coreSTORE - FFL: Managing and Processing 4473s
How to understand the Manage 4473 page and process a 4473 for a firearm transfer.
Open Manage 4473
Select "Bound Book" in the left hand menu and "Manage 4473" in the expanded menu. This will open the Manage 4473 page.
The Manage 4473 Page
#1 - Search Fields
Filter: Opens a drop down that provides different filtering search options.
Search: Open text field to search, best searches are by 4473 ID, serial number and name.
Dates: Select a date range from which to search.
Hide Archived: Will hide archived 4473s from the search.
Flagged Records Only: Will only show flagged files in the search.
Only Show Previously Denied: Will show 4473s that include firearms that were on previously denied transactions.
Search: Press this button to initiate search
Extended Search: This opens a field to select additional fields and options for searches.
#2 - 4473 - Each line item is a 4473 that has been created for this FFL.
Action: 3 Dot Menu that opens specific action items for the 4473 (will cover later).
ID: This is the 4473 ID.
First Name: Customers first name.
Last Name: Customers last name.
Date: The top date is when the 4473 was created. The bottom date is when the customer completed and signed Section B.
NICS Result: This shows the background check status as updated in Section C.
3310: This is where you find the alerts and access for the multiple gun forms.
Sections: These are links to open up the 4473 sections for review and processing.
Download: This is the link to the PDF version of the 4473 that can be used for printing.
Archived and Flagged Files
On the right side of the page are columns that will show if a 4473 has been Archived or Flagged. The icons (File Box or Red Flag) will show next to the individual 4473 file if they have been tagged as such.
Chrome Extension and SYNC
In the upper right hand corner of the Manage 4473 are links to download the Chrome extension and the coreFFLSync application.
The Chrome extension will allow you to connect to NICS, or your designated state background check database, in order to submit background checks directly from the 4473 you are processing.
The coreFFLSync application downloads a local backup of your electronic 4473s to your device. This back-up required to be compliant with Rule 2022-01 and the Electronic Storage of 4473s.
Section Status
The 4473 section links have a color code to indicate their current status in the process. This indicator appears as a colored bar at the bottom of the box.
The color key is at the top of the page:
White: The section is Blank or New
Yellow: The section is incomplete
Solid Green: The section is complete
Red: The form has been invalidated.
Black: The form has been closed.
Invalidated 4473
An invalidated 4473 will show on the Manage 4473 page with the NICS Result indicator and the section boxes in red. There are several reason why a 4473 would be invalidated. Research the reason before trying to manipulate the 4473 further.
The 4473 will also display this same way as an alert when a customer answers a disqualifier question wrong when filling out Section B. This would be an indicator that the sale should be discontinued.
RECOMMENDATION: Always return to the main Manage 4473 page to look for this alert when a customer completes Section B.
NOTE: There are separate training documents on how to invalidate, close and to find out why a form has been invalidated.
3 Dot Menu
This is the action menu for individual 4473s.
NOTE: Some of these options will not be available until the 4473 is complete.
Invalidate 4473: This should be used if you have a 4473 that was mistakenly generated or the customer cancelled the transaction prior to a background check being submitted.
Close 4473: This should only be used if the customer cancelled the sale after the information was transmitted to the agency you run your background check through.
Create 3310 From 4473: This would be used to manually generate a 3310 based on the 4473 if the 3310 didn't generate automatically for an issue.
Licensee Note (32): Allows you to add notes to Q32 even if Section E is not accessible from the Manage 4473 page.
Edit Section E: This should only be used if you have a 4473 that you forgot to sign section E and the 4473 now requires section D. (Make sure you set the date transferred box to the actual date the firearm was disposed)
Reset PDF: This button will reset the stored version of the PDF and would be used if you aren't seeing the newest version of your 4473 or the PDF won't load.
Email 4473: Allows you to email the 4473 to the email address you enter.
Archive: This will archive the 4473 so that you can filter to hide any 4473s you don't want to see
Flag: This will flag the 4473 so that you can filter by only flagged records.
Show Record Summary: This button will show the information that was filled out in section B. This will typically be used to find out why a 4473 was marked as invalid.
If there is a 3310 associated with the 4473 there will also be a "Reset 3310 PDF" function.
The Section Boxes
Each box is a direct link to open the individual sections of the 4473. Click on the box to open that section.
When processing a 4473 to transfer a firearm, the sections should be processed from left to right.
Section A
Sections A includes 4473 questions 1 to 8, and must be filed out by the seller.
When a POS transaction is created with a firearm and suspended to the appropriate status, CoreSTORE will automatically create the 4473 and populate Section A with the firearm information from the Bound Book Record.
The seller should review Section A for accuracy and verify the firearm information on the form to the actual firearm they are selling.
NOTE: When the sections are open you can scroll up and down to view the entire document. The image capture for this document may have only part of page visible.
Changing Sections
When you are ready to move to the next section you can either back out to the main Manage 4473 page to select the section in the line item or you can select the next section from the boxes at the top right corner of the open section page.
Section B
Section B includes 4473 questions 9 to 23, and must be filled out by the customer/buyer of the firearm. The system blocks the seller from making any changes to Section B.
NOTE: See training document on how a customer fills out a 4473 for that process.
After the customer has completed their submission, the seller should open Section B to compare and review the information provided by the customer, and the identification documents collected, to ensure it is legal and appropriate to continue the sale.
If there are no concerns the seller can proceed to Section C.
Section C Part 1
Section C incudes 4473 questions 24 to 29 and must be filled out by the seller. Question 24 and 25 are shown below.
Q24: Select the category of firearm that is being sold.
Q25: If the transaction occurred off premises at a qualifying event, list the details of that event here.
Section C Part 2
Question 26: This is where the buyer's identification is documented.
Q26.a: Primary ID document
Q26.b: Supplemental ID Document
Q26.c: Military Orders
Q26.d: Exception to Nonimmigrant Alien Prohibition
Section C Part 3
Question 27: This is where the background check is recorded.
Q27.a: The date the check was submitted.
Q27.b: The NICS or State transaction number.
Q27.c: Record the initial response to the background check.
Q27.d: Record the follow-up responses as needed.
Q27.e: Record response if received after firearm was transferred.
If you have downloaded the Chrome NICS extension you can access NICS, or your selected state agency, by clicking on the "Background Check" button in this section.
Question 27 will be left blank if the 4473 is being processed using either of the NICS exceptions in Q28 and Q29.
Sections C Part 4
Question 28: No NICS check is required because a background check was completed during the NFA approval process.
Question 29: Valid State Permit NICS Exemption
After the seller has completed filling out section C, press the "Submit Section C" button in the lower right hand corner.
Submit Section C
The following message box will display. Press "OK' to continue and complete the Section C submission.
Section D
Section D, also referred to as the Recertification, is signed by the customer under the following circumstance:
"If the transfer of the firearm(s) takes place on a different day from the date that the transferee/buyer signed Section B, the transferee/buyer must complete Section D immediately prior to the transfer of the firearm(s)."
This most commonly occurs when a background check is delayed and the firearm is transferred a few days later.
Section D does not need to be completed if the background check was submitted, received a Proceed response and the firearm is being transferred to the buyer on the same day. In that circumstance, Section D can be left blank.
NOTE: See separate training document on how a customer recertifies as 4473.
Section E Part 1
Section E must be completed by the seller and is the final step of the 4473 that closes the transaction and indicates that the firearm has been transferred to the buyer.
Question 32: This is a notes box (sometimes referred to as the “story box”) that is for use by the licensee to record any information they deem necessary related to the transfer or transaction.
Question 33: Contains the FFLs information. It must include trade/corporate name, address, and FFL number (at least first three and last five). CoreSTORE automatically populates this information from the FFL and business detail entered into the company and location settings.
Section E Signature
Question 34: Seller's name
Question 35: The seller's signature entered in the signature box.
Question 36: Date Transferred. Ensure the correct date is entered here.
Once completed press the "Submit Section E" button in the lower right corner of the page.
Update Customer Profile
After submitting Section E, CoreSTORE will cross reference the customer information in the 4473 with their existing customer profile. If there are differences found, you will be prompted to update the customer's profile.
Select what what information you want to update and select "Update Selected Fields."
If you choose not to update the information select "Don't Update Customer Record."
Complete Submission
Select "Close" on the text box that pops up to complete the 4473.
Completed 4473
You will return to the Manage 4473 page.
The sections boxes should all be updated to indicate they are complete.
Open Manage 4473
Select "Bound Book" in the left hand menu and "Manage 4473" in the expanded menu. This will open the Manage 4473 page.
The Manage 4473 Page
#1 - Search Fields
Filter: Opens a drop down that provides different filtering search options.
Search: Open text field to search, best searches are by 4473 ID, serial number and name.
Dates: Select a date range from which to search.
Hide Archived: Will hide archived 4473s from the search.
Flagged Records Only: Will only show flagged files in the search.
Only Show Previously Denied: Will show 4473s that include firearms that were on previously denied transactions.
Search: Press this button to initiate search
Extended Search: This opens a field to select additional fields and options for searches.
#2 - 4473 - Each line item is a 4473 that has been created for this FFL.
Action: 3 Dot Menu that opens specific action items for the 4473 (will cover later).
ID: This is the 4473 ID.
First Name: Customers first name.
Last Name: Customers last name.
Date: The top date is when the 4473 was created. The bottom date is when the customer completed and signed Section B.
NICS Result: This shows the background check status as updated in Section C.
3310: This is where you find the alerts and access for the multiple gun forms.
Sections: These are links to open up the 4473 sections for review and processing.
Download: This is the link to the PDF version of the 4473 that can be used for printing.
Archived and Flagged Files
On the right side of the page are columns that will show if a 4473 has been Archived or Flagged. The icons (File Box or Red Flag) will show next to the individual 4473 file if they have been tagged as such.
Chrome Extension and SYNC
In the upper right hand corner of the Manage 4473 are links to download the Chrome extension and the coreFFLSync application.
The Chrome extension will allow you to connect to NICS, or your designated state background check database, in order to submit background checks directly from the 4473 you are processing.
The coreFFLSync application downloads a local backup of your electronic 4473s to your device. This back-up required to be compliant with Rule 2022-01 and the Electronic Storage of 4473s.
Section Status
The 4473 section links have a color code to indicate their current status in the process. This indicator appears as a colored bar at the bottom of the box.
The color key is at the top of the page:
White: The section is Blank or New
Yellow: The section is incomplete
Solid Green: The section is complete
Red: The form has been invalidated.
Black: The form has been closed.
Invalidated 4473
An invalidated 4473 will show on the Manage 4473 page with the NICS Result indicator and the section boxes in red. There are several reason why a 4473 would be invalidated. Research the reason before trying to manipulate the 4473 further.
The 4473 will also display this same way as an alert when a customer answers a disqualifier question wrong when filling out Section B. This would be an indicator that the sale should be discontinued.
RECOMMENDATION: Always return to the main Manage 4473 page to look for this alert when a customer completes Section B.
NOTE: There are separate training documents on how to invalidate, close and to find out why a form has been invalidated.
3 Dot Menu
This is the action menu for individual 4473s.
NOTE: Some of these options will not be available until the 4473 is complete.
Invalidate 4473: This should be used if you have a 4473 that was mistakenly generated or the customer cancelled the transaction prior to a background check being submitted.
Close 4473: This should only be used if the customer cancelled the sale after the information was transmitted to the agency you run your background check through.
Create 3310 From 4473: This would be used to manually generate a 3310 based on the 4473 if the 3310 didn't generate automatically for an issue.
Licensee Note (32): Allows you to add notes to Q32 even if Section E is not accessible from the Manage 4473 page.
Edit Section E: This should only be used if you have a 4473 that you forgot to sign section E and the 4473 now requires section D. (Make sure you set the date transferred box to the actual date the firearm was disposed)
Reset PDF: This button will reset the stored version of the PDF and would be used if you aren't seeing the newest version of your 4473 or the PDF won't load.
Email 4473: Allows you to email the 4473 to the email address you enter.
Archive: This will archive the 4473 so that you can filter to hide any 4473s you don't want to see
Flag: This will flag the 4473 so that you can filter by only flagged records.
Show Record Summary: This button will show the information that was filled out in section B. This will typically be used to find out why a 4473 was marked as invalid.
If there is a 3310 associated with the 4473 there will also be a "Reset 3310 PDF" function.
The Section Boxes
Each box is a direct link to open the individual sections of the 4473. Click on the box to open that section.
When processing a 4473 to transfer a firearm, the sections should be processed from left to right.
Section A
Sections A includes 4473 questions 1 to 8, and must be filed out by the seller.
When a POS transaction is created with a firearm and suspended to the appropriate status, CoreSTORE will automatically create the 4473 and populate Section A with the firearm information from the Bound Book Record.
The seller should review Section A for accuracy and verify the firearm information on the form to the actual firearm they are selling.
NOTE: When the sections are open you can scroll up and down to view the entire document. The image capture for this document may have only part of page visible.
Changing Sections
When you are ready to move to the next section you can either back out to the main Manage 4473 page to select the section in the line item or you can select the next section from the boxes at the top right corner of the open section page.
Section B
Section B includes 4473 questions 9 to 23, and must be filled out by the customer/buyer of the firearm. The system blocks the seller from making any changes to Section B.
NOTE: See training document on how a customer fills out a 4473 for that process.
After the customer has completed their submission, the seller should open Section B to compare and review the information provided by the customer, and the identification documents collected, to ensure it is legal and appropriate to continue the sale.
If there are no concerns the seller can proceed to Section C.
Section C Part 1
Section C incudes 4473 questions 24 to 29 and must be filled out by the seller. Question 24 and 25 are shown below.
Q24: Select the category of firearm that is being sold.
Q25: If the transaction occurred off premises at a qualifying event, list the details of that event here.
Section C Part 2
Question 26: This is where the buyer's identification is documented.
Q26.a: Primary ID document
Q26.b: Supplemental ID Document
Q26.c: Military Orders
Q26.d: Exception to Nonimmigrant Alien Prohibition
Section C Part 3
Question 27: This is where the background check is recorded.
Q27.a: The date the check was submitted.
Q27.b: The NICS or State transaction number.
Q27.c: Record the initial response to the background check.
Q27.d: Record the follow-up responses as needed.
Q27.e: Record response if received after firearm was transferred.
If you have downloaded the Chrome NICS extension you can access NICS, or your selected state agency, by clicking on the "Background Check" button in this section.
Question 27 will be left blank if the 4473 is being processed using either of the NICS exceptions in Q28 and Q29.
Sections C Part 4
Question 28: No NICS check is required because a background check was completed during the NFA approval process.
Question 29: Valid State Permit NICS Exemption
After the seller has completed filling out section C, press the "Submit Section C" button in the lower right hand corner.
Submit Section C
The following message box will display. Press "OK' to continue and complete the Section C submission.
Section D
Section D, also referred to as the Recertification, is signed by the customer under the following circumstance:
"If the transfer of the firearm(s) takes place on a different day from the date that the transferee/buyer signed Section B, the transferee/buyer must complete Section D immediately prior to the transfer of the firearm(s)."
This most commonly occurs when a background check is delayed and the firearm is transferred a few days later.
Section D does not need to be completed if the background check was submitted, received a Proceed response and the firearm is being transferred to the buyer on the same day. In that circumstance, Section D can be left blank.
NOTE: See separate training document on how a customer recertifies as 4473.
Section E Part 1
Section E must be completed by the seller and is the final step of the 4473 that closes the transaction and indicates that the firearm has been transferred to the buyer.
Question 32: This is a notes box (sometimes referred to as the “story box”) that is for use by the licensee to record any information they deem necessary related to the transfer or transaction.
Question 33: Contains the FFLs information. It must include trade/corporate name, address, and FFL number (at least first three and last five). CoreSTORE automatically populates this information from the FFL and business detail entered into the company and location settings.
Section E Signature
Question 34: Seller's name
Question 35: The seller's signature entered in the signature box.
Question 36: Date Transferred. Ensure the correct date is entered here.
Once completed press the "Submit Section E" button in the lower right corner of the page.
Update Customer Profile
After submitting Section E, CoreSTORE will cross reference the customer information in the 4473 with their existing customer profile. If there are differences found, you will be prompted to update the customer's profile.
Select what what information you want to update and select "Update Selected Fields."
If you choose not to update the information select "Don't Update Customer Record."
Complete Submission
Select "Close" on the text box that pops up to complete the 4473.
Completed 4473
You will return to the Manage 4473 page.
The sections boxes should all be updated to indicate they are complete.
Updated on: 06/26/2024
Thank you!