FFL Compliance Glossary
A working glossary for terminology that appears throughout FFL Connect. Definitions here are intentionally plain-language orientation tools. When a legal definition controls an issue, use the actual statute, regulation, form instruction, ruling, or other governing authority.
A&D Record
Acquisition and disposition record used by an FFL to record required information about firearms acquired and disposed of under the applicable recordkeeping rules.
ATF
The Bureau of Alcohol, Tobacco, Firearms and Explosives, a bureau of the U.S. Department of Justice. FFL Connect is not affiliated with ATF.
DIO
Director of Industry Operations. ATF industry-operations personnel and offices administer important FFL licensing and inspection functions.
FFL
Federal Firearms License or, depending on context, the federal firearms licensee that holds it.
FFL eZ Check
ATF’s public system for checking basic information associated with a Federal Firearms License. Its use does not automatically replace every license-document requirement applicable to a transaction.
Form 4473
ATF Firearms Transaction Record used for covered firearm transactions involving a licensee and an unlicensed transferee/buyer. Dealers should use the current ATF-approved version and instructions.
IOI
Industry Operations Investigator. ATF IOIs perform firearms-industry compliance inspections and other industry-operations work.
NFA
National Firearms Act, the federal statutory framework governing specified firearms and related making, transfer, registration, and tax requirements.
NFRTR
National Firearms Registration and Transfer Record, the federal registry used for firearms registered under the NFA.
NICS
National Instant Criminal Background Check System administered by the FBI and used in the federal firearm background-check process, subject to state point-of-contact arrangements and applicable exceptions.
NPRM
Notice of Proposed Rulemaking. An NPRM proposes regulatory text and seeks public comment; it is not the same thing as a final rule in effect.
Point of Contact (POC)
A state or territorial agency that conducts some or all firearm background-check functions for FFLs in that jurisdiction instead of, or in coordination with, direct FBI NICS contact.
Responsible Person
A term used in federal firearms licensing and NFA processes for individuals who meet the applicable control/authority criteria for the entity or application at issue.
RIN
Regulation Identifier Number, used to identify federal regulatory actions in the Unified Agenda and rulemaking materials.
SOT
Special (Occupational) Tax status associated with engaging in specified NFA business activities such as importing, manufacturing, or dealing in NFA firearms.
Trace Request
A law-enforcement firearm trace request routed through ATF’s National Tracing Center that may require an FFL to search and provide responsive records within the applicable timeframe.
See something that should be added or refined? Use Corrections & Resource Requests and include the term plus any primary source you believe should be reviewed.