FFL Background Check & NICS Procedures 3 — Questions and Answers
Question 1: Which of the following individuals is prohibited from purchasing a firearm based on federal law as reflected in NICS disqualifiers?
- A person convicted of a misdemeanor with a maximum sentence of 6 months
- A person convicted of a felony punishable by imprisonment for more than one year (Correct answer)
- A person who filed for bankruptcy within the last 5 years
- A person who holds dual citizenship
Correct answer: A person convicted of a felony punishable by imprisonment for more than one year
Federal law (18 U.S.C. § 922(g)(1)) prohibits any person convicted of a crime punishable by imprisonment exceeding one year from possessing or receiving firearms.
Question 2: An FFL receives a NICS 'Deny' response. What is the FFL's immediate obligation?
- Detain the buyer until law enforcement arrives
- Refuse the transfer and retain the Form 4473 for the required period (Correct answer)
- Notify the buyer in writing that they are prohibited and provide appeal information
- Destroy the Form 4473 to protect the buyer's privacy
Correct answer: Refuse the transfer and retain the Form 4473 for the required period
Upon a Deny, the FFL must refuse the transfer and retain the completed Form 4473 for at least 20 years as required by federal regulations.
Question 3: Which database is NOT directly searched during a standard NICS background check?
- Interstate Identification Index (III)
- National Crime Information Center (NCIC)
- NICS Index
- Internal Revenue Service (IRS) tax records (Correct answer)
Correct answer: Internal Revenue Service (IRS) tax records
NICS searches the III, NCIC, and the NICS Index for criminal history, warrants, and federal prohibitions — IRS tax records are not part of NICS.
Question 4: What is the purpose of the NICS Index maintained by the FBI?
- To store all ATF Form 4473s submitted by FFLs
- To contain records of persons federally prohibited who may not appear in other criminal databases (Correct answer)
- To list all licensed FFLs in the United States
- To track stolen firearms reported by law enforcement
Correct answer: To contain records of persons federally prohibited who may not appear in other criminal databases
The NICS Index supplements III and NCIC by capturing prohibited persons — such as certain mental health adjudicants — whose records may not appear in standard criminal databases.
Question 5: An unlicensed individual (private seller) in a state without universal background check laws wants to sell a handgun. Is a NICS check required?
- Yes, all firearm sales in the U.S. require a NICS check by federal law
- No, federal law only requires NICS checks for sales by licensed dealers (FFLs) (Correct answer)
- Yes, but only if the buyer is under 25 years old
- No, only if the sale involves a handgun manufactured after 1994
Correct answer: No, federal law only requires NICS checks for sales by licensed dealers (FFLs)
Federal law mandates NICS only for transfers by licensed dealers; private sales between unlicensed individuals are not federally required to go through NICS unless state law says otherwise.
Question 6: A buyer discloses on Form 4473 that they have been adjudicated as a mental defective. What must the FFL do?
- Proceed with the NICS check and let NICS determine the outcome
- Deny the transfer immediately without initiating a NICS check, since the buyer is self-admitted prohibited (Correct answer)
- Run the NICS check but hold the firearm for 30 days for confirmation
- Refer the buyer to a licensed mental health professional for clearance
Correct answer: Deny the transfer immediately without initiating a NICS check, since the buyer is self-admitted prohibited
If a buyer answers 'Yes' to a disqualifying question on Form 4473, the FFL must deny the transfer regardless of what NICS might return.
Question 7: Which of the following is a valid reason a NICS check might return a 'Delay' rather than an immediate 'Proceed' or 'Deny'?
- The buyer has a common name that matches multiple criminal records requiring manual research (Correct answer)
- The FFL's internet connection is slow
- The buyer paid with cash instead of a credit card
- The firearm being purchased is a long gun rather than a handgun
Correct answer: The buyer has a common name that matches multiple criminal records requiring manual research
A 'Delay' is commonly triggered when the buyer shares identifying information (name, DOB, SSN) with individuals who have disqualifying records, requiring NICS examiners to manually differentiate them.
