ATF requires that all completed Form 4473s be stored “at the business premises readily accessible for inspection”. This means you need a filing system that allows you (and an ATF IOI during inspection) to locate a specific form quickly.

If a 4473 was voided or denied, the 4473 must be filed separately from completed 4473s.

Every FFL must maintain 3 separate categories for filing their 4473s.

1. Completed

   1. Filed by your choice of Chronologically, Alphabetically, or by TTSN.

   2. When the firearms were transferred to the buyer.
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2. Denied

   1. Filed Alphabetical (by name of transferee) or Chronological (by date of transferee’s certification) order.

   2. When the buyer was denied during a background check.
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3. Void/No Transfer

   1. Filed Alphabetical (by name of transferee) or Chronological (by date of transferee’s certification) order.
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The three filing methods for completed 4473s.

1. Chronologically (by Date of Transfer)

• Forms are stored in the order in which transactions occur, typically grouped by day, week, or month.
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  • Example: A September 2025 folder or box would contain all 4473s from that month, arranged in the order of the transfer date.
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• Advantages:

  • Very straightforward for businesses with steady sales volume.

  • Matches the order in which NICS checks are performed.

  • Easy to cross-reference with your Acquisition & Disposition (A&D) bound book.
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• Disadvantages:

  • Finding a 4473 during an inspection may take more time.

  • If a customer makes multiple purchases, their 4473s will be distributed across different transactions.

  • FFLs may find that chronological filing becomes bulky.

2. Alphabetical Filing (by Customers Last Name)

• Forms are filed alphabetically by the buyer’s last name, first name, and middle name.
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  • Example: All transactions for “Michael Johnson” are filed with the J’s, “John Smith” with the S’s, etc.
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• Advantages:

  • Easy to find a 4473 if you only know the customer’s name.

  • Helpful for customer service or audit follow-ups.
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• Disadvantages:

  • Must be careful about spelling errors or illegible handwriting.

  • Easier to make mistakes when filing a 4473.

  • Finding a 4473 during an inspection can be extremely difficult because it is very easy to file 4473s out of order.

3. TTSN (Form 4473 Serial Number)

Each 4473 is assigned a unique TTSN (serial number). This number should not be your item or inventory number. TTSN numbers must be unique, sequential, and must show on your bound book report. If you put a TTSN on a 4473, the 4473 must be filed with this number.

• Example: A customer’s 4473 is issued a TTSN of “2025-0451”; this number must be displayed in your bound book, and the 4473 must be filed using this number.

• Advantages:

  • Provides the tightest link between your A&D book and 4473s.

  • Very efficient for ATF inspections.

  • You do not have to worry about what the customer filled out on the 4473 or when the 4473 was completed.

• Disadvantages:

  • Requires a numbering system (extra step when completing the 4473).

  • Staff must be trained to assign numbers consistently.

Which Filing Method is Best?

• Small-volume FFLs often prefer chronological filing, since transactions are few and easy to track.

• Larger FFLs (like shops that frequently revisit customer histories) may prefer alphabetical filing.

• High-volume or compliance-focused FFLs usually adopt TTSN filing, since it aligns cleanly with A&D records and simplifies ATF inspections.
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