The 10 Most Common ATF Form 4473 Errors (And How to Prevent Every One)
Form 4473 errors account for 7 of the top 10 ATF compliance violations. Here are the 10 most common mistakes, why they happen, and exactly how to prevent each one.
Why 4473 Errors Are the #1 Compliance Risk
Form 4473 errors account for seven of the top ten violations cited during ATF compliance inspections. These aren't exotic edge cases — they're the same mistakes showing up in inspection after inspection, committed by experienced and inexperienced FFLs alike.
They happen because the form is complex, counter traffic creates pressure, and the consequences of a missed field aren't visible until an inspector opens the file months or years later.
Error #1: Incomplete or Incorrect Buyer Identification
The violation: Buyer info in Section B doesn't match their ID, or required fields are blank.
Why: Buyers fill in from memory, use nicknames, or list old addresses. Staff don't verify carefully during busy periods.
Verify every field against the physical ID before proceeding. Name, address, DOB, and ID number must match exactly. Build a verification step: staff reviews field-by-field against the ID before initiating NICS.
Error #2: Missing Responses to Eligibility Questions
The violation: One or more questions 21.a–21.n are blank or answered ambiguously.
Why: Legal language confuses buyers. Conditional sub-questions get skipped. Paper forms don't enforce completion.
Questions 21.m.1 and 21.m.2 (immigration status) generate the most confusion. U.S. citizens answer "No" to 21.m.1 and leave 21.m.2 blank. Digital 4473 systems apply conditional logic automatically.
Error #3: Serial Number Transcription Errors
The violation: Serial number on the 4473 doesn't match the firearm or the A&D book.
Why: Manual transcription across multiple records. Engraved numbers can be hard to read. Staff rush during busy periods.
Read the serial number directly from the firearm — not from a tag or box. Read character by character. Have a second person verify. If your system supports barcode scanning, use it.
Error #4: Missing or Undated Signatures
The violation: Buyer signature in Section B missing or undated. FFL signature in Section C missing. Section D not completed on delayed transfers.
Why: Buyer hands back the form without signing. Staff start NICS before confirming signatures. On pickups, Section D is forgotten because the form was already "completed."
Pre-NICS checklist: verify signature and date in Section B before initiating any check. For delayed pickups, Section D completion is mandatory — build it into your pickup workflow.
Error #5: Wrong Form Version
The violation: Using a form revision that's no longer mandatory. As of Feb 1, 2024, only the August 2023 revision is valid.
Why: Old forms linger in drawers and satellite locations. New employees use whatever they find.
When a new revision becomes mandatory, sweep every location for old forms and destroy them. Digital 4473 systems eliminate this risk — the software updates automatically.
Error #6: NICS Documentation Failures
The violation: Missing NTN, blank dates, or unrecorded delayed/denied responses in Question 27.
Why: Staff get a verbal "Proceed" and hand over the firearm without completing the NICS fields. Follow-up responses on delays aren't recorded after the form is filed.
See our complete NICS guide for detailed procedures on handling every outcome.
Error #7: Multiple Firearms Recorded Incorrectly
The violation: Not all firearms listed in Section A on multi-gun transactions. Continuation sheet not attached or signed. Multiple sale report (Form 3310.4) not filed when required.
Why: Less common transactions, so staff aren't practiced. The trigger for 3310.4 (two or more handguns within five consecutive business days) spans separate 4473s.
Error #8: Incomplete Firearm Description
The violation: Missing manufacturer, wrong caliber, failure to record both manufacturer and importer for imported firearms.
Why: Staff record the brand name instead of the actual manufacturer. Caliber taken from the box instead of the firearm.
Error #9: Address Mismatch Without Documentation
The violation: Buyer's address doesn't match their ID and no supplemental document was collected.
Why: People move. Staff don't notice the mismatch or don't know supplemental documentation is required.
Also check the "City Limits" question (Question 10). Buyers often don't know whether they're inside or outside city limits — clarify it for them.
Error #10: Section D Not Completed on Non-Same-Day Transfers
The violation: Buyer completed Section B on one date and picked up the firearm on a later date, but Section D (Recertification) was not completed.
Why: The 4473 was already "done" — it's in the file, the NICS check cleared. The instinct is to just hand over the firearm. But any time the transfer date differs from the date in Section B, Section D is required.
Your 4473 Error Prevention Checklist
Use this before filing every 4473:
- ☐ All buyer ID fields complete and verified against physical ID
- ☐ All eligibility questions (21.a–21.n) answered — no blanks
- ☐ Serial number matches the firearm and the A&D entry
- ☐ Buyer signed and dated Section B
- ☐ FFL signed and dated Section C
- ☐ NICS transaction number, date, and response recorded
- ☐ For delayed transfers: Section D completed
- ☐ For multiple firearms: all listed, continuation sheet attached
- ☐ For address mismatches: supplemental documentation collected
- ☐ Current form revision in use
E4473's digital platform enforces required fields, applies conditional logic automatically, validates serial numbers against your bound book, and won't let a form be filed until every field is complete. Seven of the ten errors on this list become impossible. Schedule a demo →
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