Top 10 Violations

According to the ATF, below are the top 10 FFL violations impacting public safety

And how FFLAssist addresses these violations

1. Failure to obtain an ATF Form 4473 (Firearms Transaction Record) when required.
   1. FFLAssist allows you to sell firearms. However, sales are prohibited unless the customer has completed a Form 4473 tied to the specific firearm they intend to purchase, unless the sale is to another FFL. This forces you, as the agent, to ensure Form 4473 gets completed prior to any sales attempt.

2. Failure to obtain a complete and correct ATF Form 4473.
   1. FFLAssist identifies all missing, incorrect or incomplete data required on Form 4473 and allows corrections prior to certification. Examples, missing birth dates and driver’s license numbers are identified prior to the both the agent and the customer signing the form, allowing corrections to be made.
   2. Once the Form 4473 has been certified by both the agent and the customer, all information is locked down.

3. Failure to conduct an FBI or State background check PRIOR to the transfer of a firearm.
   1. FFLAssist contains hyperlinks in Section C of the Form 4473, allowing the agent to navigate to the NICS (or appropriate State) website to conduct the background checks without deviating off the form, and prohibits certification if responding transaction number is blank.

4. Failure to obtain appropriate identification documents prior to the transfer of a firearm.
   1. FFLAssist has the ability to attach photocopies of the customers driver’s license to Form 4473. Simply take a picture of the license with your phone and upload the photo as an attachment to the appropriate Form 4473.

5. Failure to record complete and accurate Acquisition and Disposition information.
   1. FFLAssist allow you, as the agent, to purchase firearms, either as a purchase order from your distributors or as a purchase in a private sale. Upon finalizing the purchase order and the recording of the firearm’s serial number, FFLAssist automatically creates the Acquisition record in your Bound Book.
   2. FFLAssist allows you, as the agent to sell firearms. Upon finalizing the sale by capturing the firearm’s serial number, and after collecting payment, FFLAssist automatically creates the Disposition record in your Bound Book. However, this automatic Disposition creation only occurs if 1) the customer is not another FFL and 2) the firearm being sold is tied to a Form 4473. Attempted sales without a completed Form 4473 for the firearm in question is not permitted.

6. Failure to report the sale of multiple handgun and/or certain rifles, if required.
   1. FFLAssist automatically pops up a message to the processing agent if an ATF From 3310 (multiple firearm sales) is required, if the customer is purchasing multiple firearms from the same FFL within a five (5) day period.

7. Failure to report lost or stolen firearms.
   1. FFLAssist permits, you as the agent, to identify, flag, and remove from inventory, any firearms lost or stolen. Lost or stolen firearms are recorded in the Bound Book. It is still up to you, as the agent, to report lost or stolen firearms to law enforcement. FFLAssist merely flags the firearms in question.

8. Improper sale to a non-resident.
   1. FFLAssist prohibits sales and shipments to out-of-state residents, unless the out-of-state resident is another FFL. FFLAssist also prohibits shipments to in-state residents, forcing all in-state residents to pick up their firearm in person at your place of business, which allows you and the customer to complete a Form 4473.

9. Providing false information.
   1. FFLAssist generates an error on Form 4473 if the customer’s ID has expired or if the customer is under age. It cannot match the photo on their ID to their face, but as mentioned above, the ID can be scanned and attached to the Form 4473.
   2. It will be up to you, as the agent, to ask the customer why the address on their ID is different than the response provided during the background check.

10. Sale or transfer to a prohibited person.
    1. FFLAssist generates an error and stop the Form 4473 certification process if any of the “Yes/No” questions are answered wrong.
    2. You, as the agent, are not permitted to coach customers as to which answer they should provide. You can only answer their questions on the mechanics of how to answer the question.
    3. It will be up to you, as the agent, to question the customer why they answered the question in the manner in which they did.
    4. The customer will be completing Section B electronically in a kiosk mode, whereby they are prompted to answer each “Yes/No” question, followed by them clicking a “Next” button to page through the questions. If the customer has a question about how to answer one of the “Yes/No” questions, instruct them to hover the computer mouse over the question wording (caption), which pops up the rules on the screen as identified on Form 4473 about that question.
    5. FFLAssist requires each of the three sections, A, B and C, to be completed in order.
    6. However, should a customer’s background check return a status of “denied”, it will be up to you, as the agent, to give that signed Form 4473 to law enforcement for further investigation into the “denied” status. FFLAssist does not prohibit you, as the agent, from handing the firearm to the customer and allowing the customer to leave with a firearm.