Every year, ATF Industry Operations Inspectors conduct compliance inspections at thousands of FFL dealers across the country. And every year, they find the same mistakes — over and over again, at store after store.
The violations that cost dealers the most aren't exotic edge cases. They're basic errors on Form 4473 that could have been caught before the inspector ever walked through the door. Missing a signature here, a date error there — individually each one seems minor. Collectively, they put your license at risk.
Here are the five Form 4473 errors that ATF inspectors find most frequently, what causes them, and what you can do to eliminate them from your business.
Quick Summary
- Missing transferee signature in Section A
- Missing or incomplete transferor certification in Section E
- NICS transaction number not recorded
- Date errors — wrong date, missing date, or date inconsistencies
- Incomplete or skipped eligibility questions
Error #1: Missing Transferee Signature in Section A
Buyer Did Not Sign — or Signed in the Wrong Place
Section A of Form 4473 requires the transferee (buyer) to certify their answers by signing in two places: once at Question 21 (the certification at the bottom of page 1) and again at Question 33 after the transfer is complete. Both signatures are required. Either one missing is a violation.
This happens most often when the employee hands the form back before the buyer has signed the bottom certification, or forgets to bring the form back out for the post-transfer signature on the date of delivery.
Error #2: Missing or Incomplete Transferor Certification in Section E
The FFL Employee Forgot to Sign Their Own Section
Section E is where the licensed dealer — or their employee — certifies that they verified the buyer's identification, completed the NICS check, and determined the transfer was lawful. It requires the transferor's name, the date of transfer, and a signature.
In busy stores, it's easy to get distracted and hand the form off without completing your own section. But an unsigned Section E is just as serious a violation as an unsigned buyer section — it's the dealer's certification that the transfer was legal.
Error #3: NICS Transaction Number Not Recorded
The NTN Is Missing, Partial, or Illegible
When you run a NICS check and receive a Proceed response, you are required to record the NTN (NICS Transaction Number) on the form. This is your documentation that the background check was conducted. If it's missing — even if the check was actually run — you have no proof on the form that you complied with the background check requirement.
Some dealers record the NTN on a separate log and forget to transfer it to the 4473. Others record it so quickly or in such small handwriting that it becomes illegible on a scan or photocopy.
Error #4: Date Errors
Wrong Date, Missing Date, or Dates That Don't Add Up
Form 4473 requires dates in multiple places — the date the buyer certified Section A, the date of the NICS inquiry, and the date of transfer in Section E. These dates must be logically consistent: the buyer's certification must come before or on the transfer date, and the NICS inquiry must precede the transfer.
Common date errors include: the buyer signing the form with today's date but the transfer happening the next day with no updated certification; the transferor recording the wrong year (especially in January); or dates left completely blank because the employee was interrupted mid-process.
Error #5: Incomplete or Skipped Eligibility Questions
Questions 21a Through 21n — Every Box Must Be Answered
Questions 21a through 21n are the eligibility questions that determine whether the transferee is legally permitted to receive a firearm. Every single question must have a response — either "Yes" or "No." A blank answer is not the same as a "No." A blank answer is an incomplete form, and an incomplete form is a violation.
Beyond simple blanks, inspectors also look for buyers who answered "Yes" to a disqualifying question where the transfer should not have proceeded, or inconsistencies between answers (for example, a buyer who answers "No" to being a U.S. citizen but also answers "No" to being an alien).
Why These Errors Keep Happening
The common thread running through all five of these errors is the same: they happen when the transfer process is rushed, interrupted, or not systematically verified at the end. Busy days, phone calls, impatient customers, new employees — all of these create conditions where small things get missed.
The solution isn't to slow down your business. It's to build a verification step into your process that catches errors before you file the form. Whether that's a physical checklist, a second-person review, or an automated audit tool — the key is making the check automatic, not optional.
An ATF inspection can cover years of transactions. One missed signature from three years ago is still a violation today. The time to catch errors is before the inspector arrives, not after.
Catch These Errors Automatically
4473 Pro checks every field on every Form 4473 the same way an ATF inspector would — catching missing signatures, NICS errors, date inconsistencies, and blank eligibility questions before they become violations on record.
Try 4473 Pro — $24/month →A Note on Corrections
If you find an error on a previously completed form, ATF does allow corrections in many cases — but they must be made properly. Draw a single line through the error, write the correct information, and have the person who made the error initial and date the correction. White-out and erasure are never acceptable on a 4473.
For significant errors or if you are unsure whether a correction is permissible, consult your ATF Industry Operations Inspector directly. They are generally willing to provide guidance, and it is far better to ask before an inspection than to have a correction questioned during one.
This article is intended as general compliance information for FFL dealers. It does not constitute legal advice. For guidance specific to your situation, consult a qualified attorney or contact your local ATF field office.