanent records.

Section A

Questions 1-6. Firearm(s) Description: These blocks must be completed with the firearm(s) information. All firearms manufactured after 1968 by Federal firearms licensees should be marked with a serial number. Should you acquire a firearm that is legally not marked with a serial number (i.e. pre-1968); you may answer question 3 with “NSN” (No Serial Number), “N/A” or “None.”

If more than three firearms are involved in a transaction, please provide the information required by Section A, Questions 1-5, on ATF Form 5300.9A, Firearms Transaction Record Continuation Sheet. The completed Form 5300.9A must be attached to this ATF Form 4473.

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ATF Form 4473 (5300.9) Revised May 2020

Types of firearms include, but are not limited to: pistol, revolver, rifle, shotgun, receiver, frame, and firearms that are neither handguns nor long guns (rifles or shotguns), such as firearms having a pistol grip that expel a shotgun shell (pistol grip firearm) or NFA firearms (machinegun, silencer, short-barreled shotgun, short- barreled rifle, destructive device, or “any other weapon”).

Additional firearms purchases by the same transferee/buyer may not be added to the form after the transferor/seller has signed and dated it. A transferee/buyer who wishes to acquire additional firearms after the transferor/seller has signed and dated the form must complete a new ATF Form 4473 and undergo a new NICS check.

Question 8. Private Party Transfer: Check this box if the licensee is facilitating the sale or transfer of a firearm between private unlicensed individuals in accordance with ATF Procedure 2017-1. This will assist the licensee by documenting which transaction records correspond with private party transfers, and why there may be no corresponding A&D entries when the transfer did not proceed because it was denied, delayed, or cancelled.

Section B

The transferee/buyer must personally complete Section B of this form and certify (sign and date) that the answers are true, correct, and complete. However, if the transferee/buyer is unable to read and/or write, the answers (other than the signature) may be completed by another person, excluding the transferor/seller. Two persons (other than the transferor/seller) must then sign as witnesses to the transferee’s/ buyer’s answers and signature/certification in question 22.

When the transferee/buyer of a firearm is a corporation, company, association, partnership, or other such business entity, an officer authorized to act on behalf

of the business must complete Section B of the form with his/her personal information, sign Section B, and attach a written statement, executed under penalties of perjury, stating:

(A)the firearm is being acquired for the use of and will be the property of that business entity; and (B) the name and address of that business entity.

Question 9. Transferee’s/Buyers Full Name: If the transferee’s/buyer’s name is illegible, the transferor/seller must print the transferee’s/buyer’s name above the name written by the transferee/buyer.

Question 10. Current Residence Address: A rural route (RR) may be accepted provided the transferee/buyer lives in a State or locality where it is considered a legal residence address.

If the transferee/buyer is a member of the Armed Forces on active duty, his/her State of residence is the State in which his/her permanent duty station is located. If the service member is acquiring a firearm in a State where his/her permanent duty station is located, but resides in a different State, the transferee/buyer must list both his/her permanent duty station address and residence address. If the transferee/buyer has two States of residence, the transferee/buyer should list his/her current residence address (e.g., if the transferee/buyer is purchasing a firearm while staying at his/her weekend home in State X, list the address in State X).

Question 14. Sex: Individuals with neither male nor female on their identification document(s) should check Non-Binary.

Question 17. Unique Personal Identification Number (UPIN) or Appeals Management Database Identification (AMD ID): For transferees/buyers approved to have information maintained about them in the FBI NICS Voluntary Appeal File, NICS will provide them with a UPIN, which the transferee/buyer should record in question 17. The AMD ID is a number that will be provided to an appellant on certain types of overturned appeals and should also be recorded in question 17. The transferor/seller should provide the UPIN/AMD ID when conducting background checks through the NICS or the State POC.

Questions 18.a. and 18.b. Ethnicity and Race: Federal regulations (27 CFR 478.124(c)(1)) require licensees to obtain the race of the transferee/buyer. This information helps the FBI and/or State POC make or rule out potential matches during the background check process and can assist with criminal investigations.

Ethnicity refers to a person’s heritage. Persons of Cuban, Mexican, Puerto Rican, South or Central American, or other Spanish culture or origin, regardless of race, are considered Hispanic or Latino.

Race - one or more of the following responses must be selected: (1) American Indian or Alaska Native - A person having origins in any of the original peoples of North and South America (including Central America), and who maintains a tribal

affiliation or community attachment; (2) Asian - A person having origins in any of the original peoples of the Far East, Southeast Asia, or the Indian subcontinent including, for example, Cambodia, China, India, Japan, Korea, Malaysia, Pakistan, the Philippine Islands, Thailand, and Vietnam; (3) Black or African American - A person having origins in any of the Black racial groups of Africa; (4) Native Hawaiian or Other Pacific Islander - A person having origins in any of the original peoples of Hawaii, Guam, Samoa, or other Pacific Islands; and/or (5) White - A person having origins in any of the original peoples of Europe, the Middle East, or North Africa. Select the closest representation for any other race or ethnicity that does not fall within those indicated.

Question 20. U.S.-issued Alien Number or Admission Number: U.S.-issued alien and admission numbers may be found on the following U.S. Department of Homeland Security documents: Legal Resident Card or Employment Authorization Card (AR# or USCIS#); Arrival/Departure Record, Form I94, or Form 797A (I94#). Additional information can be obtained from www.cbp.gov. If you are a U.S. citizen or U.S. national, the response to this question should be left blank.

Question 21.a. Actual Transferee/Buyer: For purposes of this form, a person is the actual transferee/buyer if he/she is purchasing the firearm for him/herself or otherwise acquiring the firearm for him/herself. (e.g., redeeming the firearm from pawn, retrieving it from consignment, firearm raffle winner). A person is also the actual transferee/buyer if he/she is legitimately purchasing the firearm as a bona fide gift for a third party. A gift is not bona fide if another person offered or gave the person completing this form money, service(s), or item(s) of value to acquire the firearm for him/her, or if the other person is prohibited by law from receiving or possessing the firearm.

EXAMPLES: Mr. Smith asks Mr. Jones to purchase a firearm for Mr. Smith (who may or may not be prohibited). Mr. Smith gives Mr. Jones the money for the firearm. Mr. Jones is NOT THE ACTUAL TRANSFEREE/BUYER of the firearm and must answer “no” to question 21.a. The licensee may not transfer the firearm to Mr. Jones. However, if Mr. Brown buys the firearm with his own money to give to Mr. Black as a gift (with no service or tangible thing of value provided by Mr. Black), Mr. Brown is the actual transferee/buyer of the firearm and should answer “yes” to question 21.a. However, the transferor/seller may not transfer a firearm to any person he/she knows or has reasonable cause to believe is prohibited under 18 U.S.C. 922(g), (h), (n), or (x).

Questions 21.b. - 21.l. Prohibited Persons: Generally, 18 U.S.C. 922(g) prohibits the shipment, transportation, receipt, or possession in or affecting interstate commerce of a firearm by one who: has been convicted of a felony in any Federal, including a general court-martial, State or local court, or any other crime, punishable by imprisonment for a term exceeding one year; is a fugitive from justice; is an unlawful user of, or addicted to, marijuana or any depressant, stimulant, or narcotic drug, or any other controlled substance; has been adjudicated as a mental defective or has been committed to a mental institution; has been discharged from the Armed Forces under dishonorable conditions; is subject to certain restraining orders; convicted of a misdemeanor crime of domestic violence under Federal, including a general court-martial, State or Tribal law; has renounced his/her U.S. citizenship; is an alien illegally in the United States or an alien admitted to the United States under a nonimmigrant visa. Furthermore, section 922(n) prohibits the shipment, transportation, or receipt in or affecting interstate commerce of a firearm by one who is under indictment or information for a felony in any Federal, including a general court-martial, State or local court, or any other crime, punishable by imprisonment for a term exceeding one year. An information is a formal accusation of a crime verified by a prosecutor.

A member of the Armed Forces must answer “yes” to 21.b. if charged with an offense that is referred to a general court-martial. A current or former member of the Armed Forces must answer “yes” to 21.c. if convicted under a general court-martial.

Discharged “under dishonorable conditions” means separation from the Armed Forces resulting from a dishonorable discharge or dismissal adjudged by a general court-martial. That term does not include any other discharge or separation.

EXCEPTION: 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; (2) has been convicted of a State mis- demeanor punishable by imprisonment of two years or less; or (3) following convic- tion of a felony or other crime for which the judge could have imprisoned the person for more than one year, or a misdemeanor crime of domestic violence, has received a pardon, an expungement or set aside of the conviction, or has lost and regained civil

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ATF Form 4473 (5300.9)

Revised May 2020

rights (the right to vote, sit on a jury, and hold public office) in the jurisdiction in which the conviction occurred, AND the law of the convicting jurisdiction does not prohibit the person from receiving or possessing firearms. Person subject to any of these exceptions, or who received relief from disabilities under 18 U.S.C. 925(c), should answer “no” to the applicable question.

Question 21.d. 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.

Question 21.f. Adjudicated as a Mental Defective: A determination by a court, board, commission, or other lawful authority that a person, as a result of marked subnormal intelligence, or mental illness, incompetency, condition, or disease: (1) is a danger to himself or to others; or (2) lacks the mental capacity to contract or man- age 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.

Committed to a Mental Institution: A formal commitment of a person 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 com- mitment for mental defectiveness or mental illness. It also includes commitments for other reasons, such as for 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 institu- tion 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 adjudica- tion 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 monitor- ing by the agency; (c) the person was found by the agency to no longer suffer from the mental health condition that served as the basis of the initial adjudication/com- mitment; (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 pursu- ant 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. Persons who fall within one of the above exceptions should answer “no” to question 21.f.

Question 21.h. Qualifying Restraining Orders: Under 18 U.S.C. 922, firearms

may not be sold to or received by persons subject to a court order that: (A) was is- sued after a hearing which the person received actual notice of and had an opportuni- ty to participate in; (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; and (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 cohabitated with the person.

Question 21.i. Misdemeanor Crime of Domestic Violence: A Federal, including a general court-martial, State, local, or tribal 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), if the offense is committed by one of the defined parties. (See Exception to 21.b. - 21.l.) A person who has been convicted of a misdemeanor crime of domestic violence also is not prohibited unless: (1) the per- son was represented by a lawyer or gave up the right to a lawyer; or (2) if the person was entitled to a jury, was tried by a jury, or gave up the right to a jury trial. Persons subject to this exception should answer “no” to 21.i.

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 under question 21.i. must answer “yes” to this question. This may include a qualifying offense that was referred to a special or general court-martial.

Question 21.l. Immigration Status: An alien admitted to the United States under a nonimmigrant visa includes, among others, persons visiting the United States tem- porarily for business or pleasure, persons studying in the United States who maintain a residence abroad, and certain temporary foreign workers. These aliens must answer “yes” to this question and provide the additional documentation as required under question 26.d.to establish they are excepted from the nonimmigrant alien prohibition. Permanent resident aliens and aliens legally admitted to the United States pursuant to either the Visa Waiver Program or to regulations otherwise exempting them from visa requirements may answer “no” to this question, leave 21.l.2 blank and are not required to submit the additional documentation under question 26.d.

Question 22. Transferee/Buyer Certification: Under 18 U.S.C. 922(a)(1), it is un- lawful for a person to engage in the business of dealing in firearms without a license. A person is engaged in the business of dealing in firearms if he/she devotes time, at- tention, and labor to dealing in firearms as a regular course of trade or business with the principal objective of livelihood and profit through the repetitive purchase and resale of firearms. A license is not required of a person who only makes occasional sales, exchanges, or purchases of firearms for the enhancement of a personal collec- tion or for a hobby, or who sells all or part of his/her personal collection of firearms.

Section C

Question 24. Category of Firearm(s): “Other” refers to frames, receivers, and other firearms that are neither handguns nor long guns (rifles or shotguns), such as firearms having a pistol grip that expel a shotgun shell, or National Firearms Act (NFA) firearms, including silencers.

If a frame or receiver can only be made into a long gun (rifle or shotgun), it is still a frame or receiver, not a handgun or long gun. All frames and receivers are “fire- arms” by definition, and subject to the same GCA limitations. See Section 921(a)(3)

(B). Section 922(b)(1) makes it unlawful for a licensee to sell any firearm other than a shotgun or rifle to any person under the age of 21. Since a frame or receiver for

a firearm, to include one that can only be made into a long gun, is a “firearm other than a shotgun or rifle,” it cannot be transferred to anyone under the age of 21, nor can these firearms be transferred to anyone who is not a resident of the State where the transfer is to take place. Also, note that multiple sales forms are not required for frames or receivers of any firearms, or pistol grip shotguns, since they are not “pistols or revolvers” under Section 923(g)(3)(A).

Question 25. Qualifying Gun Show or Event: As defined in 27 CFR 478.100, a gun show or event is a function sponsored by any national, State, or local organiza- tion, devoted to the collection, competitive use, or other sporting use of firearms, or an organization or association that sponsors functions devoted to the collection, competitive use, or other sporting use of firearms in the community.

Question 26.a. Identification: Before a licensee may sell or deliver a firearm to a nonlicensee, the licensee must establish the identity, place of residence, and age of the transferee/buyer. The transferee/buyer must provide a valid government-issued photo identification document to the transferor/seller that contains the transferee’s/ buyer’s name, residence address, and date of birth. A driver’s license or an identification card issued by a State is acceptable. Social Security cards are not acceptable because no address, date of birth, or photograph is shown on the cards.

Identification documents such as a driver’s license or identification card issued with binary, non-binary, or no sex designation may be used as an identification document. A combination of government-issued documents may be provided. See instructions for question 26.b. Supplemental Documentation.

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ATF Form 4473 (5300.9)

Revised May 2020

If the transferee/buyer is a member of the Armed Forces on active duty acquiring a firearm in the State where his/her permanent duty station is located, but he/she has a driver’s license from another State, the transferor/seller must list the transferee’s/ buyer’s military identification card in response to question 26.a., in addition to PCS orders as indicated in 26.c.

Question 26.b. Supplemental Documentation: Licensees may accept a combina- tion of valid government-issued documents to satisfy the identification document requirements of the law. The required valid government-issued photo identifica- tion document bearing the name, photograph, and date of birth of transferee/buyer may be supplemented by another valid, government-issued document showing the transferee’s/buyer’s residence address. This supplemental documentation must be recorded in question 26.b., with the issuing authority and type of identification pre- sented. For example, if the transferee/buyer has two States of residence and is trying to buy a handgun in State X, he may provide a driver’s license (showing his name, date of birth, and photograph) issued by State Y and another government-issued document (such as a tax document) from State X showing his residence address. A valid electronic document from a government website may be used as supplemen- tal documentation provided it contains the transferee’s/buyer’s name and current residence address.

Question 26.c. Official Military Orders Establishing Permanent Change of Station (PCS): Licensees may accept electronic PCS orders to establish residency.

Question 26.d. Exceptions to the Nonimmigrant Alien Prohibition: An alien admitted to the United States under a nonimmigrant visa is not prohibited from purchasing, receiving, or possessing a firearm if the alien: (1) is in possession of a hunting license or permit lawfully issued by the Federal Government, a State or local government, or an Indian tribe federally recognized by the Bureau of Indian Affairs, which is valid and unexpired; (2) was admitted to the United States for lawful hunt- ing or sporting purposes; (3) has received a waiver from the prohibition from the Attorney General of the United States; (4) is an official representative of a foreign government who is accredited to the United States Government or the Govern- ment’s mission to an international organization having its headquarters in the United States; (5) is an official representative of a foreign government who is en route to or from another country to which that alien is accredited; (6) is an official of a foreign government or a distinguished foreign visitor who has been so designated by the Department of State; or (7) is a foreign law enforcement officer of a friendly foreign government entering the United States on official law enforcement business.

Question 27. NICS Background Checks: 18 U.S.C. 922(t) requires that prior to transferring any firearm to an unlicensed person, a licensed importer, manufacturer, or dealer must first contact the National Instant Criminal Background Check System (NICS). NICS will advise the licensee whether the system finds any information that the purchaser is prohibited by law from possessing or receiving a firearm. For purposes of this form, contacts to NICS include State agencies designated as points-of- contact (or POCs) to conduct NICS checks for the Federal Government.

The licensee should NOT contact NICS and must stop the transaction if there is rea- sonable cause to believe that the transferee/buyer is prohibited from receiving or pos- sessing a firearm, including if: the transferee/buyer answered “no” to question 21.a.; the transferee/buyer answered “yes” to any question in 21.b. - 21.k.; the transferee/ buyer answered “yes” to question 21.l.1., and answered “no” to question 21.l.2.; or the transferee/buyer cannot provide the documentation required by questions 26.a, b, c, or d. Warning: Any person who transfers a firearm to any person he/she knows or has reasonable cause to believe is prohibited from receiving or possessing a firearm violates the law, 18 U.S.C. 922(d), even if the transferor/seller has complied with the Federal background check requirements.

NICS Responses: If NICS provides a “proceed” response, the transaction may proceed. If NICS provides a “denied” or “cancelled” (and does not immediately provide a new transaction number) response, the transferor/seller is prohibited from transferring the firearm to the transferee/buyer. If NICS provides a “delayed” response, the transferor/seller is prohibited from transferring the firearm unless

3 business days have elapsed and, before the transfer, NICS or the State has not advised the transferor/seller that the transferee’s/buyer’s receipt or possession of the firearm would be in violation of law. (See 27 CFR 478.102(a) for an example of how to calculate 3 business days.) If NICS provides a “delayed” response, NICS also will provide a Missing Disposition Information (MDI) date that calculates the 3 business days and reflects when the firearm(s) can be transferred under Federal law. States may not provide an MDI date. Some States may not provide a transaction number for denials. However, if a firearm is transferred within the three business day period, a transaction number is required. State law may impose a waiting period or other requirements on transferring firearms.

At the time that NICS is contacted, the licensee must record in question 27.a. - 27.c.: the date of contact, the NICS (or State) transaction number, and the initial response provided by NICS or the State. The licensee may record the date the firearms may be transferred to the transferee/buyer (also known as the Missing Disposition Information (MDI) date) in 27.c. that NICS provides for delayed transactions (States may not provide this date). If the licensee receives any subsequent response(s) before transferring the firearm, the licensee must record in question 27.d. any response later provided by NICS or the State, or that no response was provided within 3 business days. If the licensee receives a response from NICS or the State after the firearm has been transferred, he/she must record this information in question 27.e. If the transaction was denied and later overturned, in addition to checking the “Proceed” in 27.d. and entering the date, the licensee must also check “Overturned” and, if provided, attach the overturn certificate issued by NICS or the State POC to this ATF Form 4473. If more than 30 days have elapsed and a new NICS check is required, record the new transaction number, date of contact and the response provided by NICS or the State on this Form 4473 in questions 27.a.-27.c. Note: States acting as points of contact for NICS checks may use terms other than “proceed,” “delayed,” “cancelled,” or “denied.” In such cases, the licensee should check the box that corresponds to the State’s response.

Questions 28 and 29. NICS Exceptions: A NICS check is not required if the trans- fer qualifies for any of the exceptions in 27 CFR 478.102(d). Generally these include:

(a)transfers of National Firearms Act firearms to an individual who has undergone a background check during the NFA approval process; (b) transfers where the transferee/buyer has presented the licensee with a permit or license that allows the transferee/buyer to possess, acquire, or carry a firearm, and the permit has been rec- ognized by ATF as a valid alternative to the NICS check requirement; or (c) transfers certified by ATF as exempt because compliance with the NICS check requirements is impracticable. If the transfer qualifies for one of these exceptions, the licensee must obtain the documentation required by 27 CFR 478.131. A firearm must not be transferred to any transferee/buyer who fails to provide such documentation.

A NICS check must be conducted if an NFA firearm has been approved for transfer to a trust, or to a legal entity such as a corporation, and no background check was conducted as part of the NFA approval process on the individual who will receive the firearm. Individuals who have undergone a background check during the NFA application process are listed on the approved NFA transfer form.

Section D

Questions 30 and 31. Transfer on a Different Day and Recertification: If the transfer takes place on a different day from the date that the transferee/buyer signed Section B, the licensee must again check the photo identification of the transferee/ buyer at the time of transfer.

Section E

Question 32. For Use by Licensee: This item is for the licensee’s use in recording any information he/she finds necessary to conduct business or any additional information received from NICS that is not recorded in Questions 27.a. - 27.e.

Privacy Act Information

Solicitation of this information is authorized under 18 U.S.C. 923(g) and 922(b)(5). Disclosure of this information by the transferee/buyer is mandatory for the transfer of a firearm. Disclosure of the individual’s Social Security number is voluntary. The number may be used to verify the transferee’s/buyer’s identity.

For information about the routine uses of this form see System of Records Notice Justice/ATF- 008, Regulatory Enforcement Records System (68 FR 163558, January 24, 2003).

Paperwork Reduction Act Notice

The information required on this form is in accordance with the Paperwork Reduction Act of 1995. The purpose of the information is to determine the eligibility of the transferee to receive and possess firearms under Federal law. The information is subject to inspection by ATF officers and is required by 18 U.S.C. 922 and 923.

The estimated average burden associated with this collection is 30 minutes per respondent or recordkeeper, depending on individual circumstances. Comments about the accuracy of this burden estimate and suggestions for reducing it should be directed to Reports Management Officer, IT Coordination Staff, Bureau of Alcohol, Tobacco, Firearms and Explosives, Washington, DC 20226.

An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. Confidentiality is not assured.

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ATF Form 4473 (5300.9)

Revised May 2020
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Document Attributes

Fact Description
Form Definition The ATF 4473 form is a United States Federal Government form that must be completed by individuals who wish to purchase a firearm from a Federal Firearms License (FFL) holder.
Official Name Its official title is Firearms Transaction Record.
Purpose The primary purpose of the form is to determine the eligibility of the individual to purchase firearms in compliance with federal law.
Background Check Requirement Completion of the form is required before the seller can initiate a background check through the National Instant Criminal Background Check System (NICS).
Information Required The form requires personal information, including the buyer's name, address, date of birth, government-issued identification information, and answers to questions regarding firearms eligibility under federal law.
Firearm Details Details of the firearm being purchased, such as the make, model, and serial number, must also be recorded on the form.
Declaration The buyer must also answer a series of questions intended to determine their eligibility to purchase and possess firearms, including questions about criminal history, drug use, and mental health.
Signature and Date The form requires the signature and date from the buyer, affirming that the provided information is truthful and accurate.
Retention Requirement FFL holders are required to keep the completed ATF 4473 form on file for a minimum of 20 years.
State-Specific Forms Some states require additional forms or have additional laws governing the purchase of firearms, which must be complied with alongside the ATF 4473 form.

How to Fill Out ATF 4473

Filling out the ATF Form 4473 is a critical step in the firearm acquisition process in the United States, ensuring that buyers meet federal eligibility requirements. This form is utilized by firearms dealers to verify that the sale does not contravene federal law. Accurate completion is mandatory, and both dealer and purchaser have responsibilities in this process. The form demands clear, honest answers to questions regarding the buyer’s background, including criminal history, substance use, and citizenship. Failing to complete the form accurately can have legal consequences. Here are step-by-step instructions to guide you through filling out ATF Form 4473.

  1. Start by reading the instructions carefully on page 1 to understand the purpose of each section and the information required.
  2. In Section A, provide your full legal name, including your middle name, and be sure to include any supplementary information such as suffix (Jr., Sr.) if applicable.
  3. Enter your current residence address in the space provided. This must be your physical address, not a post office box.
  4. Indicate your date of birth in the format MM/DD/YYYY.
  5. Fill in your place of birth, including the city and state if born in the United States, or the country if born outside the U.S.
  6. Answer the citizenship question. If you are not a U.S. citizen, provide your Alien or Admission number.
  7. Provide your Social Security Number (SSN). Although this is optional, it helps prevent misidentification.
  8. Answer all yes or no questions in Section B truthfully. These questions are designed to determine eligibility based on factors such as criminal history, drug use, and mental health.
  9. Sign and date the declaration in Section C, asserting that the answers provided are true and correct. Remember, this is under penalty of perjury.
  10. The firearm dealer will complete the remaining sections, including a background check through the National Instant Criminal Background Check System (NICS).
  11. Wait for the dealer to notify you of the background check result. If approved, you will finalize the paperwork and proceed with the firearm transaction.

It’s important for purchasers to approach the ATF Form 4473 with seriousness and attention to detail, ensuring that all information is accurate and truthful. Firearms dealers are responsible for guiding purchasers through this process, conducting the background check, and maintaining the form on file as required by law. Remember, providing false information on this form is a federal offense and may result in severe penalties.

More About ATF 4473

  1. What is the ATF 4473 form?

    The ATF 4473 form, known officially as the Firearms Transaction Record, is a document that must be filled out by individuals who wish to purchase a firearm from a federally licensed firearms dealer in the United States. This form collects personal information and answers to specific questions that help the dealer determine the buyer's eligibility to legally purchase and own a firearm. It is an essential part of the background check process mandated by federal law.

  2. Why do I need to fill out ATF Form 4473?

    Filling out ATF Form 4473 is a legal requirement for anyone attempting to purchase a firearm from a licensed dealer. The purpose of the form is to ensure that the sale complies with federal law, preventing firearms from being sold to individuals who are prohibited from owning them. The information you provide helps the dealer initiate a background check through the National Instant Criminal Background Check System (NICS) to confirm your eligibility.

  3. What information do I need to provide on Form 4473?

    When completing Form 4473, you will be asked to provide several pieces of personal information, including your full name, address, date of birth, and Social Security number (optional, but it can help prevent misidentification). In addition, you must answer a series of questions related to your background, drug use, criminal history, and mental health status, among other criteria that could affect your eligibility to purchase a firearm.

  4. What happens if I lie on the ATF 4473 form?

    Lying on the ATF 4473 form is a federal offense that can lead to severe penalties, including fines and imprisonment. If it is discovered that you provided false information or omitted relevant facts about your background or eligibility, you could be charged with perjury or other federal crimes. It is crucial to answer all questions on the form honestly and to the best of your knowledge.

  5. Can I fill out the ATF 4473 form online?

    As of the current guidelines, the ATF 4473 form must be completed in person at the premises of a licensed firearm dealer. This requirement ensures that the dealer can verify your identity using a valid government-issued photo ID and address any concerns or discrepancies that may arise while filling out the form. While some preliminary steps may be available online, the actual form must be completed on-site.

  6. How long does the background check take after submitting Form 4473?

    The duration of the background check process can vary, but in most cases, it is completed within a few minutes to a few hours. However, if the National Instant Criminal Background Check System (NICS) returns a "delayed" status, the check can take up to three business days. If the delay extends beyond three business days, the dealer may legally transfer the firearm to the buyer, although many choose to wait until receiving a definitive response from NICS.

Common mistakes

Filling out the ATF Form 4473 is a critical step in the lawful purchase of firearms in the United States. This form, required by the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF), is designed to determine the eligibility of individuals to buy firearms. Unfortunately, errors can occur during this process, potentially complicating or even preventing the purchase. Here are six common mistakes to avoid:

  1. Providing Inaccurate Personal Information: Every detail counts. Mistakes in your name, address, or date of birth can lead to significant delays. Double-check each piece of information to ensure it matches your government-issued identification.

  2. Failure to Answer All Questions: Leaving any question unanswered can result in an incomplete submission. Each question must be answered accurately to proceed with the firearm purchase process.

  3. Misunderstanding the Question about Criminal History: Questions related to criminal history can be complex. Misinterpreting these questions, or failing to answer them truthfully, can lead to serious legal consequences, including denial of the application or worse.

  4. Incorrectly Answering Citizenship Questions: Confirming your citizenship status is crucial. Errors in this section can not only delay the process but may also trigger additional scrutiny or investigation into your application.

  5. Signatures Missing or in the Wrong Place: Every signature on the form must be placed correctly. An unsigned or improperly signed form is considered incomplete and will not be processed.

  6. Using Outdated Forms: Always ensure you are using the most current version of the ATF Form 4473. The ATF updates these forms periodically, and using an outdated version can lead to your application being rejected.

Completing the ATF Form 4473 correctly is essential for a smooth firearm purchase process. Avoiding these common mistakes will help ensure that your transaction proceeds without unnecessary delays or complications. Always take the time to review your answers and consult with a professional if you're unsure about any aspect of the form. Your diligence can make the difference between a successful purchase and a frustrating delay.

Documents used along the form

Completing the ATF Form 4473 is a critical step for individuals in the United States looking to purchase a firearm from a licensed dealer. This process is designed to ensure that the transfer of firearms is legal and safe, complying with federal law. However, the ATF Form 4473 is not the only document involved in this process. There are several other forms and documents that are often used in conjunction with Form 4473 to ensure full compliance and to address specific circumstances related to firearm acquisition and ownership. Below is a list of such documents, each serving a distinct purpose in the broader context of firearm purchase and ownership.

  • National Instant Criminal Background Check System (NICS) Consent Form: This document is used to authorize a background check through the NICS, which must be cleared before a firearm purchase can be completed.
  • State-specific Firearm Purchase or Transfer Applications: Certain states require additional forms to be filled out alongside ATF Form 4473 for the purchase or transfer of firearms within their jurisdiction.
  • Proof of Residency Documents: These may include utility bills, lease agreements, or voter registration cards used to verify the buyer's current residence, especially in states with specific residency requirements for firearm purchases.
  • Firearm Bill of Sale: While not always required, a bill of sale documents the transfer of a firearm's ownership from the seller to the buyer and may be used for personal records or where required by law.
  • Concealed Carry Permit Application: For individuals looking to carry their firearm concealed, many states require a separate application and approval process beyond the purchase of the firearm itself.
  • Firearm Safety Training Certificates: Some jurisdictions require proof of completed firearm safety training before a firearm purchase can be finalized or a concealed carry permit issued.
  • Firearm Registration Forms: In jurisdictions that require the registration of firearms, completing the necessary registration forms is a step beyond purchase.
  • Mental Health Release Forms: Certain states require individuals to consent to the release of their mental health records as part of the background check process.
  • Alien Registration or Immigrant Documentation: Non-citizens who are legal residents may be required to provide documentation of their status when purchasing a firearm.
  • Temporary Transfer Forms: Should the buyer not be able to take possession of the firearm immediately, certain laws may require documentation of any temporary transfer to another individual.

Understanding and preparing the necessary additional documentation is essential for ensuring a smooth and lawful firearm purchase process. Whether you are a first-time buyer or an experienced firearms owner, awareness of the forms and documents that accompany ATF Form 4473 can help navigate the legal requirements and reduce potential delays. It's important to remember that laws and requirements can vary significantly from state to state, highlighting the necessity of researching and understanding local regulations.

Similar forms

  • Form I-9, Employment Eligibility Verification:

    This form, required by the U.S. Citizenship and Immigration Services, shares similarities with the ATF 4473 form in its purpose to verify an individual's eligibility for a specific status—employment in the case of the I-9, and firearm purchase in the case of the 4473. Both forms require the submission of personal information and official documentation to confirm identity and eligibility.

  • Passport Application Form (DS-11):

    Likewise, the DS-11 form used for applying for a U.S. passport requires comprehensive personal information, much like the ATF 4473. Applicants must disclose their full legal name, date of birth, and other personal details, along with supplemental documents to establish identity and citizenship—mirroring the rigorous identity verification process of the ATF 4473.

  • NICS Background Check Form:

    While technically part of the process involved when completing the ATF 4473, the National Instant Criminal Background Check System (NICS) form is a critical element in determining a person's eligibility to purchase a firearm. Both forms work hand in hand to ensure that individuals meet the necessary legal standards to own a firearm.

  • Driver’s License Application:

    Applying for a driver's license requires the submission of personal information that verifies the applicant's identity and eligibility, including address, age, and law compliance. This is akin to the ATF 4473 form's requirements for purchasing firearms, emphasizing the need for safety and responsibility.

  • Voter Registration Form:

    Similar to the ATF 4473, voter registration forms require citizens to provide personal details such as name, address, and sometimes additional information like a driver's license number or social security number to confirm identity and eligibility to participate in the electoral process.

  • Federal Tax Return Forms (1040):

    Though primarily for financial reporting, the Form 1040 for individual tax returns requires detailed personal information and compliance with federal laws, paralleling the ATF 4473's requirements for firearm transactions. Both ensure adherence to U.S. federal regulations.

  • Mortgage Application Forms:

    When applying for a mortgage, individuals must provide extensive personal and financial information similar to the detail required on the ATF 4473 form. This includes identity verification, legal standing, and the ability to fulfill an agreement, underlining the importance of responsibility and legality.

Dos and Don'ts

When completing the ATF 4473 form, which is pivotal for firearm transactions in the United States, individuals should approach the process with thoroughness and accuracy. Here are important dos and don'ts to follow:

Do:

  1. Read all the instructions on the form carefully before filling it out.
  2. Use black ink to ensure that all the information is legible.
  3. Provide accurate personal information, including your full legal name and current residence address.
  4. Double-check your answers for accuracy, especially when answering questions related to your background history.
  5. Sign and date the form in the designated areas as this acknowledges your understanding and compliance.
  6. Ask for clarification from the dealer if there are any questions or sections you do not understand.
  7. Keep a copy of the completed form for your records, if possible.
  8. Answer all the questions truthfully to the best of your knowledge.
  9. Review the form for any missed entries or sections; incomplete forms can delay the process.
  10. Be prepared to show proper identification that verifies your current address and personal information.

Don't:

  1. Don't leave any fields blank; answer all questions completely.
  2. Don't use pencil or colors of ink other than black; this can make the form invalid.
  3. Don't provide false information; this is illegal and can lead to serious penalties.
  4. Don't rush through the form; taking your time can prevent mistakes.
  5. Don't forget to check the box for the type of transaction you are making.
  6. Don't ignore the privacy act notice; understanding your rights is important.
  7. Don't hesitate to ask for help if you're unsure about how to complete any part of the form.
  8. Don't alter any answers after completing the form; if errors are noticed, ask for a new form.
  9. Don't disregard the certification statement before signing the form; ensure all your responses are correct.
  10. Don't fail to update your information if it changes shortly after completing the form and before the transaction is finalized.

Misconceptions

The ATF 4473 form is an essential document in the United States for individuals who wish to purchase firearms from federally licensed dealers. Misunderstandings surrounding this document are common, causing unnecessary confusion and stress. Here are seven misconceptions about the ATF 4473 form, explained in detail to provide clarity.

  • Only Criminals Get Denied: A prevailing misconception is that only those with a criminal background are denied. In reality, denials can occur for various reasons, including restraining orders, dishonorable discharge from the Armed Forces, or incorrect information on the form.

  • It's a Registry of Gun Owners: Many believe the ATF 4473 form acts as a national registry. However, this form is used for background checks and kept by the dealer. The ATF only accesses these records during investigations or inspections. Federal law prohibits the creation of a national registry of gun ownership.

  • Personal Information Goes to the Government: While it's true that personal information is collected, it's primarily used for background checks conducted by the National Instant Criminal Background Check System (NICS), not stored by the government long-term in a database targeting gun owners.

  • Immediate Approval Means Immediate Possession: Some think that if their purchase is approved, they can immediately take the firearm home. Depending on the state, there might be waiting periods or additional state requirements that must be met before taking possession.

  • Denials Are Permanent: Being denied based on the information provided on the ATF 4473 doesn't mean a permanent ban on purchasing firearms. Errors can occur, and there's an appeal process for denials due to incorrect information or mistaken identity.

  • Filling Out the Form Means You'll Be Approved: Completing the form does not guarantee approval. The background check process is thorough, and various factors can lead to a denial that might not be immediately obvious, even if you believe you're eligible.

  • All Firearms Purchases Require a 4473 Form: This statement is partially correct. While purchases from federal firearms licensees require this form, private sales between individuals (in states where such transactions are legal) do not require a 4473 form. However, it's important to understand the local laws since some states require background checks for all transactions.

Understanding the realities of the ATF 4473 form demystifies the process of purchasing firearms and highlights the importance of accurately completing the form. While it's a key component in preventing ineligible individuals from acquiring firearms, misconceptions can muddy the waters, making informed discussions and decisions challenging.

Key takeaways

The ATF 4473 form, officially known as the Firearms Transaction Record, plays a pivotal role in the purchase of firearms in the United States. It's essential for both buyers and dealers to understand the importance of this document, ensuring a smooth and legal transaction. Below are key takeaways regarding the filling out and use of the ATF 4473 form.

  • The ATF 4473 form is required for every purchase of a firearm from a licensed dealer in the United States. This applies to both new and used firearms.

  • Accuracy is paramount when completing the form. The buyer must provide truthful and accurate information. Any falsification of information is a federal offense, which could lead to severe penalties.

  • Personal identification is needed to complete the form. This typically includes a government-issued photo ID that verifies the buyer's current residential address.

  • The form includes questions relating to the buyer's background, employment, and criminal history. Responses are used to assess the buyer's eligibility to purchase and own a firearm.

  • An integral part of the process is the National Instant Criminal Background Check System (NICS) check, which dealers must perform before finalizing the firearm sale. The information from the ATF 4473 form is used during this check.

  • The dealer retains the ATF 4473 form on file for a minimum of 20 years after the sale. This record retention is critical for tracing firearms involved in criminal activities.

  • Both the buyer and the seller have responsibilities in ensuring the form is completed correctly. The dealer must verify the completeness and accuracy of the buyer's information before proceeding with the sale.

  • Amendments or corrections to the form can be made before the sale is finalized. However, it's important that these adjustments are clear and legible to avoid misunderstanding or misinterpretation.

In sum, the ATF 4473 form is a crucial element in the legal transfer of firearms. By diligently and truthfully completing the form, buyers and sellers uphold the law, ensuring firearms are sold and possessed responsibly. It's a shared responsibility, underpinned by the earnest cooperation between buyers, sellers, and the regulating bodies, to keep the community safe.

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