ATF Form 4473: Prohibited-Person Questions, Actual Buyer, and Denials

ATF Form 4473 is the federal Firearms Transaction Record you complete at a licensed dealer whenever you buy a firearm from that dealer. It captures your identity, asks a series of eligibility questions, and gives the dealer the information needed to run your background check through the National Instant Criminal Background Check System (NICS) before the firearm is transferred to you.¹

What You Need to Bring to the Counter

Before the dealer hands you the form, you need a valid government-issued photo ID that shows your name, current residential address, and date of birth. A driver’s license is the usual choice, but any government-issued photo document that meets the federal definition works.²

Age and residency rules decide whether the sale can happen at all. Federal law requires you to be at least 18 to buy a rifle or shotgun and at least 21 to buy a handgun.³ For a handgun, you must live in the same state as the dealer. A long gun can be sold across state lines if you appear in person and the sale complies with the laws of both states. Active-duty military members count as residents of the state where they are permanently stationed, even if their license shows a different home of record.⁴

What Section B Asks You

You personally complete Section B. It collects your full legal name, current address, date of birth, height, weight, sex, and place of birth, followed by a series of yes-or-no questions on the categories of people federal law bars from buying a firearm. You sign and date the section to certify your answers are true.¹

The dealer fills out a separate section recording the firearm’s manufacturer, model, serial number, type, and caliber or gauge. Together the entries tie a specific firearm to a specific buyer on a specific date.¹

The form asks for your Social Security number, but you are not required to provide it. Supplying it helps NICS tell you apart from other people with similar names and birth dates, which can prevent a mistaken delay or denial. If you have a common name, it is worth including.⁵

Non-immigrant aliens face extra questions on the form, including country of citizenship and I-94 number, and are generally prohibited from buying firearms unless a recognized exception (such as a valid hunting license) applies and is documented on the form.⁶

The Prohibited-Person Questions

Most of Section B is a checklist of the categories in 18 U.S.C. § 922(g). Answering “no” to any of them when the answer is actually “yes” is a federal crime. You are prohibited from buying a firearm if you:

Have a conviction for any crime punishable by more than one year of imprisonment, regardless of the sentence you actually served
Are a fugitive from justice
Illegally use or are addicted to a controlled substance
Have been adjudicated as mentally defective or committed to a mental institution at age 16 or older
Are in the country illegally or hold a nonimmigrant visa, with narrow exceptions
Received a dishonorable discharge from the armed forces
Have renounced U.S. citizenship
Are subject to a qualifying domestic restraining order
Have a misdemeanor domestic violence conviction

You self-report these on the form and NICS verifies them against federal and state records.³

Marijuana Use

The controlled-substance question catches people off guard. Marijuana is still a federally controlled substance, so regular use makes you a prohibited person even in states that have legalized it. A January 2026 ATF rule narrowed the definition of “unlawful user” to require evidence of regular, ongoing use over an extended period. Isolated or sporadic use no longer qualifies, and the ATF removed older guidance that treated a single arrest, conviction, or failed drug test within the past year as sufficient by itself.⁷ Regular marijuana use still disqualifies you federally; the threshold for what counts as disqualifying is simply higher than before.

Question 21.a: Are You the Actual Buyer?

One question deserves particular attention. Question 21.a asks whether you are the actual transferee or buyer. You must answer “yes” only if the firearm is for you or is a genuine gift you are paying for with your own money and expect nothing in return for. If someone else gave you the money to make the purchase, you are not the actual buyer, and answering “yes” is both false and illegal.¹ A recipient of a genuine gift must also be legally eligible to possess a firearm.

Buying for someone who is prohibited, or who plans to use the firearm in a crime, is a straw purchase. Under 18 U.S.C. § 932 a straw purchase carries up to 15 years in federal prison, rising to 25 years if the firearm is intended for use in a felony, terrorism, or drug trafficking.⁸

Penalties for a False Statement

Lying anywhere on Form 4473 to deceive the dealer about the lawfulness of the sale is a federal felony punishable by up to 10 years in prison.⁹ The maximum fine is $250,000.¹⁰ Prosecutors do not have to prove you actually received the firearm; attempting the purchase with false information is enough.

What Happens After You Sign

The dealer submits your information to NICS. In 31 states, five U.S. territories, and the District of Columbia the dealer contacts the FBI directly; in the remaining states a designated state agency runs the check against the NICS database.¹¹ The check returns one of three responses:

Proceed. The dealer can complete the sale.
Delayed. If no final decision arrives within three business days, the dealer is legally permitted to transfer the firearm but is not required to, and many wait for a definitive answer.
Denied. The sale stops and the dealer cannot transfer the firearm.

The three-business-day default transfer rule comes from the Brady Handgun Violence Prevention Act at 18 U.S.C. § 922(t).³ Some states impose longer waiting periods or prohibit transfers until a final determination arrives.

If you are 18, 19, or 20, expect the check to take longer. Under the Bipartisan Safer Communities Act, NICS examiners contact your state’s juvenile justice system, mental health agencies, and local law enforcement to look for disqualifying records that may not appear in the national databases.¹² If NICS finds cause to investigate further, examiners get up to 10 business days rather than three before the dealer may proceed.³

The 30-Day Window on a Completed Check

A completed NICS check is valid for 30 calendar days from the date it was initiated. If the dealer does not transfer the firearm within that window, the check expires and you must fill out a new Form 4473 and go through the background check again.¹³ This surprises buyers whose special-order or layaway firearm takes longer than expected. If you return on a later day to pick up the firearm, you also must complete Section D re-certifying that your answers are still accurate.¹

If You Are Denied

Denials sometimes reflect outdated records, mistaken identity, or data entry errors, and the FBI provides a formal challenge process. First, request the reason for the denial. The FBI must tell you which prohibiting category triggered it within five business days. You can submit the request at edo.cjis.gov or by mail, and no fingerprints are required at this stage.¹⁴

If the reason does not match your actual record, file a formal challenge. Include the NICS Transaction Number (your dealer can provide it) and explain what you believe is inaccurate. Submitting a fingerprint card is optional but strongly recommended, because it helps distinguish you from anyone with similar biographical details. The FBI has 60 calendar days to respond with a final decision.¹⁴

If the FBI upholds the denial and you still believe it is wrong, 18 U.S.C. § 925A lets you file a civil suit against the agency responsible for the erroneous information. A court can order the record corrected or the transfer approved, and the prevailing party may recover attorney’s fees.¹⁵

If you keep getting delayed or denied because you share a name with a prohibited person, apply for a Unique Personal Identification Number through the FBI’s Voluntary Appeal File program. Once you have a UPIN, you enter it on every future Form 4473, and NICS uses it to quickly separate you from the person triggering the false match. A UPIN does not guarantee an instant “proceed” every time, but it sharply reduces the odds of a repeat mistaken-identity denial.¹⁶

1
Bureau of Alcohol, Tobacco, Firearms and Explosives. ATF Form 4473 – Firearms Transaction Record
2
eCFR. 27 CFR 478.11 – Meaning of Terms
3
Office of the Law Revision Counsel. 18 U.S.C. 922 – Unlawful Acts
4
GovInfo. 18 U.S.C. 921 – Definitions
5
Bureau of Alcohol, Tobacco, Firearms and Explosives. Firearms Questions and Answers
6
Federal Bureau of Investigation. NICS Quick Reference Sheet for Non-U.S. Citizens Purchasing a Firearm
7
Federal Register. Revising Definition of Unlawful User of or Addicted to Controlled Substance
8
Office of the Law Revision Counsel. 18 U.S.C. 932 – Straw Purchasing of Firearms
9
Office of the Law Revision Counsel. 18 U.S.C. 924 – Penalties
10
Office of the Law Revision Counsel. 18 U.S.C. 3571 – Sentence of Fine
11
Federal Bureau of Investigation. About NICS
12
Office of the Law Revision Counsel. 34 U.S.C. 40901 – Establishment
13
eCFR. 27 CFR 478.102 – Sales or Deliveries of Firearms
14
Federal Bureau of Investigation. Requesting a Reason for and/or Challenging a NICS Denial
15
Office of the Law Revision Counsel. 18 U.S.C. 925A – Remedy for Erroneous Denial of Firearm
16
Federal Bureau of Investigation. Voluntary Appeal File