The complete FFL guide to ATF Form 4473

What is ATF Form 4473?

ATF Form 4473 — officially titled the Firearms Transaction Record — is a federal form that must be completed every time a firearm is transferred from a Federal Firearms Licensee (FFL) to a non-licensee. The form is issued by the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) and serves as the primary record of a lawful firearm transaction in the United States.

The form collects identifying information about the buyer (name, date of birth, address, identification, and citizenship), verifies their eligibility to purchase a firearm through a series of yes/no questions, and records the firearm details — make, model, serial number, and caliber. The FFL is required to retain the completed form for a minimum of 20 years, or until the business closes, whichever comes first.

Form 4473 is not a registration form. The ATF does not maintain a centralized database of firearm transactions. The completed form stays with the FFL at their licensed premises unless the business discontinues operations, at which point the records are transferred to the ATF's National Tracing Center.

Who must complete ATF Form 4473?

Every non-licensee buyer in a firearm transaction with an FFL must complete ATF Form 4473. This includes sales, trades, redemptions (pawn), and any other transfer of a firearm from a licensed dealer to an unlicensed individual. The form must be completed before the firearm is transferred.

Transactions that require a 4473

• Over-the-counter sales — any firearm sold to a customer in your store
• Online / transfer sales — firearms shipped to your FFL from an online seller for customer pickup
• Pawn redemptions — when a customer redeems a pawned firearm
• Multiple firearm transactions — each qualifying transaction requires its own 4473 and may also require Form 3310.4 (Report of Multiple Sale of Handguns)

Transactions that do NOT require a 4473

• Transfers between two FFLs (dealer-to-dealer) — recorded in the A&D book
• Private party sales in states where no FFL involvement is required
• Returns of a firearm to the person it was received from (certain conditions apply)

Sections of ATF Form 4473 explained

Form 4473 is divided into multiple sections. Understanding what each section covers — and who fills it out — is critical for staying compliant.

Section A — Buyer information (completed by the buyer)

The buyer enters their personal information: full legal name, physical address (not a P.O. Box), city, state, ZIP code, place of birth, date of birth, Social Security Number (optional but recommended), height, weight, sex, ethnicity, and race. The buyer also provides their government-issued photo identification number, issuing state, and expiration date.

Section B — Eligibility questions (completed by the buyer)

A series of yes/no questions that determine whether the buyer is legally eligible to purchase a firearm under federal law. These questions cover felony convictions, domestic violence misdemeanors, restraining orders, drug use, mental health adjudications, dishonorable discharge, renouncement of citizenship, and other disqualifying conditions. Any incorrect answer on this section can result in a denied NICS check or a federal violation.

Section C — Buyer certification and signature

The buyer certifies that all answers are true and correct, acknowledges the warnings printed on the form, and signs. Under ATF Ruling 2016-2, this signature can be captured electronically.

Section D — Firearm description and NICS check (completed by the FFL)

The FFL records the firearm details (manufacturer, importer, model, serial number, type, caliber/gauge) and the results of the NICS background check — Proceed, Delayed, or Denied. The FFL also records the NICS Transaction Number (NTN) or state equivalent.

Section E — FFL certification

The FFL employee certifies that they verified the buyer's identity, reviewed the form for completeness, and contacted NICS (or the state point of contact). The FFL signs and dates the form.

The NICS background check process

After the buyer completes Sections A through C, the FFL contacts the National Instant Criminal Background Check System (NICS) — operated by the FBI — to determine whether the buyer is eligible to receive a firearm. The NICS check uses information from the 4473 to search federal and state databases for disqualifying records.

Three possible NICS outcomes

1. 1Proceed — the buyer is cleared and the transaction can be completed.
2. 2Delayed — additional research is needed. The FBI has up to three business days to make a determination. If no final answer is provided within three business days, the FFL may proceed with the transfer at their discretion (this is the "default proceed" or "Brady date" rule).
3. 3Denied — the buyer is prohibited from receiving a firearm. The transaction cannot be completed. The buyer may appeal directly to the FBI.

With E4473's NICS integration, customer data from the digital 4473 flows directly into the NICS submission — no re-entering information into a separate system. The result appears in your FFL dashboard in real time.

Common 4473 errors that lead to ATF violations

Form 4473 errors are among the most frequently cited violations during ATF compliance inspections. Many of these errors are avoidable — especially with digital 4473 software that validates fields before submission. Here are the most common mistakes:

Customer-side errors

• Wrong answer on Question 21.a — "Are you the actual transferee/buyer?" Customers frequently misunderstand this question, especially in gift purchases.
• Missing or incomplete fields — left-blank county, ethnicity, or place of birth. Illegible handwriting on paper forms is a major contributor.
• Wrong date format or missing date — entering date of birth or transaction date incorrectly.
• Using a P.O. Box instead of physical address — the ATF requires a physical residential address.

FFL-side errors

• Incomplete firearm description — missing serial number, wrong caliber, or manufacturer vs. importer confusion.
• Missing NICS Transaction Number — failing to record the NTN or state equivalent.
• Not reviewing the form before submission — failing to catch obvious errors or blank fields before completing the transaction.
• Using an expired or outdated form version — the ATF periodically revises Form 4473. Using an outdated version is a violation.

4473 record retention requirements

FFLs are required to retain completed ATF Form 4473 records for a minimum of 20 years from the date of the transaction, or until the FFL discontinues business, whichever occurs first (per 27 CFR 478.129). If an FFL goes out of business, all records must be sent to the ATF's National Tracing Center within 30 days.

How records must be stored

Form 4473 records can be stored either on paper (the traditional method) or electronically — if the FFL meets specific ATF requirements for digital storage. Regardless of format, records must be:

• Kept on the licensed premises — records cannot be stored off-site unless they are in an approved digital format with an on-site backup
• Organized for retrieval — alphabetically, chronologically, or by transaction number
• Available for inspection — the ATF must be able to access and review your records during a compliance inspection
• Printable on demand — if stored digitally, forms must be printable upon ATF request

Electronic 4473 vs. paper 4473: what FFLs need to know

Since ATF Ruling 2016-2, FFLs have had the option to complete Form 4473 electronically. But what does that actually mean in practice, and how does digital compare to paper?

Paper 4473

The traditional method. The customer fills out the form by hand at the counter with a pen. The FFL reviews the form, contacts NICS (often by phone or a separate web portal), records the results on the form, and files the paper copy. This method is still legal and widely used, but it comes with inherent problems: illegible handwriting, blank fields, physical storage requirements, and slow retrieval during audits.

Electronic 4473

With electronic 4473 software, the entire process — customer entry, eligibility questions, e-signatures, NICS submission, and storage — happens in a digital environment. Customers fill out the form on a smartphone, tablet, or kiosk. The FFL reviews a clean, validated form on their dashboard. NICS checks are submitted directly from the platform. And the completed form can be stored electronically in the cloud for up to 20 years.

ATF requirements for digital 4473 storage

The ATF allows FFLs to store completed Form 4473 records electronically — but only if specific conditions are met. These requirements go beyond simply completing the form digitally; electronic storage is a separate compliance area with its own set of rules.

1. 160-day written notice — You must notify your local ATF Industry Operations Area Office in writing 60 days before implementing electronic storage.
2. 2Electronic completion first — Forms must be completed using an eForm 4473 entirely in a digital environment (per ATF Ruling 2016-2). You cannot scan paper forms and store them digitally.
3. 3Unalterable format — Original Form 4473 records must be stored in a format that cannot be deleted, amended, replaced, or otherwise altered.
4. 4ATF access terminals — One digital access point or terminal must be provided for every 500 Forms 4473 executed in the prior 12 months.
5. 5Segregation of records — Completed transactions must be stored separately from denied transactions and forms that do not have a retention requirement.
6. 6Organized retrieval — Forms must be stored alphabetically, chronologically, or numerically and be printable on demand.
7. 7On-site backup — All records must also be saved to a local storage device at the licensed premises, updated daily.
8. 8Unencrypted access — Stored forms must be downloadable in an unencrypted format with information readily apparent for ATF access.

How to prepare for an ATF compliance inspection

Every FFL will be inspected by the ATF at some point. The frequency depends on your FFL type and transaction volume, but all FFLs should be prepared at all times. Here's what to know:

What the ATF inspects

During a compliance inspection, an ATF Industry Operations Inspector (IOI) will review your acquisition and disposition (A&D) records, completed Form 4473 records, NICS records, and your licensed premises. They're looking for completeness, accuracy, and proper storage of all required documents.

How to stay audit-ready

1. 1Keep records organized — whether paper or digital, your 4473 forms should be retrievable by name, date, or transaction number. If an IOI asks for a specific form and you can't find it, that's a problem.
2. 2Conduct self-audits — periodically review your own records for errors, blank fields, and missing forms. Catching mistakes before the ATF does is always better.
3. 3Keep your A&D book current — every firearm that enters or leaves your premises must be recorded promptly.
4. 4Review employee procedures — make sure all employees who process 4473s understand the form, the review process, and NICS procedures.
5. 5Don't wait until the ATF shows up — the time to organize your records is now, not the morning an IOI walks through your door.

ATF Ruling 2016-2: the legal basis for electronic 4473

ATF Ruling 2016-2 is the federal ruling that established the legal framework for completing ATF Form 4473 electronically. Published in 2016, it confirmed that FFLs may use electronic systems to complete the entire 4473 process — from customer entry to signatures — in a digital environment, without printing or requiring wet (ink) signatures.

The ruling requires that the electronic system capture all required information on the form, present the ATF's official instructions and definitions to the buyer, and capture the buyer's electronic signature in a way that meets the requirements of the Electronic Signatures in Global and National Commerce Act (E-SIGN Act).

ATF Ruling 2016-2 covers electronic completion of Form 4473. Electronic storage of completed forms is governed by separate ATF guidance and requires additional compliance steps, including the 60-day written notification to your local ATF office. Learn about digital storage requirements →

How to switch from paper to electronic 4473

If you're still using paper forms, switching to electronic 4473 is straightforward. Here's the process:

1. 1Choose your electronic 4473 platform. Look for a system that includes digital form completion, e-signatures, NICS integration, and cloud storage. E4473 includes all of these features →
2. 2Set up your account and train your staff. Most platforms, including E4473, can be deployed the same day. The system should be intuitive enough that employees can learn it in a single session.
3. 3If using digital storage, notify the ATF. Submit written notification to your local ATF Industry Operations Area Office 60 days before implementing electronic storage. This applies to storage only — you can start using electronic 4473 forms immediately without notifying the ATF.
4. 4Keep your existing paper records. Previously completed paper 4473s must remain on your licensed premises per 27 CFR 478.129. Digital storage applies to new forms completed electronically going forward.
5. 5Start processing digitally. Every new 4473 is completed, signed, submitted, and stored in the digital system. No printing, no filing, no paper.