How to Prepare for an ATF Inspection in 2026: The FFL's Complete Checklist
An ATF compliance inspection can happen any day, without warning. When an Industry Operations Investigator (IOI) walks through your door, the clock starts — and the state of your records, your inventory, and your processes will determine whether you walk away clean or face enforcement action that could threaten your license.
In fiscal year 2024, the ATF conducted 9,696 compliance inspections across 128,690 active FFLs. Only 54% came out with zero violations. 195 licenses were revoked — the highest number in recent memory, and a 122% increase from just two years prior. The enforcement bar has never been higher.
The good news: preparation isn't complicated. It's systematic. And with the right tools — specifically, an electronic 4473 system, an electronic bound book, and digital 4473 storage — you can be audit-ready every single day, not just the day before an inspection.
Here's exactly what to expect, what the IOI will review, and how to prepare.
What Triggers an ATF Inspection?
The ATF is authorized to conduct one warrantless compliance inspection per year per FFL (with exceptions for certain investigations). Inspections are typically unannounced — the IOI arrives at your premises during business hours and presents their credentials.
Inspections can also be triggered by specific events: a trace request that reveals irregularities, a customer complaint, a referral from law enforcement, or a follow-up to a previous inspection with findings. Regardless of the trigger, the inspection process is largely the same.
You cannot refuse an inspection. You can request to reschedule if the timing creates a genuine operational hardship, but the ATF is not required to accommodate the request. The best approach: always be ready so the question never comes up.
What the IOI Will Review
ATF inspections follow a structured protocol. Understanding what the IOI will examine — and in what order — allows you to prepare systematically.
1. ATF Form 4473 Review
The 4473 review is typically the most time-intensive part of the inspection, and it's where most violations are found. The IOI will pull a sample of completed 4473 forms and examine each one for completeness, accuracy, and compliance.
What they're looking for:
Every required field completed (no blanks)
Customer name, address, and identification matching across all sections
Correct responses to eligibility questions (Section B, Questions 21.a through 21.l)
Proper NICS documentation (transaction number, date, response)
Transferor/seller signature and date
Transferee/buyer signature and date matching the date of transfer
Accurate firearm descriptions (serial number, make, model, type, caliber)
Proper handling of delayed NICS responses and recertification (Section C)
How to prepare: If you're using E4473, your forms are validated at every field before they can be saved. Incomplete forms literally cannot exist in the system. This eliminates the most commonly cited violation category — missing or incomplete 4473 information — before the inspection even begins.
If you're still on paper, conduct a self-audit of a random sample of recent 4473s before the inspection. Check every field. Look for missing dates, unsigned certifications, incomplete firearm descriptions, and missing NICS information. Fix what you can (following proper correction procedures — photocopy, correct, initial, date, attach to original).
2. Acquisition & Disposition (A&D) Record Review
The IOI will examine your bound book for completeness, accuracy, and timeliness. They'll verify that every acquisition and disposition is logged with all required fields, that entries were made by the close of the next business day, and that the records are legible and organized.
What they're looking for:
Complete acquisition entries (manufacturer/importer, model, serial number, type, caliber, date received, name and address of source)
Complete disposition entries (date, name and address of recipient, or reference to 4473 transaction number)
Timely entries (by close of next business day)
Legibility (every entry must be readable)
Sequential organization (chronological, alphabetical, or numerical)
How to prepare: With an electronic bound book integrated into your POS and E4473, entries are created automatically from transactions. They're always complete (the system won't save without required fields), always timely (they post at time of transaction), and always legible (they're digital). The self-audit is essentially automatic.
If you're on paper, review your most recent month of entries. Verify every acquisition has a matching disposition or is still in inventory. Check that serial numbers are accurately transcribed. Ensure no entries are missing required fields.
3. Inventory Verification
This is often the most stressful part of the inspection. The IOI will select entries from your A&D book and ask you to produce the corresponding firearm. Then they'll select firearms from your display cases and ask to see their A&D entry. Missing inventory — a firearm logged in the book but not physically present — is treated as an especially serious finding.
What they're looking for:
Every firearm in your A&D book can be accounted for (either physically present, properly disposed, or reported as lost/stolen via ATF Form 3310.11)
Every firearm on your premises has a corresponding A&D entry
Serial numbers on physical firearms match A&D entries exactly
How to prepare: Run a physical inventory count against your electronic A&D records before the inspection. Bravo's system supports live physical inventory reconciliation — you scan firearms and the system flags discrepancies in real time. Resolve any discrepancies before the IOI arrives.
If you can't run a full inventory count, at minimum, verify a random sample: pick 20 firearms from your display, check each against the A&D book. Then pick 20 entries from the A&D book and locate each firearm. If you find discrepancies in this sample, you likely have a systemic issue that needs immediate attention.
4. 4473 Storage and Retention
The IOI will verify that you're retaining 4473 forms in compliance with federal requirements: approved forms retained for 20 years from the date of sale, and denied/cancelled transactions retained for at least 5 years.
What they're looking for:
All 4473s accounted for and retrievable
Proper retention periods observed
Forms stored securely (protected from unauthorized access, damage, and loss)
If using electronic storage: compliance with ATF Ruling 2022-01 requirements
How to prepare: If you're using E4473 Cloud Storage, your forms are encrypted, organized, instantly searchable, and retained automatically for the required period. The built-in ATF Audit Portal gives your IOI restricted, read-only access to review forms from a designated workstation. This is the fastest, cleanest way to handle the 4473 retention review.
If you're on paper, ensure your storage area is organized (alphabetically, chronologically, or by transaction number), secure, and accessible. Verify that you can locate any 4473 within a reasonable time. Disorganized or inaccessible storage raises red flags with IOIs.
5. Security Measures
The IOI will evaluate your physical security measures: locked display cases, alarm systems, surveillance cameras, secure storage for firearms not on display, and access controls. While security violations are less common than recordkeeping violations, they can contribute to an overall finding of non-compliance.
6. State and Local Compliance
In addition to federal requirements, the IOI may check compliance with applicable state and local laws — waiting periods, state background check requirements, assault weapon restrictions, and magazine capacity limits, depending on your jurisdiction.
The Self-Audit: Your Best Defense
The single most effective preparation strategy is running a regular self-audit. Don't wait for the ATF to find problems — find them yourself and fix them first.
Monthly self-audit checklist:
Pull 10 random 4473s from the past 30 days. Check every field for completeness and accuracy.
Pull 10 random A&D entries. Verify the corresponding firearm is on premises or properly disposed.
Pick 10 firearms from your display. Verify each has a correct A&D entry.
Check that your NICS logs match your 4473 records.
Verify your physical 4473 storage (or digital storage) is organized and all forms are accounted for.
Review any outstanding multiple sale reports (3310.4/3310.12) for completeness and timely submission.
Confirm your theft/loss log (3310.11) is current.
E4473 Cloud Storage includes a built-in self-audit mode that makes this process dramatically faster. Instead of pulling physical forms and manually reviewing them, you search and review digitally — flagging issues and documenting corrections in the same system.
When the IOI Arrives: Best Practices
Be professional and cooperative. The inspection is a legal obligation, and the IOI is doing their job. Hostility or obstruction never helps and frequently hurts.
Designate a point person. Have one knowledgeable employee — ideally the compliance manager or owner — handle the inspection. Don't have multiple employees pulling records from different locations or answering questions inconsistently.
Provide a clean workspace. The IOI needs a desk or table with access to your records and a computer terminal (if you're using electronic systems). Having this ready when they arrive signals preparedness and professionalism.
Don't volunteer information beyond what's asked. Answer questions truthfully and completely, but don't offer unsolicited commentary about past problems, employee issues, or compliance concerns. The IOI is documenting everything.
Take notes. Document what the IOI reviews, what questions they ask, and what findings (if any) they identify. This information is valuable for your post-inspection response and for improving your processes.
Ask for the report. At the conclusion of the inspection, the IOI will provide a Report of Violations (if any) or confirm a clean inspection. Review the report carefully. If violations are cited, you have the opportunity to respond in writing — and demonstrating that you've taken corrective action (such as implementing E4473 and electronic recordkeeping) can be the difference between a warning and a revocation proceeding.
The Technology That Makes You Audit-Ready Every Day
Preparing for an ATF inspection shouldn't be a frantic, multi-day scramble triggered by an IOI walking through your door. With the right technology stack, you're audit-ready every single day — because the compliance is built into the system, not bolted on as an afterthought.
E4473 — Electronic 4473 with real-time validation, guided workflows, and automatic error prevention. Every form is complete, accurate, and stored digitally.
Electronic Bound Book — Integrated with your POS, auto-logging acquisitions and dispositions as transactions occur. Always current, always searchable, always accurate.
E4473 Cloud Storage — 20-year digital retention with encryption, instant retrieval, self-audit mode, and a dedicated ATF Audit Portal for inspections.
Bravo Store Systems — The POS that connects it all: sales, inventory, compliance, eCommerce, and customer data in one platform.
This is the stack that has been through hundreds of ATF audits with zero compliance infractions attributed to the software. It's the stack that turns ATF inspections from your worst day of the year into a routine event you handle with confidence.
Don't wait for the knock on the door. Schedule a free demo today and see what audit-ready compliance looks like, or email us at hello@e4473.com.
Related Reading:
FFL Compliance Guide 2026 — The deepest dive available on ATF rules, violations, and inspection protocols.