ATF Form 4473 - Firearms Transaction Record Revisions

Due to new statutory requirements set forth in both the NICS Denial Notification Act and the Bipartisan Safer Community Act (BSCA), and to reflect the implementation of ATF Final Rule 2021R-05F, ATF Form 4473 has been revised. Because the new statutory requirements are designed to enhance public safety, and to ensure compliance with these provisions and Final Rule 2021R-05F, the Office of Management and Budget has provided emergency authorization to ATF to immediately use the revised Form 4473. ATF will be publishing the Revised Form for Notice and Comment Review in the coming months.

ATF encourages all federal firearms licensees (FFLs) to begin using the Revised Form immediately. The Revised Form is available on ATF’s website, and can be downloaded and printed for immediate use. Please note that the entire Form, including instructions, must be printed, and stored together. Hard copies of the Revised Form will be available through the ATF Distribution Center beginning February 1, 2023. The ATF eForm 4473 application is also being revised and notification will be sent when it is ready for use.

Significant changes in the Revised Form are as follows:

• Any firearm, received by a FFL, that was privately made (not manufactured by another licensee) must now be recorded on the ATF Form 4473. “Privately Made Firearm (PMF)” has been added to item 1, Section A. It now reads: “Manufacturer and Importer, if any or Privately made firearm (PMF) (If the manufacturer and importer are both different, include both)”.

• Question 10 is revised: The transferee/buyer is now asked to answer whether they “Reside in City Limits?” regarding their residence address. For example, if a transferee lists their residence city/state as Phoenix, Arizona but they actually reside outside of the city, they will answer “no” to this item.

• The following two prohibiting questions have been added to Section B:
  
  • 21b: “Do you intend to purchase or acquire any firearm listed on this form and any continuation sheet(s) or ammunition, for sale of other disposition to any person described in questions 21(c)-(m) or to a person described in question 21.n.1 who does not fall within a nonimmigrant exception?”
    
  • 21.c.: “Do you intend to sell or otherwise dispose of any firearm listed on this form and any continuation sheet(s) or ammunition in furtherance of any felony or other offense punishable by imprisonment for a term of more than one year, a Federal crime of terrorism, or a drug trafficking offense?”
    
  • Prior to the NICS/POC information, an instructional header has been added stating: “Notice: If transferee/buyer is under 21, a waiting period of up to 10 days may apply where notification from NICS is received within 3 business days to further investigate a possible disqualifying juvenile record. A NICS check is only valid for 30 calendar days from the date recorded in question 27a.”
    
  • Item 27.c. was amended to show the date an FFL may transfer a firearm should NICS or the State agency (conducting the background check) not reply stating more time is needed for the check. It now reads next to the delayed check box: “The firearm(s) may be transferred on ____ if time period is not extended by NICS or the appropriate State agency, and State law allows (optional).”
    
  • A box has been added to 27.d. should NICS or the appropriate State agency delay the check as more time is needed to conduct it on a transferee under 21 years of age. It now reads: “Notice of additional delay of transferee under 21 years of age received on _______ (date), and may be transferred on _________ (date)."
    
  • Also added to 27.d. is a box for FFLs to check should no response be received from NICS or the appropriate State agency (for transferees under 21 years of age) within 10 business days after the initial delay was given. It now reads: “No response was provided within 10 business days after initial delay for transferee/buyer under 21.”

  A detailed breakdown of all form changes is provided below. The revised form will become mandatory for use on April 1, 2023. Please contact your local ATF Industry Operations office should you have any questions regarding the changes to the form.

  Changes to the New Form

  General

  • Added § to every U.S.C. reference.
  • Page 1, top right: deleted “serial” from this box. It now reads:
    Transferor’s/Seller’s Transaction Number (if any)

  Warning Statement

  • The first sentence of the statement was changed from “The information you provide will be used to determine whether you are prohibited by Federal or State law from receiving a firearm” to “The information you provide will be used to determine whether you are prohibited by Federal or State law from receiving a firearm, or whether Federal or State law prohibits the sale or disposition of a firearm to you”.
  • The second sentence of the statement was changed from “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 $250,000 fine” to “Certain violations of the Gun Control Act, 18 U.S.C. 921 et. seq., are punishable by up to 15 years imprisonment and/or up to a $250,000 fine”.

  Section A

  Question 1 Manufacturer and Importer:

  • “Privately Made Firearm (PMF)” added to item 1, Section A. It now reads: Manufacturer and Importer (if any), or Privately made firearm (PMF)(If the Manufacturer and Importer are different, include both.)

  Question 8 Private Party Transfers:

  • “if any” added after Check. Question 8 now reads: Check if any part of this transaction is to facilitate a private party transfer.

  Section B

  Question 10 Current State of Residence and Address:

  • Question 10: Added “Reside in City Limits? []Yes [] No []Unknown”.

  Question 21.a Actual Transferee/Buyer:

  • The first sentence of Question 21a. has been changed from “Are you the actual transferee/buyer of the firearm(s) listed on this form and any continuation sheet(s) (ATF Form 5300.9A)?” to “Are you the actual transferee/buyer of all of the firearm(s) listed on this form and any continuation sheet(s) (ATF Form 5300.9A)?

  New Question 21.b:

  • Do you intend to purchase or acquire any firearm listed on this form and any continuation sheet(s), or ammunition, for sale or other disposition to any person described in questions 21(c)-(m), or to a person described in question 21.n.1 who does not fall within a nonimmigrant alien exception?

  To clarify: Question 21b is asking the transferee (customer) if they intend to sell or distribute any of the firearms, they are acquiring, to a person prohibited from receiving or possessing firearms? The prohibited categories are listed in questions 21(c) – (m) and 21.n.1 (unless that person falls within a nonimmigrant exception).

  New Question 21.c:

  • Do you intend to sell or otherwise dispose of any firearm listed on this form and any continuation sheet(s) or ammunition in furtherance of any felony or other offense punishable by imprisonment for a term of more than one year, a Federal crime of terrorism, or a drug trafficking offense?

  Due to the addition of the two new questions in Section B, the questions are now renumbered from 21.d. through 21.n.

  Questions 21.n.2 parenthesis at end of questions now reads: (U.S. citizens/nationals leave 21.n.1 and 21n.2. blank).

  The last sentence of the certification statement has been changed from “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” to “I further understand that the repetitive purchase of firearms for the purpose of resale to predominantly earn a profit without a Federal firearms license is a violation of Federal law”.

  Section C

  Question 25 Qualifying Gun Show or Event:

  • Added the address, county and zip code where the gun show takes place.

  Question 26.b Supplemental Government Issued Documentation

  • Changed “if identification document does not show current residence address or full legal name” to “if identification document does not show current residence address or legal name”

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

  • Changed PCS Base/City and State” to PCS Base, City and State

  Question 26.d Exception to the Nonimmigrant Alien Prohibition:

  • This question now refers to item 21.n.2. NOT 21.l.2.

  Added a header before NICS questions begin: Notice: If transferee/buyer is under 21, a waiting period of up to 10 days may apply where notification from NICS is received within 3 business days to further investigate a possible disqualifying juvenile record. A NICS check is only valid for 30 calendar days from the date recorded in question 27a.

  Question 27.c Response initially provided by NICS

  • Next to the delayed check box a new check box has been added: The firearm(s) may be transferred on ____ if time period is not extended by NICS or the appropriate State agency, and State law allows (optional)

  Question 27.d NICS Delayed Response . Added blocks for the following statements:

  • Notice of additional delay of transferee under 21 years of age received on _______ (date) and may be transferred on ____________ (date).
  • No response was provided within 10 business days after additional delay for transferee/buyer under 21 years of age.

  Questions 27.f. and 27.g. have been removed.

  Section E

  Transferor Certification
  Added the following: If this transaction required a NICS check, I further certify that this firearm(s) transfer is within 30 days from the date of the initial contact with NICS.

  Notices, Instructions, and Definitions

  In the instructions, changed every law reference from “section” to “18 U.S.C.”

  Second Paragraph – changed the instruction to indicate that all forms 4473 must be retained.

  • Changed “Such Forms 4473 must be retained.” To “Such Forms 4473 must be retained until discontinuance of business or licensed activity. Paper forms over 20 years of age may be stored at a separate warehouse, which is considered part of the business premises subject to inspection.

  Fourth Paragraph - changed the instruction to indicate that all forms 4473 must be retained.

  • Changed “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.” to “If the transfer of a firearm is denied/cancelled by NICS, or if for any other reason the transfer is not completed the licensee must retain the ATF Form 4473 in his/her records.”

  Instructions for Section A:

  Question 1-6. Firearm(s) Description

  First Paragraph

  • Changed “serial number” to “licensee’s serial number”. Changed (i.e., pre-1968) to (i.e., certain pre-1968 firearms). Added “Unless already properly marked by another licensee, licensees who take a privately made firearm (PMF) into inventory are required to mark the PMF with an individual serial number that begins with the FFL’s abbreviated license number, which is the first three and last five digits, as a prefix to a unique identification number, followed by a hyphen, e.g., “12345678-unique identification number.”

  Question 8 Private Party Transfer

  • Added “If the proposed transfer involves a PMF, the PMF must first be taken into inventory and properly marked with a licensee’s serial number.” To the end of the paragraph.

  Instructions for Section B

  Questions 21.b. - 21.l. changed to Questions 21.d. – 21.n.

  Question 21.k.

  First Paragraph

  • Added “or by a person who has a current or recent former dating relationship with the victim (as defined in 18 U.S.C. 921(a)(37)).” after or by a person similarly situated to a spouse, parent, or guardian of the victim,

  Exception

  • Changed “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 misdemeanor punishable by imprisonment of two years or less; or (3) following conviction 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 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. Persons 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.” to “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 misdemeanor punishable by imprisonment of two years or less; or (3) following conviction 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 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. Also, a person who has no more than one conviction of a misdemeanor crime of domestic violence against an individual in a dating relationship, and is not otherwise prohibited under this chapter, is not prohibited if 5 years have elapsed from conviction or completion of the person's custodial or supervisory sentence, whichever occurs later, and the person has not subsequently been convicted of any other misdemeanor crime of violence, or any other offense that would disqualify the person under 18 U.S.C. 922(g). A person subject to any of these exceptions, or who received relief from disabilities under section 925(c), should answer “no” to the applicable question.”

  Question 22. Transferee/Buyer Certification

  • Changed “A person is engaged in the business of dealing in firearms if he/she devotes time, attention, and labor to dealing in firearms as a regular course of trade or business through the repetitive purchase and resale of firearms.” to “A person is engaged in the business of dealing in firearms if he/she devotes time, attention, and labor to dealing in firearms as a regular course of trade or business to predominately earn a profit through the repetitive purchase and resale of firearms.”

  Instructions for Section C

  Question 27 NICS Background Checks

  First Paragraph

  • Changed “NICS will advise the licensee whether the system finds any information that the purchaser is prohibited by law from possessing or receiving a firearm” to “NICS will advise the licensee whether the system finds any information that the transfer to, or receipt by, the transferee is prohibited by law.”

  Second Paragraph first sentence has been changed to:

  • The licensee should NOT contact NICS and must stop the transaction if there is reasonable cause to believe that the sale or disposition of a firearm to the transferee/buyer is prohibited or the transferee/buyer is prohibited from receiving or possessing a firearm, including if: the transferee/buyer answered “no” to questions 21.a; the transferee/buyer answered “yes” to questions 21.b. – 21.m; the transferee/buyer answered “yes” to question 21.n.1., and answered “no” to question 21.n.2.

  Second Paragraph Warning has been changed to:

  • Any person who transfers a firearm to any person knowing or having reasonable cause to believe the sale or disposition to such person is prohibited violates the law, 18 U.S.C. 922(d), even if the transferor/seller has complied with the Federal background check requirements.

  NICS Responses

  First Paragraph

  • After the second sentence added “If NICS provides a “delayed” response, the transferor/seller is prohibited from transferring firearms to the transferee/buyer unless 3 business days have elapsed , and, before the transfer, NICS or the State has not advised the transferor that the transfer to, or receipt or possession by, the transferee/buyer would be in violation of law (See 27 CFR 478.102(a) for an example of how to calculate 3 business days.) If within 3 business days NICS or the State notifies the transferor/seller that it has cause to further investigate a possibly disqualifying juvenile record of a transferee/buyer under 21 years of age, the transfer may occur only after 10 business days since the licensee initially contacted NICS, and NICS has not notified the licensee that the transfer is prohibited.”

  Second Paragraph

  • After the third sentence, the following was added: “If, within 3 business days, the licensee receives notice of additional delay (only if transferee/buyer under the age of 21), the licensee must indicate this response in item 27.d. If no response is received after 10 days, the licensee may transfer the firearm assuming State law allows.”

  Privacy Act Information

  • Changed “68 FR 163558, January 24. 2003” to “82 FR 44659, September 25, 2017”

  Related Resources

  

  • 4473 Part 1— Firearms Transaction Record Over-The-Counter (ATF Form 5300.9) (416.57 KB)
  • Rules
  • Regulations
  • Forms
  • EZ Check
  • eForms
  • Listing of Federal Firearms Licensees
  • Proposed ATF Form 4473 Update - Revised as a result of current Federal Register notice and comment period (*NOT FOR CURRENT USE)
  • Proposed ATF Form 4473 Update (Spanish Version) - Revised as a result of current Federal Register notice and comment period (*NOT FOR CURRENT USE)

  Related Research and Background Information

  • Federal Register; Agency Information Collection Activities; Proposed eCollection eComments Requested; Firearms Transaction Record (ATF Form 4473 (5300.9)) - 30 day notice
  • Federal Register; Agency Information Collection Activities; Proposed eCollection eComments Requested; Firearms Transaction Record (ATF Form 4473 (5300.9)) - 60 day notice

  Ordering Forms

  The revised form is available for download. Beginning February 1, 2023, forms may be ordered online or by contacting the Distribution Center at 240-828-5316.

  Contact Information

  If you have additional questions regarding the revised Form 4473, please contact FIPB@atf.gov or your local ATF office. A listing may be found online.