Compliance Checklist
The essential ATF compliance requirements every FFL must follow from Day 1
Compliance Isn’t Optional
ATF violations can result in license revocation, fines, and criminal charges. Build compliance habits from the start — it’s much easier than fixing problems later.
Core Compliance Requirements
Daily Operations
Every firearm transfer requires a properly completed 4473
Background check before releasing any firearm
A&D entries within required timeframes
Government-issued photo ID, check expiration
Firearms secured when premises unattended
Current license visible at business location
Record Keeping Requirements
Form 4473 Retention
20 years minimum for approved transfers. Denied/no-transfer 4473s kept for 5 years. Store securely — these are legal documents.
Bound Book (A&D)
Permanent record. Never discard. If you close your FFL, the bound book goes to ATF. Acquisitions logged within 1 business day (7 for private purchases).
Multiple Sales Reports
Same day. ATF Form 3310.4 required when same person purchases 2+ handguns within 5 business days. Must be submitted by close of business.
Theft/Loss Reports
Within 48 hours. ATF Form 3310.11 required for any stolen or lost firearms. Also report to local law enforcement.
Electronic vs Paper Records
ATF allows electronic bound books and 4473 storage, but they must meet specific requirements. Whatever system you use, ensure it’s backed up and accessible for inspection.
Common Compliance Mistakes
Incomplete 4473s
Missing signatures, dates, or fields. Review every form before finalizing the transfer.
Late Bound Book Entries
Acquisitions must be logged promptly. “I’ll do it later” leads to violations.
Wrong Serial Numbers
Transcription errors are common. Double-check serial numbers on both 4473 and bound book.
Expired IDs
An expired ID is not valid for firearm transfers. No exceptions.
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