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Licensee – Closing Out FFL

posted on January 18, 2019

Q: We are ceasing operations as an FFL and are following the steps outlined in Chapter 14.1, etc to mail all records, A&D books etc into the appropriate offices. During our wrap up period we have performed an internal audit of all 4473’s and 3310’s across both of our FFL’s and have found several errors on forms from when the business was first opened in 2015. We have a good working relationship with our local and regional ATF agents that spans over 10 years which I believe is worth mentioning as we would like to engage them as a part of our process to seek advice and input. My questions are as follows: Besides the internal audit and attempts at correcting the 4473 forms (including contacting customers for recertification signatures, dates and ID’s) as well as annotating errors that have been discovered during this audit are there other steps that should be taken into consideration to avoid potential landmines with ATF once the records are turned in and the FFL is surrendered?

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