Official ATF Responses re: 4473/3310 Forms

Created by Ezra Weinstein, Modified on Mon, 21 Nov 2022 at 02:25 PM by Hannah Harris

Form 4473


Section A

Area:Q.6 (Total Number of Firearms)
Question:When NICS check returns DENIED, the transfer is effectively aborted, meaning that no firearms are actually transferred to the customer. One FFL said that we should automatically set Q.6 to zero, another said that Q.6 should never be changed and they were told to record "no firearms transferred" for Q.32 (For Use By Licensee). The phrase on the form says "Total Number of Firearms *TO BE* Transferred" (emphasis mine), so it implies that it should *not* be changeable, but what's the official position on this?
Summary:The number is how many plan to be transferred (not how many actually are), and should be non-changeable.
Detail:Your analysis is correct. Item 6 states “Total Number of Firearms to be Transferred”. Please ensure that you spell total number (e.g., one, two, etc. Do not use numerals). Item 6 should reflect the total number of firearms recorded in Items 1-5 and as necessary on Firearms Transaction Record Continuation Sheet, ATF Form 5300.9A. Box 32 is available for the licensee’s use in recording any information he/she finds necessary to conduct business as described in the instructions on the form. See Q&A (reference)
Source(s):FIPB Response Email 8/5/21, ATF Q&A


Section E

Area:Section E
Question:Does Section E *always* need to be filled in, even if the NICS check returns DENIED or CANCELED?
Summary:Yes, but no transfer date is needed.
Detail:If the transfer of the firearm(s) does not occur, the licensee would not record a date in box 36 because there will be no transfer date; however, all of the other information needs to be recorded in accordance with the instructions on the form. Please refer to section E of the form, which I’ve highlighted below. [Picture omitted -- highlighted area of picture reads: “For Denied/Canceled Transactions, The Individual Who Completed Section C Must Complete Questions 34-35.”]
Source(s):FIPB Response Email 8/5/21


Form 3310

Area:Q.3 (Firearms Table)
Question:Derringers are not included on 3310s?
Summary:Derringers need to be recorded as "pistols".
Detail:If the 'type' is set to 'derringer', then they are not included on 3310s since the only types that are recognized are 'revolver', 'pistol', or 'handgun'.

According to the ATF, derringers need to be recorded in the A&D as type 'pistol' (see reference).
Source(s):ATF Webinar Q&A Doc (7/12/12)

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