Q: Hello, Today I was auditing our 4473’s and I discovered a mistake on an approved Form 4. On the approved Form 4, Block 2a listed the address of the transferee as “123 Main Drive”. In reality, the address is “123 Main Street”. The correct address (Street) is listed on the 4473. It is also listed as “123 Main Street” on the customer’s Drivers license (we made a copy at the time of transfer). I’ve made a phone call to the customer and confirmed the address is “123 Main Street” and not “123 Main Drive”. A quick check of Google shows there is no “123 Main Drive” in the customer’s city of residence – only a “123 Main Street”. “123 Main Drive” is also (incorrectly) listed on the Trust Purchase Supplement that we attach to the packet. A copy of the approved Form 4 and Trust Purchase Supplement are stapled to the 4473. I’m calling this the “Transfer Paperwork Packet”. What, if anything, should be done to notify NFA Branch? What, if anything, should be done to correct the discrepancy in the transfer paperwork packet? (i.e. if an inspector looked at block 2 on the 4473 and then looked at block 2a of the Form 4 stapled to it. They would see that one says “Drive” and the other says “Street”) As a side note: the trust that was submitted to the NFA Branch lists the address as “123 Main Street” but the Form 4 lists it as “123 Main Drive”. The NFA branch didn’t catch the mistake either.
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