ATF Form 4 5320.4 - ATF Application Approval Checklist

Thanks to u/Smart_Slice_140 on Reddit for requesting and ultimately recieving the ATF Form 4 5320.4 Standard Operating Procedures from the National Firearms Act Division.  His FOIA request of the Standard Operating Procedures reveals a lot of valuable information.  This is a very detailed Standard Operating Procedures .PDF and includes the ATF Form 4 Applciation Checklist, that examiners use. You can view his original post below or view the currently posted .PDF here.

The below checklist is the same checklist that the ATF uses when reviewing applications to be approved or disapproved.   

ATF 5320.4 CHECK LIST

FRONT OF APPLICATION, Page 1

• Ensure ATF Form 4 current edition, revised May 2016 or later.
• Verify tax payment ($5.00 for AOW or $200.00 for MG, SBR, SBS, DD, SI)
• Correct transferee name and address in section 2a (name should match supporting documents)
• Confirm applicant type (individual vs trust/legal entity)
  
• Firearm authorized in Transferee's state.
• Transferee county completed in section 2b.
• Transferee and Transferor are in the same state.
  - Unless Transferee is qualified to receive interstate, research would be required
• Correct registered owner in section 3a. Include Transferor name and address.
• Firearm information is complete, sections 4a-4g: original manufacturer, type, caliber, model, lengths, and serial number.
• If applicable, correct Transferee FFL in section 5 and SOT in section 6
• If applicable, correct Transferor FFL in section 7 and SOT in section 8
• Transferor signed section 9 and printed name in section 10.
• Section 11 is dated.

BACK OF APPLICATION, Page 2
Note: back of form is not required far federal, firearms licensees (this excludes type 03 collectors) and government entities.

• Section 12, Law Enforcement Notification, required.
• Section 13 required if NFA type is MG, SBR, SBS, or DD
  Note: Sections 14 through 17 are only required far individual applicants
• All questions under sections 14a-14h are answered "NO"
  - If any question is answered "YES", this is an automatic disapproval
• Section 15, Photograph
• Section 16 Date of Birth only required.
• Section 17a- 17b required
• Sections 18a- 18f.2. — Citizenship verification
  - Ensure sections 18a-18.f.2 are complete
  - Section 19 is only required if "Other Country" is selected in 18a.
• Section 20 completed only if a UPIN is applicable.
• Certification — Signature of Transferee and Date are completed.

PAYMENT PAGE, Page 3

• Section 21 - Number of responsible persons (Trust or Legal Entity)
• Section 22 — Full name of each responsible person. (Trust or Legal Entity)
• Section 23 — Method of payment

ATF FORM 5320.4 SUPPORTING DOCUMENTS CHECK LIST

Individual

• Tax payment ($5.00 for AOW or $200.00 for MG, SBR, SBS, DD, SI)
• Complete FD-258 fingerprint card in duplicate (see EXHIBIT 3)
• Two 2x2 sized photographs (Section 15 of application)

Gun Trust

• Tax payment ($5.00 for AOW or $200.00 for MG, SBR, SBS, DD, SI)
• Declaration of Trust to include any mentioned attachments.
  -If no trust is provided and the applicant has had an approved application within the last 24 months, a written statement is required affirming that no changes have been made to the trust document.
• ATF Form 5320.23, Responsible Person Questionnaire, (RPQ) for each appointed responsible person (See EXHIBIT 8)
• Complete FD-258 fingerprint card for each appointed responsible person (See EXHIBIT 7)
• Two 2x2 sized photographs (Section 3e of RPQ)

Legal Entity (Inc., LLC, etc.)

• Tax payment ($5.00 for AOW or $200.00 for MG, SBR, SBS, DD, SI)
• Articles of Corporation, organization, or other legal entity
• ATF Form 5320.23, Responsible Person Questionnaire, (RPQ) for each appointed responsible person (See
  EXHIBIT 8)
• Complete FD-258 fingerprint card for each appointed responsible person (See EXHIBIT 7)
• Two 2x2 sized photographs (Section 3e of RPQ)
• Proof of Good Standing with state of registration (Secretary of State's website)

Federal Firearms Licensee (FFL) NON SOT

• Tax payment ($5.00 for AOW or $200.00 for MG, SBR, SBS, DD, SI)
• Current Federal Firearms License provided on application.

You can view his original post below or view the currently posted .PDF here.

Public Interest FOIA National Firearms Act Division Standard Operating Procedures for NFA Applications
byu/Smart_Slice_140 inNFA