ATF Form 4473: Part 1 Firearms Transaction and Possession

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Questions and Answers

What is the primary purpose of the ATF Form 4473?

To maintain records of the transaction

To determine the lawfulness of the sale or delivery of a firearm (correct)

To alert the transferee/buyer of certain restrictions on the receipt and possession of firearms

To provide instructions on completing the form

What is the transferor/seller of a firearm presumed to know in determining the lawfulness of the sale or delivery of a rifle or shotgun to a resident of another State?

The general instructions on the ATF Form 4473

The provisions of 18 U.S.C.§ 921-931

The federal laws and published regulations in 27 CFR Parts 478 and 479

The applicable State laws and published ordinances in both the transferor’s/ seller’s State and the transferee’s/buyer’s State (correct)

Where must the ATF Form 4473 be completed?

At the licensed business premises (correct)

At the transferee's/buyer's home

At the local police station

At a separate location designated by the transferor/seller

What is the requirement for 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?

The transferee/buyer must meet certain requirements Signup and view all the answers

What is the requirement for the transferor/seller after completing the firearms transaction?

To make the completed, original ATF Form 4473 part of his/her permanent records Signup and view all the answers

What is the purpose of ATF Procedure 2020-1 (or subsequent update)?

To set forth the requirements for a licensed importer, manufacturer, or dealer to sell a firearm to a nonlicensee Signup and view all the answers

What is the publication that provides information on State laws and published ordinances regarding firearms?

State Laws and Published Ordinances - Firearms (ATF Electronic Publication 5300.5) Signup and view all the answers

What form must be completed by the close of business for multiple sales of handguns within 5 consecutive business days?

ATF Form 3310.4 Signup and view all the answers

Who can complete Section B of the form if the transferee/buyer is unable to read and/or write?

Another person, excluding the transferor/seller Signup and view all the answers

What is required 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 with his/her personal information, sign Section B, and attach a written statement Signup and view all the answers

What happens 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 Signup and view all the answers

What is considered a legal residence address in some States or localities?

Rural route (RR) Signup and view all the answers

Where is the State of residence for an Armed Forces member on active duty located?

Where their permanent duty station is located Signup and view all the answers

What should an individual with neither male nor female on their identification document(s) check in question 14?

Non-Binary Signup and view all the answers

What is the purpose of obtaining the race of the transferee/buyer?

To help the FBI and/or State POC make or rule out potential matches during the background check process Signup and view all the answers

What refers to a person’s heritage?

Ethnicity Signup and view all the answers

What should a transferee/buyer who is approved to have information maintained about them in the FBI NICS Voluntary Appeal File record in question 17?

Their Unique Personal Identification Number (UPIN) or Appeals Management Database Identification (AMD ID) Signup and view all the answers

What is the purpose of questions 18.a and 18.b?

To help the FBI and/or State POC make or rule out potential matches during the background check process and assist with criminal investigations Signup and view all the answers

What is the definition of 'Asian' in the context of race?

A person having origins in any of the original peoples of the Far East, Southeast Asia, or the Indian subcontinent Signup and view all the answers

What is the correct term for a person having origins in any of the original peoples of Hawaii, Guam, Samoa, or other Pacific Islands?

Native Hawaiian or Other Pacific Islander Signup and view all the answers

Where can a U.S.-issued alien and admission number be found?

Legal Resident Card or Employment Authorization Card (AR# or USCIS#) Signup and view all the answers

What is the correct term for a person who is purchasing a firearm for themselves or acquiring it for themselves?

Actual Transferee/Buyer Signup and view all the answers

Who is considered a prohibited person under 18 U.S.C.§ 922(g)?

A person who has been convicted of a felony in any Federal, State or local court Signup and view all the answers

What is the purpose of question 21.a on the form?

To determine the identity of the actual transferee/buyer Signup and view all the answers

What is considered a bona fide gift for a third party?

A gift given with no service or tangible thing of value provided Signup and view all the answers

Who is allowed to transfer a firearm?

Any person who is not a prohibited person Signup and view all the answers

What is the purpose of the form?

To determine the eligibility of a person to possess a firearm Signup and view all the answers

What is the consequence of transferring a firearm to a prohibited person?

The transfer is not allowed Signup and view all the answers

Who is not prohibited from possessing a firearm due to a misdemeanor conviction of domestic violence?

A person who gave up the right to a lawyer Signup and view all the answers

Who must answer 'yes' to question 21.m?

An alien admitted to the United States under a nonimmigrant visa Signup and view all the answers

What type of firearms are not subject to the same GCA limitations as handguns and long guns?

Frames and receivers Signup and view all the answers

Who is engaged in the business of dealing in firearms?

A person who devotes time, attention, and labor to dealing in firearms Signup and view all the answers

What type of firearms can be transferred to anyone under the age of 21?

Rifles or shotguns Signup and view all the answers

What is required for multiple sales of handguns within 5 consecutive business days?

No Form 4473 is required Signup and view all the answers

What is a qualifying gun show or event?

All of the above Signup and view all the answers

Who can answer 'no' to question 21.m.1?

A U.S. citizen/national Signup and view all the answers

What is not required for frames or receivers of any firearms?

Multiple sales forms Signup and view all the answers

Under what circumstances can a person sell all or part of his/her personal collection of firearms without a license?

For a hobby Signup and view all the answers

What is the term for a formal accusation of a crime verified by a prosecutor?

Information Signup and view all the answers

Who must answer 'yes' to 21.c if charged with an offense that is referred to a general court-martial?

A member of the Armed Forces Signup and view all the answers

What is the term for separation from the Armed Forces resulting from a dishonorable discharge or dismissal?

Discharged under dishonorable conditions Signup and view all the answers

What is the exception for a person who has been convicted of a State misdemeanor punishable by imprisonment of?

Two years or less Signup and view all the answers

What is the term for a person who has fled from any State to avoid prosecution for a felony or a misdemeanor?

Fugitive from Justice Signup and view all the answers

What is the term for a determination by a court, board, commission, or other lawful authority that a person is a danger to himself or to others?

Adjudicated as a Mental Defective Signup and view all the answers

What is the term for a formal commitment of a person to a mental institution by a court, board, commission, or other lawful authority?

Committed to a Mental Institution Signup and view all the answers

Who is prohibited from receiving or possessing a firearm under § 922(n)?

A person who is under indictment or information for a felony Signup and view all the answers

Who is not prohibited from receiving or possessing a firearm under the exceptions?

A person who has been convicted of a State misdemeanor punishable by imprisonment of two years or less Signup and view all the answers

What is the requirement for a person who has no more than one conviction of a misdemeanor crime of domestic violence?

5 years must have elapsed from conviction or completion of the person's custodial or supervisory sentence Signup and view all the answers

Under what circumstances is a person who has been adjudicated as a mental defective or committed to a mental institution not prohibited from receiving a firearm?

The person has been granted relief by the adjudicating/committing State pursuant to a qualifying mental health relief from disabilities program. Signup and view all the answers

What is the purpose of the exception to an adjudication or commitment by a Federal department or agency?

To allow individuals who have been adjudicated as a mental defective or committed to a mental institution to receive firearms under certain circumstances. Signup and view all the answers

What is the definition of an intimate partner?

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. Signup and view all the answers

What is the requirement for a qualifying restraining order?

The order was issued after a hearing which the person received actual notice of and had an opportunity to participate in. Signup and view all the answers

What is the definition of a misdemeanor crime of domestic violence?

A Federal, State, 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. Signup and view all the answers

What is the purpose of question 21.g?

To determine if the individual has been adjudicated as a mental defective or committed to a mental institution. Signup and view all the answers

Who is not prohibited from receiving a firearm under the exception to an adjudication or commitment by a Federal department or agency?

A person who has been granted relief by the adjudicating/committing agency pursuant to a qualified mental health relief from disabilities program. Signup and view all the answers

What is the requirement for a court order to qualify as a qualifying restraining order?

The order must include a finding that the person represents a credible threat to the physical safety of the intimate partner or child. Signup and view all the answers

What is the purpose of the exception to an adjudication or commitment by a State?

To allow individuals who have been adjudicated as a mental defective or committed to a mental institution to receive firearms under certain circumstances. Signup and view all the answers

What is the definition of a credible threat to the physical safety of an intimate partner or child?

A finding that the person represents a credible threat to the physical safety of the intimate partner or child. Signup and view all the answers

Where can paper forms over 20 years of age be stored?

At a separate warehouse, considered part of the business premises Signup and view all the answers

How must Forms 4473 with respect to which a sale, delivery, or transfer did not take place be retained?

In alphabetical order by name of transferee or chronological order by date of transferee’s certification Signup and view all the answers

Who should make changes to Sections B and D of an ATF Form 4473?

The transferee/buyer Signup and view all the answers

What should be marked with a licensee’s serial number?

All firearms manufactured or made after 1968 Signup and view all the answers

What is the purpose of checking the Private Party Transfer box on an ATF Form 4473?

To document the sale or transfer of a firearm between private unlicensed individuals Signup and view all the answers

What must be attached to the original Form 4473 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?

A photocopy of the inaccurate form with necessary additions or revisions Signup and view all the answers

What should be completed with the firearm(s) information?

Section A, Questions 1-6 Signup and view all the answers

What should be used to mark a privately made firearm (PMF) taken into inventory?

The licensee’s abbreviated license number as a prefix to a unique identification number, followed by a hyphen Signup and view all the answers

What must be completed if more than three firearms are involved in a transaction?

ATF Form 5300.9A, Firearms Transaction Record Continuation Sheet Signup and view all the answers

What type of firearms include, but are not limited to, pistol, revolver, rifle, shotgun, receiver, frame, and firearms that are neither handguns nor long guns?

Types of firearms Signup and view all the answers

Study Notes

Purpose of ATF Form 4473

The form is used to determine if a person can lawfully sell or deliver a firearm to a buyer
The form certifies that the buyer can receive and possess firearms
The seller must determine the lawfulness of the transaction and maintain proper records

Completion of the Form

The form must be completed at the licensed business premises when a firearm is transferred over-the-counter
The form can be completed in-person or online, but the buyer must appear in person to sign the form
The seller must complete the firearms transaction, then make the completed form part of their permanent records

Retaining Completed Forms

Completed forms must be retained until discontinuance of business or licensed activity
Paper forms over 20 years old may be stored at a separate warehouse, which is considered part of the business premises
Forms must be filed in a consistent manner, such as chronological, alphabetical, or numerical order

Denied/Cancelled Transfers

Forms for denied or cancelled transfers must be retained by the seller
These forms should be separately retained in alphabetical or chronological order

Corrections to the Form

If the form is incomplete or improperly completed, it can be corrected by photocopying the form and making the necessary additions or revisions
The corrected photocopy should be attached to the original form and retained as part of the seller's permanent records

Firearm Description

The firearm description must include the type of firearm, serial number, and other identifying information
If the firearm does not have a serial number, "NSN" or "N/A" can be entered
Private made firearms (PMFs) must have a unique serial number beginning with the FFL's abbreviated license number

Transferee/Buyer Information

The buyer must personally complete Section B of the form and certify that the answers are true and correct
If the buyer is unable to read or write, another person can complete the answers, but not sign the form
Two witnesses must sign the form if the buyer is unable to sign

U.S.-issued Alien Number or Admission Number

This information can be found on the buyer's legal resident card, employment authorization card, arrival/departure record, or other U.S. Department of Homeland Security documents

Prohibited Persons

Certain individuals are prohibited from receiving or possessing firearms, including:
- Those convicted of a felony or misdemeanor crime of domestic violence
- Fugitives from justice
- Unlawful users of controlled substances
- Those adjudicated as mental defectives or committed to mental institutions
- Those discharged from the Armed Forces under dishonorable conditions
- Those subject to certain restraining orders
- Aliens illegally in the United States or admitted under nonimmigrant visas

Exceptions to Prohibitions

Certain individuals are not prohibited from receiving or possessing firearms, including:
- Those convicted of antitrust violations, unfair trade practices, or restraints of trade
- Those convicted of misdemeanors punishable by imprisonment of two years or less
- Those who have received a pardon, expungement, or set aside of a conviction
- Those who have lost and regained civil rights in the convicting jurisdiction### Misdemeanor Crime of Domestic Violence
A misdemeanor crime of domestic violence is a federal, state, local, or tribal offense that involves the use or attempted use of physical force or the threatened use of a deadly weapon.
The offense must be committed by a current or former spouse, parent, or guardian of the victim, or by a person with a specific relationship with the victim.
The term includes all misdemeanors with an element of physical force or threatened use of a deadly weapon, if committed by one of the defined parties.

Exception to Misdemeanor Crime of Domestic Violence

A person convicted of a misdemeanor crime of domestic violence is not prohibited from owning a firearm unless:
- They were represented by a lawyer or gave up the right to a lawyer.
- They were entitled to a jury trial and either had a jury trial or gave up the right to a jury trial.

Immigration Status

A U.S. citizen or national should answer "no" to question 21.m.1 and leave question 21.m.2 blank.
An alien admitted to the United States under a nonimmigrant visa must answer "yes" to question 21.m.1 and provide additional documentation.
Permanent resident aliens and aliens legally admitted to the United States under certain programs may answer "no" to question 21.m.1 and leave question 21.m.2 blank.

Transferee/Buyer Certification

Under 18 U.S.C.§ 922(a)(1), it is unlawful to engage in the business of dealing in firearms without a license.
A person is engaged in the business of dealing in firearms if they devote time, attention, and labor to dealing in firearms as a regular course of trade or business to earn a profit.
A license is not required for occasional sales, exchanges, or purchases of firearms for personal collection or hobby.

Category of Firearm(s)

"Other" refers to frames, receivers, and other firearms that are neither handguns nor long guns, such as firearms with a pistol grip that expel a shotgun shell.
Frames and receivers are "firearms" by definition and subject to the same GCA limitations.
Transfers of frames or receivers to persons under 21 are prohibited, and they must be transferred to a resident of the State where the transfer is to take place.

Qualifying Gun Show or Event

A gun show or event is a function sponsored by a national, state, or local organization devoted to the collection, competitive use, or other sporting use of firearms.
The organization or association sponsors functions devoted to the collection, competitive use, or other sporting use of firearms in the community.

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Description

This quiz covers the purpose and completion of the ATF Form 4473, which is used to determine the lawfulness of a firearm sale and ensure the buyer can receive and possess firearms.