FFL Compliance Checklist 2026: ATF Inspection Ready

✓ Acquisition & Disposition Records

• □ All acquisitions logged same-day
• □ Serial numbers verified and recorded accurately
• □ Manufacturer/importer, model, caliber documented
• □ Acquisition date and source recorded
• □ All dispositions logged promptly
• □ Buyer information complete for non-licensee transfers
• □ FFL information recorded for dealer transfers

✓ Form 4473 Completion

• □ All fields completed legibly
• □ Buyer identification verified and recorded
• □ NICS check conducted and documented
• □ Proper proceed/delay/deny status recorded
• □ Signatures obtained (buyer and seller)
• □ Date and time recorded
• □ Multiple firearm purchases flagged if applicable

✓ Security Measures

• □ All firearms secured when not in use
• □ NFA items in locked storage
• □ Access limited to authorized personnel
• □ Alarm system active (if applicable)

✓ Record Review

• □ A&D entries cross-checked for completeness
• □ 4473 files organized and complete
• □ Any corrections properly initialed and dated
• □ Pending NICS checks followed up

✓ Inventory Spot-Check

• □ Random firearms verified against A&D
• □ Serial numbers confirmed accurate
• □ Location of all inventory known

✓ Reporting Requirements

• □ Multiple sale reports (Form 3310.4) filed within 5 business days
• □ Any theft/loss reported within 48 hours
• □ Demand letters from ATF responded to promptly

✓ Comprehensive Inventory

• □ Physical count matches A&D records
• □ Consignment firearms accounted for
• □ NFA inventory verified
• □ Discrepancies investigated and resolved

✓ 4473 Audit

• □ Sample 4473s reviewed for completeness
• □ Identification documentation adequate
• □ NICS procedures followed correctly
• □ Filing system organized chronologically

✓ Employee Training Verification

• □ All staff current on 4473 procedures
• □ NICS check process understood
• □ Straw purchase indicators reviewed
• □ Record-keeping responsibilities clear

✓ Full Self-Audit

• □ Complete inventory reconciliation
• □ All A&D entries verified
• □ 4473 file comprehensive review
• □ Multiple sale reports verified filed
• □ Theft/loss reports verified filed

✓ Documentation Review

• □ FFL license current and displayed
• □ SOT registration current (if applicable)
• □ State licenses current (if required)
• □ Insurance documentation accessible

✓ Procedure Updates

• □ ATF regulatory updates reviewed
• □ State law changes incorporated
• □ Internal procedures updated as needed
• □ Staff trained on any changes

✓ License Renewals

• □ FFL renewal submitted 90+ days before expiration
• □ Fingerprints obtained for all RPs
• □ SOT renewal submitted by July 1
• □ State license renewals completed

✓ Responsible Person Updates

• □ All RPs current and accurate
• □ Form 7CR filed for any new RPs
• □ Departed RPs documented
• □ Contact information current

✓ Record Archiving

• □ Old 4473s archived (retain 20 years)
• □ A&D records preserved properly
• □ Backup copies secured
• □ Storage location documented

✓ NFA Record Keeping

• □ Form 3 transfers properly documented
• □ Form 4 files complete and organized
• □ NFA registry copies accessible
• □ Tax stamp documentation retained

✓ NFA Inventory

• □ All NFA items accounted for
• □ Serial numbers verified against registry
• □ Customer holds properly documented
• □ Transfer status tracked for pending items

✓ SOT Status

• □ Annual SOT tax paid by July 1
• □ Form 5630.7 filed for renewal
• □ SOT registration documentation accessible

• □ Verify IOI credentials
• □ Understand the purpose of visit
• □ Provide access to required records
• □ Be professional and cooperative
• □ Take notes on any findings
• □ Ask questions if requirements unclear
• □ Request copies of any documents signed
• □ Document corrective actions needed