FFL A&D Book Guide: How to Maintain Your Records

Every firearm that comes into your possession and every firearm that leaves your possession must be recorded. There are no exceptions based on how long you hold the item, how it was acquired, or how it was disposed of.

Acquisition (incoming), what to record:

• Manufacturer and/or importer. For imported firearms, record both the foreign manufacturer and the U.S. importer. Recording only the brand name is a common error.
• Model, recorded exactly as it appears on the firearm.
• Serial number, complete and including any prefix or suffix letters. Transcription errors are among the most common A&D violations.
• Type: pistol, revolver, rifle, shotgun, receiver/frame, or other.
• Caliber or gauge.
• Date of acquisition, the date you physically take possession, not the date it was shipped.
• Name and address of the source. For FFLs, the business name, address, and FFL number. For non-licensees, the name, address, and date of birth or age.

Disposition (outgoing), what to record:

• Date of disposition.
• Name and address of the transferee, which should match the corresponding Form 4473 for non-licensee transfers.
• NICS transaction number or state equivalent.
• Form 4473 serial number, if applicable, which creates a direct cross-reference between the two records and is invaluable during inspections.

Acquisitions must be recorded by the close of the next business day following receipt. If a shipment arrives on Tuesday, all firearms should be logged by close of business Wednesday.

Dispositions must be recorded at the time of the transaction, or by the end of the business day on which the transfer occurs.

Late entries are a common violation. Even if the information is ultimately recorded correctly, failing to record it within the required timeframe is a separate compliance finding. The dealer who catches up on entries the night before a planned inventory count is the one who makes mistakes.

Several categories of transactions are frequently overlooked, leading to inventory discrepancies that raise red flags during inspections.

Acquisitions often missed:

• Customer trade-ins. The incoming firearm must be logged as an acquisition. Many dealers record the sale but forget the trade-in.
• Pawn redemption returns and forfeitures. Firearms that are forfeited and become your inventory must be logged.
• Consignment firearms. Taking a firearm on consignment means taking it into your inventory, so it must be logged.
• Firearms received for repair. A firearm from a non-licensee for gunsmithing must be logged in and logged out.
• Privately made firearms. Under current rules, if you receive a privately made firearm you must mark it with a serial number using your abbreviated FFL number as a prefix and record it.
• Firearms returned by law enforcement.

Dispositions often missed:

• Theft or loss. Must be recorded as a disposition with a notation, and also requires ATF and law enforcement notification within 48 hours.
• Firearms destroyed. Record with date and method.
• Returns to manufacturers or distributors. A warranty return requires a disposition entry.

Based on ATF inspection data and industry compliance reporting:

• Missing or incomplete acquisition entries. Firearms in your physical inventory that do not appear in your A&D book.
• Missing or incomplete disposition entries. No transfer date, no transferee name, no 4473 reference.
• Serial number errors. Transposed digits, missing prefix or suffix letters, or illegible handwriting.
• Inventory discrepancies. Firearms present without entries, or entries without corresponding firearms.
• Late entries. Gaps between receipt dates and acquisition logging dates.
• Manufacturer or importer errors. Recording only the brand name for imported firearms.

Paper A&D records are the traditional format. They are simple and require no technology, but they are vulnerable to legibility issues, slow retrieval during inspections, and manual correction requirements. Corrections must be a single line through the error, with the correct information written nearby, initialed and dated. White-out, erasure, or overwriting is never permitted.

Electronic A&D records remove the legibility and retrieval problems and make cross-referencing your 4473s automatic. Your existing paper records must be retained, but going forward new entries can be made in the electronic system. Backfilling historical records is optional.

The A&D book is one of the first things an Industry Operations Inspector will ask to see. Build these habits into your routine:

• Conduct regular self-audits. Monthly, pick 10 random firearms and verify each has a complete acquisition entry, then pick 10 recent dispositions and verify each has a corresponding 4473. Quarterly, run a full physical inventory count and reconciliation.
• Resolve discrepancies immediately. Document what you found, what caused it, and what you did to correct it. Self-identified and self-corrected issues demonstrate proactive compliance.
• Keep your book current. Log acquisitions the same day. Log dispositions at the time of sale.
• Train every employee. Anyone who receives firearms or processes sales needs to understand A&D requirements, and you should document the training.

Your A&D book and your Form 4473 files are two sides of the same compliance coin. Every firearm disposition to a non-licensee should have a corresponding 4473. Every 4473 should correspond to a disposition entry. When an inspector finds a mismatch, that is a finding in both records.

Systems that integrate your A&D book with your 4473 workflow eliminate this gap automatically. When a 4473 is completed and approved, the disposition entry is created from the same data, with no manual transcription and no risk of mismatched serial numbers. The e4473 digital platform integrates your Form 4473 workflow with your A&D book so every completed transaction creates the disposition entry automatically, leaving no gaps for inspectors to find.