Processing Non-Over-the-Counter Sales Using FastBound’s Electronic Form 4473 (ATF Procedure 2020-1)

No variance is required to complete non-over-the-counter sales using FastBound’s Electronic Form 4473, as long as all steps in ATF Procedure 2020-1 are followed.

This ATF-approved procedure outlines how Federal Firearms Licensees (FFLs) can process and record non-over-the-counter firearm sales to unlicensed, in-state residents who are exempt from a NICS background check.

🔗 View the original ATF Procedure 2020-1
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Who This Applies To

This procedure only applies when the transferee/buyer:

• Is exempt from the NICS Background Check requirements.

AND

• Resides in the same state as the Licensee.

AND

• Is not physically present at the licensed business premises of the Licensee.
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Valid exemptions from a NICS Background Check

An exemption to NICS can only be obtained when the transferee/buyer:

• Has a valid Concealed Weapon Permit.

  • AND the state In which the licensee and the transferee/buyer reside in allows this as an exemption.

OR

• Has an Approved Form 4473 for the transfer of and NFA weapon.

  • AND the state In which the Licensee and the transferee/buyer reside allows this as an exemption.
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Be for using the Non-Over-the-Counter Sale procedure

• The transferee/buyer MUST reside in the same state as the Licensee.
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• The transferee/buyer MUST have an Exemption from the NICS Background Check System.
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• The transferee/buyer Exemption to the NICS Background check MUST be current and Valid.
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When Starting the Form 4473, the Transferor/Seller MUST

• Complete Section A of the Form 4473 before the transferee/buyer completes Section B of the Form 4473 as if the transferee/buyer is in-store.
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• Record the words “18 U.S.C. 922(c) Transaction” at the top of the first page of the ATF Form 4473

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Delivery of the Form 4473 to the Transferee/Buyer

• The Licensee my send the Form 4473 to the transferree/buyer via
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  • Electornic Form 4473 using FastBound
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    OR
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  • Paper Form 4473 using USPS or another mailing service, like UPS.

    • It is recommended to use tracking
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When Completing the Form 4473, the Transferee/Buyer MUST

• Complete Section B as if they were in-store.
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• Sign and date a sworn statement (prescribed by 18 U.S.C. 922(c)(1)).
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• Attach a copy of the valid exemption to the NICS Background Check System and their sworn statement.

  • This sworn statement MUST match the exact sworn statement provided in ATF Rulling 2020-1.
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• Provide any additional documentation required by state/local law.
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Return of the Form 4473 to the Licensee

• The transferee/buyer my send the Form 4473 to the licensee via
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  • Electornic Form 4473 using FastBound
    ​
    OR
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  • Paper Form 4473 using USPS or another mailing service, like UPS.

    • It is recommended to use tracking
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Final Comletion and Verification of the Form 4473

After receiving the completed Form 4473 and valid exemption documention from the transferee/buyer, AND before shipping the item(s), the Licensee MUST:

• Verify the Form 4473 is completed in full and valid by the transferee/buyer.

  • If there are mistakes on the Form 4473 they must be corrected by the transferee/buyer before continuing.
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• Complete the remaining protions of the Form 4473 as if the item(s) were bieng transferred at the licensed premesis.
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  • The licensee is permitted to omit recording identifying information (type of identification, number on identification, expiration date of identification) in Section C.

    • However, if the transferee/buyer is a nonimmigrant alien, the licensee must record the type of documentation showing an exception to the nonimmigrant alien prohibition. This supporting documentation must be attached to the ATF Form 4473;
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  • Section D is not completed.

    • Section D is the recertification of the Form 4473.
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  • The licensee must complete Section E.
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• Verify the Form 4473 has the words “18 U.S.C. 922(c) Transaction” at the top of the first page of the ATF Form 4473”
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Required Delay, Before Shipping Item(s) to Transferee/Buyer​

• Mail by certified or registered mail (return receipt requested) To the Chief Law Enforcement Officer (CLEO) of the transferee/buyer a:
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  • Copy of the transferee/buyers Electronic Form 4473
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  • Copy of the transferee/buyers Sworn statement
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  • Copy of the transferee/buyers valid exemption to the NICS Background Check System

• Delay shipment for at least 7 days from either:
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  • The date you receive a return receipt evidencing confirming of delivery to the CLEO.
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    OR
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  • The return of the copy of the Form 4773 due to refusal of the CLEO to accept the same in accordance with U.S. Postal Service regulations.
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Recordkeeping Requirements

After completing the Form 4473 and disposing of the item(s) in FastBound the Licensee MUST:

• Store the original (Electronic or Paper) Form 4473, sworn statement (with exemption document), and CLEO delivery evidence with the transferee/buyers original Form 4473.
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• Record the disposition in their A&D record;
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• Transmit any multiple sale reports, if required, using ATF Forms 3310.4 and 3310.12, where applicable.
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Compliance Reminder

Failure to abide by any of these procedures may result in a violation of 18 U.S.C.

922(b)(5), 922(c), 922(m), 923(g), and/or 924(a)(3)(B), and corresponding regulations.
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For additional questions, contact the ATF Firearms Industry Programs Branch at (202) 648-7190 or fipb@atf.gov.

This article reflects the most recent guidance and supersedes ATF Procedure 2013-2.