Supplement

Firearms Record Book

Firearms Record Book

NOTICE: As an FFL Holder, You Must Keep

Federal Firearms Records

Firearms
1. Keep a separate permanent “bound book” record of all
firearms you receive and return to your customers. This
includes firearms received in pawn, curios and relics,
and firearms received for overnight (or longer) repair. A
bound book should be either permanently bound or an
orderly arrangement of loose-leaf pages. You must main-
tain the bound book on your business premises. You
may keep an electronic log, but paper is highly recom-
mended and required by the BATFE.
a. You’re to log in firearms when you receive them and
log them out as you return them. Pages 4 and 5
show sample, BATF-approved bound book entries
with some types of firearms transactions, including
both acquisitions and dispositions.
b. Keep these records permanently if you’re a manufac-
turer or importer for 20 years after the date of
disposition for all other licensees.
2. Prepare ATF Form 4473, Firearms Transaction Record,
covering the transfer of each firearm to a nonlicensed
person. Because Form 4473 is the most important
record that you’ll keep, you should read the instructions
carefully and complete each form fully.
a. You must also keep Form 4473 permanently in
addition to the permanent record described in
item 1.
b. You can keep Form 4473 alphabetically (by name of
purchaser), chronologically (by date of disposition),
or numerically (by transaction serial number).

1
 c. Use yellow Form 4473 (Part I) for over-the-counter
sales; use green Form 4473 (Part II) for non-over-
the-counter sales.

Ammunition
3. No records are required for ammunition. (Effective
November 15, 1986).
4. Licensees may dispose of all ammunition records after
November 15, 1988.
5. You must keep records of the disposition of armor-
piercing ammunition by those specially licensed
manufacturers and importers authorized to deal
in this special ammunition.
6. Because the law provides that the license of a dealer
may be revoked for dealing in armor-piercing ammuni-
tion, special provisions are provided to allow dealers who
may have acquired an inventory prior to the effective
date of P.L. 99-408 (August 28, 1986) to dispose of their
inventory to governmental entities.
7. Ammunition may be sold and shipped interstate to
licensees and nonlicensees.
Note: The “bound book” begins on page 6. Even if you don’t
have an FFL, you can use this book to keep track of personal
firearms acquisitions.

2 Firearms Record Book

 Please turn to the next page for the
Firearms Acquisition and Disposition Record.

Firearms Record Book 3

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)
1) Ithaca 1021004 66071386 Pump 20 8/2/96 John' s Fine Guns Inc.
FFL #42–987
2) Smith and Wesson 10 M60512 Revolver .38 8/4/96 Swap Shop
FFL #86–3498
3) Western Field 10504 G91467 Pump 20 8/4/96 John' s Fine Guns Inc.
FFL #42–987
4) Winchester 94 382906 L ever .30–30 11/4/96 Al Smith
928 Forrest Hill
Oak, IL . 60605
5) Remington 870 4932 Pump 16 6/19/97 Tom Freeman
605 E. Colonial
Pine Bluff, IL . 60651
6) Remington 540X 312698V Single .22 7/2/97 Joan Realtor
FFL #91–3487
7) Browning 1200 38679 Auto .45 8/24/97 John Doe
631 Pine St.
Elkton, OL. 60605
8) Western Field 10504 G91467 Pump 20 11/24/97 Jim Michaels
829 Columbia Terrace
Springfield, IL . 60659
9) Smit h and Wesson 34–1 M60562 Auto .22 12/1/97 Brian Smith (owner)
811 Wilder
Cambridge, IL . 60731
10) Remington 870 4932 Pump 16 12/2/97 Fix It or Melt It Inc.
FFL #46–3988

Explanation of Acquisitions Line 8 shows that Michaels returned the gun he origi-
nally purchased on 11/2/97 (line 3 of the Disposition
Lines 1, 2, and 3 show the purchase of a firearm from Record). He doesn’t want the gun and returns it on
a licensed dealer. You have the option of showing 11/24/97. The firearm must be re-entered, showing
either the name and address or the name and license the date of receipt and from whom it was received.
number of the licensee from whom you received the (It was received from Michaels on 11/24/97.) The
firearm. For the buyer, Brian Smith, to obtain this original entry on line 3 remains unchanged.
firearm, he had to submit a current copy of his FFL
to John’s Fine Guns (178.94). When Brian received Line 9 shows the record of Brian Smith, owner of the
the firearm, he entered it into this book immediately. licensed business, who has a personal firearm he
(For variation, see 178.125(f).) wants to sell. Enter the firearm in the book and show
the acquisition date as the date it was put up for sale.
Line 4 shows the purchase of a firearm from an
unlicensed person. Line 10 shows that a firearm sent to Fix It or Melt It
Inc. for repair on 6/20/97 is returned to Smith’s shop
Lines 5 and 6 show the record of guns brought in for and re-entered on 12/2/97.
repair. If a firearm can be fixed and returned to the
owner on the same business day, no entry is neces- Line numbers are given for illustration purposes only.
sary. However, if a firearm can’t be returned that day, it
must be entered as an acquisition even though it isn’t
a purchase. Gunsmithing transactions such as this
may be recorded in a separate bound book. You may use hand-ruled paper with the same column
Line 7 shows the record of John Doe bringing in a gun arrangements, same column headings, and the
for sale on consignment. Make the entry on the date of same language notations as illustrated above.
receipt.

4 Firearms Record Book

 DISPOSITION RECORD

DISPOSITION

Address or License Number (If Licensee)

Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

1) 1/29/97 James House Form 4473 #2

2)
3) 11/2/97 Jim Michaels Form 4473 #68
4) 9/1/97 Bill Bentley Form 4473 #50
5) 6/20/97 Fix It or Melt It Inc. FFL #46–3988
6) 7/14/97 Brian Smith Form 4473 #35
7) 7/1/98 John Doe Form 4473 #86
8) 12/2/97 Stolen—Reported to Police on 12/2/97
9) 12/12/97 Jake Jones, Metro Police 305 Wilkins Blvd.
Atchinson, KA. 70519
See certification letter instead of F4473
10) 12/2/97 Tom Freeman 605 East Colonial
Pine Bluff, IL . 60651

Explanation of Dispositions firearm. Because this will be a personal firearm, Smith

must fill out Form 4473 for himself. When this happens,
Line 1 shows the sale of a gun to an unlicensed person. it must be either removed from the business premises,
The buyer’s name is inserted directly across from the or, if kept on the business premises, must be identi-
firearm purchased. Brian’s Sport Shop files Form 4473 fied as not being part of his business inventory (such
numerically (see 178.124(b) for options) and lists the as by a tag reading “NOT FOR SALE”).
form number in place of the address. Number “2” is
the serial number of the Form 4473 that Mr. House Line 7 shows that a gun brought in by John Doe for
filled out. sale on consignment wasn’t sold. Form 4473 must be
filled out by John Doe when the gun is returned to him.
Line 2 is blank because the firearm hasn’t been
traded, sold, loaned, stolen, or transferred out. The Line 8 shows that the firearm is stolen—show the dis-
gun should be on hand and available for inspection. position of the firearm as “stolen” and show the date
the theft was reported to the local authorities. If the
Line 4 shows that Bentley borrowed a gun. It’s not a police case number is available, please report it here.
sale, but it’s a disposition. Form 4473 must be filled
out. (See 178.97 for loans and rentals by clubs.) When Line 9 shows that firearms were sold to an out-of-state
Bentley returns the gun, it must be shown as an acqui- police officer for official use, as evidenced by a certifi-
sition. cation letter. See instructions on the sale to law
enforcement officers.
Line 5 shows that Brian is unable to fix the firearm
brought in by Mr. Freeman and sends it to a gunsmith Line 10 shows that Mr. Freeman gets his repaired
for repair. Gunsmiths must be licensed, and Brian’s gun back. He doesn’t need to fill out Form 4473. The
Sport Shop must obtain a current certified copy of Fix gun was returned to the same person who brought the
It or Melt It Inc.’s license prior to delivery of the gun in for repair. If someone picked the gun up for Mr.
firearm. Freeman, a Form 4473 would then have to be filled out
by that person (178.124(a)).
Line 6 shows that Brian Smith, owner of the store,
takes a firearm from inventory for his own personal

Firearms Record Book 5

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

6 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 7

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

8 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 9

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

10 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 11

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

12 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 13

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

14 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 15

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

16 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 17

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

18 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 19

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

20 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 21

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

22 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 23

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

24 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 25

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

26 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 27

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

28 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 29

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

30 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 31

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

32 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 33

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

34 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 35

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

36 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 37

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

38 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 39

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

40 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 41

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

42 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 43

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

44 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 45

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

46 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 47

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

48 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 49

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

50 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 51

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

52 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 53

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

54 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 55

 FIREARMS ACQUISITION AND
DESCRIPTION OF FIREARM RECEIPT
Manufacturer Caliber From Whom Received
Serial Type of
and/or Model or Date (Name and Address or
Number Action
Importer Gauge Name and License Number)

56 Firearms Record Book

 DISPOSITION RECORD
DISPOSITION
Address or License Number (If Licensee)
Date Name or Form 4473 Serial No. (If Nonlicensee)
(File Numerically)

Firearms Record Book 57