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NFA Forms: Common Errors According to the ATF

Did you know that approximately 40 percent of all tax paid applications submitted to the NFA Division are incomplete and/or contain errors? Failure to properly complete necessary paperwork will result in the application being denied or returned for correction. Attempts to resolve these errors can lead to significant delays in processing the application. In these cases, the applicant is issued an error letter and given a period of 30 days to respond to ATF. Failure to respond in a timely manner will result in the application being disapproved. These delays can be avoided by taking the time to accurately complete the application in accordance with the instructions provided on the form. Below is a list of the most frequently encountered discrepancies:

Common Errors associated with ATF Form 1:

  • Missing Photos

  • Fingerprint Cards incomplete (Often missing biometric information)

  • Responsible Person Questionnaires (RPQs) - none submitted, too many submitted, insufficient number submitted (Must be one RPQ for each RP)

  • Trust/Individual names do not match on forms

  • Box 4a – Original Manufacturer not provided/incorrect

  • Box 4i – Intent not provided

  • Box 4d – Incorrect models

  • Box 4h – Maker’s name, city, state not provided

  • Box 7 – Missing signature of applicant

  • Box 10 – Law Enforcement Notification information not provided

Common Errors associated with ATF Form 4:

  • Missing Photos

  • Fingerprint Cards incomplete

  • Responsible Person Questionnaires (RPQs) - none submitted, too many submitted, insufficient number submitted (Must be one RPQ for each RP)

  • Trust/Individual names do not match on forms

  • Box 9 – Missing Transferor signature/date

  • Box 4d – Incorrect models

  • Box 12 – Law Enforcement Notification information not provided

  • Box 13 – Transferee Necessity Statement left blank

  • Box 17 – Missing Transferee signature/date

Source: "FFL Newsletter, October 22nd, 2019."

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