FFL Enforcement, Inspections & Legal Responsibilities 3

Question 1

A licensed collector (Type 03 C&R FFL) wants to sell a curio and relic pistol to a non-licensee in the same state. What is required?

Accepted Answer

The collector must transfer the pistol through a licensed dealer who will complete a Form 4473 and NICS check

Answer

C&R collectors (03 FFLs) are not authorized dealers; sales to non-licensees must be conducted through a Type 01 dealer who completes the 4473 and NICS check.

Question 2

During an ATF inspection, an IOI asks to see the FFL's logbook for NFA items. The licensee is a licensed dealer-SOT. Which records are the IOI entitled to inspect?

Accepted Answer

The A&D book, Forms 4473, ATF Form 3 and 4 transfers, and the SOT registration records

Answer

ATF IOIs may inspect all FFL and NFA records including the A&D book, Forms 4473, Form 3 (dealer-to-dealer NFA transfers), and Form 4 (transfers to end users) for SOT holders.

Question 3

Which of the following scenarios constitutes 'engaging in the business' without a license under the GCA?

Accepted Answer

Regularly buying firearms at gun shows and reselling them at a profit with the intent to earn livelihood

Answer

Regularly buying and reselling firearms at a profit as a means of livelihood constitutes 'engaging in the business' and requires an FFL under 18 U.S.C. § 922(a)(1)(A).

Question 4

An FFL receives a subpoena from a state court ordering production of all Form 4473s for the past 3 years. The FFL should:

Accepted Answer

Notify ATF promptly and seek legal counsel before responding to the subpoena

Answer

FFLs should promptly notify ATF and obtain legal counsel when served with state court subpoenas for federal firearms records, as jurisdictional and privacy issues may apply.

Question 5

Under 27 CFR 478.127, how long must an FFL retain Form 4473 for a completed transfer?

Accepted Answer

20 years from the date of transfer

Answer

FFLs must retain Form 4473 for a minimum of 20 years from the date of transfer, and out-of-business records must be sent to the ATF Out-of-Business Records Center.

(FFL) Certified Federal Firearms License Specialist Practice Test

(FFL) Certified Federal Firearms License Specialist Practice Test

FFL Enforcement, Inspections & Legal Responsibilities 3