FFL Background Check & NICS Procedures 5 — Questions and Answers
Question 1: A buyer is subject to a qualifying domestic violence restraining order. How does this affect their ability to purchase a firearm under federal law?
- It has no effect until the buyer is actually convicted of a domestic violence offense
- The buyer is prohibited from purchasing or possessing firearms while the order is in effect (Correct answer)
- The buyer may purchase long guns but not handguns
- The buyer may purchase after a 10-day waiting period
Correct answer: The buyer is prohibited from purchasing or possessing firearms while the order is in effect
Under 18 U.S.C. § 922(g)(8), a person subject to a qualifying domestic violence restraining order is prohibited from purchasing or possessing any firearm.
Question 2: What does the NICS 'Proceed' response authorize the FFL to do?
- Transfer only the specific firearm described in the original NICS inquiry within 30 days
- Transfer any firearm to the buyer within 30 days without running additional checks (Correct answer)
- Transfer any firearm to the buyer indefinitely, since they cleared a background check
- Transfer firearms only after the buyer presents a copy of the NICS Proceed confirmation
Correct answer: Transfer any firearm to the buyer within 30 days without running additional checks
A NICS Proceed allows the FFL to transfer any firearm to that buyer within 30 calendar days — it is not restricted to a specific firearm.
Question 3: Which of the following aliens is NOT prohibited from purchasing firearms under federal law?
- An alien illegally or unlawfully present in the United States
- An alien admitted to the U.S. under a nonimmigrant visa with no applicable exemption
- A lawful permanent resident (green card holder) (Correct answer)
- An alien who has renounced U.S. citizenship
Correct answer: A lawful permanent resident (green card holder)
Lawful permanent residents (LPRs) with valid green cards are not federally prohibited from purchasing or possessing firearms under 18 U.S.C. § 922.
Question 4: If a state is a 'full Point of Contact' (full POC) state, which types of firearm transactions does the state agency handle for background checks?
- Handgun transactions only
- Long gun transactions only
- Both handgun and long gun transactions (Correct answer)
- Only transfers involving curio and relic firearms
Correct answer: Both handgun and long gun transactions
A full POC state handles NICS background checks for all firearm types — handguns and long guns — through its own state agency rather than the FBI.
Question 5: Under what circumstance may an FFL voluntarily cancel (void) a NICS transaction after a 'Proceed' response has been received?
- The FFL may never cancel a NICS transaction once a Proceed is issued
- If the sale falls through — the buyer changes their mind or fails to meet other purchase requirements — the FFL should cancel the NTN with NICS (Correct answer)
- Only if the firearm is found to be defective before transfer
- Only with written ATF approval
Correct answer: If the sale falls through — the buyer changes their mind or fails to meet other purchase requirements — the FFL should cancel the NTN with NICS
If a transfer does not proceed after a NICS Proceed (e.g., buyer backs out), the FFL should cancel the NTN to free the inquiry and keep NICS records accurate.
Question 6: A buyer provides an Individual Taxpayer Identification Number (ITIN) instead of a Social Security Number on Form 4473. How should the FFL handle this?
- Accept the ITIN as equivalent to an SSN for NICS purposes
- Refuse the sale — only SSNs are accepted on Form 4473
- Note that SSN is optional on Form 4473; proceed with the NICS check using other identifying data (Correct answer)
- Require the buyer to obtain a SSN before the purchase can continue
Correct answer: Note that SSN is optional on Form 4473; proceed with the NICS check using other identifying data
Providing an SSN on Form 4473 is voluntary; an FFL may still run a NICS check using other required identifiers (name, DOB, gender, race, state) even without an SSN.
Question 7: What is the primary purpose of the NICS Improvement Amendments Act of 2007 (NIAA)?
- To extend the NICS 3-business-day default proceed window to 10 days
- To require states to submit more complete records of disqualifying mental health adjudications and criminal convictions to NICS (Correct answer)
- To allow FFLs to conduct NICS checks online without contacting the FBI
- To mandate universal background checks for all private firearm sales nationwide
Correct answer: To require states to submit more complete records of disqualifying mental health adjudications and criminal convictions to NICS
The NIAA incentivizes and requires states to improve the completeness of records submitted to NICS, especially mental health and criminal records that form the basis for federal prohibitions.
FFL Background Check & NICS Procedures 5
A buyer is subject to a qualifying domestic violence restraining order.
How does this affect their ability to purchase a firearm under federal law?