The NTN must be recorded on Section B of the 4473 the moment NICS provides it. The response (Proceed, Delayed, or Denied) and the date the response is received must also be recorded. Do not leave any of these fields blank regardless of the outcome.
The Bipartisan Safer Communities Act (BSCA) imposes an enhanced check for buyers under 21. Verify date of birth on the 4473 and the photo ID before deciding which proceed-by-deadline rule applies. Treat any buyer aged 18, 19, or 20 as subject to the enhanced check protocol below.
For buyers 21 and older with a Delayed response: the FFL may transfer the firearm after 3 business days from the date NICS was contacted, if no Denied response has been received. Saturday and federal holidays are not business days. Sunday is not a business day.
For buyers under 21 with a Delayed response: NICS may invoke an enhanced check that allows up to 10 business days to review juvenile records and mental-health adjudications. Do NOT transfer at 3 business days for under-21 buyers — wait for a Proceed response or for the full 10 business days to elapse without a denial. This is a federal requirement, not optional.
Transferring during the delay window is a federal violation. The firearm stays in your secured storage, logged as still-acquired in the A&D book, until either (a) NICS issues a Proceed, (b) NICS issues a Denied, or (c) the proceed-by-deadline expires.
If you contact NICS for an updated determination, log the call: date, time, NTN referenced, person you spoke with, and the response. This protects you against any later claim of failure to follow up.
Proceeding after the deadline is a business decision, not a federal requirement. Many FFLs as a matter of policy do not transfer on Delayed status at all and require a final Proceed before release. Either policy is lawful — what matters is that your decision is documented and consistent across customers.
A Denied response means the buyer is prohibited under federal or state law from receiving a firearm. The firearm stays in your inventory. Do not return any deposit until the buyer has been informed of their appeal rights (see below) and decides how to proceed.
Under BSCA (June 2022), FFLs must inform a denied buyer of the basis for the denial and their right to appeal. Provide the buyer with a copy of the FBI NICS Appeals brochure or the URL fbi.gov/services/cjis/nics/appeals (NICS Section, FBI). Do NOT speculate about the reason for the denial — refer the buyer to NICS directly.
Per ATF Final Rule 2021R-05F (Aug 2022), every 4473 that has been started — including denied transactions — must be retained until business or licensed activity is discontinued. Store denied 4473s separately in alphabetical (by transferee name) or chronological (by certification date) order so they are not commingled with completed transfers.
Some states require FFLs to notify state police of denied transactions. Check your state's specific notification requirement. Federal law does not require FFL notification of denials to state authorities — but several states do.
The FFL does not handle the appeal. The buyer must contact the FBI NICS Section directly — instructions are in the appeals brochure. Common appeal grounds: mistaken identity (someone else with the same name/DOB), expunged record not yet updated in NICS, restored rights after qualifying conviction. Provide the buyer with the URL and phone number; do not provide legal advice.
If the buyer abandons the transaction or is denied with no successful appeal, the firearm remains in your A&D book as acquired and available for sale to a different buyer. No disposition entry is needed simply because a buyer was denied — the firearm is still in your inventory.
A successful NICS appeal does not authorize the original transfer. The buyer must come back, complete a new 4473 (or correct the existing one if within the same transaction window), and the FFL must run a fresh NICS check.
Occasionally a buyer's appeal results in NICS overturning a denial within the same transaction window. Record the new NTN and Proceed response, retain both responses on the 4473, and complete the transfer. This situation is rare — when in doubt, have the buyer initiate a fresh transaction.