Federal Firearms Regulations Reference Guide

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AFT U.S. Department of Justice Bureau of Alcohol, Tobacco, Firearms and Explosives Enforcement Programs and Services

2014 2014

ATF Publication 5300.4 Revised September 2014 U.S. Department of Justice

Bureau of Alcohol, Tobacco, Firearms and Explosives

Office of the Director

Washington, DC 20226

Dear Federal Firearms Licensees:

The Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF), a component of the United States Department of Justice, is a law enforcement agency charged with protecting our communities from violent criminals, criminal organizations, the illegal possession, use and trafficking of firearms, the illegal possession, use and storage of explosives, acts of arson and bombings, and the illegal diversion of alcohol and tobacco products. We are proud to partner with industries, law enforcement, and the community to protect the public we serve.

Federal firearms licensees play a key role in safeguarding the public from violent crime by maintaining accurate records, instituting internal controls, and performing background checks on potential firearms purchasers. These practices have saved lives, prohibited violent criminals from obtaining firearms, and prevented firearms-related crimes.

The 2014 edition of the Federal Firearms Regulations Reference Guide contains information that will help you comply with Federal laws and regulations governing the manufacture, importation and distribution of firearms and ammunition. This edition contains new and amended statutes enacted since publication of the 2005 edition, as well as updated regulations and rulings issued by ATF. In addition to these updated materials, in response to inquiries received from industry members, the public, and partner agencies, the 2014 edition contains additional and amended Questions and Answers to assist with compliance.

Laws may change over time, as will information in this guide. The ATF website at www.ATF.gov is a good source of updated information and is one method ATF uses to communicate with licensees about changes to laws and regulations. Additionally, as always, you are welcome to contact your local ATF office for information or assistance.

Thank you for working with us to make our communities safer.

Sincerely,

B. Todd Jones Director

1 NOTICE OF CORRECTIONS March 7, 2015

On January 15, 2015, ATF posted the 2014 Federal Firearms Regulations Reference Guide (the “2014 Guide”) to the ATF website (www.atf.gov). ATF last published this guide in 2005; the 2014 Guide incorporates almost a decade of updates to the federal firearms regulations.

Since posting the 2014 Guide, ATF became aware that it contained some inadvertent omissions and editing errors. ATF has corrected these omissions and errors in an update to 2014 Guide posted on March 7, 2014.

The corrected omissions and editing errors are:

(1) At page 90, within Section III, Laws and Regulations, Sub-Part B., National Firearms Act, the citation and title for one of the regulations was not included with the text of the regulation. That citation and title, “§ 479.105 Transfer and possession of machine guns,” is now included.

(2) At page 190, within the General Information section, the last two subparts of Item 10, Armor Piercing Ammunition, were not included. These subparts consist of: (a) the text of the 1994 amendment Congress made to the Gun Control Act’s (GCA) definition of armor piercing ammunition and, (b) a listing of the projectiles that have been granted exemptions to the GCA’s prohibition on armor piercing ammunition. These subparts are now included.

(3) At page 102, within Section III, Laws and Regulations, Sub-part C, U.S. Munitions Import List, Category XIV, Toxicological Agents and Equipment and Radiological Equipment, the text of 27 CFR 447.21(c) did not reflect recent regulatory changes. Those language changes are now included.

(4) At page 198, Question & Answer Item B8, grammatical errors have been corrected.

(5) At page 206, Question & Answer Item I3, grammatical errors have been corrected.

The 2014 Guide functions as a convenient reference source for the public and industry. The omissions and errors in the original posting in no way altered the legal force and effect of these provisions.

ATF continues to review the 2014 Guide to ensure no other typographical or editing errors occurred in the publishing process. The public is welcome to provide input regarding the identification of any potential error in the 2014 Guide, or any other suggestions on improving the 2014 Guide. Please submit to: [email protected].

Any future corrections, additions or modifications to the 2014 Guide will be identified on this page. ATF apologizes for any confusion or inconvenience caused by publishing errors, and looks forward to continued dialogue with our regulated community and the general public. FEDERAL FIREARMS REGULATIONS REFERENCE GUIDE 2014

TABLE OF CONTENTS

I. Message from the Director �� 1 II. Editor’s Note �� 6 III. Laws and Regulations A. Gun Control Act 1. 18 U.S.C. Chapter 44 �� 7 § 921 Definitions. �� 7 § 922 Unlawful acts. �� 10 § 923 Licensing. �� 20 § 924 Penalties. �� 23 § 925 Exceptions: Relief from disabilities. �� 26 § 925A Remedy for erroneous denial of firearms. �� 27 § 926 Rules and regulations. �� 28 § 926A Interstate transportation of firearms. �� 28 § 926B Carrying of concealed firearms by qualified law enforcement officers. �� 28 § 926C Carrying of concealed firearms by qualified retired law enforcement officers. �� 29 § 927 Effect on State law. �� 30 § 928 Separability. �� 30 § 929 Use of restricted ammunition. �� 30 § 930 Possession of firearms and dangerous weapons in Federal facilities. �� 30 § 931 Prohibition on purchase, ownership, or possession of body armor by violent felons. �� 31 2. 27 CFR Part 478 �� 32 Subpart A Introduction �� 34 Subpart B Definitions �� 34 Subpart C Administrative and Miscellaneous Provisions �� 39 Subpart D Licenses �� 45 Subpart E License Proceedings �� 48 Subpart F Conduct of Business �� 50 Subpart G Importation �� 56 Subpart H Records �� 62 Subpart I Exemptions, Seizures, and Forfeitures �� 69 Subpart J [Reserved] �� 72 Subpart K Exportation �� 72 B. National Firearms Act 1. 26 U.S.C. Chapter 53 �� 73 Subchapter A Taxes �� 73 Subchapter B General Provisions and Exemptions �� 74 Subchapter C Prohibited Acts �� 76 Subchapter D Penalties and Forfeitures �� 77

3 2. 27 CFR Part 479 �� 78 Subpart A Scope of Regulations �� 79 Subpart B Definitions �� 79 Subpart C Administrative and Miscellaneous Provisions �� 81 Subpart D Special (Occupational) Taxes �� 82 Subpart E Tax on Making Firearms �� 86 Subpart F Transfer Tax �� 87 Subpart G Registration and Identification of Firearms �� 89 Subpart H Importation and Exportation �� 91 Subpart I Records and Returns �� 93 Subpart J Stolen or Lost Firearms or Documents �� 93 Subpart K Examination of Books and Records �� 93 Subpart L Distribution and Sale of Stamps �� 94 Subpart M Redemption of or Allowance for Stamps or Refunds �� 94 Subpart N Penalties and Forfeitures �� 94 Subpart O Other Laws Applicable �� 94 C. Arms Export Control Act 1. 22 U.S.C. Chapter 2778 �� 95 2778 Control of arms exports and imports �� 95 2. 27 CFR Part 447 �� 98 Subpart A Scope �� 98 Subpart B Definitions �� 99 Subpart C The U.S. Munitions Import List �� 99 Subpart D Registration �� 102 Subpart E Permits �� 103 Subpart F Miscellaneous Provisions �� 104 Subpart G Penalties, Seizures and Forfeitures �� 106 D. 28 CFR Part 25 (National Instant Criminal Background Check System Regulations) 1. 28 Code of Federal Regulations Part 25 �� 108 Subpart A The National Instant Criminal Background Check System �� 108 E. Postal Service 1. 18 U.S.C. Section 1715 ��115 Firearms As Nonmailable; Regulations ��115 IV. Additional Information A. Ruling, Procedures, and Industry Circulars ��116 B. General Information �� 181 C. Question and Answers �� 191 D. Key Information 1. ATF Points of Contact �� 218 2. ATF Criminal Enforcement Filed Divisions �� 219 3 ATF Industry Operations Field Offices �� 220 4. Non-ATF Points of Contact �� 223 5. State Attorneys General �� 224

4 E. NICS Forms, Flyers, and Brochures 1. Letter to Federal Firearms Licensees �� 226 2. Reference Guide �� 230 3. What is a “business day” for NICS Purposes? �� 231 4. What Do I Give My Delayed/Denied Customers? �� 232 5. Deny/Delay NICS Resolution Card �� 233

5 EDITOR’S NOTE

The cross references, bracketed notes, and Editor’s notes seen in the laws and regulations are for guidance and assistance only and do not appear in the official United States Code and Code of Federal Regulations.

6 The Gun Control Act of 1968

TITLE 18, UNITED STATE CODE, CHAPTER 44

Title I: State Firearms § 927 Effect on State law. poison gas— Control Assistance § 928 Separability. (i) bomb,

PURPOSE § 929 Use of restricted ammunition. (ii) grenade,

Sec. 101. The Congress hereby de- § 930 Possession of firearms (iii) rocket having a propellant clares that the purpose of this title is to and dangerous weapons in charge of more than four ounces, provide support to Federal, State, and lo- Federal facilities. cal law enforcement officials in their fight (iv) missile having an explo- against crime and violence, and it is not § 931 Prohibition on purchase, sive or incendiary charge of the purpose of this title to place any un- ownership, or possession of more than one–quarter ounce, due or unnecessary Federal restrictions body armor by violent felons. or burdens on law–abiding citizens with (v) mine, or respect to the acquisition, possession, or § 921 Definitions. use of firearms appropriate to the purpose (vi) device similar to any of of hunting, trapshooting, target shooting, (a) As used in this chapter— the devices described in the pre- personal protection, or any other lawful ceding clauses; activity, and that this title is not intended to (1) The term “person” and the discourage or eliminate the private owner- term “whoever” include any individ- (B) any type of weapon (other than a ship or use of firearms by law–abiding citi- ual, corporation, company, associa- shotgun or a shotgun shell which the At- zens for lawful purposes, or provide for the tion, firm, partnership, society, or joint torney General finds is generally recog- imposition by Federal regulations of any stock company. nized as particularly suitable for sport- procedures or requirements other than ing purposes) by whatever name known those reasonably necessary to implement (2) The term “interstate or for- which will, or which may be readily con- and effectuate the provisions of this title. eign commerce” includes com- verted to, expel a projectile by the action merce between any place in a State of an explosive or other propellant, and Chapter 44—Firearms and any place outside of that State, or which has any barrel with a bore of more within any possession of the United than one–half inch in diameter; and § 921 Definitions. States (not including the Canal Zone) or the District of Columbia, but such (C) any combination of parts either § 922 Unlawful acts. term does not include commerce be- designed or intended for use in con- tween places within the same State verting any device into any destructive § 923 Licensing. but through any place outside of that device described in subparagraph (A) or State. The term “State” includes the § 924 Penalties. (B) and from which a destructive device District of Columbia, the Common- may be readily assembled. wealth of Puerto Rico, and the pos- § 925 Exceptions: Relief from sessions of the United States (not The term “destructive device” shall disabilities. including the Canal Zone). not include any device which is neither § 925A Remedy for erroneous deni- (3) The term “firearm” means (A) designed nor redesigned for use as a al of firearms. any weapon (including a starter gun) weapon; any device, although originally which will or is designed to or may designed for use as a weapon, which is § 926 Rules and regulations. readily be converted to expel a pro- redesigned for use as a signaling, pyro- § 926A Interstate transportation of jectile by the action of an explosive; technic, line throwing, safety, or similar firearms. (B) the frame or receiver of any such device; surplus ordnance sold, loaned, weapon; (C) any firearm muffler or or given by the Secretary of the Army § 926B Carrying of concealed firearm silencer; or (D) any destruc- pursuant to the provisions of section tive device. Such term does not in- firearms by qualified law 4684(2), 4685, or 4686 of title 10; or any clude an antique firearm. enforcement officers. other device which the Attorney General finds is not likely to be used as a weap- § 926C Carrying of concealed fire- (4) The term “destructive device” arms by qualified retired law means— on, is an antique, or is a rifle which the enforcement officers. owner intends to use solely for sporting, (A) any explosive, incendiary, or recreational or cultural purposes.

7 (5) The term “shotgun” means (12) The term “pawnbroker” a muzzle loading weapon, or any a weapon designed or redesigned, means any person whose business muzzle loading weapon which can made or remade, and intended to be or occupation includes the taking or be readily converted to fire fixed fired from the shoulder and designed receiving, by way of pledge or pawn, ammunition by replacing the bar- or redesigned and made or remade of any firearm as security for the pay- rel, bolt, breechblock, or any com- to use the energy of an explosive to ment or repayment of money. bination thereof. fire through a smooth bore either a number of ball shot or a single projec- (13) The term “collector” means (17)(A) The term “ammunition” tile for each single pull of the trigger. any person who acquires, holds, or means ammunition or cartridge cas- disposes of firearms as curios or rel- es, primers, bullets, or propellent pow- (6) The term “short–barreled shot- ics, as the Attorney General shall by der designed for use in any firearm. gun” means a shotgun having one or regulation define, and the term “li- more barrels less than eighteen inches censed collector” means any such (B) The term “armor piercing in length and any weapon made from a person licensed under the provisions ammunition” means— shotgun (whether by alteration, modifi- of this chapter. cation or otherwise) if such a weapon (i) a projectile or projectile as modified has an overall length of (14) The term “indictment” in- core which may be used in a less than twenty–six inches. cludes an indictment or information in handgun and which is con- any court under which a crime pun- structed entirely (excluding the (7) The term “rifle” means a weap- ishable by imprisonment for a term presence of traces of other sub- on designed or redesigned, made or exceeding one year may be prose- stances) from one or a combi- remade, and intended to be fired from cuted. nation of tungsten alloys, steel, the shoulder and designed or rede- iron, brass, bronze, beryllium signed and made or remade to use (15) The term “fugitive from jus- copper, or depleted uranium; or the energy of an explosive to fire only tice” means any person who has fled a single projectile through a rifled bore from any State to avoid prosecution (ii) a full jacketed projectile for each single pull of the trigger. for a crime or to avoid giving testimo- larger than .22 caliber designed ny in any criminal proceeding. and intended for use in a hand- (8) The term “short–barreled ri- gun and whose jacket has a fle”means a rifle having one or more (16) The term “antique firearm” weight of more than 25 percent of barrels less than sixteen inches in means— the total weight of the projectile. length and any weapon made from a rifle (whether by alteration, modifica- (A) any firearm (including any (C) The term “armor piercing tion, or otherwise) if such weapon, as firearm with a matchlock, flintlock, ammunition” does not include modified, has an overall length of less percussion cap, or similar type of shotgun shot required by Federal than twenty–six inches. ignition system) manufactured in or State environmental or game or before 1898; or regulations for hunting purposes, (9) The term “importer” means a frangible projectile designed any person engaged in the business (B) any replica of any firearm for target shooting, a projectile of importing or bringing firearms or described in subparagraph (A) if which the Attorney General finds ammunition into the United States for such replica– is primarily intended to be used purposes of sale or distribution; and for sporting purposes, or any other the term “licensed importer” means (i) is not designed or rede- projectile or projectile core which any such person licensed under the signed for using rimfire or con- the Attorney General finds is in- provisions of this chapter. ventional centerfire fixed ammu- tended to be used for industrial nition, or purposes, including a charge used (10) The term “manufacturer” in an oil and gas well perforating means any person engaged in the (ii) uses rimfire or conven- device. business of manufacturing firearms tional centerfire fixed ammuni- or ammunition for purposes of sale or tion which is no longer manufac- (18) The term “Attorney General” distribution; and the term “licensed tured in the United States and means the Attorney General of the manufacturer” means any such per- which is not readily available in United States1 son licensed under the provisions of the ordinary channels of com- this chapter. mercial trade; or (19) The term “published ordinance” means a published law of any (11) The term “dealer” means (A) (C) any muzzle loading rifle, political subdivision of a State which any person engaged in the business of muzzle loading shotgun, or muzzle the Attorney General determines to selling firearms at wholesale or retail, loading pistol, which is designed to be relevant to the enforcement of this (B) any person engaged in the busi- use black powder, or a black pow- chapter and which is contained on a ness of repairing firearms or of mak- der substitute, and which cannot list compiled by the Attorney Gener- ing or fitting special barrels, stocks, or use fixed ammunition. For purpos- al, which list shall be published in the trigger mechanisms to firearms, or (C) es of this subparagraph, the term Federal Register, revised annually, any person who is a pawnbroker. The “antique firearm” shall not in- and furnished to each licensee under term “licensed dealer” means any clude any weapon which incorpo- this chapter. dealer who is licensed under the pro- rates a firearm frame or receiver, visions of this chapter. any firearm which is converted into (20) The term “crime punishable

8 by imprisonment for a term exceed- collection or for a hobby, or who civilian population; ing one year” does not include— sells all or part of his personal collection of firearms; (ii) to influence the policy of (A) any Federal or State offens- a government by intimidation or es pertaining to antitrust violations, (D) as applied to a dealer in fire- coercion; or unfair trade practices, restraints of arms, as defined in section 921(a) trade, or other similar offenses re- (11)(B), a person who devotes time, (iii) to affect the conduct of a lating to the regulation of business attention, and labor to engaging in government by assassination or practices, or such activity as a regular course of kidnapping. trade or business with the principal (B) any State offense classified objective of livelihood and profit, but (23) The term “machinegun” has by the laws of the State as a mis- such term shall not include a per- the meaning given such term in sec- demeanor and punishable by a son who makes occasional repairs tion 5845(b) of the National Firearms term of imprisonment of two years of firearms, or who occasionally fits Act (26 U.S.C. 5845(b)). or less. special barrels, stocks, or trigger mechanisms to firearms; (24) The terms “firearm silencer” What constitutes a conviction of such and “firearm muffler” mean any de- a crime shall be determined in accor- (E) as applied to an importer of vice for silencing, muffling, or dimin- dance with the law of the jurisdiction in firearms, a person who devotes ishing the report of a portable firearm, which the proceedings were held. Any time, attention, and labor to import- including any combination of parts, ing firearms as a regular course of designed or redesigned, and intend- conviction which has been expunged, trade or business with the principal ed for use in assembling or fabricat- or set aside or for which a person has objective of livelihood and profit ing a firearm silencer or firearm muf- been pardoned or has had civil rights through the sale or distribution of fler, and any part intended only for restored shall not be considered a con- the firearms imported; and use in such assembly or fabrication. viction for purposes of this chapter, unless such pardon, expungement, or res- (F) as applied to an importer (25) The term “school zone” toration of civil rights expressly provides of ammunition, a person who de- means— that the person may not ship, transport, votes time, attention, and labor to possess, or receive firearms. importing ammunition as a regular (A) in, or on the grounds of, a course of trade or business with public, parochial or private school; (21) The term “engaged in the the principal objective of livelihood or business” means— and profit through the sale or distribution of the ammunition imported. (B) within a distance of 1,000 (A) as applied to a manufacturer feet from the grounds of a public, of firearms, a person who devotes (22) The term “with the principal parochial or private school. time, attention, and labor to man- objective of livelihood and prof- ufacturing firearms as a regular it” means that the intent underlying (26) The term “school” means a course of trade or business with the the sale or disposition of firearms school which provides elementary or principal objective of livelihood and is predominantly one of obtaining secondary education, as determined profit through the sale or distribu- livelihood and pecuniary gain, as under State law. tion of the firearms manufactured; opposed to other intents, such as improving or liquidating a personal (27) The term “motor vehicle” (B) as applied to a manufactur- firearms collection: Provided, That has the meaning given such term er of ammunition, a person who proof of profit shall not be required in section 13102 of title 49, United devotes time, attention, and labor as to a person who engages in the States Code. to manufacturing ammunition as a regular and repetitive purchase and regular course of trade or business disposition of firearms for criminal (28) The term “semiautomatic ri- with the principal objective of live- purposes or terrorism. For purposes fle” means any repeating rifle which lihood and profit through the sale of this paragraph, the term “terror- utilizes a portion of the energy of a or distribution of the ammunition ism” means activity, directed against firing cartridge to extract the fired manufactured; United States persons, which— cartridge case and chamber the next round, and which requires a separate (C) as applied to a dealer in fire- (A) is committed by an individual pull of the trigger to fire each cartridge. arms, as defined in section 921(a) who is not a national or permanent (11)(A), a person who devotes resident alien of the United States; (29) The term “handgun” time, attention, and labor to deal- means— ing in firearms as a regular course (B) involves violent acts or acts of trade or business with the princi- dangerous to human life which (A) a firearm which has a short pal objective of livelihood and prof- would be a criminal violation if stock and is designed to be held it through the repetitive purchase committed within the jurisdiction of and fired by the use of a single and resale of firearms, but such the United States; and hand; and term shall not include a person who makes occasional sales, ex- (C) is intended— (B) any combination of parts from changes, or purchases of firearms which a firearm described in sub- for the enhancement of a personal (i) to intimidate or coerce a paragraph (A) can be assembled.

9 [(30), (31) Repealed. Pub. L. 103– tion has been expunged or set licensed manufacturer, or licensed 322, title XI, §110105(2), Sept. 13, aside, or is an offense for which dealer, to engage in the business 1994, 108 Stat. 2000.] the person has been pardoned of importing, manufacturing, or or has had civil rights restored (if dealing in firearms, or in the course (32) The term “intimate partner” the law of the applicable jurisdic- of such business to ship, transport, means, with respect to a person, the tion provides for the loss of civil or receive any firearm in interstate spouse of the person, a former spouse rights under such an offense) or foreign commerce; or of the person, an individual who is a unless the pardon, expunge- parent of a child of the person, and an ment, or restoration of civil rights (B) except a licensed importer or individual who cohabitates or has co- expressly provides that the per- licensed manufacturer, to engage in habited with the person. son may not ship, transport, the business of importing or man- possess, or receive firearms. ufacturing ammunition, or in the (33)(A) Except as provided in course of such business, to ship, subparagraph (C), the term “mis- Editor’s Note: transport, or receive any ammunition demeanor crime of domestic vio- in interstate or foreign commerce; lence” means an offense that— Subparagraph (C) referenced in 921(a) (33)(A) never was enacted. We presume (2) for any importer, manufacturer, (i) is a misdemeanor under the reference should have been to sub- dealer, or collector licensed under the Federal, State, or Tribal law; and paragraph (B). provisions of this chapter to ship or transport in interstate or foreign com- (ii) has, as an element, the (34) The term “secure gun stor- merce any firearm to any person oth- use or attempted use of physical age or safety device” means— er than a licensed importer, licensed force, or the threatened use of manufacturer, licensed dealer, or li- a deadly weapon, committed by (A) a device that, when installed censed collector, except that— a current or former spouse, par- on a firearm, is designed to pre- ent, or guardian of the victim, by vent the firearm from being oper- (A) this paragraph and subsec- a person with whom the victim ated without first deactivating the tion (b)(3) shall not be held to pre- shares a child in common, by a device; clude a licensed importer, licensed person who is cohabiting with or manufacturer, licensed dealer, or has cohabited with the victim as (B) a device incorporated into licensed collector from returning a a spouse, parent, or guardian, the design of the firearm that is de- firearm or replacement firearm of or by a person similarly situated signed to prevent the operation of the same kind and type to a per- to a spouse, parent, or guardian the firearm by anyone not having son from whom it was received; of the victim. access to the device; or and this paragraph shall not be held to preclude an individual from (B)(i) A person shall not be con- (C) a safe, gun safe, gun case, mailing a firearm owned in compli- sidered to have been convicted of lock box, or other device that is ance with Federal, State, and local such an offense for purposes of designed to be or can be used to law to a licensed importer, licensed this chapter, unless— store a firearm and that is designed manufacturer, licensed dealer, or to be unlocked only by means of a licensed collector; (I) the person was repre- key, a combination, or other similar sented by counsel in the case, means. (B) this paragraph shall not be or knowingly and intelligently held to preclude a licensed importer, waived the right to counsel in (35) The term “body armor” licensed manufacturer, or licensed the case; and means any product sold or offered dealer from depositing a firearm for for sale, in interstate or foreign com- conveyance in the mails to any offi- (II) in the case of a prosecu- merce, as personal protective body cer, employee, agent, or watchman tion for an offense described in covering intended to protect against who, pursuant to the provisions of this paragraph for which a per- gunfire, regardless of whether the section 1715 of this title, is eligible son was entitled to a jury trial in product is to be worn alone or is sold to receive through the mails pistols, the jurisdiction in which the case as a complement to another product revolvers, and other firearms capa- was tried, either or garment. ble of being concealed on the person, for use in connection with his (aa) the case was tried by (b) For the purposes of this chapter, a official duty; and a jury, or member of the Armed Forces on active duty is a resident of the State in which (C) nothing in this paragraph (bb) the person knowingly his permanent duty station is located. shall be construed as applying in and intelligently waived the any manner in the District of Co- right to have the case tried by § 922 Unlawful acts. lumbia, the Commonwealth of a jury, by guilty plea or other- Puerto Rico, or any possession wise. (a) It shall be unlawful— of the United States differently than it would apply if the District (ii) A person shall not be con- (1) for any person— of Columbia, the Commonwealth sidered to have been convicted of Puerto Rico, or the possession of such an offense for purpos- (A) except a licensed importer, were in fact a State of the United es of this chapter if the convic- States;

10 (3) for any person, other than a (6) for any person in connection (b) It shall be unlawful for any li- licensed importer, licensed manu- with the acquisition or attempted ac- censed importer, licensed manufactur- facturer, licensed dealer, or licensed quisition of any firearm or ammunition er, licensed dealer, or licensed collector collector to transport into or receive from a licensed importer, licensed to sell or deliver— in the State where he resides (or if manufacturer, licensed dealer, or li- the person is a corporation or other censed collector, knowingly to make (1) any firearm or ammunition to business entity, the State where it any false or fictitious oral or written any individual who the licensee knows maintains a place of business) any statement or to furnish or exhibit any or has reasonable cause to believe is firearm purchased or otherwise ob- false, fictitious, or misrepresented less than eighteen years of age, and, tained by such person outside that identification, intended or likely to if the firearm, or ammunition is other State, except that this paragraph deceive such importer, manufactur- than a shotgun or rifle, or ammunition (A) shall not preclude any person er, dealer, or collector with respect to for a shotgun or rifle, to any individual who lawfully acquires a firearm by any fact material to the lawfulness of who the licensee knows or has rea- bequest or intestate succession in the sale or other disposition of such sonable cause to believe is less than a State other than his State of res- firearm or ammunition under the pro- twenty–one years of age; idence from transporting the firearm visions of this chapter; into or receiving it in that State, if it is (2) any firearm to any person in lawful for such person to purchase or (7) for any person to manufacture any State where the purchase or possess such firearm in that State, or import armor piercing ammunition, possession by such person of such (B) shall not apply to the transporta- unless— firearm would be in violation of any tion or receipt of a firearm obtained State law or any published ordinance in conformity with subsection (b)(3) (A) the manufacture of such applicable at the place of sale, deliv- of this section, and (C) shall not ap- ammunition is for the use of the ery or other disposition, unless the ply to the transportation of any fire- United States, any department or licensee knows or has reasonable arm acquired in any State prior to the agency of the United States, any cause to believe that the purchase or effective date of this chapter; State, or any department, agency, possession would not be in violation or political subdivision of a State; of such State law or such published (4) for any person, other than a ordinance; licensed importer, licensed manu- (B) the manufacture of such am- facturer, licensed dealer, or licensed munition is for the purpose of ex- (3) any firearm to any person who collector, to transport in interstate or portation; or the licensee knows or has reason- foreign commerce any destructive able cause to believe does not reside device, machinegun (as defined in (C) the manufacture or importa- in (or if the person is a corporation section 5845 of the Internal Revenue tion of such ammunition is for the or other business entity, does not Code of 1986), short–barreled shot- purpose of testing or experimen- maintain a place of business in) the gun, or short–barreled rifle, except tation and has been authorized by State in which the licensee’s place of as specifically authorized by the- At the Attorney General; business is located, except that this torney General consistent with public paragraph (A) shall not apply to the safety and necessity; (8) for any manufacturer or im- sale or delivery of any rifle or shotgun porter to sell or deliver armor pierc- to a resident of a State other than a (5) for any person (other than a ing ammunition, unless such sale or State in which the licensee’s place of licensed importer, licensed manu- delivery— business is located if the transferee facturer, licensed dealer, or licensed meets in person with the transferor to collector) to transfer, sell, trade, give, (A) is for the use of the United accomplish the transfer, and the sale, transport, or deliver any firearm to any States, any department or agency delivery, and receipt fully comply with person (other than a licensed import- of the United States, any State, or the legal conditions of sale in both er, licensed manufacturer, licensed any department, agency, or politi- such States (and any licensed man- dealer, or licensed collector) who the cal subdivision of a State; ufacturer, importer or dealer shall be transferor knows or has reasonable presumed, for purposes of this sub- cause to believe does not reside in (or (B) is for the purpose of expor- paragraph, in the absence of evi- if the person is a corporation or other tation; or dence to the contrary, to have had ac- business entity, does not maintain tual knowledge of the State laws and a place of business in) the State in (C) is for the purpose of testing published ordinances of both States), which the transferor resides; except or experimentation and has been and (B) shall not apply to the loan or that this paragraph shall not apply to authorized by the Attorney Gen- rental of a firearm to any person for (A) the transfer, transportation, or de- eral;1 temporary use for lawful sporting pur- livery of a firearm made to carry out poses; a bequest of a firearm to, or an ac- (9) for any person, other than a quisition by intestate succession of a licensed importer, licensed manu- (4) to any person any destructive firearm by, a person who is permitted facturer, licensed dealer, or licensed device, machinegun (as defined in to acquire or possess a firearm under collector, who does not reside in any section 5845 of the Internal Revenue the laws of the State of his residence, State to receive any firearms unless Code of 1986), short–barreled shot- and (B) the loan or rental of a firearm such receipt is for lawful sporting gun, or short–barreled rifle, except to any person for temporary use for purposes. as specifically authorized by the- At lawful sporting purposes; torney General consistent with public safety and necessity; and

11 (5) any firearm or armor–piercing mail (return receipt requested) a copy conditions; ammunition to any person unless the of the sworn statement, together with licensee notes in his records, required a description of the firearm, in a form (7) who, having been a citizen of to be kept pursuant to section 923 of prescribed by the Attorney General, the United States, has renounced his this chapter, the name, age, and place to the chief law enforcement officer of citizenship; of residence of such person if the per- the transferee’s place of residence, son is an individual, or the identity and and has received a return receipt ev- (8) is subject to a court order that principal and local places of business idencing delivery of the statement or restrains such person from harass- of such person if the person is a cor- has had the statement returned due ing, stalking, or threatening an inti- poration or other business entity. to the refusal of the named address- mate partner of such person or child ee to accept such letter in accor- of such intimate partner or person, or Paragraphs (1), (2), (3), and (4) of dance with United States Post Office engaging in other conduct that would this subsection shall not apply to trans- Department regulations; and place an intimate partner in reason- actions between licensed importers, liable fear of bodily injury to the partner censed manufacturers, licensed dealers, (3) the transferor has delayed or child, except that this paragraph and licensed collectors. Paragraph (4) of shipment or delivery for a period of at shall only apply to a court order that— this subsection shall not apply to a sale least seven days following receipt of or delivery to any research organization the notification of the acceptance or (A) was issued after a hearing of designated by the Attorney General. refusal of delivery of the statement. which such person received actual notice, and at which such person (c) In any case not otherwise prohib- A copy of the sworn statement and a had the opportunity to participate; ited by this chapter, a licensed importer, copy of the notification to the local law and licensed manufacturer, or licensed deal- enforcement officer, together with evi- er may sell a firearm to a person who dence of receipt or rejection of that noti- (B)(i) includes a finding that does not appear in person at the licens- such person represents a credi- fication shall be retained by the licensee ee’s business premises (other than an- ble threat to the physical safety of other licensed importer, manufacturer, as a part of the records required to be such intimate partner or child; or or dealer) only if— kept under section 923(g). (ii) by its terms explicitly pro- (1) the transferee submits to the (d) It shall be unlawful for any per- hibits the use, attempted use, or transferor a sworn statement in the son to sell or otherwise dispose of any threatened use of physical force following form: firearm or ammunition to any person against such intimate partner or knowing or having reasonable cause to child that would reasonably be “Subject to penalties provided by believe that such person— expected to cause bodily injury; law, I swear that, in the case of any or firearm other than a shotgun or a ri- (1) is under indictment for, or has fle, I am twenty-one years or more been convicted in any court of, a (9) has been convicted in any court of age, or that, in the case of a shot- crime punishable by imprisonment for of a misdemeanor crime of domestic gun or a rifle, I am eighteen years or a term exceeding one year; violence. more of age; that I am not prohibited by the provisions of chapter 44 of (2) is a fugitive from justice; This subsection shall not apply with title 18, United States Code, from re- respect to the sale or disposition of a ceiving a firearm in interstate or for- (3) is an unlawful user of or addicted to any controlled substance (as de- firearm or ammunition to a licensed im- eign commerce; and that my receipt porter, licensed manufacturer, licensed of this firearm will not be in violation fined in section 102 of the Controlled dealer, or licensed collector who pur- of any statute of the State and pub- Substances Act (21 U.S.C. 802)); lished ordinance applicable to the suant to subsection (b) of section 925 locality in which I reside. Further, (4) has been adjudicated as a of this chapter is not precluded from the true title, name, and address of mental defective or has been com- dealing in firearms or ammunition, or to the principal law enforcement offi- mitted to any mental institution; a person who has been granted relief cer of the locality to which the fire- from disabilities pursuant to subsection arm will be delivered are (5) who, being an alien— (c) of section 925 of this chapter. (A) is illegally or unlawfully in the Signature . (e) It shall be unlawful for any person United States; or knowingly to deliver or cause to be de- Date .” livered to any common or contract carri- (B) except as provided in sub- er for transportation or shipment in inter- section (y)(2), has been admitted and containing blank spaces for the at- state or foreign commerce, to persons to the United States under a non- tachment of a true copy of any permit other than licensed importers, licensed immigrant visa (as that term is de- manufacturers, licensed dealers, or li- or other information required pursuant fined in section 101(a)(26) of the to such statute or published ordinance; censed collectors, any package or other Immigration and Nationality Act (8 container in which there is any firearm U.S.C. 1101(a)(26))); (2) the transferor has, prior to the or ammunition without written notice to the carrier that such firearm or ammu- shipment or delivery of the firearm, (6) who has been discharged from forwarded by registered or certified nition is being transported or shipped; the Armed Forces under dishonorable except that any passenger who owns

12 or legally possesses a firearm or am- (6) who has been discharged from (i) It shall be unlawful for any person munition being transported aboard any the Armed Forces under dishonor- to transport or ship in interstate or for- common or contract carrier for move- able conditions; eign commerce, any stolen firearm or ment with the passenger in interstate or stolen ammunition, knowing or having foreign commerce may deliver said fire- (7) who, having been a citizen of reasonable cause to believe that the arm or ammunition into the custody of the United States, has renounced his firearm or ammunition was stolen. the pilot, captain, conductor or operator citizenship; of such common or contract carrier for (j) It shall be unlawful for any person the duration of the trip without violating (8) who is subject to a court order to receive, possess, conceal, store, bar- any of the provisions of this chapter. No that— ter, sell, or dispose of any stolen firearm common or contract carrier shall require or stolen ammunition, or pledge or ac- or cause any label, tag, or other written (A) was issued after a hearing of cept as security for a loan any stolen notice to be placed on the outside of which such person received actual firearm or stolen ammunition, which any package, luggage, or other contain- notice, and at which such person is moving as, which is a part of, which er that such package, luggage, or other had an opportunity to participate; constitutes, or which has been shipped container contains a firearm. or transported in, interstate or foreign (B) restrains such person from commerce, either before or after it was (f) (1) It shall be unlawful for any harassing, stalking, or threatening stolen, knowing or having reasonable common or contract carrier to transport an intimate partner of such person cause to believe that the firearm or am- or deliver in interstate or foreign com- or child of such intimate partner or munition was stolen. merce any firearm or ammunition with person, or engaging in other con- knowledge or reasonable cause to be- duct that would place an intimate (k) It shall be unlawful for any person lieve that the shipment, transportation, partner in reasonable fear of bodily knowingly to transport, ship, or receive, or receipt thereof would be in violation injury to the partner or child; and in interstate or foreign commerce, any of the provisions of this chapter. firearm which has had the importer’s or (C)(i) includes a finding that manufacturer’s serial number removed, (2) It shall be unlawful for any com- such person represents a credi- obliterated, or altered or to possess or mon or contract carrier to deliver in ble threat to the physical safety of receive any firearm which has had the interstate or foreign commerce any such intimate partner or child; or importer’s or manufacturer’s serial num- firearm without obtaining written ac- ber removed, obliterated, or altered knowledgement of receipt from the (ii) by its terms explicitly pro- and has, at any time, been shipped or recipient of the package or other con- hibits the use, attempted use, or transported in interstate or foreign com- tainer in which there is a firearm. threatened use of physical force merce. against such intimate partner or (g) It shall be unlawful for any person— child that would reasonably be (l) Except as provided in section expected to cause bodily injury; 925(d) of this chapter, it shall be unlaw- (1) who has been convicted in any or ful for any person knowingly to import court of, a crime punishable by im- or bring into the United States or any prisonment for a term exceeding one (9) who has been convicted in any possession thereof any firearm or am- year; court of a misdemeanor crime of do- munition; and it shall be unlawful for any mestic violence, to ship or transport person knowingly to receive any firearm (2) who is a fugitive from justice; in interstate or foreign commerce, or or ammunition which has been imported possess in or affecting commerce, or brought into the United States or any (3) who is an unlawful user of or any firearm or ammunition; or to re- possession thereof in violation of the addicted to any controlled substance provisions of this chapter. ceive any firearm or ammunition (as defined in section 102 of the Con- trolled Substances Act (21 U.S.C. which has been shipped or transport- (m) It shall be unlawful for any li- 802)); ed in interstate or foreign commerce. censed importer, licensed manufacturer, licensed dealer, or licensed collector (4) who has been adjudicated as (h) It shall be unlawful for any individ- knowingly to make any false entry in, a mental defective or who has been ual, who to that individual’s knowledge to fail to make appropriate entry in, or committed to a mental institution; and while being employed for any per- to fail to properly maintain, any record son described in any paragraph of sub- which he is required to keep pursuant (5) who, being an alien— section (g) of this section, in the course to section 923 of this chapter or regula- of such employment— tions promulgated thereunder. (A) is illegally or unlawfully in the United States; or (1) to receive, possess, or trans- (n) It shall be unlawful for any per- port any firearm or ammunition in or son who is under indictment for a crime (B) except as provided in sub- affecting interstate or foreign com- punishable by imprisonment for a term section (y)(2), has been admitted merce; or exceeding one year to ship or transport to the United States under a non- in interstate or foreign commerce any immigrant visa (as that term is de- (2) to receive any firearm or am- firearm or ammunition or receive any fined in section 101(a)(26) of the munition which has been shipped or firearm or ammunition which has been Immigration and Nationality Act (8 transported in interstate or foreign shipped or transported in interstate or U.S.C. 1101(a)(26))); commerce. foreign commerce.

13 (o) (1) Except as provided in paragraph (ii) suitable for testing and in the United States before the date (2), it shall be unlawful for any person to calibrating metal detectors: of the enactment of the Undetectable transfer or possess a machinegun. Firearms Act of 1988. Provided, however, That at the close of (2) This subsection does not apply such 12–month period, and at appropri- (q) (1) The Congress finds and de- with respect to— ate times thereafter the Attorney Gener- clares that— al shall promulgate regulations to per- (A) a transfer to or by, or pos- (A) crime, particularly crime in- mit the manufacture, importation, sale, session by or under the authority volving drugs and guns, is a perva- of, the United States or any depart- shipment, delivery, possession, transfer, sive, nationwide problem; ment or agency thereof or a State, or receipt of firearms previously prohib- or a department, agency, or politi- ited under this subparagraph that are as (B) crime at the local level is exac- cal subdivision thereof; or detectable as a “Security Exemplar” erbated by the interstate movement which contains 3.7 ounces of material of drugs, guns, and criminal gangs; (B) any lawful transfer or lawful type 17–4 PH stainless steel, in a shape possession of a machinegun that resembling a handgun, or such less- (C) firearms and ammunition was lawfully possessed before the er amount as is detectable in view of move easily in interstate com- date this subsection takes effect. advances in state–of–the–art develop- merce and have been found in increasing numbers in and around ments in weapons detection technology. (p) (1) It shall be unlawful for any per- schools, as documented in numer- son to manufacture, import, sell, ship, ous hearings in both the Commit- (3) Under such rules and regula- deliver, possess, transfer, or receive tee on the Judiciary3 the House of tions as the Attorney General shall any firearm— Representatives and the Commit- prescribe, this subsection shall not tee on the Judiciary of the Senate; apply to the manufacture, posses- (A) that, after removal of grips, sion, transfer, receipt, shipment, or stocks, and magazines, is not as (D) in fact, even before the sale delivery of a firearm by a licensed detectable as the Security Exem- of a firearm, the gun, its compo- manufacturer or any person acting plar, by walk–through metal detec- nent parts, ammunition, and the pursuant to a contract with a licensed tors calibrated and operated to de- raw materials from which they are manufacturer, for the purpose of ex- tect the Security Exemplar; or made have considerably moved in amining and testing such firearm to interstate commerce; determine whether paragraph (1) (B) any major component of applies to such firearm. The Attorney which, when subjected to inspec- (E) while criminals freely move General shall ensure that rules and tion by the types of x–ray ma- from State to State, ordinary cit- regulations adopted pursuant to this chines commonly used at airports, izens and foreign visitors may paragraph do not impair the manu- does not generate an image that fear to travel to or through certain facture of prototype firearms or the accurately depicts the shape of the parts of the country due to concern development of new technology. component. Barium sulfate or oth- about violent crime and gun vio- er compounds may be used in the lence, and parents may decline to (4) The Attorney General shall per- fabrication of the component. send their children to school for the mit the conditional importation of a fire- same reason; arm by a licensed importer or licensed (2) For purposes of this subsec- manufacturer, for examination and tion— (F) the occurrence of violent testing to determine whether or not crime in school zones has resulted the unconditional importation of such (A) the term “firearm” does not in a decline in the quality of educa- firearm would violate this subsection. include the frame or receiver of tion in our country; any such weapon; (5) This subsection shall not apply (G) this decline in the quality of to any firearm which— (B) the term “major compo- education has an adverse impact on nent” means, with respect to a interstate commerce and the foreign (A) has been certified by the firearm, the barrel, the slide or cyl- commerce of the United States; Secretary of Defense or the Di- inder, or the frame or receiver of rector of Central Intelligence, after the firearm; and (H) States, localities, and school consultation with the Attorney Gen- systems find it almost impossible eral and the Administrator of the (C) the term “Security Ex- to handle gun—related crime by Federal Aviation Administration, emplar” means an object, to be themselves–even States, locali- as necessary for military or intelli- fabricated at the direction of the ties, and school systems that have gence applications; and Attorney General, that is— made strong efforts to prevent, detect, and punish gun–related crime (B) is manufactured for and sold (i) constructed of, during the find their efforts unavailing due in exclusively to military or intelligence 12–month period beginning on part to the failure or inability of oth- agencies of the United States. the date of the enactment of this er States or localities to take strong subsection, 3.7 ounces of mate- measures; and (6) This subsection shall not apply rial type 17–4 PH stainless steel with respect to any firearm manufac- in a shape resembling a hand- (I) the Congress has the pow- tured in, imported into, or possessed gun; and er, under the interstate commerce

14 clause and other provisions of the (3)(A) Except as provided in sub- before the date that is 60 months af- Constitution, to enact measures to paragraph (B), it shall be unlawful ter such date of enactment, it shall be ensure the integrity and safety of for any person, knowingly or with unlawful for any licensed importer, li- the Nation’s schools by enactment reckless disregard for the safety of censed manufacturer, or licensed deal- of this subsection. another, to discharge or attempt to er to sell, deliver, or transfer a handgun discharge a firearm that has moved (other than the return of a handgun to (2)(A) It shall be unlawful for any in or that otherwise affects interstate the person from whom it was received) individual knowingly to possess a or foreign commerce at a place that to an individual who is not licensed un- firearm that has moved in or that oth- the person knows is a school zone. der section 923, unless— erwise affects interstate or foreign commerce at a place that the individ- (B) Subparagraph (A) does not (A) after the most recent proposal ual knows, or has reasonable cause apply to the discharge of a fire- of such transfer by the transferee— to believe, is a school zone. arm— (i) the transferor has— (B) Subparagraph (A) does not (i) on private property not part apply to the possession of a fire- of school grounds; (I) received from the trans- arm— feree a statement of the (ii) as part of a program ap- transferee containing the in- (i) on private property not part proved by a school in the school formation described in para- of school grounds; zone, by an individual who is graph (3); participating in the program; (ii) if the individual possess- (II) verified the identity of ing the firearm is licensed to (iii) by an individual in ac- the transferee by examining do so by the State in which the cordance with a contract en- the identification document school zone is located or a polit- tered into between a school in presented; ical subdivision of the State, and a school zone and the individual the law of the State or political or an employer of the individual; (III) within 1 day after the subdivision requires that, be- or transferee furnishes the state- fore an individual obtains such ment, provided notice of the a license, the law enforcement (iv) by a law enforcement of- contents of the statement to authorities of the State or polit- ficer acting in his or her official the chief law enforcement of- ical subdivision verify that the capacity. ficer of the place of residence individual is qualified under law of the transferee; and to receive the license; (4) Nothing in this subsection shall be construed as preempting or pre- (IV) within 1 day after (iii) that is— venting a State or local government the transferee furnishes the from enacting a statute establishing statement, transmitted a copy (I) not loaded; and gun free school zones as provided in of the statement to the chief this subsection. law enforcement officer of (II) in a locked container, or the place of residence of the a locked firearms rack that is (r) It shall be unlawful for any per- transferee; and on a motor vehicle; son to assemble from imported parts any semiautomatic rifle or any shotgun (ii)(I) 5 business days (mean- (iv) by an individual for use in which is identical to any rifle or shot- ing days on which State offices a program approved by a school gun prohibited from importation under are open) have elapsed from the in the school zone; section 925(d)(3) of this chapter as not date the transferor furnished no- being particularly suitable for or readily tice of the contents of the state- (v) by an individual in accor- adaptable to sporting purposes except ment to the chief law enforce- dance with a contract entered that this subsection shall not apply to— ment officer, during which period into between a school in the the transferor has not received school zone and the individual (1) the assembly of any such rifle information from the chief law or an employer of the individual; or shotgun for sale or distribution by enforcement officer that receipt a licensed manufacturer to the United or possession of the handgun by (vi) by a law enforcement of- States or any department or agency the transferee would be in vio- ficer acting in his or her official thereof or to any State or any depart- lation of Federal, State, or local capacity; or ment, agency, or political subdivision law; or thereof; or (vii) that is unloaded and (II) the transferor has re- is possessed by an individual (2) the assembly of any such rifle ceived notice from the chief while traversing school prem- or shotgun for the purposes of testing law enforcement officer that ises for the purpose of gaining or experimentation authorized by the the officer has no information access to public or private lands Attorney General. indicating that receipt or pos- open to hunting, if the entry on session of the handgun by the school premises is authorized (s) (1) Beginning on the date that is transferee would violate Fed- by school authorities. 90 days after the date of enactment of eral, State, or local law; this subsection and ending on the day

15 (B) the transferee has pre- (ii) the business premises of the United States under a sented to the transferor a written the transferor at which the trans- nonimmigrant visa (as that statement, issued by the chief law fer is to occur are extremely re- term is defined in section enforcement officer of the place of mote in relation to the chief law 101(a)(26) of the Immigration residence of the transferee during enforcement officer; and and Nationality Act (8 U.S.C. the 10–day period ending on the 1101(a)(26))); date of the most recent proposal (iii) there is an absence of tele- of such transfer by the transferee, communications facilities in the (vi) has not been discharged stating that the transferee requires geographical area in which the from the Armed Forces under access to a handgun because of a business premises are located. dishonorable conditions; and threat to the life of the transferee or of any member of the household of (2) A chief law enforcement officer (vii) is not a person who, hav- the transferee; to whom a transferor has provided ing been a citizen of the United notice pursuant to paragraph (1)(A) States, has renounced such cit- (C)(i) the transferee has pre- (i)(III) shall make a reasonable effort izenship; sented to the transferor a permit to ascertain within 5 business days that— whether receipt or possession would (C) the date the statement is be in violation of the law, including made; and (I) allows the transferee to research in whatever State and local possess or acquire a hand- recordkeeping systems are available (D) notice that the transferee in- gun; and and in a national system designated tends to obtain a handgun from the by the Attorney General. transferor. (II) was issued not more than 5 years earlier by the (3) The statement referred to in (4) Any transferor of a handgun State in which the transfer is paragraph (1)(A)(i)(I) shall contain who, after such transfer, receives a to take place; and only— report from a chief law enforcement officer containing information that (ii) the law of the State pro- (A) the name, address, and date receipt or possession of the hand- vides that such a permit is to be of birth appearing on a valid iden- gun by the transferee violates Fed- issued only after an authorized tification document (as defined in eral, State, or local law shall, within government official has verified section 1028(d)(1)4) of the transfer- 1 business day after receipt of such that the information available to ee containing a photograph of the request, communicate any informa- such official does not indicate transferee and a description of the tion related to the transfer that the that possession of a handgun by identification used; transferor has about the transfer and the transferee would be in viola- the transferee to— tion of the law; (B) a statement that the transferee— (A) the chief law enforcement (D) the law of the State requires officer of the place of business of that, before any licensed importer, (i) is not under indictment for, the transferor; and licensed manufacturer, or licensed and has not been convicted in dealer completes the transfer of a any court of, a crime punish- (B) the chief law enforcement handgun to an individual who is not able by imprisonment for a term officer of the place of residence of licensed under section 923, an au- exceeding 1 year, and has not the transferee. thorized government official verify been convicted in any court of a that the information available to such misdemeanor crime of domestic (5) Any transferor who receives official does not indicate that pos- violence; information, not otherwise available session of a handgun by the trans- to the public, in a report under this feree would be in violation of law; (ii) is not a fugitive from justice; subsection shall not disclose such information except to the transferee, to (E) the Attorney General has ap- (iii) is not an unlawful user law enforcement authorities, or pur- proved the transfer under section of or addicted to any controlled suant to the direction of a court of law. 5812 of the Internal Revenue Code substance (as defined in section of 1986; or 102 of the Controlled Substanc- (6)(A) Any transferor who sells, de- es Act); livers, or otherwise transfers a hand- (F) on application of the trans- gun to a transferee shall retain the feror, the Attorney General has (iv) has not been adjudicated copy of the statement of the transfer- certified that compliance with sub- as a mental defective or been ee with respect to the handgun trans- paragraph (A)(i)(III) is impractica- committed to a mental institution; action, and shall retain evidence that ble because— the transferor has complied with sub- (v) is not an alien who— clauses (III) and (IV) of paragraph (1) (i) the ratio of the number of (A)(i) with respect to the statement. law enforcement officers of the (I) is illegally or unlawfully State in which the transfer is to in the United States; or (B) Unless the chief law enforce- occur to the number of square ment officer to whom a statement miles of land area of the State (II) subject to subsection is transmitted under paragraph (1) does not exceed 0.0025; (y)(2), has been admitted to (A)(i)(IV) determines that a trans-

16 action would violate Federal, State, (t) (1) Beginning on the date that is 30 (II) was issued not more or local law— days after the Attorney General notifies than 5 years earlier by the licensees under section 103(d) of the State in which the transfer is (i) the officer shall, within 20 Brady Handgun Violence Prevention Act to take place; and business days after the date the that the national instant criminal back- transferee made the statement ground check system is established, a (ii) the law of the State pro- on the basis of which the notice licensed importer, licensed manufactur- vides that such a permit is to be was provided, destroy the state- er, or licensed dealer shall not transfer issued only after an authorized ment, any record containing in- a firearm to any other person who is not government official has verified formation derived from the state- licensed under this chapter, unless— that the information available to ment, and any record created as such official does not indicate a result of the notice required by (A) before the completion of that possession of a firearm by paragraph (1)(A)(i)(III); the transfer, the licensee contacts such other person would be in the national instant criminal back- violation of law; (ii) the information contained ground check system established in the statement shall not be under section 103 of that Act; (B) the Attorney General has ap- conveyed to any person except proved the transfer under section a person who has a need to (B)(i) the system provides the 5812 of the Internal Revenue Code know in order to carry out this licensee with a unique identification of 1986; or subsection; and number; or (C) on application of the trans- (iii) the information contained (ii) 3 business days (mean- feror, the Attorney General has in the statement shall not be ing a day on which State offices certified that compliance with used for any purpose other than are open) have elapsed since the paragraph (1)(A) is impracticable to carry out this subsection. licensee contacted the system, because— and the system has not notified the (C) If a chief law enforcement of- licensee that the receipt of a fire- (i) the ratio of the number of ficer determines that an individual arm by such other person would law enforcement officers of the is ineligible to receive a handgun violate subsection (g) or (n) of this State in which the transfer is to and the individual requests the of- section; and occur to the number of square ficer to provide the reason for such miles of land area of the State determination, the officer shall pro- (C) the transferor has verified the does not exceed 0.0025; vide such reasons to the individual identity of the transferee by examin- in writing within 20 business days ing a valid identification document (as (ii) the business premises of after receipt of the request. defined in section 1028(d) of this title) the licensee at which the trans- of the transferee containing a photo- fer is to occur are extremely re- (7) A chief law enforcement officer graph of the transferee. mote in relation to the chief law or other person responsible for pro- enforcement officer (as defined viding criminal history background in- (2) If receipt of a firearm would not in subsection (s)(8)); and formation pursuant to this subsection violate subsection (g) or (n) or State shall not be liable in an action at law law, the system shall— (iii) there is an absence of tele- for damages— communications facilities in the (A) assign a unique identifica- geographical area in which the (A) for failure to prevent the sale tion number to the transfer; business premises are located. or transfer of a handgun to a person whose receipt or possession (B) provide the licensee with the (4) If the national instant criminal of the handgun is unlawful under number; and background check system notifies the this section; or licensee that the information available (C) destroy all records of the sys- to the system does not demonstrate (B) for preventing such a sale or tem with respect to the call (other that the receipt of a firearm by such transfer to a person who may law- than the identifying number and the other person would violate subsection fully receive or possess a handgun. date the number was assigned) and (g) or (n) or State law, and the licens- all records of the system relating to ee transfers a firearm to such other (8) For purposes of this subsection, the person or the transfer. person, the licensee shall include in the term “chief law enforcement of- the record of the transfer the unique ficer” means the chief of police, the (3) Paragraph (1) shall not apply to identification number provided by the sheriff, or an equivalent officer or the a firearm transfer between a licensee system with respect to the transfer. designee of any such individual. and another person if— (5) If the licensee knowingly trans- (9) The Attorney General shall take (A)(i) such other person has fers a firearm to such other person necessary actions to ensure that the presented to the licensee a permit and knowingly fails to comply with provisions of this subsection are pub- that— paragraph (1) of this subsection with lished and disseminated to licensed respect to the transfer and, at the dealers, law enforcement officials, (I) allows such other per- time such other person most recently and the public. son to possess or acquire a proposed the transfer, the national in- firearm; and stant criminal background check sys-

17 tem was operating and information (3) This subsection does not apply (B) a juvenile who is a member was available to the system demon- to— of the Armed Forces of the Unit- strating that receipt of a firearm by ed States or the National Guard such other person would violate (A) a temporary transfer of a who possesses or is armed with a subsection (g) or (n) of this section handgun or ammunition to a ju- handgun in the line of duty; or State law, the Attorney Gener- venile or to the possession or use al may, after notice and opportunity of a handgun or ammunition by a (C) a transfer by inheritance of for a hearing, suspend for not more juvenile if the handgun and ammu- title (but not possession) of a hand- than 6 months or revoke any license nition are possessed and used by gun or ammunition to a juvenile; or issued to the licensee under section the juvenile— 923, and may impose on the licensee (D) the possession of a handgun a civil fine of not more than $5,000. (i) in the course of employ- or ammunition by a juvenile taken ment, in the course of ranching in defense of the juvenile or other (6) Neither a local government nor or farming related to activities persons against an intruder into an employee of the Federal Govern- at the residence of the juvenile the residence of the juvenile or a ment or of any State or local gov- (or on property used for ranch- residence in which the juvenile is ernment, responsible for providing ing or farming at which the juve- an invited guest. information to the national instant nile, with the permission of the criminal background check system property owner or lessee, is per- (4) A handgun or ammunition, the shall be liable in an action at law for forming activities related to the possession of which is transferred to damages— operation of the farm or ranch), a juvenile in circumstances in which target practice, hunting, or a the transferor is not in violation of (A) for failure to prevent the sale course of instruction in the safe this subsection shall not be subject or transfer of a firearm to a person and lawful use of a handgun; to permanent confiscation by the whose receipt or possession of the Government if its possession by the firearm is unlawful under this sec- (ii) with the prior written con- juvenile subsequently becomes un- tion; or sent of the juvenile’s parent or lawful because of the conduct of the guardian who is not prohibited by juvenile, but shall be returned to the (B) for preventing such a sale or Federal, State, or local law from lawful owner when such handgun or transfer to a person who may law- possessing a firearm, except— ammunition is no longer required by fully receive or possess a firearm. the Government for the purposes of (I) during transportation by investigation or prosecution. (u) It shall be unlawful for a person the juvenile of an unloaded to steal or unlawfully take or carry away handgun in a locked contain- (5) For purposes of this subsection, from the person or the premises of a er directly from the place of the term “juvenile” means a person person who is licensed to engage in the transfer to a place at which an who is less than 18 years of age. business of importing, manufacturing, activity described in clause or dealing in firearms, any firearm in the (i) is to take place and trans- (6)(A) In a prosecution of a viola- licensee’s business inventory that has portation by the juvenile of tion of this subsection, the court shall been shipped or transported in inter- that handgun, unloaded and require the presence of a juvenile de- state or foreign commerce. in a locked container, directly fendant’s parent or legal guardian at from the place at which such all proceedings. [(v), (w) Repealed. Pub. L. 103–322, an activity took place to the title XI, §110105(2), Sept. 13, 1994, 108 transferor; or (B) The court may use the con- Stat. 2000.] tempt power to enforce subpara- (II) with respect to ranching graph (A). (x) (1) It shall be unlawful for a per- or farming activities as de- son to sell, deliver, or otherwise transfer scribed in clause (i), a juve- (C) The court may excuse atten- to a person who the transferor knows nile may possess and use a dance of a parent or legal guardian or has reasonable cause to believe is a handgun or ammunition with of a juvenile defendant at a pro- juvenile— the prior written approval of ceeding in a prosecution of a vio- the juvenile’s parent or legal lation of this subsection for good (A) a handgun; or guardian and at the direction cause shown. of an adult who is not pro- (B) ammunition that is suitable hibited by Federal, State or (y) Provisions Relating to Aliens Ad- for use only in a handgun. local law from possessing a mitted Under Nonimmigrant Visas.— firearm; (2) It shall be unlawful for any per- (1) Definitions. In this subsection— son who is a juvenile to knowingly (iii) the juvenile has the prior possess— written consent in the juvenile’s (A) the term “alien” has the possession at all times when a same meaning as in section 101(a) (A) a handgun; or handgun is in the possession of (3) of the Immigration and Nation- the juvenile; and ality Act (8 U.S.C. 1101(a)(3)); and (B) ammunition that is suitable for use only in a handgun. (iv) in accordance with State (B) the term “nonimmigrant and local law; visa” has the same meaning as in

18 section 101(a)(26) of the Immigra- (ii) include a written statement a handgun listed as a curio or relic tion and Nationality Act (8 U.S.C. from the embassy or consulate by the Secretary pursuant to sec- 1101(a)(26)). of the petitioner, authorizing the tion 921(a)(13); or petitioner to acquire a firearm or (2) Exceptions. Subsections (d)(5) ammunition and certifying that the (D) the transfer to any person of (B), (g)(5)(B), and (s)(3)(B)(v)(II) do not alien would not, absent the ap- a handgun for which a secure gun apply to any alien who has been lawful- plication of subsection (g)(5)(B), storage or safety device is tempo- ly admitted to the United States under otherwise be prohibited from such rarily unavailable for the reasons a nonimmigrant visa, if that alien is— acquisition under subsection (g). described in the exceptions stated in section 923(e), if the licensed (A) admitted to the United (C) Approval of petition. The At- manufacturer, licensed importer, States for lawful hunting or sport- torney General shall approve a pe- or licensed dealer delivers to the ing purposes or is in possession of tition submitted in accordance with transferee within 10 calendar days a hunting license or permit lawfully this paragraph, if the Attorney Gen- from the date of the delivery of the issued in the United States; eral determines that waiving the handgun to the transferee a secure requirements of subsection (g)(5) gun storage or safety device for (B) an official representative of a (B) with respect to the petitioner— the handgun. foreign government who is— (i) would be in the interests of (3) Liability for use.— (i) accredited to the Unit- justice; and ed States Government or the (A) In general. Notwithstanding Government’s mission to an in- (ii) would not jeopardize the any other provision of law, a per- ternational organization having public safety. son who has lawful possession its headquarters in the United and control of a handgun, and who States; or (z) Secure Gun Storage or Safety uses a secure gun storage or safe- Device.— ty device with the handgun, shall (ii) en route to or from anoth- be entitled to immunity from a qual- er country to which that alien is (1) In general. Except as provid- ified civil liability action. accredited; ed under paragraph (2), it shall be unlawful for any licensed importer, (B) Prospective actions. A qual- (C) an official of a foreign gov- licensed manufacturer, or licensed ified civil liability action may not be ernment or a distinguished foreign dealer to sell, deliver, or transfer any brought in any Federal or State visitor who has been so designat- handgun to any person other than court. ed by the Department of State; or any person licensed under this chapter, unless the transferee is provided (C) Defined term. As used in this (D) a foreign law enforcement with a secure gun storage or safety paragraph, the term “qualified officer of a friendly foreign govern- device (as defined in section 921(a) civil liability action”— ment entering the United States on (34)) for that handgun. official law enforcement business. (i) means a civil action brought (2) Exceptions. Paragraph (1) shall by any person against a person (3) Waiver.— not apply to— described in subparagraph (A) for damages resulting from the (A) Conditions for waiver.–Any (A)(i) the manufacture for, trans- criminal or unlawful misuse of individual who has been admit- fer to, or possession by, the United the handgun by a third party, if— ted to the United States under a States, a department or agency of nonimmigrant visa may receive a the United States, a State, or a de- (I) the handgun was ac- waiver from the requirements of partment, agency, or political sub- cessed by another person subsection (g)(5), if— division of a State, of a handgun; who did not have the permis- or sion or authorization of the (i) the individual submits to person having lawful posses- the Attorney General a petition (ii) the transfer to, or pos- sion and control of the hand- that meets the requirements of session by, a law enforcement gun to have access to it; and subparagraph (C); and officer employed by an entity referred to in clause (i) of a hand- (II) at the time access was (ii) the Attorney General ap- gun for law enforcement purpos- gained by the person not so proves the petition. es (whether on or off duty); or authorized, the handgun had been made inoperable by use (B) Petition. Each petition under (B) the transfer to, or possession of a secure gun storage or subparagraph (B) shall— by, a rail police officer employed by safety device; and a rail carrier and certified or com- (i) demonstrate that the peti- missioned as a police officer under (ii) shall not include an action tioner has resided in the United the laws of a State of a handgun brought against the person hav- States for a continuous period of for purposes of law enforcement ing lawful possession and control not less than 180 days before the (whether on or off duty); of the handgun for negligent en- date on which the petition is sub- trustment or negligence per se. mitted under this paragraph; and (C) the transfer to any person of

19 § 923 Licensing. The application shall be in such form ship, or association) is not prohib- and contain only that information nec- ited from transporting, shipping, or (a) No person shall engage in the essary to determine eligibility as the At- receiving firearms or ammunition business of importing, manufacturing, torney General shall by regulation pre- in interstate or foreign commerce or dealing in firearms, or importing or scribe. The fee for such license shall be under section 922(g) and (n) of this manufacturing ammunition, until he has $10 per year. Any license granted under chapter; filed an application with and received a this subsection shall only apply to trans- license to do so from the Attorney Gen- actions in curios and relics. (C) the applicant has not willful- eral. The application shall be in such ly violated any of the provisions of form and contain only that information (c) Upon the filing of a proper appli- this chapter or regulations issued necessary to determine eligibility for li- cation and payment of the prescribed thereunder; censing as the Attorney General shall fee, the Attorney General shall issue to by regulation prescribe and shall in- a qualified applicant the appropriate li- (D) the applicant has not willful- clude a photograph and fingerprints of cense which, subject to the provisions of ly failed to disclose any material the applicant. Each applicant shall pay this chapter and other applicable provi- information required, or has not a fee for obtaining such a license, a sep- sions of law, shall entitle the licensee to made any false statement as to arate fee being required for each place transport, ship, and receive firearms and any material fact, in connection in which the applicant is to do business, ammunition covered by such license in with his application; as follows: interstate or foreign commerce during the period stated in the license. Nothing (E) the applicant has in a State (1) If the applicant is a manufac- in this chapter shall be construed to pro- (i) premises from which he con- turer— hibit a licensed manufacturer, importer, ducts business subject to license or dealer from maintaining and dispos- under this chapter or from which he (A) of destructive devices, am- ing of a personal collection of firearms, intends to conduct such business munition for destructive devices or subject only to such restrictions as apply within a reasonable period of time, armor piercing ammunition, a fee in this chapter to dispositions by a per- or (ii) in the case of a collector, of $1,000 per year; son other than a licensed manufactur- premises from which he conducts er, importer, or dealer. If any firearm is his collecting subject to license un- (B) of firearms other than de- so disposed of by a licensee within one der this chapter or from which he structive devices, a fee of $50 per year after its transfer from his business intends to conduct such collecting year; or inventory into such licensee’s personal within a reasonable period of time; collection or if such disposition or any (C) of ammunition for firearms, other acquisition is made for the pur- (F) the applicant certifies that— other than ammunition for destruc- pose of willfully evading the restrictions tive devices or armor piercing am- placed upon licensees by this chapter, (i) the business to be con- munition, a fee of $10 per year. then such firearm shall be deemed part ducted under the license is not of such licensee’s business inventory, prohibited by State or local law (2) If the applicant is an importer— except that any licensed manufacturer, in the place where the licensed importer, or dealer who has maintained premise is located; (A) of destructive devices, am- a firearm as part of a personal collection munition for destructive devices or for one year and who sells or otherwise (ii)(I) within 30 days after armor piercing ammunition, a fee disposes of such firearm shall record the application is approved the of $1,000 per year; or the description of the firearm in a bound business will comply with the volume, containing the name and place requirements of State and local (B) of firearms other than de- of residence and date of birth of the law applicable to the conduct of structive devices or ammunition transferee if the transferee is an individ- the business; and for firearms other than destructive ual, or the identity and principal and lo- devices, or ammunition other than cal places of business of the transferee (II) the business will not be armor piercing ammunition, a fee if the transferee is a corporation or other conducted under the license of $50 per year. business entity: Provided, That no oth- until the requirements of State er recordkeeping shall be required. and local law applicable to the (3) If the applicant is a dealer— business have been met; and (d) (1) Any application submitted un- (A) in destructive devices or am- der subsection (a) or (b) of this section (iii) that the applicant has munition for destructive devices, a shall be approved if— sent or delivered a form to be fee of $1,000 per year; or prescribed by the Attorney Gen- (A) the applicant is twenty–one eral, to the chief law enforce- (B) who is not a dealer in de- years of age or over; ment officer of the locality in structive devices, a fee of $200 which the premises are located, for 3 years, except that the fee for (B) the applicant (including, in which indicates that the appli- renewal of a valid license shall be the case of a corporation, partner- cant intends to apply for a Fed- $90 for 3 years. ship, or association, any individual eral firearms license; and possessing, directly or indirectly, (b) Any person desiring to be licensed the power to direct or cause the (G) in the case of an applica- as a collector shall file an application for direction of the management and tion to be licensed as a dealer, such license with the Attorney General. policies of the corporation, partner- the applicant certifies that secure

20 gun storage or safety devices will vocation of a license shall be given to (g) (1) (A) Each licensed importer, be available at any place in which the holder of such license before the licensed manufacturer, and licensed firearms are sold under the license effective date of the revocation. dealer shall maintain such records of to persons who are not licensees importation, production, shipment, re- (subject to the exception that in (2) If the Attorney General de- ceipt, sale, or other disposition of fire- any case in which a secure gun nies an application for, or revokes, arms at his place of business for such storage or safety device is tempo- a license, he shall, upon request by period, and in such form, as the Attor- rarily unavailable because of theft, the aggrieved party, promptly hold a ney General may by regulations pre- casualty loss, consumer sales, hearing to review his denial or revo- scribe. Such importers, manufactur- backorders from a manufacturer, cation. In the case of a revocation of ers, and dealers shall not be required or any other similar reason beyond a license, the Attorney General shall to submit to the Attorney General re- the control of the licensee, the upon the request of the holder of the ports and information with respect to dealer shall not be considered to license stay the effective date of the such records and the contents thereof, be in violation of the requirement revocation. A hearing held under this except as expressly required by this under this subparagraph to make paragraph shall be held at a location section. The Attorney General, when available such a device). convenient to the aggrieved party. he has reasonable cause to believe a violation of this chapter has occurred (2) The Attorney General must (3) If after a hearing held under and that evidence thereof may be approve or deny an application for a paragraph (2) the Attorney General found on such premises, may, upon license within the 60–day period be- decides not to reverse his decision demonstrating such cause before a ginning on the date it is received. If to deny an application or revoke a Federal magistrate judge and securing the Attorney General fails to act with- license, the Attorney General shall from such magistrate judge a warrant in such period, the applicant may file give notice of his decision to the ag- authorizing entry, enter during busi- an action under section 1361 of title grieved party. The aggrieved party ness hours the premises (including 28 to compel the Attorney General to may at any time within sixty days after places of storage) of any licensed fire- act. If the Attorney General approves the date notice was given under this arms importer, licensed manufacturer, an applicant’s application, such appli- paragraph file a petition with the Unit- licensed dealer, licensed collector, or cant shall be issued a license upon ed States district court for the district any licensed importer or manufactur- the payment of the prescribed fee. in which he resides or has his princi- er of ammunition, for the purpose of pal place of business for a de novo inspecting or examining— (e) The Attorney General may, af- judicial review of such denial or re- ter notice and opportunity for hearing, vocation. In a proceeding conducted (i) any records or documents revoke any license issued under this under this subsection, the court may required to be kept by such li- section if the holder of such license consider any evidence submitted by censed importer, licensed man- has willfully violated any provision of the parties to the proceeding whether ufacturer, licensed dealer, or this chapter or any rule or regulation or not such evidence was considered licensed collector under this prescribed by the Attorney General un- at the hearing held under paragraph chapter or rules or regulations der this chapter or fails to have secure (2). If the court decides that the At- under this chapter, and gun storage or safety devices available torney General was not authorized to at any place in which firearms are sold deny the application or to revoke the (ii) any firearms or ammunition under the license to persons who are license, the court shall order the At- kept or stored by such licensed not licensees (except that in any case torney General to take such action as importer, licensed manufacturer, in which a secure gun storage or safety may be necessary to comply with the licensed dealer, or licensed col- device is temporarily unavailable be- judgment of the court. lector, at such premises. cause of theft, casualty loss, consumer sales, backorders from a manufacturer, (4) If criminal proceedings are in- (B) The Attorney General may or any other similar reason beyond the stituted against a licensee alleging inspect or examine the inventory control of the licensee, the dealer shall any violation of this chapter or of and records of a licensed importer, not be considered to be in violation of rules or regulations prescribed unlicensed manufacturer, or licensed the requirement to make available such der this chapter, and the licensee is dealer without such reasonable a device). The Attorney General may, acquitted of such charges, or such cause or warrant— after notice and opportunity for hearing, proceedings are terminated, other revoke the license of a dealer who will- than upon motion of the Government (i) in the course of a reason- fully transfers armor piercing ammuni- before trial upon such charges, the able inquiry during the course of tion. The Secretary’s1 action under this Attorney General shall be absolutely a criminal investigation of a per- subsection may be reviewed only as barred from denying or revoking any son or persons other than the provided in subsection (f) of this section. license granted under this chapter licensee; where such denial or revocation is (f) (1) Any person whose applica- based in whole or in part on the facts (ii) for ensuring compliance tion for a license is denied and any which form the basis of such criminal with the record keeping require- holder of a license which is revoked charges. No proceedings for the re- ments of this chapter— shall receive a written notice from the vocation of a license shall be institut- Attorney General stating specifically ed by the Attorney General more than (I) not more than once the grounds upon which the applica- one year after the filing of the indict- during any 12–month period; tion was denied or upon which the li- ment or information. or cense was revoked. Any notice of a re-

21 (II) at any time with respect formation may be contained in the the Attorney General of the United to records relating to a firearm records required to be maintained States that no disclosure contrary involved in a criminal investi- by this chapter, when so request- to this subparagraph has been gation that is traced to the ed by any Federal, State, or local made and that all forms and any licensee; or law enforcement agency. record of the contents thereof have been destroyed as provided in this (iii) when such inspection or (2) Each licensed collector shall subparagraph. examination may be required for maintain in a bound volume the na- determining the disposition of ture of which the Attorney General (4) Where a firearms or ammuni- one or more particular firearms may by regulations prescribe, re- tion business is discontinued and in the course of a bona fide crim- cords of the receipt, sale, or other succeeded by a new licensee, the inal investigation. disposition of firearms. Such records records required to be kept by this shall include the name and address chapter shall appropriately reflect (C) The Attorney General may of any person to whom the collec- such facts and shall be delivered to inspect the inventory and records tor sells or otherwise disposes of a the successor. Where discontinuance of a licensed collector without such firearm. Such collector shall not be of the business is absolute, such re- reasonable cause or warrant— required to submit to the Attorney cords shall be delivered within thirty General reports and information with days after the business discontinu- (i) for ensuring compliance respect to such records and the con- ance to the Attorney General. Howev- with the record keeping require- tents thereof, except as expressly er, where State law or local ordinance ments of this chapter not more required by this section. requires the delivery of records to than once during any twelve– other responsible authority, the At- month period; or (3)(A) Each licensee shall prepare torney General may arrange for the a report of multiple sales or other dis- delivery of such records to such other (ii) when such inspection or positions whenever the licensee sells responsible authority. examination may be required for or otherwise disposes of, at one time determining the disposition of or during any five consecutive busi- (5)(A) Each licensee shall, when one or more particular firearms ness days, two or more pistols, or re- required by letter issued by the At- in the course of a bona fide crim- volvers, or any combination of pistols torney General, and until notified to inal investigation. and revolvers totalling two or more, the contrary in writing by the Attorney to an unlicensed person. The report General, submit on a form specified (D) At the election of a licensed shall be prepared on a form specified by the Attorney General, for periods collector, the annual inspection by the Attorney General and forward- and at the times specified in such let- of records and inventory permit- ed to the office specified thereon and ter, all record information required to ted under this paragraph shall to the department of State police or be kept by this chapter or such less- be performed at the office of the State law enforcement agency of the er record information as the Attorney Attorney General designated for State or local law enforcement agen- General in such letter may specify. such inspections which is located cy of the local jurisdiction in which the in closest proximity to the prem- sale or other disposition took place, (B) The Attorney General may ises where the inventory and re- not later than the close of business authorize such record information cords of such licensed collector on the day that the multiple sale or to be submitted in a manner other are maintained. The inspection other disposition occurs. than that prescribed in subpara- and examination authorized by graph (A) of this paragraph when this paragraph shall not be con- (B) Except in the case of forms it is shown by a licensee that an strued as authorizing the Attorney and contents thereof regarding alternate method of reporting is General to seize any records or a purchaser who is prohibited by reasonably necessary and will other documents other than those subsection (g) or (n) of section 922 not unduly hinder the effective records or documents constituting of this title from receipt of a firearm, administration of this chapter. A material evidence of a violation of the department of State police or licensee may use an alternate law. If the Attorney General seizes State law enforcement agency or method of reporting if the licens- such records or documents, cop- local law enforcement agency of ee describes the proposed alter- ies shall be provided the licensee the local jurisdiction shall not dis- nate method of reporting and the within a reasonable time. The At- close any such form or the contents need therefor in a letter appli- torney General may make avail- thereof to any person or entity, and cation submitted to the Attorney able to any Federal, State, or local shall destroy each such form and General, and the Attorney Gener- law enforcement agency any in- any record of the contents there- al approves such alternate meth- formation which he may obtain by of no more than 20 days from the od of reporting. reason of this chapter with respect date such form is received. No lat- to the identification of persons pro- er than the date that is 6 months (6) Each licensee shall report the hibited from purchasing or receiv- after the effective date of this theft or loss of a firearm from the ing firearms or ammunition who subparagraph, and at the end of licensee’s inventory or collection, have purchased or received fire- each 6–month period thereafter, within 48 hours after the theft or loss arms or ammunition, together with the department of State police or is discovered, to the Attorney Gen- a description of such firearms or State law enforcement agency or eral and to the appropriate local au- ammunition, and he may provide local law enforcement agency of thorities. information to the extent such in- the local jurisdiction shall certify to

22 (7) Each licensee shall respond or records under this chapter by the (C) knowingly imports or brings immediately to, and in no event later Attorney General at such temporary into the United States or any pos- than 24 hours after the receipt of, a location shall be limited to inventory session thereof any firearm or request by the Attorney General for consisting of, or records relating to, ammunition in violation of section information contained in the records firearms held or disposed at such tem- 922(l); or required to be kept by this chapter porary location. Nothing in this sub- as may be required for determining section shall be construed to authorize (D) willfully violates any other the disposition of 1 or more firearms the Attorney General to inspect or ex- provision of this chapter, shall be in the course of a bona fide criminal amine the inventory or records of a li- fined under this title, imprisoned investigation. The requested infor- censed importer, licensed manufactur- not more than five years, or both. mation shall be provided orally or er, or licensed dealer at any location in writing, as the Attorney General other than the location specified on (2) Whoever knowingly violates may require. The Attorney General the license. Nothing in this subsection subsection (a)(6), (d), (g), (h), (i), (j), shall implement a system whereby shall be construed to diminish in any or (o) of section 922 shall be fined as the licensee can positively identify manner any right to display, sell, or provided in this title, imprisoned not and establish that an individual re- otherwise dispose of firearms or am- more than 10 years, or both. questing information via telephone is munition, which is in effect before the employed by and authorized by the date of the enactment of the Firearms (3) Any licensed dealer, licensed agency to request such information. Owners’ Protection Act, including the importer, licensed manufacturer, or right of a licensee to conduct “curi- licensed collector who knowingly— (h) Licenses issued under the provi- os or relics” firearms transfers and sions of subsection (c) of this section business away from their business (A) makes any false statement shall be kept posted and kept available premises with another licensee with- or representation with respect to for inspection on the premises covered out regard as to whether the location the information required by the by the license. of where the business is conducted is provisions of this chapter to be located in the State specified on the kept in the records of a person li- (i) Licensed importers and licensed license of either licensee. censed under this chapter, or manufacturers shall identify by means of a serial number engraved or cast on (k) Licensed importers and licensed (B) violates subsection (m) of the receiver or frame of the weapon, in manufacturers shall mark all armor section 922, shall be fined under such manner as the Attorney General piercing projectiles and packages con- this title, imprisoned not more than shall by regulations prescribe, each fire- taining such projectiles for distribution one year, or both. arm imported or manufactured by such in the manner prescribed by the Attor- importer or manufacturer. ney General by regulation. The Attor- (4) Whoever violates section ney General shall furnish information to 922(q) shall be fined under this ti- (j) A licensed importer, licensed each dealer licensed under this chapter tle, imprisoned for not more than 5 manufacturer, or licensed dealer may, defining which projectiles are consid- years, or both. Notwithstanding any under rules or regulations prescribed ered armor piercing ammunition as de- other provision of law, the term of by the Attorney General, conduct busi- fined in section 921(a)(17)(B). imprisonment imposed under this ness temporarily at a location other paragraph shall not run concur- than the location specified on the li- (l) The Attorney General shall noti- rently with any other term of impris- cense if such temporary location is fy the chief law enforcement officer in onment imposed under any other the location for a gun show or event the appropriate State and local juris- provision of law. Except for the au- sponsored by any national, State, or dictions of the names and addresses thorization of a term of imprison- local organization, or any affiliate of of all persons in the State to whom a ment of not more than 5 years made any such organization devoted to the firearms license is issued. in this paragraph, for the purpose of collection, competitive use, or other any other law a violation of section sporting use of firearms in the commu- § 924 Penalties. 922(q) shall be deemed to be a mis- nity, and such location is in the State demeanor. which is specified on the license. Re- (a) (1) Except as otherwise provided cords of receipt and disposition of fire- in this subsection, subsection (b), (c), (5) Whoever knowingly violates arms transactions conducted at such (f), or (p) of this section, or in section subsection (s) or (t) of section 922 temporary location shall include the lo- 929, whoever— shall be fined under this title, impris- cation of the sale or other disposition oned for not more than 1 year, or and shall be entered in the permanent (A) knowingly makes any false both. records of the licensee and retained on statement or representation with the location specified on the license. respect to the information required (6)(A)(i) A juvenile who violates Nothing in this subsection shall autho- by this chapter to be kept in the re- section 922(x) shall be fined under rize any licensee to conduct business cords of a person licensed under this this title, imprisoned not more than 1 in or from any motorized or towed ve- chapter or in applying for any license year, or both, except that a juvenile hicle. Notwithstanding the provisions or exemption or relief from disability described in clause (ii) shall be sen- of subsection (a) of this section, a under the provisions of this chapter; tenced to probation on appropriate separate fee shall not be required of conditions and shall not be incarcer- a licensee with respect to business (B) knowingly violates subsec- ated unless the juvenile fails to com- conducted under this subsection. Any tion (a)(4), (f), (k), or (q) of section ply with a condition of probation. inspection or examination of inventory 922;

23 (ii) A juvenile is described in during and in relation to any crime of vi- (ii) no term of imprisonment this clause if— olence or drug trafficking crime (includ- imposed on a person under this ing a crime of violence or drug traffick- subsection shall run concurrent- (I) the offense of which the ing crime that provides for an enhanced ly with any other term of impris- juvenile is charged is posses- punishment if committed by the use of a onment imposed on the person, sion of a handgun or ammu- deadly or dangerous weapon or device) including any term of imprison- nition in violation of section for which the person may be prosecuted ment imposed for the crime of 922(x)(2); and in a court of the United States, uses or violence or drug trafficking crime carries a firearm, or who, in furtherance during which the firearm was (II) the juvenile has not of any such crime, possesses a firearm, used, carried, or possessed. been convicted in any court shall, in addition to the punishment proof an offense (including an vided for such crime of violence or drug (2) For purposes of this subsection, offense under section 922(x) trafficking crime— the term “drug trafficking crime” or a similar State law, but not means any felony punishable under including any other offense (i) be sentenced to a term of the Controlled Substances Act (21 consisting of conduct that if imprisonment of not less than 5 U.S.C. 801 et seq.), the Controlled engaged in by an adult would years; Substances Import and Export Act not constitute an offense) (21 U.S.C. 951 et seq.), or chapter or adjudicated as a juvenile (ii) if the firearm is bran- 705 of title 46. delinquent for conduct that if dished, be sentenced to a term engaged in by an adult would of imprisonment of not less than (3) For purposes of this subsection constitute an offense. 7 years; and the term “crime of violence” means an offense that is a felony and— (B) A person other than a juve- (iii) if the firearm is dis- nile who knowingly violates section charged, be sentenced to a term (A) has as an element the use, 922(x)— of imprisonment of not less than attempted use, or threatened use 10 years. of physical force against the per- (i) shall be fined under this ti- son or property of another, or tle, imprisoned not more than 1 (B) If the firearm possessed by year, or both; and a person convicted of a violation of (B) that by its nature, involves a this subsection— substantial risk that physical force (ii) if the person sold, deliv- against the person or property of ered, or otherwise transferred (i) is a short–barreled ri- another may be used in the course a handgun or ammunition to a fle, short–barreled shotgun, or of committing the offense. juvenile knowing or having rea- semiautomatic assault weapon, sonable cause to know that the the person shall be sentenced (4) For purposes of this subsec- juvenile intended to carry or oth- to a term of imprisonment of not tion, the term “brandish” means, erwise possess or discharge or less than 10 years; or with respect to a firearm, to display otherwise use the handgun or all or part of the firearm, or otherwise ammunition in the commission (ii) is a machinegun or a de- make the presence of the firearm of a crime of violence, shall be structive device, or is equipped known to another person, in order to fined under this title, imprisoned with a firearm silencer or fire- intimidate that person, regardless of not more than 10 years, or both. arm muffler, the person shall be whether the firearm is directly visible sentenced to a term of imprison- to that person. (7) Whoever knowingly violates ment of not less than 30 years. section 931 shall be fined under this (5) Except to the extent that a title, imprisoned not more than 3 (C) In the case of a second or greater minimum sentence is other- years, or both. subsequent conviction under this wise provided under this subsection, subsection, the person shall— or by any other provision of law, any (b) Whoever, with intent to commit person who, during and in relation therewith an offense punishable by im- (i) be sentenced to a term of to any crime of violence or drug traf- prisonment for a term exceeding one imprisonment of not less than 25 ficking crime (including a crime of vi- year, or with knowledge or reasonable years; and olence or drug trafficking crime that cause to believe that an offense pun- provides for an enhanced punishment ishable by imprisonment for a term ex- (ii) if the firearm involved is a if committed by the use of a deadly ceeding one year is to be committed machinegun or a destructive de- or dangerous weapon or device) for therewith, ships, transports, or receives vice, or is equipped with a firearm which the person may be prosecuted a firearm or any ammunition in inter- silencer or firearm muffler, be sen- in a court of the United States, uses state or foreign commerce shall be fined tenced to imprisonment for life. or carries armor piercing ammunition, under this title, or imprisoned not more or who, in furtherance of any such than ten years, or both. (D) Notwithstanding any other crime, possesses armor piercing provision of law— ammunition, shall, in addition to the (c) (1) (A) Except to the extent that a punishment provided for such crime greater minimum sentence is otherwise (i) a court shall not place on of violence or drug trafficking crime or provided by this subsection or by any probation any person convicted of conviction under this section— other provision of law, any person who, a violation of this subsection; and

24 (A) be sentenced to a term of liable therefor. (E) any offense described in sec- imprisonment of not less than 15 tion 922(i), 922(j), 922(l), 922(n), or years; and (B) In any other action or pro- 924(b) of this title; and ceeding under the provisions of (B) if death results from the use this chapter, the court, when it finds (F) any offense which may be of such ammunition— that such action was without foun- prosecuted in a court of the United dation, or was initiated vexatiously, States which involves the exporta- (i) if the killing is murder (as frivolously, or in bad faith, shall al- tion of firearms or ammunition. defined in section 1111), be pun- low the prevailing party, other than ished by death or sentenced to the United States, a reasonable at- (e) (1) In the case of a person who a term of imprisonment for any torney’s fee, and the United States violates section 922(g) of this title and term of years or for life; and shall be liable therefor. has three previous convictions by any court referred to in section 922(g)(1) of (ii) if the killing is manslaugh- (C) Only those firearms or quan- this title for a violent felony or a serious ter (as defined in section 1112), tities of ammunition particularly drug offense, or both, committed on oc- be punished as provided in sec- named and individually identified as casions different from one another, such tion 1112. involved in or used in any violation person shall be fined under this title and of the provisions of this chapter or imprisoned not less than fifteen years, (d) (1) Any firearm or ammunition in- any rule or regulation issued there- and, notwithstanding any other provi- volved in or used in any knowing violation under, or any other criminal law of sion of law, the court shall not suspend of subsection (a)(4), (a)(6), (f), (g), (h), (i), the United States or as intended to the sentence of, or grant a probationary (j), or (k) of section 922, or knowing impor- be used in any offense referred to sentence to, such person with respect tation or bringing into the United States or in paragraph (3) of this subsection, to the conviction under section 922(g). any possession thereof any firearm or where such intent is demonstrated ammunition in violation of section 922(l), by clear and convincing evidence, (2) As used in this subsection— or knowing violation of section 924, or will- shall be subject to seizure, forfei- ful violation of any other provision of this ture, and disposition. (A) the term “serious drug of- chapter or any rule or regulation promul- fense” means— gated thereunder, or any violation of any (D) The United States shall be other criminal law of the United States, liable for attorneys’ fees under this (i) an offense under the or any firearm or ammunition intended paragraph only to the extent pro- Controlled Substances Act (21 to be used in any offense referred to in vided in advance by appropriation U.S.C. 801 et seq.), the Con- paragraph (3) of this subsection, where Acts. trolled Substances Import and such intent is demonstrated by clear and Export Act (21 U.S.C. 951 et convincing evidence, shall be subject to (3) The offenses referred to in seq.), or chapter 705 of title 46 seizure and forfeiture, and all provisions paragraphs (1) and (2)(C) of this sub- for which a maximum term of im- of the Internal Revenue Code of 1986 section are— prisonment of ten years or more relating to the seizure, forfeiture, and dis- is prescribed by law; or position of firearms, as defined in section (A) any crime of violence, as that 5845(a) of that Code, shall, so far as ap- term is defined in section 924(c)(3) (ii) an offense under State plicable, extend to seizures and forfeitures of this title; law, involving manufacturing, under the provisions of this chapter: Pro- distributing, or possessing with vided, That upon acquittal of the owner (B) any offense punishable un- intent to manufacture or distrib- or possessor, or dismissal of the charges der the Controlled Substances ute, a controlled substance (as against him other than upon motion of Act (21 U.S.C. 801 et seq.) or the defined in section 102 of the the Government prior to trial, or lapse of Controlled Substances Import and Controlled Substances Act (21 or court termination of the restraining or- Export Act (21 U.S.C. 951 et seq.); U.S.C. 802)), for which a max- der to which he is subject, the seized or imum term of imprisonment of relinquished firearms or ammunition shall (C) any offense described ten years or more is prescribed be returned forthwith to the owner or pos- in section 922(a)(1), 922(a)(3), by law; sessor or to a person delegated by the 922(a)(5), or 922(b)(3) of this title, owner or possessor unless the return of where the firearm or ammunition (B) the term “violent felony” the firearms or ammunition would place intended to be used in any such means any crime punishable by the owner or possessor or his delegate in offense is involved in a pattern of imprisonment for a term exceed- violation of law. Any action or proceeding activities which includes a violation ing one year, or any act of juve- for the forfeiture of firearms or ammunition of any offense described in section nile delinquency involving the use shall be commenced within one hundred 922(a)(1), 922(a)(3), 922(a)(5), or or carrying of a firearm, knife, or and twenty days of such seizure. 922(b)(3) of this title; destructive device that would be punishable by imprisonment for (2)(A) In any action or proceeding (D) any offense described in such term if committed by an adult, for the return of firearms or ammu- section 922(d) of this title where that— nition seized under the provisions of the firearm or ammunition is in- this chapter, the court shall allow the tended to be used in such offense (i) has as an element the use, prevailing party, other than the Unit- by the transferor of such firearm or attempted use, or threatened ed States, a reasonable attorney’s ammunition; use of physical force against the fee, and the United States shall be person of another; or

25 (ii) is burglary, arson, or extor- matter, nor shall any provision of this (o) A person who conspires to commit tion, involves use of explosives, or subsection be construed as invalidat- an offense under subsection (c) shall be otherwise involves conduct that ing any provision of State law unless imprisoned for not more than 20 years, presents a serious potential risk such provision is inconsistent with any fined under this title, or both; and if the of physical injury to another; and of the purposes of this subsection. firearm is a machinegun or destructive device, or is equipped with a firearm si- (C) the term “conviction” in- (j) A person who, in the course of a lencer or muffler, shall be imprisoned for cludes a finding that a person has violation of subsection (c), causes the any term of years or life. committed an act of juvenile delin- death of a person through the use of a quency involving a violent felony. firearm, shall— (p) Penalties Relating To Secure Gun Storage or Safety Device.— (f) In the case of a person who know- (1) if the killing is a murder (as de- ingly violates section 922(p), such per- fined in section 1111), be punished (1) In general.— son shall be fined under this title, or im- by death or by imprisonment for any prisoned not more than 5 years, or both. term of years or for life; and (A) Suspension or revocation of license; civil penalties. With re- (g) Whoever, with the intent to en- (2) if the killing is manslaughter (as spect to each violation of section gage in conduct which— defined in section 1112), be punished 922(z)(1) by a licensed manufac- as provided in that section. turer, licensed importer, or licensed (1) constitutes an offense listed in dealer, the Secretary may, after no- section 1961(1), (k) A person who, with intent to en- tice and opportunity for hearing— gage in or to promote conduct that— (2) is punishable under the Con- (i) suspend for not more than trolled Substances Act (21 U.S.C. 801 (1) is punishable under the Con- 6 months, or revoke, the license et seq.), the Controlled Substances trolled Substances Act (21 U.S.C. 801 issued to the licensee under this Import and Export Act (21 U.S.C. 951 et seq.), the Controlled Substances chapter that was used to con- et seq.), or chapter 705 of title 46, Import and Export Act (21 U.S.C. 951 duct the firearms transfer; or et seq.), or chapter 705 of title 46; (3) violates any State law relating (ii) subject the licensee to a to any controlled substance (as de- (2) violates any law of a State re- civil penalty in an amount equal fined in section 102(6) of the Con- lating to any controlled substance (as to not more than $2,500. trolled Substances Act (21 U.S.C. defined in section 102 of the Con- 802(6))), or trolled Substances Act, 21 U.S.C. (B) Review. An action of the 802); or Secretary under this paragraph (4) constitutes a crime of violence may be reviewed only as provided (as defined in subsection (c)(3)), (3) constitutes a crime of violence under section 923(f). (as defined in subsection (c)(3)), travels from any State or foreign country smuggles or knowingly brings into the (2) Administrative remedies. The into any other State and acquires, trans- United States a firearm, or attempts suspension or revocation of a license fers, or attempts to acquire or transfer, to do so, shall be imprisoned not or the imposition of a civil penalty un- a firearm in such other State in furthermore than 10 years, fined under this der paragraph (1) shall not preclude title, or both. any administrative remedy that is oth- ance of such purpose, shall be impris- erwise available to the Secretary. oned not more than 10 years, fined in (l) A person who steals any firearm accordance with this title, or both. which is moving as, or is a part of, or § 925 Exceptions: Relief from dis- which has moved in, interstate or for- abilities. (h) Whoever knowingly transfers a eign commerce shall be imprisoned firearm, knowing that such firearm will for not more than 10 years, fined un- (a) (1) The provisions of this chap- be used to commit a crime of violence der this title, or both. ter, except for sections 922(d)(9) and (as defined in subsection (c)(3)) or drug 922(g)(9) and provisions relating to trafficking crime (as defined in subsec- (m) A person who steals any firearm firearms subject to the prohibitions of tion (c)(2)) shall be imprisoned not more from a licensed importer, licensed man- section 922(p), shall not apply with re- than 10 years, fined in accordance with ufacturer, licensed dealer, or licensed spect to the transportation, shipment, this title, or both. collector shall be fined under this title, receipt, possession, or importation of imprisoned not more than 10 years, or any firearm or ammunition imported for, (i) (1) A person who knowingly vio- both. sold or shipped to, or issued for the use lates section 922(u) shall be fined under of, the United States or any department this title, imprisoned not more than 10 (n) A person who, with the intent to or agency thereof or any State or any years, or both. engage in conduct that constitutes a department, agency, or political subdivi- violation of section 922(a)(1)(A), trav- sion thereof. (2) Nothing contained in this sub- els from any State or foreign country section shall be construed as indicat- into any other State and acquires, or (2) The provisions of this chapter, ing an intent on the part of Congress attempts to acquire, a firearm in such except for provisions relating to fire- to occupy the field in which provisions other State in furtherance of such pur- arms subject to the prohibitions of of this subsection operate to the exclu- pose shall be imprisoned for not more section 922(p), shall not apply with sion of State laws on the same subject than 10 years. respect to (A) the shipment or receipt

26 of firearms or ammunition when sold (b) A licensed importer, licensed man- (2) is an unserviceable firearm, other or issued by the Secretary of the ufacturer, licensed dealer, or licensed than a machinegun as defined in sec- Army pursuant to section 4308 of title collector who is indicted for a crime tion 5845(b) of the Internal Revenue 10 before the repeal of such section punishable by imprisonment for a term Code of 1986 (not readily restorable to by section 1624(a) of the Corporation exceeding one year, may, notwithstand- firing condition), imported or brought in for the Promotion of Rifle Practice ing any other provision of this chapter, as a curio or museum piece; and Firearms Safety Act, and (B) the continue operation pursuant to his ex- transportation of any such firearm or isting license (if prior to the expiration (3) is of a type that does not fall ammunition carried out to enable a of the term of the existing license timely within the definition of a firearm as person, who lawfully received such application is made for a new license) defined in section 5845(a) of the In- firearm or ammunition from the Sec- during the term of such indictment and ternal Revenue Code of 1986 and is retary of the Army, to engage in mili- until any conviction pursuant to the in- generally recognized as particularly tary training or in competitions. dictment becomes final. suitable for or readily adaptable to sporting purposes, excluding sur- (3) Unless otherwise prohibited by (c) A person who is prohibited from plus military firearms, except in any this chapter, except for provisions re- possessing, shipping, transporting, or case where the Attorney General has lating to firearms subject to the prohi- receiving firearms or ammunition may not authorized the importation of the bitions of section 922(p), or any oth- make application to the Attorney Gen- firearm pursuant to this paragraph, it er Federal law, a licensed importer, eral for relief from the disabilities im- shall be unlawful to import any frame, licensed manufacturer, or licensed posed by Federal laws with respect to receiver, or barrel of such firearm dealer may ship to a member of the the acquisition, receipt, transfer, ship- which would be prohibited if assem- United States Armed Forces on ac- ment, transportation, or possession of bled; or tive duty outside the United States or firearms, and the Attorney General may to clubs, recognized by the Depart- grant such relief if it is established to (4) was previously taken out of the ment of Defense, whose entire mem- his satisfaction that the circumstances United States or a possession by the bership is composed of such mem- regarding the disability, and the appli- person who is bringing in the firearm bers, and such members or clubs cant’s record and reputation, are such or ammunition. may receive a firearm or ammunition that the applicant will not be likely to act determined by the Attorney General in a manner dangerous to public safety The Attorney General shall permit the to be generally recognized as partic- and that the granting of the relief would conditional importation or bringing in of ularly suitable for sporting purposes not be contrary to the public interest. a firearm or ammunition for examination and intended for the personal use of Any person whose application for relief and testing in connection with the mak- such member or club. from disabilities is denied by the Attor- ing of a determination as to whether the ney General may file a petition with the (4) When established to the satis- United States district court for the district importation or bringing in of such firearm faction of the Attorney General to be in which he resides for a judicial review or ammunition will be allowed under this consistent with the provisions of this of such denial. The court may in its dis- subsection. chapter, except for provisions relating cretion admit additional evidence where to firearms subject to the prohibitions failure to do so would result in a mis- (e) Notwithstanding any other provi- of section 922(p), and other applica- carriage of justice. A licensed importer, sion of this title, the Attorney General ble Federal and State laws and pub- licensed manufacturer, licensed dealer, shall authorize the importation of, by lished ordinances, the Attorney Gen- or licensed collector conducting oper- any licensed importer, the following: eral may authorize the transportation, ations under this chapter, who makes shipment, receipt, or importation into application for relief from the disabilities (1) All rifles and shotguns listed as the United States to the place of res- incurred under this chapter, shall not be curios or relics by the Attorney Gen- idence of any member of the United barred by such disability from further eral pursuant to section 921(a)(13), States Armed Forces who is on ac- operations under his license pending and tive duty outside the United States (or final action on an application for relief who has been on active duty outside filed pursuant to this section. Whenever (2) All handguns, listed as curios the United States within the sixty day the Attorney General grants relief to any or relics by the Attorney General pur- period immediately preceding the person pursuant to this section he shall suant to section 921(a)(13), provided transportation, shipment, receipt, or promptly publish in the Federal Register that such handguns are generally importation), of any firearm or am- notice of such action, together with the recognized as particularly suitable for munition which is (A) determined by reasons therefor. or readily adaptable to sporting pur- the Attorney General to be generally poses. recognized as particularly suitable for (d) The Attorney General shall autho- sporting purposes, or determined by rize a firearm or ammunition to be im- (f) The Attorney General shall not the Department of Defense to be a ported or brought into the United States authorize, under subsection (d), the im- type of firearm normally classified as or any possession thereof if the firearm portation of any firearm the importation a war souvenir, and (B) intended for or ammunition— of which is prohibited by section 922(p). the personal use of such member. (1) is being imported or brought in § 925A Remedy for erroneous denial (5) For the purpose of paragraph for scientific or research purposes, or of firearm. (3) of this subsection, the term “Unit- is for use in connection with compe- ed States” means each of the sever- tition or training pursuant to chapter Any person denied a firearm pursuant al States and the District of Columbia. 401 of title 10; to subsection (s) or (t) of section 922—

27 (1) due to the provision of errone- system of registration of firearms, fire- (b) This section shall not be con- ous information relating to the person arms owners, or firearms transactions strued to supersede or limit the laws of by any State or political subdivision or dispositions be established. Nothing any State that— thereof, or by the national instant in this section expands or restricts the criminal background check system Secretary’s1 authority to inquire into the (1) permit private persons or enti- established under section 103 of the ties to prohibit or restrict the posses- disposition of any firearm in the course Brady Handgun Violence Prevention sion of concealed firearms on their Act; or of a criminal investigation. property; or

(2) who was not prohibited from re- (b) The Attorney General shall give (2) prohibit or restrict the posses- ceipt of a firearm pursuant to subsec- not less than ninety days public notice, sion of firearms on any State or lo- tion (g) or (n) of section 922, and shall afford interested parties op- cal government property, installation, portunity for hearing, before prescribing building, base, or park. such rules and regulations. may bring an action against the State or political subdivision responsible for (c) As used in this section, the term (c) The Attorney General shall not “qualified law enforcement officer” providing the erroneous information, or prescribe rules or regulations that re- responsible for denying the transfer, or means an employee of a governmental quire purchasers of black powder un- agency who— against the United States, as the case der the exemption provided in section may be, for an order directing that the 845(a)(5) of this title to complete affida- (1) is authorized by law to engage erroneous information be corrected or vits or forms attesting to that exemption. in or supervise the prevention, detec- that the transfer be approved, as the tion, investigation, or prosecution of, case may be. In any action under this § 926A Interstate transportation of or the incarceration of any person for, section, the court, in its discretion, may firearms. any violation of law, and has statutory allow the prevailing party a reasonable powers of arrest or apprehension un- Notwithstanding any other provision of attorney’s fee as part of the costs. der section 807(b) of title 10, United any law or any rule or regulation of a States Code (article 7(b) of the Uni- § 926 Rules and regulations. State or any political subdivision there- form Code of Military Justice); of, any person who is not otherwise pro- (a) The Attorney General may pre- hibited by this chapter from transporting, (2) is authorized by the agency to scribe only such rules and regulations shipping, or receiving a firearm shall be carry a firearm; as are necessary to carry out the provi- entitled to transport a firearm for any sions of this chapter, including— lawful purpose from any place where (3) is not the subject of any disciplinary action by the agency which he may lawfully possess and carry such could result in suspension or loss of (1) regulations providing that a firearm to any other place where he may person licensed under this chapter, police powers; lawfully possess and carry such firearm when dealing with another person so licensed, shall provide such other li- if, during such transportation the firearm (4) meets standards, if any, estab- censed person a certified copy of this is unloaded, and neither the firearm nor lished by the agency which require license; any ammunition being transported is the employee to regularly qualify in readily accessible or is directly acces- the use of a firearm; (2) regulations providing for the sible from the passenger compartment issuance, at a reasonable cost, to a of such transporting vehicle: Provided, (5) is not under the influence of al- person licensed under this chapter, of That in the case of a vehicle without a cohol or another intoxicating or hallu- cinatory drug or substance; and certified copies of his license for use compartment separate from the driver’s as provided under regulations issued compartment the firearm or ammunition under paragraph (1) of this subsec- (6) is not prohibited by Federal law shall be contained in a locked contain- tion; and from receiving a firearm. er other than the glove compartment or (3) regulations providing for effec- console. (d) The identification required by this tive receipt and secure storage of subsection is the photographic iden- firearms relinquished by or seized § 926B Carrying of concealed fire- tification issued by the governmental from persons described in subsection arms by qualified law enforcement agency for which the individual is em- (d)(8) or (g)(8) of section 922. officers. ployed that identifies the employee as a police officer or law enforcement officer No such rule or regulation prescribed (a) Notwithstanding any other proof the agency. vision of the law of any State or any after the date of the enactment of the political subdivision thereof, an individ- (e) As used in this section, the term Firearms Owners’ Protection Act may ual who is a qualified law enforcement “firearm”— require that records required to be officer and who is carrying the identifi- maintained under this chapter or any cation required by subsection (d) may (1) except as provided in this sub- portion of the contents of such records, carry a concealed firearm that has been section, has the same meaning as in be recorded at or transferred to a facility shipped or transported in interstate or section 921 of this title; owned, managed, or controlled by the foreign commerce, subject to subsec- United States or any State or any po- tion (b). (2) includes ammunition not ex- litical subdivision thereof, nor that any pressly prohibited by Federal law or

28 subject to the provisions of the Na- (1) separated from service in good (7) is not prohibited by Federal law tional Firearms Act; and standing from service with a public from receiving a firearm. agency as a law enforcement officer; (3) does not include— (d) The identification required by this (2) before such separation, was subsection is— (A) any machinegun (as defined authorized by law to engage in or in section 5845 of the National supervise the prevention, detection, (1) a photographic identification is- Firearms Act); investigation, or prosecution of, or sued by the agency from which the the incarceration of any person for, individual separated from service as (B) any firearm silencer (as de- any violation of law, and had statutory a law enforcement officer that iden- fined in section 921 of this title); powers of arrest or apprehension un- tifies the person as having been em- and der section 807(b) of title 10, United ployed as a police officer or law en- States Code (article 7(b) of the Uni- forcement officer and indicates that (C) any destructive device (as form Code of Military Justice); the individual has, not less recently defined in section 921 of this title). than one year before the date the in- (3)(A) before such separation, dividual is carrying the concealed fire- (f) For the purposes of this section, served as a law enforcement officer for arm, been tested or otherwise found a law enforcement officer of the Amtrak an aggregate of 10 years or more; or by the agency to meet the active duty Police Department, a law enforcement standards for qualification in firearms officer of the Federal Reserve, ora (B) separated from service with training as established by the agency law enforcement or police officer of the such agency, after completing any to carry a firearm of the same type as executive branch of the Federal Gov- applicable probationary period of the concealed firearm; or ernment qualifies as an employee of a such service, due to a service–con- governmental agency who is authorized nected disability, as determined by (2)(A) a photographic identification by law to engage in or supervise the such agency; issued by the agency from which the prevention, detection, investigation, or individual separated from service as a prosecution of, or the incarceration of (4) during the most recent 12– law enforcement officer that identifies any person for, any violation of law, and month period, has met, at the ex- the person as having been employed has statutory powers of arrest or appre- pense of the individual, the standards as a police officer or law enforcement hension under section 807(b) of title 10, for qualification in firearms training for officer; and United States Code (article 7(b) of the active law enforcement officers, as Uniform Code of Military Justice). determined by the former agency of (B) a certification issued by the the individual, the State in which the State in which the individual re- § 926C Carrying of concealed fire- individual resides or, if the State has sides or by a certified firearms in- arms by qualified retired law en- not established such standards, either structor that is qualified to conduct forcement officers. a law enforcement agency within the a firearms qualification test for ac- State in which the individual resides or tive duty officers within that State (a) Notwithstanding any other provi- the standards used by a certified fire- that indicates that the individual sion of the law of any State or any po- arms instructor that is qualified to con- has, not less than 1 year before litical subdivision thereof, an individual duct a firearms qualification test for the date the individual is carrying who is a qualified retired law enforce- active duty officers within that State; the concealed firearm, been tested ment officer and who is carrying the or otherwise found by the State or identification required by subsection (5)(A) has not been officially found a certified firearms instructor that (d) may carry a concealed firearm that by a qualified medical profession- is qualified to conduct a firearms has been shipped or transported in inal employed by the agency to be qualification test for active duty terstate or foreign commerce, subject to unqualified for reasons relating to officers within that State to have subsection (b). mental health and as a result of this met— finding will not be issued the photo- (b) This section shall not be con- graphic identification as described in (I) the active duty stan- strued to supersede or limit the laws of subsection (d)(1); or dards for qualification in fire- any State that— arms training, as established (B) has not entered into an by the State, to carry a fire- (1) permit private persons or enti- agreement with the agency from arm of the same type as the ties to prohibit or restrict the posses- which the individual is separating concealed firearm; or sion of concealed firearms on their from service in which that individ- property; or ual acknowledges he or she is not (II) if the State has not es- qualified under this section for rea- tablished such standards, (2) prohibit or restrict the posses- sons relating to mental health and standards set by any law en- sion of firearms on any State or lo- for those reasons will not receive forcement agency within that cal government property, installation, or accept the photographic identi- State to carry a firearm of the building, base, or park. fication as described in subsection same type as the concealed (d)(1); firearm. (c) As used in this section, the term “qualified retired law enforcement (6) is not under the influence of al- (e) As used in this section— officer” means an individual who— cohol or another intoxicating or hallu- cinatory drug or substance; and (1) the term “firearm”—

29 (A) except as provided in this para- ly or dangerous weapon or device) for of the United States, a State, or a polit- graph, has the same meaning as in which he may be prosecuted in a court of ical subdivision thereof, who is autho- section 921 of this title; the United States, uses or carries a fire- rized by law to engage in or supervise arm and is in possession of armor pierc- the prevention, detection, investigation, (B) includes ammunition not ex- ing ammunition capable of being fired in or prosecution of any violation of law; pressly prohibited by Federal law that firearm, shall, in addition to the pun- or subject to the provisions of the ishment provided for the commission of (2) the possession of a firearm or National Firearms Act; and such crime of violence or drug trafficking other dangerous weapon by a Federal crime be sentenced to a term of impris- official or a member of the Armed Forc- (C) does not include— onment for not less than five years. es if such possession is authorized by law; or (i) any machinegun (as de- (2) For purposes of this subsection, fined in section 5845 of the Na- the term “drug trafficking crime” (3) the lawful carrying of firearms or tional Firearms Act); means any felony punishable under other dangerous weapons in a Federal the Controlled Substances Act (21 facility incident to hunting or other law- (ii) any firearm silencer (as de- U.S.C. 801 et seq.), the Controlled ful purposes. fined in section 921 of this title); Substances Import and Export Act and (21 U.S.C. 951 et seq.), or chapter (e) (1) Except as provided in paragraph 705 of title 46. (2), whoever knowingly possesses or (iii) any destructive device (as causes to be present a firearm or other defined in section 921 of this title); (b) Notwithstanding any other provi- dangerous weapon in a Federal court fa- and sion of law, the court shall not suspend cility, or attempts to do so, shall be fined the sentence of any person convicted under this title, imprisoned not more than (2) the term “service with a pub- of a violation of this section, nor place 2 years, or both. lic agency as a law enforcement the person on probation, nor shall the officer” includes service as a law terms of imprisonment run concurrently (2) Paragraph (1) shall not apply to enforcement officer of the Amtrak with any other terms of imprisonment, conduct which is described in para- Police Department, service as a law including that imposed for the crime in graph (1) or (2) of subsection (d). enforcement officer of the Federal which the armor piercing ammunition Reserve, or service as a law enforce- was used or possessed. (f) Nothing in this section limits the pow- ment or police officer of the executive er of a court of the United States to punish branch of the Federal Government. § 930 Possession of firearms and for contempt or to promulgate rules or or- dangerous weapons in Federal facili- ders regulating, restricting, or prohibiting § 927 Effect on State law. ties. the possession of weapons within any building housing such court or any of its No provision of this chapter shall be (a) Except as provided in subsection proceedings, or upon any grounds appur- construed as indicating an intent on the (d), whoever knowingly possesses or tenant to such building. part of the Congress to occupy the field causes to be present a firearm or other in which such provision operates to the dangerous weapon in a Federal facility (g) As used in this section: (other than a Federal court facility), or exclusion of the law of any State on the attempts to do so, shall be fined under (1) The term “Federal facility” same subject matter, unless there is this title or imprisoned not more than 1 means a building or part thereof owned a direct and positive conflict between year, or both. or leased by the Federal Government, such provision and the law of the State where Federal employees are regularly so that the two cannot be reconciled or (b) Whoever, with intent that a firearm present for the purpose of performing consistently stand together. or other dangerous weapon be used in their official duties. the commission of a crime, knowingly § 928 Separability. possesses or causes to be present such (2) The term “dangerous weapon” firearm or dangerous weapon in a Fed- means a weapon, device, instrument, If any provision of this chapter or the eral facility, or attempts to do so, shall material, or substance, animate or in- application thereof to any person or cir- be fined under this title or imprisoned animate, that is used for, or is readily cumstance is held invalid, the remain- not more than 5 years, or both. capable of, causing death or serious der of the chapter and the application of bodily injury, except that such term (c) A person who kills any person in does not include a pocket knife with a such provision to other persons not sim- the course of a violation of subsection blade of less than 2½ inches in length. ilarly situated or to other circumstances (a) or (b), or in the course of an attack shall not be affected thereby. on a Federal facility involving the use of (3) The term “Federal court fa- a firearm or other dangerous weapon, cility” means the courtroom, judges’ § 929 Use of restricted ammunition. or attempts or conspires to do such an chambers, witness rooms, jury delib- act, shall be punished as provided in eration rooms, attorney conference (a) (1) Whoever, during and in relation sections 1111, 1112, 1113, and 1117. rooms, prisoner holding cells, offices to the commission of a crime of violence of the court clerks, the United States or drug trafficking crime (including a (d) Subsection (a) shall not apply to— attorney, and the United States mar- crime of violence or drug trafficking crime shal, probation and parole offices, which provides for an enhanced punish- (1) the lawful performance of official and adjoining corridors of any court ment if committed by the use of a dead- duties by an officer, agent, or employee of the United States.

30 (h) Notice of the provisions of sub- body armor, if that person has been chase, use, or possession of body sections (a) and (b) shall be posted convicted of a felony that is— armor was necessary for the safe conspicuously at each public entrance performance of lawful business ac- to each Federal facility, and notice of (1) a crime of violence (as defined tivity; and subsection (e) shall be posted conspic- in section 16); or uously at each public entrance to each (B) the use and possession by Federal court facility, and no person (2) an offense under State law that the defendant were limited to the shall be convicted of an offense under would constitute a crime of violence course of such performance. subsection (a) or (e) with respect to a under paragraph (1) if it occurred Federal facility if such notice is not so within the special maritime and terri- (2) Employer. In this subsection, posted at such facility, unless such per- torial jurisdiction of the United States. the term “employer” means any son had actual notice of subsection (a) other individual employed by the de- or (e), as the case may be. (b) Affirmative Defense. fendant’s business that supervises defendant’s activity. If that defendant § 931 Prohibition on purchase, own- (1) In general. It shall be an affir- has no supervisor, prior written certi- ership, or possession of body armor mative defense under this section fication is acceptable from any other by violent felons. that— employee of the business.

(a) In General. Except as provided in (A) the defendant obtained prior subsection (b), it shall be unlawful for a written certification from his or her person to purchase, own, or possess employer that the defendant’s pur-

31 TITLE 27 CFR CHAPTER II

PART 478—COMMERCE IN FIREARMS AND AMMUNITION (This Part was formerly designated as Part 178)

Subpart A—Introduction § 478.33 Stolen firearms and ammu- § 478.51 License not transferable. nition. § 478.1 Scope of regulations. § 478.52 Change of address. § 478.33a Theft of firearms. § 478.2 Relation to other provisions § 478.53 Change in trade name. of law. § 478.34 Removed, obliterated, or altered serial number. § 478.54 Change of control. Subpart B—Definitions § 478.35 Skeet, trap, target, and § 478.55 Continuing partnerships. § 478.11 Meaning of terms. similar shooting activities. § 478.56 Right of succession by Subpart C—Administrative and § 478.36 Transfer or possession of certain persons. Miscellaneous Provisions machine guns. § 478.57 Discontinuance of business. § 478.21 Forms prescribed. § 478.37 Manufacture, importation and sale of armor piercing § 478.58 State or other law. § 478.22 Alternate methods or proce- ammunition. dures; emergency varia- § 478.59 Abandoned application. tions from requirements. § 478.38 Transportation of firearms. § 478.60 Certain continuances of § 478.23 Right of entry and examina- § 478.39 Assembly of semiautomatic business. tion. rifles or shotguns. Subpart E—License Proceedings § 478.24 Compilation of State laws § 478.39a Reporting theft or loss of and published ordinances. firearms. § 478.71 Denial of an application for license. § 478.25 Disclosure of information. § 478.40 Manufacture, transfer, and possession of semiautomat- § 478.72 Hearing after application § 478.25a Responses to requests for ic assault weapons. denial. information. § 478.40a Transfer and possession of § 478.73 Notice of revocation, sus- § 478.26 Curio and relic determina- large capacity ammunition pension, or imposition of tion. feeding devices. civil fine.

§ 478.27 Destructive device determi- Subpart D—Licenses § 478.74 Request for hearing after nation. notice of suspension, revo- § 478.41 General. cation, or imposition of civil § 478.28 Transportation of destructive fine. devices and certain firearms. § 478.42 License fees. § 478.75 Service on applicant or § 478.29 Out–of–State acquisition of § 478.43 License fee not refundable. licensee. firearms by nonlicensees. § 478.44 Original license. § 478.76 Representation at a hearing. § 478.29a Acquisition of firearms by non–residents. § 478.45 Renewal of license. § 478.77 Designated place of hearing.

§ 478.30 Out–of–State disposition of § 478.46 Insufficient fee. § 478.78 Operations by licensee after firearms by nonlicensees. notice. § 478.47 Issuance of license. § 478.31 Delivery by common or con- Subpart F—Conduct of Business tract carrier. § 478.48 Correction of error on license. § 478.91 Posting of license. § 478.32 Prohibited shipment, transportation, possession, or § 478.49 Duration of license. § 478.92 How must licensed man- receipt of firearms and am- ufacturers and licensed munition by certain persons. § 478.50 Locations covered by importers identify firearms, license. armor piercing ammunition,

32 and large capacity ammuni- migrant alien. § 478.145 Research organizations. tion feeding devices? Subpart H—Records § 478.146 Deliveries by mail to certain § 478.93 Authorized operations by a persons. licensed collector. § 478.121 General. § 478.147 Return of firearm. § 478.94 Sales or deliveries between § 478.122 Records maintained by licensees. importers. § 478.148 Armor piercing ammunition intended for sporting or § 478.95 Certified copy of license. § 478.123 Records maintained by industrial purposes. manufacturers. § 478.96 Out–of–State and mail § 478.149 Armor piercing ammunition order sales. § 478.124 Firearms transaction re- manufactured or imported cord. for the purpose of testing or § 478.97 Loan or rental of firearms. experimentation. § 478.125 Record of receipt and dis- § 478.98 Sales or deliveries of position. § 478.150 Alternative to NICS in cer- destructive devices and certain geographical locations. tain firearms. § 478.125a Personal firearms collection. § 478.151 Semiautomatic rifles or § 478.99 Certain prohibited sales or shotguns for testing or deliveries. § 478.126 Furnishing transaction infor- experimentation. mation. § 478.100 Conduct of business away § 478.152 Seizure and forfeiture. from licensed premises. § 478.126a Reporting multiple sales or other disposition of pistols § 478.153 Semiautomatic assault § 478.101 Record of transactions. and revolvers. weapons and large capacity ammunition feeding devices § 478.102 Sales or deliveries of fire- § 478.127 Discontinuance of business. manufactured or imported arms on and after Novem- for the purposes of testing ber 30, 1998. § 478.128 False statement or repre- or experimentation. sentation. § 478.103 Posting of signs and written Subpart J—[Reserved] notification to purchasers of § 478.129 Record retention. handguns. Subpart K—Exportation § 478.131 Firearms transactions not Subpart G—Importation subject to a NICS check. § 478.171 Exportation. § 478.111 General. § 478.132 Dispositions of semiautomatic assault weapons and § 478.112 Importation by a licensed large capacity ammunition importer. feeding devices to law enforcement officers for offi- § 478.113 Importation by other licens- cial use and to employees ees. or contractors of nuclear facilities. § 478.113a Importation of firearm barrels by nonlicensees § 478.133 Records of transactions in semiautomatic assault § 478.114 Importation by members of weapons. the U.S. Armed Forces. § 478.134 Sale of firearms to law § 478.115 Exempt importation. enforcement officers.

§ 478.116 Conditional importation. Subpart I—Exemptions, Seizures, and Forfeitures § 478.117 Function outside a customs territory. § 478.141 General.

§ 478.118 Importation of certain fire- § 478.142 Effect of pardons and ex- arms classified as curios or punctions of convictions. relics. § 478.143 Relief from disabilities § 478.119 Importation of ammunition incurred by indictment. feeding devices. § 478.144 Relief from disabilities § 478.120 Firearms or ammunition under the Act. imported by or for a nonim-

33 NOTICE: ASSAULT WEAPONS BAN

On September 13, 1994, Congress passed the Violent Crime Control and Law Enforcement Act of 1994, Public Law 103–322. Title IX, Subtitle A, Section 110105 of this Act generally made it unlawful to manufacture, transfer, and possess semiautomatic assault weapons (SAWs)and to transfer and possess large capacity ammunition feeding devices (LCAFDs). The law also required importers and manufacturers to place certain markings on SAWs and LCAFDs, designating they were for export or law enforcement/government use. Significantly, the law provided that it would expire 10 years from the date of enactment. Accordingly, effective 12:00 am on September 13, 2004, these provisions of the law ceased to apply and the following provisions of the regulations in Part 478 no longer apply:

Section 478.11 — Definitions of the terms “semiautomatic assault weapon” and “large capacity ammunition feeding device;”

Section 478.40 — Entire section;

Section 478.40a — Entire section;

Section 478.57 — Paragraphs (b) and (c);

Section 478.92 — Paragraphs (a)(3) and (c);

Section 478.119 — Entire section (Note: an import permit is still needed pursuant to the Arms Export Control Act—see 27 CFR 447.41(a));

Section 478.132 — Entire section; and

Section 478.153 — Entire section.

References to “ammunition feeding device” in section 478.116 are not applicable. References to “semiautomatic assault weapons” in section 478.171 are not applicable.

Subpart A—Introduction (7) Exempt interstate and foreign prescribed under this part, where not commerce in firearms and ammuni- otherwise distinctly expressed or mani- § 478.1 Scope of regulations. tion; and festly incompatible with the intent thereof, terms shall have the meanings as- (a) General. The regulations con- (8) Restrictions on armor piercing cribed in this section. Words in the plural tained in this part relate to commerce ammunition. form shall include the singular, and vice in firearms and ammunition and are versa, and words importing the mascu- promulgated to implement Title I, State § 478.2 Relation to other provisions line gender shall include the feminine. Firearms Control Assistance. of law. The terms “includes” and “including” do not exclude other things not enu- (b) Procedural and substantive re- The provisions in this part are in addi- merated which are in the same general quirements. This part contains the pro- tion to, and are not in lieu of, any other class or are otherwise within the scope cedural and substantive requirements provision of law, or regulations, respect- thereof. relative to: ing commerce in firearms or ammunition. For regulations applicable to traffic Act. 18 U.S.C. Chapter 44. (1) The interstate or foreign com- in machine guns, destructive devices, merce in firearms and ammunition; and certain other firearms, see Part 479 Adjudicated as a mental defective. of this chapter. For statutes applicable (2) The licensing of manufacturers to the registration and licensing of per- (a) A determination by a court, board, and importers of firearms and am- sons engaged in the business of man- commission, or other lawful authority munition, collectors of firearms, and ufacturing, importing or exporting arms, that a person, as a result of marked sub- dealers in firearms; ammunition, or implements of war, see normal intelligence, or mental illness, in- section 38 of the Arms Export Control competency, condition, or disease: (3) The conduct of business or ac- Act (22 U.S.C. 2778) and regulations tivity by licensees; thereunder and Part 447 of this chapter. (1) Is a danger to himself or to oth- For statutes applicable to nonmailable ers; or (4) The importation of firearms and firearms, see 18 U.S.C. 1715 and regu- ammunition; lations thereunder. (2) Lacks the mental capacity to contract or manage his own affairs. (5) The records and reports re- Subpart B—Definitions quired of licensees; (b) The term shall include– § 478.11 Meaning of terms. (6) Relief from disabilities under (1) A finding of insanity by a court this part; When used in this part and in forms in a criminal case; and

34 (2) Those persons found incompe- cluding any firearm with a matchlock, Commerce. Travel, trade, traffic, tent to stand trial or found not guilty flintlock, percussion cap, or similar type commerce, transportation, or commu- by reason of lack of mental respon- of ignition system) manufactured in or nication among the several States, or sibility pursuant to articles 50a and before 1898; and (b) any replica of any between the District of Columbia and 72b of the Uniform Code of Military firearm described in paragraph (a) of any State, or between any foreign coun- Justice, 10 U.S.C. 850a, 876b. this definition if such replica (1) is not try or any territory or possession and designed or redesigned for using rimfire any State or the District of Columbia, or Admitted to the United States for or conventional centerfire fixed ammuni- between points in the same State but lawful hunting or sporting purposes. tion, or (2) uses rimfire or conventional through any other State or the District of (a) Is entering the United States to par- centerfire fixed ammunition which is no Columbia or a foreign country. ticipate in a competitive target shooting longer manufactured in the United States event sponsored by a national, State, or and which is not readily available in the Committed to a mental institution. A local organization, devoted to the com- ordinary channels of commercial trade. formal commitment of a person to a mental petitive use or other sporting use of fire- institution by a court, board, commission, arms; or (b) Is entering the United States Armor piercing ammunition. Pro- or other lawful authority. The term includes to display firearms at a sports or hunting jectiles or projectile cores which may be a commitment to a mental institution invol- trade show sponsored by a national, used in a handgun and which are con- untarily. The term includes commitment for State, or local firearms trade organiza- structed entirely (excluding the presence mental defectiveness or mental illness. It tion, devoted to the competitive use or of traces of other substances) from one also includes commitments for other rea- other sporting use of firearms. or a combination of tungsten alloys, steel, sons, such as for drug use. The term does iron, brass, bronze, beryllium copper, or not include a person in a mental institution Alien. Any person not a citizen or na- depleted uranium; or full jacketed projec- for observation or a voluntary admission to tional of the United States. tiles larger than .22 caliber designed and a mental institution. intended for use in a handgun and whose Alien illegally or unlawfully in the jacket has a weight of more than 25 per- Controlled substance. A drug or oth- United States. Aliens who are unlawful- cent of the total weight of the projectile. er substance, or immediate precursor, ly in the United States are not in valid im- The term does not include shotgun shot as defined in section 102 of the Con- migrant, nonimmigrant or parole status. required by Federal or State environmen- trolled Substances Act, 21 U.S.C. 802. The term includes any alien– tal or game regulations for hunting purpos- The term includes, but is not limited to, es, frangible projectiles designed for target marijuana, depressants, stimulants, and (a) Who unlawfully entered the Unit- shooting, projectiles which the Director narcotic drugs. The term does not ined States without inspection and autho- finds are primarily intended to be used for clude distilled spirits, wine, malt bever- rization by an immigration officer and sporting purposes, or any other projectiles ages, or tobacco, as those terms are de- who has not been paroled into the Unit- or projectile cores which the Director finds fined or used in Subtitle E of the Internal ed States under section 212(d)(5) of the are intended to be used for industrial pur- Revenue Code of 1986, as amended. Immigration and Nationality Act (INA); poses, including charges used in oil and gas well perforating devices. Crime punishable by imprisonment (b) Who is a nonimmigrant and whose for a term exceeding 1 year. Any Fed- authorized period of stay has expired or ATF officer. An officer or employee eral, State or foreign offense for which who has violated the terms of the non- of the Bureau of Alcohol, Tobacco, Fire- the maximum penalty, whether or not immigrant category in which he or she arms and Explosives (ATF) authorized imposed, is capital punishment or im- was admitted; to perform any function relating to the prisonment in excess of 1 year. The term administration or enforcement of this shall not include (a) any Federal or State (c) Paroled under INA section 212(d) part. offenses pertaining to antitrust violations, (5) whose authorized period of parole unfair trade practices, restraints of trade, has expired or whose parole status has Business premises. The property on or other similar offenses relating to the been terminated; or which the manufacturing or importing of regulation of business practices or (b) firearms or ammunition or the dealing in any State offense classified by the laws of (d) Under an order of deportation, ex- firearms is or will be conducted. Apri- the State as a misdemeanor and punish- clusion, or removal, or under an order vate dwelling, no part of which is open able by a term of imprisonment of 2 years to depart the United States voluntarily, to the public, shall not be recognized as or less. What constitutes a conviction of whether or not he or she has left the coming within the meaning of the term. such a crime shall be determined in ac- United States. cordance with the law of the jurisdiction Chief, Federal Firearms Licensing in which the proceedings were held. Any Ammunition. Ammunition or car- Center (FFLC). The ATF official respon- conviction which has been expunged or tridge cases, primers, bullets, or propel- sible for the issuance and renewal of li- set aside or for which a person has been lent powder designed for use in any fire- censes under this part. pardoned or has had civil rights restored arm other than an antique firearm. The shall not be considered a conviction for term shall not include (a) any shotgun Collector. Any person who acquires, the purposes of the Act or this part, unless shot or pellet not designed for use as holds, or disposes of firearms as curios such pardon, expunction, or restoration the single, complete projectile load for or relics. of civil rights expressly provides that the one shotgun hull or casing, nor (b) any person may not ship, transport, possess, unloaded, non–metallic shotgun hull or Collection premises. The premises or receive firearms, or unless the person casing not having a primer. described on the license of a collector is prohibited by the law of the jurisdiction as the location at which he maintains his in which the proceedings were held from Antique firearm. (a) Any firearm (in- collection of curios and relics. receiving or possessing any firearms.

35 Editor’s Note: (2) grenade, (3) rocket having a propel- objective of livelihood and profit through lant charge of more than 4 ounces, (4) the sale or distribution of the firearms Foreign offenses no longer qualify as missile having an explosive or incendiary manufactured; crimes punishable by imprisonment for a charge of more than one–quarter ounce, term exceeding 1 year. (5) mine, or (6) device similar to any of (b) Manufacturer of ammunition. A the devices described in the preceding person who devotes time, attention, and Curios or relics. Firearms which are paragraphs of this definition;(b) any type labor to manufacturing ammunition as a of special interest to collectors by reason of weapon (other than a shotgun or a regular course of trade or business with of some quality other than is associated shotgun shell which the Director finds is the principal objective of livelihood and with firearms intended for sporting use generally recognized as particularly suit- profit through the sale or distribution of or as offensive or defensive weapons. able for sporting purposes) by whatever the ammunition manufactured; To be recognized as curios or relics, fire- name known which will, or which may arms must fall within one of the following be readily converted to, expel a projec- (c) Dealer in firearms other than a categories: tile by the action of an explosive or oth- gunsmith or a pawnbroker. A person er propellant, and which has any barrel who devotes time, attention, and labor (a) Firearms which were manufac- with a bore of more than one–half inch to dealing in firearms as a regular course tured at least 50 years prior to the cur- in diameter; and (c) any combination of trade or business with the principal rent date, but not including replicas of parts either designed or intended for objective of livelihood and profit through thereof; use in converting any device into any de- the repetitive purchase and resale of fire- structive device described in paragraph arms, but such a term shall not include a (b) Firearms which are certified by the (a) or (b) of this section and from which person who makes occasional sales, ex- curator of a municipal, State, or Federal a destructive device may be readily as- changes, or purchases of firearms for the museum which exhibits firearms to be sembled. The term shall not include any enhancement of a personal collection or curios or relics of museum interest; and device which is neither designed nor for a hobby, or who sells all or part of his redesigned for use as a weapon; any personal collection of firearms; (c) Any other firearms which derive a device, although originally designed for substantial part of their monetary value use as a weapon, which is redesigned (d) Gunsmith. A person who devotes from the fact that they are novel, rare, for use as a signalling, pyrotechnic, line time, attention, and labor to engaging in bizarre, or because of their association throwing, safety, or similar device; sur- such activity as a regular course of trade with some historical figure, period, or plus ordnance sold, loaned, or given by or business with the principal objective event. Proof of qualification of a par- the Secretary of the Army pursuant to of livelihood and profit, but such a term ticular firearm under this category may the provisions of section 4684(2), 4685, shall not include a person who makes be established by evidence of present or 4686 of title 10, United States Code; or occasional repairs of firearms or who value and evidence that like firearms any other device which the Director finds occasionally fits special barrels, stocks, are not available except as collector’s is not likely to be used as a weapon, is or trigger mechanisms to firearms; items, or that the value of like firearms an antique, or is a rifle which the owner available in ordinary commercial chan- intends to use solely for sporting, recre- (e) Importer of firearms. A person nels is substantially less. ational, or cultural purposes. who devotes time, attention, and labor to importing firearms as a regular course Editor’s Note: Director. The Director, Bureau of of trade or business with the principal Alcohol, Tobacco, Firearms and Explo- objective of livelihood and profit through sives, the Department of Justice, Wash- the sale or distribution of the firearms im- ATF Publication 5300.11, Firearms ington, DC. ported; and, Curios and Relics List, consists of lists of those firearms determined to be curios or Director of Industry Operations. (f) Importer of ammunition. A per- relics from 1972 to the present. The principal ATF official in a Field Op- son who devotes time, attention, and erations division responsible for admin- labor to importing ammunition as a reg- Any officer of the Customs officer. istering regulations in this part. ular course of trade or business with the U.S. Customs and Border Protection, principal objective of livelihood and prof- any commissioned, warrant, or petty of- Discharged under dishonorable it through the sale or distribution of the ficer of the Coast Guard, or any agent or conditions. Separation from the U.S. ammunition imported. other person authorized by law to per- Armed Forces resulting from a dishon- form the duties of a customs officer. orable discharge or dismissal adjudged Executed under penalties of per- by a general court–martial. The term jury. Signed with the prescribed decla- Any person engaged in the Dealer. does not include any separation from the ration under the penalties of perjury as business of selling firearms at wholesale or Armed Forces resulting from any other provided on or with respect to the return retail; any person engaged in the business discharge, e.g., a bad conduct discharge. form, or other document or, where no of repairing firearms or of making or fitting form of declaration is prescribed, with special barrels, stocks, or trigger mecha- Division. A Bureau of Alcohol, Tobac- the declaration: nisms to firearms; or any person who is co, Firearms, and Explosives. a pawnbroker. The term shall include any person who engages in such business or “I declare under the penalties of Engaged in the business—(a) Man- occupation on a part–time basis. perjury that this–(insert type of ufacturer of firearms. A person who de- document, such as, statement, votes time, attention, and labor to man- application, request, certificate), Destructive device. (a) Any explo- ufacturing firearms as a regular course including the documents submit- sive, incendiary, or poison gas (1) bomb, of trade or business with the principal

36 ted in support thereof, has been Identification document. A docu- Editor’s Note: examined by me and, to the best of ment containing the name, residence my knowledge and belief, is true, address, date of birth, and photograph The term large capacity ammunition correct, and complete.” of the holder and which was made or feeding device is not applicable on or af- issued by or under the authority of the ter September 13, 2004. Federal Firearms Act. 15 U.S.C. United States Government, a State, po- Chapter 18. litical subdivision of a State, a foreign Licensed dealer. A dealer licensed government, political subdivision of a under the provisions of this part. Firearm. Any weapon, including a foreign government, an international starter gun, which will or is designed to governmental or an international quasi– Licensed importer. An importer li- or may readily be converted to expel a governmental organization which, when censed under the provisions of this part. projectile by the action of an explosive; completed with information concerning a the frame or receiver of any such weap- particular individual, is of a type intend- Licensed manufacturer. A manufactur- on; any firearm muffler or firearm silenc- ed or commonly accepted for the pur- er licensed under the provisions of this part. er; or any destructive device; but the pose of identification of individuals. term shall not include an antique firearm. Machine gun. Any weapon which In the case of a licensed collector, the Importation. The bringing of a firearm shoots, is designed to shoot, or can be term shall mean only curios and relics. or ammunition into the United States; readily restored to shoot, automatical- except that the bringing of a firearm or ly more than one shot, without manual Firearm frame or receiver. That part ammunition from outside the United reloading, by a single function of the of a firearm which provides housing for States into a foreign–trade zone for stor- trigger. The term shall also include the the hammer, bolt or breechblock, and age pending shipment to a foreign coun- frame or receiver of any such weapon, firing mechanism, and which is usually try or subsequent importation into this any part designed and intended solely threaded at its forward portion to receive country, pursuant to this part, shall not and exclusively, or combination of parts the barrel. be deemed importation. designed and intended, for use in converting a weapon into a machine gun, Firearm muffler or firearm silenc- Importer. Any person engaged in and any combination of parts from which er. Any device for silencing, muffling, or the business of importing or bringing a machine gun can be assembled if such diminishing the report of a portable fire- firearms or ammunition into the United parts are in the possession or under the arm, including any combination of parts, States. The term shall include any per- control of a person. designed or redesigned, and intended son who engages in such business on a for use in assembling or fabricating a part–time basis. Manufacturer. Any person engaged firearm silencer or firearm muffler, and in the business of manufacturing fire- any part intended only for use in such Indictment. Includes an indictment arms or ammunition. The term shall in- assembly or fabrication. or information in any court, under which clude any person who engages in such a crime punishable by imprisonment for business on a part–time basis. Friendly foreign government. a term exceeding 1 year (as defined in Any government with whom the Unit- this section) may be prosecuted, or in Mental institution. Includes mental ed States has diplomatic relations and military cases to any offense punishable health facilities, mental hospitals, sani- whom the United States has not identi- by imprisonment for a term exceeding 1 tariums, psychiatric facilities, and other fied as a State sponsor of terrorism. year which has been referred to a gener- facilities that provide diagnoses by li- al court–martial. An information is a for- censed professionals of mental retarda- Fugitive from justice. Any person who mal accusation of a crime, differing from tion or mental illness, including a psychi- has fled from any State to avoid prose- an indictment in that it is made by a pros- atric ward in a general hospital. cution for a felony or a misdemeanor; or ecuting attorney and not a grand jury. any person who leaves the State to avoid Misdemeanor crime of domestic vi- giving testimony in any criminal proceed- Interstate or foreign commerce. olence. (a) Is a Federal, State or local ing. The term also includes any person Includes commerce between any place offense that: who knows that misdemeanor or felony in a State and any place outside of that charges are pending against such person State, or within any possession of the (1) Is a misdemeanor under Fed- and who leaves the State of prosecution. United States (not including the Canal eral or State law or, in States which Zone) or the District of Columbia. The do not classify offenses as misde- Handgun. (a) Any firearm which has term shall not include commerce be- meanors, is an offense punishable by a short stock and is designed to be held tween places within the same State but imprisonment for a term of one year and fired by the use of a single hand; through any place outside of that State. or less, and includes offenses that and are punishable only by a fine. (This Intimate partner. With respect to a is true whether or not the State stat- (b) Any combination of parts from person, the spouse of the person, a for- ute specifically defines the offense which a firearm described in para- mer spouse of the person, an individual as a “misdemeanor” or as a “mis- graph (a) can be assembled. who is a parent of a child of the person, demeanor crime of domestic vio- and an individual who cohabitates or lence.” The term includes all such Hunting license or permit lawfully has cohabitated with the person. misdemeanor convictions in Indian issued in the United States. A license Courts established pursuant to 25 or permit issued by a State for hunting Large capacity ammunition feed- CFR Part 11.); which is valid and unexpired. ing device.

37 (2) Has, as an element, the use or NICS. The National Instant Criminal (a) Is committed by an individual who attempted use of physical force (e.g., Background Check System established is not a national or permanent resident assault and battery), or the threat- by the Attorney General pursuant to 18 alien of the United States; ened use of a deadly weapon; and U.S.C. 922(t). (b) Involves violent acts or acts dan- (3) Was committed by a current or Nonimmigrant alien. An alien in the gerous to human life which would be a former spouse, parent, or guardian of United States in a nonimmigrant classi- criminal violation if committed within the the victim, by a person with whom the fication as defined by section 101(a)(15) jurisdiction of the United States; and victim shares a child in common, by a of the Immigration and Nationality Act (8 person who is cohabiting with or has U.S.C. 1101(a)(15)). (c) Is intended— cohabited with the victim as a spouse, parent, or guardian, (e.g., the equiva- Nonimmigrant visa. A visa properly (1) To intimidate or coerce a civilian lent of a “common law” marriage even issued to an alien as an eligible nonim- population; if such relationship is not recognized migrant by a competent officer as pro- under the law), or a person similarly vided in the Immigration and Nationality (2) To influence the policy of a gov- situated to a spouse, parent, or guard- Act, 8 U.S.C. 1101 et seq. ernment by intimidation or coercion; or ian of the victim (e.g., two persons who are residing at the same location in an Pawnbroker. Any person whose busi- (3) To affect the conduct of a govern- intimate relationship with the intent to ness or occupation includes the taking ment by assassination or kidnapping. make that place their home would be or receiving, by way of pledge or pawn, similarly situated to a spouse). of any firearm as security for the pay- Published ordinance. A published ment or repayment of money. The term law of any political subdivision of a State (b) A person shall not be considered shall include any person who engages which the Director determines to be rele- to have been convicted of such an of- in such business on a part–time basis. vant to the enforcement of this part and fense for purposes of this part unless: which is contained on a list compiled by Permanently inoperable. A firearm the Director, which list is incorporated by (1) The person is considered to have which is incapable of discharging a shot reference in the FEDERAL REGISTER, been convicted by the jurisdiction in by means of an explosive and incapable revised annually, and furnished to licens- which the proceedings were held. of being readily restored to a firing condi- ees under this part. tion. An acceptable method of rendering (2) The person was represented by most firearms permanently inoperable is Renounced U.S. citizenship. (a) A counsel in the case, or knowingly and to fusion weld the chamber closed and fu- person has renounced his U.S. citizen- intelligently waived the right to coun- sion weld the barrel solidly to the frame. ship if the person, having been a citizen sel in the case; and Certain unusual firearms require other of the United States, has renounced cit- methods to render the firearm permanent- izenship either— (3) In the case of a prosecution for ly inoperable. Contact ATF for instructions. which a person was entitled to a jury (1) Before a diplomatic or con- trial in the jurisdiction in which the Person. Any individual, corporation, sular officer of the United States in case was tried, either company, association, firm, partnership, a foreign state pursuant to 8 U.S.C. society, or joint stock company. 1481(a)(5); or (i) The case was tried by a jury, or (ii) The person knowingly and in- Pistol. A weapon originally designed, (2) Before an officer designated by telligently waived the right to have made, and intended to fire a projectile the Attorney General when the United the case tried by a jury, by guilty (bullet) from one or more barrels when States is in a state of war pursuant to plea or otherwise. held in one hand, and having (a) a cham- 8 U.S.C. 1481(a)(6). ber(s) as an integral part(s) of, or perma- (c) A person shall not be considered to nently aligned with, the bore(s); and (b) (b) The term shall not include any re- have been convicted of such an offense a short stock designed to be gripped by nunciation of citizenship that has been for purposes of this part if the conviction one hand and at an angle to and extend- reversed as a result of administrative or has been expunged or set aside, or is an ing below the line of the bore(s). judicial appeal. offense for which the person has been pardoned or has had civil rights restored Principal objective of livelihood Revolver. A projectile weapon, of (if the law of the jurisdiction in which and profit. The intent underlying the the pistol type, having a breechloading the proceedings were held provides for sale or disposition of firearms is pre- chambered cylinder so arranged that the the loss of civil rights upon conviction dominantly one of obtaining livelihood cocking of the hammer or movement of for such an offense) unless the pardon, and pecuniary gain, as opposed to oth- the trigger rotates it and brings the next expunction, or restoration of civil rights er intents such as improving or liquidat- cartridge in line with the barrel for firing. expressly provides that the person may ing a personal firearms collection: Pro- not ship, transport, possess, or receive vided, That proof of profit shall not be Rifle. A weapon designed or rede- firearms, and the person is not otherwise required as to a person who engages signed, made or remade, and intended prohibited by the law of the jurisdiction in in the regular and repetitive purchase to be fired from the shoulder, and de- which the proceedings were held from and disposition of firearms for criminal signed or redesigned and made or re- receiving or possessing any firearms. purposes or terrorism. For purposes of made to use the energy of the explosive this part, the term “terrorism” means in a fixed metallic cartridge to fire only a National Firearms Act. 26 U.S.C. activity, directed against United States single projectile through a rifled bore for Chapter 53. persons, which— each single pull of the trigger.

38 Semiautomatic assault weapon. present in a State with the intention of stance or a pattern of use or possession making a home in that State. If an in- that reasonably covers the present time, Editor’s Note: dividual is on active duty as a member e.g., a conviction for use or possession of the Armed Forces, the individual’s of a controlled substance within the past The term semiautomatic assault State of residence is the State in which year; multiple arrests for such offenses weapon is not applicable on or after his or her permanent duty station is lo- within the past 5 years if the most recent September 13, 2004. cated, as stated in 18 U.S.C. 921(b). arrest occurred within the past year; or The following are examples that illus- persons found through a drug test to trate this definition: use a controlled substance unlawfully, Semiautomatic pistol. Any repeating pistol which utilizes a portion of the ener- provided that the test was administered gy of a firing cartridge to extract the fired Example 1. A maintains a home in within the past year. For a current or for- cartridge case and chamber the next State X. A travels to State Y on a hunt- mer member of the Armed Forces, an round, and which requires a separate ing, fishing, business, or other type of inference of current use may be drawn pull of the trigger to fire each cartridge. trip. A does not become a resident of from recent disciplinary or other admin- State Y by reason of such trip. istrative action based on confirmed drug use, e.g., court–martial conviction, non- Semiautomatic rifle. Any repeating rifle which utilizes a portion of the ener- Example 2. A maintains a home in judicial punishment, or an administrative gy of a firing cartridge to extract the fired State X and a home in State Y. A re- discharge based on drug use or drug re- cartridge case and chamber the next sides in State X except for weekends habilitation failure. round, and which requires a separate or the summer months of the year and pull of the trigger to fire each cartridge. in State Y for the weekends or the sum- Unserviceable firearm. A firearm mer months of the year. During the time which is incapable of discharging a shot that A actually resides in State X, A is a by means of an explosive and is incapa- Semiautomatic shotgun. Any repeating shotgun which utilizes a portion resident of State X, and during the time ble of being readily restored to a firing of the energy of a firing cartridge to ex- that A actually resides in State Y, A is a condition. tract the fired cartridge case and cham- resident of State Y. ber the next round, and which requires U.S.C. The United States Code. a separate pull of the trigger to fire each Example 3. A, an alien, travels to the cartridge. United States on a three–week vacation Subpart C—Administrative and Mis- to State X. A does not have a state of cellaneous Provisions residence in State X because A does not Short–barreled rifle. A rifle having one or more barrels less than 16 inches have the intention of making a home in § 478.21 Forms prescribed. in length, and any weapon made from a State X while on vacation. This is true rifle, whether by alteration, modification, regardless of the length of the vacation. (a) The Director is authorized to pre- or otherwise, if such weapon, as mod- scribe all forms required by this part. All ified, has an overall length of less than Example 4. A, an alien, travels to the of the information called for in each form 26 inches. United States to work for three years shall be furnished as indicated by the in State X. A rents a home in State X, headings on the form and the instruc- moves his personal possessions into the Short–barreled shotgun. A shotgun tions on or pertaining to the form. In having one or more barrels less than 18 home, and his family resides with him in addition, information called for in each inches in length, and any weapon made the home. A intends to reside in State X form shall be furnished as required by from a shotgun, whether by alteration, during the 3–year period of his employ- this part. modification, or otherwise, if such weap- ment. A is a resident of State X. on as modified has an overall length of (b) Requests for forms should be less than 26 inches. Unlawful user of or addicted to any submitted to the ATF Distribution Cen- controlled substance. A person who ter (http://www.atf.gov) or by calling uses a controlled substance and has Shotgun. A weapon designed or re- (703) 870–7526 or (703) 870-7528 designed, made or remade, and intend- lost the power of self–control with refer- ed to be fired from the shoulder, and ence to the use of controlled substance; § 478.22 Alternate methods or pro- designed or redesigned and made or re- and any person who is a current user of cedures; emergency variations from made to use the energy of the explosive a controlled substance in a manner oth- requirements. in a fixed shotgun shell to fire through a er than as prescribed by a licensed phy- smooth bore either a number of ball shot sician. Such use is not limited to the use (a) Alternate methods or proce- or a single projectile for each single pull of drugs on a particular day, or within a dures. The licensee, on specific ap- of the trigger. matter of days or weeks before, but rath- proval by the Director as provided in this er that the unlawful use has occurred paragraph, may use an alternate meth- recently enough to indicate that the in- od or procedure in lieu of a method or State. A State of the United States. The term shall include the District of dividual is actively engaged in such con- procedure specifically prescribed in this Columbia, the Commonwealth of Puerto duct. A person may be an unlawful cur- part. The Director may approve an al- Rico, and the possessions of the United rent user of a controlled substance even ternate method or procedure, subject to States (not including the Canal Zone). though the substance is not being used stated conditions, when it is found that: at the precise time the person seeks to acquire a firearm or receives or possess- State of residence. The State in (1) Good cause is shown for the which an individual resides. An individ- es a firearm. An inference of current use use of the alternate method or pro- ual resides in a State if he or she is may be drawn from evidence of a recent cedure; use or possession of a controlled sub-

39 (2) The alternate method or pro- tions for transmittal to the Director. The (2) For insuring compliance with cedure is within the purpose of, and application shall describe the proposed the recordkeeping requirements of consistent with the effect intended by, variation and set forth the reasons for it. this part: the specifically prescribed method Variations may not be employed until the or procedure and that the alternate application is approved. (i) Not more than once during method or procedure is substantial- any 12–month period, or ly equivalent to that specifically pre- (c) Retention of approved varia- scribed method or procedure; and tions. The licensee shall retain, as part (ii) At any time with respect to of the licensee’s records, available for records relating to a firearm in- (3) The alternate method or proce- examination by ATF officers, any appli- volved in a criminal investigation dure will not be contrary to any pro- cation approved by the Director under that is traced to the licensee, or vision of law and will not result in an this section. increase in cost to the Government or (3) When such inspection or ex- hinder the effective administration of § 478.23 Right of entry and examina- amination may be required for deter- this part. Where the licensee desires to tion. mining the disposition of one or more employ an alternate method or proce- particular firearms in the course of a dure, a written application shall be sub- (a) Except as provided in paragraph bona fide criminal investigation. mitted to the appropriate Director of In- (b), any ATF officer, when there is rea- dustry Operations, for transmittal to the sonable cause to believe a violation of (c) Any ATF officer, without having Director. The application shall specif- the Act has occurred and that evidence reasonable cause to believe a violation ically describe the proposed alternate of the violation may be found on the of the Act has occurred or that evidence method or procedure and shall set forth premises of any licensed manufacturer, of the violation may be found and with- the reasons for it. Alternate methods or licensed importer, licensed dealer, or out demonstrating such cause before a procedures may not be employed until licensed collector, may, upon demon- Federal magistrate or obtaining from the the application is approved by the Di- strating such cause before a Federal magistrate a warrant authorizing entry, rector. The licensee shall, during the magistrate and obtaining from the mag- may enter during hours of operation the period of authorization of an alternate istrate a warrant authorizing entry, enter premises, including places of storage, method or procedure, comply with the during business hours (or, in the case of any licensed collector for the purpose terms of the approved application. Au- of a licensed collector, the hours of op- of inspecting or examining the records, thorization of any alternate method or eration) the premises, including places documents, firearms, and ammunition re- procedure may be withdrawn when- of storage, of any such licensee for the ferred to in paragraph (a) of this section ever, in the judgment of the Director, purpose of inspecting or examining: the effective administration of this part (1) for ensuring compliance with is hindered by the continuation of the (1) Any records or documents re- the recordkeeping requirements of authorization. quired to be kept by such licensee this part not more than once during under this part and any 12–month period or (2) when (b) Emergency variations from re- such inspection or examination may quirements. The Director may approve (2) Any inventory of firearms or be required for determining the dis- a method of operation other than as ammunition kept or stored by any li- position of one or more particular specified in this part, where it is found censed manufacturer, licensed import- firearms in the course of a bona fide that an emergency exists and the pro- er, or licensed dealer at such premis- criminal investigation. At the election posed variation from the specified re- es or any firearms curios or relics or of the licensed collector, the annual quirements are necessary and the pro- ammunition kept or stored by any li- inspection permitted by this para- posed variations (1) will not hinder the censed collector at such premises. graph shall be performed at the ATF effective administration of this part, and office responsible for conducting (2) will not be contrary to any provisions (b) Any ATF officer, without having such inspection in closest proximity of law. Variations from requirements reasonable cause to believe a violation to the collectors premises. granted under this paragraph are con- of the Act has occurred or that evidence ditioned on compliance with the proce- of the violation may be found and with- (d) The inspections and examinations dures, conditions, and limitations set out demonstrating such cause before a provided by this section do not autho- forth in the approval of the application. Federal magistrate or obtaining from the rize an ATF officer to seize any records Failure to comply in good faith with the magistrate a warrant authorizing entry, or documents other than those records procedures, conditions, and limitations may enter during business hours the or documents constituting material evi- shall automatically terminate the author- premises, including places of storage, dence of a violation of law. If an ATF of- ity for the variations, and the licensee of any licensed manufacturer, licensed ficer seizes such records or documents, shall fully comply with the prescribed re- importer, or licensed dealer for the pur- copies shall be provided the licensee quirements of regulations from which the pose of inspecting or examining the within a reasonable time. variations were authorized. Authority for records, documents, ammunition and any variation may be withdrawn when- firearms referred to in paragraph (a) of § 478.24 Compilation of State laws ever, in the judgment of the Director, this section: and published ordinances. the effective administration of this part is hindered by the continuation of the (1) In the course of a reasonable (a) The Director shall annually revise variation. Where the licensee desires to inquiry during the course of a criminal and furnish Federal firearms licensees employ an emergency variation, a writ- investigation of a person or persons with a compilation of State laws and ten application shall be submitted to the other than the licensee, published ordinances which are rel- appropriate Director of Industry Opera- evant to the enforcement of this part.

40 The Director annually revises the com- the toll–free number 1–800–788–7132 chine gun, short–barreled shotgun, or pilation and publishes it as “State Laws or using the toll–free facsimile (FAX) short–barreled rifle, if he finds that such and Published Ordinances–Fire- number 1–800–788–7133. transportation is reasonably necessary arms” which is furnished free of charge and is consistent with public safety and to licensees under this part. Where the (Approved by the Office of Management and applicable State and local law. A person compilation has previously been fur- Budget under control number 1140–0032) who desires to transport in interstate or nished to licensees, the Director need foreign commerce any such device or only furnish amendments of the relevant § 478.26 Curio and relic determination. weapon shall submit a written request laws and ordinances to such licensees. so to do, in duplicate, to the Director. Any person who desires to obtain a The request shall contain: (b) “State Laws and Published Or- determination whether a particular fire- dinances–Firearms” is incorporated by arm is a curio or relic shall submit a (1) A complete description and reference in this part. It is ATF Publication written request, in duplicate, for a rul- identification of the device or weapon 5300.5, revised yearly. The current edi- ing thereon to the Director. Each such to be transported; tion is available from the Superintendent request shall be executed under the of Documents, U.S. Government Printing penalties of perjury and shall contain (2) A statement whether such Office, Washington, DC 20402. It is also a complete and accurate description transportation involves a transfer of available for inspection at the National of the firearm, and such photographs, title; Archives and Records Administration diagrams, or drawings as may be nec- (NARA). For information on the availabili- essary to enable the Director to make a (3) The need for such transportation; ty of this material at NARA, call 202–741– determination. The Director may require 6030, or go to: http://www.archives.gov/ the submission of the firearm for exam- (4) The approximate date such federal_register/code_of_federal_reg- ination and evaluation. If the submission transportation is to take place; ulations/ibr_locations.html. This incor- of the firearm is impractical, the person poration by reference was approved by requesting the determination shall so (5) The present location of such the Director of the Federal Register. advise the Director and designate the device or weapon and the place to place where the firearm will be available which it is to be transported; § 478.25 Disclosure of information. for examination and evaluation. (6) The mode of transportation to The Director of Industry Operations § 478.27 Destructive device be used (including, if by common or may make available to any Federal, determination. contract carrier, the name and ad- State or local law enforcement agency dress of such carrier); and any information which is obtained by The Director shall determine in accor- reason of the provisions of the Act with dance with 18 U.S.C. 921(a)(4) whether (7) Evidence that the transporta- respect to the identification of persons a device is excluded from the definition tion or possession of such device or prohibited from purchasing or receiv- of a destructive device. A person who weapon is not inconsistent with the ing firearms or ammunition who have desires to obtain a determination un- laws at the place of destination. purchased or received firearms or am- der that provision of law for any device munition, together with a description of which he believes is not likely to be (b) No person shall transport any de- such firearms or ammunition. Upon the used as a weapon shall submit a written structive device, machine gun, short– request of any Federal, State or local request, in triplicate, for a ruling there- barreled shotgun, or short–barreled rifle law enforcement agency, the Director of on to the Director. Each such request in interstate or foreign commerce under Industry Operations may provide such shall be executed under the penalties the provisions of this section until he has agency any information contained in the of perjury and contain a complete and received specific authorization so to do records required to be maintained by the accurate description of the device, the from the Director. Authorization grant- Act or this part. name and address of the manufacturer ed under this section does not carry or or importer thereof, the purpose of and import relief from any other statutory or § 478.25a Responses to requests for use for which it is intended, and such regulatory provision relating to firearms. information. photographs, diagrams, or drawings as may be necessary to enable the Director (c) This section shall not be con- Each licensee shall respond immedi- to make his determination. The Director strued as requiring licensees to obtain ately to, and in no event later than 24 may require the submission to him, of authorization to transport destructive hours after the receipt of, a request by a sample of such device for examina- devices, machine guns, short–barreled an ATF officer at the National Tracing tion and evaluation. If the submission of shotguns, and short–barreled rifles in in- Center for information contained in the such device is impracticable, the person terstate or foreign commerce: Provided, records required to be kept by this part requesting the ruling shall so advise the That in the case of a licensed import- for determining the disposition of one or Director and designate the place where er, licensed manufacturer, or licensed more firearms in the course of a bona the device will be available for examina- dealer, such a licensee is qualified un- fide criminal investigation. The request- tion and evaluation. der the National Firearms Act (see also ed information shall be provided orally Part 479 of this chapter) and this part to to the ATF officer within the 24–hour § 478.28 Transportation of destruc- engage in the business with respect to period. Verification of the identity and tive devices and certain firearms. the device or weapon to be transported, employment of National Tracing Center and that in the case of a licensed collec- personnel requesting information may (a) The Director may authorize a per- tor, the device or weapon to be trans- be established at the time the requested son to transport in interstate or foreign ported is a curio or relic. information is provided by telephoning commerce any destructive device, ma-

41 § 478.29 Out–of–State acquisition of to, or any acquisition by intestate suc- of a firearm to a passenger who places firearms by nonlicensees. cession of a firearm by, a person who is firearms in the carrier’s custody for the permitted to acquire or possess a fire- duration of the trip. No person, other than a licensed im- arm under the laws of the State of his porter, licensed manufacturer, licensed residence; and § 478.32 Prohibited shipment, trans- dealer, or licensed collector, shall transportation, possession, or receipt of port into or receive in the State where (b) shall not apply to the loan or rental firearms and ammunition by certain the person resides (or if a corporation or of a firearm to any person for temporary persons. other business entity, where it maintains use for lawful sporting purposes. a place of business) any firearm pur- (a) No person may ship or transport chased or otherwise obtained by such § 478.31 Delivery by common or any firearm or ammunition in interstate person outside that State: Provided, contract carrier. or foreign commerce, or receive any That the provisions of this section: firearm or ammunition which has been (a) No person shall knowingly deliver shipped or transported in interstate or (a) Shall not preclude any person or cause to be delivered to any com- foreign commerce, or possess any fire- who lawfully acquires a firearm by be- mon or contract carrier for transporta- arm or ammunition in or affecting com- quest or intestate succession in a State tion or shipment in interstate or foreign merce, who: other than his State of residence from commerce to any person other than a transporting the firearm into or receiving licensed importer, licensed manufac- (1) Has been convicted in any it in that State, if it is lawful for such per- turer, licensed dealer, or licensed col- court of a crime punishable by impris- son to purchase or possess such fire- lector, any package or other container onment for a term exceeding 1 year, arm in that State, in which there is any firearm or ammunition without written notice to the car- (2) Is a fugitive from justice, (b) Shall not apply to the transporta- rier that such firearm or ammunition is tion or receipt of a rifle or shotgun ob- being transported or shipped: Provided, (3) Is an unlawful user of or addict- tained from a licensed manufacturer, That any passenger who owns or legal- ed to any controlled substance (as licensed importer, licensed dealer, or ly possesses a firearm or ammunition defined in section 102 of the Con- licensed collector in a State other than being transported aboard any common trolled Substances Act, 21 U.S.C. the transferee’s State of residence in or contract carrier for movement with 802), an over–the–counter transaction at the the passenger in interstate or foreign licensee’s premises obtained in confor- commerce may deliver said firearm or (4) Has been adjudicated as a mity with the provisions of §478.96(c) ammunition into the custody of the pilot, mental defective or has been com- and captain, conductor or operator of such mitted to a mental institution, common or contract carrier for the du- (c) Shall not apply to the transpor- ration of that trip without violating any (5) Being an alien— tation or receipt of a firearm obtained provision of this part. in conformity with the provisions of (i) Is illegally or unlawfully in the §§478.30 and 478.97. (b) No common or contract carrier United States; or shall require or cause any label, tag, § 478.29a Acquisition of firearms by or other written notice to be placed on (ii) Except as provided in para- nonresidents. the outside of any package, luggage, graph (f) of this section, has been or other container indicating that such admitted to the United States under No person, other than a licensed im- package, luggage, or other container a nonimmigrant visa: Provided, That porter, licensed manufacturer, licensed contains a firearm. the provisions of this paragraph dealer, or licensed collector, who does not reside in any State shall receive any (c) No common or contract carrier (a) (5) (ii) do not apply to any alien firearms unless such receipt is for lawful shall transport or deliver in interstate who has been lawfully admitted to the sporting purposes. or foreign commerce any firearm or United States under a nonimmigrant ammunition with knowledge or reason- visa, if that alien is— § 478.30 Out–of–State disposition of able cause to believe that the shipment, firearms by nonlicensees. transportation, or receipt thereof would (A) Admitted to the Unit- be in violation of any provision of this ed States for lawful hunting or No nonlicensee shall transfer, sell, part: Provided, however, That the provi- sporting purposes or is in pos- trade, give, transport, or deliver any sions of this paragraph shall not apply in session of a hunting license firearm to any other nonlicensee, who respect to the transportation of firearms or permit lawfully issued in the the transferor knows or has reasonable or ammunition in in–bond shipment un- United States; cause to believe does not reside in (or if der Customs laws and regulations. the person is a corporation or other busi- (B) An official representative ness entity, does not maintain a place of (d) No common or contract carrier of a foreign government who is business in) the State in which the trans- shall knowingly deliver in interstate or either accredited to the United feror resides: Provided, That the provi- foreign commerce any firearm without States Government or the Gov- sions of this section: obtaining written acknowledgement of ernment’s mission to an inter- receipt from the recipient of the pack- national organization having its (a) shall not apply to the transfer, age or other container in which there is headquarters in the United States transportation, or delivery of a firearm a firearm: Provided, That this paragraph or is en route to or from anoth- made to carry out a bequest of a firearm shall not apply with respect to the return er country to which that alien is

42 accredited. This exception only for a term exceeding one year may ship Government’s mission to an in- applies if the firearm or ammuni- or transport any firearm or ammunition ternational organization having tion is shipped, transported, pos- in interstate or foreign commerce or re- its headquarters in the United sessed, or received in the repre- ceive any firearm or ammunition which States or en route to or from an- sentative’s official capacity; has been shipped or transported in in- other country to which that alien terstate or foreign commerce. is accredited. This exception only (C) An official of a foreign applies if the firearm or ammuni- government or a distinguished (c) Any individual, who to that individu- tion is shipped, transported, pos- foreign visitor who has been so al’s knowledge and while being employed sessed, or received in the repre- designated by the Department by any person described in paragraph sentative’s official capacity; of State. This exception only (a) of this section, may not in the course applies if the firearm or ammu- of such employment receive, possess, (C) An official of a foreign nition is shipped, transported, or transport any firearm or ammunition government or a distinguished possessed, or received in the in commerce or affecting commerce or foreign visitor who has been so official’s or visitor’s official ca- receive any firearm or ammunition which designated by the Department pacity, except if the visitor is a has been shipped or transported in inter- of State. This exception only private individual who does not state or foreign commerce. applies if the firearm or ammu- have an official capacity; or nition is shipped, transported, (d) No person may sell or otherwise possessed, or received in the (D) A foreign law enforcement dispose of any firearm or ammunition to official’s or visitor’s official ca- officer of a friendly foreign gov- any person knowing or having reason- pacity, except if the visitor is a ernment entering the United able cause to believe that such person: private individual who does not States on official law enforce- have an official capacity; or ment business, (1) Is under indictment for, or has been convicted in any court of, a (D) A foreign law enforcement (6) Has been discharged from the crime punishable by imprisonment for officer of a friendly foreign gov- Armed Forces under dishonorable a term exceeding 1 year, ernment entering the United conditions, States on official law enforce- (2) Is a fugitive from justice, ment business, (7) Having been a citizen of the United States, has renounced citi- (3) Is an unlawful user of or addict- (6) Has been discharged from the zenship, ed to any controlled substance (as de- Armed Forces under dishonorable fined in section 102 of the Controlled conditions, (8) Is subject to a court order that— Substances Act, 21 U.S.C. 802), (7) Having been a citizen of the (i) Was issued after a hearing of (4) Has been adjudicated as a United States, has renounced citi- which such person received actual mental defective or has been com- zenship, notice, and at which such person mitted to a mental institution, had an opportunity to participate; (8) Is subject to a court order that (5) Being an alien— restrains such person from harass- (ii) Restrains such person from ing, stalking, or threatening an inti- harassing, stalking, or threatening (i) Is illegally or unlawfully in the mate partner of such person or child an intimate partner of such person United States; or of such intimate partner or person, or or child of such intimate partner or engaging in other conduct that would person, or engaging in other con- (ii) Except as provided in para- place an intimate partner in reason- duct that would place an intimate graph (f) of this section, has been able fear of bodily injury to the partner partner in reasonable fear of bodily admitted to the United States under or child: Provided, That the provisions injury to the partner or child; and a nonimmigrant visa: Provided, That of this paragraph shall only apply to a the provisions of this paragraph court order that— (iii)(A) Includes a finding that such person represents a credi- (d)(5)(ii) do not apply to any alien (i) Was issued after a hearing of ble threat to the physical safety of who has been lawfully admitted to the which such person received actual such intimate partner or child; or United States under a nonimmigrant notice, and at which such person visa, if that alien is— had the opportunity to participate; (B) By its terms explicitly pro- and hibits the use, attempted use, or (A) Admitted to the Unit- threatened use of physical force ed States for lawful hunting or (ii)(A) Includes a finding that against such intimate partner or sporting purposes or is in pos- such person represents a credi- child that would reasonably be ex- session of a hunting license ble threat to the physical safety of pected to cause bodily injury, or or permit lawfully issued in the such intimate partner or child; or United States; (9) Has been convicted of a misde- (B) By its terms explicitly pro- meanor crime of domestic violence. (B) An official representative hibits the use, attempted use, or of a foreign government who threatened use of physical force (b) No person who is under indictment is either accredited to the Unit- against such intimate partner or for a crime punishable by imprisonment ed States Government or the child that would reasonably be

43 expected to cause bodily injury, or § 478.34 Removed, obliterated, or facturer or importer of armor piercing altered serial number. ammunition for the purposes of test- (9) Has been convicted of a misde- ing or experimentation as authorized meanor crime of domestic violence. No person shall knowingly transport, by the Director under the provisions of ship, or receive in interstate or foreign §478.149. (e) The actual notice required by commerce any firearm which has had paragraphs (a)(8)(i) and (d)(8)(i) of the importer’s or manufacturer’s serial § 478.38 Transportation of firearms. this section is notice expressly and number removed, obliterated, or altered, actually given, and brought home to or possess or receive any firearm which Notwithstanding any other provision the party directly, including service of has had the importer’s or manufactur- of any law or any rule or regulation of a process personally served on the par- er’s serial number removed, obliterated, State or any political subdivision thereof, ty and service by mail. Actual notice or altered and has, at any time, been any person who is not otherwise prohib- also includes proof of facts and cir- shipped or transported in interstate or ited by this chapter from transporting, cumstances that raise the inference foreign commerce. shipping, or receiving a firearm shall be that the party received notice includ- entitled to transport a firearm for any law- ing, but not limited to, proof that notice § 478.35 Skeet, trap, target, and simi- ful purpose from any place where such was left at the party’s dwelling house lar shooting activities. person may lawfully possess and carry or usual place of abode with some such firearm to any other place where person of suitable age and discretion Licensing and recordkeeping require- such person may lawfully possess and residing therein; or proof that the party ments, including permissible alternate carry such firearm if, during such trans- signed a return receipt for a hearing records, for skeet, trap, target, and sim- portation the firearm is unloaded, and notice which had been mailed to the ilar organized activities shall be deter- neither the firearm nor any ammunition party. It does not include notice pub- mined by the Director of Industry Opera- being transported is readily accessible lished in a newspaper. tions on a case by case basis. or is directly accessible from the passenger compartment of such transporting (f) Pursuant to 18 U.S.C. 922(y)(3), § 478.36 Transfer or possession of vehicle: Provided, That in the case of a any individual who has been admitted to machine guns. vehicle without a compartment separate the United States under a nonimmigrant from the driver’s compartment the fire- visa may receive a waiver from the pro- No person shall transfer or possess a arm or ammunition shall be contained in hibition contained in paragraph (a)(5)(ii) machine gun except: a locked container other than the glove of this section if the Attorney General compartment or console. approves a petition for the waiver. (a) A transfer to or by, or possession by or under the authority of, the United § 478.39 Assembly of semiautomatic § 478.33 Stolen firearms and ammu- States, or any department or agency rifles or shotguns. nition. thereof, or a State, or a department, agency, or political subdivision thereof. (a) No person shall assemble a semi- No person shall transport or ship in in- (See Part 479 of this chapter); or automatic rifle or any shotgun using terstate or foreign commerce any stolen more than 10 of the imported parts list- firearm or stolen ammunition knowing or (b) Any lawful transfer or lawful posed in paragraph (c) of this section if the having reasonable cause to believe that session of a machine gun that was law- assembled firearm is prohibited from the firearm or ammunition was stolen, fully possessed before May 19, 1986 importation under section 925(d)(3) and no person shall receive, possess, (See Part 479 of this chapter). as not being particularly suitable for or conceal, store, barter, sell, or dispose of readily adaptable to sporting purposes. any stolen firearm or stolen ammunition, § 478.37 Manufacture, importation or pledge or accept as security for a loan and sale of armor piercing ammuni- (b) The provisions of this section shall any stolen firearm or stolen ammunition, tion. not apply to: which is moving as, which is a part of, which constitutes, or which has been No person shall manufacture or im- (1) The assembly of such rifle or shipped or transported in, interstate or port, and no manufacturer or importer shotgun for sale or distribution by a foreign commerce, either before or after shall sell or deliver, armor piercing am- licensed manufacturer to the United it was stolen, knowing or having reason- munition, except: States or any department or agency able cause to believe that the firearm or thereof or to any State or any depart- ammunition was stolen. (a) The manufacture or importation, ment, agency, or political subdivision or the sale or delivery by any manufac- thereof; or § 478.33a Theft of firearms. turer or importer, of armor piercing ammunition for the use of the United States (2) The assembly of such rifle or No person shall steal or unlawful- or any department or agency thereof or shotgun for the purposes of testing ly take or carry away from the person any State or any department, agency or or experimentation authorized by or the premises of a person who is li- political subdivision thereof; the Director under the provisions of censed to engage in the business of §478.151; or importing, manufacturing, or dealing (b) The manufacture, or the sale or in firearms, any firearm in the licens- delivery by a manufacturer or importer, (3) The repair of any rifle or shot- ee’s business inventory that has been of armor piercing ammunition for the gun which had been imported into or shipped or transported in interstate or purpose of exportation; or assembled in the United States prior foreign commerce. to November 30, 1990, or the replace- (c) The sale or delivery by a manu- ment of any part of such firearm.

44 (c) For purposes of this section, the loss of any firearm shall also be reported necessary for a licensed importer or a term imported parts are: to the appropriate local authorities. licensed manufacturer to also obtain a dealer’s license in order to engage in (1) Frames, receivers, receiver (Approved by the Office of Management and business on the licensed premises as a castings, forgings or stampings Budget under control number 1140–0039) dealer in the same type of firearms authorized by the license to be imported or (2) Barrels § 478.40 Manufacture, transfer, and manufactured. Payment of the license possession of semiautomatic as- fee as an importer or manufacturer of (3) Barrel extensions sault weapons. destructive devices, ammunition for destructive devices or armor piercing (4) Mounting blocks (trunions) Editor’s Note: ammunition or as a dealer in destructive devices includes the privilege of import- (5) Muzzle attachments ing or manufacturing firearms other than Section 478.40 is not applicable on or destructive devices and ammunition for after September 13, 2004. (6) Bolts other than destructive devices or ammunition other than armor piercing ammu- (7) Bolt carriers § 478.40a Transfer and possession nition, or dealing in firearms other than of large capacity ammunition feed- destructive devices, as the case may (8) Operating rods ing devices. be, by such a licensee at the licensed premises. (9) Gas pistons Editor’s Note: (c) Each person seeking the privi- (10) Trigger housings Section 478.40a is not applicable on or leges of a collector licensed under this after September 13, 2004. part shall file an application, with the (11) Triggers required fee (see §478.42), with ATF Subpart D—Licenses in accordance with the instructions on (12) Hammers the form (see §478.44), and pursuant § 478.41 General. to §478.47, receive from the Chief, (13) Sears Federal Firearms Licensing Center, the (a) Each person intending to engage license covering the collection of curios (14) Disconnectors in business as an importer or manu- and relics. A separate license may be facturer of firearms or ammunition, or obtained for each collection premises, (15) Buttstocks a dealer in firearms shall, before com- and such license shall, subject to the mencing such business, obtain the li- provisions of the Act and other applica- (16) Pistol grips cense required by this subpart for the ble provisions of law, entitle the licensee business to be operated. Each person to transport, ship, receive, and acquire (17) Forearms, handguards who desires to obtain a license as a curios and relics in interstate or foreign collector of curios or relics may obtain commerce, and to make disposition of (18) Magazine bodies such a license under the provisions of curios and relics in interstate or foreign this subpart. commerce, to any other person licensed (19) Followers under the provisions of this part, for the (b) Each person intending to engage period stated on the license. (20) Floorplates in business as a firearms or ammunition importer or manufacturer, or dealer in (d) The collector license provided by §478.39a Reporting theft or loss of firearms shall file an application, with this part shall apply only to transactions firearms. the required fee (see §478.42), with ATF related to a collector’s activity in acquir- in accordance with the instructions on ing, holding or disposing of curios and Each licensee shall report the theft the form (see §478.44), and, pursuant relics. A collector’s license does not or loss of a firearm from the licensee’s to §478.47, receive the license required authorize the collector to engage in a inventory (including any firearm which for such business from the Chief, Fed- business required to be licensed under has been transferred from the licensee’s eral Firearms Licensing Center. Except the Act or this part. Therefore, if the ac- inventory to a personal collection and as provided in §478.50, a license must quisitions and dispositions of curios and held as a personal firearm for at least 1 be obtained for each business and each relics by a collector bring the collector year), or from the collection of a licensed place at which the applicant is to do busi- within the definition of a manufacturer, collector, within 48 hours after the theft ness. A license as an importer or man- importer, or dealer under this part, he or loss is discovered. Licensees shall ufacturer of firearms or ammunition, or shall qualify as such. (See also §478.93 report thefts or losses by telephoning a dealer in firearms shall, subject to the of this part.) 1–888–930–9275 (nationwide toll free provisions of the Act and other applica- number) and by preparing ATF Form ble provisions of law, entitle the licensee § 478.42 License fees. 3310.11, Federal Firearms Licensee to transport, ship, and receive firearms Theft/Loss Report, in accordance with and ammunition covered by such li- Each applicant shall pay a fee for ob- the instructions on the form. The original cense in interstate or foreign commerce taining a firearms license or ammunition of the report shall be forwarded to the of- and to engage in the business specified license, a separate fee being required fice specified thereon, and Copy 1 shall by the license, at the location described for each business or collecting activity at be retained by the licensee as part of the on the license, and for the period stated each place of such business or activity, licensee’s permanent records. Theft or on the license. However, it shall not be as follows:

45 (a) For a manufacturer: in duplicate, with ATF in accordance with (3). The application must be executed the instructions on the form. The applica- under the penalties of perjury and the (1) Of destructive devices, am- tion must: penalties imposed by 18 U.S.C. 924. munition for destructive devices or The application shall include the ap- armor piercing ammunition—$1,000 (i) Be executed under the pen- propriate fee in the form of a money per year. alties of perjury and the penalties order or check made payable to the imposed by 18 U.S.C. 924; Bureau of Alcohol, Tobacco, Firearms, (2) Of firearms other than destruc- and Explosives. ATF Form 7CR (Cu- tive devices—$50 per year. (ii) Include a photograph and rios and Relics) may be obtained by fingerprints as required in the in- contacting the ATF Distribution Center (3) Of ammunition for firearms oth- structions on the form; (See §478.21). er than ammunition for destructive devices or armor piercing ammuni- (iii) If the applicant (including, in (Paragraphs (a) and (b) approved by the Of- tion—$10 per year. the case of a corporation, partner- fice of Management and Budget under con- ship, or association, any individual trol number 1140–0060) (b) For an importer: possessing, directly or indirectly, the power to direct or cause the § 478.45 Renewal of license. (1) Of destructive devices, am- direction of the management and munition for destructive devices or policies of the corporation, part- If a licensee intends to continue the armor piercing ammunition—$1,000 nership, or association) is an alien business or activity described on a li- per year. who has been admitted to the Unit- cense issued under this part during any ed States under a nonimmigrant portion of the ensuing year, the licens- (2) Of firearms other than destruc- visa, applicable documentation ee shall, unless otherwise notified in tive devices or ammunition for fire- demonstrating that the alien falls writing by the Chief, Federal Firearms arms other than destructive devic- within an exception specified in 18 Licensing Center, execute and file with es or ammunition other than armor U.S.C. 922(y)(2) (e.g., a hunting li- ATF prior to the expiration of the license piercing ammunition—$50 per year. cense or permit lawfully issued in an application for a license renewal, the United States) or has obtained ATF Form 8 Part II, in accordance with (c) For a dealer: a waiver as specified in 18 U.S.C. the instructions on the form, and the re- 922(y)(3); and quired fee. If the applicant is an alien (1) In destructive devices—$1,000 who has been admitted to the United per year. (iv) Include the appropriate fee States under a nonimmigrant visa, the in the form of money order or check application must include applicable (2) Who is not a dealer in destruc- made payable to the “Bureau of documentation demonstrating that the tive devices—$200 for 3 years, ex- Alcohol, Tobacco, Firearms, and alien falls within an exception specified cept that the fee for renewal of a valid Explosives”. in 18 U.S.C. 922(y)(2) (e.g., a hunting license shall be $90 for 3 years. license or permit lawfully issued in the (2) ATF Form 7 may be obtained by United States) or has obtained a waiver (d) For a collector of curios and relics— contacting the ATF Distribution Cen- as specified in 18 U.S.C. 922(y)(3). The $10 per year. ter (See §478.21). Chief, Federal Firearms Licensing Cen- ter may, in writing, require the applicant § 478.43 License fee not refundable. (b) Any person who desires to ob- for license renewal to also file com- tain a license as a collector under the pleted ATF Form 7 or ATF Form 7CR No refund of any part of the amount Act and this part, or who has not time- in the manner required by §478.44. In paid as a license fee shall be made ly submitted an application for renewal the event the licensee does not timely where the operations of the licensee of the previous license issued under file an ATF Form 8 Part II, the licensee are, for any reason, discontinued during this part, shall file an application, ATF must file an ATF Form 7 or ATF Form the period of an issued license. Howev- Form 7CR (Curios and Relics), with 7CR as required by §478.44, and ob- er, the license fee submitted with an ap- ATF in accordance with the instruc- tain the required license before con- plication for a license shall be refunded tions on the form. If the applicant (in- tinuing business or collecting activity. if that application is denied or withdrawn cluding, in the case of a corporation, If an ATF Form 8 Part II is not timely by the applicant prior to being acted partnership, or association, any indi- received through the mails, the licens- upon. vidual possessing, directly or indirect- ee should so notify the Chief, Federal ly, the power to direct or cause the Firearms Licensing Center. § 478.44 Original license. direction of the management and policies of the corporation, partnership, or (Approved by the Office of Management and (a) (1) Any person who intends to en- association) is an alien who has been Budget under control number 1140–0060) gage in business as a firearms or am- admitted to the United States under munition importer or manufacturer, or a nonimmigrant visa, the application § 478.46 Insufficient fee. firearms dealer, or who has not previous- must include applicable documenta- ly been licensed under the provisions of tion demonstrating that the alien falls If an application is filed with an in- this part to so engage in business, or within an exception specified in 18 sufficient fee, the application and any who has not timely submitted an appli- U.S.C. 922(y)(2)(e.g., a hunting li- fee submitted will be returned to the cation for renewal of the previous license cense or permit lawfully issued in the applicant. issued under this part, must file an appli- United States) or has obtained a waiv- cation for license, ATF Form 7 (Firearms), er as specified in 18 U.S.C. 922(y)

46 § 478.47 Issuance of license. censing Center, shall approve or the if the error resulted from information Director of Industry Operations shall contained in the licensee’s application (a) Upon receipt of a properly exe- deny an application for a license with- for the license, the Chief, Federal Fire- cuted application for a license on ATF in the 60–day period beginning on the arms Licensing Center, shall require the Form 7, ATF Form 7CR, or ATF Form date the properly executed application licensee to file an amended application 8 Part II, the Chief, Federal Firearms was received: Provided, That when an setting forth the correct information, Licensing Center, shall, upon finding applicant for license renewal is a per- and a statement explaining the error through further inquiry or investigation, son who is, pursuant to the provisions of contained in the application. The Chief, or otherwise, that the applicant is quali- §478.78, §478.143, or §478.144, con- Federal Firearms Licensing Center, fied, issue the appropriate license. Each ducting business or collecting activity then shall make the correction on the license shall bear a serial number and under a previously issued license, action license and return same to the licensee. such number may be assigned to the regarding the application will be held in licensee to whom issued for so long as abeyance pending the completion of the § 478.49 Duration of license. the licensee maintains continuity of re- proceedings against the applicant’s ex- newal in the same location (State). isting license or license application, final The license entitles the person to determination of the applicant’s criminal whom issued to engage in the business (b) The Chief, Federal Firearms Li- case, or final action by the Director on or activity specified on the license, within censing Center, shall approve a prop- an application for relief submitted pur- the limitations of the Act and the regula- erly executed application for license on suant to §478.144, as the case may be. tions contained in this part, for a three ATF Form 7, ATF Form 7CR, or ATF year period, unless terminated sooner. Form 8 Part II, if: (d) When the Director of Industry Op- erations or the Chief, Federal Firearms § 478.50 Locations covered by (1) The applicant is 21 years of age Licensing Center fails to act on an ap- license. or over; plication for a license within the 60–day period prescribed by paragraph (c) of The license covers the class of busi- (2) The applicant (including, in the this section, the applicant may file an ness or the activity specified in the license case of a corporation, partnership, or action under section 1361 of title 28, at the address specified therein. A sepa- association, any individual possess- United States Code, to compel ATF to rate license must be obtained for each lo- ing, directly or indirectly, the power act upon the application. cation at which a firearms or ammunition to direct or cause the direction of the business or activity requiring a license un- management and policies of the cor- § 478.48 Correction of error on der this part is conducted except: poration, partnership, or association) license. is not prohibited under the provisions (a) No license is required to cov- of the Act from shipping or transport- (a) Upon receipt of a license issued er a separate warehouse used by the ing in interstate or foreign commerce, under the provisions of this part, each licensee solely for storage of firearms or possessing in or affecting com- licensee shall examine same to ensure or ammunition if the records required by merce, any firearm or ammunition, that the information contained thereon is this part are maintained at the licensed or from receiving any firearm or am- accurate. If the license is incorrect, the premises served by such warehouse; munition which has been shipped or licensee shall return the license to the transported in interstate or foreign Chief, Federal Firearms Licensing Cen- (b) A licensed collector may acquire commerce; ter, with a statement showing the nature curios and relics at any location, and dis- of the error. The Chief, Federal Firearms pose of curios or relics to any licensee (3) The applicant has not willfully Licensing Center, shall correct the error, or to other persons who are residents of violated any of the provisions of the if the error was made in his office, and the State where the collector’s license is Act or this part; return the license. However, if the error held and the disposition is made; resulted from information contained in the (4) The applicant has not willfully licensee’s application for the license, the (c) A licensee may conduct business failed to disclose any material infor- Chief, Federal Firearms Licensing Cen- at a gun show pursuant to the provision mation required, or has not made any ter, shall require the licensee to file an of §478.100; or false statement as to any material amended application setting forth the cor- fact, in connection with his applica- rect information and a statement explain- (d) A licensed importer, manufacturer, tion; and ing the error contained in the application. or dealer may engage in the business of Upon receipt of the amended application dealing in curio or relic firearms with an- (5) The applicant has in a State and a satisfactory explanation of the er- other licensee at any location pursuant (i) premises from which he conducts ror, the Chief, Federal Firearms Licensing to the provisions of §478.100. business subject to license under the Center, shall make the correction on the Act or from which he intends to con- license and return same to the licensee. § 478.51 License not transferable. duct such business within a reasonable period of time, or (ii) in the case (b) When the Chief, Federal Fire- Licenses issued under this part are of a collector, premises from which arms Licensing Center, finds through not transferable. In the event of the he conducts his collecting subject to any means other than notice from the lease, sale, or other transfer of the op- license under the Act or from which licensee that an incorrect license has erations authorized by the license, the he intends to conduct such collecting been issued, the Chief, Federal Fire- successor must obtain the license re- within a reasonable period of time. arms Licensing Center, may require the quired by this part prior to commencing holder of the incorrect license to (1) re- such operations. However, for rules on (c) The Chief, Federal Firearms Li- turn the license for correction, and (2) right of succession, see §478.56.

47 § 478.52 Change of address. censed corporation or in any other cor- business is either discontinued or suc- poration), by operations of law, or in any ceeded by a new owner, the owner of (a) Licensees may during the term of other manner, the licensee shall, within the business discontinued or succeed- their current license remove their busi- 30 days of such change, give written ed shall within 30 days thereof furnish ness or activity to a new location at which notification thereof, executed under the to the Chief, Federal Firearms Licensing they intend regularly to carry on such penalties of perjury, to the Chief, Federal Center notification of the discontinuance business or activity by filing an Applica- Firearms Licensing Center. Upon expira- or succession. (See also §478.127.) tion for an Amended Federal Firearms tion of the license, the corporation or as- License, ATF Form 5300.38, in dupli- sociation must file a Form 7 (Firearms) Editor’s Note: cate, not less than 30 days prior to such as required by §478.44. removal with the Chief, Federal Fire- Paragraphs (b) and (c) of section arms Licensing Center. The ATF Form § 478.55 Continuing partnerships. 478.57 are not applicable on or after Sep- 5300.38 shall be completed in accor- tember 13, 2004. dance with the instructions on the form. Where, under the laws of the partic- The application must be executed under ular State, the partnership is not termi- § 478.58 State or other law. the penalties of perjury and penalties im- nated on death or insolvency of a part- posed by 18 U.S.C. 924. The application ner, but continues until the winding up A license issued under this part con- shall be accompanied by the licensee’s of the partnership affairs is completed, fers no right or privilege to conduct busi- original license. The Chief, Federal Fire- and the surviving partner has the exclu- ness or activity contrary to State or other arms Licensing Center, may, in writing, sive right to the control and possession law. The holder of such a license is not require the applicant for an amended li- of the partnership assets for the purpose by reason of the rights and privileges cense to also file completed ATF Form 7 of liquidation and settlement, such sur- granted by that license immune from or ATF Form 7CR, or portions thereof, in viving partner may continue to operate punishment for operating a firearm or the manner required by §478.44. the business under the license of the ammunition business or activity in vio- partnership. If such surviving partner lation of the provisions of any State or (b) Upon receipt of a properly execut- acquires the business on completion other law. Similarly, compliance with the ed application for an amended license, of the settlement of the partnership, he provisions of any State or other law af- the Chief, Federal Firearms Licensing shall obtain a license in his own name fords no immunity under Federal law or Center, shall, upon finding through fur- from the date of acquisition, as provided regulations. ther inquiry or investigation, or other- in §478.44. The rule set forth in this sec- wise, that the applicant is qualified at tion shall also apply where there is more § 478.59 Abandoned application. the new location, issue the amended li- than one surviving partner. cense, and return it to the applicant. The Upon receipt of an incomplete or license shall be valid for the remainder § 478.56 Right of succession by improperly executed application on of the term of the original license. The certain persons. ATF form 7 (5310.12), or ATF Form 8 Chief, Federal Firearms Licensing Cen- (5310.11) Part II, the applicant shall be ter, shall, if the applicant is not qualified, (a) Certain persons other than the notified of the deficiency in the applica- refer the application for amended license licensee may secure the right to carry tion. If the application is not corrected to the Director of Industry Operations for on the same firearms or ammunition and returned within 30 days following denial in accordance with §478.71. business at the same address shown the date of notification, the application on, and for the remainder of the term of, shall be considered as having been (Approved by the Office of Management and a current license. Such persons are: abandoned and the license fee returned. Budget under control number 1140–0040) (1) The surviving spouse or child, § 478.60 Certain continuances of § 478.53 Change in trade name. or executor, administrator, or other business. legal representative of a deceased A licensee continuing to conduct licensee; and A licensee who furnishes his license business at the location shown on his to the Chief, Federal Firearms Licensing license is not required to obtain a new (2) A receiver or trustee in bank- Center for correction or endorsement license by reason of a mere change in ruptcy, or an assignee for benefit of in compliance with the provisions con- trade name under which he conducts his creditors. tained in this subpart may continue his business: Provided, That such licensee operations while awaiting its return. furnishes his license for endorsement of (b) In order to secure the right pro- such change to the Chief, Federal Fire- vided by this section, the person or Subpart E—License Proceedings arms Licensing Center within 30 days persons continuing the business shall from the date the licensee begins his furnish the license for that business § 478.71 Denial of an application for business under the new trade name. for endorsement of such succession to license. the Chief, Federal Firearms Licensing § 478.54 Change of control. Center, within 30 days from the date on Whenever the Director has reason to which the successor begins to carry on believe that an applicant is not qualified In the case of a corporation or asso- the business. to receive a license under the provisions ciation holding a license under this part, of §478.47, he may issue a notice of de- if actual or legal control of the corpora- § 478.57 Discontinuance of nial, on Form 4498, to the applicant. The tion or association changes, directly or business. notice shall set forth the matters of fact indirectly, whether by reason of change and law relied upon in determining that in stock ownership or control (in the li- (a) Where a firearm or ammunition

48 the application should be denied, and tional instant criminal background check § 478.75 Service on applicant or shall afford the applicant 15 days from system was operating and information licensee. the date of receipt of the notice in which was available to the system demon- to request a hearing to review the denial. strating that the transferee’s receipt of All notices and other documents re- If no request for a hearing is filed within a firearm would violate 18 U.S.C. 922(g) quired to be served on an applicant or such time, the application shall be disap- or 922(n) or State law. licensee under this subpart shall be proved and a copy, so marked, shall be served by certified mail or by personal returned to the applicant. (b) Issuance of notice. The notice delivery. Where service is by certified shall set forth the matters of fact con- mail, a signed duplicate original copy § 478.72 Hearing after application stituting the violations specified, dates, of the formal document shall be mailed, denial. places, and the sections of law and with return receipt requested, to the ap- regulations violated. The Director shall plicant or licensee at the address stated If the applicant for an original or re- afford the licensee 15 days from the in his application or license, or at his last newal license desires a hearing to review date of receipt of the notice in which to known address. Where service is by per- the denial of his application, he shall file request a hearing prior to suspension or sonal delivery, a signed duplicate origi- a request therefor, in duplicate, with the revocation of the license, or imposition nal copy of the formal document shall be Director of Industry Operations within 15 of a civil fine. If the licensee does not delivered to the applicant or licensee, or, days after receipt of the notice of denial. file a timely request for a hearing, the in the case of a corporation, partnership, The request should include a statement Director shall issue a final notice of sus- or association, by delivering it to an offi- of the reasons therefor. On receipt of the pension or revocation and/or imposition cer, manager, or general agent thereof, request, the Director of Industry Opera- of a civil fine on ATF Form 5300.13, as or to its attorney of record. tions shall, as expeditiously as possible, provided in §478.74. make the necessary arrangements for § 478.76 Representation at a hearing. the hearing and advise the applicant of § 478.74 Request for hearing after the date, time, location, and the name of notice of suspension, revocation, or An applicant or licensee may be rep- the officer before whom the hearing will imposition of civil fine. resented by an attorney, certified public be held. Such notification shall be made accountant, or other person recognized not less than 10 days in advance of the If a licensee desires a hearing after to practice before the Bureau of Alcohol, date set for the hearing. On conclusion receipt of a notice of suspension or re- Tobacco, Firearms, Explosives as proof the hearing and consideration of all vocation of a license, or imposition of vided in 31 CFR Part 8 (Practice Before relevant facts and circumstances pre- a civil fine, the licensee shall file are- the Bureau of Alcohol, Tobacco and Fire- sented by the applicant or his represen- quest, in duplicate, with the Director of arms), if he has otherwise complied with tative, the Director shall render his deci- Industry Operations within 15 days after the applicable requirements of 26 CFR sion confirming or reversing the denial of receipt of the notice of suspension or re- 601.521 through 601.527 (conference the application. If the decision is that the vocation of a license, or imposition of a and practice requirements for alcohol, denial should stand, a certified copy of civil fine. On receipt of such request, the tobacco, and firearms activities) of this the Director’s findings and conclusions Director of Industry Operations shall, as chapter. The Director may be represent- shall be furnished to the applicant with expeditiously as possible, make neces- ed in proceedings by an attorney in the a final notice of denial, Form 5300.13. sary arrangements for the hearing and office of the Chief Counsel who is autho- A copy of the application, marked “Dis- advise the licensee of the date, time, lo- rized to execute and file motions, briefs approved,” will be returned to the ap- cation and the name of the officer before and other papers in the proceeding, on plicant. If the decision is that the license whom the hearing will be held. Such no- behalf of the Director, in his own name applied for should be issued, the appli- tification shall be made no less than 10 as “Attorney for the Government.” cant shall be so notified, in writing, and days in advance of the date set for the the license shall be issued as provided hearing. On conclusion of the hearing § 478.77 Designated place of hear- by §478.47. and consideration of all the relevant pre- ing. sentations made by the licensee or the § 478.73 Notice of revocation, sus- licensee’s representative, the Director The designated place of the hearing pension, or imposition of civil fine. shall render a decision and shall prepare shall be a location convenient to the ag- a brief summary of the findings and con- grieved party. (a) Basis for action. Whenever the clusions on which the decision is based. Director has reason to believe that a If the decision is that the license should § 478.78 Operations by licensee after licensee has willfully violated any provi- be revoked, or, in actions under 18 notice. sion of the Act or this part, a notice of re- U.S.C. 922(t)(5), that the license should vocation of the license, ATF Form 4500, be revoked or suspended, and/or that a In any case where denial, suspension, may be issued. In addition, a notice of civil fine should be imposed, a certified or revocation proceedings are pending revocation, suspension, or imposition of copy of the summary shall be furnished before the Bureau of Alcohol, Tobacco, a civil fine may be issued on ATF Form to the licensee with the final notice of Firearms and, Explosives, or notice of de- 4500 whenever the Director has reason revocation, suspension, or imposition nial, suspension, or revocation has been to believe that a licensee has knowingly of a civil fine on ATF Form 5300.13. If served on the licensee and he has filed transferred a firearm to an unlicensed the decision is that the license should timely request for a hearing, the license person and knowingly failed to com- not be revoked, or in actions under 18 in the possession of the licensee shall reply with the requirements of 18 U.S.C. U.S.C. 922(t)(5), that the license should main in effect even though such license 922(t)(1) with respect to the transfer not be revoked or suspended, and a civil has expired, or the suspension or revoca- and, at the time that the transferee most fine should not be imposed, the licensee tion date specified in the notice of revoca- recently proposed the transfer, the na- shall be notified in writing. tion on Form 4500 served on the licensee

49 has passed: Provided, That with respect erwise conspicuously placing or of identifying that weapon upon re- to a license that has expired, the licens- causing to be engraved, cast, ceipt of a letter application from you, ee has timely filed an application for the stamped (impressed) or placed on submitted in duplicate, showing that renewal of his license. If a licensee is the frame, receiver, or barrel there- engraving, casting, or stamping (im- dissatisfied with a post hearing decision of certain additional information. pressing) such a weapon would be revoking or suspending the license or de- This information must be placed in dangerous or impracticable. nying the application or imposing a civil a manner not susceptible of being fine, as the case may be, he may, pursu- readily obliterated, altered, or re- (iii) Machine guns, silencers, ant to 18 U.S.C. 923(f)(3), within 60 days moved. For firearms manufactured and parts. Any part defined as a after receipt of the final notice denying or imported on and after January machine gun, firearm muffler, or the application or revoking or suspending 30, 2002, the engraving, casting, firearm silencer in §478.11, that the license or imposing a civil fine, file a or stamping (impressing) of this is not a component part of a competition for judicial review of such action. information must be to a minimum plete weapon at the time it is sold, Such petition should be filed with the U.S. depth of .003 inch. The additional shipped, or otherwise disposed of district court for the district in which the information includes: by you, must be identified as re- applicant or licensee resides or has his quired by this section. The Direc- principal place of business. In such case, (A) The model, if such desig- tor may authorize other means of when the Director finds that justice so nation has been made; identification of parts defined as requires, he may postpone the effective machine guns other than frames date of suspension or revocation of a li- (B) The caliber or gauge; or receivers and parts defined as cense or authorize continued operations mufflers or silencers upon receipt under the expired license, as applicable, (C) Your name (or recognized of a letter application from you, pending judicial review. abbreviation) and also, when submitted in duplicate, showing applicable, the name of the for- that such other identification is Subpart F—Conduct of Business eign manufacturer; reasonable and will not hinder the effective administration of this part. § 478.91 Posting of license. (D) In the case of a domesti- cally made firearm, the city and (5) Measurement of height and Any license issued under this part State (or recognized abbrevia- depth of markings. The depth of all shall be kept posted and kept available tion thereof) where you as the markings required by this section will for inspection on the premises covered manufacturer maintain your be measured from the flat surface of by the license. place of business; and the metal and not the peaks or ridges. The height of serial numbers required § 478.92 How must licensed man- (E) In the case of an imported by paragraph (a)(1)(i) of this section ufacturers and licensed importers firearm, the name of the coun- will be measured as the distance be- identify firearms, armor piercing try in which it was manufactured tween the latitudinal ends of the char- ammunition, and large capacity am- and the city and State (or rec- acter impression bottoms (bases). munition feeding devices? ognized abbreviation thereof) where you as the importer main- (b) Armor piercing ammunition (a) (1) Firearms. You, as a licensed tain your place of business. For manufacturer or licensed importer of fire- additional requirements relating (1) Marking of ammunition. Each arms, must legibly identify each firearm to imported firearms, see Cus- licensed manufacturer or licensed manufactured or imported as follows: toms regulations at 19 CFR part importer of armor piercing ammuni- 134. tion shall identify such ammunition by (i) By engraving, casting, stamp- means of painting, staining or dying ing (impressing), or otherwise con- (2) Firearm frames or receivers. A the exterior of the projectile with an spicuously placing or causing to firearm frame or receiver that is not a opaque black coloring. This coloring be engraved, cast, stamped (im- component part of a complete weapon must completely cover the point of pressed) or placed on the frame or at the time it is sold, shipped, or other- the projectile and at least 50 percent receiver thereof an individual serial wise disposed of by you must be iden- of that portion of the projectile which number. The serial number must tified as required by this section. is visible when the projectile is loaded be placed in a manner not suscep- into a cartridge case. tible of being readily obliterated, (4) Exceptions. altered, or removed, and must not (2) Labeling of packages. Each duplicate any serial number placed (i) Alternate means of identifi- licensed manufacturer or licensed by you on any other firearm. For cation. The Director may authorize importer of armor piercing ammuni- firearms manufactured or imported other means of identification upon tion shall clearly and conspicuously on and after January 30, 2002, the receipt of a letter application from label each package in which armor engraving, casting, or stamping you, submitted in duplicate, show- piercing ammunition is contained, (impressing) of the serial num- ing that such other identification is e.g., each box, carton, case, or oth- ber must be to a minimum depth reasonable and will not hinder the er container. The label shall include of .003 inch and in a print size no effective administration of this part. the words “ARMOR PIERCING” smaller than 1⁄16 inch; and in block letters at least 1⁄4 inch in (ii) Destructive devices. In the height. The lettering shall be located (ii) By engraving, casting, case of a destructive device, the Di- on the exterior surface of the package stamping (impressing), or oth- rector may authorize other means which contains information concerning

50 the caliber or gauge of the ammunition. has furnished a certified copy of its license apply when a firearm is purchased by There shall also be placed on the same to a transferor to again furnish such certi- or delivered to a person not otherwise surface of the package in block letter- fied copy to that transferor during the term prohibited by the Act from purchasing or ing at least 1⁄8 inch in height the words of the transferee’s current license, (b) for receiving it. “FOR GOVERNMENTAL ENTITIES a licensee to furnish a certified copy of its OR EXPORTATION ONLY.” The state- license to another licensee if a firearm is (b) A licensed importer, licensed manu- ments required by this subparagraph being returned either directly or through facturer, or licensed dealer may sell a fire- shall be on a contrasting background. another licensee to such licensee and (c) arm that is not subject to the provisions of for licensees of multilicensed business or- §478.102(a) to a nonlicensee who does (Approved by the Office of Management and ganizations to furnish certified copies of not appear in person at the licensee’s Budget under control number 1140–0050) their licenses to other licensed locations business premises if the nonlicensee is operated by such organization: Provided a resident of the same State in which the Editor’s Note: further, That a multilicensed business or- licensee’s business premises are locat- ganization may furnish to a transferor, in ed, and the nonlicensee furnishes to the lieu of a certified copy of each license, a licensee the firearms transaction record, Paragraphs (a)(3) and (c) of section list, certified to be true, correct and com- Form 4473, required by §478.124. The 478.92 are not applicable on or after plete, containing the name, address, li- nonlicensee shall attach to such record September 13, 2004 cense number, and the date of license ex- a true copy of any permit or other infor- piration of each licensed location operated mation required pursuant to any statute of § 478.93 Authorized operations by a by such organization, and the transferor the State and published ordinance appli- licensed collector. may sell or otherwise dispose of firearms cable to the locality in which he resides. as provided by this section to any licensee The licensee shall prior to shipment or de- The license issued to a collector of cu- appearing on such list without requiring livery of the firearm, forward by registered rios or relics under the provisions of this a certified copy of a license therefrom. A or certified mail (return receipt requested) part shall cover only transactions by the transferor licensee who has the certified a copy of the record, Form 4473, to the licensed collector in curios and relics. information required by this section may chief law enforcement officer named on The collector’s license is of no force or sell or dispose of firearms to a licensee for such record, and delay shipment or deliv- effect and a licensed collector is of the not more than 45 days following the expi- ery of the firearm for a period of at least 7 same status under the Act and this part ration date of the transferee’s license. days following receipt by the licensee of as a nonlicensee with respect to (a) any the return receipt evidencing delivery of acquisition or disposition of firearms oth- (Approved by the Office of Management and the copy of the record to such chief law er than curios or relics, or any transpor- Budget under control number 1140–0032) enforcement officer, or the return of the tation, shipment, or receipt of firearms copy of the record to him due to the re- other than curios or relics in interstate or § 478.95 Certified copy of license. fusal of such chief law enforcement officer foreign commerce, and (b) any transac- to accept same in accordance with U.S. tion with a nonlicensee involving any fire- The license furnished to each per- Postal Service regulations. The original arm other than a curio or relic. (See also Form 4473, and evidence of receipt or re- §478.50.) A collectors license is not nec- son licensed under the provisions of this part contains a purchasing certification jection of delivery of the copy of the Form essary to receive or dispose of ammuni- 4473 sent to the chief law enforcement tion, and a licensed collector is not pre- statement. This original license may be reproduced and the reproduction then officer shall be retained by the licensee as cluded by law from receiving or disposing a part of the records required of him to be of armor piercing ammunition. However, certified by the licensee for use pursuant to §178.94. If the licensee desires an ad- kept under the provisions of subpart H of a licensed collector may not dispose of this part. any ammunition to a person prohibited ditional copy of the license for certification from receiving or possessing ammunition (instead of making a reproduction of the original license), the licensee may submit (c) (1) A licensed importer, licensed (see §478.99(c)). Any licensed collector manufacturer, or licensed dealer may who disposes of armor piercing ammu- a request, in writing, for a certified copy or copies of the license to the Chief, Federal sell or deliver a rifle or shotgun, and a nition must record the disposition as re- licensed collector may sell or deliver a quired by §478.125 (a) and (b). Firearms Licensing Center. The request must set forth the name, trade name (if rifle or shotgun that is a curio or relic to any) and address of the licensee, and the a nonlicensed resident of a State other § 478.94 Sales or deliveries between than the State in which the licensee’s licensees. number of license copies desired. There is a charge of $1 for each copy. The fee place of business is located if— paid for copies of the license must accom- A licensed importer, licensed manufac- (i) The purchaser meets with the turer, or licensed dealer selling or other- pany the request for copies. The fee may be paid by (a) cash, or (b) money order or licensee in person at the licensee’s wise disposing of firearms, and a licensed premises to accomplish the trans- collector selling or otherwise disposing of check made payable to the Bureau of Al- cohol, Tobacco, Firearms, and Explosives. fer, sale, and delivery of the rifle or curios or relics, to another licensee shall shotgun; verify the identity and licensed status of the transferee prior to making the trans- (Approved by the Office of Management and Budget under control number 1140–0032) (ii) The licensed importer, li- action. Verification shall be established by censed manufacturer, or licensed the transferee furnishing to the transferor § 478.96 Out–of–State and mail order dealer complies with the provisions a certified copy of the transferee’s license of §478.102; and by such other means as the transferor sales. deems necessary: Provided, That it shall (a) The provisions of this section shall (iii) The purchaser furnishes not be required (a) for a transferee who to the licensed importer, licensed

51 manufacturer, or licensed dealer licensee a sworn statement setting forth nance applicable at the place of sale, the firearms transaction record, delivery, or other disposition, unless the Form 4473, required by §478.124; (a) The reasons why there is a rea- importer, manufacturer, dealer, or collec- and sonable necessity for such person to tor knows or has reasonable cause to purchase or otherwise acquire the de- believe that the purchase or possession (iv) The sale, delivery, and re- vice or weapon; and would not be in violation of such State ceipt of the rifle or shotgun fully law or such published ordinance. comply with the legal conditions of (b) That such person’s receipt or sale in both such States. possession of the device or weapon (c) Sales or deliveries to prohibited would be consistent with public safety. categories of persons. A licensed man- (2) For purposes of paragraph (c) Such sworn statement shall be made on ufacturer, licensed importer, licensed of this section, any licensed manufac- the application to transfer and register dealer, or licensed collector shall not sell turer, licensed importer, or licensed the firearm required by Part 479 of this or otherwise dispose of any firearm or dealer is presumed, in the absence of chapter. The sale or delivery of the de- ammunition to any person knowing or evidence to the contrary, to have had vice or weapon shall not be made until having reasonable cause to believe that actual knowledge of the State laws the application for transfer is approved such person: and published ordinances of both by the Director and returned to the such States. licensee (transferor) as provided in Part (1) Is, except as provided by 479 of this chapter. §478.143, under indictment for, or, (Approved by the Office of Management and except as provided by §478.144, Budget under control number 1140–0021) § 478.99 Certain prohibited sales or has been convicted in any court of a deliveries. crime punishable by imprisonment for § 478.97 Loan or rental of firearms. a term exceeding 1 year; (a) Interstate sales or deliveries. A (a) A licensee may lend or rent a fire- licensed importer, licensed manufactur- (2) Is a fugitive from justice; arm to any person for temporary use off er, licensed dealer, or licensed collector the premises of the licensee for lawful shall not sell or deliver any firearm to any (3) Is an unlawful user of or addict- sporting purposes: Provided, That the person not licensed under this part and ed to any controlled substance (as de- delivery of the firearm to such per- who the licensee knows or has reason- fined in section 102 of the Controlled son is not prohibited by §478.99(b) or able cause to believe does not reside Substance Act, 21 U.S.C. 802); §478.99(c), the licensee complies with in (or if a corporation or other business the requirements of §478.102, and the entity, does not maintain a place of busi- (4) Has been adjudicated as a licensee records such loan or rental in ness in) the State in which the licensee’s mental defective or has been com- the records required to be kept by him place of business or activity is located: mitted to any mental institution; under Subpart H of this part. Provided, That the foregoing provisions of this paragraph (1) shall not apply to (5) Is an alien illegally or unlaw- (b) A club, association, or similar orga- the sale or delivery of a rifle or shotgun fully in the United States or, except nization temporarily furnishing firearms (curio or relic, in the case of a licensed as provided in §478.32(f), is an alien (whether by loan, rental, or otherwise) collector) to a resident of a State other who has been admitted to the United to participants in a skeet, trap, target, than the State in which the licensee’s States under a nonimmigrant visa: or similar shooting activity for use at place of business or collection prem- Provided, That the provisions of this the time and place such activity is held ises is located if the requirements of paragraph (c)(5) do not apply to any does not, unattended by other circum- §478.96(c) are fully met, and (2) shall alien who has been lawfully admitted stances, cause such club, association, not apply to the loan or rental of a fire- to the United States under a nonim- or similar organization to be engaged arm to any person for temporary use for migrant visa if that alien is— in the business of a dealer in firearms lawful sporting purposes (see §478.97). or as engaging in firearms transactions. (i) Admitted to the United States Therefore, licensing and recordkeeping (b) Sales or deliveries to under- for lawful hunting or sporting pur- requirements contained in this part per- aged persons. A licensed importer, li- poses or is in possession of a taining to firearms transactions would censed manufacturer, licensed dealer, hunting license or permit lawfully not apply to this temporary furnishing of or licensed collector shall not sell or issued in the United States; firearms for use on premises on which deliver (1) any firearm or ammunition to such an activity is conducted. any individual who the importer, manu- (ii) An official representative of facturer, dealer, or collector knows or a foreign government who is either § 478.98 Sales or deliveries of has reasonable cause to believe is less accredited to the United States destructive devices and certain than 18 years of age, and, if the firearm, Government or the Government’s firearms. or ammunition, is other than a shotgun mission to an international organi- or rifle, or ammunition for a shotgun or zation having its headquarters in the The sale or delivery by a licensee of rifle, to any individual who the importer, United States or en route to or from any destructive device, machine gun, manufacturer, dealer, or collector knows another country to which that alien is short–barreled shotgun, or short–bar- or has reasonable cause to believe is accredited. This exception only ap- reled rifle, to any person other than an- less than 21 years of age, or (2) any fire- plies if the firearm or ammunition is other licensee who is licensed under this arm to any person in any State where shipped, transported, possessed, or part to deal in such device or firearm, is the purchase or possession by such per- received in the representative’s offi- prohibited unless the person to receive son of such firearm would be in violation cial capacity; such device or firearm furnishes to the of any State law or any published ordi-

52 (iii) An official of a foreign gov- (1) For use of the United States or (b) A gun show or an event is a function ernment or a distinguished foreign any department or agency thereof or sponsored by any national, State, or local visitor who has been so designat- any State or any department, agency, organization, devoted to the collection, ed by the Department of State. or political subdivision thereof; competitive use, or other sporting use of This exception only applies if the firearms, or an organization or associa- firearm or ammunition is shipped, (2) For the purpose of exportation; tion that sponsors functions devoted to transported, possessed, or re- or the collection, competitive use, or other ceived in the official’s or visitor’s sporting use of firearms in the community. official capacity, except if the visitor (3) For the purpose of testing or is a private individual who does not experimentation authorized by the (c) Licensees conducting business have an official capacity; or Director under the provisions of at locations other than the premises §478.149. specified on their license under the pro- (iv) A foreign law enforcement visions of paragraph (a) of this section officer of a friendly foreign govern- (e) Transfer of armor piercing am- shall maintain firearms records in the ment entering the United States on munition by licensed dealers. A li- form and manner prescribed by sub- official law enforcement business; censed dealer shall not willfully transfer part H of this part. In addition, records armor piercing ammunition: Provided, of firearms transactions conducted at (6) Has been discharged from the That armor piercing ammunition received such locations shall include the location Armed Forces under dishonorable and maintained by the licensed dealer of the sale or other disposition, be en- conditions; as business inventory prior to August 28, tered in the acquisition and disposition 1986, may be transferred to any depart- records of the licensee, and retained on (7) Who, having been a citizen of ment or agency of the United States or the premises specified on the license. the United States, has renounced cit- any State or political subdivision thereof izenship; if a record of such ammunition is main- § 478.101 Record of transactions. tained in the form and manner prescribed (8) Is subject to a court order that by §478.125(c). Any licensed dealer who Every licensee shall maintain firearms restrains such person from harass- violates this paragraph is subject to li- and armor piercing ammunition records ing, stalking, or threatening an inti- cense revocation. See subpart E of this in such form and manner as is pre- mate partner of such person or child part. For purposes of this paragraph, the scribed by subpart H of this part. of such intimate partner or person, or Director shall furnish each licensed deal- engaging in other conduct that would er information defining which projectiles § 478.102 Sales or deliveries of fire- place an intimate partner in reason- are considered armor piercing. Such arms on and after November 30, 1998. able fear of bodily injury to the partner information may not be all–inclusive for or child, except that this paragraph purposes of the prohibition on manufac- (a) Background check. Except as pro- shall only apply to a court order that— ture, importation, or sale or delivery by a vided in paragraph (d) of this section, a manufacturer or importer of such ammu- licensed importer, licensed manufactur- (i) Was issued after a hearing of nition or 18 U.S.C. 929 relating to criminal er, or licensed dealer (the licensee) shall which such person received actual misuse of such ammunition. not sell, deliver, or transfer a firearm to notice, and at which such person any other person who is not licensed un- had the opportunity to participate; § 478.100 Conduct of business away der this part unless the licensee meets and from licensed premises. the following requirements:

(ii)(A) Includes a finding that (a)(1) A licensee may conduct busi- (1) Before the completion of the trans- such person represents a credi- ness temporarily at a gun show or event fer, the licensee has contacted NICS; ble threat to the physical safety of as defined in paragraph (b) if the gun such intimate partner or child; or show or event is located in the same (2)(i) NICS informs the licensee State specified on the license: Provid- that it has no information that receipt (B) By its terms explicitly pro- ed, That such business shall not be of the firearm by the transferee would hibits the use, attempted use, or conducted from any motorized or towed be in violation of Federal or State threatened use of physical force vehicle. The premises of the gun show law and provides the licensee with a against such intimate partner or or event at which the licensee conducts unique identification number; or child that would reasonably be business shall be considered part of the expected to cause bodily injury, licensed premises. Accordingly, no sep- (ii) Three business days (mean- or arate fee or license is required for the ing days on which State offices are gun show or event locations. However, open) have elapsed from the date (9) Has been convicted of a misde- licensees shall comply with the provi- the licensee contacted NICS and meanor crime of domestic violence. sions of §478.91 relating to posting of NICS has not notified the licensee licenses (or a copy thereof) while con- that receipt of the firearm by the (d) Manufacture, importation, and ducting business at the gun show or transferee would be in violation of sale of armor piercing ammunition event. law; and by licensed importers and licensed manufacturers. A licensed importer or (2) A licensed importer, manufac- (3) The licensee verifies the identi- licensed manufacturer shall not import turer, or dealer may engage in the ty of the transferee by examining the or manufacture armor piercing ammuni- business of dealing in curio or relic identification document presented tion or sell or deliver such ammunition, firearms with another licensee at any in accordance with the provisions of except: location. §478.124(c).

53 Example for paragraph (a). A licensee number is provided. The State imposes (e) The document referred to in para- contacts NICS on Thursday, and gets a a 7–day waiting period on all firearms graph (d)(1) of this section (or a copy “delayed” response. The licensee does transactions, and the purchaser returns thereof) shall be retained or the required not get a further response from NICS. to pick up the firearm on February 15, information from the document shall be If State offices are not open on Satur- 1999. Before the licensee executes the recorded on the firearms transaction re- day and Sunday, 3 business days would Form 4473, and the firearm is trans- cord in accordance with the provisions have elapsed on the following Tuesday. ferred, the purchaser decides to pur- of §478.131. The licensee may transfer the firearm on chase an additional firearm. The trans- the next day, Wednesday. fer of these two firearms is considered (Approved by the Office of Management and a single transaction; accordingly, the Budget under control number 1140–0045) (b) Transaction number. In any trans- licensee may add the second firearm to action for which a licensee receives a the Form 4473, and transfer that firearm § 478.103 Posting of signs and transaction number from NICS (which without conducting another NICS check. written notification to purchasers of shall include either a NICS transaction handguns. number or, in States where the State Example 3 for paragraph (c). A pur- is recognized as a point of contact for chaser completes a Form 4473 on Feb- (a) Each licensed importer, manufac- NICS checks, a State transaction num- ruary 15, 1999. The licensee receives a turer, dealer, or collector who delivers a ber), such number shall be recorded unique identification number from NICS handgun to a nonlicensee shall provide on a firearms transaction record, Form on that date, the Form 4473 is execut- such nonlicensee with written notifica- 4473, which shall be retained in the re- ed by the licensee, and the firearm is tion as described in paragraph (b) of cords of the licensee in accordance with transferred. On February 20, 1999, this section. the provisions of §478.129. This applies the purchaser returns to the licensee’s regardless of whether the transaction is premises and wishes to purchase a sec- (b) The written notification (ATF I approved or denied by NICS, and re- ond firearm. The purchase of the second 5300.2) required by paragraph (a) of gardless of whether the firearm is actu- firearm is a separate transaction; thus, this section shall state as follows: ally transferred. a new NICS check must be initiated by the licensee. (1) The misuse of handguns is a (c) Time limitation on NICS checks. leading contributor to juvenile vio- A NICS check conducted in accordance (d) Exceptions to NICS check. The lence and fatalities. with paragraph (a) of this section may be provisions of paragraph (a) of this sec- relied upon by the licensee only for use tion shall not apply if— (2) Safely storing and securing in a single transaction, and for a period firearms away from children will help not to exceed 30 calendar days from the (1) The transferee has presented prevent the unlawful possession of date that NICS was initially contacted. to the licensee a valid permit or li- handguns by juveniles, stop acci- If the transaction is not completed with- cense that— dents, and save lives. in the 30–day period, the licensee shall initiate a new NICS check prior to com- (i) Allows the transferee to pos- (3) Federal law prohibits, except pletion of the transfer. sess, acquire, or carry a firearm; in certain limited circumstances, anyone under 18 years of age from Example 1 for paragraph (c). A pur- (ii) Was issued not more than 5 knowingly possessing a handgun, or chaser completes the Form 4473 on years earlier by the State in which any person from transferring a hand- December 15, 1998, and a NICS check the transfer is to take place; and gun to a person under 18. is initiated by the licensee on that date. The licensee is informed by NICS that (iii) The law of the State pro- (4) A knowing violation of the pro- the information available to the system vides that such a permit or license hibition against selling, delivering, or does not indicate that receipt of the fire- is to be issued only after an autho- otherwise transferring a handgun to a arm by the transferee would be in vio- rized government official has ver- person under the age of 18 is, under lation of law, and a unique identification ified that the information available certain circumstances, punishable by number is provided. However, the State to such official does not indicate up to 10 years in prison. imposes a 7–day waiting period on all that possession of a firearm by the firearms transactions, and the purchaser transferee would be in violation of FEDERAL LAW does not return to pick up the firearm un- Federal, State, or local law: Pro- til January 22, 1999. The licensee must vided, That on and after November The Gun Control Act of 1968, 18 conduct another NICS check before 30, 1998, the information available U.S.C. Chapter 44, provides in pertinent transferring the firearm to the purchaser. to such official includes the NICS; part as follows:

Example 2 for paragraph (c). A pur- (2) The firearm is subject to the 18 U.S.C. 922(x) chaser completes the Form 4473 on provisions of the National Firearms January 25, 1999, and arranges for the Act and has been approved for trans- (x)(1) It shall be unlawful for a person to purchase of a single firearm. A NICS fer under 27 CFR part 479; or sell, deliver, or otherwise transfer to a per- check is initiated by the licensee on that son who the transferor knows or has rea- date. The licensee is informed by NICS (3) On application of the licensee, sonable cause to believe is a juvenile— that the information available to the sys- in accordance with the provisions of tem does not indicate that receipt of the §478.150, the Director has certified (A) a handgun; or firearm by the transferee would be in vi- that compliance with paragraph (a)(1) olation of law, and a unique identification of this section is impracticable.

54 (B) ammunition that is suitable ited by Federal, State, or local 18 U.S.C. 924(a)(6) for use only in a handgun. law from possessing a firearm; (6)(A)(i) A juvenile who violates sec- (2) It shall be unlawful for any per- (iii) the juvenile has the prior tion 922(x) shall be fined under this title, son who is a juvenile to knowingly written consent in the juvenile’s imprisoned not more than 1 year, or both, possess— possession at all times when a except that a juvenile described in clause handgun is in the possession of (ii) shall be sentenced to probation on (A) a handgun; or the juvenile; and appropriate conditions and shall not be incarcerated unless the juvenile fails to (B) ammunition that is suitable (iv) in accordance with State comply with a condition of probation. for use only in a handgun. and local law; (ii) A juvenile is described in (3) This subsection does not apply (B) a juvenile who is a member this clause if— to— of the Armed Forces of the Unit- ed States or the National Guard (I) the offense of which the (A) a temporary transfer of a who possesses or is armed with a juvenile is charged is posses- handgun or ammunition to a ju- handgun in the line of duty; sion of a handgun or ammu- venile or to the possession or use nition in violation of section of a handgun or ammunition by a (C) a transfer by inheritance of 922(x)(2); and juvenile if the handgun and ammu- title (but not possession) of a hand- nition are possessed and used by gun or ammunition to a juvenile; or (II) the juvenile has not the juvenile— been convicted in any court (D) the possession of a handgun of an offense (including an (i) in the course of employ- or ammunition by a juvenile taken offense under section 922(x) ment, in the course of ranching in defense of the juvenile or other or a similar State law, but not or farming related to activities persons against an intruder into including any other offense at the residence of the juvenile the residence of the juvenile or a consisting of conduct that if (or on property used for ranch- residence in which the juvenile is engaged in by an adult would ing or farming at which the juve- an invited guest. not constitute an offense) nile, with the permission of the or adjudicated as a juvenile property owner or lessee, is per- (4) A handgun or ammunition, the delinquent for conduct that if forming activities related to the possession of which is transferred to engaged in by an adult would operation of the farm or ranch), a juvenile in circumstances in which constitute an offense. target practice, hunting, or a the transferor is not in violation of course of instruction in the safe this subsection shall not be subject (B) A person other than a juve- and lawful use of a handgun; to permanent confiscation by the nile who knowingly violates section Government if its possession by the 922(x)— (ii) with the prior written con- juvenile subsequently becomes un- sent of the juvenile’s parent or lawful because of the conduct of the (i) shall be fined under this title, guardian who is not prohibited by juvenile, but shall be returned to the imprisoned not more than 1 year, Federal, State, or local law from lawful owner when such handgun or or both; and possessing a firearm, except— ammunition is no longer required by the Government for the purposes of (ii) if the person sold, delivered, (I) during transportation by investigation or prosecution. or otherwise transferred a handgun the juvenile of an unloaded or ammunition to a juvenile know- handgun in a locked contain- (5) For purposes of this subsection, ing or having reasonable cause to er directly from the place of the term “juvenile” means a person know that the juvenile intended to transfer to a place at which an who is less than 18 years of age. carry or otherwise possess or dis- activity described in clause charge or otherwise use the hand- (i) is to take place and trans- (6)(A) In a prosecution of a viola- gun or ammunition in the commis- portation by the juvenile of tion of this subsection, the court shall sion of a crime of violence, shall be that handgun, unloaded and require the presence of a juvenile defined under this title, imprisoned in a locked container, directly fendant’s parent or legal guardian at not more than 10 years, or both. from the place at which such all proceedings. an activity took place to the (c) This written notification shall be transferor; or (B) The court may use the con- delivered to the nonlicensee on ATF I tempt power to enforce subpara- 5300.2, or in the alternative, the same (II) with respect to ranch- graph (A). written notification may be delivered ing or farming activities as to the nonlicensee on another type of described in clause (i) a juve- (C) The court may excuse atten- written notification, such as a manufac- nile may possess and use a dance of a parent or legal guardian turer’s or importer’s brochure accom- handgun or ammunition with of a juvenile defendant at a pro- panying the handgun; a manufactur- the prior written approval of ceeding in a prosecution of a vi- er’s or importer’s operational manual the juvenile’s parent or legal olation of this subsection for good accompanying the handgun; or a sales guardian and at the direction cause shown. receipt or invoice applied to the hand- of an adult who is not prohib- gun package or container delivered to

55 a nonlicensee. Any written notification (f) The sign required by paragraph ment of customs duties or the release delivered to a nonlicensee other than (d) of this section need not be posted on from Customs custody of firearms, fire- on ATF I 5300.2 shall include the lan- the premises of any licensed importer, arm barrels, or ammunition authorized guage set forth in paragraph (b) of this manufacturer, or dealer whose only dis- by the Director to be imported, shall be section in its entirety. Any written notifi- positions of handguns to nonlicensees directed to the Director of Industry Op- cation other than ATF I 5300.2 shall be are to nonlicensees who do not appear erations for reply. legible, clear, and conspicuous, and the at the licensed premises and the dispo- required language shall appear in type sitions otherwise comply with the provi- § 478.112 Importation by a licensed size no smaller than 10–point type. sions of this part. importer.

(d) Except as provided in paragraph Subpart G—Importation (a) No firearm, firearm barrel, or am- (f) of this section, each licensed import- munition shall be imported or brought into er, manufacturer, or dealer who delivers § 478.111 General. the United States by a licensed importer a handgun to a nonlicensee shall display (as defined in §478.11) unless the Direc- at its licensed premises (including tem- (a) Section 922(a)(3) of the Act tor has authorized the importation of the porary business locations at gun shows) makes it unlawful, with certain excep- firearm, firearm barrel, or ammunition. a sign as described in paragraph (e) of tions not pertinent here, for any person this section. The sign shall be displayed other than a licensee to transport into or (b)(1) An application for a permit, where customers can readily see it. Li- receive in the State where the person ATF Form 6–Part I, to import or bring a censed importers, manufacturers, and resides any firearm purchased or oth- firearm, firearm barrel, or ammunition dealers will be provided with such signs erwise obtained by the person outside into the United States or a possession by ATF. Replacement signs may be re- of that State. However, section 925(a) thereof under this section must be filed, quested from the ATF Distribution Center. (4) provides a limited exception for the in triplicate, with the Director. The appli- transportation, shipment, receipt or im- cation must be signed and dated and (e) The sign (ATF I 5300.1) required portation of certain firearms and ammu- must contain the information requested by paragraph (d) of this section shall nition by certain members of the United on the form, including: state as follows: States Armed Forces. Section 922(1) of the Act makes it unlawful for any per- (i) The name, address, tele- (1) The misuse of handguns is a son knowingly to import or bring into the phone number, and license num- leading contributor to juvenile vio- United States or any possession there- ber (including expiration date) of lence and fatalities. of any firearm or ammunition except as the importer; provided by section 925(d) of the Act, (2) Safely storing and securing which section provides standards for (ii) The country from which the firearms away from children will help importing or bringing firearms or am- firearm, firearm barrel, or ammuni- prevent the unlawful possession of munition into the United States. Section tion is to be imported; handguns by juveniles, stop acci- 925(d) also provides standards for im- dents, and save lives. porting or bringing firearm barrels into (iii) The name and address of the United States. Accordingly, no fire- the foreign seller and foreign ship- (3) Federal law prohibits, except arm, firearm barrel, or ammunition may per; in certain limited circumstances, be imported or brought into the United anyone under 18 years of age from States except as provided by this part. (iv) A description of the firearm, knowingly possessing a handgun, or firearm barrel, or ammunition to be any person from transferring a hand- (b) Where a firearm, firearm barrel, or imported, including: gun to a person under 18. ammunition is imported and the authorization for importation required by this sub- (A) The name and address of (4) A knowing violation of the pro- part has not been obtained by the person the manufacturer; hibition against selling, delivering, or importing same, such person shall: otherwise transferring a handgun to a (B) The type (e.g., rifle, shot- person under the age of 18 is, under (1) Store, at the person’s expense, gun, pistol, revolver and, in the certain circumstances, punishable by such firearm, firearm barrel, or am- case of ammunition only, ball, up to 10 years in prison. munition at a facility designated by wadcutter, shot, etc.); U.S Customs or the Director of Indus- Editor’s Note: try Operations to await the issuance (C) The caliber, gauge, or of the required authorization or other size; ATF I 5300.2 provides the complete lan- disposition; or guage of the statutory prohibitions and ex- (D) The model; ceptions provided in 18 U.S.C. 922(x) and (2) Abandon such firearm, firearm the penalty provisions of 18 U.S.C. 924(a) barrel, or ammunition to the U.S. (E) The barrel length, if a fire- (6). The Federal firearms licensee posting Government; or arm or firearm barrel (in inches); this sign will provide you with a copy of this publication upon request. Requests for (3) Export such firearm, firearm (F) The overall length, if a fire- additional copies of ATF I 5300.2 should barrel, or ammunition. arm (in inches); be submitted to the ATF Distribution Center (http://www.atf.gov) or by calling (c) Any inquiry relative to the provi- (G) The serial number, if (703) 870-7526 or (703) 870-7528. sions or procedures under this subpart, known; other than that pertaining to the pay-

56 (H) Whether the firearm is will serve as the permit to import the (v) The model; new or used; firearm, firearm barrel, or ammunition described therein, and importation of (vi) The caliber, gauge, or size; (I) The quantity; such firearms, firearm barrels, or ammunition may continue to be made by (vii) The serial number in the (J) The unit cost of the fire- the licensed importer under the ap- case of firearms, if known; and arm, firearm barrel, or ammuni- proved application (permit) during the tion to be imported; period specified thereon. The Director (viii) The number of firearms, will furnish the approved application firearm barrels, or rounds of am- (v) The specific purpose of impor- (permit) to the applicant and retain two munition released. tation, including final recipient infor- copies thereof for administrative use. mation if different from the importer; (d) Within 15 days of the date of (ii) If the Director disapproves release from Customs custody, the li- (vi) Verification that if a firearm, the application, the licensed im- censed importer must: it will be identified as required by porter will be notified of the basis this part; and for the disapproval. (1) Forward to the address specified on the form a copy of ATF Form (vii)(A) If a firearm or ammu- (c) A firearm, firearm barrel, or am- 6A on which must be reported any er- nition imported or brought in for munition imported or brought into the ror or discrepancy appearing on the scientific or research purposes, United States or a possession thereof ATF Form 6A certified by Customs a statement describing such pur- under the provisions of this section by and serial numbers if not previously pose; or a licensed importer may be released provided on ATF Form 6A; from Customs custody to the licensed (B) If a firearm or ammunition importer upon showing that the importer (2) Pursuant to §478.92, place all for use in connection with com- has obtained a permit from the Direc- required identification data on each petition or training pursuant to tor for the importation of the firearm, imported firearm if same did not bear Chapter 401 of Title 10, U.S.C., firearm barrel, or ammunition to be re- such identification data at the time of a statement describing such in- leased. The importer will also submit to its release from Customs custody; tended use; or Customs a copy of the export license and authorizing the export of the firearm, (C) If an unserviceable fire- firearm barrel, or ammunition from the (3) Post in the records required to arm (other than a machine gun) exporting country. If the exporting coun- be maintained by the importer under being imported as a curio or try does not require issuance of an ex- subpart H of this part all required in- museum piece, a description of port license, the importer must submit a formation regarding the importation. how it was rendered unservice- certification, under penalty of perjury, to able and an explanation of why that effect. (Paragraph (b) approved by the Office of it is a curio or museum piece; or Management and Budget under control (1) In obtaining the release from number 1140–0005; paragraphs (c) and (d) (D) If a firearm other than a Customs custody of a firearm, fire- approved by the Office of Management and surplus military firearm, of a type arm barrel, or ammunition authorized Budget under control number 1140–0007) that does not fall within the defi- by this section to be imported through nition of a firearm under section the use of a permit, the licensed im- § 478.113 Importation by other 5845(a) of the Internal Revenue porter will prepare ATF Form 6A, in licensees. Code of 1986, and is for sporting duplicate, and furnish the original purposes, an explanation of why ATF Form 6A to the Customs officer (a) No person other than a licensed the firearm is generally recog- releasing the firearm, firearm barrel, importer (as defined in §478.11) shall en- nized as particularly suitable for or ammunition. The Customs officer gage in the business of importing firearms or readily adaptable to sporting will, after certification, forward the or ammunition. Therefore, no firearm or purposes; or ATF Form 6A to the address specified ammunition shall be imported or brought on the form. into the United States or a possession (E) If ammunition being im- thereof by any licensee other than a li- ported for sporting purposes, (2) The ATF Form 6A must con- censed importer unless the Director is- a statement why the ammuni- tain the information requested on the sues a permit authorizing the importation tion is particularly suitable for form, including: of the firearm or ammunition. No barrel for or readily adaptable to sporting a handgun not generally recognized as purposes; or (i) The name, address, and li- particularly suitable for or readily adapt- cense number of the importer; able to sporting purposes shall be import- (F) If a firearm barrel for a ed or brought into the United States or a handgun, an explanation why (ii) The name of the manufactur- possession thereof by any person. There- the handgun is generally recog- er of the firearm, firearm barrel, or fore, no firearm barrel shall be imported or nized as particularly suitable for ammunition; brought into the United States or posses- or readily adaptable to sporting sion thereof by any licensee other than a purposes. (iii) The country of manufacture; licensed importer unless the Director issues a permit authorizing the importation (2)(i) If the Director approves the (iv) The type; of the firearm barrel. application, such approved application

57 (b)(1) An application for a permit, ATF (B) If a firearm or ammunition licensee upon showing that the licensee Form 6–Part I, to import or bring a fire- for use in connection with com- has obtained a permit from the Director arm, firearm barrel, or ammunition into petition or training pursuant to for the importation of the firearm, firearm the United States or a possession thereof Chapter 401 of Title 10, U.S.C., barrel, or ammunition to be released. by a licensee, other than a licensed im- a statement describing such in- porter, must be filed, in triplicate, with the tended use; or (1) In obtaining the release from Director. The application must be signed Customs custody of a firearm, fire- and dated and must contain the informa- (C) If an unserviceable firearm barrel, or ammunition authorized tion requested on the form, including: arm (other than a machine gun) by this section to be imported through being imported as a curio or the use of a permit, the licensee will (i) The name, address, tele- museum piece, a description of prepare ATF Form 6A, in duplicate, phone number, and license num- how it was rendered unservice- and furnish the original ATF Form 6A ber (including expiration date) of able and an explanation of why to the Customs officer releasing the the applicant; it is a curio or museum piece; or firearm, firearm barrel, or ammunition. The Customs officer will, after (ii) The country from which the (D) If a firearm other than a certification, forward the ATF Form 6A firearm, firearm barrel, or ammuni- surplus military firearm, of a type to the address specified on the form. tion is to be imported; that does not fall within the definition of a firearm under section (2) The ATF Form 6A must con- (iii) The name and address of the 5845(a) of the Internal Revenue tain the information requested on the foreign seller and foreign shipper; Code of 1986, and is for sporting form, including: purposes, an explanation of why (iv) A description of the firearm, the firearm is generally recog- (i) The name, address, and li- firearm barrel, or ammunition to be nized as particularly suitable for cense number of the licensee; imported, including: or readily adaptable to sporting purposes; or (ii) The name of the manufactur- (A) The name and address of er of the firearm, firearm barrel, or the manufacturer; (E) If ammunition being im- ammunition; ported for sporting purposes, (B) The type (e.g., rifle, shot- a statement why the ammuni- (iii) The country of manufacture; gun, pistol, revolver and, in the tion is particularly suitable for case of ammunition only, ball, or readily adaptable to sporting (iv) The type; wadcutter, shot, etc.); purposes; or (v) The model; (C) The caliber, gauge, or size; (F) If a firearm barrel for a handgun, an explanation why (vi) The caliber, gauge, or size; (D) The model; the handgun is generally recognized as particularly suitable for (vii) The serial number in the (E) The barrel length, if a fire- or readily adaptable to sporting case of firearms; and arm or firearm barrel (in inches); purposes. (viii) The number of firearms, (F) The overall length, if a fire- (2)(i) If the Director approves the firearm barrels, or rounds of am- arm (in inches); application, such approved applica- munition released. tion will serve as the permit to import (G) The serial number, if the firearm, firearm barrel, or ammu- (Paragraph (b) approved by the Office of known; nition described therein, and impor- Management and Budget under control num- tation of such firearms, firearm bar- ber 1140–0005; paragraph (c) approved by (H) Whether the firearm is rels, or ammunition may continue to the Office of Management and Budget under new or used; be made by the applicant under the control number 1140–0007) approved application (permit) during (I) The quantity; the period specified thereon. The Di- § 478.113a Importation of firearm rector will furnish the approved appli- barrels by nonlicensees. (J) The unit cost of the fire- cation (permit) to the applicant and arm, firearm barrel, or ammuni- retain two copies thereof for admin- (a) A permit will not be issued for a fire- tion to be imported; istrative use. arm barrel for a handgun not generally recognized as particularly suitable for or (v) The specific purpose of im- (ii) If the Director disapproves readily adaptable to sporting purposes. portation, including final recipient the application, the applicant will No firearm barrel shall be imported or information if different from the ap- be notified of the basis for the dis- brought into the United States or posses- plicant; and approval. sion thereof by any nonlicensee unless the Director issues a permit authorizing (vi)(A) If a firearm or ammunition (c) A firearm, firearm barrel, or am- the importation of the firearm barrel. imported or brought in for scientific munition imported or brought into the or research purposes, a statement United States or a possession thereof (b)(1) An application for a permit, ATF describing such purpose; or under the provisions of this section may Form 6–Part I, to import or bring a fire- be released from Customs custody to the

58 arm barrel into the United States or a session thereof under the provisions of and is intended for the personal use of possession thereof under this section this section may be released from Cus- such member. must be filed, in triplicate, with the Direc- toms custody to the person importing tor. The application must be signed and the firearm barrel upon showing that the (1) An application for a permit, ATF dated and must contain the information person has obtained a permit from the Form 6–Part II, to import a firearm or requested on the form, including: Director for the importation of the fire- ammunition into the United States arm barrel to be released. under this section must be filed, in (i) The name, address, and tele- triplicate, with the Director. The appli- phone number of the applicant; (1) In obtaining the release from cation must be signed and dated and Customs custody of a firearm barrel must contain the information request- (ii) The country from which the authorized by this section to be im- ed on the form, including: firearm barrel is to be imported; ported through the use of a permit, the person importing the firearm (i) The name, current address, (iii) The name and address of the barrel will prepare ATF Form 6A, in and telephone number of the ap- foreign seller and foreign shipper; duplicate, and furnish the original plicant; ATF Form 6A to the Customs officer (iv) A description of the firearm releasing the firearm barrel. The Cus- (ii) Certification that the transpor- barrel to be imported, including: toms officer will, after certification, tation, receipt, or possession of the forward the ATF Form 6A to the ad- firearm or ammunition to be import- (A) The name and address of dress specified on the form. ed would not constitute a violation the manufacturer; of any provision of the Act or of any (2) The ATF Form 6A must con- State law or local ordinance at the (B) The type (e.g., rifle, shot- tain the information requested on the place of the applicant’s residence; gun, pistol, revolver); form, including: (iii) The country from which the (C) The caliber, gauge, or size; (i) The name and address of the firearm or ammunition is to be im- person importing the firearm barrel; ported; (D) The model; (ii) The name of the manufactur- (iv) The name and address of (E) The barrel length (in er of the firearm barrel; the foreign seller and foreign ship- inches); per; (iii) The country of manufacture; (F) The quantity; (v) A description of the firearm (iv) The type; or ammunition to be imported, in- (G) The unit cost of the fire- cluding: arm barrel; (v) The model; (A) The name and address of (v) The specific purpose of im- (vi) The caliber or gauge of the the manufacturer; portation, including final recipient firearm barrel so released; and information if different from the im- (B) The type (e.g., rifle, shot- porter; and (vii) The number of firearm bar- gun, pistol, revolver and, in the rels released. case of ammunition only, ball, (vi) If a handgun barrel, an expla- wadcutter, shot, etc.); nation of why the barrel is for a hand- (Paragraph (b) approved by the Office of gun that is generally recognized as Management and Budget under control num- (C) The caliber, gauge, or size; particularly suitable for or readily ber 1140–0005; paragraph (c) approved by adaptable to sporting purposes. the Office of Management and Budget under (D) The model; control number 1140–0007) (2)(i) If the Director approves the (E) The barrel length, if a fire- application, such approved application arm (in inches); § 478.114 Importation by members of will serve as the permit to import the the U.S. Armed Forces. firearm barrel, and importation of such (F) The overall length, if a fire- firearm barrels may continue to be arm (in inches); (a) The Director may issue a permit made by the applicant under the ap- authorizing the importation of a firearm proved application (permit) during the (G) The serial number; or ammunition into the United States period specified thereon. The Director to the place of residence of any mili- will furnish the approved application (H) Whether the firearm is tary member of the U.S. Armed Forces (permit) to the applicant and retain two new or used; who is on active duty outside the United copies thereof for administrative use. States, or who has been on active duty (I) The quantity; outside the United States within the 60– (ii) If the Director disapproves the day period immediately preceding the application, the applicant will be noti- (J) The unit cost of the firearm intended importation: Provided, That fied of the basis for the disapproval. or ammunition to imported; such firearm or ammunition is generally recognized as particularly suitable for or (c) A firearm barrel imported or (vi) The specific purpose of im- readily adaptable to sporting purposes brought into the United States or a pos- portation, that is—

59 (A) That the firearm or ammu- (1) In obtaining the release from § 478.115 Exempt importation. nition being imported is for the Customs custody of a firearm or am- personal use of the applicant; and munition authorized by this section to (a) Firearms and ammunition may be be imported through the use of a per- brought into the United States or any pos- (B) If a firearm, a statement mit, the military member of the U.S. session thereof by any person who can that it is not a surplus military Armed Forces will prepare ATF Form establish to the satisfaction of Customs firearm, that it does not fall with- 6A and furnish the completed form that such firearm or ammunition was pre- in the definition of a firearm un- to the Customs officer releasing the viously taken out of the United States or der section 5845(a) of the Inter- firearm or ammunition. The Customs any possession thereof by such person. nal Revenue Code of 1986, and officer will, after certification, forward Registration on Customs Form 4457 or an explanation of why the fire- the ATF Form 6A to the address spec- on any other registration document avail- arm is generally recognized as ified on the form. able for this purpose may be completed particularly suitable for or readily before departure from the United States adaptable to sporting purposes; (2) The ATF Form 6A must con- at any U.S. customhouse or any office of or tain the information requested on the an Director of Industry Operations. A bill form, including: of sale or other commercial document (C) If ammunition, a state- showing transfer of the firearm or ammu- ment why it is generally recog- (i) The name and address of the nition in the United States to such per- nized as particularly suitable for military member; son also may be used to establish proof or readily adaptable to sporting that the firearm or ammunition was taken purposes; and (ii) The name of the manufactur- out of the United States by such person. er of the firearm or ammunition; Firearms and ammunition furnished un- (vii) The applicant’s date of der the provisions of section 925(a)(3) of birth; (iii) The country of manufacture; the Act to military members of the U.S. Armed Forces on active duty outside of (viii) The applicant’s rank or (iv) The type; the United States also may be imported grade; into the United States or any possession (v) The model; thereof by such military members upon (ix) The applicant’s place of res- establishing to the satisfaction of Cus- idence; (vi) The caliber, gauge, or size; toms that such firearms and ammunition were so obtained. (x) The applicant’s present for- (vii) The serial number in the eign duty station or last foreign case of firearms; and (b) Firearms, firearm barrels, and duty station, as the case may be; ammunition may be imported or brought (viii) If applicable, the number of into the United States by or for the Unit- (xi) The date of the applicant’s firearms or rounds of ammunition ed States or any department or agency reassignment to a duty station with- released. thereof, or any State or any department, in the United States, if applicable; agency, or political subdivision thereof. and (3) When such military member A firearm, firearm barrel or ammuni- is on active duty outside the United tion imported or brought into the Unit- (xii) The military branch of which States, the military member may ap- ed States under this paragraph may be the applicant is a member. point, in writing, an agent to obtain released from Customs custody upon the release of the firearm or ammu- a showing that the firearm, firearm bar- (2)(i) If the Director approves the nition from Customs custody for such rel or ammunition is being imported or application, such approved applica- member. Such agent will present suf- brought into the United States by or for tion will serve as the permit to import ficient identification of the agent and such a governmental entity. the firearm or ammunition described the written authorization to act on therein. The Director will furnish the behalf of such military member to the (c) The provisions of this subpart approved application (permit) to the Customs officer who is to release the shall not apply with respect to the im- applicant and retain two copies there- firearm or ammunition. portation into the United States of any of for administrative use. antique firearm. (c) Firearms determined by the De- (ii) If the Director disapproves partment of Defense to be war souve- (d) Firearms and ammunition are not the application, the applicant will nirs may be imported into the United imported into the United States, and the be notified of the basis for the dis- States by the military members of the provisions of this subpart shall not ap- approval. U.S. Armed Forces under such provi- ply, when such firearms and ammunition sions and procedures as the Depart- are brought into the United States by: (b) Except as provided in paragraph ment of Defense may issue. (b)(3) of this section, a firearm or ammu- (1) A nonresident of the United nition imported into the United States un- (Paragraph (a) approved by the Office of States for legitimate hunting or lawful der the provisions of this section by the Management and Budget under control num- sporting purposes, and such firearms applicant may be released from Customs ber 1140–0006; paragraph (b) approved by and such ammunition as remains fol- custody to the applicant upon showing the Office of Management and Budget under lowing such shooting activity are to be that the applicant has obtained a permit taken back out of the territorial limits of control number 1140–0007) from the Director for the importation of the United States by such person upon the firearm or ammunition to be released. conclusion of the shooting activity;

60 (2) Foreign military personnel on ammunition feeding device will be au- with the applicable importation provisions official assignment to the United thorized under this part. An application of this part and the importation provisions States who bring such firearms or on ATF Form 6 for such conditional im- of 27 CFR part 447. Curios or relics which ammunition into the United States for portation shall be filed, in duplicate, with fall within the definition of “firearm” un- their exclusive use while on official the Director. The Director may impose der 26 U.S.C. 5845(a) must also meet duty in the United States, and such conditions upon any importation under the importation provisions of 27 CFR part firearms and unexpended ammuni- this section including a requirement 479 before they may be imported. tion are taken back out of the territori- that the firearm, firearm barrel, ammu- al limits of the United States by such nition, or ammunition feeding device be § 478.119 Importation of ammunition foreign military personnel when they shipped directly from Customs custody feeding devices. leave the United States; to the Director and that the person importing or bringing in the firearm, firearm Editor’s Note: (3) Official representatives of - for barrel, ammunition, or ammunition feed- eign governments who are accred- ing device must agree to either export Section 478.119 is not applicable on or ited to the U.S. Government or are the firearm, firearm barrel, ammunition, after September 13, 2004. An import per- en route to or from other countries to or ammunition feeding device or destroy mit is still needed for ammunition feed- which accredited, and such firearms same if a determination is made that the ing devices pursuant to the Arms Export and unexpended ammunition are tak- firearm, firearm barrel, ammunition, or Control Act—see 27 CFR 447.41(a). en back out of the territorial limits of ammunition feeding device may not be the United States by such official rep- imported or brought in under this part. § 478.120 Firearms or ammunition resentatives of foreign governments A firearm, firearm barrel, ammunition, imported by or for a nonimmigrant when they leave the United States; or ammunition feeding device imported alien. or brought into the United States or any (4) Officials of foreign governments possession thereof under the provisions (a) General. A nonimmigrant alien and distinguished foreign visitors who of this section shall be released from temporarily importing or bringing fire- have been so designated by the De- Customs custody upon the payment of arms or ammunition into the United partment of State, and such firearms customs duties, if applicable, and in the States for lawful hunting or sporting and unexpended ammunition are manner prescribed in the conditional au- purposes must first obtain an approved taken back out of the territorial limits thorization issued by the Director. ATF Form 6NIA (5330.3D). of the United States by such officials of foreign governments and distin- Editor’s Note: (b) Aliens admitted to the United guished foreign visitors when they States under a nonimmigrant visa. (1) leave the United States; and The references to “ammunition feed- Any alien lawfully admitted to the United ing device” in section 478.116 are not ap- States under a nonimmigrant visa who (5) Foreign law enforcement offi- plicable on or after September 13, 2004. completes an ATF Form 6NIA to import cers of friendly foreign governments firearms or ammunition into the United entering the United States on official § 478.117 Function outside a cus- States, or any licensee who completes law enforcement business, and such toms territory. an ATF Form 6 to import firearms or am- firearms and unexpended ammu- munition for such nonimmigrant alien, nition are taken back out of the ter- In the insular possessions of the United must attach applicable documentation ritorial limits of the United States by States outside customs territory, the func- to the Form 6NIA or Form 6 establishing such foreign law enforcement officers tions performed by U.S. Customs officers the nonimmigrant alien falls within an ex- when they leave the United States. under this subpart within a customs terri- ception specified in 18 U.S.C. 922(y)(2) tory may be performed by the appropri- (e.g., a hunting license or permit lawfully (e) Notwithstanding the provisions of ate authorities of a territorial government issued in the United States) or has ob- paragraphs (d) (1), (2), (3), (4) and (5) of or other officers of the United States who tained a waiver as specified in 18 U.S.C. this section, the Secretary of the Treasury have been designated to perform such 922(y)(3). (2) Aliens admitted to the Unit- or his delegate may in the interest of public functions. For the purpose of this subpart, ed States under a nonimmigrant visa im- safety and necessity require a permit for the term customs territory means the Unit- porting or bringing firearms or ammuni- the importation or bringing into the United ed States, the District of Columbia, and tion into the United States must provide States of any firearms or ammunition. the Commonwealth of Puerto Rico. the United States Customs and Border Protection with applicable documentation § 478.116 Conditional importation. § 478.118 Importation of certain fire- (e.g., a hunting license or permit lawfully arms classified as curios or relics. issued in the United States) establishing The Director shall permit the condi- the nonimmigrant alien falls within an ex- tional importation or bringing into the Notwithstanding any other provision ception specified in 18 U.S.C. 922(y)(2) United States or any possession thereof of this part, a licensed importer may im- or has obtained a waiver as specified in of any firearm, firearm barrel, ammuni- port all rifles and shotguns classified by 18 U.S.C. 922(y)(3) before the firearm or tion, or ammunition feeding device as the Director as curios or relics, and all ammunition may be imported. This provi- defined in §478.119(b) for the purpose handguns classified by the Director as sion applies in all cases, whether or not a of examining and testing the firearm, curios or relics that are determined to be Form 6 is needed to bring the firearms or firearm barrel, ammunition, or ammuni- generally recognized as particularly suit- ammunition into the United States. tion feeding device in connection with able for or readily adaptable to sporting making a determination as to whether purposes. The importation of such curio (Approved by the Office of Management and the importation or bringing in of such or relic firearms must be in accordance Budget under control number 1140–0060) firearm, firearm barrel, ammunition, or

61 Subpart H—Records (d) For recordkeeping requirements of the transaction, and such information for sales by licensees at gun shows see shall be recorded under the following § 478.121 General. §478.100(c). formats: (See Tables 1 & 2)

(a) The records pertaining to firearms (Information collection requirements in para- (c) Notwithstanding the provisions of transactions prescribed by this part shall graph (a) approved by the Office of Man- paragraph (b) of this section, the Direc- be retained on the licensed premises in agement and Budget under control number tor of Industry Operations may authorize the manner prescribed by this subpart 1140–0020; information collection require- alternate records to be maintained by a and for the length of time prescribed by ments in paragraphs (b) and (c) approved by licensed importer to record the disposal §478.129. The records pertaining to am- the Office of Management and Budget under of firearms and armor piercing ammu- munition prescribed by this part shall be control number 1140–0032) nition when it is shown by the licensed retained on the licensed premises in the importer that such alternate records will manner prescribed by §478.125. § 478.122 Records maintained by accurately and readily disclose the in- importers. formation required by paragraph (b) of (b) ATF officers may, for the purposes this section. A licensed importer who and under the conditions prescribed in (a) Each licensed importer shall, proposes to use alternate records shall §478.23, enter the premises of any li- within 15 days of the date of importa- submit a letter application, in duplicate, censed importer, licensed manufacturer, tion or other acquisition, record the type, to the Director of Industry Operations licensed dealer, or licensed collector for model, caliber or gauge, manufacturer, and shall describe the proposed alter- the purpose of examining or inspecting country of manufacture, and the serial nate records and the need therefor. any record or document required by or number of each firearm imported or oth- Such alternate records shall not be em- obtained under this part. Section 923(g) erwise acquired, and the date such im- ployed by the licensed importer until ap- of the Act requires licensed importers, portation or other acquisition was made. proval in such regard is received from licensed manufacturers, licensed deal- the Director of Industry Operations. ers, and licensed collectors to make (b) A record of firearms disposed such records available for such exam- of by a licensed importer to another (d) Each licensed importer shall ination or inspection during business licensee and a separate record of armor maintain separate records of the sales hours or, in the case of licensed collec- piercing ammunition dispositions to gov- or other dispositions made of firearms tors, hours of operation, as provided in ernmental entities, for exportation, or for to nonlicensees. Such records shall be §478.23. testing or experimentation authorized maintained in the form and manner as under the provisions of §478.149 shall prescribed by §§478.124 and 478.125 (c) Each licensed importer, licensed be maintained by the licensed importer in regard to firearms transaction records manufacturer, licensed dealer, and li- on the licensed premises. For firearms, and records of acquisition and disposi- censed collector shall maintain such the record shall show the quantity, type, tion of firearms. records of importation, production, ship- manufacturer, country of manufacture, ment, receipt, sale, or other disposition, caliber or gauge, model, serial number (Approved by the Office of Management and whether temporary or permanent, of of the firearms so transferred, the name Budget under control number 1140–0032) firearms and such records of the dispo- and license number of the licensee to sition of ammunition as the regulations whom the firearms were transferred, § 478.123 Records maintained by contained in this part prescribe. Section and the date of the transaction. For manufacturers. 922(m) of the Act makes it unlawful for armor piercing ammunition, the record any licensed importer, licensed man- shall show the date of the transaction, (a) Each licensed manufacturer ufacturer, licensed dealer, or licensed manufacturer, caliber or gauge, quanti- shall record the type, model, caliber or collector knowingly to make any false ty of projectiles, and the name and ad- gauge, and serial number of each com- entry in, to fail to make appropriate en- dress of the purchaser. The information plete firearm manufactured or otherwise try in, or to fail to properly maintain any required by this paragraph shall be en- acquired, and the date such manufac- such record. tered in the proper record book not later ture or other acquisition was made. The than the seventh day following the date information required by this paragraph

TABLE 1: Importer’s Firearms Disposition Record

Name and license Country of Caliber or Date of the Quantity Type Manufacturer Model Serial No. No. of licensee to manufacture gague transaction whom transferred

TABLE 2: Importer’s Armor Piercing Ammunition Disposition Record

Date Manufacturer Caliber or gague Quantity of projectiles Purchaser - Name and address

62 shall be recorded not later than the sev- prescribed by §§478.124 and 478.125 mation includes the transferee’s social enth day following the date such manu- in regard to firearms transaction records security number. Such information facture or other acquisition was made. and records of acquisition and disposi- may help avoid the possibility of the tion of firearms. transferee being misidentified as a fel- (b) A record of firearms disposed of on or other prohibited person. by a manufacturer to another licensee (Approved by the Office of Management and and a separate record of armor pierc- Budget under control number 1140–0067) (3) After the transferee has executing ammunition dispositions to gov- ed the Form 4473, the licensee: ernmental entities, for exportation, or § 478.124 Firearms transaction for testing or experimentation autho- record. (i) Shall verify the identity of the rized under the provision of §478.149 transferee by examining the iden- shall be maintained by the licensed (a) A licensed importer, licensed man- tification document (as defined in manufacturer on the licensed prem- ufacturer, or licensed dealer shall not §478.11) presented, and shall note ises. For firearms, the record shall sell or otherwise dispose, temporarily or on the Form 4473 the type of iden- show the quantity, type, model, man- permanently, of any firearm to any per- tification used; ufacturer, caliber, size or gauge, serial son, other than another licensee, unless number of the firearms so transferred, the licensee records the transaction (ii) [Reserved] the name and license number of the on a firearms transaction record, Form licensee to whom the firearms were 4473: Provided, That a firearms trans- (iii) Must, in the case of a trans- transferred, and the date of the transaction record, Form 4473, shall not be feree who is an alien admitted to action. For armor piercing ammuni- required to record the disposition made the United States under a nonim- tion, the record shall show the manu- of a firearm delivered to a licensee for migrant visa who states that he or facturer, caliber or gauge, quantity, the the sole purpose of repair or customiz- she falls within an exception to, or name and address of the transferee to ing when such firearm or a replacement has a waiver from, the prohibition whom the armor piercing ammunition firearm is returned to the person from in section 922(g)(5)(B) of the Act, was transferred, and the date of the whom received. have the transferee present appli- transaction. The information required cable documentation establishing by this paragraph shall be entered in (b) A licensed manufacturer, licensed the exception or waiver, note on the proper record book not later than importer, or licensed dealer shall retain the Form 4473 the type of docu- the seventh day following the date of in alphabetical (by name of purchaser), mentation provided, and attach a the transaction, and such information chronological (by date of disposition), or copy of the documentation to the shall be recorded under the format numerical (by transaction serial number) Form 4473; and prescribed by §478.122, except that order, and as a part of the required records, the name of the manufacturer of a each Form 4473 obtained in the course of (iv) Shall comply with the require- firearm or armor piercing ammunition transferring custody of the firearms. ments of §478.102 and record on the need not be recorded if the firearm or form the date on which the licensee armor piercing ammunition is of the (c)(1) Prior to making an over–the– contacted the NICS, as well as any manufacturer’s own manufacture. counter transfer of a firearm to a non- response provided by the system, licensee who is a resident of the State including any identification number (c) Notwithstanding the provisions of in which the licensee’s business prem- provided by the system. paragraph (b) of this section, the Direc- ises is located, the licensed import- tor of Industry Operations may autho- er, licensed manufacturer, or licensed (4) The licensee shall identify the rize alternate records to be maintained dealer so transferring the firearm shall firearm to be transferred by listing on by a licensed manufacturer to record obtain a Form 4473 from the transfer- the Form 4473 the name of the man- the disposal of firearms and armor ee showing the transferee’s name, sex, ufacturer, the name of the importer piercing ammunition when it is shown residence address (including county or (if any), the type, model, caliber or by the licensed manufacturer that such similar political subdivision), date and gauge, and the serial number of the alternate records will accurately and place of birth; height, weight and race of firearm. readily disclose the information re- the transferee; the transferee’s country quired by paragraph (b) of this section. of citizenship; the transferee’s INS–is- (5) The licensee shall sign and A licensed manufacturer who proposes sued alien number or admission num- date the form if the licensee does not to use alternate records shall submit a ber; the transferee’s State of residence; know or have reasonable cause to letter application, in duplicate, to the Di- and certification by the transferee that believe that the transferee is disqual- rector of Industry Operations and shall the transferee is not prohibited by the ified by law from receiving the firearm describe the proposed alternate record Act from transporting or shipping a fire- and transfer the firearm described on and the need therefor. Such alternate arm in interstate or foreign commerce the Form 4473. records shall not be employed by the or receiving a firearm which has been licensed manufacturer until approval in shipped or transported in interstate or (d) Prior to making an over–the–count- such regard is received from the Direc- foreign commerce or possessing a fire- er transfer of a shotgun or rifle under the tor of Industry Operations. arm in or affecting commerce. provisions contained in §478.96(c) to a nonlicensee who is not a resident of the (d) Each licensed manufacturer shall (2) In order to facilitate the transfer State in which the licensee’s business maintain separate records of the sales of a firearm and enable NICS to verify premises is located, the licensee so or other dispositions made of firearms the identity of the person acquiring the transferring the shotgun or rifle, and such to nonlicensees. Such records shall be firearm, ATF Form 4473 also requests transferee, shall comply with the require- maintained in the form and manner as certain optional information. This infor- ments of paragraph (c) of this section.

63 (e) Prior to making a transfer of a fire- the firearm to be transferred. The licens- 0060; paragraph (f) approved by the Office arm to any nonlicensee who is not a res- ee shall prior to shipment or delivery of of Management and Budget under control ident of the State in which the licensee’s the firearm to such transferee, forward number 1140–0021; all other recordkeeping business premises is located, and such by registered or certified mail (return re- approved by the Office of Management and nonlicensee is acquiring the firearm by ceipt requested) a copy of the Form 4473 Budget under control number 1140–0020) loan or rental from the licensee for tem- to the principal law enforcement officer porary use for lawful sporting purposes, named in the Form 4473 by the transfer- § 478.125 Record of receipt and the licensed importer, licensed manufac- ee, and shall delay shipment or delivery of disposition. turer, or licensed dealer so furnishing the the firearm to the transferee for a period firearm, and such transferee, shall com- of at least 7 days following receipt by the (a) Armor piercing ammunition sales ply with the provisions of paragraph (c) licensee of the return receipt evidencing by licensed collectors to nonlicensees. of this section. delivery of the copy of the Form 4473 to The sale or other disposition of armor such principal law enforcement officer, or piercing ammunition by licensed col- (f) Form 4473 shall be submitted, in the return of the copy of the Form 4473 lectors shall be recorded in a bound duplicate, to a licensed importer, licensed to the licensee due to the refusal of such record at the time a transaction is manufacturer, or licensed dealer by a principal law enforcement officer to ac- made. The bound record shall be transferee who is purchasing or otherwise cept same in accordance with U.S. Post- maintained in chronological order by acquiring a firearm by other than an over– al Service regulations. The original Form date of sale or disposition of the ar- the–counter transaction, who is not sub- 4473, and evidence of receipt or rejection mor piercing ammunition, and shall be ject to the provisions of §478.102(a), and of delivery of the copy of the Form 4473 retained on the licensed premises of who is a resident of the State in which the sent to the principal law enforcement of- the licensee for a period not less than licensee’s business premises are locat- ficer, shall be retained by the licensee as two years following the date of the re- ed. The Form 4473 shall show the name, a part of the records required to be kept corded sale or disposition of the armor address, date and place of birth, height, under this subpart. piercing ammunition. The bound re- weight, and race of the transferee; and cord entry shall show: the title, name, and address of the princi- (g) A licensee who sells or otherwise pal law enforcement officer of the locality disposes of a firearm to a nonlicensee (1) The date of the transaction; to which the firearm will be delivered. The who is other than an individual, shall ob- transferee also must date and execute the tain from the transferee the information (2) The name of the manufacturer; sworn statement contained on the form required by this section from an individ- showing, in case the firearm to be trans- ual authorized to act on behalf of the (3) The caliber or gauge; ferred is a firearm other than a shotgun or transferee. In addition, the licensee shall rifle, the transferee is 21 years or more of obtain from the individual acting on be- (4) The quantity of projectiles; age; in case the firearm to be transferred half of the transferee a written statement, is a shotgun or rifle, the transferee is 18 executed under the penalties of perju- (5) The name, address, and date of years or more of age; whether the trans- ry, that the firearm is being acquired for birth of the nonlicensee; and feree is a citizen of the United States; the the use of and will be the property of the transferee’s State of residence; the trans- transferee, and showing the name and (6) The method used to establish feree is not prohibited by the provisions address of that transferee. the identity of the armor piercing am- of the Act from shipping or transporting a munition purchaser. firearm in interstate or foreign commerce (h) The requirements of this sec- or receiving a firearm which has been tion shall be in addition to any other The format required for the bound re- shipped or transported in interstate or for- recordkeeping requirement contained cord is as follows: (See Table 3) eign commerce or possessing a firearm in this part. in or affecting commerce; and the trans- However, when a commercial record is feree’s receipt of the firearm would not (i) A licensee may obtain, upon remade at the time a transaction is made, be in violation of any statute of the State quest, an emergency supply of Forms or published ordinance applicable to the 4473 from any Director of Industry Op- a licensee may delay making an entry locality in which the transferee resides. erations. For normal usage, a licensee into the bound record if the provisions Upon receipt of such Forms 4473, the should request a year’s supply from the of paragraph (d) of this section are com- licensee shall identify the firearm to be ATF Distribution Center (See §478.21). plied with. transferred by listing in the Forms 4473 the name of the manufacturer, the name (Paragraph (c) approved by the Office of (b) Armor piercing ammunition sales of the importer (if any), the type, model, Management and Budget under control by licensed collectors to licensees. caliber or gauge, and the serial number of numbers 1140–0045, 1140–0020, and 1140– Sales or other dispositions of armor

TABLE 3: Disposition Record of Armor Piercing Ammunition Enter a (x) in the “known” column if purchaser is Purchaser personally known to you. Otherwise, establish the Caliber Qualitity of Date Manufacturer purchaser’s identification or gague projectiles Name and Date of Other type Known Driver’s License address birth (specify)

64 piercing ammunition from a licensed (1) Maintained by the licensed col- date of the sale or other disposition of collector to another licensee shall be lector separate from other commer- each firearm, the name and address of recorded and maintained in the manner cial documents maintained by such the person to whom the firearm is trans- prescribed in §478.122(b) for importers: licensee, and ferred, or the name and license number Provided, That the license number of of the person to whom transferred if such the transferee may be recorded in lieu (2) Is readily available for inspec- person is a licensee, or the firearms of the transferee’s address. tion on the licensed premises until transaction record, Form 4473, serial such time as the required entry into number if the licensed dealer transfer- (c) Armor piercing ammunition sales the bound record is made. ring the firearm serially numbers the by licensed dealers to governmental Forms 4473 and files them numerical- entities. A record of armor piercing am- (e) Firearms receipt and disposition ly. The format required for the record of munition disposed of by a licensed deal- by dealers. Each licensed dealer shall receipt and disposition of firearms is as er to a governmental entity pursuant to enter into a record each receipt and dis- follows: (See Table 4) §478.99(e) shall be maintained by the li- position of firearms. In addition, before censed dealer on the licensed premises commencing or continuing a firearms (f) Firearms receipt and disposition and shall show the name of the manu- business, each licensed dealer shall in- by licensed collectors. (1) Each licensed facturer, the caliber or gauge, the quan- ventory the firearms possessed for such collector shall enter into a record each tity, the name and address of the entity business and shall record same in the receipt and disposition of firearms curi- to which the armor piercing ammunition record required by this paragraph. The os or relics. The record required by this was transferred, and the date of the record required by this paragraph shall paragraph shall be maintained in bound transaction. Such information shall be be maintained in bound form under the form under the format prescribed below. recorded under the format prescribed format prescribed below. The purchase The purchase or other acquisition of a by §478.122(b). Each licensed dealer or other acquisition of a firearm shall, ex- curio or relic shall, except as provided in disposing of armor piercing ammunition cept as provided in paragraph (g) of this paragraph (g) of this section, be record- pursuant to §478.99(e) shall also main- section, be recorded not later than the ed not later than the close of the next tain a record showing the date of acqui- close of the next business day following business day following the date of such sition of such ammunition which shall be the date of such purchase or acquisition. purchase or other acquisition. The re- filed in an orderly manner separate from The record shall show the date of record shall show the date of receipt, the other commercial records maintained ceipt, the name and address or the name name and address or the name and li- and be readily available for inspection. and license number of the person from cense number of the person from whom The records required by this paragraph whom received, the name of the manu- received, the name of the manufacturer shall be retained on the licensed prem- facturer and importer (if any), the model, and importer (if any), the model, serial ises of the licensee for a period not less serial number, type, and the caliber or number, type, and the caliber or gauge than two years following the date of the gauge of the firearm. The sale or other of the firearm curio or relic. The sale or recorded sale or disposition of the ar- disposition of a firearm shall be record- other disposition of a curio or relic shall mor piercing ammunition. ed by the licensed dealer not later than be recorded by the licensed collector 7 days following the date of such trans- not later than 7 days following the date (d) Commercial records of armor pierc- action. When such disposition is made of such transaction. When such dispo- ing ammunition transactions. When a to a nonlicensee, the firearms transac- sition is made to a licensee, the com- commercial record is made at the time of tion record, Form 4473, obtained by the mercial record of the transaction shall sale or other disposition of armor piercing licensed dealer shall be retained, until be retained, until the transaction is re- ammunition, and such record contains the transaction is recorded, separate corded, separate from other commercial all information required by the bound re- from the licensee’s Form 4473 file and documents maintained by the licensee, cord prescribed by paragraph (a) of this be readily available for inspection. When and be readily available for inspection. section, the licensed collector transferring such disposition is made to a licensee, The record shall show the date of the the armor piercing ammunition may, for the commercial record of the transaction sale or other disposition of each firearm a period not exceeding 7 days following shall be retained, until the transaction curio or relic, the name and address of the date of such transfer, delay making is recorded, separate from other com- the person to whom the firearm curio the required entry into such bound record: mercial documents maintained by the or relic is transferred, or the name and Provided, That the commercial record licensed dealer, and be readily available license number of the person to whom pertaining to the transfer is: for inspection. The record shall show the transferred if such person is a licensee,

TABLE 4: Firearms Acquisition and Disposition Record

Description of firearm Reciept Disposition

Address or license Name and No. if licensee, or Manufacturer Serial Caliber address or Model Type Date Date Name Form 4473 Serial and/or importer No. or gauge name and No. if Forms 4733 license No. filed numerically

65 and the date of birth of the transferee (e), and (f) of this section, the Director (1) The licensee has maintained if other than a licensee. In addition, the of Industry Operations may authorize the firearm as part of such collection licensee shall cause the transferee, if alternate records to be maintained by a for 1 year from the date the firearm other than a licensee, to be identified in licensed dealer or licensed collector to was transferred from the business any manner customarily used in com- record the acquisition and disposition of inventory into the personal collection mercial transactions (e.g., a driver’s firearms or curios or relics and the dis- or otherwise acquired as a personal license), and note on the record the position of armor piercing ammunition firearm, method used. when it is shown by the licensed dealer or the licensed collector that such alter- (2) The licensee recorded in (2) The format required for the nate records will accurately and readi- the bound record prescribed by record of receipt and disposition of ly disclose the required information. §478.125(e) the receipt of the firearm firearms by collectors is as follows: A licensed dealer or licensed collector into the business inventory or other (See Table 5) who proposes to use alternate records acquisition, shall submit a letter application, in du- (g) Commercial records of firearms plicate, to the Director of Industry Oper- (3) The licensee recorded the fire- received. When a commercial record ations and shall describe the proposed arm as a disposition in the bound re- is held by a licensed dealer or licensed alternate records and the need there- cord prescribed by §478.125(e) when collector showing the acquisition of for. Such alternate records shall not be the firearm was transferred from the a firearm or firearm curio or relic, and employed by the licensed dealer or li- business inventory into the personal such record contains all acquisition in- censed collector until approval in such firearms collection or otherwise ac- formation required by the bound record regard is received from the Director of quired as a personal firearm, and prescribed by paragraphs (e) and (f) of Industry Operations. this section, the licensed dealer or li- (4) The licensee enters the sale or censed collector acquiring such firearm (i) Requirements for importers and other disposition of the firearm from or curio or relic, may, for a period not manufacturers. Each licensed importer the personal firearms collection into a exceeding 7 days following the date of and licensed manufacturer selling or bound record, under the format pre- such acquisition, delay making the re- otherwise disposing of firearms or ar- scribed below, identifying the firearm quired entry into such bound record: mor piercing ammunition to nonlicens- transferred by recording the name Provided, That the commercial record ees shall maintain such records of such of the manufacturer and importer is, until such time as the required en- transactions as are required of licensed (if any), the model, serial number, try into the bound record is made, (1) dealers by this section. type, and the caliber or gauge, and maintained by the licensed dealer or showing the date of the sale or oth- licensed collector separate from other (Approved by the Office of Management and er disposition, the name and address commercial documents maintained by Budget under control number 1140–0032) of the transferee, or the name and such licensee, and (2) readily available business address of the transferee for inspection on the licensed premises: § 478.125a Personal firearms collec- if such person is a licensee, and the Provided further, That when disposition tion. date of birth of the transferee if oth- is made of a firearm or firearm curio or er than a licensee. In addition, the relic not entered in the bound record (a) Notwithstanding any other provi- licensee shall cause the transferee, under the provisions of this paragraph, sion of this subpart, a licensed manu- if other than a licensee, to be identi- the licensed dealer or licensed collector facturer, licensed importer, or licensed fied in any manner customarily used making such disposition shall enter all dealer is not required to comply with in commercial transactions (e.g., a required acquisition information regard- the provisions of §478.102 or record drivers license). The format required ing the firearm or firearm curio or relic in on a firearms transaction record, Form for the disposition record of personal the bound record at the time such trans- 4473, the sale or other disposition of firearms is as follows: (See Table 6) fer or disposition is made. a firearm maintained as part of the licensee’s personal firearms collection: (b) Any licensed manufacturer, li- (h) Alternate records. Notwithstand- Provided, That censed importer, or licensed dealer selling the provisions of paragraphs (a), ing or otherwise disposing of a firearm

TABLE 5: Firearms Collectors Acquisition and Disposition Record

Description of firearm Reciept Disposition

Name and Manu- address Driver’s license Name and facturer Serial Caliber or or Date of birth if No. or other Model Type Date Date address or name and/or No. gauge name nonlicensee identification if and license No. importer and nonlicensee license No.

66 from the licensee’s personal firearms ever the licensee sells or otherwise dis- since the sales did not occur during five collection under this section shall be poses of, at one time or during any five consecutive business days. subject to the restrictions imposed by consecutive business days, two or more the Act and this part on the dispositions pistols, or revolvers, or any combination of (Approved by the Office of Management and of firearms by persons other than li- pistols and revolvers totaling two or more, Budget under control number 1140–0003) censed manufacturers, licensed import- to an unlicensed person: Provided, That ers, and licensed dealers. a report need not be made where pistols § 478.127 Discontinuance of busi- or revolvers, or any combination thereof, ness. (Approved by the Office of Management and are returned to the same person from Budget under control number 1140–0032) whom they were received. The report Where a licensed business is discon- shall be prepared on Form 3310.4, Re- tinued and succeeded by a new licensee, § 478.126 Furnishing transaction port of Multiple Sale or Other Disposition the records prescribed by this subpart information. of Pistols and Revolvers. Not later than shall appropriately reflect such facts and the close of business on the day that the shall be delivered to the successor. Where (a) Each licensee shall, when re- multiple sale or other disposition occurs, discontinuance of the business is abso- quired by letter issued by the Director the licensee shall forward two copies of lute, the records shall be delivered within of Industry Operations, and until notified Form 3310.4 to the ATF office specified 30 days following the business discontin- to the contrary in writing by such officer, thereon and one copy to the State police uance to the ATF Out–of–Business Re- submit on Form 5300.5, Report of Fire- or to the local law enforcement agen- cords Center, 244 Needy Road, Martins- arms Transactions, for the periods and cy in which the sale or other disposition burg, West Virginia 25405, or to any ATF at the times specified in the letter issued took place. Where the State or local law office in the division in which the business by the Director of Industry Operations, enforcement officials have notified the was located: Provided, however, Where all record information required by this licensee that a particular official has been State law or local ordinance requires the subpart, or such lesser record informa- designated to receive Forms 3310.4, the delivery of records to other responsible tion as the Director of Industry Opera- licensee shall forward such forms to that authority, the Chief, Federal Firearms Li- tions in his letter may specify. designated official. The licensee shall re- censing Center may arrange for the deliv- tain one copy of Form 3310.4 and attach ery of the records required by this subpart (b) The Director of Industry Operations it to the firearms transaction record, Form to such authority: Provided further, That may authorize the information to be sub- 4473, executed upon delivery of the pis- where a licensed business is discontinued mitted in a manner other than that pre- tols or revolvers. and succeeded by a new licensee, the scribed in paragraph (a) of this section records may be delivered within 30 days when it is shown by a licensee that an Example 1. A licensee sells a pistol and following the business discontinuance to alternate method of reporting is reason- revolver in a single transaction to an unli- the ATF Out–of–Business Records Center ably necessary and will not unduly hinder censed person. This is a multiple sale and or to any ATF office in the division in which the effective administration of this part. A must be reported not later than the close the business was located. licensee who proposes to use an alter- of business on the date of the transaction. nate method of reporting shall submit a § 478.128 False statement or repre- letter application, in duplicate, to the Di- Example 2. A licensee sells a pistol sentation. rector of Industry Operations and shall on Monday and sells a revolver on the describe the proposed alternate method following Friday to the same unlicensed (a) Any person who knowingly makes of reporting and the need therefor. An al- person. This is a multiple sale and must any false statement or representation in ternate method of reporting shall not be be reported not later than the close of applying for any license or exemption employed by the licensee until approval business on Friday. If the licensee sells or relief from disability, under the provi- in such regard is received from the Direc- the same unlicensed person another sions of the Act, shall be fined not more tor of Industry Operations. pistol or revolver on the following Mon- than $5,000 or imprisoned not more day, this would constitute an additional than 5 years, or both. (Approved by the Office of Management and multiple sale and must also be reported. Budget under control number 1140–0032) (b) Any person other than a licensed Example 3. A licensee maintaining manufacturer, licensed importer, li- § 478.126a Reporting multiple sales business hours on Monday through Sat- censed dealer, or licensed collector who or other disposition of pistols and urday sells a revolver to an unlicensed knowingly makes any false statement or revolvers. person on Monday and sells another re- representation with respect to any infor- volver to the same person on the follow- mation required by the provisions of the Each licensee shall prepare a report of ing Saturday. This does not constitute a Act or this part to be kept in the records multiple sales or other disposition when- multiple sale and need not be reported of a person licensed under the Act or

TABLE 6: Disposition Record of Personal Firearms

Description of firearm Disposition

Name and address Manufacturer Serial Caliber or Model Type Date (business address if Date of birth of nonlicensee and/or importer No. gauge licensee)

67 this part shall be fined not more than of not less than 5 years after the date the action record, Form 4473, any iden- $5,000 or imprisoned not more than 5 theft or loss was reported to ATF. tifying number, the date of issuance, years, or both. and the expiration date (if provided) (d) Records of importation and man- from the permit or license. (c) Any licensed manufacturer, li- ufacture. Licensees will maintain per- censed importer, licensed dealer, or li- manent records of the importation, (3) If the transfer is pursuant to a censed collector who knowingly makes manufacture, or other acquisition of certification by ATF in accordance any false statement or representation firearms, including ATF Forms 6 and with §§478.102(d)(3) and 478.150, with respect to any information required 6A as required by subpart G of this the licensee shall maintain the certifi- by the provisions of the Act or this part part. Licensed importers’ records and cation as part of the records required to be kept in the records of a person li- licensed manufacturers’ records of the to be kept under this subpart and for censed under the Act or this part shall sale or other disposition of firearms after the period prescribed for the retention be fined not more than $1,000 or impris- December 15, 1968, shall be retained of Form 5300.35 in §478.129(c). oned not more than 1 year, or both. through December 15, 1988, after which records of transactions over 20 years of (b) The requirements of this section § 478.129 Record retention. age may be discarded. shall be in addition to any other recordkeeping requirements contained (a) Records prior to Act. Licensed (e) Records of dealers and collectors in this part. importers and licensed manufacturers under the Act. The records prepared by may dispose of records of sale or other licensed dealers and licensed collectors (Approved by the Office of Management and disposition of firearms prior to Decem- under the Act of the sale or other dispo- Budget under control number 1140–0045) ber 16, 1968. Licensed dealers and sition of firearms and the corresponding licensed collectors may dispose of all record of receipt of such firearms shall § 478.132 Dispositions of semi- records of firearms transactions that oc- be retained through December 15, 1988, automatic assault weapons and curred prior to December 16, 1968. after which records of transactions over large capacity ammunition feeding 20 years of age may be discarded. devices to law enforcement officers (b) Firearms transaction record. for official use and to employees or Licensees shall retain each Form 4473 (f) Retention of records of transactions contractors of nuclear facilities. and Form 4473(LV) for a period of not in semiautomatic assault weapons. The less than 20 years after the date of sale documentation required by §§478.40(c) Editor’s Note: or disposition. Where a licensee has and 478.132 shall be retained in the initiated a NICS check for a proposed licensee’s permanent records for a peri- Section 478.132 is not applicable on or firearms transaction, but the sale, de- od of not less than 5 years after the date after September 13, 2004. livery, or transfer of the firearm is not of sale or other disposition. made, the licensee shall record any § 478.133 Records of transactions in transaction number on the Form 4473, (Paragraph (b) approved by the Office of semiautomatic assault weapons. and retain the Form 4473 for a period Management and Budget under control num- of not less than 5 years after the date ber 1512–0544; Paragraph (c) approved by The evidence specified in §478.40(c), of the NICS inquiry. Forms 4473 shall the Office of Management and Budget under relating to transactions in semiautomat- be retained in the licensee’s records control numbers 1512–0520, 1512–0006, ic assault weapons, shall be retained as provided in §478.124(b): Provided, and 1512–0524; Paragraph (f) approved by in the permanent records of the manu- That Forms 4473 with respect to which the Office of Management and Budget un- facturer or dealer and in the records of a sale, delivery or transfer did not take der control number 1512–0526; all other re- the licensee to whom the weapons are place shall be separately retained in al- cordkeeping approved by the Office of Man- transferred. phabetical (by name of transferee) or agement and Budget under control number chronological (by date of transferee’s 1512–0129) (Approved by the Office of Management and certification) order. § 478.131 Firearms transactions not Budget under control number 1140–0041) (c) Statement of intent to obtain a subject to a NICS check. handgun, reports of multiple sales or § 478.134 Sale of firearms to law other disposition of pistols and revolv- (a) (1) A licensed importer, licensed enforcement officers. ers, and reports of theft or loss of fire- manufacturer, or licensed dealer whose arms. Licensees shall retain each Form sale, delivery, or transfer of a firearm is (a) Law enforcement officers pur- 5300.35 (Statement of Intent to Obtain a made pursuant to the alternative pro- chasing firearms for official use who Handgun(s)) for a period of not less than visions of §478.102(d) and is not sub- provide the licensee with a certification 5 years after notice of the intent to obtain ject to the NICS check prescribed by on agency letterhead, signed by a per- the handgun was forwarded to the chief §478.102(a) shall maintain the records son in authority within the agency (other law enforcement officer, as defined in required by paragraph (a) of this section. than the officer purchasing the firearm), §478.150(c). Licensees shall retain each stating that the officer will use the fire- copy of Form 3310.4 (Report of Multiple (2) If the transfer is pursuant to a arm in official duties and that a records Sale or Other Disposition of Pistols and permit or license in accordance with check reveals that the purchasing offi- Revolvers) for a period of not less than §478.102(d)(1), the licensee shall cer has no convictions for misdemeanor 5 years after the date of sale or other either retain a copy of the purchas- crimes of domestic violence are not re- disposition. Licensees shall retain each er’s permit or license and attach it to quired to complete Form 4473 or Form copy of Form 3310.11 (Federal Firearms the firearms transaction record, Form 5300.35. The law enforcement officer Licensee Theft/Loss Report) for a period 4473, or record on the firearms trans- purchasing the firearm may purchase a

68 firearm from a licensee in another State, the transportation of any such firearm or a conviction nugatory, or restoration regardless of where the officer resides ammunition carried out to enable a per- of civil rights expressly provides that or where the agency is located. son, who lawfully received such firearm the person may not ship, transport, or ammunition from the Secretary of the possess or receive firearms; or (b) (1) The following individuals are Army, to engage in military training or in considered to have sufficient authority competitions. (2) The pardon, expunction, setting to certify that law enforcement officers aside, or other proceeding rendering purchasing firearms will use the firearms (c) The shipment, unless otherwise a conviction nugatory, or restoration in the performance of official duties: prohibited by the Act or any other Federal of civil rights did not fully restore the law, by a licensed importer, licensed man- rights of the person to possess or re- (i) In a city or county police de- ufacturer, or licensed dealer to a member ceive firearms under the law of the partment, the director of public of the U.S. Armed Forces on active duty jurisdiction where the conviction oc- safety or the chief or commissioner outside the United States or to clubs, rec- curred. of police. ognized by the Department of Defense, whose entire membership is composed of § 478.143 Relief from disabilities (ii) In a sheriff’s office, the sheriff. such members of the U.S. Armed Forces, incurred by indictment. and such members or clubs may receive (iii) In a State police or highway a firearm or ammunition determined by A licensed importer, licensed man- patrol department, the superinten- the Director to be generally recognized ufacturer, licensed dealer, or licensed dent or the supervisor in charge of as particularly suitable for sporting pur- collector who is indicted for a crime the office to which the State officer poses and intended for the personal use punishable by imprisonment for a term or employee is assigned. of such member or club. Before making exceeding 1 year may, notwithstanding a shipment of firearms or ammunition any other provision of the Act, contin- (iv) In Federal law enforcement under the provisions of this paragraph, a ue operations pursuant to his existing offices, the supervisor in charge of licensed importer, licensed manufacturer, license during the term of such indict- the office to which the Federal offi- or licensed dealer may submit a written ment and until any conviction pursuant cer or employee is assigned. request, in duplicate, to the Director for to the indictment becomes final: Provid- a determination by the Director whether ed, That if the term of the license expires (2) An individual signing on behalf such shipment would constitute a viola- during the period between the date of of the person in authority is accept- tion of the Act or any other Federal law, the indictment and the date the convic- able, provided there is a proper dele- or whether the firearm or ammunition is tion thereunder becomes final, such im- gation of authority. considered by the Director to be general- porter, manufacturer, dealer, or collector ly recognized as particularly suitable for must file a timely application for the re- (c) Licensees are not required to pre- sporting purposes. newal of his license in order to continue pare a Form 4473 or Form 5300.35 cov- operations. Such application shall show ering sales of firearm made in accordance (d) The transportation, shipment, re- that the applicant is under indictment for with paragraph (a) of this section to law ceipt, possession, or importation of any a crime punishable by imprisonment for enforcement officers for official use. How- antique firearm. a term exceeding 1 year. ever, disposition to the officer must be entered into the licensee’s permanent re- § 478.142 Effect of pardons and § 478.144 Relief from disabilities cords, and the certification letter must be expunctions of convictions. under the Act. retained in the licensee’s files. (a) A pardon granted by the President (a) Any person may make applica- Subpart I—Exemptions, Seizures, of the United States regarding a Feder- tion for relief from the disabilities under and Forfeitures al conviction for a crime punishable by section 922 (g) and (n) of the Act (see imprisonment for a term exceeding 1 §478.32). § 478.141 General. year shall remove any disability which otherwise would be imposed by the pro- (b) An application for such relief shall With the exception of §§478.32(a) visions of this part with respect to that be filed, in triplicate, with the Director. It (9) and (d)(9) and 478.99(c)(9), the pro- conviction. shall include the information required by visions of this part shall not apply with this section and such other supporting respect to: (b) A pardon granted by the Gover- data as the Director and the applicant nor of a State or other State pardoning deem appropriate. (a) The transportation, shipment, re- authority or by the pardoning authority ceipt, possession, or importation of any of a foreign jurisdiction with respect to (c) Any record or document of a court firearm or ammunition imported for, sold a conviction, or any expunction, rever- or other government entity or official re- or shipped to, or issued for the use of, sal, setting aside of a conviction, or quired by this paragraph to be furnished the United States or any department other proceeding rendering a conviction by an applicant in support of an applica- or agency thereof or any State or any nugatory, or a restoration of civil rights tion for relief shall be certified by the court department, agency, or political subdivi- shall remove any disability which oth- or other government entity or official as a sion thereof. erwise would be imposed by the pro- true copy. An application shall include: visions of this part with respect to the (b) The shipment or receipt of fire- conviction, unless: (1) In the case of an applicant who arms or ammunition when sold or issued is an individual, a written statement by the Secretary of the Army pursuant (1) The pardon, expunction, setting from each of 3 references, who are to section 4308 of Title 10, U.S.C., and aside, or other proceeding rendering not related to the applicant by blood

69 or marriage and have known the ap- before an officer designated by the relief under this section shall be re- plicant for at least 3 years, recom- Attorney General when the United lieved of any disabilities imposed by mending the granting of relief; States was in a state of war (see 8 the Act with respect to the acquisition, U.S.C. 1481(a) (5) and (6)); and receipt, transfer, shipment, transpor- (2) Written consent to examine and tation, or possession of firearms or obtain copies of records and to re- (8) In the case of an applicant who ammunition and incurred by reason of ceive statements and information re- has been convicted of a misdemean- such disability. garding the applicant’s background, or crime of domestic violence, a copy including records, statements and of the indictment or information on (i) (1) A licensee who incurs disabil- other information concerning employ- which the applicant was convicted, ities under the Act (see §478.32(a)) ment, medical history, military ser- the judgment of conviction or record during the term of a current license vice, and criminal record; of any plea of nolo contendere or or while the licensee has pending a plea of guilty or finding of guilt by the license renewal application, and who (3) In the case of an applicant un- court, and any pardon, expunction, files an application for removal of such der indictment, a copy of the indict- setting aside or other record purport- disabilities, shall not be barred from ment or information; ing to show that the conviction was licensed operations for 30 days fol- rendered nugatory or that civil rights lowing the date on which the applicant (4) In the case of an applicant hav- were restored. was first subject to such disabilities ing been convicted of a crime pun- (or 30 days after the date upon which ishable by imprisonment for a term (d) The Director may grant relief to an the conviction for a crime punishable exceeding 1 year, a copy of the indict- applicant if it is established to the satis- by imprisonment for a term exceed- ment or information on which the ap- faction of the Director that the circum- ing 1 year becomes final), and if the plicant was convicted, the judgment stances regarding the disability, and the licensee files the application for re- of conviction or record of any plea of applicant’s record and reputation, are lief as provided by this section within nolo contendere or plea of guilty or such that the applicant will not be likely such 30–day period, the licensee may finding of guilt by the court, and any to act in a manner dangerous to public further continue licensed operations pardon, expunction, setting aside or safety, and that the granting of the re- during the pendency of the applica- other record purporting to show that lief would not be contrary to the public tion. A licensee who does not file such the conviction was rendered nugatory interest. The Director will not ordinarily application within such 30–day period or that civil rights were restored; grant relief if the applicant has not been shall not continue licensed operations discharged from parole or probation for beyond 30 days following the date on (5) In the case of an applicant a period of at least 2 years. Relief will which the licensee was first subject to who has been adjudicated a mental not be granted to an applicant who is such disabilities (or 30 days from the defective or committed to a mental prohibited from possessing all types of date the conviction for a crime punish- institution, a copy of the order of a firearms by the law of the State where able by imprisonment for a term ex- court, board, commission, or other such applicant resides. ceeding 1 year becomes final). lawful authority that made the adjudication or ordered the commitment, (e) In addition to meeting the require- (2) In the event the term of a license any petition that sought to have the ments of paragraph (d) of this section, of a person expires during the 30–day applicant so adjudicated or commit- an applicant who has been adjudicat- period specified in paragraph (i)(1) of ted, any medical records reflecting ed a mental defective or committed to this section, or during the pendency of the reasons for commitment and a mental institution will not be granted the application for relief, a timely appli- diagnoses of the applicant, and any relief unless the applicant was subse- cation for renewal of the license must court order or finding of a court, quently determined by a court, board, be filed in order to continue licensed board, commission, or other lawful commission, or other lawful authority operations. Such license application authority showing the applicant’s to have been restored to mental com- shall show that the applicant is subject discharge from commitment, resto- petency, to be no longer suffering from to Federal firearms disabilities, shall ration of mental competency and the a mental disorder, and to have had all describe the event giving rise to such restoration of rights; rights restored. disabilities, and shall state when the disabilities were incurred. (6) In the case of an applicant who (f) Upon receipt of an incomplete or has been discharged from the Armed improperly executed application for re- (3) A licensee shall not continue Forces under dishonorable condi- lief, the applicant shall be notified of the licensed operations beyond 30 days tions, a copy of the applicant’s sum- deficiency in the application. If the ap- following the date the Director issues mary of service record (Department plication is not corrected and returned notification that the licensee’s appli- of Defense Form 214), charge sheet within 30 days following the date of noti- cations for removal of disabilities has (Department of Defense Form 458), fication, the application shall be consid- been denied. and final court martial order; ered as having been abandoned. (4) When as provided in this para- (7) In the case of an applicant (g) Whenever the Director grants re- graph a licensee may no longer con- who, having been a citizen of the lief to any person pursuant to this sec- tinue licensed operations, any appli- United States, has renounced his or tion, a notice of such action shall be cation for renewal of license filed by her citizenship, a copy of the formal promptly published in the Federal Reg- the licensee during the pendency of renunciation of nationality before a ister, together with the reasons therefor. the application for removal of disabili- diplomatic or consular officer of the ties shall be denied by the Director of United States in a foreign state or (h) A person who has been granted Industry Operations.

70 § 478.145 Research organizations. The Director may exempt certain ar- (1) The ratio of the number of law mor piercing ammunition from the re- enforcement officers of the State in The provisions of §478.98 with respect quirements of this part. A person who which the transfer is to occur to the to the sale or delivery of destructive de- desires to obtain an exemption under number of square miles of land area vices, machine guns, short–barreled this section for any such ammunition of the State does not exceed 0.0025; shotguns, and short–barreled rifles shall which is primarily intended for sport- not apply to the sale or delivery of such ing purposes or intended for industrial (2) The business premises of the devices and weapons to any research purposes, including charges used in oil licensee at which the transfer is to oc- organization designated by the Director and gas well perforating devices, shall cur are extremely remote in relation to receive same. A research organization submit a written request to the Director. to the chief law enforcement officer; desiring such designation shall submit Each request shall be executed under and a letter application, in duplicate, to the the penalties of perjury and contain Director. Such application shall contain a complete and accurate description (3) There is an absence of tele- the name and address of the research of the ammunition, the name and ad- communications facilities in the geo- organization, the names and addresses dress of the manufacturer or importer, graphical area in which the business of the persons directing or controlling, di- the purpose of and use for which it is premises are located. rectly or indirectly, the policies and man- designed and intended, and any photo- agement of such organization, the nature graphs, diagrams, or drawings as may (b) A licensee who desires to obtain and purpose of the research being con- be necessary to enable the Director a certification under this section shall ducted, a description of the devices and to make a determination. The Director submit a written request to the Director. weapons to be received, and the identity may require that a sample of the am- Each request shall be executed under of the person or persons from whom such munition be submitted for examination the penalties of perjury and contain devices and weapons are to be received. and evaluation. information sufficient for the Director to make such certification. Such infor- § 478.146 Deliveries by mail to cer- § 478.149 Armor piercing ammunition mation shall include statistical data, tain persons. manufactured or imported for the pur- official reports, or other statements of pose of testing or experimentation. government agencies pertaining to the The provisions of this part shall not ratio of law enforcement officers to the be construed as prohibiting a licensed The provisions of §§478.37 and number of square miles of land area of importer, licensed manufacturer, or li- 478.99(d) with respect to the manufac- a State and statements of government censed dealer from depositing a fire- ture or importation of armor piercing agencies and private utility companies arm for conveyance in the mails to any ammunition and the sale or delivery of regarding the absence of telecommu- officer, employee, agent, or watchman armor piercing ammunition by manu- nications facilities in the geographical who, pursuant to the provisions of sec- facturers and importers shall not apply area in which the licensee’s business tion 1715 of title 18, U.S.C., is eligible to to the manufacture, importation, sale or premises are located. receive through the mails pistols, revolv- delivery of armor piercing ammunition ers, and other firearms capable of being for the purpose of testing or experimen- (c) For purposes of this section and concealed on the person, for use in con- tation as authorized by the Director. §478.129(c), the “chief law enforce- nection with his official duties. A person desiring such authorization ment officer” means the chief of police, to receive armor piercing ammunition the sheriff, or an equivalent officer or the § 478.147 Return of firearm. shall submit a letter application, in du- designee of any such individual. plicate, to the Director. Such application A person not otherwise prohibited by shall contain the name and addresses (Approved by the Office of Management and Federal, State or local law may ship a of the persons directing or controlling, Budget under control number 1140–0045) firearm to a licensed importer, licensed directly or indirectly, the policies and manufacturer, or licensed dealer for any management of the applicant, the na- § 478.151 Semiautomatic rifles or lawful purpose, and, notwithstanding any ture or purpose of the testing or exper- shotguns for testing or experimen- other provision of this part, the licensed imentation, a description of the armor tation. manufacturer, licensed importer, or li- piercing ammunition to be received, censed dealer may return in interstate and the identity of the manufacturer or (a) The provisions of §478.39 shall or foreign commerce to that person the importer from whom such ammunition not apply to the assembly of semiauto- firearm or a replacement firearm of the is to be received. The approved appli- matic rifles or shotguns for the purpose same kind and type. See §478.124(a) cation shall be submitted to the manu- of testing or experimentation as autho- for requirements of a Form 4473 prior to facturer or importer who shall retain a rized by the Director. return. A person not otherwise prohibited copy as part of the records required by by Federal, State or local law may ship subpart H of this part. (b) A person desiring authorization to a firearm curio or relic to a licensed col- assemble nonsporting semiautomatic lector for any lawful purpose, and, not- § 478.150 Alternative to NICS in cer- rifles or shotguns shall submit a written withstanding any other provision of this tain geographical locations. request, in duplicate, to the Director. part, the licensed collector may return Each such request shall be executed in interstate or foreign commerce to that (a) The provisions of §478.102(d)(3) under the penalties of perjury and shall person the firearm curio or relic. shall be applicable when the Director contain a complete and accurate de- has certified that compliance with the scription of the firearm to be assembled, § 478.148 Armor piercing ammuni- provisions of §478.102(a)(1) is imprac- and such diagrams or drawings as may tion intended for sporting or indus- ticable because: be necessary to enable the Director to trial purposes. make a determination. The Director may

71 require the submission of the firearm in violation of law. Any action or pro- (6) Any offense which may be parts for examination and evaluation. ceeding for the forfeiture of firearms or prosecuted in a court of the United If the submission of the firearm parts is ammunition shall be commenced within States which involves the exportation impractical, the person requesting the 120 days of such seizure. of firearms or ammunition. authorization shall so advise the Direc- tor and designate the place where the (b) Only those firearms or quantities §478.153 Semiautomatic assault firearm parts will be available for exam- of ammunition particularly named and weapons and large capacity ammu- ination and evaluation. individually identified as involved in or nition feeding devices manufactured used in any violation of the provisions of or imported for the purposes of (Paragraph (b) approved by the Office of the Act or this part, or any other criminal testing or experimentation. Management and Budget under control num- law of the United States or as intend- ber 1140–0037) ed to be used in any offense referred to Editor’s Note: in paragraph (c) of this section, where § 478.152 Seizure and forfeiture. such intent is demonstrated by clear and Section 478.153 is not applicable on or convincing evidence, shall be subject to after September 13, 2004. (a) Any firearm or ammunition in- seizure, forfeiture and disposition. volved in or used in any knowing viola- Subpart J—[Reserved] tion of subsections (a)(4), (a)(6), (f), (g), (c) The offenses referred to in para- (h), (i), (j), or (k) of section 922 of the graphs (a) and (b) of this section for Subpart K—Exportation Act, or knowing importation or bringing which firearms and ammunition intend- into the United States or any posses- ed to be used in such offenses are sub- § 478.171 Exportation. sion thereof any firearm or ammunition ject to seizure and forfeiture are: in violation of section 922(l) of the Act, Firearms and ammunition shall be or knowing violation of section 924 of (1) Any crime of violence, as that exported in accordance with the applica- the Act, or willful violation of any other term is defined in section 924(c)(3) of ble provisions of section 38 of the Arms provision of the Act or of this part, or any the Act; Export Control Act (22 U.S.C. 2778) violation of any other criminal law of the and regulations thereunder. However, United States, or any firearm or ammu- (2) Any offense punishable under licensed manufacturers, licensed im- nition intended to be used in any offense the Controlled Substances Act (21 porters, and licensed dealers exporting referred to in paragraph (c) of this sec- U.S.C. 801 et seq.) or the Controlled firearms shall maintain records showing tion, where such intent is demonstrated Substances Import and Export Act the manufacture or acquisition of the by clear and convincing evidence, shall (21 U.S.C. 951 et seq.); firearms as required by this part and re- be subject to seizure and forfeiture, and cords showing the name and address all provisions of the Internal Revenue (3) Any offense described in sec- of the foreign consignee of the firearms Code of 1986 relating to the seizure, tion 922(a)(1), 922(a)(3), 922(a)(5), and the date the firearms were exported. forfeiture, and disposition of firearms, or 922(b)(3) of the Act, where the Licensed manufacturers and licensed as defined in section 5845(a) of that firearm or ammunition intended to be importers exporting armor piercing am- Code, shall, so far as applicable, extend used in such offense is involved in a munition and semiautomatic assault to seizures and forfeitures under the pattern of activities which includes a weapons manufactured after September provisions of the Act: Provided, That violation of any offense described in 13, 1994, shall maintain records show- upon acquittal of the owner or posses- section 922(a)(1), 922(a)(3), 922(a) ing the name and address of the for- sor, or dismissal of the charges against (5), or 922(b)(3) of the Act; eign consignee and the date the armor such person other than upon motion of piercing ammunition or semiautomatic the Government prior to trial, or lapse (4) Any offense described in sec- assault weapons were exported. of or court termination of the restraining tion 922(d) of the Act where the fire- order to which he is subject, the seized arm or ammunition is intended to be or relinquished firearms or ammunition used in such offense by the transferor Editor’s Note: shall be returned forthwith to the owner of such firearm or ammunition; or possessor or to a person delegated The references to “semiautomatic as- by the owner or possessor unless the (5) Any offense described in sec- sault weapons” in section 478.171 are not return of the firearms or ammunition tion 922(i), 922(j), 922(l), 922(n), or applicable. would place the owner or possessor or 924(b) of the Act; and the delegate of the owner or possessor

72 The National Firearms Act

TITLE 26, UNITED STATES CODE, CHAPTER 53 INTERNAL REVENUE CODE

CHAPTER 53—MACHINE GUNS, § 5853 Transfer and making tax taxpayer for purposes of paragraph (1). DESTRUCTIVE DEVICES, AND CER- exemption available to cer- TAIN OTHER FIREARMS tain governmental entities. (3) Certain Rules to apply. For purposes of paragraph (1), rules similar to Subchapter A—Taxes § 5854 Exportation of firearms the rules of subparagraphs (B) and (C) exempt from transfer tax. of section 448(c)(3) shall apply. Part I — Special (occupational) taxes. Subchapter C—Prohibited Acts § 5802 Registration of importers, § 5801 Imposition of tax. manufacturers, and dealers. § 5861 Prohibited acts. § 5802 Registration of importers, On first engaging in business and manufacturers, and dealers. Subchapter D—Penalties and thereafter on or before the first day of Forfeitures July of each year, each importer, manu- Part II — Tax on transferring firearms. facturer, and dealer in firearms shall reg- § 5871 Penalties. ister with the Secretary in each internal § 5811 Transfer tax. revenue district in which such business is § 5872 Forfeitures. § 5812 Transfers. to be carried on, his name, including any trade name, and the address of each lo- Part III — Tax on making firearms. cation in the district where he will conduct SUBCHAPTER A—TAXES such business. An individual required to § 5821 Making tax. register under this section shall include Part I—Special Occupational Taxes a photograph and fingerprints of the in- § 5822 Making. dividual with the initial application. Where § 5801 Imposition of tax. there is a change during the taxable year Subchapter B—General Provisions in the location of, or the trade name used and Exemptions (a) General rule. On 1st engaging in, such business, the importer, manufac- in business and thereafter on or before turer, or dealer shall file an application Part I — General Provisions. July 1 of each year, every importer, with the Secretary to amend his registra- manufacturer, and dealer in firearms tion. Firearms operations of an importer, § 5841 Registration of firearms. shall pay a special (occupational) tax manufacturer, or dealer may not be com- for each place of business at the follow- menced at the new location or under a § 5842 Identification on firearms. ing rates: new trade name prior to approval by the Secretary of the application. § 5843 Records and returns. (1) Importers and manufacturers: $1,000 a year or fraction thereof. Part II—Tax on Transferring Firearms. § 5844 Importation. (2) Dealers: $500 a year or fraction § 5811 Transfer tax. § 5845 Definitions. thereof. § 5846 Other laws applicable. (a) Rate. There shall be levied, col- (b) Reduced rates of tax for small lected, and paid on firearms transferred § 5847 Effect on other laws. importers and manufacturers a tax at the rate of $200 for each firearm transferred, except, the transfer tax § 5848 Restrictive use of (1) In general. Paragraph (1) of on any firearm classified as any other information. subsection (a) shall be applied by weapon under section 5845(e) shall be substituting “$500” for “$1,000” with at the rate of $5 for each such firearm § 5849 Citation of chapter. respect to any taxpayer the gross re- transferred. ceipts of which (for the most recent Part II — Exemptions. taxable year ending before the 1st (b) By whom paid. The tax imposed day of the taxable period to which by subsection (a) of this section shall be § 5851 Special (occupational) tax the tax imposed by subsection (a) re- paid by the transferor. exemption. lates) are less than $500,000. (c) Payment. The tax imposed by § 5852 General transfer and (2) Controlled group rules. All subsection (a) of this section shall be making tax exemption. persons treated as 1 taxpayer under payable by the appropriate stamps pre- section 5061(e)(3) shall be treated as 1 scribed for payment by the Secretary.

73 § 5812 Transfers. identified the firearm to be made inthe tained by the Secretary pursuant to the application form in such manner as the National Firearms Act in force on the day (a) Application. A firearm shall not be Secretary may by regulations prescribe; immediately prior to the effective date of transferred unless (1) the transferor of (d) identified himself in the application the National Firearms Act of 1968 1 shall the firearm has filed with the Secretary form in such manner as the Secretary be considered to have registered under a written application, in duplicate, for the may by regulations prescribe, except this section the firearms in his posses- transfer and registration of the firearm to that, if such person is an individual, the sion which are disclosed by that record the transferee on the application form pre- identification must include his fingerprints as being in his possession. scribed by the Secretary; (2) any tax pay- and his photograph; and (e) obtained the able on the transfer is paid as evidenced approval of the Secretary to make and (e) Proof of registration. A person by the proper stamp affixed to the original register the firearm and the application possessing a firearm registered as re- application form; (3) the transferee is iden- form shows such approval. Applications quired by this section shall retain proof tified in the application form in such man- shall be denied if the making or posses- of registration which shall be made avail- ner as the Secretary may by regulations sion of the firearm would place the per- able to the Secretary upon request. prescribe, except that, if such person is an son making the firearm in violation of law. individual, the identification must include § 5842 Identification of firearms. his fingerprints and his photograph;(4) the SUBCHAPTER B—GENERAL PROVI- transferor of the firearm is identified in the SIONS AND EXEMPTIONS (a) Identification of firearms other application form in such manner as the than destructive devices. Each manu- Secretary may by regulations prescribe; Part I—General Provisions. facturer and importer and anyone mak- (5) the firearm is identified in the applica- ing a firearm shall identify each firearm, tion form in such manner as the Secretary § 5841 Registration of firearms. other than a destructive device, manu- may by regulations prescribe; and (6) the factured, imported, or made by a serial application form shows that the Secretary (a) Central registry. The Secretary number which may not be readily re- has approved the transfer and the reg- shall maintain a central registry of all moved, obliterated, or altered, the name istration of the firearm to the transferee. firearms in the United States which are of the manufacturer, importer, or maker, Applications shall be denied if the transfer, not in the possession or under the con- and such other identification as the Sec- receipt, or possession of the firearm would trol of the United States. This registry retary may by regulations prescribe. place the transferee in violation of law. shall be known as the National Firearms Registration and Transfer Record. The (b) Firearms without serial number. (b) Transfer of possession. The registry shall include— Any person who possesses a firearm, transferee of a firearm shall not take other than a destructive device, which possession of the firearm unless the (1) identification of the firearm; does not bear the serial number and oth- Secretary has approved the transfer and er information required by subsection (a) registration of the firearm to the transfer- (2) date of registration; and of this section shall identify the firearm ee as required by subsection (a) of this with a serial number assigned by the section. (3) identification and address of Secretary and any other information the person entitled to possession of the Secretary may by regulations prescribe. Part III—Tax on Making Firearms. firearm. (c) Identification of destructive § 5821 Making tax. (b) By whom registered. Each man- device. Any firearm classified as a de- ufacturer, importer, and maker shall structive device shall be identified in (a) Rate. There shall be levied, col- register each firearm he manufactures, such manner as the Secretary may by lected, and paid upon the making of a imports, or makes. Each firearm trans- regulations prescribe. firearm a tax at the rate of $200 for each ferred shall be registered to the transfer- firearm made. ee by the transferor. § 5843 Records and returns.

(b) By whom paid. The tax imposed (c) How registered. Each manu- Importers, manufacturers, and deal- by subsection (a) of this section shall be facturer shall notify the Secretary of ers shall keep such records of, and ren- paid by the person making the firearm. the manufacture of a firearm in such der such returns in relation to, the im- manner as may by regulations be pre- portation, manufacture, making, receipt, (c) Payment. The tax imposed by scribed and such notification shall effect and sale, or other disposition, of firearms subsection (a) of this section shall be the registration of the firearm required as the Secretary may by regulations pre- payable by the stamp prescribed for by this section. Each importer, maker, scribe. payment by the Secretary. and transferor of a firearm shall, pri- or to importing, making, or transferring § 5844 Importation. § 5822 Making. a firearm, obtain authorization in such manner as required by this chapter or No firearm shall be imported or No person shall make a firearm un- regulations issued thereunder to import, brought into the United States or any less he has (a) filed with the Secretary a make, or transfer the firearm, and such territory under its control or jurisdiction written application, in duplicate, to make authorization shall effect the registration unless the importer establishes, under and register the firearm on the form pre- of the firearm required by this section. regulations as may be prescribed by the scribed by the Secretary; (b) paid any tax Secretary, that the firearm to be import- payable on the making and such pay- (d) Firearms registered on effective ed or brought in is— ment is evidenced by the proper stamp date of the Act. A person shown as pos- affixed to the original application form; (c) sessing a firearm by the records main- (1) being imported or brought in for

74 the use of the United States or any parts are in the possession or under the as particularly suitable for sporting pur- department, independent establish- control of a person. poses; and (3) any combination of parts ment, or agency thereof or any State either designed or intended for use in or possession or any political subdivi- (c) Rifle. The term “rifle” means a converting any device into a destructive sion thereof; or weapon designed or redesigned, made device as defined in subparagraphs (1) or remade, and intended to be fired and (2) and from which a destructive de- (2) being imported or brought in for from the shoulder and designed or re- vice may be readily assembled. The term scientific or research purposes; or designed and made or remade to use “destructive device” shall not include the energy of the explosive in a fixed any device which is neither designed nor (3) being imported or brought in cartridge to fire only a single projectile redesigned for use as a weapon; any de- solely for testing or use as a model through a rifled bore for each single pull vice, although originally designed for use by a registered manufacturer or sole- of the trigger, and shall include any such as a weapon, which is redesigned for use ly for use as a sample by a registered weapon which may be readily restored as a signaling, pyrotechnic, line throwing, importer or registered dealer; to fire a fixed cartridge. safety, or similar device; surplus ordnance sold, loaned, or given by the Sec- except that, the Secretary may permit (d) Shotgun. The term “shotgun” retary of the Army pursuant to the provi- the conditional importation or bringing in means a weapon designed or rede- sions of section 4684(2), 4685, or 4686 of of a firearm for examination and testing signed, made or remade, and intended title 10 of the United States Code; or any in connection with classifying the fire- to be fired from the shoulder and de- other device which the Secretary finds is signed or redesigned and made or re- not likely to be used as a weapon, or is arm. made to use the energy of the explosive an antique or is a rifle which the owner in- in a fixed shotgun shell to fire through a tends to use solely for sporting purposes. § 5845 Definitions. smooth bore either a number of projectiles (ball shot) or a single projectile for (g) Antique firearm. The term “an- For the purpose of this chapter— each pull of the trigger, and shall include tique firearm” means any firearm not any such weapon which may be readily designed or redesigned for using rim fire (a) Firearm. The term “firearm” restored to fire a fixed shotgun shell. or conventional center fire ignition with means (1) a shotgun having a barrel or fixed ammunition and manufactured in barrels of less than 18 inches in length; (e) Any other weapon. The term or before 1898 (including any match- (2) a weapon made from a shotgun if such “any other weapon” means any lock, flintlock, percussion cap, or similar weapon as modified has an overall length weapon or device capable of being type of ignition system or replica thereof, of less than 26 inches or a barrel or barrels concealed on the person from which a whether actually manufactured before or of less than 18 inches in length; (3) a rifle shot can be discharged through the en- after the year 1898) and also any firearm having a barrel or barrels of less than 16 ergy of an explosive, a pistol or revolv- using fixed ammunition manufactured in inches in length; (4) a weapon made from er having a barrel with a smooth bore or before 1898, for which ammunition is a rifle if such weapon as modified has an designed or redesigned to fire a fixed no longer manufactured in the United overall length of less than 26 inches or a shotgun shell, weapons with combina- States and is not readily available in the barrel or barrels of less than 16 inches in tion shotgun and rifle barrels 12 inches ordinary channels of commercial trade. length; (5) any other weapon, as defined or more, less than 18 inches in length, in subsection (e); (6) a machinegun; (7) from which only a single discharge can (h) Unserviceable firearm. The term any silencer (as defined in section 921 of be made from either barrel without “unserviceable firearm” means a fire- title 18, United States Code); and (8) a de- manual reloading, and shall include arm which is incapable of discharging a structive device. The term “firearm” shall any such weapon which may be read- shot by means of an explosive and inca- not include an antique firearm or any de- ily restored to fire. Such term shall not pable of being readily restored to a firing vice (other than a machinegun or destruc- include a pistol or a revolver having a condition. tive device) which, although designed as a rifled bore, or rifled bores, or weapons weapon, the Secretary finds by reason of designed, made, or intended to be fired (i) Make. The term “make”, and the the date of its manufacture, value, design, from the shoulder and not capable of various derivatives of such word, shall and other characteristics is primarily a col- firing fixed ammunition. include manufacturing (other than by lector’s item and is not likely to be used as one qualified to engage in such busi- a weapon. (f) Destructive device. The term “de- ness under this chapter), putting togeth- structive device” means (1) any explo- er, altering, any combination of these, or (b) Machinegun. The term “ma- sive, incendiary, or poison gas (A) bomb, otherwise producing a firearm. chinegun” means any weapon which (B) grenade, (C) rocket having a propel- shoots, is designed to shoot, or can be lent charge of more than four ounces, (D) (j) Transfer. The term “transfer” and readily restored to shoot, automatical- missile having an explosive or incendiary the various derivatives of such word, ly more than one shot, without manual charge of more than one–quarter ounce, shall include selling, assigning, pledg- reloading, by a single function of the (E) mine, or (F) similar device; (2) any ing, leasing, loaning, giving away, or trigger. The term shall also include the type of weapon by whatever name known otherwise disposing of. frame or receiver of any such weapon, which will, or which may be readily con- any part designed and intended solely verted to, expel a projectile by the action (k) Dealer. The term “dealer” means and exclusively, or combination of parts of an explosive or other propellant, the any person, not a manufacturer or im- designed and intended, for use in con- barrel or barrels of which have a bore of porter, engaged in the business of sell- verting a weapon into a machinegun, more than one–half inch in diameter, ex- ing, renting, leasing, or loaning firearms and any combination of parts from which cept a shotgun or shotgun shell which the and shall include pawnbrokers who ac- a machinegun can be assembled if such Secretary finds is generally recognized cept firearms as collateral for loans.

75 (l) Importer. The term “importer” Part II—Exemptions. import, or deal in that type of firearm. means any person who is engaged in the business of importing or bringing § 5851 Special (occupational) tax (e) Unserviceable firearm. An un- firearms into the United States. exemption. serviceable firearm may be transferred as a curio or ornament without payment (m) Manufacturer. The term “manu- (a) Business with United States. of the transfer tax imposed by section facturer” means any person who is en- Any person required to pay special (oc- 5811, under such requirements as the gaged in the business of manufacturing cupational) tax under section 5801 shall Secretary may by regulations prescribe. firearms. be relieved from payment of that tax if he establishes to the satisfaction of the (f) Right to exemption. No firearm § 5846 Other laws applicable. Secretary that his business is conduct- may be transferred or made exempt ed exclusively with, or on behalf of, the from tax under the provisions of this All provisions of law relating to spe- United States or any department, in- section unless the transfer or making is cial taxes imposed by chapter 51 and dependent establishment, or agency performed pursuant to an application in to engraving, issuance, sale, account- thereof. The Secretary may relieve any such form and manner as the Secretary ability, cancellation, and distribution of person manufacturing firearms for, or on may by regulations prescribe. stamps for tax payment shall, insofar as behalf of, the United States from compli- not inconsistent with the provisions of ance with any provision of this chapter in § 5853 Transfer and making tax ex- this chapter, be applicable with respect the conduct of such business. emption available to certain govern- to the taxes imposed by sections 5801, mental entities. 5811, and 5821. (b) Application. The exemption provided for in subsection (a) of this section (a) Transfer. A firearm may be trans- § 5847 Effect on other laws. may be obtained by filing with the Sec- ferred without the payment of the transfer retary an application on such form and tax imposed by section 5811 to any State, Nothing in this chapter shall be con- containing such information as may by possession of the United States, any po- strued as modifying or affecting the re- regulations be prescribed. The exemp- litical subdivision thereof, or any official quirements of section 414 of the Mutual tions must thereafter be renewed on or police organization of such a government Security Act of 1954, as amended, with before July 1 of each year. Approval of entity engaged in criminal investigations. respect to the manufacture, exportation, the application by the Secretary shall and importation of arms, ammunition, entitle the applicant to the exemptions (b) Making. A firearm may be made and implements of war. stated on the approved application. without payment of the making tax imposed by section 5821 by, or on behalf § 5848 Restrictive use of information. § 5852 General transfer and making of, any State, or possession of the United tax exemption. States, any political subdivision thereof, (a) General Rule. No information or or any official police organization of such evidence obtained from an application, (a) Transfer. Any firearm may be a government entity engaged in criminal registration, or records required to be transferred to the United States or any investigations. submitted or retained by a natural per- department, independent establish- son in order to comply with any provi- ment, or agency thereof, without pay- (c) Right to exemption. No firearm sion of this chapter or regulations issued ment of the transfer tax imposed by sec- may be transferred or made exempt thereunder, shall, except as provided in tion 5811. from tax under this section unless the subsection (b) of this section, be used, transfer or making is performed pursu- directly or indirectly, as evidence against (b) Making by a person other than ant to an application in such form and that person in a criminal proceeding with a qualified manufacturer. Any fire- manner as the Secretary may by regula- respect to a violation of law occurring arm may be made by, or on behalf of, tions prescribe. prior to or concurrently with the filing the United States, or any department, of the application or registration, or the independent establishment, or agency § 5854 Exportation of firearms ex- compiling of the records containing the thereof, without payment of the making empt from transfer tax. information or evidence. tax imposed by section 5821. A firearm may be exported without (b) Furnishing false information. (c) Making by a qualified manufac- payment of the transfer tax imposed un- Subsection (a) of this section shall not turer. A manufacturer qualified under this der section 5811 provided that proof of preclude the use of any such information chapter to engage in such business may the exportation is furnished in such form or evidence in a prosecution or other ac- make the type of firearm which he is qual- and manner as the Secretary may by tion under any applicable provision of ified to manufacture without payment of regulations prescribe. law with respect to the furnishing of false the making tax imposed by section 5821. information. SUBCHAPTER C—PROHIBITED (d) Transfers between special (oc- ACTS § 5849 Citation of chapter. cupational) taxpayers. A firearm registered to a person qualified under this § 5861 Prohibited acts. This chapter may be cited as the “Na- chapter to engage in business as an tional Firearms Act” and any reference importer, manufacturer, or dealer may It shall be unlawful for any person— in any other provision of law to the “Na- be transferred by that person without tional Firearms Act” shall be held to payment of the transfer tax imposed by (a) to engage in business as a man- refer to the provisions of this chapter. section 5811 to any other person quali- ufacturer or importer of, or dealer in, fied under this chapter to manufacture, firearms without having paid the special

76 (occupational) tax required by section (i) to receive or possess a firearm (a) Laws applicable. Any firearm in- 5801 for his business or having regis- which is not identified by a serial number volved in any violation of the provisions tered as required by section 5802; or as required by this chapter; or of this chapter shall be subject to seizure and forfeiture, and (except as pro- (b) to receive or possess a firearm (j) to transport, deliver, or receive any vided in subsection (b)) all the provi- transferred to him in violation of the pro- firearm in interstate commerce which sions of internal revenue laws relating visions of this chapter; or has not been registered as required by to searches, seizures, and forfeitures this chapter; or of unstamped articles are extended to (c) to receive or possess a firearm and made to apply to the articles taxed made in violation of the provisions of (k) to receive or possess a firearm under this chapter, and the persons to this chapter; or which has been imported or brought into whom this chapter applies. the United States in violation of section (d) to receive or possess a firearm 5844; or (b) Disposal. In the case of the for- which is not registered to him in the Na- feiture of any firearm by reason of a tional Firearms Registration and Trans- (l) to make, or cause the making of, a violation of this chapter, no notice of fer Record; or false entry on any application, return, or public sale shall be required; no such record required by this chapter, knowing firearm shall be sold at a public sale; if (e) to transfer a firearm in violation of such entry to be false. such firearm is forfeited for a violation of the provisions of this chapter; or this chapter and there is no remission SUBCHAPTER D—PENALTIES AND or mitigation of forfeiture thereof, it shall (f) to make a firearm in violation of the FORFEITURES be delivered by the Secretary to the Ad- provisions of this chapter; or ministrator of General Services, General § 5871 Penalties. Services Administration, who may order (g) to obliterate, remove, change, or such firearm destroyed or may sell it alter the serial number or other identifi- Any person who violates or fails to to any State, or possession, or political cation of a firearm required by this chap- comply with any provisions of this chap- subdivision thereof, or at the request ter; or ter shall, upon conviction, be fined not of the Secretary, may authorize its re- more than $10,000, or be imprisoned tention for official use of the Treasury (h) to receive or possess a firearm not more than ten years, or both. Department, or may transfer it without having the serial number or other charge to any executive department or identification required by this chapter § 5872 Forfeitures. independent establishment of the Gov- obliterated, removed, changed, or al- ernment for use by it. tered; or

77 TITLE 27 CFR CHAPTER II PART 479—MACHINE GUNS, DESTRUCTIVE DEVICES, AND CERTAIN OTHER FIREARMS (This part was formerly designated as Part 179)

Subpart A—Scope of Regulations § 479.39 Engaging in more than application. one business at the same § 479.1 General. location. § 479.65 Denial of application.

Subpart B—Definitions § 479.40 Partnership liability. § 479.66 Subsequent transfer of firearms. § 479.11 Meaning of terms. § 479.41 Single sale. § 479.67 Cancellation of stamp. Subpart C—Administrative and Change of Ownership Miscellaneous Provisions Exceptions to Tax on Making Firearms § 479.42 Changes through death of § 479.21 Forms prescribed. owner. § 479.68 Qualified manufacturer.

§ 479.22 Right of entry and examina- § 479.43 Changes through bankrupt- § 479.69 Making a firearm for the tion. cy of owner. United States.

§ 479.23 Restrictive use of required § 479.44 Change in partnership or § 479.70 Certain government entities. information. unincorporated association. Registration § 479.24 Destructive device determi- § 479.45 Changes in corporation. nation. § 479.71 Proof of registration. Change of Business Location § 479.25 Collector’s items. Subpart F—Transfer Tax § 479.46 Notice by taxpayer. § 479.26 Alternate methods or proce- § 479.81 Scope of tax. dures; emergency varia- Change of Trade Name tions from requirements. § 479.82 Rate of tax. § 479.47 Notice by taxpayer. Subpart D—Special (Occupational) § 479.83 Transfer tax in addition to Taxes Penalties and Interest import duty.

§ 479.31 Liability for tax. § 479.48 Failure to pay special (oc- Application and Order for cupational) tax. Transfer of Firearm § 479.32 Special (occupational) tax rates. § 479.49 Failure to register change § 479.84 Application to transfer. or removal. § 479.32a Reduced rate of tax for § 479.85 Identification of transferee. small importers and manu- § 479.50 Delinquency. facturers. § 479.86 Action on application. § 479.51 Fraudulent return. § 479.33 Special exemption. § 479.87 Cancellation of stamp. Application of State Laws § 479.34 Special tax registration and Exemptions Relating to return. § 479.52 State regulations. Transfers of Firearms § 479.35 Employer identification § 479.88 Special (occupational) number. Subpart E—Tax on Making Firearms taxpayers. § 479.36 The special tax stamp, § 479.61 Rate of tax. § 479.89 Transfers to the United receipt for special (occupa- States. tional) taxes. Application to Make a Firearm § 479.90 Certain government entities. § 479.37 Certificates in lieu of § 479.62 Application to make. stamps lost or destroyed. § 479.63 Identification of applicant. § 479.91 Unserviceable firearms. § 479.38 Engaging in business at § 479.92 Transportation of firearms more than one location. § 479.64 Procedure for approval of

78 to effect transfer. Subpart J—Stolen or Lost Subpart A—Scope of Regulations Firearms or Documents Other Provisions § 479.1 General. § 479.141 Stolen or lost firearms. § 479.93 Transfers of firearms to This part contains the procedural and certain persons. § 479.142 Stolen or lost documents. substantive requirements relative to the importation, manufacture, making, ex- Subpart G—Registration and Subpart K—Examination of portation, identification and registration Identification of Firearms Books and Records of, and the dealing in, machine guns, destructive devices and certain other fire- § 479.101 Registration of firearms. § 479.151 Failure to make returns: arms under the provisions of the National Substitute returns. Firearms Act (26 U.S.C. Chapter 53). § 479.102 How must firearms be identified? § 479.152 Penalties (records and Subpart B—Definitions returns). § 479.103 Registration of firearms § 479.11 Meaning of terms. manufactured. Subpart L—Distribution and Sale of Stamps When used in this part and in forms § 479.104 Registration of firearms prescribed under this part, where not § 479.161 National Firearms Act by certain governmental otherwise distinctly expressed or mani- stamps. entities. festly incompatible with the intent there- § 479.162 Stamps authorized. of, terms shall have the meanings as- Machine Guns cribed in this section. Words in the plural § 479.163 Reuse of stamps prohibited. form shall include the singular, and vice § 479.105 Transfer and possession of versa, and words importing the mascu- machine guns. Subpart M—Redemption of or line gender shall include the feminine. Allowance for Stamps or Refunds The terms “includes” and “including” do Subpart H—Importation and not exclude other things not enumerated Exportation § 479.171 Redemption of or allowance which are in the same general class or for stamps. are otherwise within the scope thereof. Importation § 479.172 Refunds. Antique firearm. Any firearm not de- § 479.111 Procedure. signed or redesigned for using rim fire or conventional center fire ignition with § 479.112 Registration of imported Subpart N—Penalties and fixed ammunition and manufactured in firearms. Forfeitures or before 1898 (including any match- § 479.113 Conditional importation. § 479.181 Penalties. lock, flintlock, percussion cap, or similar type of ignition system or replica thereof, § 479.182 Forfeitures. whether actually manufactured before or Exportation after the year 1898) and also any firearm Subpart O—Other Laws Applicable § 479.114 Application and permit for using fixed ammunition manufactured in exportation of firearms. or before 1898, for which ammunition is § 479.191 Applicability of other pro- no longer manufactured in the United visions of internal revenue § 479.115 Action by Director. States and is not readily available in the laws. ordinary channels of commercial trade. § 479.116 Procedure by exporter. § 479.192 Commerce in firearms and Any other weapon. Any weapon or § 479.117 Action by Customs. ammunition. device capable of being concealed on the person from which a shot can be dis- § 479.118 Proof of exportation. § 479.193 Arms Export Control Act. charged through the energy of an explosive, a pistol or revolver having a barrel § 479.119 Transportation of firearms with a smooth bore designed or rede- to effect exportation. signed to fire a fixed shotgun shell, weapons with combination shotgun and rifle § 479.120 Refunds. barrels 12 inches or more, less than 18 inches in length, from which only a single § 479.121 Insular possessions. discharge can be made from either barrel without manual reloading, and shall Arms Export Control Act include any such weapon which may be readily restored to fire. Such term shall § 479.122 Requirements. not include a pistol or a revolver having a rifled bore, or rifled bores, or weapons Subpart I—Records and Returns designed, made, or intended to be fired from the shoulder and not capable of fir- § 479.131 Records. ing fixed ammunition.

79 ATF officer. An officer or employee of Director of the Service Center. A made from a shotgun or rifle is the dis- the Bureau of Alcohol, Tobacco, Firearms director of an Internal Revenue Service tance between the extreme ends of the and Explosives (ATF) authorized to per- Center in an internal revenue region. weapon measured along a line parallel to form any function relating to the adminis- the center line of the bore. tration or enforcement of this part. District director. A district director of the Internal Revenue Service in an inter- Fixed ammunition. That self–con- Customs officer. Any officer of the nal revenue district. tained unit consisting of the case, prim- U.S. Customs and Border Protection, er, propellant charge, and projectile or any commissioned, warrant, or petty of- Executed under penalties of perjury. projectiles. ficer of the Coast Guard, or any agent or Signed with the prescribed declaration un- other person authorized by law to per- der the penalties of perjury as provided on Frame or receiver. That part of a fire- form the duties of a customs officer. or with respect to the return, form, or other arm which provides housing for the ham- document or, where no form of declaration mer, bolt or breechblock and firing mech- Dealer. Any person, not a manufactur- is prescribed, with the declaration: anism, and which is usually threaded at er or importer, engaged in the business its forward portion to receive the barrel. of selling, renting, leasing, or loaning fire- “I declare under the penalties of arms and shall include pawnbrokers who perjury that this—(insert type of Importation. The bringing of a firearm accept firearms as collateral for loans. document, such as, statement, within the limits of the United States or application, request, certificate), any territory under its control or jurisdic- Destructive device. (a) Any explo- tion, from a place outside thereof (wheth- including the documents submit- sive, incendiary, or poison gas (1) bomb, er such place be a foreign country or (2) grenade, (3) rocket having a propel- ted in support thereof, has been territory subject to the jurisdiction of the lent charge of more than 4 ounces, (4) examined by me and, to the best United States), with intent to unlade. Ex- missile having an explosive or incendi- of my knowledge and belief, is cept that, bringing a firearm from a for- ary charge of more than one–quarter true, correct, and complete.” eign country or a territory subject to the ounce, (5) mine, or (6) similar device; jurisdiction of the United States into a for- (b) any type of weapon by whatever Exportation. The severance of goods eign trade zone for storage pending ship- name known which will, or which may from the mass of things belonging to this ment to a foreign country or subsequent be readily converted to, expel a projec- country with the intention of uniting them importation into this country, under Title tile by the action of an explosive or other to the mass of things belonging to some 26 of the United States Code, and this propellant, the barrel or barrels of which foreign country. part, shall not be deemed importation. have a bore of more than one–half inch in diameter, except a shotgun or shot- Exporter. Any person who exports Importer. Any person who is engaged gun shell which the Director finds is firearms from the United States. in the business of importing or bringing generally recognized as particularly suit- firearms into the United States. able for sporting purposes; and (c) any Firearm. (a) A shotgun having a barrel combination of parts either designed or barrels of less than 18 inches in length; Machine gun. Any weapon which or intended for use in converting any (b) a weapon made from a shotgun if such shoots, is designed to shoot, or can be device into a destructive device as de- weapon as modified has an overall length readily restored to shoot, automatical- scribed in paragraphs (a) and (b) of this of less than 26 inches or a barrel or barrels ly more than one shot, without manual definition and from which a destructive of less than 18 inches in length; (c) a rifle reloading, by a single function of the device may be readily assembled. The having a barrel or barrels of less than 16 trigger. The term shall also include the term shall not include any device which inches in length; (d) a weapon made from frame or receiver of any such weapon, is neither designed or redesigned for a rifle if such weapon as modified has an any part designed and intended solely use as a weapon; any device, although overall length of less than 26 inches or a and exclusively, or combination of parts originally designed for use as a weapon, barrel or barrels of less than 16 inches in designed and intended, for use in con- which is redesigned for use as a signal- length; (e) any other weapon, as defined in verting a weapon into a machine gun, ing, pyrotechnic, line throwing, safety, or this subpart; (f) a machine gun; (g) a muf- and any combination of parts from which similar device; surplus ordnance sold, fler or a silencer for any firearm whether a machine gun can be assembled if such loaned, or given by the Secretary of the or not such firearm is included within this parts are in the possession or under the Army under 10 U.S.C. 4684(2), 4685, or definition; and (h) a destructive device. control of a person. 4686, or any device which the Director The term shall not include an antique fire- finds is not likely to be used as a weap- arm or any device (other than a machine Make. This term and the various de- on, or is an antique or is a rifle which the gun or destructive device) which, although rivatives thereof shall include manufac- owner intends to use solely for sporting designed as a weapon, the Director finds turing (other than by one qualified to en- purposes. by reason of the date of its manufacture, gage in such business under this part), value, design, and other characteristics is putting together, altering, any combina- Director. The Director, Bureau of primarily a collector’s item and is not likely tion of these, or otherwise producing a Alcohol, Tobacco, Firearms and Explo- to be used as a weapon. For purposes of firearm. sives, the Department of Justice, Wash- this definition, the length of the barrel hav- ington, DC. ing an integral chamber(s) on a shotgun Manual reloading. The inserting of or rifle shall be determined by measuring a cartridge or shell into the chamber Director, Industry Operations. The the distance between the muzzle and the of a firearm either with the hands or principal regional official responsible for face of the bolt, breech, or breech block by means of a mechanical device con- administering regulations in this part. when closed and when the shotgun or rifle trolled and energized by the hands. is cocked. The overall length of a weapon

80 Manufacturer. Any person who is en- Unserviceable firearm. A firearm tion or evidence: Provided, however, gaged in the business of manufacturing which is incapable of discharging a shot That the provisions of this section shall firearms. by means of an explosive and incapa- not preclude the use of any such infor- ble of being readily restored to a firing mation or evidence in a prosecution or Muffler or silencer. Any device for si- condition. other action under any applicable provi- lencing, muffling, or diminishing the report sion of law with respect to the furnishing of a portable firearm, including any com- Subpart C—Administrative and of false information. bination of parts, designed or redesigned, Miscellaneous Provisions and intended for the use in assembling or § 479.24 Destructive device determi- fabricating a firearm silencer or firearm § 479.21 Forms prescribed. nation. muffler, and any part intended only for use in such assembly or fabrication. (a) The Director is authorized to pre- The Director shall determine in accor- scribe all forms required by this part. dance with 26 U.S.C. 5845(f), whether Person. A partnership, company, as- All of the information called for in each a device is excluded from the defini- sociation, trust, estate, or corporation, form shall be furnished as indicated by tion of a destructive device. A person as well as a natural person. the headings on the form and the in- who desires to obtain a determination structions on or pertaining to the form. under that provision of law for any de- Pistol. A weapon originally designed, In addition, information called for in each vice which he believes is not likely to be made, and intended to fire a projectile form shall be furnished as required by used as a weapon shall submit a written (bullet) from one or more barrels when this part. Each form requiring that it be request, in triplicate, for a ruling there- held in one hand, and having (a) a cham- executed under penalties of perjury shall on to the Director. Each such request ber(s) as an integral part(s) of, or perma- be executed under penalties of perjury. shall be executed under the penalties nently aligned with, the bore(s); and (b) of perjury and contain a complete and a short stock designed to be gripped by (b) Requests for forms should be accurate description of the device, the one hand and at an angle to and extend- submitted to the ATF Distribution Cen- name and address of the manufacturer ing below the line of the bore(s). ter (http://www.atf.gov) or by calling or importer thereof, the purpose of and (703) 870-7526 or (703) 870-7528.. use for which it is intended, and such Revolver. A projectile weapon, of photographs, diagrams, or drawings as the pistol type, having a breechloading § 479.22 Right of entry and examina- may be necessary to enable the Director chambered cylinder so arranged that the tion. to make his determination. The Director cocking of the hammer or movement of may require the submission to him, of the trigger rotates it and brings the next Any ATF officer or employee of the a sample of such device for examina- cartridge in line with the barrel for firing. Bureau of Alcohol, Tobacco, Firearms tion and evaluation. If the submission of and Explosives duly authorized to per- such device is impracticable, the person Rifle. A weapon designed or rede- form any function relating to the admin- requesting the ruling shall so advise the signed, made or remade, and intended istration or enforcement of this part may Director and designate the place where to be fired from the shoulder and de- enter during business hours the premis- the device will be available for examina- signed or redesigned and made or re- es (including places of storage) of any tion and evaluation. made to use the energy of the explosive importer or manufacturer of or dealer in in a fixed cartridge to fire only a single firearms, to examine any books, papers, § 479.25 Collector’s items. projectile through a rifled bore for each or records required to be kept pursuant single pull of the trigger, and shall in- to this part, and any firearms kept by The Director shall determine in accor- clude any such weapon which may be such importer, manufacturer or dealer dance with 26 U.S.C. 5845(a), wheth- readily restored to fire a fixed cartridge. on such premises, and may require the er a firearm or device, which although production of any books, papers, or re- originally designed as a weapon, is by Shotgun. A weapon designed or records necessary to determine any liabili- reason of the date of its manufacture, designed, made or remade, and intend- ty for tax under 26 U.S.C. Chapter 53, or value, design, and other characteristics ed to be fired from the shoulder and the observance of 26 U.S.C. Chapter 53, primarily a collector’s item and is not designed or redesigned and made or re- and this part. likely to be used as a weapon. A person made to use the energy of the explosive who desires to obtain a determination in a fixed shotgun shell to fire through a § 479.23 Restrictive use of required under that provision of law shall follow smooth bore either a number of projec- information. the procedures prescribed in §479.24 tiles (ball shot) or a single projectile for relating to destructive device determina- each pull of the trigger, and shall include No information or evidence obtained tions, and shall include information as to any such weapon which may be readily from an application, registration, or re- date of manufacture, value, design and restored to fire a fixed shotgun shell. cord required to be submitted or retained other characteristics which would sus- by a natural person in order to comply tain a finding that the firearm or device Transfer. This term and the various with any provision of 26 U.S.C. Chapter is primarily a collector’s item and is not derivatives thereof shall include selling, 53, or this part or section 207 of the Gun likely to be used as a weapon. assigning, pledging, leasing, loaning, Control Act of 1968 shall be used, direct- giving away, or otherwise disposing of. ly or indirectly, as evidence against that § 479.26 Alternate methods or pro- person in a criminal proceeding with re- cedures; emergency variations from United States. The States and the spect to a violation of law occurring prior requirements. District of Columbia. to or concurrently with the filing of the application or registration, or the compil- (a) Alternate methods or proce- U.S.C. The United States Code. ing of the record containing the informa- dures. Any person subject to the pro-

81 visions of this part, on specific approval procedures, conditions, and limitations § 479.32 Special (occupational) tax by the Director as provided in this para- shall automatically terminate the au- rates. graph, may use an alternate method or thority for the variations, and the person procedure in lieu of a method or proce- granted the variance shall fully comply (a) Prior to January 1, 1988, the special dure specifically prescribed in this part. with the prescribed requirements of reg- (occupational) tax rates were as follows: The Director may approve an alternate ulations from which the variations were method or procedure, subject to stated authorized. Authority for any variation conditions, when it is found that: may be withdrawn whenever, in the Per year or judgment of the Director, the effective fraction (1) Good cause is shown for the administration of this part is hindered by thereof use of the alternate method or pro- the continuation of the variation. Where cedure; a person desires to employ an emergency variation, a written application shall Class 1 – (2) The alternate method or pro- be submitted to the appropriate Director, Importer of firearms $500. cedure is within the purpose of, and Industry Operations for transmittal to the consistent with the effect intended by, Director. The application shall describe Class 2 – the specifically prescribed method the proposed variation and set forth the Manufacturer of firearms $500. or procedure and that the alternate reasons for it. Variations may not be em- method or procedure is substantial- ployed until the application is approved. Class 3 – ly equivalent to that specifically pre- Dealer in firearms $200. scribed method or procedure; and (c) Retention of approved variations. The person granted the variance shall Class 4 – (3) The alternate method or proce- retain and make available for exam- Importer only of dure will not be contrary to any pro- ination by ATF officers any application weapons classified as vision of law and will not result in an approved by the Director under this sec- “any other weapon” $25. increase in cost to the Government or tion. hinder the effective administration of Class 5 – this part. Where such person desires Subpart D—Special (Occupational) Manufacturer only of to employ an alternate method or pro- Taxes weapons classified as cedure, a written application shall be “any other weapon” $25. submitted to the appropriate Director, § 479.31 Liability for tax. Industry Operations, for transmittal Class 6 – to the Director. The application shall (a) General. Every person who en- Dealer only in specifically describe the proposed gages in the business of importing, weapons classified as alternate method or procedure and manufacturing, or dealing in (including “any other weapon” $10. shall set forth the reasons for it. Al- pawnbrokers) firearms in the United ternate methods or procedures may States shall pay a special (occupational) not be employed until the application tax at a rate specified by §479.32. The (b) Except as provided in §479.32a, is approved by the Director. Such tax shall be paid on or before the date of the special (occupational) tax rates ef- person shall, during the period of au- commencing the taxable business, and fective January 1, 1988, are as follows: thorization of an alternate method or thereafter every year on or before July procedure, comply with the terms of 1. Special (occupational) tax shall not be the approved application. Authoriza- prorated. The tax shall be computed for Per year or tion of any alternate method or pro- the entire tax year (July 1 through June fraction cedure may be withdrawn whenever, 30), regardless of the portion of the year thereof in the judgment of the Director, the during which the taxpayer engages in

effective administration of this part is business. Persons commencing busi- Class 1 – hindered by the continuation of the ness at any time after July 1 in any year Importer of firearms authorization. are liable for the special (occupational) (including an importer tax for the entire tax year. only of weapons classified (b) Emergency variations from re- as “any other weapon”) $1000. quirements. The Director may approve (b) Each place of business taxable. a method of operation other than as An importer, manufacturer, or dealer in Class 2 – specified in this part, where it is found firearms incurs special tax liability at each Manufacturer of firearms that an emergency exists and the pro- place of business where an occupation (including an posed variation from the specified re- subject to special tax is conducted. A place manufacturer only of quirements are necessary and the proof business means the entire office, plant weapons classified as posed variations (1) will not hinder the or area of the business in any one location “any other weapon”) $1000. effective administration of this part, and under the same proprietorship. Passage- (2) will not be contrary to any provisions ways, streets, highways, rail crossings, Class 3 – of law. Variations from requirements waterways, or partitions dividing the prem- Dealer of firearms granted under this paragraph are con- ises are not sufficient separation to require (including an dealer only ditioned on compliance with the proce- additional special tax, if the divisions of the of weapons classified as dures, conditions, and limitations set premises are otherwise contiguous. See “any other weapon”) $500. forth in the approval of the application. also §§479.38–479.39. Failure to comply in good faith with the

82 (c) A taxpayer who was engaged in a one, or more, partnerships and/or sole (1) The true name of the taxpayer. business on January 1, 1988, for which proprietorships, all of the members of a special (occupational) tax was paid the controlled group are one taxpayer (2) The trade name(s) (if any) of for a taxable period which began be- for the purpose of this section. the business(es) subject to special fore January 1, 1988, and included that tax. date, shall pay an increased special tax (c) Short taxable year. Gross re- for the period January 1, 1988, through ceipts for any taxable year of less than (3) The employer identification June 30, 1988. The increased tax shall 12 months shall be annualized by multi- number (see §479.35). not exceed one–half the excess (if any) plying the gross receipts for the short pe- of (1) the rate of special tax in effect riod by 12 and dividing the result by the (4) The exact location of the place on January 1, 1988, over (2) the rate number of months in the short period, as of business, by name and number of of such tax in effect on December 31, required by 26 U.S.C. 448(c)(3). building or street, or if these do not 1987. The increased special tax shall be exist, by some description in addition paid on or before April 1, 1988. (d) Returns and allowances. Gross to the post office address. In the case receipts for any taxable year shall be re- of one return for two or more loca- § 479.32a Reduced rate of tax for duced by returns and allowances made tions, the address to be shown shall small importers and manufacturers. during that year under 26 U.S.C. 448(c) be the taxpayer’s principal place of (3). business (or principal office, in the (a) General. Effective January 1, case of a corporate taxpayer). 1988, 26 U.S.C. 5801(b) provides for a § 479.33 Special exemption. reduced rate of special tax with respect (5) The class(es) of special tax to to any importer or manufacturer whose (a) Any person required to pay spe- which the taxpayer is subject. gross receipts (for the most recent tax- cial (occupational) tax under this part able year ending before the first day of shall be relieved from payment of that (6) Ownership and control informa- the taxable period to which the special tax if he establishes to the satisfaction tion: That is, the name, position, and tax imposed by §479.32 relates) are less of the Director that his business is con- residence address of every owner of than $500,000. The rate of tax for such ducted exclusively with, or on behalf of, the business and of every person hav- an importer or manufacturer is $500 per the United States or any department, ing power to control its management year or fraction thereof. The “taxable independent establishment, or agency and policies with respect to the activity year” to be used for determining gross thereof. The Director may relieve any subject to special tax. “Owner of the receipts is the taxpayer’s income tax person manufacturing firearms for or on business” shall include every partner, year. All gross receipts of the taxpayer behalf of the United States from com- if the taxpayer is a partnership, and shall be included, not just the gross re- pliance with any provision of this part in every person owning 10% or more ceipts of the business subject to special the conduct of the business with respect of its stock, if the taxpayer is a corpo- tax. Proprietors of new businesses that to such firearms. ration. However, the ownership and have not yet begun a taxable year, as control information required by this well as proprietors of existing business- (b) The exemption in this section may paragraph need not be stated if the es that have not yet ended a taxable be obtained by filing with the Director an same information has been previously year, who commence a new activity sub- application, in letter form, setting out the provided to ATF in connection with a ject to special tax, quality for the reduced manner in which the applicant conducts license application under Part 478 of special (occupational) tax rate, unless his business, the type of firearm to be this chapter, and if the information pre- the business is a member of a “con- manufactured, and proof satisfactory viously provided is still current. trolled group”; in that case, the rules of to the Director of the existence of the paragraph (b) of this section shall apply. contract with the United States, depart- (c) Multiple locations and/or class- ment, independent establishment, or es of tax. A taxpayer subject to special (b) Controlled group. All persons agency thereof, under which the appli- tax for the same period at more than one treated as one taxpayer under 26 cant intends to operate. location or for more than one class of tax U.S.C. 5061(e)(3) shall be treated as shall— one taxpayer for the purpose of deter- § 479.34 Special tax registration and mining gross receipts under paragraph return. (1) File one special tax return, ATF (a) of this section. “Controlled group” Form 5630.7, with payment of tax, to means a controlled group of corpora- (a) General. Special tax shall be paid cover all such locations and classes tions, as defined in 26 U.S.C. 1563 and by return. The prescribed return is ATF of tax; and implementing regulations in 26 CFR Form 5630.7, Special Tax Registration 1.1563–1 through 1.1563–4, except that and Return. Special tax returns, with (2) Prepare, in duplicate, a list the words “at least 80 percent” shall be payment of tax, shall be filed with ATF identified with the taxpayer’s name, replaced by the words “more than 50 in accordance with instructions on the address (as shown on ATF Form percent” in each place they appear in form. Properly completing, signing, and 5630.7), employer identification num- subsection (a) of 26 U.S.C. 1563, as timely filing of a return (Form 5630.7) ber, and period covered by the return. well as in the implementing regulations. constitutes compliance with 26 U.S.C. The list shall show, by States, the Also, the rules for a “controlled group 5802. name, address, and tax class of each of corporations” apply in a similar fash- location for which special tax is being ion to groups which include partnerships (b) Preparation of ATF Form 5630.7. paid. The original of the list shall be and/or sole proprietorships. If one entity All of the information called for on Form filed with ATF in accordance with in- maintains more than 50% control over 5630.7 shall be provided, including: structions on the return, and the copy a group consisting of corporations and shall be retained at the taxpayer’s

83 principal place of business (or princi- § 479.35 Employer identification § 479.38 Engaging in business at pal office, in the case of a corporate number. more than one location. taxpayer) for not less than 3 years. (a) Requirement. The employer A person shall pay the special (oc- (d) Signing of ATF Forms 5630.7— identification number (defined in 26 cupational) tax for each location where (1) Ordinary returns. The return of an CFR 301.7701–12) of the taxpayer who he engages in any business taxable individual proprietor shall be signed by has been assigned such a number shall under 26 U.S.C. 5801. However, a the individual. The return of a partner- be shown on each special tax return, person paying a special (occupation- ship shall be signed by a general part- including amended returns, filed under al) tax covering his principal place of ner. The return of a corporation shall this subpart. Failure of the taxpayer business may utilize other locations be signed by any officer. In each case, to include the employer identification solely for storage of firearms without the person signing the return shall des- number may result in the imposition of incurring special (occupational) tax ignate his or her capacity as “individual the penalty specified in §70.113 of this liability at such locations. A manufac- owner,” “member of firm,” or, in the case chapter. turer, upon the single payment of the of a corporation, the title of the officer. appropriate special (occupational) tax, (b) Application for employer iden- may sell firearms, if such firearms are (2) Fiduciaries. Receivers, trust- tification number. Each taxpayer who of his own manufacture, at the place of ees, assignees, executors, adminis- files a special tax return, who has not manufacture and at his principal office trators, and other legal representa- already been assigned an employer or place of business if no such firearms, tives who continue the business of identification number, shall file IRS Form except samples, are kept at such office a bankrupt, insolvent, deceased per- SS–4 to apply for one. The taxpayer or place of business. When a person son, etc., shall indicate the fiduciary shall apply for and be assigned only one changes the location of a business for capacity in which they act. employer identification number, regard- which he has paid the special (occupa- less of the number of places of business tional) tax, he will be liable for another (3) Agent or attorney in fact. If for which the taxpayer is required to file such tax unless the change is properly a return is signed by an agent or at- a special tax return. The employer iden- registered with the Chief, National Fire- torney in fact, the signature shall be tification number shall be applied for no arms Act Branch for the region in which preceded by the name of the principal later than 7 days after the filing of the the special tax stamp was issued, as and followed by the title of the agent taxpayer’s first special tax return. IRS provided in §479.46. or attorney in fact. A return signed by Form SS–4 may be obtained from the a person as agent will not be accept- director of an IRS service center or from § 479.39 Engaging in more than one ed unless there is filed, with the ATF any IRS district director. business at the same location. office with which the return is required to be filed, a power of attorney autho- (c) Preparation and filing of IRS If more than one business taxable rizing the agent to perform the act. Form SS–4. The taxpayer shall prepare under 26 U.S.C. 5801, is carried on at and file IRS Form SS–4, together with the same location during a taxable year, (4) Perjury statement. ATF Forms any supplementary statement, in accor- the special (occupational) tax imposed 5630.7 shall contain or be verified by dance with the instructions on the form on each such business must be paid. a written declaration that the return or issued in respect to it. This section does not require a qualified has been executed under the penal- manufacturer or importer to qualify as a ties of perjury. § 479.36 The special tax stamp, dealer if such manufacturer or importer receipt for special (occupational) also engages in business on his quali- (e) Identification of taxpayer. If the taxes. fied premises as a dealer. However, a taxpayer is an individual, with the initial qualified manufacturer who engages in return such person shall securely attach Upon filing a properly completed and business as an importer must also qual- to Form 5630.7 a photograph of the in- executed return (Form 5630.7) accom- ify as an importer. Further, a qualified dividual 2 × 2 inches in size, clearly panied by remittance of the full amount dealer is not entitled to engage in busi- showing a full front view of the features due, the taxpayer will be issued a spe- ness as a manufacturer or importer. of the individual with head bare, with cial tax stamp as evidence of payment of the distance from the top of the head to the special (occupational) tax. § 479.40 Partnership liability. the point of the chin approximately 11⁄4 inches, and which shall have been tak- § 479.37 Certificates in lieu of Any number of persons doing busi- en within 6 months prior to the date of stamps lost or destroyed. ness in partnership at any one location completion of the return. The individual shall be required to pay but one special shall also attach to the return a properly When a special tax stamp has been (occupational) tax. completed FBI Form FD–258 (Fingerprint lost or destroyed, such fact should be Card). The fingerprints must be clear for reported immediately to the Chief, Na- § 479.41 Single sale. accurate classification and should be tak- tional Firearms Act Branch who issued en by someone properly equipped to take the stamp. A certificate in lieu of the A single sale, unattended by circum- them: Provided, That the provisions of lost or destroyed stamp will be issued stances showing the one making the this paragraph shall not apply to individu- to the taxpayer upon the submission sale to be engaged in business, does als who have filed with ATF a properly ex- of an affidavit showing to the satisfac- not create special (occupational) tax li- ecuted Application for License under 18 tion of the Chief, National Firearms Act ability. U.S.C. Chapter 44, Firearms, ATF Form Branch that the stamp was lost or de- 7 (5310.12), as specified in §478.44(a). stroyed.

84 Change of Ownership though the name of the new firm may be Penalties and Interest the same as that of the old. Where the § 479.42 Changes through death of members of a partnership or an unin- § 479.48 Failure to pay special (oc- owner. corporated association, which has paid cupational) tax. special (occupational) tax, form a corpo- Whenever any person who has paid ration to continue the business, a new Any person who engages in a busi- special (occupational) tax dies, the sur- special tax stamp must be taken out in ness taxable under 26 U.S.C. 5801, viving spouse or child, or executors or the name of the corporation. without timely payment of the tax im- administrators, or other legal representa- posed with respect to such business tives, may carry on this business for the § 479.45 Changes in corporation. (see §479.34) shall be liable for such remainder of the term for which tax has tax, plus the interest and penalties there- been paid and at the place (or places) Additional special (occupational) tax is on (see 26 U.S.C. 6601 and 6651). In for which the tax was paid, without any not required by reason of a mere change addition, such person may be liable for additional payment, subject to the follow- of name or increase in the capital stock criminal penalties under 26 U.S.C. 5871. ing conditions. If the surviving spouse or of a corporation if the laws of the State of child, or executor or administrator, or oth- incorporation provide for such change or § 479.49 Failure to register change er legal representative of the deceased increase without the formation of a new or removal. taxpayer continues the business, such corporation. A stockholder in a corpora- person shall, within 30 days after the date tion who after its dissolution continues Any person succeeding to and car- on which the successor begins to carry the business, incurs new special (occu- rying on a business for which special on the business, file a new return, Form pational) tax liability. (occupational) tax has been paid without 5630.7, with ATF in accordance with the registering such change within 30 days instructions on the form. The return thus Change of Business Location thereafter, and any taxpayer removing executed shall show the name of the his business with respect to which spe- original taxpayer, together with the basis § 479.46 Notice by taxpayer. cial (occupational) tax has been paid to of the succession. (As to liability in case a place other than that for which tax was of failure to register, see §479.49.) Whenever during the taxable year a paid without obtaining approval therefor taxpayer intends to remove his business (see §479.46), will incur liability to an § 479.43 Changes through bankrupt- to a location other than specified in his additional payment of the tax, addition cy of owner. last special (occupational) tax return to tax and interest, as provided in sec- (see §479.34), he shall file with ATF (a) tions 5801, 6651, and 6601, respective- A receiver or referee in bankruptcy a return, Form 5630.7, bearing the no- ly, I.R.C., for failure to make return (see may continue the business under the tation “Removal Registry,” and showing §479.50) or pay tax, as well as criminal stamp issued to the taxpayer at the the new address intended to be used, (b) penalties for carrying on business with- place and for the period for which the tax his current special tax stamp, and (c) a out payment of special (occupational) was paid. An assignee for the benefit of letter application requesting the amend- tax (see section 5871 I.R.C.). creditors may continue business under ment of his registration. The Chief, Na- his assignor’s special tax stamp without tional Firearms Act Branch, upon ap- § 479.50 Delinquency. incurring additional special (occupation- proval of the application, shall return the al) tax liability. In such cases, the change special tax stamp, amended to show the Any person liable for special (oc- shall be registered with ATF in a manner new business location. Firearms opera- cupational) tax under section 5801, similar to that required by §479.42. tions shall not be commenced at the new I.R.C., who fails to file a return (Form business location by the taxpayer prior 5630.7), as prescribed, will be liable for § 479.44 Change in partnership or to the required approval of his applica- a delinquency penalty computed on the unincorporated association. tion to so change his business location. amount of tax due unless a return (Form 5630.7) is later filed and failure to file the When one or more members withdraw Change of Trade Name return timely is shown to the satisfac- from a partnership or an unincorporated tion of the Chief, National Firearms Act association, the remaining member, or § 479.47 Notice by taxpayer. Branch, to be due to reasonable cause. members, may, without incurring addi- The delinquency penalty to be added to tional special (occupational) tax liability, Whenever during the taxable year a the tax is 5 percent if the failure is for carry on the same business at the same taxpayer intends to change the name of not more than 1 month, with an addition- location for the balance of the taxable his business, he shall file with ATF (a) a al 5 percent for each additional month period for which special (occupational) return, Form 5630.7, bearing the notation or fraction thereof during which failure tax was paid, provided any such change “Amended,” and showing the trade name continues, not to exceed 25 percent in shall be registered in the same manner intended to be used, (b) his current spe- the aggregate (section 6651, I.R.C.). as required by §479.42. Where new cial tax stamp, and (c) a letter application However, no delinquency penalty is as- member(s) are taken into a partnership requesting the amendment of his regis- sessed where the 50 percent addition to or an unincorporated association, the tration. The Chief, National Firearms Act tax is assessed for fraud (see §479.51). new firm so constituted may not carry Branch, upon approval of the application, on business under the special tax stamp shall return the special tax stamp, amend- § 479.51 Fraudulent return. of the old firm. The new firm must file a ed to show the new trade name. Firearms return, pay the special (occupational) operations shall not be commenced un- If any part of any underpayment of tax and register in the same manner as der the new trade name by the taxpayer tax required to be shown on a return is a person who first engages in business prior to the required approval of his appli- due to fraud, there shall be added to the is required to do under §479.34 even cation to so change the trade name. tax an amount equal to 50 percent of

85 the underpayment, but no delinquency manufacturer). The applicant must be sion of the firearm by the maker would penalty shall be assessed with respect identified on the Form 1 (Firearms) by be in violation of State or local law or to the same underpayment (section name and address and, if other than a that the maker will use the firearm for 6653, I.R.C.). natural person, the name and address other than lawful purposes. of the principal officer or authorized Application of State Laws representative and the employer iden- § 479.64 Procedure for approval of tification number and, if an individual, application. § 479.52 State regulations. the identification must include the date and place of birth and the information The application to make a firearm, Special tax stamps are merely re- prescribed in §479.63. Each applicant Form 1 (Firearms), must be forward- ceipts for the tax. Payment of tax under shall identify the Federal firearms li- ed directly, in duplicate, by the maker Federal law confers no privilege to act cense and special (occupational) tax of the firearm to the Director in accor- contrary to State law. One to whom a stamp issued to the applicant, if any. dance with the instructions on the form. special tax stamp has been issued may The applicant shall also show required The Director will consider the applica- still be punishable under a State law information evidencing that making or tion for approval or disapproval. If the prohibiting or controlling the manufac- possession of the firearm would not application is approved, the Director will ture, possession or transfer of firearms. be in violation of law. If the making is return the original thereof to the maker On the other hand, compliance with taxable, a remittance in the amount of of the firearm and retain the duplicate. State law confers no immunity under $200 shall be submitted with the appli- Upon receipt of the approved applica- Federal law. Persons who engage in cation in accordance with the instruction, the maker is authorized to make the business of importing, manufactur- tions on the form. If the making is tax- the firearm described therein. The making or dealing in firearms, in violation of able and the application is approved, er of the firearm shall not, under any the law of a State, are nevertheless re- the Director will affix a National Fire- circumstances, make the firearm until quired to pay special (occupational) tax arms Act stamp to the original appli- the application, satisfactorily executed, as imposed under the internal revenue cation in the space provided therefor has been forwarded to the Director and laws of the United States. For provisions and properly cancel the stamp (see has been approved and returned by relating to restrictive use of information §479.67). The approved application the Director with the National Firearms furnished to comply with the provisions will be returned to the applicant. If the Act stamp affixed. If the application is of this part see §479.23. making of the firearm is tax exempt un- disapproved, the original Form 1 (Fire- der this part, an explanation of the ba- arms) and the remittance submitted by Subpart E—Tax on Making Firearms sis of the exemption shall be attached the applicant for the purchase of the to the Form 1 (Firearms). stamp will be returned to the applicant § 479.61 Rate of tax. with the reason for disapproval stated § 479.63 Identification of applicant. on the form. Except as provided in this subpart, there shall be levied, collected, and paid If the applicant is an individual, the § 479.65 Denial of application. upon the making of a firearm a tax at the applicant shall securely attach to each rate of $200 for each firearm made. This copy of the Form 1 (Firearms), in the An application to make a firearm shall tax shall be paid by the person making space provided on the form, a photo- not be approved by the Director if the the firearm. Payment of the tax on the graph of the applicant 2 × 2 inches in making or possession of the firearm making of a firearm shall be represent- size, clearly showing a full front view of would place the person making the fire- ed by a $200 adhesive stamp bearing the features of the applicant with head arm in violation of law. the words “National Firearms Act.” The bare, with the distance from the top of stamps are maintained by the Director. the head to the point of the chin approx- § 479.66 Subsequent transfer of imately 11⁄4 inches, and which shall firearms. Application to Make a Firearm have been taken within 1 year prior to the date of the application. The appli- Where a firearm which has been made § 479.62 Application to make. cant shall attach two properly completed in compliance with 26 U.S.C. 5821, and FBI Forms FD–258 (Fingerprint Card) the regulations contained in this part, No person shall make a firearm un- to the application. The fingerprints must is to be transferred subsequently, the less the person has filed with the Di- be clear for accurate classification and transfer provisions of the firearms laws rector a written application on Form 1 should be taken by someone properly and regulations must be complied with. (Firearms), Application to Make and equipped to take them. A certificate of (See subpart F of this part). Register a Firearm, in duplicate, exe- the local chief of police, sheriff of the cuted under the penalties of perjury, to county, head of the State police, State § 479.67 Cancellation of stamp. make and register the firearm and has or local district attorney or prosecutor, received the approval of the Director to or such other person whose certificate The person affixing to a Form 1 (Fire- make the firearm which approval shall may in a particular case be acceptable arms) a “National Firearms Act” stamp effectuate registration of the weap- to the Director, shall be completed on shall cancel it by writing or stamping on to the applicant. The application each copy of the Form 1 (Firearms). thereon, in ink, his initials, and the day, shall identify the firearm to be made The certificate shall state that the cer- month and year, in such manner as to by serial number, type, model, cal- tifying official is satisfied that the finger- render it unfit for reuse. The cancellation iber or gauge, length of barrel, other prints and photograph accompanying shall not so deface the stamp as to pre- marks of identification, and the name the application are those of the appli- vent its denomination and genuineness and address of original manufactur- cant and that the certifying official has from being readily determined. er (if the applicant is not the original no information indicating that posses-

86 Exceptions to Tax on Making Firearms “National Firearms Act” to be affixed to The application also shall identify the the Form 4 (Firearms), Application for transferee by name and address, and, § 479.68 Qualified manufacturer. Transfer and Registration of Firearm, as if the transferee is a natural person not provided in this subpart. qualified as a manufacturer, importer or A manufacturer qualified under this dealer under this part, he shall be fur- part to engage in such business may § 479.82 Rate of tax. ther identified in the manner prescribed make firearms without payment of the in §479.85. The application also shall making tax. However, such manufactur- The transfer tax imposed with respect identify the special (occupational) tax er shall report and register each firearm to firearms transferred within the United stamp and Federal firearms license of made in the manner prescribed by this States is at the rate of $200 for each fire- the transferee, if any. Any tax payable on part. arm transferred, except that the transfer the transfer must be represented by an tax on any firearm classified as “any oth- adhesive stamp of proper denomination § 479.69 Making a firearm for the er weapon” shall be at the rate of $5 for being affixed to the application, Form 4 United States. each such firearm transferred. The tax (Firearms), properly cancelled. imposed on the transfer of the firearm A firearm may be made by, or on be- shall be paid by the transferor. § 479.85 Identification of transferee. half of, the United States or any department, independent establishment, or § 479.83 Transfer tax in addition to If the transferee is an individual, such agency thereof without payment of the import duty. person shall securely attach to each making tax. However, if a firearm is to copy of the application, Form 4 (Fire- be made on behalf of the United States, The transfer tax imposed by section arms), in the space provided on the the maker must file an application, in du- 5811, I.R.C., is in addition to any import form, a photograph of the applicant 2 × 2 plicate, on Form 1 (Firearms) and obtain duty. inches in size, clearly showing a full front the approval of the Director in the man- view of the features of the applicant with ner prescribed in §479.62. Application and Order for head bare, with the distance from the Transfer of Firearm top of the head to the point of the chin § 479.70 Certain government entities. approximately 11⁄4 inches, and which § 479.84 Application to transfer. shall have been taken within 1 year prior A firearm may be made without pay- to the date of the application. The trans- ment of the making tax by, or on behalf Except as otherwise provided in this feree shall attach two properly com- of, any State, or possession of the United subpart, no firearm may be transferred pleted FBI Forms FD–258 (Fingerprint States, any political subdivision thereof, in the United States unless an applica- Card) to the application. The fingerprints or any official police organization of such tion, Form 4 (Firearms), Application for must be clear for accurate classification a government entity engaged in criminal Transfer and Registration of Firearm, in and should be taken by someone prop- investigations. Any person making a fire- duplicate, executed under the penalties erly equipped to take them. A certificate arm under this exemption shall first file of perjury to transfer the firearm and reg- of the local chief of police, sheriff of the an application, in duplicate, on Form 1 ister it to the transferee has been filed county, head of the State police, State (Firearms) and obtain the approval of with and approved by the Director. The or local district attorney or prosecutor, or the Director as prescribed in §479.62. application, Form 4 (Firearms), shall be such other person whose certificate may filed by the transferor and shall identify in a particular case be acceptable to the Registration the firearm to be transferred by type; Director, shall be completed on each serial number; name and address of the copy of the Form 4 (Firearms). The cer- § 479.71 Proof of registration. manufacturer and importer, if known; tificate shall state that the certifying offi- model; caliber, gauge or size; in the case cial is satisfied that the fingerprints and The approval by the Director of an ap- of a short–barreled shotgun or a short– photograph accompanying the applica- plication, Form 1 (Firearms), to make a barreled rifle, the length of the barrel; in tion are those of the applicant and that firearm under this subpart shall effectu- the case of a weapon made from a ri- the certifying official has no information ate registration of the firearm described fle or shotgun, the overall length of the indicating that the receipt or possession in the Form 1 (Firearms) to the person weapon and the length of the barrel; and of the firearm would place the transferee making the firearm. The original Form 1 any other identifying marks on the fire- in violation of State or local law or that (Firearms) showing approval by the Di- arm. In the event the firearm does not the transferee will use the firearm for rector shall be retained by the maker to bear a serial number, the applicant shall other than lawful purposes. establish proof of his registration of the obtain a serial number from the Special firearm described therein, and shall be Agent in Charge and shall stamp (im- § 479.86 Action on application. made available to any ATF officer on re- press) or otherwise conspicuously place quest. such serial number on the firearm in a The Director will consider a completed manner not susceptible of being readily and properly executed application, Form Subpart F—Transfer Tax obliterated, altered or removed. The ap- 4 (Firearms), to transfer a firearm. If the plication, Form 4 (Firearms), shall iden- application is approved, the Director will § 479.81 Scope of tax. tify the transferor by name and address; affix the appropriate National Firearms shall identify the transferor’s Federal Act stamp, cancel it, and return the orig- Except as otherwise provided in this firearms license and special (occupa- inal application showing approval to the part, each transfer of a firearm in the tional) Chapter tax stamp, if any; and transferor who may then transfer the United States is subject to a tax to be if the transferor is other than a natural firearm to the transferee along with the represented by an adhesive stamp of the person, shall show the title or status of approved application. The approval of proper denomination bearing the words the person executing the application. an application, Form 4 (Firearms), by the

87 Director will effectuate registration of the tional) tax stamp of the transferor and of less the transferor is relieved of such firearm to the transferee. The transferee the transferee, (3) show the name and requirement under other provisions of shall not take possession of a firearm address of the manufacturer and the im- this part. until the application, Form 4 (Firearms), porter of the firearm, if known, (4) show for the transfer filed by the transfer- the type, model, overall length (if appli- § 479.90 Certain government entities. or has been approved by the Director cable), length of barrel, caliber, gauge and registration of the firearm is effec- or size, serial number, and other marks (a) A firearm may be transferred tuated to the transferee. The transferee of identification of the firearm, and (5) without payment of the transfer tax to shall retain the approved application as contain a statement by the transfer- or from any State, possession of the proof that the firearm described therein or that he is entitled to the exemption United States, any political subdivision is registered to the transferee, and shall because the transferee is a person thereof, or any official police organiza- make the approved Form 4 (Firearms) qualified under this part to manufac- tion of such a governmental entity en- available to any ATF officer on request. ture, import, or deal in firearms. If the gaged in criminal investigations. If the application, Form 4 (Firearms), Director approves an application, Form to transfer a firearm is disapproved by 3 (Firearms), he shall return the original (b) The exemption provided in para- the Director, the original application Form 3 (Firearms) to the transferor with graph (a) of this section shall be ob- and the remittance for purchase of the the approval noted thereon. Approval of tained by the transferor of the firearm stamp will be returned to the transferor an application, Form 3 (Firearms), by filing with the Director an application, with reasons for the disapproval stated the Director shall remove registration Form 5 (Firearms), Application for Tax– on the application. An application, Form of the firearm reported thereon from the exempt Transfer and Registration of 4 (Firearms), to transfer a firearm shall transferor and shall effectuate the regis- Firearm, in duplicate, executed under be denied if the transfer, receipt, or pos- tration of that firearm to the transferee. the penalties of perjury. The application session of a firearm would place the Upon receipt of the approved Form 3 shall (1) show the name and address transferee in violation of law. In addition (Firearms), the transferor shall deliver of the transferor and of the transferee, to any other records checks that may same with the firearm to the transfer- (2) identify the Federal firearms license be conducted to determine whether the ee. The transferor shall not transfer the and special (occupational) tax stamp, if transfer, receipt, or possession of a fire- firearm to the transferee until his appli- any, of the transferor and of the trans- arm would place the transferee in viola- cation, Form 3 (Firearms), has been ap- feree, (3) show the name and address tion of law, the Director shall contact the proved by the Director and the original of the manufacturer and the importer of National Instant Criminal Background thereof has been returned to the trans- the firearm, if known,(4) show the type, Check System. feror. If the Director disapproves the model, overall length (if applicable), application, Form 3 (Firearms), he shall length of barrel, caliber, gauge or size, § 479.87 Cancellation of stamp. return the original Form 3 (Firearms) to serial number, and other marks of iden- the transferor with the reasons for the tification of the firearm, and (5) contain The method of cancellation of the disapproval stated thereon. a statement by the transferor that the stamp required by this subpart as pre- transferor is entitled to the exemption scribed in §479.67 shall be used. (c) The transferor shall be responsible because either the transferor or the for establishing the exempt status of the transferee is a governmental entity Exemptions Relating to transferee before making a transfer un- coming within the purview of paragraph Transfers of Firearms der the provisions of this section. There- (a) of this section. In the case of a fore, before engaging in transfer negoti- transfer of a firearm by a governmental § 479.88 Special (occupational) ations with the transferee, the transferor entity to a transferee who is a natural taxpayers. should satisfy himself as to the claimed person not qualified as a manufactur- exempt status of the transferee and the er, importer, or dealer under this part, (a) A firearm registered to a person bona fides of the transaction. If not fully the transferee shall be further identified qualified under this part to engage in satisfied, the transferor should communi- in the manner prescribed in §479.85. business as an importer, manufactur- cate with the Director, report all circum- If the Director approves an applica- er, or dealer may be transferred by that stances regarding the proposed transfer, tion, Form 5 (Firearms), the original person without payment of the transfer and await the Director’s advice before Form 5 (Firearms) shall be returned to tax to any other person qualified under making application for the transfer. An the transferor with the approval noted this part to manufacture, import, or deal unapproved transfer or a transfer to an thereon. Approval of an application, in firearms. unauthorized person may subject the Form 5 (Firearms), by the Director transferor to civil and criminal liabilities. shall effectuate the registration of that (b) The exemption provided in para- (See 26 U.S.C. 5852, 5861, and 5871.) firearm to the transferee. Upon receipt graph (a) of this section shall be ob- of the approved Form 5 (Firearms), the tained by the transferor of the firearm § 479.89 Transfers to the United transferor shall deliver same with the filing with the Director an application, States. firearm to the transferee. The transfer- Form 3 (Firearms), Application for or shall not transfer the firearm to the Tax–exempt Transfer of Firearm and A firearm may be transferred to the transferee until the application, Form 5 Registration to Special (Occupational) United States or any department, inde- (Firearms), has been approved by the Taxpayer, in duplicate, executed under pendent establishment or agency there- Director and the original thereof has the penalties of perjury. The application, of without payment of the transfer tax. been returned to the transferor. If the Form 3 (Firearms), shall (1) show the However, the procedures for the trans- Director disapproves the application, name and address of the transferor and fer of a firearm as provided in §479.90 Form 5 (Firearms), the original Form of the transferee, (2) identify the Feder- shall be followed in a tax–exempt trans- 5 (Firearms) shall be returned to the al firearms license and special (occupa- fer of a firearm under this section, un- transferor with the reasons for the dis-

88 approval stated thereon. An application Other Provisions (e) A person possessing a firearm by a governmental entity to transfer registered to him shall retain proof of a firearm shall be denied if the trans- § 479.93 Transfers of firearms to registration which shall be made avail- fer, receipt, or possession of a firearm certain persons. able to any ATF officer upon request. would place the transferee in violation of law. Where the transfer of a destructive (f) A firearm not identified as required device, machine gun, short–barreled by this part shall not be registered. (c) The transferor shall be responsi- shotgun, or short–barreled rifle is to be ble for establishing the exempt status made by a person licensed under the § 479.102 How must firearms be of the transferee before making a trans- provisions of Title I of the Gun Control identified? fer under the provisions of this section. Act of 1968 (82 Stat. 1213) to a person Therefore, before engaging in transfer not so licensed, the sworn statement re- (a) You, as a manufacturer, importer, negotiations with the transferee, the quired by §478.98 of this chapter shall be or maker of a firearm, must legibly iden- transferor should satisfy himself of the attached to and accompany the transfer tify the firearm as follows: claimed exempt status of the transfer- application required by this subpart. ee and the bona fides of the transac- (1) By engraving, casting, stamp- tion. If not fully satisfied, the transferor Subpart G—Registration and ing (impressing), or otherwise con- should communicate with the Director, Identification of Firearms spicuously placing or causing to be report all circumstances regarding the engraved, cast, stamped (impressed) proposed transfer, and await the Direc- § 479.101 Registration of firearms. or placed on the frame or receiver tor’s advice before making application thereof an individual serial number. for transfer. An unapproved transfer (a) The Director shall maintain a cen- The serial number must be placed or a transfer to an unauthorized per- tral registry of all firearms in the United in a manner not susceptible of be- son may subject the transferor to civil States which are not in the possession ing readily obliterated, altered, or re- and criminal liabilities. (See 26 U.S.C. of or under the control of the United moved, and must not duplicate any 5852, 5861, and 5871.) States. This registry shall be known as serial number placed by you on any the National Firearms Registration and other firearm. For firearms manufac- § 479.91 Unserviceable firearms. Transfer Record and shall include: tured, imported, or made on and after January 30, 2002, the engraving, An unserviceable firearm may be (1) Identification of the firearm as casting, or stamping (impressing) of transferred as a curio or ornament with- required by this part; the serial number must be to a mini- out payment of the transfer tax. How- mum depth of .003 inch and in a print ever, the procedures for the transfer of (2) Date of registration; and size no smaller than 1⁄16 inch; and a firearm as provided in §479.90 shall be followed in a tax–exempt transfer of (3) Identification and address of (2) By engraving, casting, stamping a firearm under this section, except a person entitled to possession of the (impressing), or otherwise conspic- statement shall be entered on the trans- firearm as required by this part. uously placing or causing to be en- fer application, Form 5 (Firearms), by graved, cast, stamped (impressed), or the transferor that he is entitled to the (b) Each manufacturer, importer, and placed on the frame, receiver, or barrel exemption because the firearm to be maker shall register each firearm he thereof certain additional information. transferred is unservicable and is being manufactures, imports, or makes in the This information must be placed in a transferred as a curio or ornament. An manner prescribed by this part. Each manner not susceptible of being read- unapproved transfer, the transfer of a firearm transferred shall be registered ily obliterated, altered or removed. For firearm under the provisions of this sec- to the transferee by the transferor in firearms manufactured, imported, or tion which is in fact not an unservice- the manner prescribed by this part. No made on and after January 30, 2002, able firearm, or the transfer of anun- firearm may be registered by a person the engraving, casting, or stamping serviceable firearm as something other unlawfully in possession of the firearm (impressing) of this information must than a curio or ornament, may subject except during an amnesty period es- be to a minimum depth of .003 inch. the transferor to civil and criminal liabil- tablished under section 207 of the Gun The additional information includes: ities. (See 26 U.S.C. 5811, 5852, 5861, Control Act of 1968 (82 Stat. 1235). and 5871.) (i) The model, if such designa- (c) A person shown as possessing tion has been made; § 479.92 Transportation of firearms firearms by the records maintained by to effect transfer. the Director pursuant to the National (ii) The caliber or gauge; Firearms Act (26 U.S.C. Chapter 53) in Notwithstanding any provision of force on October 31, 1968, shall be con- (iii) Your name (or recognized §478.28 of this chapter, it shall not be sidered to have registered the firearms abbreviation) and also, when ap- required that authorization be obtained in his possession which are disclosed plicable, the name of the foreign from the Director for the transportation by that record as being in his posses- manufacturer or maker; in interstate or foreign commerce of a sion on October 31, 1968. firearm in order to effect the transfer of a (iv) In the case of a domestical- firearm authorized under the provisions (d) The National Firearms Registra- ly made firearm, the city and State of this subpart. tion and Transfer Record shall include (or recognized abbreviation there- firearms registered to the possessors of) where you as the manufacturer thereof under the provisions of section maintain your place of business, or 207 of the Gun Control Act of 1968. where you, as the maker, made the

89 firearm; and § 479.103 Registration of firearms istering the firearm, the Director shall manufactured. return the original Form 10 (Firearms) (v) In the case of an imported to the registrant with notification there- firearm, the name of the country Each manufacturer qualified under on that registration of the firearm has in which it was manufactured and this part shall file with the Director an been made. The registration of any fire- the city and State (or recognized accurate notice on Form 2 (Firearms), arm under this section is for official use abbreviation thereof) where you as Notice of Firearms Manufactured or only and a subsequent transfer will be the importer maintain your place of Imported, executed under the penalties approved only to other governmental business. For additional require- of perjury, to show his manufacture of entities for official use. ments relating to imported fire- firearms. The notice shall set forth the Machine Guns arms, see Customs regulations at name and address of the manufacturer, 19 CFR part 134. identify his special (occupational) tax §479.105 Transfer and possession of stamp and Federal firearms license, and machine guns. (b) The depth of all markings required show the date of manufacture, the type, (a) General. As provided by 26 by this section will be measured from model, length of barrel, overall length, U.S.C. 5812 and 26 U.S.C. 5822, an the flat surface of the metal and not the caliber, gauge or size, serial numbers, application to make or transfer a firearm peaks or ridges. The height of serial and other marks of identification of the shall be denied if the making, trans- numbers required by paragraph (a)(1) of firearms he manufactures, and the place fer, receipt, or possession of the fire- this section will be measured as the dis- where the manufactured firearms will arm would place the maker or trans- tance between the latitudinal ends of the be kept. All firearms manufactured by feree in violation of law. Section character impression bottoms (bases). him during a single day shall be includ- 922(o), Title 18, U.S.C., makes it un- ed on one notice, Form 2 (Firearms), lawful for any person to transfer or po- (c) The Director may authorize other filed by the manufacturer no later than ssess a machine gun, except a trans- means of identification upon receipt of the close of the next business day. The fer to or by, or possession by or under a letter application from you, submitted manufacturer shall prepare the notice, the authority of, the United States or in duplicate, showing that such other Form 2 (Firearms), in duplicate, file the any department or agency thereof or identification is reasonable and will not original notice as prescribed herein and a State, or a department, agency, or hinder the effective administration of keep the copy with the records required political subdivision thereof; or any law- this part. by subpart I of this part at the premises ful transfer or lawful possession of a covered by his special (occupational) machine gun that was lawfully poss- (d) In the case of a destructive de- tax stamp. Receipt of the notice, Form 2 essed before May 19, 1986. There- vice, the Director may authorize other (Firearms), by the Director shall effectu- fore, notwithstanding any other pro- means of identifying that weapon upon ate the registration of the firearms listed vision of this part, no application to receipt of a letter application from you, on that notice. The requirements of this make, transfer, or import a machine submitted in duplicate, showing that en- part relating to the transfer of a firearm gun will be approved except as prov- graving, casting, or stamping (impress- are applicable to transfers by qualified ided by this section. ing) such a weapon would be danger- manufacturers. (b) Machine guns lawfully pos- ous or impracticable. sessed prior to May 19, 1986. A ma- § 479.104 Registration of firearms by chine gun possessed in compliance (e) A firearm frame or receiver that certain governmental entities. with the provisions of this part prior to is not a component part of a complete May 19, 1986, may continue to be weapon at the time it is sold, shipped, or Any State, any political subdivision lawfully possessed by the person to otherwise disposed of by you must be thereof, or any official police organi- whom the machine gun is registered identified as required by this section. zation of such a government entity en- and may, upon compliance with the gaged in criminal investigations, which provisions of this part, be lawfully (f)(1) Any part defined as a machine acquires for official use a firearm not transferred to and possessed by the gun, muffler, or silencer for the purpos- registered to it, such as by abandon- transferee. es of this part that is not a component ment or by forfeiture, will register such (c) Importation and manufacture. part of a complete firearm at the time it firearm with the Director by filing Form Subject to compliance with the provi- is sold, shipped, or otherwise disposed 10 (Firearms), Registration of Firearms sions of this part, importers and of by you must be identified as required Acquired by Certain Governmental En- manufacturers qualified under this part by this section. tities, and such registration shall be- may import and manufacture machine come a part of the National Firearms guns on or after May 19, 1986, for (2) The Director may authorize Registration and Transfer Record. The sale or distribution to any department other means of identification of parts application shall identify the applicant, or agency of the United States or any defined as machine guns other than describe each firearm covered by the State or political subdivision thereof, frames or receivers and parts defined application, show the location where or for use by dealers qualified under as mufflers or silencers upon receipt each firearm usually will be kept, and, if this part as sales samples as provided of a letter application from you, sub- the firearm is unserviceable, the appli- in paragraph (d) of this section. The mitted in duplicate, showing that such cation shall show how the firearm was registration of such machine guns un- other identification is reasonable and made unserviceable. This section shall der this part and their subsequent tran- will not hinder the effective adminis- not apply to a firearm merely being held sfer shall be conditioned upon and res- tration of this part. for use as evidence in a criminal pro- tricted to the sale or distribution of ceeding. The Form 10 (Firearms) shall such weapons for the official use of (Approved by the Office of Management and be executed in duplicate in accordance Federal, State or local governmental Budget under control number 1140–0050) with the instructions thereon. Upon reg- entities. Subject to compliance with the provisions of this part, manufacturers

90 qualified under this part may manu- Subpart H—Importation and of the approval, the Director shall be so facture machine guns on or after Exportation notified. Customs officers will not permit May 19, 1986, for exportation in release of a firearm from Customs cus- compliance with the Arms Export Importation tody, except for exportation, unless cov- Control Act (22 U.S.C. 2778) and ered by an application which has been regulations prescribed thereunder by § 479.111 Procedure. approved by the Director and which is the Department of State. currently effective. The importation or bringing in of a firearm not covered by Subject (a) No firearm shall be imported or (d) Dealer sales samples. an approved application may subject the to compliance with the provisions of brought into the United States or any person responsible to civil and criminal this part, applications to transfer and territory under its control or jurisdiction liabilities. (26 U.S.C. 5861, 5871, and reg-ister a machine gun manufact- unless the person importing or bringing 5872.) ured or imported on or after May 19, in the firearm establishes to the satis- 1986, to dealers qualified under this faction of the Director that the firearm to (b) Part 478 of this chapter also part will be approved if it is established be imported or brought in is being im- contains requirements and procedures by specific information the expected ported or brought in for: for the importation of firearms into the governmental customers who would United States. A firearm may not be im- require a demon-stration of the weapon, (1) The use of the United States ported into the United States under this information as to the availability of the or any department, independent es- part unless those requirements and pro- machine gun to fill subsequent orders, tablishment, or agency thereof or any cedures are also complied with by the and letters from governmental entities State or possession or any political person importing the firearm. expressing a need for a particular mo- subdivision thereof; or del or interest in seeing a demonstra- (c) The provisions of this subpart tion of a particular weapon. Applica- (2) Scientific or research purposes; shall not be construed as prohibiting the tions to transfer more than one ma- or return to the United States or any terri- chine gun of a particular model to a tory under its control or jurisdiction of a dealer must also establish the deal- (3) Testing or use as a model by a firearm by a person who can establish er’s need for the quantity of samples registered manufacturer or solely for to the satisfaction of Customs that (1) sought to be transferred. use as a sample by a registered importer or registered dealer. the firearm was taken out of the United (e) The making of machine guns States or any territory under its control on or after May 19, 1986. Subject to The burden of proof is affirmatively or jurisdiction by such person, (2) the compliance with the provisions of on any person importing or bringing the firearm is registered to that person, and this part, applications to make and firearm into the United States or any ter- (3) if appropriate, the authorization re- regis-ter machine guns on or after ritory under its control or jurisdiction to quired by Part 478 of this chapter for the May 19, 1986, for the benefit of a show that the firearm is being imported transportation of such a firearm in inter- Federal, State or local governmental or brought in under one of the above state or foreign commerce has been ob- entity (e.g., an invention for possible paragraphs. Any person desiring to im- tained by such person. future use of a governmental entity port or bring a firearm into the United or the making of a weapon in States under this paragraph shall file § 479.112 Registration of imported connection with research and devel- with the Director an application on Form firearms. opment on behalf of such an entity) 6 (Firearms), Application and Permit for will be approved if it is estab-lished Importation of Firearms, Ammunition (a) Each importer shall file with the by specific information that the and Implements of War, in triplicate, exe- Director an accurate notice on Form 2 machine gun is particularly suitable cuted under the penalties of perjury. The (Firearms), Notice of Firearms Manu- for use by Federal, State or local application shall show the information factured or Imported, executed under govern-mental entities and that the required by subpart G of Part 478 of this the penalties of perjury, showing the im- making of the weapon is at the re- chapter. A detailed explanation of why portation of a firearm. The notice shall quest and on behalf of such an entity. the importation of the firearm falls within set forth the name and address of the the standards set out in this paragraph importer, identify the importer’s special (f) Discontinuance of business. shall be attached to the application. The (occupational) tax stamp and Feder- Since section 922(o), Title 18, person seeking to import or bring in the al firearms license, and show the im- U.S.C., makes it unlawful to transfer or firearm will be notified of the approval or port permit number, the date of release possess a machine gun except as disapproval of his application. If the ap- from Customs custody, the type, model, provided in the law, any qualified plication is approved, the original Form length of barrel, overall length, caliber, manufacturer, im-porter, or dealer 6 (Firearms) will be returned to the appli- gauge or size, serial number, and oth- intending to discontin-ue business cant showing such approval and he will er marks of identification of the firearm shall, prior to going out of business, present the approved application, Form imported, and the place where the im- transfer in compliance with the 6 (Firearms), to the Customs officer at ported firearm will be kept. The Form 2 provisions of this part any machine the port of importation. The approval of (Firearms) covering an imported firearm gun manufactured or imported after an application to import a firearm shall shall be filed by the importer no later than May 19, 1986, to a Federal, State or be automatically terminated at the expi- fifteen (15) days from the date the fire- local gov-ernmental entity, qualified ration of two years from the date of ap- arm was released from Customs custo- manufacturer, qualified importer, or, proval unless, upon request, it is further dy. The importer shall prepare the notice, subject to the pro-visions of paragraph extended by the Director. If the firearm Form 2 (Firearms), in duplicate, file the (d) of this section, dealer qualified to described in the approved application original return as prescribed herein, and possess such, ma-chine gun. is not imported prior to the expiration keep the copy with the records required

91 by subpart I of this part at the premises Information as to the availability of the ten order or contract of sale or other ev- covered by the special (occupational) firearm to fill subsequent orders and idence showing that the firearm is to be tax stamp. The timely receipt by the Di- letters from governmental entities ex- shipped to a foreign designation. Where rector of the notice, Form 2 (Firearms), pressing a need for a particular model it is desired to make a transfer free of and the timely receipt by the Director or interest in seeing a demonstration tax to another person who in turn will of the copy of Form 6A (Firearms), Re- of a particular firearm would establish export the firearm, the transferor shall lease and Receipt of Imported Firearms, suitability for governmental use. Appli- likewise file an application supported by Ammunition and Implements of War, re- cations to import more than one firearm evidence that the transfer will start the quired by §478.112 of this chapter, cov- of a particular model for use as a sam- firearm in course of exportation, except, ering the weapon reported on the Form 2 ple by an importer or dealer must also however, that where such transferor and (Firearms) by the qualified importer, shall establish the importer’s or dealer’s need exporter are registered special–taxpay- effectuate the registration of the firearm for the quantity of samples sought to be ers the transferor will not be required to to the importer. imported. file an application on Form 9 (Firearms).

(b) The requirements of this part re- § 479.113 Conditional importation. § 479.115 Action by Director. lating to the transfer of a firearm are applicable to the transfer of imported The Director shall permit the condi- If the application is acceptable, the firearms by a qualified importer or any tional importation or bringing into the Director will execute the permit, Part 2 of other person. United States of any firearm for the pur- Form 9 (Firearms), to export the firearm pose of examining and testing the fire- described on the form and return three (c) Subject to compliance with the arm in connection with making a deter- copies thereof to the applicant. Issuance provisions of this part, an application, mination as to whether the importation or of the permit by the Director will suspend Form 6 (Firearms), to import a firearm bringing in of such firearm will be autho- assertion of tax liability for a period of six by an importer or dealer qualified un- rized under this subpart. An application (6) months from the date of issuance. If der this part, for use as a sample in under this section shall be filed on Form the application is disapproved, the Di- connection with sales of such firearms 6 (Firearms), in triplicate, with the Direc- rector will indicate thereon the reason to Federal, State or local governmental tor. The Director may impose conditions for such action and return the forms to entities, will be approved if it is estab- upon any importation under this section the applicant. lished by specific information attached including a requirement that the firearm to the application that the firearm is be shipped directly from Customs cus- § 479.116 Procedure by exporter. suitable or potentially suitable for use tody to the Director and that the person by such entities. Such information must importing or bringing in the firearm must Shipment may not be made until the show why a sales sample of a particular agree to either export the weapon or de- permit, Form 9 (Firearms), is received firearm is suitable for such use and the stroy it if a final determination is made from the Director. If exportation is to expected governmental customers who that it may not be imported or brought in be made by means other than by par- would require a demonstration of the under this subpart. A firearm so imported cel post, two copies of the form must firearm. Information as to the availability or brought into the United States may be be addressed to the District Director of of the firearm to fill subsequent orders released from Customs custody in the Customs at the port of exportation, and and letters from governmental entities manner prescribed by the conditional must precede or accompany the ship- expressing a need for a particular mod- authorization of the Director. ment in order to permit appropriate in- el or interest in seeing a demonstration spection prior to lading. If exportation is of a particular firearm would establish Exportation to be made by parcel post, one copy of suitability for governmental use. Appli- the form must be presented to the post- cations to import more than one firearm § 479.114 Application and permit for master at the office receiving the parcel of a particular model for use as a sam- exportation of firearms. who will execute Part 4 of such form ple by an importer or dealer must also and return the form to the exporter for establish the importer’s or dealer’s need Any person desiring to export a fire- transmittal to the Director. In the event for the quantity of samples sought to be arm without payment of the transfer tax exportation is not effected, all copies of imported. must file with the Director an applica- the form must be immediately returned tion on Form 9 (Firearms), Application to the Director for cancellation. (d) Subject to compliance with the and Permit for Exportation of Firearms, provisions of this part, an application, in quadruplicate, for a permit providing § 479.117 Action by Customs. Form 6 (Firearms), to import a firearm for deferment of tax liability. Part 1 of the by an importer or dealer qualified un- application shall show the name and ad- Upon receipt of a permit, Form 9 (Fire- der this part, for use as a sample in dress of the foreign consignee, number arms), in duplicate, authorizing the expor- connection with sales of such firearms of firearms covered by the application, tation of firearms, the District Director of to Federal, State or local governmental the intended port of exportation, a com- Customs may order such inspection as entities, will be approved if it is estab- plete description of each firearm to be deemed necessary prior to lading of the lished by specific information attached exported, the name, address, State De- merchandise. If satisfied that the shipment to the application that the firearm is partment license number (or date of ap- is proper and the information contained in particularly suitable for use by such en- plication if not issued), and identification the permit to export is in agreement with tities. Such information must show why of the special (occupational) tax stamp information shown in the shipper’s export a sales sample of a particular firearm is of the transferor. Part 1 of the application declaration, the District Director of Cus- suitable for such use and the expected shall be executed under the penalties of toms will, after the merchandise has been governmental customers who would perjury by the transferor and shall be duly exported, execute the certificate of require a demonstration of the firearm. supported by a certified copy of a writ- exportation (Part 3 of Form 9 (Firearms)).

92 One copy of the form will be retained with § 479.121 Insular possessions. possessed by a manufacturer, importer, the shipper’s export declaration and the or dealer are stored or kept on premises remaining copy thereof will be transmit- Transfers of firearms to persons in the other than the place of business shown ted to the Director. insular possessions of the United States on his special (occupational) tax stamp, are exempt from transfer tax, provided the record establishing registration shall § 479.118 Proof of exportation. title in cases involving change of title show where such firearms are stored or (and custody or control, in cases not in- kept. The records required by this part Within a six–month’s period from volving change of title), does not pass to shall be readily accessible for inspection date of issuance of the permit to export the transferee or his agent in the United at all reasonable times by ATF officers. firearms, the exporter shall furnish or States. However, such exempt trans- cause to be furnished to the Director (a) actions must be covered by approved (Approved by the Office of Management and the certificate of exportation (Part 3 of permits and supporting documents cor- Budget under control number 1140–0032) Form 9 (Firearms)) executed by the Dis- responding to those required in the case trict Director of Customs as provided in of firearms exported to foreign countries Subpart J—Stolen or Lost §479.117, or (b) the certificate of mailing (see §§479.114 and 479.115), except Firearms or Documents by parcel post (Part 4 of Form 9 (Fire- that the Director may vary the require- arms)) executed by the postmaster of ments herein set forth in accordance § 479.141 Stolen or lost firearms. the post office receiving the parcel con- with the requirements of the governing taining the firearm, or (c) a certificate of authority of the insular possession. Ship- Whenever any registered firearm is landing executed by a Customs officer of ments to the insular possessions will not stolen or lost, the person losing pos- the foreign country to which the firearm is be authorized without compliance with session thereof will, immediately upon exported, or (d) a sworn statement of the the requirements of the governing au- discovery of such theft or loss, make a foreign consignee covering the receipt of thorities thereof. In the case of a nontax- report to the Director showing the follow- the firearm, or (e) the return receipt, or a able transfer to a person in such insular ing: (a) Name and address of the person reproduced copy thereof, signed by the possession, the exemption extends only in whose name the firearm is registered, addressee or his agent, where the ship- to such transfer and not to prior trans- (b) kind of firearm, (c) serial number, (d) ment of a firearm was made by insured fers. model, (e) caliber, (f) manufacturer of or registered parcel post. Issuance of a the firearm, (g) date and place of theft permit to export a firearm and furnishing Arms Export Control Act or loss, and (h) complete statement of of evidence establishing such exportation facts and circumstances surrounding under this section will relieve the actual § 479.122 Requirements. such theft or loss. exporter and the person selling to the exporter for exportation from transfer tax (a) Persons engaged in the business § 479.142 Stolen or lost documents. liability. Where satisfactory evidence of of importing firearms are required by exportation of a firearm is not furnished the Arms Export Control Act (22 U.S.C. When any Forms 1, 2, 3, 4, 5, 6A, or within the stated period, the transfer tax 2778) to register with the Director. (See 10 (Firearms) evidencing possession of will be assessed. Part 447 of this chapter.) a firearm is stolen, lost, or destroyed, the person losing possession will im- § 479.119 Transportation of firearms (b) Persons engaged in the business mediately upon discovery of the theft, to effect exportation. of exporting firearms caliber .22 or larg- loss, or destruction report the matter to er are subject to the requirements of a the Director. The report will show in de- Notwithstanding any provision of license issued by the Secretary of State. tail the circumstances of the theft, loss, §478.28 of this chapter, it shall not be Application for such license should be or destruction and will include all known required that authorization be obtained made to the Office of Munitions Control, facts which may serve to identify the from the Director for the transportation in Department of State, Washington, DC document. Upon receipt of the report, interstate or foreign commerce of a fire- 20502, prior to exporting firearms. the Director will make such investigation arm in order to effect the exportation of a as appears appropriate and may issue firearm authorized under the provisions Subpart I—Records and Returns a duplicate document upon such condi- of this subpart. tions as the circumstances warrant. § 479.131 Records. § 479.120 Refunds. Subpart K—Examination of For the purposes of this part, each Books and Records Where, after payment of tax by the manufacturer, importer, and dealer in manufacturer, a firearm is exported, firearms shall keep and maintain such § 479.151 Failure to make returns: and satisfactory proof of exportation records regarding the manufacture, im- Substitute returns. (see §479.118) is furnished, a claim portation, acquisition (whether by mak- for refund may be submitted on Form ing, transfer, or otherwise), receipt, and If any person required by this part to 843 (see §479.172). If the manufactur- disposition of firearms as are prescribed, make returns shall fail or refuse to make er waives all claim for the amount to be and in the manner and place required, any such return within the time pre- refunded, the refund shall be made to by part 478 of this chapter. In addition, scribed by this part or designated by the the exporter. A claim for refund by an each manufacturer, importer, and dealer Director, then the return shall be made exporter of tax paid by a manufacturer shall maintain, in chronological order, at by an ATF officer upon inspection of the should be accompanied by waiver of the his place of business a separate record books, but the making of such return by manufacturer and proof of tax payment consisting of the documents required an ATF officer shall not relieve the per- by the latter. by this part showing the registration of son from any default or penalty incurred any firearm to him. If firearms owned or by reason of failure to make such return.

93 § 479.152 Penalties (records and stamp should be filed on ATF Form 2635 § 479.182 Forfeitures. returns). (5620.8) with the Director. Such claim shall be accompanied by the stamp or Any firearm involved in any violation of Any person failing to keep records by a satisfactory explanation of the rea- the provisions of 26 U.S.C. Chapter 53, or make returns, or making, or causing sons why the stamp cannot be returned, shall be subject to seizure, and forfeiture the making of, a false entry on any ap- and shall be filed within 3 years after the under the internal revenue laws: Provid- plication, return or record, knowing such purchase of the stamp. ed, however, That the disposition of for- entry to be false, is liable to fine and im- feited firearms shall be in conformance prisonment as provided in section 5871, § 479.172 Refunds. with the requirements of 26 U.S.C. 5872. I.R.C. In addition, any vessel, vehicle or aircraft As indicated in this part, the transfer used to transport, carry, convey or con- Subpart L—Distribution and tax or tax on the making of a firearm ceal or possess any firearm with respect Sale of Stamps is ordinarily paid by the purchase and to which there has been committed any affixing of stamps, while special tax violation of any provision of 26 U.S.C. § 479.161 National Firearms Act stamps are issued in payment of spe- Chapter 53, or the regulations in this stamps. cial (occupational) taxes. However, in part issued pursuant thereto, shall be exceptional cases, transfer tax, tax on subject to seizure and forfeiture under “National Firearms Act” stamps evi- the making of firearms, and/or special the Customs laws, as provided by the dencing payment of the transfer tax or (occupational) tax may be paid pursu- act of August 9, 1939 (49 U.S.C. App., tax on the making of a firearm are main- ant to assessment. Claims for refunds Chapter 11). tained by the Director. The remittance of such taxes, paid pursuant to assess- for purchase of the appropriate tax ment, shall be filed on ATF Form 2635 Subpart O—Other Laws Applicable stamp shall be submitted with the appli- (5620.8) within 3 years next after pay- cation. Upon approval of the application, ment of the taxes. Such claims shall be § 479.191 Applicability of other pro- the Director will cause the appropriate filed with the Chief, National Firearms visions of internal revenue laws. tax to be paid by affixing the appropriate Act Branch serving the region in which stamp to the application. the tax was paid. (For provisions relating All of the provisions of the internal to hand–carried documents and man- revenue laws not inconsistent with the § 479.162 Stamps authorized. ner of filing, see 26 CFR 301.6091–1(b) provisions of 26 U.S.C. Chapter 53 shall and 301.6402–2(a).) When an applicant be applicable with respect to the taxes Adhesive stamps of the $5 and $200 to make or transfer a firearm wishes a imposed by 26 U.S.C. 5801, 5811, and denomination, bearing the words “Na- refund of the tax paid on an approved 5821 (see 26 U.S.C. 5846). tional Firearms Act,” have been prepared application where the firearm was not and only such stamps shall be used for made pursuant to an approved Form 1 § 479.192 Commerce in firearms and the payment of the transfer tax and for (Firearms) or transfer of the firearm did ammunition. the tax on the making of a firearm. not take place pursuant to an approved Form 4 (Firearms), the applicant shall For provisions relating to commerce § 479.163 Reuse of stamps prohibited. file a claim for refund of the tax on ATF in firearms and ammunition, including Form 2635 (5620.8) with the Director. the movement of destructive devices, A stamp once affixed to one document The claim shall be accompanied by the machine guns, short–barreled shotguns, cannot lawfully be removed and affixed approved application bearing the stamp or short–barreled rifles, see 18 U.S.C. to another. Any person willfully reusing and an explanation why the tax liability Chapter 44, and Part 478 of this chapter such a stamp shall be subject to the pen- was not incurred. Such claim shall be issued pursuant thereto. alty prescribed by 26 U.S.C. 7208. filed within 3 years next after payment of the tax. § 479.193 Arms Export Control Act. Subpart M—Redemption of or Allowance for Stamps or Refunds Subpart N—Penalties and For provisions relating to the registra- Forfeitures tion and licensing of persons engaged § 479.171 Redemption of or allow- in the business of manufacturing, im- ance for stamps. § 479.181 Penalties. porting or exporting arms, ammunition, or implements of war, see the Arms Ex- Where a National Firearms Act stamp Any person who violates or fails to port Control Act (22 U.S.C. 2778), and is destroyed, mutilated or rendered use- comply with the requirements of 26 the regulations issued pursuant thereto. less after purchase, and before liability U.S.C. Chapter 53 shall, upon convic- (See also Part 447 of this chapter.) has been incurred, such stamp may be tion, be subject to the penalties imposed redeemed by giving another stamp in under 26 U.S.C. 5871. lieu thereof. Claim for redemption of the

94 Arms Export Control Act, Sec. 38

TITLE 22, UNITED STATES CODE, § 2778

Editor’s Note: (3) In exercising the authorities con- every person (other than an of- ferred by this section, the President ficer or employee of the United With respect to Section 38 of the may require that any defense article States Government acting in of- Arms Export Control Act of 1976 (22 or defense service be sold under this ficial capacity) who engages in U.S.C. 2778), only the importation pro- chapter as a condition of its eligibil- the business of brokering activ- visions are administered by ATF. Export ity for export, and may require that ities with respect to the manu- provisions are administered by the De- persons engaged in the negotiation facture, export, import, or trans- partment of State. Importation regu- for the export of defense articles and fer of any defense article or lations issued under this law are in 27 services keep the President fully and defense service designated by CFR Part 447, and are included in this currently informed of the progress and the President under subsection publication. future prospects of such negotiations. (a)(1) of this section, or in the business of brokering activities § 2778. Control of arms exports and (b) Registration and licensing with respect to the manufac- imports requirements for manufacturers, ture, export, import, or transfer exporters, or importers of desig- of any foreign defense article or (a) Presidential control of exports nated defense articles and defense defense service (as defined in and imports of defense articles and services; exceptions. subclause (IV)), shall register services, guidance of policy, etc.; with the United States Govern- designation of United States Muni- (1) (A) (i) As prescribed in reg- ment agency charged with the tions List; issuance of export licens- ulations issued under this section, administration of this section, es; condition for export; negotiations every person (other than an officer and shall pay a registration fee information. or employee of the United States which shall be prescribed by Government acting in an official such regulations. (1) In furtherance of world peace capacity) who engages in the busi- and the security and foreign policy ness of manufacturing, exporting, (II) Such brokering activi- of the United States, the President or importing any defense articles or ties shall include the financ- is authorized to control the import defense services designated by the ing, transportation, freight and the export of defense articles President under subsection (a)(1) forwarding, or taking of any and defense services and to proof this section shall register with the other action that facilitates vide foreign policy guidance to per- United States Government agency the manufacture, export, or sons of the United States involved charged with the administration of import of a defense article or in the export and import of such ar- this section, and shall pay a registra- defense service. ticles and services. The President is tion fee which shall be prescribed by authorized to designate those items such regulations. Such regulations (III) No person may engage which shall be considered as de- shall prohibit the return to the United in the business of brokering fense articles and defense services States for sale in the United States activities described in sub- for the purposes of this section and (other than for the Armed Forces of clause (I) without a license, to promulgate regulations for the the United States and its allies or for issued in accordance with import and export of such articles any State or local law enforcement this chapter, except that no and services. The items so desig- agency) of any military firearms or license shall be required for nated shall constitute the United ammunition of United States manu- such activities undertaken by States Munitions List. facture furnished to foreign govern- or for an agency of the United ments by the United States under States Government— (2) Decisions on issuing export li- this chapter or any other foreign as- censes under this section shall take sistance or sales program of the Unit- (aa) for use by an agen- into account whether the export of an ed States, whether or not enhanced cy of the United States article would contribute to an arms in value or improved in condition in a Government; or race, aid in the development of weap- foreign country. This prohibition shall ons of mass destruction, support in- not extend to similar firearms that (bb) for carrying out any ternational terrorism, increase the have been so substantially trans- foreign assistance or sales possibility of outbreak or escalation of formed as to become, in effect, arti- program authorized by law conflict, or prejudice the development cles of foreign manufacture. and subject to the control of bilateral or multilateral arms con- of the President by other trol or nonproliferation agreements or (ii)(I) As prescribed in regula- means. other arrangements. tions issued under this section,

95 (IV) For purposes of this made by or for an agency of the Unit- (e) Enforcement powers of Presi- clause, the term “foreign de- ed States Government (A) for official dent. fense article or defense ser- use by a department or agency of the vice” includes any non–United United States Government, or (B) for In carrying out functions under this States defense article or defense carrying out any foreign assistance or section with respect to the export of service of a nature described on sales program authorized by law and defense articles and defense services, the United States Munitions List subject to the control of the President including defense articles and defense regardless of whether such arti- by other means. services exported or imported pursuant cle or service is of United States to a treaty referred to in subsection (j) origin or whether such article or (3)(A) For each of the fiscal (1)(C)(i), the President is authorized to service contains United States years 1988 and 1989, $250,000 exercise the same powers concerning origin components. of registration fees collected pur- violations and enforcement which are suant to paragraph (1) shall be conferred upon departments, agencies (B) The prohibition under such credited to a Department of State and officials by subsections (c), (d), regulations required by the sec- account, to be available without (e), and (g) of section 11 of the Export ond sentence of subparagraph (A) fiscal year limitation. Fees credited Administration Act of 1979 [50 U.S.C. shall not extend to any military fire- to that account shall be available App. 2410(c), (d), (e), and (g)], and by arms (or ammunition, components, only for the payment of expenses subsections (a) and (c) of section 12 of parts, accessories, and attach- incurred for— such Act [50 U.S.C. App. 2411(a) and ments for such firearms) of Unit- (c)], subject to the same terms and con- ed States manufacture furnished (i) contract personnel to assist ditions as are applicable to such powers to any foreign government by the in the evaluation of munitions under such Act [50 U.S.C. App. 2401 et United States under this chapter control license applications, re- seq.], except that section 11(c)(2)(B) of or any other foreign assistance or duce processing time for license such Act shall not apply, and instead, as sales program of the United States applications, and improve mon- prescribed in regulations issued under if— itoring of compliance with the this section, the Secretary of State may terms of licenses; and assess civil penalties for violations of (i) such firearms are among this chapter and regulations prescribed those firearms that the Secre- (ii) the automation of muni- thereunder and further may commence tary of the Treasury is, or was at tions control functions and the a civil action to recover such civil penal- any time, required to authorize processing of munitions control ties, and except further that the names the importation of by reason of license applications, including of the countries and the types and quan- the provisions of section 925(e) the development, procurement, tities of defense articles for which licens- of title 18 (including the require- and utilization of computer es are issued under this section shall ment for the listing of such fire- equipment and related software. not be withheld from public disclosure arms as curios or relics under unless the President determines that section 921(a)(13) of that title); (B) The authority of this para- the release of such information would be and graph may be exercised only to contrary to the national interest. Nothing such extent or in such amounts as in this subsection shall be construed as (ii) such foreign government are provided in advance in appro- authorizing the withholding of informa- certifies to the United States priation Acts. tion from the Congress. Notwithstand- Government that such firearms ing section 11(c) of the Export Admin- are owned by such foreign gov- (c) Criminal violations; punish- istration Act of 1979, the civil penalty ernment. ment. for each violation involving controls imposed on the export of defense articles (C) A copy of each registration Any person who willfully violates any and defense services under this section made under this paragraph shall provision of this section, section 2779 of may not exceed $500,000. be transmitted to the Secretary of this title, a treaty referred to in subsec- the Treasury for review regarding tion (j)(1)(C)(i), or any rule or regulation (f) Periodic review of items on the law enforcement concerns. The issued under this section or section 2779 munitions list; notification regarding Secretary shall report to the Pres- of this title, including any rule or regu- exemption from licensing require- ident regarding such concerns as lation issued to implement or enforce a ments for export of defense items. necessary. treaty referred to in subsection (j)(1)(C) (i) or an implementing arrangement pur- (1) The President shall periodi- (2) Except as otherwise specifical- suant to such treaty, or who willfully, in cally review the items on the United ly provided in regulations issued un- a registration or license application or States Munitions List to determine der subsection (a)(1) of this section, required report, makes any untrue state- what items, if any, no longer warrant no defense articles or defense ser- ment of a material fact or omits to state export controls under this section. vices designated by the President un- a material fact required to be stated The results of such reviews shall be der subsection (a)(1) of this section therein or necessary to make the state- reported to the Speaker of the House may be exported or imported without ments therein not misleading, shall upon of Representatives and to the Com- a license for such export or import, conviction be fined for each violation not mittee on Foreign Relations and the issued in accordance with this chap- more than $1,000,000 or imprisoned not Committee on Banking, Housing, ter and regulations issued under this more than 20 years, or both. and Urban Affairs of the Senate. The chapter, except that no license shall President may not remove any item be required for exports or imports (d) [Repealed] from the Munitions List until 30 days

96 after the date on which the President days after the date on which the Presi- of sufficient documentation relat- has provided notice of the proposed dent has transmitted to the Committee ing to the export of United States removal to the Committee on Interna- on International Relations of the House defense articles, defense services, tional Relations of the House of Rep- of Representatives and the Committee and related technical data to fa- resentatives and to the Committee on on Foreign Relations of the Senate a cilitate law enforcement efforts to Foreign Relations of the Senate in ac- notification that includes— detect, prevent, and prosecute cordance with the procedures appli- criminal violations of any provi- cable to reprogramming notifications (A) a description of the scope sion of this chapter, including the under section 2394–1(a) of this title. of the exemption, including a de- efforts on the part of countries and Such notice shall describe the nature tailed summary of the defense arti- factions engaged in international of any controls to be imposed on that cles, defense services, and related terrorism to illicitly acquire sophisti- item under any other provision of law. technical data covered by the ex- cated United States defense items. emption; and (2) The President may not authorize (3) Paragraph (2) shall not apply an exemption for a foreign country from (B) a determination by the At- with respect to an exemption for Can- the licensing requirements of this chap- torney General that the bilateral ada from the licensing requirements ter for the export of defense items un- agreement concluded under sub- of this chapter for the export of de- der subsection (j) of this section or any section (j) of this section requires fense items. other provision of this chapter until 30 the compilation and maintenance

97 TITLE 27 CFR CHAPTER II

PART 447—IMPORTATION OF ARMS, AMMUNITION AND IMPLEMENTS OF WAR (This section was formerly designated as Part 47)

Subpart A—Scope Subpart F—Miscellaneous refer to the export and temporary import Provisions control list set out by the Department of § 447.1 General. State in its International Traffic in Arms § 447.51 Import certification and Regulations as the USML. Part 447 con- § 447.2 Relation to other laws and delivery verification. tains the USMIL and includes procedural regulations. and administrative requirements relating § 447.52 Import restrictions applica- to registration of importers, permits, arti- Subpart B—Definitions ble to certain countries. cles in transit, import certification, delivery verification, import restrictions applicable § 447.11 Meaning of terms. § 447.53 Exemptions. to certain countries, exemptions, U.S. military firearms and ammunition, penalties, Subpart C—The U.S. Munitions § 447.54 Administrative procedures seizures, and forfeitures. The President’s Import List inapplicable. delegation of permanent import control authorities to the Attorney General pro- § 447.55 Departments of State and § 447.21 The U.S. Munitions Import vides the Attorney General the authority Defense consulted. List. to assess whether controls are justified, but in designating the defense articles and § 447.22 Forgings, castings, and § 447.56 Authority of Customs offi- defense services set out in the USMIL the machined bodies. cers. Attorney General shall be guided by the views of the Secretary of State on matters Subpart D—Registration § 447.57 U.S. military defense articles. affecting world peace and the external § 447.31 Registration requirement. § 447.58 Delegations of the Director. security and foreign policy of the United States. All designations and changes in § 447.32 Application for registration Subpart G—Penalties, Seizures and designations of defense articles and de- and refund of fee. Forfeitures fense services subject to permanent import control under this part must have the § 447.33 Notification of changes in § 447.61 Unlawful importation. concurrence of the Secretary of State and information furnished by the Secretary of Defense, with notice giv- registrants. § 447.62 False statements or con- en to the Secretary of Commerce. cealment of facts. § 447.34 Maintenance of records by § 447.2 Relation to other laws and persons required to register § 447.63 Seizure and forfeiture. regulations. as importers of Import List articles. (a) All of those items on the U.S. Muni- Subpart A—Scope tions Import List (see §447.21) which are § 447.35 Forms prescribed. “firearms” or “ammunition” as defined § 447.1 General. in 18 U.S.C. 921(a) are subject to the in- Subpart E—Permits terstate and foreign commerce controls The regulations in this part relate to that contained in Chapter 44 of Title 18 U.S.C. § 447.41 Permit requirement. portion of section 38 of the Arms Export and 27 CFR Part 478 and if they are “fire- Control Act of 1976, as amended, autho- arms” within the definition set out in 26 § 447.42 Application for permit. rizing the President to designate defense U.S.C. 5845(a) are also subject to the provisions of 27 CFR Part 479. Any per- § 447.43 Terms of permit. articles and defense services as part of the United States Munitions List (USML) for son engaged in the business of importing purposes of import and export controls. To firearms or ammunition as defined in 18 § 447.44 Permit denial, revocation or U.S.C. 921(a) must obtain a license under suspension. distinguish the list of defense articles and defense services controlled in this part for the provisions of 27 CFR Part 478, and if he imports firearms which fall within the § 447.45 Importation. purposes of permanent import from the list of defense articles and defense services definition of 26 U.S.C. 5845(a) must also § 447.46 Articles in transit. controlled by the Secretary of State for register and pay special tax pursuant to purposes of export and temporary import, the provisions of 27 CFR Part 479. Such this part shall refer to the defense articles licensing, registration and special tax re- and defense services controlled for pur- quirements are in addition to registration poses of permanent import as the U.S. under subpart D of this part. Munitions Import List (USMIL) and shall

98 (b) The permit procedures of subpart Carbine. A short-barrelled rifle whose shall not include intransit, temporary im- E of this part are applicable to all impor- barrel is generally not longer than 22 inch- port or temporary export transactions sub- tations of articles on the U.S. Munitions es and is characterized by light weight. ject to Department of State controls under Import List not subject to controls under Title 22, Code of Federal Regulations. 27 CFR Part 478 or 479. U.S. Munitions CFR. The Code of Federal Regulations. Import List articles subject to controls Import List. The list of articles con- under 27 CFR Part 478 or 27 CFR Part Chemical agent. A substance useful tained in § 447.21 and identified therein 479 are subject to the import permit pro- in war which, by its ordinary and direct as “The U.S. Munitions Import List”. cedures of those regulations if imported chemical action, produces a powerful into the United States (within the mean- physiological effect. Machinegun. A “machinegun,” ing of 27 CFR Parts 478 and 479). “machine pistol,” “submachinegun,” Defense articles. Any item desig- or “automatic rifle” is a firearm original- (c) Articles on the U.S. Munitions Im- nated in §447.21 or §447.22. This term ly designed to fire, or capable of being port List imported for the United States or includes models, mockups, and other fired fully automatically by a single pull any State or political subdivision thereof such items which reveal technical data of the trigger. are exempt from the import controls of 27 directly relating to §447.21 or §447.22. CFR Part 478 but are not exempt from Permit. The same as “license” for control under Section 38, Arms Export Defense services. (a) The furnishing purposes of 22 U.S.C. 1934(c). Control Act of 1976, unless imported by of assistance, including training, to for- the United States or any agency there- eign persons in the design, engineering, Person. A partnership, company, as- of. All such importations not imported by development, production, processing, sociation, or corporation, as well as a the United States or any agency thereof manufacture, use, operation, overhaul, natural person. shall be subject to the import permit pro- repair, maintenance, modification, or re- cedures of subpart E of this part. construction of defense articles, whether Pistol. A hand-operated firearm hav- in the United States or abroad; or ing a chamber integral with, or perma- (d) For provisions requiring the regis- nently aligned with, the bore. tration of persons engaged in the busi- (b) The furnishing to foreign persons ness of brokering activities with respect of any technical data, whether in the Revolver. A hand-operated firearm to the importation of any defense article United States or abroad. with a revolving cylinder containing or defense service, see Department of chambers for individual cartridges. State regulations in 22 CFR part 129. Director. The Director, Bureau of Alcohol, Tobacco, Firearms and Explo- Rifle. A shoulder firearm discharging Subpart B—Definitions sives, the Department of Justice, Wash- bullets through a rifled barrel at least 16 ington, DC 20226. inches in length, including combination § 447.11 Meaning of terms. and drilling guns. Executed under the penalties of per- When used in this part and in forms jury. Signed with the prescribed declaration Sporting type sight including opti- prescribed under this part, where not under the penalties of perjury as provided cal. A telescopic sight suitable for day- otherwise distinctly expressed or mani- on or with respect to the application, form, light use on a rifle, shotgun, pistol, or festly incompatible with the intent thereof, or other document or, where no form of dec- revolver for hunting or target shooting. terms shall have the meanings ascribed laration is prescribed, with the declaration: in this section. Words in the plural form “I declare under the penalties of perjury This chapter. Title 27, Code of Fed- shall include the singular, and vice versa, that this ______(insert type of eral Regulations, Chapter II (27 CFR and words imparting the masculine gen- document such as statement, certifi- Chapter II). der shall include the feminine. The terms cate, application, or other document), “includes” and “including” do not ex- including the documents submitted in United States. When used in the clude other things not enumerated which support thereof, has been examined by geographical sense, includes the sever- are in the same general class or are oth- me and, to best of my knowledge and al States, the Commonwealth of Puer- erwise within the scope thereof. belief, is true, correct, and complete.” to Rico, the insular possessions of the United States, the District of Columbia, Appropriate ATF officer. An offi- Firearms. A weapon, and all com- and any territory over which the United cer or employee of the Bureau of Alco- ponents and parts therefor, not over.50 States exercises any powers of adminis- hol, Tobacco, Firearms and Explosives caliber which will or is designed to or tration, legislation, and jurisdiction. (ATF) specified by ATF Order 1130.34, may be readily converted to expel a pro- Delegation of the Director’s Authorities jectile by the action of an explosive, but (26 U.S.C. 7805 (68A Stat. 917), 27 U.S.C. in 27 CFR Part 447, Importation of Arms, shall not include BB and pellet guns, and 205 (49 Stat. 981 as amended), 18 U.S.C. Ammunition and Implements of War. muzzle loading (black powder) firearms 926 (82 Stat. 959), and sec. 38, Arms Export (including any firearm with a matchlock, Control Act (22 U.S.C. 2778, 90 Stat. 744)) Article. Any of the defense articles flintlock, percussion cap, or similar type enumerated in the U.S. Munitions Import of ignition system) or firearms covered Subpart C—The U.S. Munitions List (USMIL). by Category I(a) established to have Import List been manufactured in or before 1898. Bureau. Bureau of Alcohol, Tobacco, § 447.21 The U.S. Munitions Import List. Firearms and Explosives, the Depart- Import or importation. Bringing into ment of Justice. the United States from a foreign country The following defense articles and de- any of the articles on the Import List, but fense services, designated pursuant to

99 section 38(a) of the Arms Export Control boosters, fuzes and components there- nents or modified components, parts, Act, 22 U.S.C. 2778(a), and E.O. 13637 for, primers, and other detonating devic- accessories, attachments, and associ- are subject to controls under this part. For es for such ammunition. ated equipment for the articles in this purposes of this part, the list shall be known category. as the U.S. Munitions Import List (USMIL): (c) [Reserved] Note: Military demolition blocks and blast- THE U.S. MUNITIONS IMPORT LIST (d) [Reserved] ing caps referred to in Category IV(a) do not CATEGORY I—FIREARMS include the following articles: Note: Cartridge and shell casings are in- (a) Nonautomatic and semiauto- cluded under Category III unless, prior to their (a) Electric squibs. matic firearms, to caliber .50 inclusive, importation, they have been rendered use- (b) No. 6 and No. 8 blasting caps, includ- combat shotguns, and shotguns with less beyond the possibility of restoration for ing electric ones. barrels less than 18 inches in length, use as a cartridge or shell casing by means of (c) Delay electric blasting caps (including and all components and parts for such heating, flame treatment, mangling, crushing, No. 6 and No. 8 millisecond ones). firearms. cutting, or popping. (d) Seismograph electric blasting caps (including SSS, Static-Master, Vibrocap SR, (b) Automatic firearms and all com- CATEGORY IV—LAUNCH VEHICLES, and SEISMO SR). ponents and parts for such firearms to GUIDED MISSILES, BALLISTIC (e) Oil well perforating devices. caliber .50 inclusive. MISSILES, ROCKETS, TORPEDOES, BOMBS AND MINES CATEGORY V [Reserved] (c) Insurgency-counterinsurgency type firearms of other weapons having (a) Rockets (including but not limited CATEGORY VI—VESSELS OF WAR a special military application (e.g. close to meteorological and other sounding AND SPECIAL NAVAL EQUIPMENT assault weapons systems) regardless rockets), bombs, grenades, torpedoes, of caliber and all components and parts depth charges, land and naval mines, (a) Vessels of War, if they are armed for such firearms. as well as launchers for such defense and equipped with offensive or defen- articles, and demolition blocks and sive weapon systems, including but not (d) Firearms silencers and suppres- blasting caps. limited to amphibious warfare vessels, sors, including flash suppressors. landing craft, mine warfare vessels, pa- (b) Launch vehicles and missile and trol vessels, auxiliary vessels, service (e) [Reserved] anti-missile systems including but not craft, experimental types of naval ships, limited to guided, tactical and strategic and any vessels specifically designed or Note: Rifles, carbines, revolvers, and pis- missiles, launchers, and systems. modified for military purposes or other tols, to caliber .50 inclusive, combat shotguns, surface vessels equipped with offensive and shotguns with barrels less than 18 inches (c) Apparatus, devices, and mate- or defensive military systems. in length are included under Category I(a). Ma- rials for the handling, control, activa- chineguns, submachineguns, machine pistols tion, monitoring, detection, protec- (b) Turrets and gun mounts, special and fully automatic rifles to caliber .50 inclu- tion, discharge, or detonation of the weapons systems, protective systems, sive are included under Category I(b). articles in paragraphs (a) and (b) of and other components, parts, attach- this category. Articles in this category ments, and accessories specifically de- CATEGORY II—ARTILLERY PRO- include, but are not limited to, the fol- signed or modified for such articles on JECTORS lowing: Fuses and components for the combatant vessels. items in this category, bomb racks and (a) Guns over caliber .50, howitzers, shackles, bomb shackle release units, (c)-(d)[Reserved] mortars, and recoiless rifles. bomb ejectors, torpedo tubes, torpedo and guided missile boosters, guidance (e) Naval nuclear propulsion plants, (b) Military flamethrowers and pro- system equipment and parts, launch- their land prototypes and special facilities jectors. ing racks and projectors, pistols (ex- for their construction, support and main- ploders), igniters, fuze arming devic- tenance. This includes any machinery, (c) Components, parts, accesso- es, intervalometers, guided missile device, component, or equipment specif- ries, and attachments for the articles in launchers and specialized handling ically developed or designed or modified paragraphs (a) and (b) of this category, equipment, and hardened missile for use in such plants or facilities. including but not limited to mounts and launching facilities. carriages for these articles. Note: The term “vessels of war” includes, (d) Missile and space vehicle power- but is not limited to, the following, if armed CATEGORY III—AMMUNITION plants. and equipped with offensive or defensive weapons systems:”. (a) Ammunition for the arms in Cate- (e) Military explosive excavating de- gories I and II of this section. vices. (a) Combatant vessels: (1) Warships (including nuclear-powered (b) Components, parts, accessories, (f) [Reserved] versions): and attachments for articles in para- (i) Aircraft carriers (CV, CVN) graph (a) of this category, including but (g) Non/nuclear warheads for rockets (ii) Battleships (BB) not limited to cartridge cases, powder and guided missiles. (iii) Cruisers (CA, CG, CGN) bags, bullets, jackets, cores, shells (iv) Destroyers (DD, DDG) (excluding shotgun shells), projectiles, (h) All specifically designed compo- (v) Frigates (FF, FFG)

100 (vi) Submarines (SS, SSN, SSBN, CATEGORY VII—TANKS AND MILI- (iii) A control system; SSG, SSAG). TARY VEHICLES (2) Other Combatant Classifications: (9) Fire control computers, stored (i) Patrol Combatants (PC, PHM) (a) Military type armed or armored management systems, armaments (ii) Amphibious Helicopter/Landing vehicles, military railway trains, and ve- control processors, vehicle weapon Craft Carriers (LHA, LPD, LPH) hicles specifically designed or modified interface units and computers; (iii) Amphibious Landing Craft Carri- to accommodate mountings for arms or ers (LKA, LPA, LSD, LST) other specialized military equipment or (10) Electro-optical sighting sys- (iv) Amphibious Command Ships fitted with such items. tems; and (LCC) (v) Mine Warfare Ships (MSO). (b) Military tanks, combat engineer (11) Laser rangefinder or target (b) Auxiliaries: vehicles, bridge launching vehicles, designating devices. (1) Mobile Logistics Support: halftracks and gun carriers. (i) Under way Replenishment (AD, (i) Other ground vehicles having all of AF, AFS, AO, AOE, AOR) (c) Self-propelled guns and howitzers. the following: (ii) Material Support (AD, AR, AS). (2) Support Ships: (d)-(e) [Reserved] (1) Manufactured or fitted with (i) Fleet Support Ships (ARS, ASR, materials or components to provide ATA, ATF, ATS) (f) Amphibious vehicles. ballistic protection to level III (NIJ (ii) Other Auxiliaries (AG, AGDS, 0108.01, September 1985) or better; AGF, AGM, AGOR, AGOS, AGS, AH, (g) Reserved] AK, AKR, AOG, AOT, AP, APB, ARC, (2) A transmission to provide drive ARL, AVM, AVT). (h) Tank and military vehicle parts, to both front and rear wheels simul- (c) Combatant Craft: components, accessories, attachments, taneously, including those vehicles (1) Patrol Craft: and associated equipment for offensive having additional wheels for load (i) Coastal Patrol Combatants (PB, or defensive systems for the articles in bearing purposes whether driven or PCF, PCH, PTF) this category, as follows: not; (ii) River, Roadstead Craft (ATC, PBR). (1) Armored hulls, armored turrets (3) Gross Vehicle Weight Rating (2) Amphibious Warfare Craft: and turret support rings; (GVWR) greater than 4,500 kg; and (i) Landing Craft (AALC, LCAC, LCM, LCPL, LCPR, LCU, LWT, SLWT) (2) Active protection systems (i.e., (4) Designed or modified for off- (ii) Special Warfare Craft (LSSC, defensive systems that actively de- road use. MSSC, SDV, SWCL, SWCM). tect and track incoming threats and (3) Mine Warfare Craft: launch a ballistic, explosive, ener- Note: An “amphibious vehicle” in Cat- (i) Mine Countermeasures Craft gy or electromagnetic countermea- egory VII(f) is a vehicle or chassis that is (MSB, MSD, MSI, MSM, MSR). sure(s) to neutralize the threat prior equipped to meet special military require- (d) Support and Service Craft: to contact with a vehicle); ments, and that is designed or adapted for (1) Tugs (YTB, YTL, YTM) operation on or under water, as well as on (2) Tankers (YO, YOG, YW) (3) Composite armor parts and land. (3) Lighters (YC, YCF, YCV, YF, YFN, components; YFNB, YFNX, YFR, YFRN, YFU, YG, Note: Engines and engine parts are not in- YGN, YOGN, YON, YOS, YSR, YWN) (4) Spaced armor components and cluded in paragraph (h) of Category VII. (4) Floating Dry Docks (AFDB, AFDL, parts, including slat armor parts and AFDM, ARD, ARDM, YFD) components; Note: Paragraph (i) of Category VII does (5) Miscellaneous (APL, DSRV, DSV, not apply to civil vehicles designed or modi- IX, NR, YAG, YD, YDT, YFB, YFND, YEP, (5) Reactive armor and components; fied for transporting money or valuables. YFRT, YHLC, YM, YNG, YP, YPD, YR, YRB, YRBN, YRDH, YRDM, YRR, YRST, (6) Electromagnetic armor parts and CATEGORY VIII—AIRCRAFT AND YSD). components, including pulsed power; ASSOCIATED EQUIPMENT (e) Coast Guard Patrol and Service Vessels and Craft: (7) Gun mount, stabilization, turret (a) Aircraft, including but not limit- (1) Coast Guard Cutters (CGC, WHEC, drive, and automatic elevating systems; ed to helicopters, non-expansive bal- WMEC) loons, drones and lighter-than-air air- (2) Patrol Craft (WPB) (8) Kits specifically designed to craft, which are specifically designed, (3) Icebreakers (WAGB) convert a vehicle in this category modified, or equipped for military pur- (4) Oceanography Vessels (WAGO) into either an unmanned or a driv- poses. This includes but is not limit- (5) Special Vessels (WIX) er-optional vehicle. For a kit to be ed to the following military purposes: (6) Buoy Tenders (WLB, WLM, WLI, controlled by this paragraph it must gunnery, bombing, rocket or missile WLR, WLIC) include all of the following: launching, electronic and other sur- (7) Tugs (WYTM, WYTL) veillance, reconnaissance, refueling, (8) Light Ships (WLV). (i) Remote or autonomous aerial mapping, military liaison, cargo steering; carrying or dropping, personnel dropping, airborne warning and control, (ii) Acceleration and braking; and military training. and

101 (b) [Reserved] (2) Bis(dichlorethyl) sulphide (Mustard (b) Submersible vessels, manned Gas, HD or H). or unmanned, designed or modified Note: In Category VIII, “aircraft” means (3) Ethyldichloroarsine (ED). in whole or in part from technology aircraft designed, modified, or equipped (4) Methyldichloroarsine (MD). developed by or for the U.S. Armed for a military purpose, including aircraft (c) Lachrymators and tear gases: Forces. described as “demilitarized.” All aircraft (1) A-Brombenzyl cyanide (BBC). bearing an original military designation (2) Chloroacetophenone (CN). (c) Any of the articles in Category VI are included in Category VIII. However, (3) Dibromodimethyl ether. and elsewhere in this part specifically the following aircraft are not so included (4) Dichlorodimethyl ether (ClCi). designed or modified for use with sub- so long as they have not been specifically (5) Ethyldibromoarsine. mersible vessels, and oceanographic or equipped, reequipped, or modified for mil- (6) Phenylcarbylamine chloride. associated equipment assigned a mili- itary operations: (7) Tear gas solutions (CNB and CNS). tary designation. (8) Tear gas orthochlorobenzalmalono- (a) Cargo aircraft bearing “C” designations nitrile (CS). (d) Equipment, components, parts, and numbered C-45 through C-118 inclusive, (d) Sternutators and irritant smokes: accessories, and attachments specif- and C-121 through C-125 inclusive, and (1) Diphenylamine chloroarsine (Adam- ically designed for any of the articles C-131, using reciprocating engines only. site, DM). in paragraphs (a) and (b) of this cat- (b) Trainer aircraft bearing “T” designa- (2) Diphenylchloroarsine (BA). egory. tions and using reciprocating engines or (3) Liquid pepper. turboprop engines with less than 600 horse- (e) Nerve agents, gases, and aerosols. CATEGORY XXI—MISCELLANEOUS power (s.h.p.). These are toxic compounds which affect the ARTICLES (c) Utility aircraft bearing “U” designations nervous system, such as: and using reciprocating engines only. (1) Dimethylaminoethoxycyanophos- Any defense article or defense ser- (d) All liaison aircraft bearing an “L” des- phine oxide (GA). vice not specifically enumerated in the ignation. (2) Methylisopropoxyfluorophosphine other categories of the USMIL that has (e) All observation aircraft bearing “O” des- oxide (GB). substantial military applicability and that ignations and using reciprocating engines. (3) Methylpinacolyloxyfluoriphosphine has been specifically designed or mod- oxide (GD). ified for military purposes. The decision CATEGORIES IX—XIII [Reserved] (f) Antiplant chemicals, such as: Butyl as to whether any article may be includ- 2-chloro-4-fluorophenoxyacetate (LNF). ed in this category shall be made by the CATEGORY XIV—TOXICOLOGICAL Attorney General with the concurrence AGENTS AND EQUIPMENT AND CATEGORY XV [Reserved] of the Secretary of State and the Secre- RADIOLOGICAL EQUIPMENT tary of Defense. CATEGORY XVI—NUCLEAR WEAP- (a) Chemical agents, including but ONS DESIGN AND TEST EQUIP- § 447.22 Forgings, castings, and not limited to lung irritants, vesicants, MENT machined bodies. lachrymators, and tear gases (except tear gas formulations containing 1% or (a) [Reserved] Articles on the U.S. Munitions Import less CN or CS), sternutators and irritant List include articles in a partially com- smoke, and nerve gases and incapaci- (b) Modeling or simulation tools that pleted state (such as forgings, castings, tating agents. model or simulate the environments extrusions, and machined bodies) which generated by nuclear detonations or the have reached a stage in manufacture (b) [Reserved] effects of these environments on sys- where they are clearly identifiable as tems, subsystems, components, struc- defense articles. If the end-item is an ar- (c) All specifically designed or tures, or humans. ticle on the U.S. Munitions Import List, modified equipment, including compon- (including components, accessories, at- ents, parts, accessories, and attach- Note: Category XVI does not include tachments and parts) then the particular ments for disseminating the articles in equipment, technical data, or services con- forging, casting, extrusion, machined paragraph (a) of this category. trolled by the Department of Energy pursuant body, etc., is considered a defense ar- (d)-(e) [Reserved] to the Atomic Energy Act of 1954, as amend- ticle subject to the controls of this part, ed, and the Nuclear Non-Proliferation Act of except for such items as are in normal Note: A chemical agent in Category XIV(a) 1978, as amended, or are government trans- commercial use. is a substance having military application fers authorized pursuant to these Acts. which by its ordinary and direct chemical ac- Subpart D—Registration tion produces a powerful physiological effect. CATEGORY XVII—XIX [Reserved] The term “chemical agent” includes, but is not § 447.31 Registration requirement. limited to, the following chemical compounds: CATEGORY XX—SUBMERSIBLE VESSELS, OCEANOGRAPHIC AND Persons engaged in the business, in (a) Lung irritants: ASSOCIATED EQUIPMENT the United States, of importing articles (1) Diphenylcyanoarsine (DC). enumerated on the U.S. Munitions Im- (2) Fluorine (but not fluorene). (a) Submersible vessels, manned and port List must register by making an ap- (3) Trichloronitro methane (chloropicrin unmanned, designed or modified for mil- plication on ATF Form 4587. PS). itary purposes or having independent (b) Vesicants: capability to maneuver vertically or hor- § 447.32 Application for registration (1) B-Chlorovinyldichloroarsine (Lew- izontally at depths below 1,000 feet, or and refund of fee. isite, L). powered by nuclear propulsion plants.

102 (a) Application for registration must be ate ATF officer may prescribe a longer or (frames) or complete breech mecha- filed on ATF Form 4587 and must be ac- shorter period in individual cases as such nisms, when the total value does not companied by the registration fee at the officer deems necessary. See §478.129 exceed $100 wholesale in any single rate prescribed in this section. The appro- of this chapter for articles subject to import transaction. priate ATF officer will approve the applica- control under part 478 of this chapter. tion and return the original to the applicant. § 447.42 Application for permit. (Approved by the Office of Management and 1 year ��$250 Budget under control number 1140-0032) (a)(1) Persons required to obtain a per- 2 years ��$500 mit as provided in §447.41 must file a Form 2 years ��$700 § 447.35 Forms prescribed. 6—Part I. The application must be signed 4 years ��$850 and dated and must contain the informa- (a) The appropriate ATF officer is au- tion requested on the form, including: 5 years ��$1,000 thorized to prescribe all forms required by this part. All of the information called for (i) The name, address, tele- (b) Registration may be effected for in each form shall be furnished as indicat- phone number, license and reg- periods of from 1 to 5 years at the option ed by the headings on the form and the istration number, if any (including of the registrant by identifying on Form instructions on or pertaining to the form. expiration date) of the importer; 4587 the period of registration desired. In addition, information called for in each The registration fees are as follows: form shall be furnished as required by this (ii) The country from which the part. The form will be filed in accordance defense article is to be imported; (c) Fees paid in advance for whole with the instructions for the form. future years of a multiple year regis- (iii) The name and address of the tration will be refunded upon request if (b) Forms may be requested from foreign seller and foreign shipper; the registrant ceases to engage in im- the ATF Distribution Center (http:// porting articles on the U.S. Munitions www.atf.gov)or by calling (703) 870- (iv) A description of the defense Import List. A request for a refund 7526 or (703) 870-7528. article to be imported, including— must be submitted to the appropriate ATF officer at the Bureau of Alcohol, Subpart E—Permits (A) The name and address of Tobacco, Firearms and Explosives, the manufacturer; Martinsburg, WV 25405, prior to the § 447.41 Permit requirement. beginning of any year for which a re- (B) The type (e.g., rifle, shot- fund is claimed. (a) Articles on the U.S. Munitions Import gun, pistol, revolver, aircraft, List will not be imported into the United vessel, and in the case of am- (Approved by the Office of Management and States except pursuant to a permit under munition only, ball, wadcutter, Budget under control number 1140-0009) this subpart. For articles subject to control shot, etc.); under parts 478 or 479 of this chapter, a § 447.33 Notification of changes in separate permit is not necessary. (C) The caliber, gauge, or size; information furnished by registrants. (b) Articles on the U.S. Munitions Im- (D) The model; Registered persons shall notify the port List intended for the United States appropriate ATF officer in writing, in or any State or political subdivision there- (E) The length of barrel, if any duplicate, of significant changes in the of, or the District of Columbia, which are (in inches); information set forth in their registration exempt from import controls of 27 CFR 478.115 shall not be imported into the (F) The overall length, if a fire- (Approved by the Office of Management and United States, except by the United arm (in inches); Budget under control number 1140-0009) States or agency thereof, without first obtaining a permit under this subpart. (G) The serial number, if known; § 447.34 Maintenance of records by persons required to register as (c) A permit is not required for the im- (H) Whether the defense arti- importers of Import List articles. portation of— cle is new or used;

(a) Registrants under this part en- (1)(i) The U.S. Munitions Import (I) The quantity; gaged in the business of importing ar- List articles from Canada, except articles subject to controls under 27 CFR ticles enumerated in Categories I, II, (J) The unit cost of the fire- Parts 478 and 479 shall maintain re- III, IV, VI(e), VIII(a), XVI, and XX; and arm, firearm barrel, ammunition, cords in accordance with the applicable or other defense article to be im- provisions of those parts. (ii) Nuclear weapons strategic ported; delivery systems and all specifi- (b) Registrants under this part engaged cally designed components, parts, (K) The category of U.S. Mu- in importing articles on the U.S. Munitions accessories, attachments, and as- nitions Import List under which Import List subject to the permit procedures sociated equipment thereof (see the article is regulated; of subpart E of this part must maintain for a Category XXI); or period of 6 years records bearing on such (v) The specific purpose of im- articles imported, including records con- (2) Minor components and parts portation, including final recipient cerning their acquisition and disposition, for Category I(a) and I(b) firearms, information if different from the im- including Forms 6 and 6A. The appropri- except barrels, cylinders, receivers porter; and

103 (vi) Certification of origin. suspended, or revised, the applicant or release from Customs custody, the im- permittee shall be promptly advised in porter of the articles released will for- (2) (i) If the appropriate ATF officer writing of the appropriate ATF officer’s ward to the address specified on the approves the application, such ap- decision and the reasons therefor. form a copy of Form 6A on which will proved application will serve as the be reported any error or discrepancy permit to import the defense article (c) Upon written request made within appearing on the Form 6A certified by described therein, and importation of 30 days after receipt of an adverse deci- Customs and serial numbers if not pre- such defense article may continue to sion, the applicant or permittee shall be viously provided on ATF Form 6A. be made by the licensed/registered accorded an opportunity to present addi- importer (if applicable) under the ap- tional information and to have a full review (Approved by the Office of Management and proved application (permit) during the of his case by the appropriate ATF officer. Budget under control number 1140-0007) period specified thereon. The appropriate ATF officer will furnish the ap- (d) Unused, expired, suspended, or § 447.46 Articles in transit. proved application (permit) to the ap- revoked permits must be returned im- plicant and retain two copies thereof mediately to the appropriate ATF officer. Articles subject to the import permit for administrative use. procedures of this subpart which enter § 447.45 Importation. the United States for temporary deposit (ii) If the Director disapproves the pending removal therefrom and such ar- application, the licensed/registered (a) Articles subject to the import permit ticles which are temporarily taken out of importer (if applicable) will be noti- procedures of this subpart imported into the United States for return thereto shall fied of the basis for the disapproval. the United States may be released from be regarded as in transit and will be con- Customs custody to the person autho- sidered neither imported nor exported (b) For additional requirements relat- rized to import same upon his showing under this part. Such transactions are ing to the importation of plastic explo- that he has a permit for the importation subject to the Intransit or Temporary Ex- sives into the United States on or after of the article or articles to be released. port License procedures of the Depart- April 24, 1997, see §555.183 of this title. For articles in Categories I and III import- ment of State (see 22 CFR Part 123). ed by a registered importer, the importer (Approved by the Office of Management and will also submit to Customs a copy of the Subpart F—Miscellaneous Provi- Budget under control number 1140-0005) export license authorizing the export of sions the article or articles from the exporting § 447.43 Terms of permit. country. If the exporting country does not § 447.51 Import certification and require issuance of an export license, the delivery verification. (a) Import permits issued under this importer must submit a certification, un- subpart are valid for two years from their der penalty of perjury, to that effect. Pursuant to agreement with the Unit- issuance date unless a different period ed States, certain foreign countries are of validity is stated thereon. They are (1) In obtaining the release from entitled to request certification of legal- not transferable. Customs custody of an article import- ity of importation of articles on the U.S. ed pursuant to a permit, the permit Munitions Import List. Upon request of (b) If shipment cannot be completed holder will prepare and file Form 6A a foreign government, the appropriate during the period of validity of the per- according to its instructions. ATF officer will certify the importation, mit, another application must be sub- on Form ITA-645P/ATF-4522/DSP53, mitted for permit to cover the unshipped (2) The ATF Form 6A must confor the U.S. importer. Normally, the U.S. balance. Such an application shall tain the information requested on the importer will submit this form at the make reference to the previous permit form, including: time he applies for an import permit. and may include materials in addition to This document will serve as evidence the unshipped balance. (i) The name, address, and license to the government of the exporting number (if any) of the importer; company that the U.S. importer has (c) No amendments or alteration of a complied with import regulations of the permit may be made, except by the ap- (ii) The name of the manufactur- U.S. Government and is prohibited from propriate ATF officer. er of the defense article; diverting, transshipping, or reexporting the material described therein without § 447.44 Permit denial, revocation or (iii) The country of manufacture; the approval of the U.S. Government. suspension. Foreign governments may also require (iv) The type; documentation attesting to the delivery (a) Import permits under this subpart of the material into the United States. may be denied, revoked, suspended (v) The model; When such delivery certification is re- or revised without prior notice whenev- quested by a foreign government, the er the appropriate ATF officer finds the (vi) The caliber, gauge, or size; U.S. importer may obtain directly from proposed importation to be inconsistent the U.S. District Director of Customs with the purpose or in violation of sec- (vii) The serial number in the the authenticated Delivery Verification tion 38, Arms Export Control Act of 1976 case of firearms, if known; and Certificate (U.S. Department of Com- or the regulations in this part. merce Form ITA-647P) for this purpose. (viii) The number of defense ar- (b) Whenever, after appropriate con- ticles released. (Approved by the Office of Management and sideration, a permit application is denied Budget under control number 0625-0064) or an outstanding permit is revoked, (b) Within 15 days of the date of their

104 § 447.52 Import restrictions applica- (ii) Rifles: Editor’s Note: ble to certain countries. (A) BARS-4 Bolt Action Car- This list has been modified. The reg- (a) It is the policy of the United States bine. ulation will be amended to formally in- to deny licenses and other approvals with corporate the revised list. The current respect to defense articles and defense (B) Biathlon Target Rifle, list of affected firearms is available at services originating in certain countries .22LR caliber. www.ATF.gov. or areas. This policy applies to Afghan- istan, Belarus (one of the states com- (C) British Enfield Rifle. (2) Ammunition located or manufac- posing the former Soviet Union), Cuba, tured in Georgia, Kazakstan, Kyrgyz- Iran, Iraq, Libya, Mongolia, North Korea, (D) CM2, .22 caliber Target Rifle stan, Moldova, Russian Federation, Sudan, Syria, and Vietnam. This policy (also known as SM2, 22 caliber). Turkmenistan, Ukraine, or Uzbeki- applies to countries or areas with respect stan, and ammunition previously man- to which the United States maintains an (E) German Model 98K Rifle. ufactured in the Soviet Union, that is arms embargo (e.g., Burma, China, the 7.62×25mm caliber (also known as Democratic Republic of the Congo, Haiti, (F) German Model G41 Rifle. 7.63×25mm caliber or .30 Mauser); or Liberia, Rwanda, Somalia, Sudan, and UNITA (Angola)). It also applies when (G) German Model G43 Rifle. (3) A type of firearm the manufacture an import would not be in furtherance of of which began after February 9, 1996. world peace and the security and foreign (H) IZH-94. policy of the United States. (c) The provisions of paragraph (b) of (I) LOS-7 Bolt Action Rifle. this section shall not affect the fulfillment Note: Changes in foreign policy may result of contracts with respect to firearms or in additions to and deletions from the above (J) MC-7-07. ammunition entered or withdrawn from list of countries. The ATF will publish changes warehouse for consumption in the Unit- to this list in the Federal Register. Contact the (K) MC-18-3. ed States on or before February 9, 1996. Firearms and Explosives Imports Branch at (304) 616-4550 for current information. (L) MC-19-07. (d) A defense article authorized for importation under this part may not be (b) Notwithstanding paragraph (a) of (M) MC-105-01. shipped on a vessel, aircraft or other this section, the appropriate ATF officer means or conveyance which is owned shall deny applications to import into the (N) MC-112-02. or operated by, or leased to or from, any United States the following firearms and of the countries or areas covered by ammunition: (O) MC-113-02. paragraph (a) of this section.

(1) Any firearm located or man- (P) MC-115-1. (e) Applications for permits to import ufactured in Georgia, Kazakstan, articles that were manufactured in, or Kyrgyzstan, Moldova, Russian Fed- (Q) MC-125/127. have been in, a country or area pro- eration, Turkmenistan, Ukraine, or scribed under this section may be ap- Uzbekistan, and any firearm previ- (R) MC-126. proved where the articles are covered ously manufactured in the Soviet by Category I(a) of the Import List (other Union, that is not one of the models (S) MC-128. than those subject to the provisions of 27 listed below: CFR Part 479), are importable as curios (T) Saiga Rifle. or relics under the provisions of 27 CFR (i) Pistols/Revolvers: 478.118, and meet the following criteria: (U) Soviet Model 38 Carbine. (A) German Model P08 Pistol. (1) The articles were manufactured (V) Soviet Model 44 Carbine. in a proscribed country or area prior (B) IZH 34M, .22 caliber Tar- to the date, as established by the De- get Pistol. (W) Soviet Model 91/30 Rifle. partment of State, the country or area became proscribed, or, were manu- (C) IZH 35M, .22 caliber Tar- (X) TOZ 18, .22 caliber Bolt factured in a non-proscribed country get Pistol. Action Rifle. or area; and

(D) Mauser Model 1896 Pistol. (Y) TOZ 55. (2) The articles have been stored for the five year period immediate- (E) MC-57-1 Pistol. (Z) TOZ 78. ly prior to importation in a non-proscribed country or area. (F) MC-1-5 Pistol. (AA) Ural Target Rifle, .22LR caliber. (f) Applicants desiring to import arti- (G) Polish Vis Model 35 Pistol. cles claimed to meet the criteria spec- (BB) VEPR Rifle. ified in paragraph (e) of this section (H) Soviet Nagant Revolver. shall explain, and certify to, how the (CC) Winchester Model 1895, firearms meet the criteria. The certifica- (I) TOZ 35, .22 caliber Target Russian Model Rifle; tion statement will be prepared in letter Pistol. form, executed under the penalties of

105 perjury, and should be submitted with The functions conferred under section (1) The applicant submits with the the application for an import permit. 38, Arms Export Control Act of 1976, as ATF Form 6—Part I application writ- The certification statement must be amended, are excluded from the opera- ten authorization from the Depart- accompanied by documentary infor- tion of Chapter 5, Title 5, United States ment of State to import the defense mation on the country or area of orig- Code, with respect to Rule Making and article; and inal manufacture and on the country or Adjudication, 5 U.S.C. 553 and 554. area of storage for the five year period (2) In the case of firearms, such immediately prior to importation. Such § 447.55 Departments of State and firearms are curios or relics under information may, for example, include a Defense consulted. 18 U.S.C. 925(e) and the person verifiable statement in the English lan- seeking to import such firearms guage of a government official or any The administration of the provisions of provides a certification of a foreign other person having knowledge of the this part will be subject to the guidance government that the firearms were date and place of manufacture and/or of the Secretaries of State and Defense furnished to such government un- the place of storage; a warehouse re- on matters affecting world peace and der a foreign assistance or foreign ceipt or other document which provides the external security and foreign policy military sales program of the Unit- the required history of storage; and any of the United States. ed States and that the firearms are other document that the applicant be- owned by such foreign government. lieves substantiates the place and date § 447.56 Authority of Customs officers. (See §478.118 of this chapter proof manufacture and the place of stor- viding for the importation of certain age. The appropriate ATF officer, how- (a) Officers of the U.S. Customs Ser- curio or relic handguns, rifles and ever, reserves the right to determine vice are authorized to take appropriate shotguns.) whether documentation is acceptable. action to assure compliance with this Applicants shall, when required by the part and with 27 CFR Parts 478 and (c) For the purpose of this section, appropriate ATF officer, furnish addi- 479 as to the importation or attempted the term “military defense article” in- tional documentation as may be nec- importation of articles on the U.S. Muni- cludes all defense articles furnished to essary to determine whether an import tions Import List, whether or not autho- foreign governments under a foreign permit application should be approved. rized by permit. assistance or foreign military sales program of the United States as set forth in § 447.53 Exemptions. (b) Upon the presentation to him of paragraph (a) of this section. a permit or written approval authoriz- (a) The provisions of this part are not ing importation of articles on the U.S. (Approved by the Office of Management and applicable to: Munitions Import List, the Customs Budget under OMB Control No. 1140-0005) officer who has authority to release (1) Importations by the United same may require, in addition to such § 447.58 Delegations of the Director. States or any agency thereof; documents as may be required by Customs regulations, the production The regulatory authorities of the Direc- (2) Importation of components for of other relevant documents relating tor contained in this part are delegated items being manufactured under con- to the proposed importation, including, to appropriate ATF officers. These ATF tract for the Department of Defense; or but not limited to, invoices, orders, officers are specified in ATF O 1130.34, packing lists, shipping documents, Delegation of the Director’s Authorities (3) Importation of articles (other correspondence, and instructions. in 27 CFR Part 447. ATF delegation than those which would be “firearms” orders, such as ATF O 1130.34, are as defined in 18 U.S.C. 921(a)(3) § 447.57 U.S. military defense articles. available to any interested party by sub- manufactured in foreign countries for mitting a request to the ATF Distribution persons in the United States pursuant (a)(1) Notwithstanding any other pro- Center (http://www.atf.gov) or by calling to Department of State approval. vision of this part or of parts 478 or 479 (703) 870-7526 or (703) 870-7528 of this chapter, no military defense ar- (b) Any person seeking to import article of United States manufacture may Subpart G—Penalties, Seizures and ticles on the U.S. Munitions Import List be imported into the United States if Forfeitures as exempt under paragraph (a)(2) or such article was furnished to a foreign (3) of this section may obtain release of government under a foreign assistance § 447.61 Unlawful importation. such articles from Customs custody by or foreign military sales program of the submitting, to the Customs officer with United States. Any person who willfully: authority to release, a statement claim- ing the exemption accompanied by sat- (2) The restrictions in paragraph (a) Imports articles on the U.S. Muni- isfactory proof of eligibility. Such proof (a)(1) of this section cover defense tions Import List without a permit; may be in the form of a letter from the articles which are advanced in value Department of Defense or State, as the or improved in condition in a foreign (b) Engages in the business of import- case may be, confirming that the condi- country, but do not include those ing articles on the U.S. Munitions Import tions of the exemption are met. which have been substantially trans- List without registering under this part; or formed as to become, in effect, arti- § 447.54 Administrative procedures cles of foreign manufacture. (c) Otherwise violates any provisions inapplicable. of this part; (b) Paragraph (a) of this section will not apply if:

106 Shall upon conviction be fined not § 447.63 Seizure and forfeiture. more than $1,000,000 or imprisoned not more than 10 years, or both. Whoever knowingly imports into the United States contrary to law any article § 447.62 False statements or con- on the U.S. Munitions Import List; or re- cealment of facts. ceives, conceals, buys, sells, or in any manner facilitates its transportation, con- Any person who willfully, in a registra- cealment, or sale after importation, know- tion or permit application, makes any un- ing the same to have been imported con- true statement of a material fact or fails trary to law, shall be fined not more than to state a material fact required to be $10,000 or imprisoned not more than 5 stated therein or necessary to make the years, or both; and the merchandise so statements therein not misleading, shall imported, or the value thereof shall be upon conviction be fined not more than forfeited to the United States. $1,000,000, or imprisoned not more than 10 years, or both.

107 TITLE 28 CFR CHAPTER I

PART 25—DEPARTMENT OF JUSTICE INFORMATION SYSTEMS

Subpart A—The National Instant Investigation (FBI) or a state or local law demonstrating that receipt of a firearm Criminal Background Check System enforcement agency. by a prospective transferee would violate 18 U.S.C. 922 or state law. § 25.1 Purpose and authority. § 25.2 Definitions. Denying agency means a POC or § 25.2 Definitions. Appeal means a formal procedure to the NICS Operations Center, whichever challenge the denial of a firearm transfer. determines that information in the NICS § 25.3 System information. indicates that the transfer of a firearm to ARI means a unique Agency Record a person would violate Federal or state § 25.4 Record source categories. Identifier assigned by the agency sub- law, based on a background check. mitting records for inclusion in the NICS § 25.5 Validation and data integri- Index. Dial–up access means any routine ty of records in the system. access through commercial switched § 25.6 Accessing records in the ATF means the Bureau of Alcohol, To- circuits on a continuous or temporary system. bacco, and Firearms of the Department basis. of Treasury. § 25.7 Querying records in the Federal agency means any authority system. Audit log means a chronological re- of the United States that is an “Agen- cord of system (computer) activities that cy” under 44 U.S.C. 3502(1), other than § 25.8 System safeguards. enables the reconstruction and exam- those considered to be independent ination of the sequence of events and/or regulatory agencies, as defined in 44 § 25.9 Retention and destruction changes in an event. U.S.C. 3502(10). of records in the system. Business day means a 24–hour day FFL (federal firearms licensee) § 25.10 Correction of erroneous (beginning at 12:01 a.m.) on which state means a person licensed by the ATF as system information. offices are open in the state in which the a manufacturer, dealer, or importer of proposed firearm transaction is to take firearms. § 25.11 Prohibited activities and place. penalties. Firearm has the same meaning as in Control Terminal Agency means a 18 U.S.C. 921(a)(3). state or territorial criminal justice agen- § 25.1 Purpose and authority. cy recognized by the FBI as the agency Licensed dealer means any person responsible for providing state–or territo- defined in 27 CFR 178.11. The purpose of this subpart is to estab- ry–wide service to criminal justice users lish policies and procedures implementing of NCIC data. Licensed importer has the same the Brady Handgun Violence Prevention meaning as in 27 CFR 178.11. Act (Brady Act), Public Law 103–159, 107 Data source means an agency that Stat. 1536. The Brady Act requires the At- provided specific information to the NICS. Licensed manufacturer has the torney General to establish a National In- same meaning as in 27 CFR 178.11. stant Criminal Background Check System Delayed means the response given (NICS) to be contacted by any licensed to the FFL indicating that the transaction NCIC (National Crime Information importer, licensed manufacturer, or li- is in an “Open” status and that more Center) means the nationwide comput- censed dealer of firearms for information research is required prior to a NICS erized information system of criminal as to whether the transfer of a firearm to “Proceed” or “Denied” response. A justice data established by the FBI as a any person who is not licensed under 18 “Delayed” response to the FFL indi- service to local, state, and Federal crim- U.S.C. 923 would be in violation of Feder- cates that it would be unlawful to trans- inal justice agencies. al or state law. The regulations in this sub- fer the firearm until receipt of a follow–up part are issued pursuant to section 103(h) “Proceed” response from the NICS or NICS means the National Instant of the Brady Act, 107 Stat. 1542 (18 U.S.C. the expiration of three business days, Criminal Background Check System, 922 note), and include requirements to en- whichever occurs first. which an FFL must, with limited excep- sure the privacy and security of the NICS tions, contact for information on whether and appeals procedures for persons who Denied means denial of a firearm receipt of a firearm by a person who is have been denied the right to obtain a transfer based on a NICS response not licensed under 18 U.S.C. 923 would firearm as a result of a NICS background indicating one or more matching re- violate Federal or state law. check performed by the Federal Bureau of cords were found providing information

108 NICS Index means the database, to an FFL and the federal databases § 25.4 Record source categories. be managed by the FBI, containing in- checked by the NICS. A POC will re- formation provided by Federal and state ceive NICS background check re- It is anticipated that most records in agencies about persons prohibited un- quests from FFLs, check state or local the NICS Index will be obtained from der Federal law from receiving or pos- record systems, perform NICS inqui- Federal agencies. It is also anticipated sessing a firearm. The NICS Index is ries, determine whether matching re- that a limited number of authorized state separate and apart from the NCIC and cords provide information demonstrat- and local law enforcement agencies the Interstate Identification Index (III). ing that an individual is disqualified will voluntarily contribute records to the from possessing a firearm under Fed- NICS Index. Information in the NCIC and NICS operational day means the pe- eral or state law, and respond to FFLs III systems that will be searched during riod during which the NICS Operations with the results of a NICS background a background check has been or will be Center has its daily regular business check. A POC will be an agency with contributed voluntarily by Federal, state, hours. express or implied authority to perform local, and international criminal justice POC duties pursuant to state statute, agencies. NICS Representative means a per- regulation, or executive order. son who receives telephone inquiries to § 25.5 Validation and data integrity the NICS Operations Center from FFLs Proceed means a NICS response in- of records in the system. requesting background checks and dicating that the information available to provides a response as to whether the the system at the time of the response (a) The FBI will be responsible for receipt or transfer of a firearm may pro- did not demonstrate that transfer of the maintaining data integrity during all ceed or is delayed. firearm would violate federal or state law. NICS operations that are managed and A “Proceed” response would not relieve carried out by the FBI. This responsibil- NRI (NICS Record Identifier) means an FFL from compliance with other pro- ity includes: the system–generated unique number visions of Federal or state law that may associated with each record in the NICS be applicable to firearms transfers. For (1) Ensuring the accurate add- Index. example, under 18 U.S.C. 922(d), an ing, canceling, or modifying of NICS FFL may not lawfully transfer a firearm Index records supplied by Federal NTN (NICS Transaction Number) if he or she knows or has reasonable agencies; means the unique number that will be cause to believe that the prospective re- assigned to each valid background cipient is prohibited by law from receiv- (2) Automatically rejecting any check inquiry received by the NICS. ing or possessing a firearm. attempted entry of records into the Its primary purpose will be to provide NICS Index that contain detectable a means of associating inquiries to the Record means any item, collection, invalid data elements; NICS with the responses provided by or grouping of information about an in- the NICS to the FFLs. dividual that is maintained by an agency, (3) Automatic purging of records in including but not limited to information the NICS Index after they are on file Open means those non–canceled that disqualifies the individual from re- for a prescribed period of time; and transactions where the FFL has not ceiving a firearm, and that contains his been notified of the final determination. or her name or other personal identifiers. (4) Quality control checks in the In cases of “open” responses, the NICS form of periodic internal audits by FBI continues researching potentially pro- STN (State–Assigned Transaction personnel to verify that the informa- hibiting records regarding the transferee Number) means a unique number that tion provided to the NICS Index re- and, if definitive information is obtained, may be assigned by a POC to a valid mains valid and correct. communicates to the FFL the final de- background check inquiry. termination that the check resulted in a (b) Each data source will be respon- proceed or a deny. An “open” response System means the National Instant sible for ensuring the accuracy and va- does not prohibit an FFL from transfer- Criminal Background Check System lidity of the data it provides to the NICS ring a firearm after three business days (NICS). Index and will immediately correct any have elapsed since the FFL provided to record determined to be invalid or incor- the system the identifying information § 25.3 System information. rect. about the prospective transferee. (a) There is established at the FBI a § 25.6 Accessing records in the ORI (Originating Agency Identifier) National Instant Criminal Background system. means a nine–character identifier as- Check System. signed by the FBI to an agency that has (a) FFLs may initiate a NICS back- met the established qualifying criteria for (b) The system will be based at the ground check only in connection with a ORI assignment to identify the agency in Federal Bureau of Investigation, 1000 proposed firearm transfer as required by transactions on the NCIC System. Custer Hollow Road, Clarksburg, West the Brady Act. FFLs are strictly prohib- Virginia 26306–0147. ited from initiating a NICS background Originating Agency means an agen- check for any other purpose. The pro- cy that provides a record to a database (c) The system manager and address cess of accessing the NICS for the pur- checked by the NICS. are: Director, Federal Bureau of Investi- pose of conducting a NICS background gation, J. Edgar Hoover F.B.I. Building, check is initiated by an FFL’s contacting POC (Point of Contact) means a 935 Pennsylvania Avenue, NW, Wash- the FBI NICS Operations Center (by state or local law enforcement agency ington, D.C. 20535. telephone or electronic dial–up access) serving as an intermediary between or a POC. FFLs in each state will be

109 advised by the ATF whether they are receives a “Delayed” response Transaction Number (STN) to a valid in- required to initiate NICS background from the NICS. If state offices quiry for a background check. checks with the NICS Operations Cen- in the state in which the FFL is ter or a POC and how they are to do so. located are closed on Saturday (f) When the NICS receives an inqui- and Sunday and open the fol- ry from a POC, it will search the rele- (b) Access to the NICS through the lowing Monday, Tuesday, and vant databases (i.e., NICS Index, NCIC, FBI NICS Operations Center. FFLs may Wednesday, and the NICS has III) for any matching record(s) and will contact the NICS Operations Center by not yet responded with a “Pro- provide an electronic response to the use of a toll–free telephone number, ceed” or “Denied” response, POC. This response will consolidate the only during its regular business hours. the FFL may transfer the fire- search results of the relevant databases In addition to telephone access, toll– arm at 12:01 a.m. Thursday.) and will include the NTN. The following free electronic dial–up access to the types of responses may be provided by NICS will be provided to FFLs after the (C) “Denied” response, the NICS to a state or local agency con- beginning of the NICS operation. FFLs when at least one matching re- ducting a background check: with electronic dial–up access will be cord is found in either the NICS able to contact the NICS 24 hours each Index, NCIC, or III that provides (1) No record response, if the day, excluding scheduled and unsched- information demonstrating that NICS determines, through a com- uled downtime. receipt of a firearm by the pro- plete search, that no matching record spective transferee would vio- exists. (c)(1) The FBI NICS Operations Cen- late 18 U.S.C. 922 or state law. ter, upon receiving an FFL telephone or The “Denied” response will be (2) Partial response, if the NICS electronic dial–up request for a back- provided to the requesting FFL has not completed the search of all ground check, will: by the NICS Operations Cen- of its records. This response will ter during its regular business indicate the databases that have (i) Verify the FFL Number and hours. been searched (i.e., III, NCIC, and/ code word; or NICS Index) and the databas- (2) None of the responses provides that have not been searched. (ii) Assign a NICS Transaction ed to the FFL under paragraph (c)(1) It will also provide any potentially Number (NTN) to a valid inquiry of this section will contain any of the disqualifying information found in and provide the NTN to the FFL; underlying information in the records any of the databases searched. A checked by the system. follow–up response will be sent as (iii) Search the relevant data- soon as all the relevant databases bases (i.e., NICS Index, NCIC, III) (d) Access to the NICS through have been searched. The follow–up for any matching records; and POCs. In states where a POC is des- response will provide the complete ignated to process background checks search results. (iv) Provide the following NICS for the NICS, FFLs will contact the POC responses based upon the con- to initiate a NICS background check. (3) Single matching record re- solidated NICS search results to Both ATF and the POC will notify FFLs sponse, if all records in the relevant the FFL that requested the back- in the POC’s state of the means by databases have been searched and ground check: which FFLs can contact the POC. The one matching record was found. NICS will provide POCs with electronic (A) “Proceed” response, if access to the system virtually 24 hours (4) Multiple matching record re- no disqualifying information was each day through the NCIC communi- sponse, if all records in the relevant found in the NICS Index, NCIC, cation network. Upon receiving a re- databases have been searched and or III. quest for a background check from an more than one matching record was FFL, a POC will: found. (B) “Delayed” response, if the NICS search finds a re- (1) Verify the eligibility of the FFL (g) Generally, based on the respon- cord that requires more re- either by verification of the FFL num- se(s) provided by the NICS, and other search to determine whether ber or an alternative POC–verifica- information available in the state and the prospective transferee is tion system; local record systems, a POC will: disqualified from possessing a firearm by Federal or state law. (2) Enter a purpose code indicating (1) Confirm any matching records; A “Delayed” response to the that the query of the system is for the and FFL indicates that the firearm purpose of performing a NICS back- transfer should not proceed ground check in connection with the (2) Notify the FFL that the trans- pending receipt of a follow–up transfer of a firearm; and (3) Transmit fer may proceed, is delayed pending “Proceed” response from the the request for a background check further record analysis, or is denied. NICS or the expiration of three via the NCIC interface to the NICS. “Proceed” notifications made within business days (exclusive of three business days will be accompa- the day on which the query is (e) Upon receiving a request for a nied by the NTN or STN traceable to made), whichever occurs first. NICS background check, POCs may the NTN. The POC may or may not (Example: An FFL requests a also conduct a search of available files provide a transaction number (NTN NICS check on a prospective in state and local law enforcement and or STN) when notifying the FFL of a firearm transferee at 9:00 a.m. other relevant record systems, and “Denied” response. on Friday and shortly thereafter may provide a unique State–Assigned

110 (h) POC Determination Messages. sess, acquire, or transfer a firearm, paragraphs (c) through (f) of this section POCs shall transmit electronic NICS or to carry a concealed firearm, or to are the minimum to be adopted by all transaction determination messages to import, manufacture, deal in, or pur- POCs and data sources having access the FBI for the following transactions: chase explosives; or to the NICS. open transactions that are not resolved before the end of the operational day on (2) Responding to an inquiry from (c) State or local law enforcement which the check is requested; denied the ATF in connection with a civil or agency computer centers designated transactions; transactions reported to criminal law enforcement activity by a Control Terminal Agency as POCs the NICS as open and later changed to relating to the Gun Control Act (18 shall be authorized NCIC users and proceed; and denied transactions that U.S.C. Chapter 44) or the National shall observe all procedures set forth in have been overturned. The FBI shall Firearms Act (26 U.S.C. Chapter 53). the NCIC Security Policy of 1992 when provide POCs with an electronic capa- processing NICS background checks. bility to transmit this information. These § 25.7 Querying records in the sys- The responsibilities of the Control Ter- electronic messages shall be provided tem. minal Agencies and the computer cen- to the NICS immediately upon commu- ters include the following: nicating the POC determination to the (a) The following search descriptors FFL. For transactions where a deter- will be required in all queries of the sys- (1) The criminal justice agency mination has not been communicated tem for purposes of a background check: computer site must have adequate to the FFL, the electronic messages physical security to protect against shall be communicated no later than the (1) Name; any unauthorized personnel gaining end of the operational day on which the access to the computer equipment or check was initiated. With the exception (2) Sex; to any of the stored data. of permit checks, newly created POC NICS transactions that are not followed (3) Race; (2) Since personnel at these com- by a determination message (deny or puter centers can have access to open) before the end of the operational (4) Complete date of birth; and data stored in the NICS, they must day on which they were initiated will be be screened thoroughly under the assumed to have resulted in a proceed (5) State of residence. authority and supervision of a state notification to the FFL. The information Control Terminal Agency. This au- provided in the POC determination mes- (b) A unique numeric identifier may thority and supervision may be dele- sages will be maintained in the NICS also be provided to search for additional gated to responsible criminal justice Audit Log described in §25.9(b). The records based on exact matches by the agency personnel in the case of a NICS will destroy its records regarding numeric identifier. Examples of unique satellite computer center being ser- POC determinations in accordance with numeric identifiers for purposes of this viced through a state Control Termi- the procedures detailed in §25.9(b). system are: Social Security number (to nal Agency. This screening will also comply with Privacy Act requirements, apply to non–criminal justice mainte- (i) Response recording. FFLs are re- a Social Security number will not be re- nance or technical personnel. quired to record the system response, quired by the NICS to perform any back- whether provided by the FBI NICS Op- ground check) and miscellaneous iden- (3) All visitors to these computer erations Center or a POC, on the ap- tifying numbers (e.g., military number centers must be accompanied by propriate ATF form for audit and inspec- or number assigned by Federal, state, staff personnel at all times. tion purposes, under 27 CFR part 178 or local authorities to an individual’s re- recordkeeping requirements. The FBI cord). Additional identifiers that may be (4) POCs utilizing a state/NCIC ter- NICS Operations Center response will requested by the system after an initial minal to access the NICS must have always include an NTN and associated query include height, weight, eye and the proper computer instructions “Proceed,” “Delayed,” or “Denied” hair color, and place of birth. At the op- written and other built–in controls to determination. POC responses may vary tion of the querying agency, these addi- prevent data from being accessible to as discussed in paragraph (g) of this sec- tional identifiers may also be included in any terminals other than authorized tion. In these instances, FFLs will record the initial query of the system. terminals. the POC response, including any transaction number and/or determination. § 25.8 System safeguards. (5) Each state Control Terminal Agency shall build its data system (j) Access to the NICS Index for pur- (a) Information maintained in the around a central computer, through poses unrelated to NICS background NICS Index is stored electronically for which each inquiry must pass for checks required by the Brady Act. Ac- use in an FBI computer environment. screening and verification. cess to the NICS Index for purposes The NICS central computer will reside unrelated to NICS background checks inside a locked room within a secure (d) Authorized state agency remote pursuant to 18 U.S.C. 922(t) shall be facility. Access to the facility will be re- terminal devices operated by POCs and limited to uses for the purpose of: stricted to authorized personnel who having access to the NICS must meet have identified themselves and their the following requirements: (1) Providing information to Fed- need for access to a system security eral, state, or local criminal justice officer. (1) POCs and data sources having agencies in connection with the is- terminals with access to the NICS suance of a firearm–related or ex- (b) Access to data stored in the NICS must physically place these terminals plosives–related permit or license, is restricted to duly authorized agen- in secure locations within the autho- including permits or licenses to pos- cies. The security measures listed in rized agency;

111 (2) The agencies having terminals not provide the details of any record FFL identifier, and inquiry/response with access to the NICS must screen information about the transferee. In data (including the name and other terminal operators and must restrict cases where potentially disqualifying identifying information about the pro- access to the terminals to a minimum information is found in response to an spective transferee and the NTN). number of authorized employees; FFL query, the NICS Representative and will provide a “Delayed” response (i) NICS Audit Log records relat- to the FFL. Follow–up “Proceed” or ing to denied transactions will be (3) Copies of NICS data obtained “Denied” responses will be provid- retained for 10 years, after which from terminal devices must be afford- ed by the NICS Operations Center time they will be transferred to a ed appropriate security to prevent during its regular business hours. Federal Records Center for stor- any unauthorized access or use. age; (3) The FBI will periodically (e) FFL remote terminal devices may monitor telephone inquiries to en- (ii) NICS Audit Log records re- be used to transmit queries to the NICS sure proper use of the system. lating to transactions in an open via electronic dial–up access. The fol- status, except the NTN and date, lowing procedures will apply to such (h) All transactions and messages will be destroyed after not more queries: sent and received through electronic than 90 days from the date of in- access by POCs and FFLs will be auto- quiry; and (1) The NICS will incorporate a se- matically logged in the NICS Audit Log curity authentication mechanism that described in §25.9(b). Information in the (iii) In cases of NICS Audit Log performs FFL dial–up user authenti- NICS Audit Log will include initiation and records relating to allowed trans- cation before network access takes termination messages, failed authenti- actions, all identifying information place; cations, and matching records located submitted by or on behalf of the by each search transaction. transferee will be destroyed with- (2) The proper use of dial–up cir- in 24 hours after the FFL receives cuits by FFLs will be included as part (i) The FBI will monitor and enforce communication of the determina- of the periodic audits by the FBI; and compliance by NICS users with the ap- tion that the transfer may proceed. plicable system security requirements All other information, except the (3) All failed authentications will be outlined in the NICS POC Guidelines NTN and date, will be destroyed logged by the NICS and provided to and the NICS FFL Manual (available after not more than 90 days from the NICS security administrator. from the NICS Operations Center, the date of inquiry. Federal Bureau of Investigation, 1000 (f) FFLs may use the telephone to Custer Hollow Road, Clarksburg, West (2) Use of information in the NICS transmit queries to the NICS, in accor- Virginia 26306–0147). Audit Log. The NICS Audit Log will be dance with the following procedures: used to analyze system performance, § 25.9 Retention and destruction of assist users in resolving operational (1) FFLs may contact the NICS records in the system. problems, support the appeals pro- Operations Center during its regular cess, or support audits of the use and business hours by a telephone num- (a) The NICS will retain NICS Index performance of the system. Searches ber provided by the FBI; records that indicate that receipt of a may be conducted on the Audit Log firearm by the individuals to whom the by time frame, i.e., by day or month, (2) FFLs will provide the NICS records pertain would violate Federal or by a particular state or agency. In- Representative with their FFL Num- or state law. The NICS will retain such formation in the NICS Audit Log per- ber and code word, the type of sale, records indefinitely, unless they are can- taining to allowed transactions may and the name, sex, race, date of celed by the originating agency. In cas- be accessed directly only by the FBI birth, and state of residence of the es where a firearms disability is not per- and only for the purpose of conduct- prospective buyer; and manent, e.g., a disqualifying restraining ing audits of the use and performance order, the NICS will automatically purge of the NICS, except that: (3) The NICS will verify the FFL the pertinent record when it is no lon- Number and code word before pro- ger disqualifying. Unless otherwise re- (i) Information in the NICS Au- cessing the request. moved, records contained in the NCIC dit Log, including information not and III files that are accessed during a yet destroyed under §5.9(b)(1)(iii), (g) The following precautions will be background check will remain in those that indicates, either on its face or taken to help ensure the security and files in accordance with established pol- in conjunction with other informa- privacy of NICS information when FFLs icy. tion, a violation or potential viola- contact the NICS Operations Center: tion of law or regulation, may be (b) The FBI will maintain an automat- shared with appropriate authorities (1) Access will be restricted to the ed NICS Audit Log of all incoming and responsible for investigating, pros- initiation of a NICS background check outgoing transactions that pass through ecuting, and/or enforcing such law in connection with the proposed the system. or regulation; and transfer of a firearm. (1) Contents. The NICS Audit Log (ii) The NTNs and dates for al- (2) The NICS Representative will will record the following information: lowed transactions may be shared only provide a response of “Proceed” Type of transaction (inquiry or re- with ATF in Individual FFL Audit or “Delayed” (with regard to the pro- sponse), line number, time, date of Logs as specified in §25.9(b)(4). spective firearms transfer), and will inquiry, header, message key, ORI or

112 (3) Limitation on use. The NICS, in- (1) All inquiry and response mes- the appeal to the originating agency, cluding the NICS Audit Log, may not sages (regardless of media) relating the individual may so notify the deny- be used by any Department, agency, to the initiation and result of a check ing agency, which will, in turn, verify officer, or employee of the United of the NICS that allows a transfer that the record correction with the originat- States to establish any system for are not part of a record system creating agency (assuming the originating the registration of firearms, firearm ed and maintained pursuant to inde- agency has not already notified the owners, or firearm transactions or pendent state law regarding firearms denying agency of the correction) and dispositions, except with respect to transactions; and take all necessary steps to correct the persons prohibited from receiving record in the NICS. a firearm by 18 U.S.C. 922(g) or (n) (2) All other records relating to the or by state law. The NICS Audit Log person or the transfer created as a (d) As an alternative to the above pro- will be monitored and reviewed on a result of a NICS check that are not cedure where a POC was the denying regular basis to detect any possible part of a record system created and agency, the individual may elect to direct misuse of NICS data. maintained pursuant to independent his or her challenge to the accuracy of state law regarding firearms transac- the record, in writing, to the FBI, NICS (4) Creation and Use of Individu- tions. Operations Center, Criminal Justice In- al FFL Audit Logs. Upon written re- formation Services Division, 1000 Custer quest from ATF containing the name § 25.10 Correction of erroneous Hollow Road, Module C–3, Clarksburg, and license number of the FFL and system information. West Virginia 26306–0147. Upon receipt the proposed date of inspection of of the information, the FBI will investigate the named FFL by ATF, the FBI may (a) An individual may request the rea- the matter by contacting the POC that de- extract information from the NICS Au- son for the denial from the agency that nied the transaction or the data source. dit Log and create an Individual FFL conducted the check of the NICS (the The FBI will request the POC or the data Audit Log for transactions originating “denying agency,” which will be either source to verify that the record in question at the named FFL for a limited period the FBI or the state or local law enforce- pertains to the individual who was denied, of time. An Individual FFL Audit Log ment agency serving as a POC). The or to verify or correct the challenged re- shall contain all information on de- FFL will provide to the denied individu- cord. The FBI will consider the information nied transactions, and, with respect al the name and address of the deny- it receives from the individual and the re- to all other transactions, only non– ing agency and the unique transaction sponse it receives from the POC or the identifying information from the trans- number (NTN or STN) associated with data source. If the record is corrected as action. In no instance shall an Individ- the NICS background check. The re- a result of the challenge, the FBI shall so ual FFL Audit Log contain more than quest for the reason for the denial must notify the individual, correct the erroneous 60 days worth of allowed or open be made in writing to the denying agen- information in the NICS, and give notice transaction records originating at the cy. (POCs at their discretion may waive of the error to any Federal department or FFL. The FBI will provide POC states the requirement for a written request.) agency or any state that was the source the means to provide to the FBI in- of such erroneous records. formation that will allow the FBI to (b) The denying agency will respond generate Individual FFL Audit Logs to the individual with the reasons for the (e) Upon receipt of notice of the correc- in connection with ATF inspections of denial within five business days of its tion of a contested record from the origi- FFLs in POC states. POC states that receipt of the individual’s request. The nating agency, the FBI or the agency that elect not to have the FBI generate response should indicate whether addi- contributed the record shall correct the Individual FFL Audit Logs for FFLs in tional information or documents are re- data in the NICS and the denying agency their states must develop a means by quired to support an appeal, such as fin- shall provide a written confirmation of the which the POC will provide such Logs gerprints in appeals involving questions correction of the erroneous data to the in- to ATF. of identity (i.e., a claim that the record in dividual for presentation to the FFL. If the question does not pertain to the individ- appeal of a contested record is success- (c) The following records in the FBI– ual who was denied). ful and thirty (30) days or less have trans- operated terminals of the NICS will be pired since the initial check, and there are subject to the Brady Act’s requirements (c) If the individual wishes to chal- no other disqualifying records upon which for destruction: lenge the accuracy of the record upon the denial was based, the NICS will com- which the denial is based, or if the in- municate a “Proceed” response to the (1) All inquiry and response mes- dividual wishes to assert that his or her FFL. If the appeal is successful and more sages (regardless of media) relating rights to possess a firearm have been than thirty (30) days have transpired since to a background check that results in restored, he or she may make appli- the initial check, the FFL must recheck the an allowed transfer; and cation first to the denying agency, i.e., NICS before allowing the sale to contin- either the FBI or the POC. If the de- ue. In cases where multiple disqualifying (2) All information (regardless of nying agency is unable to resolve the records are the basis for the denial, the media) contained in the NICS Audit appeal, the denying agency will so no- individual must pursue a correction for Log relating to a background check tify the individual and shall provide the each record. that results in an allowed transfer. name and address of the agency that originated the document containing the (f) An individual may also contest the (d) The following records of state and information upon which the denial was accuracy or validity of a disqualifying re- local law enforcement units serving as based. The individual may then apply cord by bringing an action against the POCs will be subject to the Brady Act’s for correction of the record directly to state or political subdivision responsible requirements for destruction: the agency from which it originated. If for providing the contested information, the record is corrected as a result of or responsible for denying the transfer,

113 or against the United States, as the retain such information contained in the (b) Misuse or unauthorized access in- case may be, for an order directing that Voluntary Appeal File as long as needed cludes, but is not limited to, the following: the contested information be corrected to pursue cases of identified misuse of or that the firearm transfer be approved. the system. If the FBI finds a disqualify- (1) State or local agencies’, FFLs’, ing record on the individual after his or or individuals’ purposefully furnishing (g) An individual may provide written her entry into the Voluntary Appeal File, incorrect information to the system to consent to the FBI to maintain informa- the FBI may remove the individual’s in- obtain a “Proceed” response, there- tion about himself or herself in a Volun- formation from the file. by allowing a firearm transfer; tary Appeal File to be established by the FBI and checked by the NICS for the pur- §25.11 Prohibited activities and (2) State or local agencies’, FFLs’, pose of preventing the future erroneous penalties. or individuals’ purposefully using the denial or extended delay by the NICS of system to perform a check for unau- a firearm transfer. Such file shall be used (a) State or local agencies, FFLs, thorized purposes; and only by the NICS for this purpose. The or individuals violating this subpart A FBI shall remove all information in the shall be subject to a fine not to exceed (3) Any unauthorized person’s ac- Voluntary Appeal File pertaining to an in- $10,000 and subject to cancellation of cessing the NICS. dividual upon receipt of a written request NICS inquiry privileges. by that individual. However, the FBI may

114 Firearms Law Administered by the Postal Service

TITLE 18, UNITED STATES CODE, CHAPTER 83

§1715. Firearms as nonmailable; of a State, Territory, Commonwealth, for repairs or replacement of parts, from regulations Possession, or District; to officers of the one to the other, under such regulations United States or of a State, Territory, as the Postal Service shall prescribe. Pistols, revolvers, and other firearms Commonwealth, Possession, or District capable of being concealed on the per- whose official duty is to serve warrants Whoever knowingly deposits for mail- son are nonmailable and shall not be of arrest or commitments; to employing or delivery, or knowingly causes to deposited in or carried by the mails or ees of the Postal Service; to officers be delivered by mail according to the di- delivered by any officer or employee of and employees of enforcement agen- rection thereon, or at any place to which the Postal Service. Such articles may cies of the United States; and to watch- it is directed to be delivered by the per- be conveyed in the mails, under such men engaged in guarding the property son to whom it is addressed, any pistol, regulations as the Postal Service shall of the United States, a State, Territory, revolver, or firearm declared nonmail- prescribe, for use in connection with Commonwealth, Possession, or District. able by this section, shall be fined under their official duty, to officers of the Army, Such articles also may be conveyed in this title or imprisoned not more than two Navy, Air Force, Coast Guard, Marine the mails to manufacturers of firearms or years, or both. Corps, or Organized Reserve Corps; to bona fide dealers therein in customary officers of the National Guard or Militia trade shipments, including such articles

115 RULINGS, PROCEDURES, AND INDUSTRY CIRCULARS

TABLE OF CONTENTS

RULINGS: Rev. Rul. 69-59 Sales of firearms and ammunition at gun shows �� 118 Rev. Rul. 69-309 Importation: Armed Forces member �� 118 ATF Rul. 73-9 Common expiration date for multi-licensed dealers �� 118 ATF Rul. 73-13 Premises and hours of operation of a gunsmith �� 119 ATF Rul. 73-19 Premises and hours of operation of a consultant or expert �� 120 ATF Rul. 74-8 Registration and transfer of firearms by governmental entities �� 121 ATF Rul. 74-13 Importing handguns into a State by Armed Forces member �� 121 ATF Rul. 74-20 Form 4473 not required for certain replacement firearms �� 121 ATF Rul. 75-7 Certain tear gas “pengun” classified �� 122 ATF Rul. 75-27 Operations under pending renewal application �� 122 ATF Rul. 75-28 Adoption by importers of serial numbers on imported firearms �� 123 ATF Rul. 76-6 Taser Model TF1 classified. �� 123 ATF Rul. 76-15 Recordkeeping/reporting requirements: Pawnbrokers �� 123 ATF Rul. 76-22 Transfer of National Firearms Act firearms �� 124 ATF Rul. 76-25 Recordkeeping requirements: Salvaged firearms parts �� 124 ATF Rul. 77-1 Recordkeeping requirements: Gunsmiths �� 124 ATF Rul. 79-7 Firearms transaction record �� 125 ATF Rul. 80-8 Importing surplus military and nonsporting firearms for law enforcement use �� 125 ATF Rul. 80-20 Taser Models TF76 and TF76A classified �� 125 ATF Rul. 80-21 College students establishing residency in a State �� 125 ATF Rul. 81-3 U.S. citizens and immigrating aliens: Obtaining import permit �� 126 ATF Rul. 81-4 AR-15 and other auto sears classified �� 126 ATF Rul. 82-2 KG-9 pistol classified �� 127 ATF Rul. 82-8 SM10 and SM11A1 pistols; SAC carbines classified �� 127 ATF Rul. 83-5 YAC STEN MK II carbine classified �� 127 ATF Rul. 85-2 NFA curio or relic importation as sales samples: Limitation �� 128 ATF Rul. 85-10 Surplus military frames or receivers, alone, denied importation �� 129 ATF Rul. 94-1 USAS-12 shotgun classified �� 129 ATF Rul. 94-2 Striker-12/Streetsweeper classified �� 130 ATF Rul. 95-3 37/38 mm gas/flare guns possessed with anti-personnel ammunition classified �� 131 ATF Rul. 96-2 Activities of auctioneers requiring a dealer’s license �� 132 ATF Rul. 2001-1 Classification of the USAS-12, Striker 12 and Streetsweeper shotguns as destructive devices under the National Firearms Act (NFA), 26 U.S.C. Chapter 53 �� 133 ATF Rul. 2001-3 Importation of surplus military curio or relic firearms �� 133 ATF Rul. 2001-5 Identification of transferee �� 133 ATF Rul. 2002-5 Transfer and possession of machineguns �� 135 ATF Rul. 2002-6 Identification of firearms, armor piercing ammunition, and large capacity ammunition feeding devices �� 135 ATF Rul. 2003-1 Importation of Browning M1919 type receivers for unrestricted commercial sale �� 136 ATF Rul. 2003-2 Importation of FN Fal type receivers for unrestricted commercial sale �� 137 ATF Rul. 2003-3 Importation of Heckler & Koch G3 type receivers for unrestricted commercial sale �� 138 ATF Rul. 2003-4 Importation of Sten type receivers for unrestricted commercial sale �� 139 ATF Rul. 2003-6 Use of ATF electronic eForm 6 �� 140

116 ATF Rul. 2004-1 Transfer of firearms �� 140 ATF Rul. 2004-2 Temporary importation of firearms subject to the NFA �� 140 ATF Rul. 2004-5 Minigun ruling �� 143 ATF Rul. 2005-4 A ported device attached to the barrel of a paintball gun �� 144 ATF Rul. 2006-2 Classification of devices that are exclusively designed to increase the rate of fire of a semiautomatic firearm �� 145 ATF Rul. 2007-4 Alternative methods or procedures; Emergency Variations from requirements �� 146 ATF Rul. 2008-1 Fabrique National Herstal SA (FN) FNC rifle �� 146 ATF Rul. 2008-2 Records required for firearms licensees �� 147 ATF Rul. 2008-3 Electronic version of Form 4473 �� 147 ATF Rul. 2009-1 Firearms manufacturing activities �� 149 ATF Rul. 2009-2 Firearms manufacturing activities - installation of drop in replacement parts �� 149 ATF Rul. 2009-5 Firearms manufacturing activities - identification markings of firearms �� 150 ATF Rul. 2010-1 Temporary assignment of a firearm by an FFL to an unlicensed employee does not constitute a transfer �� 152 ATF Rul. 2010-3 Identification of Maxim side-plate receivers �� 153 ATF Rul. 2010-6 State of residence �� 155 ATF Rul. 2010-8 Consolidation of required records for manufacturers �� 156 ATF Rul. 2010-9 Requirements for Importation �� 158 ATF Rul. 2010-10 Manufacturing operations may be performed by licensed gunsmiths under certain conditions ��158 ATF Rul. 2011-1 Importers consolidated records �� 160 ATF Rul. 2011-4 Pistols configured from rifles; rifles configured from pistols �� 161 ATF Rul. 2012-1 Time period for marking firearms manufactured �� 163 ATF Rul. 2012-3 ARMER Electronic Form �� 164 ATF Rul. 2013-1 Electronic Form 6 and 6A �� 165 ATF Rul. 2013-2 NFA Electronic Forms �� 167 ATF Rul. 2013-3 Adopting identification of Firearms �� 168 ATF Rul. 2013-5 Requirements to Keep Firearms Acquisition and Disposition Records Electronically �� 170 ATF Rul. 2014-1 Manufacturing/Inventory of Machineguns for LE and the Military �� 172

PROCEDURES: ATF Proc.75-3 Drop shipments of firearms: Recordkeeping �� 174 ATF Proc.90-1 Identification number for special (occupational) taxpayers �� 174 ATF Proc.2013-1 Recordkeeping and Background Check Procedures for Facilitation of Private Party Firearms Transfers �� 175 ATF Proc. 2013-2 Recordkeeping procedure for non–over–the–counter firearm sales by licensees to unlicensed in-state residents that are NICS exempt �� 177

INDUSTRY CIRCULARS: I.C. 72-23 Shipment to employees, agents, representatives, writers & evaluators �� 179 I.C. 72-30 Identification: Personal firearms on premises not offered for sale �� 179 I.C. 74-13 Verifying identity and licensed status of transferee �� 179 I.C. 77-20 Duplication of serial numbers on imported firearms �� 179

117 Editor’s Note: The Rulings, Procedures, and Industry Circulars set out herein cannot address all subjects under all possible circumstances. When there is doubt, please contact your nearest ATF office.

Editorial Note: On July 1, 1972, ATF became its own Bureau under the Department of the Treasury (37 FR 11696). As a result, all references to Title 26 CFR Part 178 and 179 were re-designated under Title 27 of the CFR beginning April 15, 1975 (40 FR 16835).

Editorial Note: Pursuant to the Homeland Security Act of 2002 (Public Law No. 107-296), ATF transferred from the Department of the Treasury to the Department of Justice, effective January 24, 2003. At that time, Title 27 CFR Part 47, 178, and 179 were re-designated as 27 CFR Part 447, 478, and 479 (68 FR 3744).

“Rev. Rul.” or “RR” is a revenue ruling published by the Alcohol, Tobacco and Firearms Division of the Internal Revenue Service, the predecessor of the Bureau of Alcohol, Tobacco, Firearms and Explosives. “ATF Rul.” means ATF Ruling; “ATFP” means ATF Procedure; “I.C.” means Industry Circular; “ATFB” means ATF Bulletin; “ATFQB” means ATF Quarterly Bulletin; “ATF C.B.” means ATF Cumulative Bulle- tin; and “C.B.” means Internal Revenue Service Cumulative Bulletin.

RULINGS

26 CFR 178.41: General (Also 178.42, not sell firearms or ammunition at a gun cable to licensees’ off-premises sales not 178.50) show held on premises other than those addressed by these amendments. covered by his license. He may, however, Firearms or ammunition may not have a booth or table at such a gun show 26 CFR 178.114: IMPORTATION BY be sold at gun shows by a licensed at which he displays his wares and takes MEMBERS OF THE U.S. ARMED dealer, but orders may be taken un- orders for them, provided that the sale and FORCES der specified conditions; Revenue delivery of the firearms or ammunition are Ruling 66-265 superseded. to be lawfully effected from his licensed Rev. Rul. 69-309 business premises only and his records Rev. Rul. 69-59 properly reflect such transactions. This ruling was revoked by T.D. ATF-426. Advice has been requested whether a There are no provisions in the law for person who is licensed under 18 U.S.C. the issuance of temporary licenses to 26 CFR 178.41: GENERAL (Also Chapter 44 (which superseded the Fed- cover sales at gun shows, and licenses 178.42, 178.45, 178.49) eral Firearms Act (15 U.S.C. Chapter will be issued only for premises where 18)) or who is continuing operations the applicant regularly intends to en- Licensed firearms dealers operating under a license issued to him under the gage in the business to be covered by at multiple locations may establish Federal Firearms Act as a manufacturer, the license. a common expiration date for all li- importer or dealer in firearms or ammu- censes. nition may sell firearms or ammunition This ruling does not apply to the activ- at a gun show held on premises other ities of licensed collectors with respect ATF Rul. 73-9 than those covered by his outstanding to the receipt or disposition of curios and license. relics by such collectors. For provisions Advice has been requested whether relating to transactions by licensed col- a common expiration date may be es- Under 18 U.S.C. 923(a), “a separate lectors of curios and relics, see 26 CFR tablished for all licenses issued in one fee” is required to be paid for each place 178.50 of the regulations. region to dealers in firearms or ammu- at which business as a licensee is to be nition operating several premises for conducted. Further, each applicant for Rev. Rul. 66-265, 1966-2, C.B. 559, is which licenses are required for dealing a license is required to have in a State hereby superseded. in firearms (other than destructive de- “premises from which he conducts vices) or ammunition except that for de- business” (18 U.S.C. 923(d)(1)(E)) and Editor’s Note: structive devices. to specify such premises in the license application. In addition, records are required In 1986, the GCA was amended to Firearms or ammunition dealers, such to be maintained at the business premises allow licensees to sell firearms at gun as chain-store proprietors, have pointed covered by the license (18 U.S.C. 923(g)). shows in the State in which their licensed out that the furnishing of applications for premises are located, and was further renewal of licenses (for each location Therefore, a person holding a valid li- amended in 1997 to allow licensees to sell at which an activity requiring a license cense may engage in the business cov- curio or relic firearms to other licensees is conducted) is creating severe admin- ered by the license only at the specific at any location. Moreover, the interstate istrative problems where the licenses business premises for which his license controls no longer apply to ammunition involved have various expiration dates has been obtained. Thus, a licensee may sales. However, the ruling is still appli- occurring throughout the calendar year.

118 In regard to licensing of dealers, 18 and another to cover the period from the those seeking to purchase firearms or U.S.C. 923 provides in pertinent part, that common expiration date to the expiration ammunition. Furthermore, a gunsmith no person shall engage in business as a date of the following twelve-month peri- often does not have regular business firearms or ammunition dealer until he has od. Also, it is pointed out that although the hours but conducts business during filed an application with, and received a li- first renewal license will be cancelled on hours which are best suited to himself or cense to do so from, the Secretary (of the and after the requested common expira- his clientele. Thus, the number of hours Treasury or his delegate). Furthermore, tion date, the regulations do not provide which such a gunsmith is open to serve each such applicant who is not a dealer in for refund of any part of the $10 license his clientele may be fewer than those of destructive devices or a pawnbroker shall fee paid for such license. a dealer engaged in the business of buy- pay a fee of $10 per year. ing and selling firearms or ammunition. Editor’s Note: Authority to implement the above re- The term “dealer” is defined in 18 quirements by such rules and regula- The fees for a dealer (01), including U.S.C. 921(a)(11) to include “any per- tions as the Secretary may deem neces- pawnbroker (02), in firearms other than son engaged in the business of re- sary is found at 18 U.S.C. 926. destructive devices is now $200 for a 3 pairing firearms or of making -or fit year period. Request to establish a com- ting special barrels, stocks, or trigger In regard to renewal of licenses for mon expiration date for all licenses issued mechanisms to firearms.” dealers in firearms or ammunition, reg- to a dealer operating at several locations ulations in 26 CFR 178.45, written under should be directed to the Chief, Federal One of the requirements under 18 the authority of 18 U.S.C. 926, require Firearms Licensing Center, at 244 Needy U.S.C. 923(d)(1) for approval of a deal- that if a licensee intends to continue in Road, Martinsburg, West Virginia 25405. er’s license is that the applicant has in the business of dealing in firearms or Approval of a request may result in lost a State premises from which he con- ammunition during any portion of the en- time on some license expirations. All li- ducts business subject to a license or suing year he shall execute and file prior censes included in the request for a com- from which he intends to conduct such to the date of expiration of his license an mon expiration date will be changed to business within a reasonable period of application for license renewal, Form 8 accommodate the earliest expiration date time. The term “business premises” is (Firearms) (Part 3), accompanied by the of the combination of licenses. Additional defined n 26 CFR 178.11 to mean:“The required fee. (Such application should renewal fees and/or renewals are not need- property on which firearms or am- be filed with the Director of the Internal ed. Ninety (90) days prior to the common munition importing, manufacturing Revenue Service Center for the internal expiration dates for all licenses a renew- or dealing business is or will be con- revenue region in which the business or al form will be generated by the Federal ducted. A private dwelling, no part of activity is operated). As to the duration of Firearms Licensing Center to the licensee. which is open to the public, shall not a license, regulations in 26 CFR 178.49 be recognized as coming within the state that a license shall not be issued meaning of the term.” The type of busi- [73 ATF C.B. 102] for a period of less than one year and ness premises, as well as the business that the license shall entitle the dealer hours, is required by 26 CFR 178.44 to 26 CFR 178.11: MEANING OF to engage in the specific business or ac- be included on the application for a fire- TERMS tivity for the period stated on the license arms dealer’s license. unless sooner terminated. (Also 178.23, 178.44) It is also provided in 18 U.S.C. 923(g) Held, licensed firearms or ammuni- that the premises of a licensee may be Because of the nature of operations tion dealers operating more than one lo- entered during business hours for the conducted by a gunsmith, he shall cation for which a license is required by purpose of inspecting or examining re- not be required to have business 26 CFR 178.41 may, upon approval of a cords or documents required to be kept premises open to the general public regional director, Bureau of Alcohol, To- as well as any firearms or ammunition or to have regular business hours. bacco and Firearms, establish a common kept or stored at such premises. expiration date for all licenses issued to ATF Rul. 73-13 their several locations. Dealers wishing Held, because of the nature of opera- to establish such a date for all licenses tions conducted by a gunsmith, any ap- Advice has been requested whether a issued to them may make application in plicant for a license who intends to en- gunsmith must establish business prem- writing to the regional director of the re- gage solely in this type of business and ises open to the general public and reg- gion in which the businesses or activities so specifies on his application will not be ular business hours in the same manner are operated. The application should set required to maintain regular business as dealers engaged in the business of out the requested common expiration hours. Further, if the business is con- selling firearms or ammunition at whole- date and should list all licensed premises ducted from a private dwelling, a sepa- sale or retail in order to be eligible for in the region covered by the application. rate portion should be designated as the a license under the provisions of Chap- The regional director will advise the deal- business premises, which need not be ter 44, Title 18, United States Code and er whether the request may be approved open to all segments of the public but regulations issued pursuant thereof. and, if approved, will provide the neces- only accessible to the clientele that the sary instructions and renewal applica- business is set up to serve. However, It has been pointed out that generally, tions. It is pointed out that approval of a the licensed premises of the gunsmith the clientele of a gunsmith who is not en- request will probably require that two re- are subject to the inspection require- gaged in the business of selling firearms newal applications be submitted for each ments of 18 U.S.C. 923(g) and 26 CFR or ammunition at wholesale or retail are premises, i.e., one to cover the period 178.23 and the gunsmith must maintain only those persons seeking to have fire- from the currently required renewal date the required records as specified in 26 arms repaired or altered as opposed to to the requested common expiration date CFR 178.121 et seq.

119 It is further held that, since under the examiners concerning the receipt, and pert and, where the applicant intends to law a gunsmith is a licensed firearms subsequent return, in interstate com- perform testing or examination services dealer, if he engages in the business of merce of firearms from nonlicensed infor one or more persons on a continuing buying and selling firearms, he must re- dividuals for testing and examination for basis, the statement shall include the cord his transactions on Form 4473 (Fire- the purpose of furnishing expert testimo- name, address, and nature of business arms Transaction Record) for each sale, ny about those firearms. of such persons. A license as a dealer in and maintain the firearms acquisition and firearms will be issued only after the Re- disposition records required of all licensed 18 U.S.C. 922(a)(2)(A) permits an gional Director is satisfied that the appli- dealers. However, if a gunsmith engages individual to ship (and have returned to cant is a bona fide consultant or expert in the business of buying and selling fire- him) in interstate commerce a firearm and is otherwise qualified under the law. arms during the term of his current license, to a firearms licensee for repair or cus- he may be required to submit a new Form tomizing. Furthermore, the definition of Since a licensed firearms consultant or 7 (Firearms) at the time of renewal in ac- a firearms dealer in 18 U.S.C. 921 and expert is a firearms dealer if he engag- cordance with 26 CFR 178.45 and meet 26 CFR 178.11 is sufficiently broad that es in the business of buying and selling the requirements of an applicant engaging it can be interpreted to include a qual- firearms, he must record his transactions in the business of buying and selling fire- ified firearms consultant or expert who on Form 4473 (Firearms Transaction Re- arms, such as having business premises is engaged in the business of testing cord) for each sale, and maintain the fire- open to the general public and having reg- or examining firearms. In view of these arms acquisition and disposition records ular business hours. provisions, the Bureau has determined required of all licensed dealers. If a fire- that firearms consultants or experts may arms consultant or expert engages in the [Amplified by ATF Rul. 77-1] be licensed as firearms dealers in or- business of buying and selling firearms der that they may receive firearms from during the term of his current license, he Editor’s Note: nonlicensed individuals for testing and may be required to submit a new Form 7 examination. (Firearms) at the time of renewal in accordance with 26 CFR 178.45 and meet Gunsmiths are no longer required to Because of the nature of operations the requirements of an applicant engag- hold a separate license. These activities conducted by a firearms consultant or ing in the business of buying and selling are now covered under a type 01 license. expert, any licensed dealer who engag- firearms, such as having business prem- es solely in this type of business will not ises open to the general public and hav- 27 CFR 178.11: MEANING OF TERMS be required to maintain regular business ing regular business hours. hours. If the business is conducted from (Also 178.23, 178.44, 178.99, 178.124) a private residence, a separate portion For ruling respective to licensing of of the dwelling should be designated as gunsmiths, see ATF Ruling 73-13, 1973- Because of the nature of operations “business premises.” Such premises 8 ATF Bulletin 9. conducted by a consultant or expert, need not be open to all segments of the he shall not be required to have busi- public but only accessible to the clien- ness premises open to the general Editor’s Note: tele that the business is set up to serve. public or to have regular business However, the licensed premises of the hours. ATF Ruling 73-19 was modified by firearms consultant-expert shall be sub- ATF Ruling 2010-1. Industry Circular 72- ject to inspection under the authority of ATF Rul. 73-19 23 is no longer in effect (see ATF Ruling 18 U.S.C. 923(g) and 26 CFR 178.23. 2010-1). The purpose of this ruling is to provide A licensed firearms consultant or ex- guidelines under which bona fide firearms ATF underwent a restructuring in 1998 pert shall maintain records of receipt consultants or experts may obtain licens- and replaced its Regional Directors with and delivery of firearms, as is required es as firearms dealers and thereby be a Director of Industry Operations (DIO) by 26 CFR 178, Subpart H, except that permitted to receive firearms in interstate in each field division. Unless otherwise the licensee need not prepare Forms commerce from nonlicensed individuals noted, the DIO is the approving official 4473, Firearms Transaction Record, re- for testing or examination purposes. for action formerly taken by the regional flecting the firearms examined. Howev- directors. er, shipments and deliveries of firearms Revenue Ruling 69-248, C.B. 1969-1, shall not be made in care of persons 360 (Internal Revenue) permits firearms [This ATF ruling does not apply to fire- ineligible to receive them under Section licensees to ship, transport, or deliver 922(h), Title 18, U.S.C., or under Title VII arms within the purview of the National firearms and ammunition in interstate of the Omnibus Crime Control and Safe Firearms Act (26 U.S.C. Chapter 53)] commerce to their nonlicensed employ- Streets Act of 1968 (18 U.S.C. Appen- ees, agents, or representatives for busi- dix, Sections 1201-1203). [73 ATF C.B. 93] ness purposes. As was clarified in Indus- try Circular 72-23 the ruling also permits A firearms consultant or expert who 26 CFR 179.104: REGISTRATION OF firearms licensees to similarly transfer desires to obtain a license as a dealer FIREARMS BY CERTAIN GOVERN- firearms and ammunition to nonlicensed in firearms shall file Form 7 (Firearms), MENTAL ENTITIES professional writers, consultants, and Application for License Under 18 U.S.C. evaluators for research or evaluation. Chapter 44, Firearms, in the manner When NFA firearms are registered prescribed by 26 CFR 178.44. The ap- on Form 10 by governmental enti- The Bureau of Alcohol, Tobacco and plication shall include a statement that ties, subsequent transfers of such Firearms has received inquiries from the applicant is engaged in business as firearms shall be made only to other firearms consultants, evaluators, and a bona fide firearms consultant or ex- governmental entities.

120 ATF Rul. 74-8 ported, shipped, received, or imported 26 CFR 178.124: FIREARMS TRANS- handguns into the United States to their ACTION RECORDS Advice has been requested whether place of residence pursuant to 18 U.S.C. the Bureau will approve transfer of Na- 925(a)(4) without obtaining the required (Also 178.123, 178.125, 178.147) tional Firearms Act weapons by a state or permit or other authorization required by political subdivision (Police department) their state of residence to acquire, pos- Form 4473 shall not be required to to a special occupational taxpayer where sess, or own (as opposed to a license to record disposition of a like replace- such firearms were registered in the Na- purchase) handguns. ment firearm when such firearm is tional Firearms Registration and Transfer delivered by a licensee to the person Record pursuant to 26 CFR 179.104. Title 18 U.S.C. 925(a)(4) provides from whom the malfunctioning or that when established to the satisfac- damaged firearm was received, pro- Section 179.104 of the regulations tion of the Secretary of the Treasury to vided such disposition is recorded in provides that any state, any political be consistent with the provisions of 18 the licensee’s permanent records. subdivision thereof, or any official police U.S.C., Chapter 44 and other applicable organization of such a government en- Federal and State laws and published ATF Rul. 74-20 tity engaged in criminal investigations, ordinances, the Secretary may authorize which acquires for official use a firearm the transportation, shipment, receipt, or The Bureau of Alcohol, Tobacco and not registered to it, such as by abandon- importation into the United States to the Firearms has been requested to state its ment or by forfeiture, will register such place of residence of any member of the position in regard to the requirement for firearm with the Director by filing Form United States Armed Forces who is on the execution of a Firearms Transaction 10 (Firearms), Registration of Firearms active duty outside the United States Record, Form 4473, when a defective, Acquired by Certain Governmental En- (or has been on active duty outside the damaged or otherwise malfunctioning tities, and that such registration shall United States within the 60-day period firearm is replaced by a federal licensee become a part of the National Firearms immediately preceding the transporta- as an alternative to the repair and return Registration and Transfer Record. tion, shipment, receipt or importation), of to the purchaser of the defective firearm. any firearm or ammunition which is (a) The purpose of the above regulation determined by the Secretary to be gen- The proviso under 26 CFR 178.124(a) was to permit the limited registration of erally recognized as particularly suitable states that Form 4473 shall not be re- firearms by certain governmental entities for sporting purposes, or determined by quired to record the disposition made of for official use only. Section 179.104 may the Department of Defense to be a type a firearm that is delivered to a licensee not be used as a vehicle to register other- of firearm normally classified as a war for the sole purpose of repair or custom- wise unregisterable firearms for the pur- souvenir; and (b) intended for the per- izing when such firearm is returned to pose of introducing such firearms into or- sonal use of such member. the person from whom received. No spe- dinary commercial channels. Accordingly cific mention is made in that statement when registration of firearms by govern- 26 CFR 178.114(a) provides that in regard to a “replacement” that may mental entities is approved on Form 10, an application for a permit to import a be furnished to the customer in lieu of the form will be marked “official use firearm or ammunition into the United repairing and returning the damaged or only.” The Bureau will approve subse- States to the place of residence of any malfunctioning merchandise. However, quent transfers of such firearms only to military member of the United States 26 CFR 178.147 states “. . . notwith- other governmental entities for official Armed Forces on active duty outside the standing any other provisions of this use. Otherwise such firearms must be United States shall include a certification part, the . . . licensed manufacturer . . destroyed or abandoned to the Bureau. by the applicant that the transportation, . may return in interstate commerce . receipt or possession of the firearm or . . a replacement firearm of the same [74 ATF C.B. 67] ammunition to be imported would not kind and type.” In view of the above, 26 constitute a violation of any State law or CFR 178.147 may be so interpreted as 26 CFR 178.114: IMPORTATION BY local ordinance at the place of the appli- to allow the disposition of such firearms MEMBERS OF THE U.S. ARMED cant’s residence. without the execution of Form 4473 to FORCES record the transaction. In order to assure that the transpor- A member of the U.S. Armed Forces tation, shipment, receipt or importation It is held, therefore, that a firearms who is a resident of any State or ter- of handguns under 18 U.S.C. 925(a) transaction record, Form 4473, shall not ritory which requires that a permit or (4) is not in violation of applicable State be required to record the disposition of other authorization be issued prior laws, it is held that, any member of the a replacement firearm of the same kind to possessing or owning a handgun United States Armed Forces who is a and type where such a firearm is deliv- shall submit evidence of compliance resident of any State or territory which ered by a licensee to the person from with State law before an application requires that a permit or authorization whom the malfunctioning or damaged to import a handgun may be ap- be obtained prior to acquiring, possess- firearm was received. proved. ing or owning a handgun, must submit a copy of the license, permit, certificate It should be noted, however, that the ATF Rul. 74-13 of registration, or firearm identification licensee is required by 26 CFR 178.125 card, as applicable, as required by his to maintain in his permanent records the State and local authorities have State in order for an application to import disposition of such a replacement fire- called to the attention of the Bureau a handgun under 18 U.S.C. 925(a)(4) to arm. of Alcohol, Tobacco and Firearms in- be approved. stances in which members of the Unit- [74 ATF C.B. 61] ed States Armed Forces have trans- [74 ATF C.B. 60]

121 26 CFR 178.11: MEANING OF TERMS the simple attachment of a barrel/cham- 27 CFR 178.94: SALES OR DELIVER- ber to the firing mechanism. IES BETWEEN LICENSEES (Also 179.11) Held, a small caliber weapon ostensi- A firearms licensee may continue op- A small caliber weapon ostensibly bly designed to expel only tear gas, sim- erations until his renewal application designed to expel only tear gas, similar substances or pyrotechnic signals for a license is finally acted upon. ilar substances, or pyrotechnic sig- by the action of an explosive, which may nals, which may readily be converted readily be converted to expel a projectile ATF Rul. 75-27 to expel a projectile by means of an by means of an explosive, constitutes, explosive, classified as a firearm. a “firearm” within the purview of 18 Under 5 U.S.C. 558, when a licensee U.S.C. 921(a)(3)(A). has made timely and sufficient applica- ATF Rul. 75-7 tion for a renewal in accordance with Such weapons manufactured with- agency rules, a license with reference to The Bureau has re-examined its po- in the United States on or after June 1, an activity of a continuing nature does sition with respect to the applicability of 1975, will be subject to all of the provi- not expire until the application has been Titles I and II of the Gun Control Act of sions of Chapter 44 and 26 CFR Part finally determined by the agency. In ac- 1968 (Chapter 44 of Title 18 U.S.C. and 178. Such weapons manufactured before cordance with section 558, a firearms Chapter 53 of Title 26 U.S.C. (National June 1, 1975, will not be treated as sub- licensee who timely applies for renewal Firearms Act)), to small caliber weap- ject to the provisions of Chapter 44 and of his license is authorized to continue ons (commonly known as “penguns”) 26 CFR Part 178 in order to allow per- his firearms operations as authorized by ostensibly designed to expel only tear sons manufacturing and dealing in such his license until his renewal application gas, similar substances or pyrotechnic weapons to comply with the provisions of is finally acted upon. As provided by 27 signals by the action of an explosive. Chapter 44 and 26 CFR Part 178. CFR 178.94, a transferor licensee is authorized to continue to make shipments Revenue Ruling 56-29, C.B. 1956-1, Since such weapons are not generally to a licensee for not more than 45 days 552 (Internal Revenue) held that a tear recognized as particularly suitable for or following the expiration date of the trans- gas gun designed to expel only a gas or readily adaptable to sporting purposes feree’s license. other mist rather than a shot or a pro- (18 U.S.C. 925(d)(3)), the importation of jectile was not a “firearm” as that term such weapons is prohibited unless such Held, a transferor licensee may con- was previously defined in the repealed importation comes within one of the stat- tinue to make firearms and ammunition Federal Firearms Act and in the Nation- utory exceptions provided in 18 U.S.C. shipments to a licensee who has time- al Firearms Act. Revenue Ruling 56-29 925. The importation of such weapons ly applied for renewal of his license but also held that if such a device was capa- pursuant to an unexpired permit will not has not had his application acted upon ble of firing other than the shells or car- be affected by this Ruling. within 45 days after the expiration of his tridges designed for use therewith, such license. The transferor licensee shall, as fixed metallic cartridges or shotgun The Bureau has long held that such however, in cases where the 45-day shells, it would be a “firearm” within the weapons when actually converted to fire period has passed, obtain appropriate purview of the National and/or Federal other than the gas or pyrotechnic car- evidence that the transferee’s license Firearms Acts, depending upon the indi- tridges originally designed for use there- renewal application is still pending in vidual characteristics of the device. with are “firearms” under Chapter 44 the office of the (Compliance), Bureau and the National Firearms Act, depend- of Alcohol, Tobacco and Firearms. Such The Bureau has had occasion to ing upon the individual characteristics of evidence should consist of a letter from re-examine such weapons for the pur- the weapon. See Revenue Ruling 56- the Regional Director (Compliance), to pose of determining their status under 29, supra, and Revenue Ruling 56-597, the transferee licensee stating that his the Gun Control Act of 1968. Such weap- C.B. 1956-2, 931 (Internal Revenue). renewal application has been timely ons are readily concealable and ostensi- These determinations with respect to received and that action thereon is cur- bly designed to expel only tear gas, sim- the converted weapon were not altered rently pending. ilar substances or pyrotechnic signals by by the amended definitions of the term the action of an explosive, normally by “firearm” now found in 18 U.S.C. 921(a) Editor’s Note: means of a firing mechanism designed (3) and the term “any other weapon” to accept a plastic or extruded aluminum in 26 U.S.C. 5845(e). Accordingly, any Renewal applications are processed by helix-type disposable cartridge. such weapon which is capable of be- the Federal Firearms Licensing Center in ing concealed on the person which has Martinsburg, West Virginia. A request Unlike the definition of “firearm” in originally been designed or converted to for a Letter of Authorization (LOA) can the repealed Federal Firearms Act, the discharge a shot through the energy of be obtained from the Chief, Federal Fire- term “firearm” as used in 18 U.S.C. an explosive will remain subject to the arms Licensing Center, stating that the 921(a)(3) includes “any weapon (in- provisions of the National Firearms Act transferee’s renewal application has been cluding a starter gun) which will or as an “any other weapon” (26 U.S.C. timely received and that action is current- is designed to or may readily be con- 5845(e)). ly pending. Upon issuance of an LOA, the verted to expel a projectile by the ac- FFL EzCheck system will show the date tion of an explosive.” Tests performed Revenue Ruling 56-29, C.B. 1956-1, the LOA was issued and the date it will on these weapons have established that 552 (Internal Revenue), is hereby re- expire. they may readily be converted to expel a voked. projectile by the action of an explosive, [75 ATF C.B. 60] normally by means of a minor alteration [75 ATF C.B. 55] of the expanded Helix cartridge and/or

122 27 CFR 178.92: IDENTIFICATION OF shoulder and not capable of firing fixed a pawnbroker, upon receiving a firearm FIREARMS ammunition. Since the Taser meets the as a pledge, should enter such receipt statutory definition, it is an “any other into his permanent acquisition and dis- Importers may adopt serial numbers weapon” (26 U.S.C. 5845(e)). position record. Furthermore, some placed on certain firearms by foreign pawnbrokers are unsure whether the manufacturers. Held, a hand-held device designed provisions of section 178.126a relating to expel by means of an explosive two to reporting multiple sales or other dis- ATF Rul. 75-28 electrical contacts (barbs) connected positions of pistols and revolvers apply by two wires attached to a high voltage in connection with the redemption or This ruling is superseded by ATF Rul. source in the device is a “firearm” with- sale of pawned firearms. 2013-3. in the purview of 18 U.S.C. 921(a)(3)(A). It is also an “any other weapon” under 18 U.S.C. 923(g) provides in part that 27 CFR 178.11: MEANING OF TERMS the National Firearms Act (26 U.S.C. each licensee shall maintain such re- 5845(e)). cords of shipment, receipt, sale, or other (Also 179.11) disposition of firearms and ammunition In order to allow persons manufactur- in such manner as the Secretary may by A hand-held device designed to ex- ing and dealing in such weapons to com- regulation prescribe. 18 U.S.C. 922(b) pel by means of an explosive two ply with the provisions of Chapter 44 and (5) provides that it shall by unlawful for electrical contacts (barbs) connected 27 C.F.R. Part 178, this ruling will be ap- any firearms licensee to sell or deliver by two wires attached to a high volt- plicable to such weapons manufactured any firearm or ammunition to any person age source in the device classified as within the United States on or after May unless the licensee notes in his records a firearm. 1, 1976. Such weapons manufactured the name, age, and place of residence before May 1, 1976, will not be treated of such person. 27 CFR 178.124(a) pro- ATF Rul. 76-6 as subject to the provisions of Chapter vides in part that a licensed dealer shall 44 and 27 C.F.R. Part 178. With respect not sell or otherwise dispose of, tempo- The Bureau has been asked to de- to the “any other weapon” classifica- rarily or permanently, any firearm to any termine the applicability of Titles I and II tion under the National Firearms Act, person, other than another licensee, of the Gun Control Act of 1968 (Chapter pursuant to 26 U.S.C. 7805(b), this rul- unless he records the transaction on a 44 of Title 18 U.S.C., and Chapter 53 of ing will not be applied to such weapons firearms transaction record, Form 4473. Title 26 U.S.C. (National Firearms Act)) manufactured before May 1, 1976. Ac- Pursuant to 27 CFR 178.125(e), each to a device known as the Taser, a hand- cordingly, such weapons manufactured licensed dealer is required to enter into held device designed to expel by means on or after May 1, 1976, will be subject a permanent record each receipt and of an explosive two electrical contacts to all the provisions of the National Fire- disposition of firearms. The regulations (barbs) connected by two wires attached arms Act and 27 CFR Part 179. in 27 CFR 178.126a provide that each to a high voltage source in the device. licensee shall report multiple sales or Upon contact with an individual, a high (Amplified by ATFR 80-20) [76 ATF C.B. other disposition of pistols and revolvers voltage electrical charge is carried to the 96] whenever he disposes of, at one time barbs by the wires which temporarily im- or during any five consecutive business mobilizes the victim. 27 CFR 178.124: FIREARMS TRANS- days, two or more pistols or revolvers ACTION RECORD or any combination of such weapons The term “firearm” as used in 18 totaling two or more to any unlicensed U.S.C. 921(a)(3)(A) includes “any (Also 178.125, 178.126a) person. weapon (including a starter gun) which will or is designed to or may Certain reporting and recordkeeping The regulations do not require that a readily be converted to expel a pro- requirements of pawnbrokers are ex- pawnbroker execute Form 4473 when jectile by the action of an explosive.” plained. a firearm is pledged for a loan. How- The Bureau has determined that the de- ever, he must record the receipt there- vice is a weapon and notwithstanding ATF Rul. 76-15 of in his permanent acquisition and the fact that the barbs and wires remain disposition record as required by 27 attached to the hand-held device after The Bureau of Alcohol, Tobacco and CFR 178.125(e). At the time a firearm expulsion, these items are projectiles Firearms has been asked to comment is redeemed by a nonlicensee pledgor, within the meaning of the statute. Since on the proper use of Form 4473, Fire- Form 4473 must be executed and the the projectiles are expelled by the action arms Transaction Record, the entering appropriate entry made in the perma- of an explosive, the weapon is a firearm of information into the firearms acquisi- nent acquisition and disposition record. under 18 U.S.C. 921(a)(3)(A). tion and disposition record, and the re- Although a redemption is not considered porting of multiple sales of pistols and a sale, it is a disposition for purposes With respect to the National Firearms revolvers by a pawnbroker. of 27 CFR 178.124(a), 178.125(e), and Act, the term “any other weapon” in 26 178.126a. See Huddleston v. United U.S.C. 5845(e) generally means a weap- Some confusion apparently exists States, 415 U.S. 814 (1974). on or device capable of being concealed among pawnbrokers as to whether Form on the person from which a shot can be 4473 should be executed at the time a However, no report of multiple sales discharged through the energy of an ex- firearm is accepted as a pledge bya and other dispositions is required to be plosive. Such term does not include a pawnbroker and whether another Form filed with ATF when the handguns are pistol or a revolver having a rifled bore, 4473 should be executed at the time returned to the person from whom re- or rifled bores, or weapons designed, the firearm is redeemed by the pledgor. ceived. made, or intended to be fired from the The question has also arisen whether

123 Held, Form 4473, Firearms Transac- ing in NFA firearms, such application will Where the repair of a customer’s fire- tion Record, need not be executed when be denied. In addition, if such person rearm results in an exchange of a frame a pawnbroker accepts a firearm as a ceives NFA firearms without the transfer or receiver, an entry shall be made pledge for a loan. However, if a nontax having been paid, such firearms may in the licensee’s records to show the licensee pledgor redeems the firearm be subject to seizure for forfeiture as hav- transfer of such replacement part, as it or if disposition of the firearm is made to ing been unlawfully transferred without is a “firearm” as defined in 18 U.S.C. any other nonlicensee, Form 4473 must payment of the transfer tax. 921(a)(3). Further, as held in ATF Ruling be executed. 74-20, 1974 ATF C.B. 61, a Form 4473, Rev. Rul. 58-432, 1958-2 C.B. 875 Firearms Transaction Record, shall not Held further, pawnbrokers must enter (Internal Revenue), is superseded. be required to record the disposition of into their permanent acquisition and dis- a replacement firearm of the same kind position record the receipt of a firearm as [76 ATF C.B. 103] and type where the firearm is delivered a pledge for a loan and any disposition, by the licensee to the person from whom including redemption, of such firearm. 27 CFR 178.121: GENERAL (Also the malfunctioning or damaged firearm 178.147) was received. The frame or receiver Held further, pawnbrokers must sub- received from the customer shall be en- mit reports of multiple sales and other Recordkeeping requirements for fire- tered as an acquisition, and if destroyed, dispositions of pistols and revolvers as arms from which parts are salvaged it shall be entered in the disposition re- required by 27 CFR 178.126(a) when for use in repairing firearms are clar- cord as destroyed. the person receiving them is not the per- ified. son who pawned the firearms. With regard to National Firearms ATF Rul. 76-25 Act firearms as defined in 26 U.S.C. [76 ATF C.B. 100] 5845(a), in addition to the above record- The Bureau of Alcohol, Tobacco and keeping requirements, the registration 27 CFR 179.11: MEANING OF TERMS Firearms has been asked to clarify the and transfer procedures of 27 CFR Part recordkeeping requirements for Title I 179 must be complied with. Mere possession of a license and a firearms from which parts are salvaged special tax stamp as a dealer in fire- for use in repairing firearms and the re- [76 ATF C.B. 99] arms does not qualify a person to recordkeeping requirements for frames ceive firearms transfer-tax-free. or receivers of firearms exchanged be- 27 CFR 178.121: GENERAL (RE- tween customers and licensees. CORDS) ATF Rul. 76-22 Section 921(a)(3) of Title 18, United The recordkeeping requirements for The Bureau has had occasion to con- States Code, and the regulations at 27 licensed gunsmiths are clarified. ATF sider the status of a person who repre- CFR 178.11 define the term “firearm” Rul. 73-13 amplified. sented himself as a dealer; registered to include any weapon which will, or is and paid the special (occupational) tax, designed to, or may readily be converted ATF Rul. 77-1 imposed under 26 U.S.C. 5801, as a to, expel a projectile by the action of an “dealer” in firearms as defined in sec- explosive, and the frame or receiver of The Bureau of Alcohol, Tobacco and tion 5845(a) of the National Firearms any such weapon. Firearms has received several requests Act (Chapter 53, Title 26, U.S.C.), made for a clarification as to the authorized application for and was duly issued a li- The regulations in 27 CFR 178.122, activities of and recordkeeping require- cense as a “dealer” under Title I of the 178.123 and 178.125 require each li- ments for licensed gunsmiths. Gun Control Act of 1968 (Chapter 44, Ti- censed importer, licensed manufactur- tle 18, U.S.C.); and it was subsequently er, and licensed dealer, respectively, to It has specifically come to our atten- established that the person procured the maintain such records of acquisition (in- tion that several gunsmiths desire to do special tax stamp and the license to fa- cluding by manufacture) or disposition, on-the-spot repairs at organized shoot- cilitate the purchase of firearms for his whether temporary or permanent, of fire- ing events. It has also come to our atten- personal collection. arms as therein prescribed. tion that several gunsmiths are uncertain as to what transactions are exempt from Held, the mere possession of a license Held, a licensee who purchases a dam- the recordkeeping requirements. and a special (occupational) tax stamp aged firearm for the purpose of salvaging as a dealer in firearms does not qualify parts therefrom shall enter receipt of the ATF Ruling 73-13, 1973 ATF C.B. a person to receive firearms transfer-tax- firearm in his firearms acquisition and dis- 92, held that a licensed gunsmith must free. Any person holding a license and a position record. If the frame or receiver of maintain the required records as spec- special tax stamp as a dealer in firearms the firearm is damaged to the extent that it ified in 27 CFR 178.121 et seq., and if and not actually engaged within the Unit- cannot be repaired, or if the licensee does a gunsmith engages in the business of ed States in the business of selling NFA not desire to repair the frame or receiver, buying and selling firearms, he must re- firearms may not lawfully receive NFA fire- he may destroy it and show the disposi- cord these transactions on a Form 4473 arms without the transfer tax having been tion of the firearm in his records as hav- (Firearms Transaction Record) for each paid by the transferor. Where it is, there- ing been destroyed. Before a firearm may sale. However, as provided in section fore, determined that the proposed trans- be considered destroyed, it must be cut, 178.124(a), a Form 4473 is not required feree on a Form 3, Application for Tax-ex- severed or mangled in such manner as to to record the disposition made of a fire- empt Transfer of Firearm and Registration render the firearm completely inoperative arm delivered to a gunsmith for repair or to Special (Occupational) Taxpayer, is not and such that it cannot be restored to an customizing when the firearm is returned actually engaged in the business of deal- operative condition. to the person from whom received.

124 The Bureau recognizes the necessity ATF Rul. 80-8 27 CFR 178.11: MEANING OF TERMS for having on-the-spot repairs made to firearms at skeet, trap, target, and sim- The Bureau of Alcohol, Tobacco and (Also 27 CFR 179.11) ilar organized events. It is, therefore, Firearms has received several inquiries held that licensed gunsmiths may make from firearms importers and dealers, law The Bureau has been asked to clas- immediate on-the-spot repairs to fire- enforcement agencies, and the public sify a device known as the Taser Model arms at skeet, trap, target, and similar requesting clarification of the statutes, TF76 and Model TF76A. Generally, the organized shooting events. regulations and procedures regarding Taser can be described as a hand-held the importation of firearms for law en- device designed to expel, by means of Held further, a licensed gunsmith must forcement agencies. an explosive, two electrical contacts enter into his bound acquisition and dispo- (barbs) which are connected by two sition record, required to be maintained by Importation of surplus military firearms wires to a high voltage source in the de- 27 CFR 178.125(e), each receipt and dis- or firearms not particularly suitable for or vice. position of firearms, except that a firearm readily adaptable to sporting purposes need not be entered in the bound acqui- is generally prohibited by section 925(d) ATF Rul. 80-20. sition and disposition record if the firearm (3) of Title 18, United States Code. How- is brought in for adjustment or repair and ever, section 925(a)(1) provides that this The Bureau has determined in ATF the owner waits while it is being adjusted prohibition does not apply to the impor- Rul. 76-6 that the Taser Model TF1 was or repaired or if the gunsmith returns the tation of firearms or ammunition sold a firearm as that term is defined in Title firearm to the owner during the same busi- or shipped to, or issued for the use of 18, United States Code (U.S.C.), Sec- ness day it is brought in. If the firearm is the United States or any department or tion 921(a)(3) and that the Model TF1 retained from one business day to another agency thereof or any State or any de- also met the “any other weapon” defi- or longer, it must be recorded in the bound partment, agency, or political subdivision nition found in the National Firearms Act acquisition and disposition record. thereof. (NFA), Title 26, U.S.C., Section 5845(e). This ruling was limited in its application Held further, a licensed gunsmith is not Pursuant to section 925(a)(1), the to Taser Models TF1 produced on or required to prepare a Form 4473 (Fire- Bureau has previously allowed the im- after May 1, 1976. The Taser Models arms Transaction Record) where a firearm portation of surplus military firearms and TF76 and TF76A were subsequently de- is delivered to him for the sole purpose of nonsporting firearms for individual law veloped and differ from the Taser Model customizing, adjustment, or repair and enforcement officers for official use. In TF1 in that these models each have a the firearm is returned to the person from approving such importation applications, hand grip bent at an angle to the bore whom received. However, if a licensed the Bureau required federal firearms and the bore of each is rifled. gunsmith engages in the business of sell- licensees to obtain from the agency ing firearms, he must record these trans- employing the officer a certificate of the The changes in the design of the Tas- actions on a Form 4473 for each sale in chief law enforcement officer stating that er Models TF76 and TF76A bring them addition to maintaining the bound firearms the firearm or ammunition is for use in within the exclusion found in the “any acquisition and disposition record required the performance of official duties. other weapon” definition of the NFA by 27 CFR 178.125(e). for pistols and revolvers having a rifled However, once these firearms are bore, or rifled bores. ATF Rul. 73-13, 1973 ATF C.B. 92, is imported for the individual officer for hereby amplified. “official use,” there is no prohibition Held, the Taser Models TF76 and in the law against the officer’s resale TF76A are not subject to the provisions [77 ATF C.B. 185] or retention of the firearms for personal of the NFA. However, they are firearms use. The purpose of section 925(a)(1) is as defined in Title 18, U.S.C., Section 27 CFR 178.124: FIREARMS TRANS- to permit importation of firearms for the 921(a)(3) and are subject to the provi- ACTION RECORD exclusive use of government agencies. sions of Title 18, U.S.C., Chapter 44 and The statute was not intended and may Title 27, Code of Federal Regulations, Means of identification furnished by not be used as a vehicle by which un- Part 178. a nonlicensee purchasing a firearm. importable firearms can be introduced into ordinary commercial channels in the ATF Rul. 76-6, ATF C.B. 1976, 96, is ATF Rul. 79-7 United States. hereby amplified.

This ruling is superseded by ATF Rul. Held, a licensee’s application to import [ATFB 1980-4 24] 2001-5. surplus military firearms or nonsporting firearms or ammunition for law enforce- 27 CFR 178.11: MEANING OF TERMS 27 CFR 178.112: IMPORTATION BY A ment officers will not be approved unless LICENSED IMPORTER accompanied by a purchase order from An out-of-State college student may a department or agency of the United establish residence in a State by APPLICATIONS TO IMPORT SUR- States or any department, agency or residing and maintaining a home in PLUS MILITARY FIREARMS OR political subdivision of any State. The a college dormitory or in a location NONSPORTING FIREARMS OR term “State” includes the District of Co- off-campus during the school term. AMMUNITION FOR INDIVIDUAL LAW lumbia, the Commonwealth of Puerto ENFORCEMENT OFFICERS FOR Rico, and the possessions of the United ATF Rul. 80-21 OFFICIAL USE MUST BE ACCOM- States. PANIED BY THE AGENCY’S PUR- The Bureau has been asked to de- CHASE ORDER. [80 ATF C.B. 20] termine the State of residence of out-

125 of-State college students for purposes a Federally licensed importer. However, United States from a residence out- of the Gun Control Act of 1968. “State a personally owned firearm may be im- side of the United States or, in the of residence” is defined by regula- ported through a Federally licensed im- case of an alien, is lawfully immigrat- tion in 27 C.F.R. 178.11 as the State in porter, manufacturer, or dealer. ing to the United States from a res- which an individual regularly resides or idence outside of the United States, maintains a home. The regulation also Section 922(a)(3) of Title 18, United and provides an example of an individual States Code, makes it unlawful, with who maintains a home in State X and certain exceptions, for a person to bring (2) the firearms are being imported a home in State Y. The individual reg- into his State of residence a firearm for personal use and not for resale. ularly resides in State X except for the which he acquired outside that State. summer months and in State Y for the An unlicensed resident of a State must, [ATFB 1981-3 77] summer months of the year. The reg- therefore, arrange for the importation of ulation states that during the time the the firearm through a Federal firearms 27 CFR 179.11: MEANING OF TERMS individual actually resides in State X he licensee. is a resident of State X, and during the The AR15 auto sear is a machinegun time he actually resides in State Y he is The definition of “State of resi- as defined by 26 U.S.C. 5845(b). a resident of State Y. dence” in 27 CFR 178.11 provides that the State in which an individual regu- ATF Rul. 81-4 Applying the above example to out- larly resides or maintains a home is of- State college students it is held, that the State of residence of that person. The Bureau of Alcohol, Tobacco and during the time the students actually U.S. citizens who reside outside of the Firearms has examined an auto sear reside in a college dormitory or at an United States are not residents of a known by various trade names includ- off-campus location they are considered State while so residing. A person law- ing “AR15 Auto Sear,” “Drop In Auto residents of the State where the dormito- fully immigrating to the United States Sear,” and “Auto Sear II,” which con- ry or off-campus home is located. During is not a resident of a State unless he sists of a sear mounting body, sear, the time out-of-State college students is residing and has resided in a State return spring, and pivot pin. The Bu- actually reside in their home State they for a period of at least 90 days. There- reau finds that the single addition of are considered residents of their home fore, such persons are not precluded this auto sear to certain AR15 type State. by section 922(a)(3) from importing into semiautomatic rifles, manufactured the United States any firearms acquired with M16 internal components already [ATFB 1980-4 25] outside of the United States that may installed, will convert such rifles into be lawfully imported. The firearms must machineguns. The National Firearms 27 CFR 178.111: GENERAL accompany such persons since once a Act, 26 U.S.C. 5845(b), defines “ma- person is in the United States and has chinegun” to include any combination Nonresident U.S. citizens returning acquired residence in a State he may of parts designed and intended for use to the United States and nonresident import a firearm only by arranging for in converting a weapon to shoot auto- aliens lawfully immigrating to the the importation through a Federal fire- matically more than one shot, without United States may obtain a permit to arms licensee. manual reloading, by a single function import firearms acquired outside of of the trigger. the United States, provided such fire- As applicable to this ruling, 18 U.S.C. arms may be lawfully imported. 925(d) provides that firearms are import- Held: The auto sear known by vari- able if they are generally recognized as ous trade names including “AR15 Auto ATF Rul. 81-3 particularly suitable for, or readily adapt- Sear,” “Drop In Auto Sear,” and “Auto able to, sporting purposes, excluding Sear II,” is a combination of parts de- The Bureau of Alcohol, Tobacco and National Firearms Act (NFA) firearms signed and intended for use in convert- Firearms (ATF) has received several in- and surplus military firearms. ing a weapon to shoot automatically quiries regarding the proper procedures more than one shot, without manual re- to be used by U.S. citizens residing Held, a nonresident U.S. citizen reloading, by a single function of the trig- overseas who are returning to the Unit- turning to the United States after having ger. Consequently, the auto sear is a ed States, and by persons lawfully immi- resided outside of the United States, or machinegun as defined by 26 U.S.C. grating to the United States, who desire a nonresident alien lawfully immigrating 5845(b). to import personally owned firearms ac- to the United States, may apply for a quired outside of the United States. permit from ATF to import for personal With respect to the machinegun clas- use, not for resale, firearms acquired sification of the auto sear under the A permit issued by ATF is, with certain outside of the United States without National Firearms Act, pursuant to 26 exceptions, required to import or bring having to utilize the services of a Fed- U.S.C. 7805(b), this ruling will not be ap- into the United States any firearm ac- eral firearms licensee. The application plied to auto sears manufactured before quired outside of the United States. No on ATF Form 6 Part I (7570.3A), Ap- November 1, 1981. Accordingly, auto permit is required to return a firearm to plication and Permit for Importation of sears manufactured on or after Novem- the United States provided that the per- Firearms, Ammunition and Implements ber 1, 1981, will be subject to all the pro- son bringing in the firearm can establish of War, should include a statement, on visions of the National Firearms Act and to the satisfaction of the U.S. Customs the application form or on an attached 27 CFR Part 179. Service officials at the port of entry that sheet, that: the firearm was previously taken out of [ATFQB 1981-3 78] the United States by such person. A fire- (1) the applicant is a nonresident arm may be imported for resale only by U.S. citizen who is returning to the

126 Editor’s Note: viously could shoot automatically but pin) in the SM10 and SM11A1 pistols will not in their present condition. The and in the SAC carbine, permits the fire- Regardless of the date of manufacture “designed” definition includes those arms to shoot automatically, more than of a drop in auto sear (i.e., before or af- weapons which have not previously one shot, without manual reloading, by a ter November 1, 1981) the possession or functioned as machineguns but possess single function of the trigger. The above transfer of an unregistered drop in auto design features which facilitate full auto- combination of design features as em- sear (a machinegun as defined) is prohib- matic fire by simple modification or elim- ployed in the SM10 and SM11A1 pistols ited by the National Firearms Act (NFA), ination of existing component parts. and the SAC carbine are normally not 26 U.S.C. § 5861, and the Gun Control found in typical sporting firearms. Act, 18 U.S.C. § 922(o). The last para- Held: The KG-9 pistol is designed to graph of ATF Ruling 81-4 only exempts shoot automatically more than one shot, The National Firearms Act, 26 U.S.C. the making, transfer, and special (occu- without function of the trigger. Conse- § 5845(b), defines a machinegun to pational) taxes imposed by the NFA with quently, the KG-9 pistol is a machinegun include any weapon which shoots, is respect to the making, manufacture, or as defined in section 5845(b) of the Act. designed to shoot, or can be readily re- transfer of drop in auto sears prior to stored to shoot, automatically more than November 1, 1981. See 26 U.S.C. §§ 5801, With respect to the machinegun clas- one shot, without manual reloading, by a 5811, 5821, 7805(b)(8). sification of the KG-9 pistol under the single function of the trigger. National Firearms Act, pursuant to 26 27 CFR 179.11: MEANING OF TERMS U.S.C. § 7805(b), this ruling will not be The “shoots automatically” defini- applied to KG-9 pistols manufactured tion covers weapons that will function The KG-9 pistol is a machinegun as before January 19, 1982. Accordingly, automatically. The “readily restorable” defined in the National Firearms Act. KG-9 pistols manufactured on or after definition defines weapons which pre- January 19, 1982, will be subject to all viously could shoot automatically but ATF Rul. 82-2 the provisions of the National Firearms will not in their present condition. The Act and 27 CFR Part 179. “designed” definition includes those The Bureau of Alcohol, Tobacco and weapons which have not previously Firearms has examined a firearm identi- [ATFB 1982-1 18] functioned as machineguns but possess fied as the KG-9 pistol. The KG-9 is a 9 design features which facilitate full au- millimeter caliber, semiautomatic firearm 27 CFR 179.11: MEANING OF TERMS tomatic fire by a simple modification or which is blowback operated and which elimination of existing component parts. fires from the open bolt position with the The SM10 and SM11A1 pistols and bolt incorporating a fixed firing pin. In ad- SAC carbines are machineguns as Held: The SM10 and SM11A1 pistols dition, a component part of the weapon defined in the National Firearms Act. and the SAC carbine are designed to is a disconnector which prevents more shoot automatically more than one shot, than one shot being fired with a single ATF Rul. 82-8 without manual reloading, by a single function of the trigger. function of the trigger. Consequently, The Bureau of Alcohol, Tobacco and the SM10 and SM11A1 pistols and SAC The disconnector is designed in the Firearms has reexamined firearms iden- carbines are machineguns as defined in KG-9 pistol in such a way that a simple tified as SM10 pistols, SM11A1 pistols, Section 5845(b) of the Act. modification to it, such as cutting, filing, and SAC carbines. The SM10 is a 9 or grinding, allows the pistol to operate millimeter or .45ACP caliber, semiauto- With respect to the machinegun clas- automatically. Thus, this simple modifi- matic firearm; the SM11A1 is a .380ACP sification of the SM10 and SM11A1 pis- cation to the disconnector together with caliber, semiautomatic firearm; and the tols and SAC carbines, under the Nation- the configuration of the above design SAC carbine is a 9 millimeter or .45ACP al Firearms Act, pursuant to 26 U.S.C. § features (blowback operation, firing from caliber, semiautomatic firearm. The 7805(b), this ruling will not be applied to the open bolt position, and fixed firing weapons are blowback operated, fire SM10 and SM11A1 pistols and SAC car- pin)in the KG-9 permits the firearm to from the open bolt position with the bolt bines manufactured or assembled be- shoot automatically more than one shot, incorporating a fixed firing pin, and the fore June 21, 1982. Accordingly, SM10 without manual reloading, by a single barrels of the pistols are threaded to ac- and SM11A1 pistols and SAC carbines, function of the trigger. The above com- cept a silencer. In addition, component manufactured or assembled on or after bination of design features as employed parts of the weapons are a disconnector June 21, 1982, will be subject to all the in the KG-9 is normally not found in the and a trip which prevent more than one provisions of the National Firearms Act typical sporting firearm. shot being fired with a single function of and 27 CFR Part 179. the trigger. The National Firearms Act, 26 U.S.C. [ATFB 1982-2 49] § 5845(b), defines a machinegun to The disconnector and trip are de- include any weapon which shoots, is signed in the SM10 and SM11A1 pistols 27 CFR 179.11: MEANING OF TERMS designed to shoot, or can be readily re- and in the SAC carbine (firearms) in stored to shoot, automatically more than such a way that a simple modification to The YAC STEN MK II carbine is a ma- one shot, without manual reloading, by a them, such as cutting, filing, or grinding, chinegun as defined in the National single function of the trigger. allows the firearms to operate automat- Firearms Act. ically. Thus, this simple modification to The “shoots automatically” defini- the disconnector or trip, together with ATF Rul. 83-5 tion covers weapons that will function the configuration of the above design automatically. The “readily restorable” features (blowback operating, firing from The Bureau of Alcohol, Tobacco and definition defines weapons which pre- the open bolt position, and fixed firing Firearms has examined a firearm iden-

127 tified as the YAC STEN MK II carbine. A National Firearms Act (NFA) fire- The implementing regulation, 27 CFR The YAC STEN MK II carbine is a 9 mil- arm may not be imported for use as a Section 179.111, provides that the per- limeter caliber firearm which has identi- sample for sales to law enforcement son importing or bringing a firearm into cal design characteristics to the original agencies if the firearm is a curio or the United States or any territory under selective fire STEN submachinegun de- relic unless it is established that the its control or jurisdiction has the burden signed by Reginald Vernon Shepherd firearm is particularly suitable for of proof to affirmatively establish that the and Harold John Turpin. The weapon use as a law enforcement weapon. firearm is being imported or brought in is blowback operated and fires from the for one of the authorized purposes. In open bolt position with the bolt incor- ATF Rul. 85-2 addition, a detailed explanation of why porating a fixed firing pin. In addition, a the importation falls within one of the component part of the weapon is a trip The Bureau of Alcohol, Tobacco and authorized purposes must be attached lever (disconnector) which has been Firearms has approved a number of to the application to import. The mere modified to prevent more than one shot applications to import National Fire- statement that an NFA firearm is being being fired with a single function of the arms Act (NFA) firearms for the use of imported as a sales sample for demon- trigger. registered importers to generate orders stration to law enforcement agencies for such firearms from law enforcement does not meet the required burden of The trip lever (disconnector) is de- agencies. proof and is not a detailed explanation signed in such a way that a simple mod- of why the importation falls within the im- ification to it, such as bending, breaking A review of the characteristics of the port standards. or cutting, allows the weapon to operate NFA firearms approved for importation automatically. Thus, this simple modi- as sales samples indicates that some of Held, an application to import a Na- fication to the trip lever (disconnector), the firearms are not being imported for tional Firearms Act firearm as a sam- together with STEN submachinegun the purposes contemplated by the stat- ple in connection with sales of such design features and components in the ute. Some of the NFA firearms imported firearms to law enforcement agencies YAC STEN MK II carbine, permits the are, in fact, curios or relics and are more will not be approved if the firearm is firearm to shoot automatically, more than suitable for use as collector’s items than determined to be a curio or relic unless one shot, without manual reloading by a law enforcement weapons. it is established by specific information single function of the trigger. The above that the firearm is particularly suitable combination of machinegun design fea- Importations of NFA firearms are per- for use as a law enforcement weapon. tures as employed in the YAC STEN MK mitted by 26 U.S.C. 5844, which pro- For example, the importer must provide II carbine are not normally found in the vides in pertinent part: detailed information as to why a sales typical sporting firearm. sample of a particular weapon is suit- “No firearms shall be imported or able for law enforcement purposes and The National Firearms Act, 26 U.S.C. brought into the United States or any the expected customers who would 5845(b), defines a machinegun to in- territory under its control or jurisdiction require a demonstration of the weap- clude any weapon which shoots, is de- unless the importer establishes, under on. Information as to the availability of signed to shoot, or can be readily re- regulations as may be prescribed by the firearms to fill subsequent orders would stored to shoot, automatically more than Secretary, that the firearm to be import- help meet the burden of establishing one shot, without manual reloading, by a ed or brought in is: use as a sales sample. Also, letters single function of the trigger. from law enforcement agencies ex- (1) being imported or brought in for pressing a need for a particular model The “shoots automatically” defini- the use of the United States or any or interest in seeing a demonstration of tion covers weapons that will function department, independent establish- a particular firearm would be relevant. automatically. The “readily restorable” ment, or agency thereof or any State definition defines weapons which previ- or possession or any political subdivi- [ATFB 85-2 62] ously could shoot automatically but will sion thereof; or not in their present condition. The “de- Editor’s Note: signed” definition includes weapons (2) *** which have not previously functioned as The importation of machineguns for machineguns but possess specific ma- being imported or brought in (3) use as sales samples must also meet the chinegun design features which facili- solely for ... use as a sample by a reg- requirements of 27 CFR 179.105(d). tate automatic fire by simple alteration or istered importer or registered dealer; elimination of existing component parts. 27 CFR 178.118: IMPORTATION OF except that, the Secretary may permit CERTAIN FIREARMS CLASSIFIED Held: The YAC STEN MK II carbine the conditional importation or bringing in AS CURIOS OR RELICS is designed to shoot automatically more of a firearm for examination and testing than one shot, without manual reload- in connection with classifying the fire- (Also 178.11 and 178.26) ing, by a single function of the trigger. arm.” Consequently, the STEN MK II semiau- Surplus military firearms frames or tomatic carbine is a machinegun as de- The sole purpose of the statute per- receivers alone not specifically clas- fined in Section 5845(b) of the Act. mitting the importation of NFA firearms sified as curios or relics by ATF will as sales samples is to permit registered be denied importation. [ATFB 1983-3 35] importers to generate orders for firearms from government entities, primar- ATF Rul. 85-10 27 CFR 179.111: IMPORTATION PRO- ily law enforcement agencies, on the CEDURE basis of the sample.

128 The Bureau of Alcohol, Tobacco and period or event.” Chapter 53. Firearms has been asked whether applications will be approved for permits In classifying firearms as curios or ATF Rul. 94-1 to import frames or receivers of surplus relics under this regulation, ATF has military firearms classified as curios or recognized only assembled firearms as The Bureau of Alcohol, Tobacco and relics for purposes of 18 U.S.C. Chapter curios or relics. Moreover, ATF’s clas- Firearms (ATF) has examined a firearm 44. Section 233 of the Trade and Tariff sification of surplus military firearms as identified as the USAS-12 shotgun to Act of 1984, 98 Stat. 2991, amended 18 curios or relics has extended only to determine whether it is a destructive de- U.S.C. § 925 to allow licensed importers those firearms in their original military vice as that term is used in the National to import firearms“listed” by the Secre- configuration. Frames or receivers of Firearms Act (NFA), 26 U.S.C. Chapter tary as curios or relics, excluding hand- curios or relics and surplus military fire- 53. guns not generally recognized as partic- arms not in their original military configu- ularly suitable for or readily adaptable to ration were not generally recognized as The USAS-12 is a 12-gauge, gas op- sporting purposes. The amendment had curios or relics by ATF since they were erated, autoloading semiautomatic shot- the effect of allowing the importation of not of special interest or value as col- gun which is chambered for 12-gauge 2 surplus military curio or relic firearms lector’s items. More specifically, they did 3/4-inch ammunition. It has an 18 1/4- that were previously prohibited from im- not meet the definition of curio or relic in inch barrel, is approximately 38 inches portation by 18 U.S.C. § 925(d)(3). section 178.11 as firearms of special in- long, and weighs 12.4 pounds unload- terest to collectors by reason of a quality ed and approximately 15 pounds with Congressional intent was expressed other than is ordinarily associated with a loaded magazine, depending on the by Senator Robert Dole in 130 CONG. sporting firearms or offensive or defen- capacity of the magazine. The USAS-12 REC. S2234 (daily ed. Mar. 2, 1984), as sive weapons. Furthermore, they did not is equipped with a 12-round detachable follows: ordinarily have monetary value as novel, box magazine, but a 28-round detach- rare, or bizarre firearms; nor were they able drum magazine is also available. First. This provision is aimed at allow- generally considered curios or relics The shotgun is approximately 11 inch- ing collectors to import fine works of art because of their association with some es deep with a box magazine. There and other valuable weapons. historical figure, period or event. is an integral carrying handle on top of the receiver, which houses a rifle-type Second. This provision would allow It is clear from the legislative history aperture rear and adjustable post-type the importation of certain military surplus that Congress did not intend for frames front sight. The USAS-12 has a sepa- firearms that are classified as curios and or receivers alone of surplus military fire- rate combat-style pistol grip located on relics by regulations of the Secretary of arms, or any other surplus military fire- the bottom of the receiver, forward of the the Treasury. arms not in their original military config- buttstock. An optional telescopic sight uration, to be importable under section may be attached to the carrying handle. Third. In order for an individual or firm 925(e). It is also clear that only those The barrel is located below the operat- to import a curio or relic it must first be firearms classified by ATF as curios or ing mechanism in such fashion that the put on a list by petitioning the Secretary relics were intended to be approved by barrel is in a straight line with the center of the Treasury. The Secretary must find ATF for importation. of the buttstock. the firearm’s primary value is that of being a collector’s item. Held, to be importable under 18 Section 5845(f), Title 26, U.S.C., clas- U.S.C. 925(e), surplus military firearms sifies certain weapons as “destructive Fourth. The only reason a person must be classified as curios or relics by devices” which are subject to the reg- would purchase these firearms is be- ATF. Applications by licensed importers istration and tax provisions of the NFA. cause of their peculiar collector’s status. to import frames or receivers alone of Section 5845(f)(2) provides as follows: And, in fact, they must be special fire- surplus military curio or relic firearms will arms and classified as such in order to not be approved under section 925(e). (f) Destructive device. – The term import. Surplus military firearms will not be clas- “destructive device” means * * * sified as curios or relics, and applica- This language clearly shows that Con- tions for permits to import such firearms (2) any type of weapon by whatev- gress intended to permit the importation approved, unless they are assembled in er name known which will, or which of surplus military firearms of special their original military configuration. may be readily converted to, expel a interest and value to collectors and rec- projectile by the action of an explo- ognized by ATF as meeting the curio or [ATFB 85-3 46]26 U.S.C. § 5845(f)(2): sive or other propellant, the barrel or relic definition in 27 C.F.R. § 178.11. The DESTRUCTIVE DEVICE barrels of which have a bore of more regulation defines “curios or relics” as than one-half inch in diameter, except firearms of “special interest to collec- (Nonsporting shotgun having a a shotgun or shotgun shell which the tors by reason of some quality other bore of more than one-half inch in Secretary or his delegate finds is than is ordinarily associated with fire- diameter) generally recognized as particularly arms intended for sporting use or as suitable for sporting purposes; offensive or defensive weapons.” The The USAS-12 shotgun has a bore of regulation further defines curios or relics more than one-half inch in diameter A “sporting purposes” test which is to include “firearms which derive a and is not generally recognized as almost identical to that in section 5845(f) substantial part of their monetary val- particularly suitable for sporting pur- (2) appears in 18 U.S.C.§ 925(d)(3). This ue from the fact that they are novel, poses. Therefore, it is classified as provision of the Gun Control Act of 1968 rare, bizarre, or because of their as- a destructive device for purposes of (GCA) provides that the Secretary shall sociation with some historical figure, the National Firearms Act, 26 U.S.C. authorize a firearm to be imported into

129 the United States if the firearm is “gen- were radically different from traditional er shotguns are virtually identical erally recognized as particularly suit- sporting shotguns and strikingly similar 12-gauge shotguns with a spring-driven able for or readily adaptable to sport- to shotguns designed specifically for or revolving magazine. The magazine has ing purposes.” With the exception of modified for combat and law enforce- a 12-round capacity. The shotgun has the “readily adaptable” language, this ment use. a fixed stock or folding shoulder stock provision is identical to the sporting shot- and may be fired with the folding stock gun exception to the destructive device Section 7805(b), Title 26, U.S.C., pro- collapsed. The shotgun with an 18- definition. The definition of“destructive vides that the Secretary may prescribe the inch barrel is 37 inches in length with device” in the GCA (18 U.S.C. § 921(a) extent, if any, to which any ruling relating the stock extended, and 26.5 inches in (4)) is identical to that in the NFA. to the internal revenue laws shall be ap- length with the stock folded. The shot- plied without retroactive effect. Accord- gun is 5.7 inches in width and weighs In determining whether shotguns ingly, all rulings issued under the Internal 9.24 pounds unloaded. The Striker/ with a bore of more than one-half inch Revenue Code are applied retroactively Streetsweeper has two pistol grips, one in diameter are “generally recognized unless they specifically provide otherwise. in the center of the firearm below the as particularly suitable for sporting Pursuant to section 7805(b), the Director, buttstock, and one on the forearm. The purposes” and thus are not destruc- as the delegate of the Secretary, may pre- Striker/Streetsweeper was designed tive devices under the NFA, we believe scribe the extent to which any ruling will and developed in South Africa as a mil- it is appropriate to use the same criteria apply without retroactive effect. itary, security, and antiterrorist weapon. used for evaluating shotguns under the Various types of 12-gauge cartridges “sporting purposes” test of section Held: The USAS-12 is a shotgun with can be fired from the shotgun, and a 925(d)(3). Congress used virtually iden- a bore of more than one-half inch in di- rapid indexing procedure allows various tical language in describing the weapons ameter which is not particularly suitable types of ammunition to be loaded into subject to the two statutory schemes, for sporting purposes. The weight, size, the cylinder and selected for firing. All and the language was added to the GCA bulk, designed magazine capacity, con- 12 rounds can be fired from the shotgun and NFA at the same time. figuration, and other factors indicate that in 3 seconds or less. the USAS-12 is a semiautomatic ver- In connection with the determination sion of a military-type assault shotgun. Section 5845(f), Title 26, U.S.C., clas- of importability, ATF determined that Accordingly, the USAS-12 is a destruc- sifies certain weapons as “destructive the USAS-12 shotgun was not eligi- tive device as that term is used in 26 devices” which are subject to the reg- ble for importation under the sporting U.S.C. § 5845(f)(2). Pursuant to section istration and tax provisions of the NFA. purposes test in section 925(d)(3). In 7805(b), this ruling is applied prospec- Section 5845(f)(2) provides as follows: reaching this determination, ATF eval- tively effective March 1, 1994, with re- uated the weight, size, bulk, designed spect to the making, transfer, and spe- (f) Destructive device. – The term magazine capacity, configuration, and cial (occupational) taxes imposed by the “destructive device” means * * * other characteristics of the USAS-12. It NFA. All other provisions of the NFA ap- was determined that the weight of the ply retroactively effective March 1, 1994. (2) any type of weapon by whatev- USAS-12, 12.4 pounds, made it much er name known which will, or which heavier than traditional 12-gauge sport- [ATFB 1993-94-1 21] may be readily converted to, expel a ing shotguns, which made it awkward to projectile by the action of an explo- carry for extended periods, as in hunt- 26 U.S.C. § 5845(f)(2): DESTRUCTIVE sive or other propellant, the barrel or ing, and cumbersome to fire at multiple DEVICE barrels of which have a bore of more small moving targets, as in skeet and than one-half inch in diameter, except trap shooting. The width of the USAS- (Nonsporting shotgun having a a shotgun or shotgun shell which the 12 with drum magazine, approximately bore of more than one-half inch in Secretary or his delegate finds is 6 inches, and the depth with box maga- diameter) generally recognized as particularly zine, in excess of 11 inches, far exceed- suitable for sporting purposes; ...” ed that of traditional sporting shotguns, The Striker-12/Streetsweeper shot- which do not exceed 3 inches in width gun has a bore of more than one-half A “sporting purposes” test which is or 4 inches in depth. The large size and inch in diameter and is not generally almost identical to that in section 5845(f) bulk of the USAS-12 made it extremely recognized as particularly suitable (2) appears in 18 U.S.C. § 925(d)(3). difficult to maneuver quickly enough to for sporting purposes. Therefore, it This provision of the Gun Control Act of engage moving targets as is necessary is classified as a destructive for pur- 1968 (GCA) provides that the Secretary in hunting, skeet, and trap shooting. The poses of the National Firearms Act, shall authorize a firearm to be imported detachable box magazine with 12-car- 26 U.S.C. Chapter 53. into the United States if the firearm is tridge capacity and the detachable drum “generally recognized as particular- magazine with 28-cartridge capacity ATF Rul. 94-2 ly suitable for or readily adaptable to were of a larger capacity than traditional sporting purposes.” With the excep- repeating sporting shotguns, which gen- The Bureau of Alcohol, Tobacco and tion of the readily adaptable language, erally contain tubular magazines with a Firearms (ATF) has examined a firearm this provision is identical to the sport- capacity of 3-5 cartridges. Additionally, identified as the Striker-12/Streetsweep- ing shotgun exception to the destruc- detachable magazines permit more rap- er shotgun to determine whether it is a tive devices definition. The definition of id reloading than do tubular magazines. destructive device as that term is used “destructive device” in the GCA (18 Finally, the combat-style pistol grip, the in the National Firearms Act (NFA), 26 U.S.C. § 921(a)(4)) is identical to that barrel-to-buttstock configuration, the U.S.C. Chapter 53. in the NFA. bayonet lug, and the overall appearance and general shape of the weapon The Striker-12 and Streetsweep- In determining whether shotguns

130 with a bore of more than one-half inch and general shape of the weapon are devices as defined in the Gun Control in diameter are “generally recognized radically different from traditional sporting Act (GCA), 18 U.S.C. Chapter 44, and as particularly suitable for sporting shotguns and strikingly similar to shot- the National Firearms Act (NFA), 26 purposes” and thus are not destruc- guns designed specifically for or modified U.S.C. Chapter 53. tive devices under the NFA, we believe for combat and law enforcement use. it is appropriate to use the same criteria Section 5845(f), Title 26, United used for evaluating shotguns under the Section 7805(b), Title 26, U.S.C., pro- States Code, classifies certain weapons “sporting purposes” test of section vides that the Secretary may prescribe the as destructive devices” which are sub- 925(d)(3). Congress used virtually iden- extent, if any, to which any ruling relating ject to the registration and tax provisions tical language in describing the weapons to the internal revenue laws shall be ap- of the National Firearms Act (NFA). Sec- subject to the two statutory schemes, plied without retroactive effect. Accord- tion 5845(f)(2) provides as follows: and the language was added to the GCA ingly, all rulings issued under the Internal and NFA at the same time. Revenue Code are applied retroactively (f) Destructive device. — The term unless they specifically provide otherwise. “destructive device” means * * * In 1984, ATF ruled that the Striker-12 Pursuant to section 7805(b), the Director, was not eligible for importation under as the delegate of the Secretary, may pre- (2) any type of weapon by whatev- section 925(d)(3) since it is not partic- scribe the extent to which any ruling will er name known which will, or which ularly suitable for sporting purposes. apply without retroactive effect. may be readily converted to, expel a In making this determination, the 1984 projectile by the action of an explo- letter-ruling notes that the Striker was Held: The Striker-12/Streetsweeper is sive or other propellant, the barrel or being used in a number of “combat” a shotgun with a bore of more than one- barrels of which have a bore of more shooting events. In a letter dated June half inch in diameter which is not particu- than one-half inch in diameter, except 30, 1986, ATF again denied importation larly suitable for sporting purposes. The a shotgun or shotgun shell which the to the Striker-12, on the basis that it did weight, size, bulk, designed magazine Secretary or his delegate finds is not meet the “sporting purposes” test capacity, configuration, and other fac- generally recognized as particularly of section 925(d)(3). This letter states tors indicate that the Striker-12/Streets- suitable for sporting purposes.” that, “We believe the weapon to have weeper is a military-type shotgun, as op- been specifically designed for -mili posed to a shotgun particularly suitable Section 5845(f)(3) excludes from the tary and law enforcement uses.” for sporting purposes. Accordingly, the term “destructive device” any device Striker-12/Streetsweeper is a destructive which is neither designed or redesigned In evaluating the physical character- device as that term is used in 26 U.S.C. for use as a weapon and any device, al- istics of the Striker 12/Streetsweeper, § 5845(f)(2). Pursuant to section 7805(b), though originally designed for use as a ATF concludes that the weight, bulk, this ruling is applied prospectively ef- weapon, which is redesigned for use as designed magazine capacity, configura- fective March 1, 1994, with respect to a signaling, pyrotechnic, line throwing, tion, and other features indicate that it the making, transfer, and special (occu- safety, or similar device. was designed primarily for military and pational) taxes imposed by the NFA. All law enforcement use and is not particu- other provisions of the NFA apply retro- The definition of “destructive de- larly suitable for sporting purposes. actively effective March 1, 1994. vice” in the GCA (18 U.S.C. § 921(a)(4)) is identical to that in the NFA. The weight of the Striker-12/ [ATFB 1993-1994-1 23] Streetsweeper, 9.24 pounds unloaded, is ATF has previously held that devices on the high end for traditional 12-gauge 18 U.S.C. § 921(a)(4): DESTRUCTIVE designed for expelling tear gas or pyro- sporting shotguns, which generally weigh DEVICE technic signals are not weapons and are between 7 and 10 pounds. Thus, the exempt from the destructive device defi- weight of the Striker-12/Streetsweeper 26 U.S.C. § 5845(f)(2): DESTRUCTIVE nition. However, ammunition designed makes it awkward to carry for extended DEVICE to be used against individuals is avail- periods, as in hunting, and cumbersome able for these 37/38 mm devices. This to fire at multiple small moving targets, as (Firearm having a bore of more than “anti-personnel” ammunition consists in skeet and trap shooting. The width of one-half inch in diameter) of cartridges containing wood pellets, the Striker-12/Streetsweeper, 5.7 inch- rubber pellets or balls, and bean bags. es, far exceeds that of traditional sport- 37/38 mm gas/flare guns possessed ing shotguns, which do not exceed three with cartridges containing wood pel- When a gas/flare gun is possessed inches in width or four inches in depth. lets, rubber pellets or balls, or bean with “anti-personnel” type ammunition, The large size and bulk of the Striker-12/ bags are classified as destructive de- it clearly becomes an instrument of of- Streetsweeper make it extremely difficult vices for purposes of the Gun Con- fensive or defensive combat and is ca- to maneuver quickly enough to engage trol Act, 18 U.S.C. Chapter 44, and pable of use as a weapon. Since these moving targets as is necessary in hunting, the National Firearms Act, 26 U.S.C. gas/flare guns have a bore diameter of skeet, and trap shooting. The spring driv- Chapter 53. greater than one-half inch, fire a projec- en revolving magazine with 12-cartridge tile by the means of an explosive, and, capacity is a much larger capacity than ATF Rul. 95-3 when possessed with “anti-person- traditional repeating sporting shotguns, nel” ammunition, are capable of use as which generally contain tubular maga- The Bureau of Alcohol, Tobacco and weapons, the combination of the gas/ zines with a capacity of 3-5 cartridges. Firearms (ATF) has examined various flare gun and “anti- personnel” am- The folding shoulder stock and the two 37/38 mm gas/flare guns in combination munition is a destructive device as de- pistol grips are not typical of sporting-type with certain types of ammunition to defined in the GCA and NFA. As a result, shotguns. Finally, the overall appearance termine whether these are destructive registration as a destructive device is

131 required. Any person possessing a gas/ of the firearms giving the auctioneer arms. Licensees generally may not con- flare gun with which “anti-personnel” authority to sell the firearms and product business away from their licensed ammunition will be used must register viding for a commission to be paid premises. the making of a destructive device prior by the owner upon sale of the fire- to the acquisition of any “anti-person- arms are required to obtain a license The term “dealer” is defined at 18 nel” ammunition. In addition, the gas/ as a dealer in firearms. U.S.C. § 921(a)(11)(A) to include any flare guns are classified as firearms as person engaged in the business of selling defined by the GCA when possessed ATF Rul. 96-2 firearms at wholesale or retail. The term with “anti-personnel” type ammunition. “engaged in the business” as applied An association of auctioneers has to a dealer in firearms means a person Each gas/flare gun possessed with an- asked the Bureau of Alcohol, Tobacco who devotes time, attention, and labor to ti-personnel ammunition will be required to and Firearms (ATF) for a ruling con- dealing in firearms as a regular course of be identified as required by law and regu- cerning the auctions conducted by their trade or business with the principal objec- lations (27 CFR §§ 178.92 and 179.102), members and whether the sale of fire- tive of livelihood and profit through the re- including a serial number. Any person arms at such auctions requires a Federal petitive purchase and resale of firearms. manufacturing the gas/flare gun and the firearms license as a dealer in firearms. A dealer can be “engaged in the busi- “anti-personnel” ammunition must, if ness” without taking title to the firearms selling them in combination, have the ap- The auctioneers’ association stated that are sold. However, the term does not propriate Federal firearms license as a that their members generally conduct include a person who makes occasional manufacturer of destructive devices and two types of auctions: estate-type auc- sales, exchanges, or purchases of fire- must have paid the special (occupational) tions and consignment auctions. In es- arms for the enhancement of a personal tax as a manufacturer of National Fire- tate-type auctions, articles to be auc- collection or for a hobby, or who sells all arms Act firearms. Any person importing tioned, including firearms, are sold by or part of his personal collection of fire- the gas/flare gun and the “anti-person- the executor of the estate of an individu- arms. 18 U.S.C. § 921(a)(21)(C). nel” ammunition must, if importing them al. In these cases the firearms belong to in combination, have the appropriate Fed- and are possessed by the executor. The In the case of estate-type auctions, eral firearms license as an importer of de- auctioneer acts as an agent of the exec- the auctioneer acts as an agent of the structive devices and must have paid the utor and assists the executor in finding executor and assists the executor in special (occupational) tax as an importer buyers for the firearms. The firearms are finding buyers for the estate’s firearms. of National Firearms Act firearms. possessed by the estate and their sale The firearms are possessed by the es- to third parties is controlled by the estate, and the sales of firearms are made Further, the “anti-personnel” am- tate. The auctioneer is paid a commis- by the estate. In these cases, the auc- munition to be used in the gas/flare sion on the sale of each firearm by the tioneer does not meet the definition of launchers is ammunition for destructive estate at the conclusion of the auction. “engaging in the business” as a deal- devices for purposes of the GCA. Any er in firearms and would not require a person manufacturing the “anti-per- The association states that, in con- license. An auctioneer engaged in es- sonnel” ammunition must have the signment-type auctions, an auctioneer tate-type auctions, whether licensed or appropriate Federal firearms license as may take possession of firearms in ad- not, may perform this function, including a manufacturer of ammunition for de- vance of the auction. The firearms are delivery of the firearms, away from the structive devices. Any person importing inventoried, evaluated, and tagged for business premises. the “anti-personnel” ammunition must identification. The firearms belong to have the appropriate Federal firearms individuals or businesses who have In the case of consignment-type auc- license as an importer of ammunition for entered into a consignment agreement tions held on a regular basis, for exam- destructive devices. with the auctioneer giving the auctioneer ple, every 1-2 months, where persons authority to sell the firearms. The agree- consign their firearms to the auctioneer Held: 37/38 mm gas/flare guns pos- ment states that the auctioneer has the for sale pursuant to an agreement as de- sessed with “anti-personnel” ammuni- exclusive right to sell the items listed on scribed above, the auctioneer would be tion, consisting of cartridges containing the contract at a location, time, and date “engaging in the business” and would wood pellets, rubber pellets or balls, or to be selected by the auctioneer. The require a license. The auctioneer would bean bags, are destructive devices as agreement also provides for the pay- be disposing of firearms as a regular that term is used in 18 U.S.C. § 921(a) ment of a commission by the owner to course of trade or business within the (4) and 26 U.S.C. 5845(f)(2). the auctioneer. The consignment-type definition of a “dealer” under § 921(a) auctions generally involve accepting (11)(A) and must comply with the licens- [ATFB 95-3 28] firearms for auction from more than one ing requirements of the law. owner. Also, these auctions are held on 18 U.S.C. § 923 (a): ENGAGING IN a regular basis, for example, every 1-2 As previously stated, licensed auc- THE BUSINESS OF DEALING IN months. tioneers generally must engage in the FIREARMS (Auctioneers) business from their licensed premises. Section 923(a), Title 18, U.S.C., pro- However, an auctioneer may conduct Auctioneers who regularly conduct vides that no person shall engage in the an auction at a location other than his consignment-type auctions of fire- business of dealing in firearms until he licensed premises by displaying the firearms, for example, held every 1-2 has filed an application and received a arms at the auction site, agreeing to the months, on behalf of firearms own- license to do so. Section 922(a)(1), Title terms of sale of the firearms, then return- ers where the auctioneer takes pos- 18, U.S.C., provides that it is unlawful ing the firearms to the licensed premises session of the firearms pursuant to a for any person, other than a licensee, to for delivery to the purchaser. consignment contract with the owner engage in the business of dealing in fire-

132 Held: Persons who conduct es- The USAS-12, Striker 12, and another valid, government-issued tate-type auctions at which the auctioneer Streetsweeper shotguns were classified document showing the transferee’s assists the estate in selling the estate’s as destructive devices pursuant to sec- residence address. A member of the firearms, and the firearms are possessed tion 5845(f) because they are shotguns Armed Forces on active duty is a and transferred by the estate, do not re- with a bore of more than one-half inch in resident of the State in which his or quire a Federal firearms license. diameter which are not generally recog- her permanent duty station is locat- nized as particularly suitable for sporting ed, and may satisfy the identification Held further: Persons who regularly purposes. document requirement by presenting conduct consignment-type auctions, for his or her military identification card example, held every 1-2 months, where Pursuant to 26 U.S.C. 7805(b), ATF along with official orders showing the auctioneer takes possession of the Ruls. 94-1 and 94-2 were issued pro- that his or her permanent duty sta- firearms pursuant to a consignment con- spectively with respect to the making, tion is within the State where the li- tract giving the auctioneer the exclusive transfer, and special (occupational) tax- censed premises are located. right and authority to sell the firearms at es imposed by the NFA. Thus, although a location, time and date to be select- the classification of the three shotguns ATF Rul. 2001-5 ed by the auctioneer and providing for a as NFA weapons was retroactive, the commission to be paid upon sale are re- prospective application of the tax pro- The Bureau of Alcohol, Tobacco and quired to obtain a license as a dealer in visions allowed registration without Firearms (ATF) has received numerous firearms pursuant to 18 U.S.C. § 923(a). payment of tax. ATF has contacted all inquiries from Federal firearms licens- purchasers of record of the shotguns to ees (FFLs) regarding the acceptance [ATFB 96-2 101] advise them of the classification of the of identification documents that do not weapons as destructive devices and that show the purchaser’s current residence 18 U.S.C. 921(a)(4): DESTRUCTIVE the weapons must be registered. ATF address. FFLs have asked whether they DEVICE has registered approximately 8,200 of may accept other documents, such as these weapons to date. tax bills or vehicle registration docu- 26 U.S.C. 5845(f)(2): DESTRUCTIVE ments, to establish the current residence DEVICE Held, the registration period for the address of the purchaser. USAS-12, Striker-12, and Streetsweep- (Nonsporting shotgun having a er shotguns will close on May 1, 2001. It has been ATF’s longstanding posi- bore of more than one-half inch in No further registrations will be accepted tion that licensees may accept a com- diameter) after that date. Persons in possession of bination of documents to establish the unregistered NFA firearms are subject to identity of a firearm purchaser. ATF Rul. The registration period for the USAS- all applicable penalties under 26 U.S.C. 79-7, ATFQB 79-1, 26, interpreted a 12, Striker-12, and Streetsweeper Chapter 53. licensee’s obligation to obtain satisfacto- shotguns closed on May 1, 2001, pur- ry identification from a purchaser in the suant to ATF Rul. 2001-1. Date signed: February 2, 2001. manner customarily used in commercial transactions, pursuant to the exist- ATF Rul. 2001-1 27 CFR 47.45: IMPORTATION OF ing regulations under the Gun Control SURPLUS MILITARY CURIO OR REL- Act of 1968 (GCA). The ruling held that Pursuant to ATF Rulings 94-1 (ATF IC FIREARMS satisfactory identification of a firearms Q.B. 1994-1, 22) and 94-2 (ATF Q.B. purchaser must include the purchaser’s 1994-1, 24), the Bureau of Alcohol, To- Importers of surplus military curio or name, age or date of birth, place of res- bacco and Firearms (ATF) classified the relic firearms must submit originals idence, and signature. The ruling also USAS-12, Striker 12, and Streetsweep- of all appropriate statements sup- held that while a particular document er shotguns as destructive devices un- porting the Form 6 application. may not be sufficient to meet the statu- der the National Firearms Act (NFA), 26 tory requirement for identifying the pur- U.S.C. Chapter 53. The NFA requires ATF Rul. 2001-3 chaser, any combination of documents that certain “firearms” be registered that together disclosed the required in- and imposes taxes on their making and This ruling is superseded by ATF Rul. formation would be acceptable. transfer. The term “firearm” is defined 2010-9. in section 5845 to include “destructive ATF Rul. 79-7 has been supersed- devices.” The term “destructive de- 18 U.S.C. 922(t)(1)(C): IDENTIFICA- ed by an amendment to the GCA. The vice” is defined in section 5845(f)(2) as TION OF TRANSFEREE Brady Handgun Violence Prevention Act follows: (Brady Act), which took effect in 1994, 27 CFR 178.124: FIREARMS TRANS- mandated the use of photo identification [T]he term ‘destructive device’ means ACTION RECORD documents for transfers subject to the ... (2) any type of weapon by whatever Act. Under the permanent provisions of name known which will, or which may Licensees may accept a combina- the Brady Act, which went into effect on be readily converted to, expel a projec- tion of valid government-issued November 30, 1998, a licensed import- tile by the action of an explosive or other documents to satisfy the identifier, manufacturer, or dealer is generally propellant, the barrel or barrels of which cation document requirements of required to initiate a background check have a bore of more than one-half inch the Brady Act. The required valid through the National Instant Criminal in diameter, except a shotgun or shot- government-issued photo identifi- Background Check System (NICS) prior gun shell which the Secretary finds is cation document bearing the name, to transferring a firearm to an unlicensed generally recognized as particularly suit- photograph, and date of birth of the individual. able for sporting purposes; transferee may be supplemented by

133 The Brady Act requires a licensee to Thus, for example, a licensee may Licensees should note that for pur- identify the nonlicensed transferee by accept a valid driver’s license that ac- poses of the GCA, military personnel examining a valid government-issued curately reflects the purchaser’s name, may in some cases have two States of identification document that contains the date of birth, and photograph, along residence. For example, a member of photograph of the holder. See 18 U.S.C. with a vehicle registration issued by the the Armed Forces whose permanent 922(t)(1)(C). This requirement applies State indicating the transferee’s current duty station is Fort Benning, Georgia, to all over-the-counter transfers, even address. Licensees should note that if may actually reside in a home in Ala- where the transferee holds a permit that the law of the State that issued the driv- bama. For GCA purposes, that individual qualifies as an exception to the require- er’s license provides that the driver’s li- is a resident of Georgia when he or she ment for a NICS check at the time of cense is invalid due to any reason (i.e., is in Georgia and a resident of Alabama transfer. 27 CFR 178.124(c)(3)(i). the license is expired or is no longer when he or she is in Alabama. If such an valid due to an unreported change of individual wishes to purchase a firearm The Brady Act incorporates the defi- address), then the driver’s license may in Alabama, he or she must of course nition of an “identification document” not be used for identification purposes comply with the identification document provided by 18 U.S.C. 1028(d)(2), which under the Brady Act. If a licensee has requirement in the same way as any oth- is set forth in relevant part as follows: reasonable cause to question the valid- er Alabama resident. ity of an identification document, he or [A] document made or issued by or she should not proceed with the transfer Held: the Brady Act and the imple- under the authority of the United States until those questions can be resolved. menting ATF regulations require licensed Government, a State, political subdivision importers, manufacturers, and dealers of a State, a foreign government, political The licensee must record on the to examine a valid government-issued subdivision of a foreign government, an Form 4473 the type of identification identification document that bears the international governmental or an interna- document(s) presented by the trans- name, residence address, date of birth, tional quasi-governmental organization feree, including any document number. and photograph of the holder prior to which, when completed with information Examples of documents that may be making an over-the-counter transfer to concerning a particular individual, is of a accepted to supplement information on any unlicensed transferee. Licensees type intended or commonly accepted for a driver’s license or other identification may accept a combination of valid, gov- the purpose of identification of individuals. document include a vehicle registration, ernment-issued documents to satisfy the a recreation identification card, a fish- identification document requirements of ATF regulations further require that ing or hunting license, a voter identifi- the Brady Act. A government-issued the identification document must contain cation card, or a tax bill. However, the photo identification document bearing the name, residence address, date of document in question must be valid and the name, photograph, and date of birth birth, and photograph of the holder. 27 must have been issued by a government of the transferee may be supplemented CFR 178.11. agency. by another valid, government-issued document showing the transferee’s cur- ATF has received questions from ATF has also received questions from rent residence address. licensees regarding purchasers who licensees as to how to comply with the present a State-issued driver’s license identification document requirement in Held further, a purchaser who is a or other identification document that the case of purchasers who are in the member of the Armed Forces on active shows either an out-of-date residence military. Some active duty military per- duty is a resident of the State in which address or a mailing address (such as a sonnel may not have driver’s licenses his or her permanent duty station is lo- post office box) in lieu of a residence ad- from the State in which they are sta- cated, and may satisfy the identification dress. ATF has advised that these iden- tioned. The only identification document document requirement by presenting his tification documents, standing alone, carried by some active duty military per- or her military identification card along would not satisfy the requirements of the sonnel is a military identification card with official orders showing that his regulations implementing the Brady Act. that bears the holder’s name, date of or her permanent duty station is locat- birth, and photograph, but does not re- ed within the State where the licensed It is ATF’s position that a combination flect the holder’s residence address. premises are located. of documents may be used to satisfy the Brady Act’s requirement for an identifi- Section 921(b) of the GCA provides ATF Ruling 79-7, ATFQB 79-1, 26, is cation document. The prospective trans- that a member of the Armed Forces on hereby superseded. feree must present at least one valid active duty is a resident of the State in document that meets the statutory defi- which his permanent duty station is lo- Date signed: December 31, 2001 nition of an identification document; i.e., cated. The purchaser’s official orders it must bear the transferee’s name and showing that his or her permanent duty Editor’s Note: photograph, it must have been issued by station is within the State where the li- a governmental entity, and it must be of a censed premises are located suffice to “Identification document” currently is type intended or commonly accepted for establish the purchaser’s residence for defined in 18 U.S.C. 1028(d)(3). identification purposes. ATF recognizes, GCA purposes. In combination with a however, that some valid government-is- military identification card, such orders 27 CFR 179.105: TRANSFER AND sued identification documents do not in- will satisfy the Brady Act’s requirement POSSESSION OF MACHINEGUNS clude the bearer’s current residence ad- for an identification document, even dress. Such an identification document though the purchaser may actually re- Applications to transfer two (2) ma- may be supplemented with another valid side in a home that is not located on the chineguns of a particular model to government-issued document that con- military base. a Federal firearms licensee as sales tains the necessary information.

134 samples will be approved if documen- ten demonstrate weapons to all officers 18 U.S.C. 923(i): LICENSING tation shows necessity for demon- of the department, requiring the machine- stration to government agencies. gun to fire thousands of rounds of ammu- 26 U.S.C. 5842: IDENTIFICATION OF nition during a single demonstration. In FIREARMS ATF Rul. 2002-5 the case of new model machineguns, a department may wish to have thousands 27 CFR 179.102: IDENTIFICATION OF The Bureau of Alcohol, Tobacco of rounds fired from the weapon before FIREARMS and Firearms (ATF) has received in- they are fully satisfied of its reliability. quiries from dealers in machineguns ATF is aware that after firing hundreds of 27 CFR 178.92: IDENTIFICATION OF concerning the justification necessary rounds a machinegun often gets too hot FIREARMS, ARMOR PIERCING AM- to obtain more than one machinegun to safely handle, resulting in the dealer’s MUNITION, AND LARGE CAPACITY of a particular model as dealer sales inability to demonstrate the weapon until AMMUNITION FEEDING DEVICES samples. Specifically, the inquiries are it cools. In addition, it is not uncommon from machinegun dealers who demon- for machineguns to jam or misfeed am- In accordance with 27 CFR 178.92 strate machineguns to large police de- munition after a large quantity of ammuni- and 27 CFR 179.102, identification partments and Special Weapons and tion has been fired. Accordingly, dealers of firearms, armor piercing ammuni- Tactics (SWAT) teams, which requires who demonstrate machineguns to de- tion, and large capacity ammunition the firing of thousands of rounds of am- partments with a large number of officers feeding devices, the terms “conspic- munition during a single demonstration. have asked that ATF approve the transfer uously” and “legibly” as used therein Section 922(o) of Title 18, United States of two (2) machineguns of each model as mean, respectively, that the markings Code, makes it unlawful for any person dealer sales samples. are wholly unobstructed from plain to transfer or possess a machinegun, view and that the markings contain except a transfer to or by or under the The purpose of the dealer sales sam- exclusively Roman letters and Arabic authority of the United States or any de- ple provision is to permit properly quali- numerals. partment or agency thereof or a State or fied dealers to demonstrate and sell ma- a department, agency, or political subdi- chineguns to law enforcement agencies. ATF Rul. 2002-6 vision of; or any lawful transfer or lawful Neither the law nor the implementing reg- possession of a machinegun lawfully ulations were intended to impose unnec- The Bureau of Alcohol, Tobacco and possessed before May 19, 1986. essary obstacles to police departments Firearms (ATF) has been asked by and other law enforcement agencies in State and local law enforcement offi- The regulations in 27 CFR 179.105(d) obtaining the weapons they need to car- cials to trace firearms that are marked, provide that applications to register and ry out their duties. Accordingly, if a dealer in part, with non-Roman letters, and/or transfer a machinegun manufactured or can provide documentation that the dealer non-Arabic numbers. Specifically, ATF imported on or after May 19, 1986, to needs to demonstrate a particular model received a request to trace a Makarov dealers registered under the National of machinegun to an entire police depart- type pistol made in Bulgaria. The original Firearms Act (NFA), 26 U.S.C. Chapter ment or SWAT team, ATF will approve the manufacturer marking was ИМ 18 355. 53, will be approved if three conditions transfer of two (2) machineguns of that Because the importer did not stamp the are met. The conditions required to be model to the dealer as sales samples. firearm with a unique identifier that could established include (1) a showing of the be recognized by either ATF or a State expected government customers who This ruling should not be interpreted to or local law enforcement official, and be- would require a demonstration of the imply that under no circumstances may cause the marking contained a Cyrillic weapon; (2) information as to the avail- a Federal firearms licensee (FFL) receive character, the firearm was not properly ability of the machinegun to fill subse- more than two (2) machineguns as sales recorded, resulting in a failed trace of the quent orders; and (3) letters from gov- samples. Consistent with past practice, weapon. ernment entities expressing a need for an FFL who can show a bona fide rea- a particular model or interest in seeing son as to why they need more than two Because markings with non-Ro- a demonstration of a particular weapon. (2) machineguns, may be able to receive man characters or non-Arabic numbers The regulation further provides that ap- more than two (2) if the request is accom- are not easily recorded or transmitted plications to transfer more than one ma- panied by specific documentation. through ordinary means by importers, chinegun of a particular model must also dealers or distributors, many firearm establish the dealer’s need for the quan- Held: applications to transfer two (2) traces have proved unsuccessful. In tity of samples sought to be transferred. machineguns of a particular model to some cases, an importer attempts to a Federal firearms licensee as sales translate portions of the markings into The dealer sales sample regulation in samples will be approved if the dealer Roman letters and Arabic numbers and section 179.105(d) is a narrow exception provides documentation that the dealer re-marks the weapon with “translated” to the general prohibition on possession needs to demonstrate the machinegun symbols. For example, an imported SKS of post-1986 machineguns imposed by to all the officers of a police department rifle was marked with the serial number section 922(o). It requires that dealers or the department’s SWAT team or spe- ДМ7639И. The importer translated the submit letters of interest from law en- cial operations team. An FFL who offers marking as LM7639i, but rather than re- forcement agencies to ensure that deal- other bona fide reasons for their need stamp the entire number merely added ers possess post-1986 machineguns for two (2) or more machineguns may the letters “L” and “i” below the original only for the purposes permitted by law, get more than two (2) with specific doc- markings. This practice often results in i.e., for sale or potential sale to govern- umentation. failed traces because those required to ment agencies. record the markings (importers, dealers, Date signed: September 6, 2002 or distributors) may record only the trans- Qualified dealers in machineguns of- lated portions or both sets of markings.

135 Moreover, law enforcement recovering a be remarked with required markings that ATF Rul. 2003–1 firearm with such markings may submit satisfy the conspicuousness require- a trace request lacking some portion of ments described above. For example, The Bureau of Alcohol, Tobacco and the markings, further impeding efforts to required markings may not be placed Firearms (ATF) has received inquiries successfully trace the firearm. on a portion of the barrel where the about modifications necessary to the markings would be wholly or partially receiver of a Browning M1919 type ma- In addition, ATF has found that some obstructed from view by another part of chinegun to make it importable under 26 traces have failed because the required the firearm, such as a flash suppressor U.S.C. 5844 and 18 U.S.C. 922(o) for markings on the firearms barrel were or bayonet mount. unrestricted commercial sale. wholly or partially obstructed from plain view by a flash suppressor or bayonet In certain unavoidable circumstanc- The Browning M1919 is a machine- mount, resulting in the Federal Firearms es owing mainly to firearms of unusual gun as defined in 26 U.S.C. 5845(b). Licensee creating an inaccurate record. design or other limiting factor(s) which The receiver of a Browning M1919 is ATF has been unable to trace hundreds would limit the ability of the manufactur- also a machinegun as defined. Various of firearms as a result of nonstandard or er or importer to comply with the above manufacturers made Browning M1919 obscured markings. legibility and conspicuousness require- style machineguns in caliber .30-06 and ments, alternate means of identification 7.62x51mm (.308). The M1919 is a re- As a result of these practices, some may be authorized as described in 27 coil- operated, belt-fed machinegun de- licensed importers may not be in com- CFR 178.92(a)(3)(i), (ii), or (iii) and 27 signed to be fired from a mount. pliance with the marking requirements CFR 178.92(c)(3)(ii). set forth in 27 CFR 178.92 and 27 CFR Section 5844 of Title 26, United States 179.102 because they have marked us- Held, a Makarov type pistol imported Code, makes it unlawful to import any ing non-Roman letters (such as Greek from Bulgaria utilizing Cyrillic letters or firearm into the United States, unless or Russian letters, ∆ or Д) or non-Arabic non-Arabic numbers is not marked in the firearm to be imported or brought in numbers (e.g., XXV). accordance with 27 CFR 178.92 and 27 is: (1) being imported for use by the Unit- CFR 179.102. ed States or any department, indepen- The above regulations require mark- dent establishment, or agency thereof or ings that legibly identify each item or Held further, an imported firearm with any State or possession or any political package and require that such markings any part of the required marking partially subdivision thereof; or (2) the firearm is are conspicuous. ATF has consistently or wholly obstructed from plain view is being imported for scientific or research taken the position that “legibly” marked not marked in accordance with section purposes; or (3) it is being imported means using exclusively Roman letters 27 CFR 178.92 and 27 CFR 179.102. solely for testing or use as a model by (A, a, B, b, C, c, and so forth) and Arabic a registered manufacturer or solely for numerals (1, 2, 3, 4, 5, 6, and so forth), Date signed: November 5, 2002 use as a sample by a registered import- and “conspicuous” means that all re- er or dealer. Additionally, the Secretary quired markings must be placed in such 26 USC 5844, 18 USC 922(o), 22 USC may permit the conditional importation of a manner as to be wholly unobstructed 2778 a firearm for examination and testing in from plain view. These regulations apply connection with classifying the firearm. to licensed manufacturers and licensed IMPORTATION OF BROWNING importers relative to firearms, armor M1919 TYPE RECEIVERS FOR UN- Section 922(o) of Title 18, United piercing ammunition, and large capacity RESTRICTED COMMERCIAL SALE States Code, makes it unlawful for any ammunition feeding devices, and to mak- person to transfer or possess a ma- ers of National Firearms Act firearms. An ATF-approved method of destruc- chinegun, except a transfer to or by tion for the Browning M1919 type the United States or any department or Firearms, armor piercing ammunition, machinegunATF willRul, result 2003 in- 1 the Image sev- agency thereof or a State or a depart- and large capacity ammunition feeding ered portions of the receiver being ment, agency, or political subdivision devices which contain required markings importable for unrestricted commer- thereof; or any lawful transfer or lawful or labels using non-Roman letters (such cial sale. possession of a machinegun lawfully as Greek or Russian letters, ∆ or Д) or possessed before May 19, 1986. non-Arabic numbers (e.g., XXV), must be completely remarked or relabeled with a new serial number or other required markings that satisfy the legibility requirements described above. It is not sufficient to simply add an additional Roman letter or Arabic numeral to a nonconforming marking; a new and unique marking using Roman letters and Arabic numerals is required. Where feasible, the new markings should be placed directly above the non-compliant markings.

Similarly, firearms and large capacity ammunition feeding devices which contain required markings obstructed in whole or in part from plain view must

136 A review of the statutes above indi- 22 U.S.C. 2778. Alternative methods any political subdivision thereof; or (2) cates that machineguns and machine- of destruction may also be acceptable. the firearm is being imported for sci- gun receivers cannot be lawfully im- It is recommended that such methods entific or research purposes; or (3) it ported for unrestricted commercial sale. be reviewed and approved by the ATF is being imported solely for testing or Accordingly, machinegun receivers may Firearms Technology Branch prior to the use as a model by a registered man- be imported for commercial sale only if weapon’s importation. ufacturer or solely for use as a sample they are destroyed in a manner that will by a registered importer or dealer. Ad- prevent their function and future use as Date signed: January 24, 2003 ditionally, the Secretary may permit the a firearm. The resulting severed receiver conditional importation of a firearm for portions would not be subject to the pro- 26 USC 5844, 18 USC 922(o), 22 USC examination and testing in connection visions of 26 U.S.C. 5844 or 18 U.S.C. 2778 with classifying the firearm. 922(o); however, these articles would be subject to the provisions of the Arms IMPORTATION OF FN FAL TYPE Section 922(o) of Title 18, United Export Control Act, 18 U.S.C. 925, 22 RECEIVERS FOR UNRESTRICTED States Code, makes it unlawful for any U.S.C. 2778, and implementing regula- COMMERCIAL SALE person to transfer or possess a mation at 27 CFR Part 47. It is important chinegun, except a transfer to or by to note that these machinegun receivers An ATF-approved method of destruc- the United States or any department or must be destroyed and cannot be im- tion for the FN FAL type machinegun agency thereof or a State or a depart- ported whether they are serviceable or will result in the severed portions of ment, agency, or political subdivision unserviceable. the receiver being importable for un- thereof; or any lawful transfer or lawful restricted commercial sale. possession of a machinegun lawfully An ATF-approved method of de- possessed before May 19, 1986. struction for a Browning M1919 type ATF Rul. 2003–2 machinegun receiver requires three A review of the statutes above in- diagonal torch cuts that sever or pass The Bureau of Alcohol, Tobacco and dicates that machineguns and ma- through the following areas: (1) the Firearms (ATF) has received inquiries chinegun receivers cannot be lawfully trunnion or barrel mounting block (cor- about modifications necessary to the imported for unrestricted commercial ner to corner), (2) the center area of receiver of an FN FAL type machinegun sale. Accordingly, machinegun receiv- the bolt handle slot, and (3) the cover to make it importable under 26 U.S.C. ers may be imported for commercial catch and back plate spline. All cutting 5844 and 18 U.S.C. 922(o) for unre- sale only if they are destroyed in a must be done with a cutting torch hav- stricted commercial sale. manner that will prevent their function ing a tip of sufficient size to displace at and future use as a firearm. The result- least ¼ inch of material at each loca- The FN FAL is a machinegun as de- ing severed receiver portions would tion. Each cut must completely sever fined in 26 U.S.C. 5845(b). The receiv- not be subject to the provisions of 26 the receiver in the designated areas er of an FAL is also a machinegun as U.S.C. 5844 or 18 U.S.C. 922(o); how- and must be done with a diagonal defined. Various manufacturers made ever, these articles would be subject torch cut. Using a band-saw or a cut- FAL style machineguns in caliber to the provisions of the Arms Export off wheel to destroy the receiver does 7.62x51mm (.308). The FAL is a gas-op- Control Act, 18 U.S.C.925, 22 U.S.C. not ensure destruction of the weapon. erated, shoulder-fired, magazine-fed, 2778, and implementing regulation at selective-fire machinegun. 27 CFR Part 47. It is important to note This method of destruction is illustrat- that these machinegun receivers must ed in the diagram below. Section 5844 of Title 26, United be destroyed and cannot be imported States Code, makes it unlawful to im- whether they are serviceable or unser- Alternative methods of destruction port any firearm into the United States, viceable. may also be acceptable. These alterna- unless the firearm to be imported or tive methods must be equivalent in de- brought in is: (1) being imported for use An ATF-approved method of destruc- gree to the approved method of destruc- by theATF United Rul. States 2003 or any- department,2 Image tion for an FN FAL type machinegun re- tion. Receivers that are not sufficiently independent establishment, or agency ceiver requires three diagonal torch cuts modified cannot be approved for impor- thereof or any State or possession or that sever or pass through the following tation. To ensure compliance with the law, it is recommended that the importer submit in writing the alternative method of destruction to the ATF Firearms Tech- nology Branch (FTB) for review and approval prior to importation.

Held, an ATF-approved method of destruction for a Browning M1919 type machinegun receiver will result in the severed portions of the receiver being importable for unrestricted commercial sale. The severed articles would not be subject to the provisions of 26 U.S.C. 5844 or 18 U.S.C. 922(o), but would continue to be subject to the provisions of the Arms Export Control Act,

137 areas: (1) the threaded portion of the re- ATF Rul. 2003–3 A review of the statutes above indi- ceiver ring and magazine well opening cates that machineguns and machinegun at bottom, (2) the hinge pin, ejector block The Bureau of Alcohol, Tobacco and receivers cannot be lawfully imported for and bolt guide rails, and (3) the body lock- Firearms (ATF) has received inquiries unrestricted commercial sale. According- ing lug and bolt guide rails. All cutting must about modifications necessary to the ly, machinegun receivers may be import- be done with a cutting torch having a tip of receiver of a Heckler and Koch G3 type ed for commercial sale only if they are sufficient size to displace at least ¼ inch of machinegun to make it importable under destroyed in a manner that will prevent material at each location. Each cut must 26 U.S.C. 5844 and 18 U.S.C. 922(o) for their function and future use as a firearm. completely sever the receiver in the des- unrestricted commercial sale. The resulting severed receiver portions ignated areas and must be done with a would not be subject to the provisions diagonal torch cut. Using a bandsaw or a The G3 is a machinegun as defined of 26 U.S.C. 5844 or 18 U.S.C. 922(o); cut-off wheel to destroy the receiver does in 26 U.S.C. 5845(b). The receiver of however, these articles would be subject not ensure destruction of the weapon. a G3 is also a machinegun as defined. to the provisions of the Arms Export Con- Various manufacturers made G3 style trol Act, 18 U.S.C. 925, 22 U.S.C. 2778, This method of destruction is illustrat- machineguns in caliber and implementing regulation at 27 CFR ed in the diagram below. Part 47. It is important to note that these 7.62x51mm (.308). The G3 is a de- machinegun receivers must be destroyed Alternative methods of destruction layed blowback, shoulder-fired, maga- and cannot be imported whether they are may also be acceptable. These alterna- zine-fed, selective-fire machinegun. serviceable or unserviceable. tive methods must be equivalent in degree to the approved method of destruc- Section 5844 of Title 26, United States An ATF-approved method of destruction. Receivers that are not sufficiently Code, makes it unlawful to import any tion for a Heckler and Koch G3 type ma- modified cannot be approved for impor- firearm into the United States, unless chinegun receiver requires four diagonal tation. To ensure compliance with the the firearm to be imported or brought in torch cuts that sever or pass through the law, it is recommended that the importer is: (1) being imported for use by the Unit- following areas: (1) the chamber area, (2) submit in writing the alternative method ed States or any department, indepen- the grip assembly locking pin hole, (3) of destruction to the ATF Firearms Tech- dent establishment, or agency thereof or the ejection port, and (4) the buttstock nology Branch (FTB) for review and ap- any State or possession or any political locking pin hole. All cutting must be done proval prior to importation. subdivision thereof; or (2) the firearm is with a cutting torch having a tip of suffi- being imported for scientific or research cient size to displace at least ¼ inch of Held, an ATF-approved method of de- purposes; or (3) it is being imported material at each location. Each cut must struction for an FN FAL type machine- solely for testing or use as a model by completely sever the receiver in the des- gun receiver will result in the severed a registered manufacturer or solely for ignated areas and must be done with a portions of the receiver being importable use as a sample by a registered import- diagonal torch cut. Using a bandsaw or a for unrestricted commercial sale. The er or dealer. Additionally, the Secretary cut-off wheel to destroy the receiver does severed articles would not be subject to may permit the conditional importation of not ensure destruction of the weapon. the provisions of 26 a firearm for examination and testing in connection with classifying the firearm. This method of destruction is illustrat- U.S.C. 5844 or 18 U.S.C. 922(o), but ed in the diagram below. would continue to be subject to the pro- Section 922(o) of Title 18, United visions of the Arms Export Control Act, States Code, makes it unlawful for any Alternative methods of destruction 22 U.S.C. 2778. Alternative methods person to transfer or possess a ma- may also be acceptable. These alterna- of destruction may also be acceptable. chinegun, except a transfer to or by tive methods must be equivalent in de- It is recommended that such methods the United States or any department or gree to the approved method of destruc- be reviewed and approved by the ATF agency thereof or a State or a depart- tion. Receivers that are not sufficiently Firearms Technology Branch prior to the ment,ATF agency, Rul. 2003or political-3 Image subdivision modified cannot be approved for impor- weapon’s importation. thereof; or any lawful transfer or lawful tation. To ensure compliance with the possession of a machinegun lawfully law, it is recommended that the importer Date signed: January 24, 2003. possessed before May 19, 1986. submit in writing the alternative method

26 USC 5844, 18 USC 922(o), 22 USC 2778

IMPORTATION OF HECKLER & KOCH G3 TYPE RECEIVERS FOR UNRESTRICTED COMMERCIAL SALE

An ATF-approved method of destruction for the Heckler & Koch G3 type machinegun will result in the severed portions of the receiver being importable for unrestricted commercial sale.

138 of destruction to the ATF Firearms Tech- a registered manufacturer or solely for tion. Each cut must completely sever nology Branch (FTB) for review and ap- use as a sample by a registered import- the receiver in the designated areas and proval prior to importation. er or dealer. Additionally, the Secretary must be done with a diagonal torch cut. may permit the conditional importation of Using a bandsaw or a cut-off wheel to Held, an ATF-approved method of de- a firearm for examination and testing in destroy the receiver does not ensure destruction for a Heckler and Koch G3 type connection with classifying the firearm. struction of the weapon. machinegun receiver will result in the severed portions of the receiver being im- Section 922(o) of Title 18, United This method of destruction is illustrat- portable for unrestricted commercial sale. States Code, makes it unlawful for any ed in the diagram below. The severed articles would not be subject person to transfer or possess a ma- to the provisions of 26 U.S.C. 5844 or 18 chinegun, except a transfer to or by Alternative methods of destruction U.S.C. 922(o), but would continue to be the United States or any department or may also be acceptable. These alterna- subject to the provisions of the Arms Ex- agency thereof or a State or a depart- tive methods must be equivalent in de- port Control Act, 22 U.S.C. 2778. Alterna- ment, agency, or political subdivision gree to the approved method of destructive methods of destruction may also be thereof; or any lawful transfer or lawful tion. Receivers that are not sufficiently acceptable. It is recommended that such possession of a machinegun lawfully modified cannot be approved for impor- methods be reviewed and approved by possessed before May 19, 1986. tation. To ensure compliance with the the ATF Firearms Technology Branch pri- law, it is recommended that the importer or to the weapon’s importation. A review of the statutes above indi- submit in writing the alternative method cates that machineguns and machinegun of destruction to the ATF Firearms Tech- Date signed: January 24, 2003. receivers cannot be lawfully imported for nology Branch (FTB) for review and ap- unrestricted commercial sale. According- proval prior to importation. 26 USC 5844, 18 USC 922(o), 22 USC ly, machinegun receivers may be import- 2778 ed for commercial sale only if they are Held, an ATFapproved method of de- destroyed in a manner that will prevent struction for a Sten type machinegun re- IMPORTATION OF STEN TYPE their function and future use as a firearm. ceiver will result in the severed portions RECEIVERS FOR UNRESTRICTED The resulting severed receiver portions of the receiver being importable for un- COMMERCIAL SALE would not be subject to the provisions restricted commercial sale. The severed of 26 U.S.C. 5844 or 18 U.S.C. 922(o); articles would not be subject to the pro- An ATF-approved method of destruc- however, these articles would be subject visions of 26 U.S.C. 5844 or 18 U.S.C. tion for the Sten type machinegun to the provisions of the Arms Export Con- 922(o), but would continue to be subject will result in the severed portions of trol Act, 18 U.S.C. 925, 22 U.S.C. 2778, to the provisions of the Arms Export the receiver being importable for un- and implementing regulation at 27 CFR Control Act, 22 U.S.C. 2778. Alternative restricted commercial sale. Part 47. It is important to note that these methods of destruction may also be ac- machinegun receivers must be destroyed ceptable. It is recommended that such ATF Rul. 2003–4 and cannot be imported whether they are methods be reviewed and approved by serviceable or unserviceable. the ATF Firearms Technology Branch The Bureau of Alcohol, Tobacco and prior to the weapon’s importation. Firearms (ATF) has received inquiries An ATF-approved method of destruc- about modifications necessary to the tion for a Sten type machinegun receiv- Date signed: January 24, 2003. receiver of a Sten type machinegun to er requires three diagonal torch cuts make it importable under 26 U.S.C. that sever or pass through the following 18 U.S.C. 925(d): EXCEPTIONS 5844 and 18 U.S.C. 922(o) for unre- areas: (1) the threaded portion of the stricted commercial sale. receiver/chamber area, (2) the return 22 U.S.C. 2778: IMPORTATION springATF cap Rul. socket, 2003 and-4 (3) Image the sear slot The Sten is a machinegun as defined in the lower side of the receiver. All cut- 26 U.S.C. 5844: IMPORTATION in 26 U.S.C. 5845(b). The receiver of a ting must be done with a cutting torch Sten is also a machinegun as defined. having a tip of sufficient size to displace 27 CFR 478.111, 478.112, 478.113: Various manufacturers made Sten style at least ¼ inch of material at each loca- IMPORTATION machineguns in caliber 9x19mm (9mm Luger). The Sten is a blowback-operated, shoulder-fired, magazine-fed, selective-fire submachinegun.

Section 5844 of Title 26, United States Code, makes it unlawful to import any firearm into the United States, unless the firearm to be imported or brought in is: (1) being imported for use by the Unit- ed States or any department, independent establishment, or agency thereof or any State or possession or any political subdivision thereof; or (2) the firearm is being imported for scientific or research purposes; or (3) it is being imported solely for testing or use as a model by

139 27 CFR 479.111, 479.112, 479.113: SHORT-BARREL RIFLES, FIREARMS subdivision thereof; or IMPORTATION SILENCERS, AND OTHER FIRE- ARMS SUBJECT TO THE NATIONAL (2) Being imported or brought in for 27 CFR 447.42: APPLICATION FOR FIREARMS ACT scientific or research purposes; or PERMIT 22 U.S.C. 2778 (3) Being imported or brought in Persons with a valid Federal Fire- solely for testing or use as a model arms license and/or registered as an 27 CFR 447.11, 447.21: TEMPORARY by a registered manufacturer or sole- importer of articles enumerated on IMPORTATION OF DEFENSE ARTI- ly for use as a sample by a registered the U.S. Munitions Import List seek- CLES importer or registered dealer. ing to import firearms, ammunition and implements of war may submit The Bureau of Alcohol, Tobacco, Fire- Regulations implementing the NFA the ATF Form 6, Application and arms and Explosives has approved in 27 CFR Part 479 require importers to Permit for Importation of Firearms, an alternate method or procedure for obtain an ATF Form 6, Application and Ammunition and Implements of War, importers to use when temporarily im- Permit for Importation of Firearms, Am- electronically using the eForm 6 on- porting firearms subject to the Nation- munition and Implements of War, prior to line electronic filing system, provid- al Firearms Act, the Gun Control Act importing NFA firearms into the United ed such persons have met certain and the Arms Export Control Act for States. 27 CFR 479.111. In addition, the registration requirements. inspection, testing, calibration, repair, regulations require importers to register or incorporation into another defense the firearms they import by filing with ATF Rul. 2003-6 article. the Director an accurate notice on Form 2, Notice of Firearms Manufactured or This ruling is superseded by ATF Rul. ATF Rul. 2004-2 Imported, executed under the penalties 2013-1 of perjury, showing the importation of The Bureau of Alcohol, Tobacco, Fire- a firearm. 27 CFR 479.112. When an 18 U.S.C. 922(b)(3): TRANSFER OF arms and Explosives (ATF) has received NFA firearm is to be exported from the FIREARMS numerous inquiries from importers who United States, the exporter must file with wish to temporarily import firearms sub- the Director an application on Form 9, 27 CFR 478.11, 478.124(c)(3)(ii): ject to the Gun Control Act of 1968 (GCA), Application and Permit for Exportation DEFINITIONS, TRANSFER OF FIRE- 18 U.S.C. Chapter 44, and the National of Firearms, to obtain authorization to ARMS Firearms Act (NFA), 26 U.S.C. Chapter export the firearm. 27 CFR 479.114-119. 53, for inspection, testing, calibration, A Federal firearms licensee (FFL) repair, or incorporation into another de- Regulations in 27 CFR Part 479 indi- may not lawfully transfer a firearm fense article. Importers advise ATF that cate that NFA firearms may be imported to a nonimmigrant alien who has not they generally obtain a temporary import for scientific or research purposes or for resided in a State continuously for at license, DSP-61, from the Department of testing or use as a model by a registered least 90 days immediately prior to the State authorizing the importation or com- manufacturer or as a sample by a reg- FFL conducting a National Instant ply with one of the regulatory exemptions istered importer or registered dealer. Criminal Background Check System from licensing in 22 CFR 123.4. They ask 27 CFR 479.111(a). However, section (NICS) check. whether such a license or exemption is 479.105(c), implementing section 922(o) sufficient to satisfy the requirements of of the GCA, clarifies that machineguns ATF Rul. 2004-1 the GCA and NFA. manufactured on or after May 19, 1986, may be imported only with a purchase This ruling is superseded by Inter- Statutory Background order for transfer to a governmental en- im Final Rule “Residency Require- tity, or as a dealer’s sales sample pursu- ments for Aliens Acquiring Firearms 1. The National Firearms Act ant to section 479.105(d). (2011R–23P)”, effective July 9, 2012 (77 FR 33630). The NFA imposes restrictions on The regulations in Part 479 give the certain firearms, including registration Director the authority to approve an 26 U.S.C. 5812, 5841, 5844, 5861, requirements, transfer approval require- alternate method or procedure in lieu 5872 ments, and import restrictions. 26 U.S.C. of a method or procedure specifically 5812, 5841, 5844. The term “firearm” is prescribed in the regulations when it is 27 CFR 479.11, 479.26, 479.105, defined in 26 U.S.C. 5845(a) to include found that: machineguns, short-barrel shotguns, 479.111, 479.112, 479.114 – 479.119: short-barrel rifles, silencers, destructive (1) Good cause is shown for the IMPORTATION OF FIREARMS SUB- devices, and “any other weapons.” use of the alternate method or pro- JECT TO THE NATIONAL FIREARMS Section 5844 of the NFA provides that no cedure; ACT firearm may be imported into the United States unless the importer establishes (2) The alternate method or pro- 18 U.S.C. 921(a)(3), 922(l), 922(o), that the firearm to be imported is— cedure is within the purpose of, and 923(e), 924(d), 925(d)(3) consistent with the effect intended by, (1) Being imported or brought in the specifically prescribed method 27 CFR 478.11, 478.22, 478.111 for the use of the United States or or procedure and that the alternate – 478.113: IMPORTATION OF MA- any department, independent estab- method or procedure is substantial- CHINEGUNS, DESTRUCTIVE DEVIC- lishment, or agency thereof or any ly equivalent to that specifically pre- ES, SHORT-BARREL SHOTGUNS, State or possession or any political scribed method or procedure; and

140 (3) The alternate method or proce- 3. The Arms Export Control Act Regulations in 22 CFR 123.4 provide an dure will not be contrary to any pro- exemption from licensing if the item tem- vision of law and will not result in an The Arms Export Control Act (AECA), porarily imported: increase in cost to the Government or 22 U.S.C. 2778, gives the President the hinder the effective administration of authority to control the export and import (1) Is serviced (e.g., inspection, the GCA or regulations issued thereof defense articles and defense services testing, calibration or repair, including under. in furtherance of world peace and the overhaul, reconditioning and one- security and foreign policy of the United to-one replacement of any defective 27 CFR 479.26. States. Authority to administer the per- items, parts or components, but ex- manent import provisions of the AECA cluding any modification, enhance- 2. The Gun Control Act was delegated to the Attorney General, ment, upgrade or other form of alter- while the authority to administer the ex- ation or improvement that changes Import provisions of the GCA, 18 port and temporary import provisions of the basic performance of the item), U.S.C. 922(l) and 925(d)(3), generally the AECA was delegated to the Secre- and is subsequently returned to the prohibit the importation of firearms sub- tary of State. Executive Order 11958 of country from which it was imported. ject to the NFA, except for the use of January 18, 1977, as amended by Exec- Shipment may be made by the U.S. governmental entities. 18 U.S.C. 925(a) utive Order 13333 of January 23, 2003, importer or a foreign government rep- (1). The term “firearm” is defined in 3 CFR Executive Order 13284. resentative of the country from which section 921(a)(3) to include any weap- the goods were imported; or on which will or is designed to or may The term “defense article” is defined be readily converted to expel a projectile in 27 CFR 447.11 as any item designat- (2) Is to be enhanced, upgraded or by the action of an explosive; the frame ed in sections 447.21 or 447.22. Section incorporated into another item which or receiver of such weapon; any firearm 447.21, the U.S. Munitions Import List, in- has already been authorized by the silencer; and any destructive device. In cludes a number of defense articles that Office of Defense Trade Controls for addition, section 922(o) of the GCA pro- are also subject to the GCA and NFA. permanent export; or hibits the transfer or possession of a ma- Category I, “Firearms,” includes non- chinegun manufactured on or after May automatic and semiautomatic firearms to (3) Is imported for the purpose of 19, 1986, except for the official use of caliber .50 inclusive, combat shotguns, exhibition, demonstration or market- governmental entities. shotguns with barrels less than 18 inches ing in the United States and is subse- in length, and firearms silencers and sup- quently returned to the country from Regulations implementing the GCA in pressors. All Category I firearms are sub- which it was imported; or 27 CFR Part 478 require that persons im- ject to the GCA. “Combat shotguns” porting firearms into the United States ob- include the USAS-12 shotgun and the (4) Has been rejected for perma- tain an approved ATF Form 6, Application Striker-12/Streetsweeper shotgun, which nent import by the Department of the and Permit for Importation of Firearms, have been classified as destructive de- Treasury [after January 24, 2003, the Ammunition and Implements of War, pri- vices under the GCA and NFA. In addi- Department of Justice] and is being or to bringing the firearms into the United tion, all shotguns with barrels of less than returned to the country from which it States. 27 CFR 478.111-114. Regulations 18 inches in length are subject to both was shipped; or in Part 478 provide that the Director may the GCA and NFA. All rifles with barrels of approve an alternate method or procedure less than 16 inches in length are subject (5) Is approved for such import unin lieu of a method or procedure specifical- to both the GCA and NFA, and silencers der the U.S. Foreign Military Sales ly prescribed by the GCA and regulations are subject to both the GCA and NFA. (FMS) program pursuant to an exe- when it is found that: cuted U.S. Department of Defense Category II, “Artillery Projectors,” Letter of Offer and Acceptance (LOA). (1) Good cause is shown for the includes guns over caliber .50, howit- use of the alternate method or pro- zers, mortars, and recoilless rifles. Fire- Willful violations of the AECA are pun- cedure; arms over .50 caliber have a bore of ishable by imprisonment for not more more than one-half inch in diameter and than 10 years, a fine of not more than (2) The alternate method or pro- are “destructive devices” as defined in $1,000,000, or both. 22 U.S.C. 2778(c). cedure is within the purpose of, and the GCA and NFA. Articles imported in violation of the AECA consistent with the effect intended by, are also subject to seizure and forfeiture. the specifically prescribed method Category IV, “Launch Vehicles, 18 U.S.C. 545. or procedure and that the alternate Guided Missiles, Ballistic Missiles, method or procedure is substantial- Rockets, Torpedoes, Bombs and Discussion ly equivalent to that specifically pre- Mines,” includes rockets, bombs, gre- scribed method or procedure; and nades, torpedoes, and land and naval A temporary import license autho- mines. All these articles are “destruc- rizing the temporary importation and (3) The alternate method or proce- tive devices” as defined in the GCA subsequent export of a defense article dure will not be contrary to any pro- and NFA. by the Department of State satisfies all vision of law and will not result in an legal requirements under the AECA. increase in cost to the Government or Regulations of the Department of State Importers may also comply with AECA hinder the effective administration of implementing the AECA generally require requirements if the importation meets the GCA or regulations issued there- a temporary import license, DSP-61, for one of the exemptions in 22 CFR 123.4. under. the temporary import and subsequent ex- However, if the defense article is sub- port of unclassified defense articles, un- ject to the GCA and NFA, the importer 27 CFR 478.22. less otherwise exempted. 22 CFR 123.3. must also comply with the requirements

141 of those statutes. Neither the GCA nor that allows importers to temporarily im- poration into another defense article. NFA make a distinction between tempo- port these firearms, subject to require- Because such defense articles are rary importation and permanent impor- ments to ensure the security of these often provided to allies of the United tation, as is the case under the AECA. articles while they are in the United States, it is imperative that the original Regulations implementing the GCA and States and accountability of the per- manufacturers have a lawful method of NFA make it clear that an “importation” sons who import them. importing such articles for repair and occurs when firearms are brought with- routine maintenance. The alternate in the territory of the United States. 27 Pursuant to 27 CFR 478.22 and method or procedure is consistent with CFR 478.11 and 479.11. Accordingly, 479.26, ATF hereby authorizes an alter- the effect intended by the procedure set any bringing of firearms into the territo- nate method or procedure for importers forth in the GCA and NFA, because the ry of the United States is subject to the of defense articles to use for temporary firearms must be registered and stored import provisions of the GCA and NFA. importation of such articles for inspec- securely. Finally, the alternate method Issuance of a temporary import license tion, calibration, repair, or incorporation is consistent with the requirements of by the Department of State, or exemp- into another defense article when such the GCA and NFA and will not result in tion from licensing under regulations in articles are subject to the requirements any additional costs to ATF or the De- 22 CFR Part 123, will not excuse com- of the NFA and GCA. The procedure re- partment of State. pliance with the GCA and NFA. quires that importers “Transfers” of NFA Weapons After The statutes and regulations outlined (1) Be qualified under the GCA and Importation above do not address the importation of NFA to import the type of firearms machineguns manufactured after May sought for importation; ATF recognizes that temporarily im- 19, 1986, for scientific or research pur- ported NFA firearms are sometimes poses or for testing, repair, or use as a (2) Obtain a temporary import li- “transferred” from the importer to a model by a manufacturer or importer. cense, DSP-61, from the Department contractor within the United States for Nor do the regulations address the im- of State in accordance with 22 CFR inspection, testing, calibration, repair, or portation of post-86 machineguns for 123.3 OR qualify for a temporary im- incorporation into another defense arti- repair, inspection, calibration, or incor- port license exemption pursuant to 22 cle. ATF has approved a procedure for poration into another defense article. CFR 123.4; authorizing the transportation or delivery of temporarily imported NFA firearms to For other “defense articles” that are (3) Within 15 days of the release of licensed contractors for repair or manip- subject to the requirements of the GCA the firearms from Customs custody, ulation, as noted above. and NFA, such as silencers, destructive file an ATF Form 2, Notice of Firearms devices, and short-barrel weapons, ATF Manufactured or Imported, showing Conveyance of an NFA weapon to has the authority to approve the impor- the importation of the firearms. The a licensee for purposes of inspection, tation of such firearms for scientific or DSP-61 must be attached to the testing, calibration, repair, or incorpora- research purposes or for testing or use Form 2. If the importation is subject to tion into another defense article is gen- as a model or sample by a registered a licensing exemption under 22 CFR erally not considered to be a “transfer” importer or registered dealer. However, 123.4, the importer must submit with under 26 U.S.C. 5845(j). ATF has taken such importations must comply with all the ATF Form 2 a statement, under the position that temporary custody by applicable provisions of the NFA, includ- penalty of perjury, attesting to the ex- a licensee is not a transfer for purpos- ing filing of a Form 2, Notice of Firearms emption and stating that the article es of the NFA since no sale, lease, or Manufactured or Imported, to effect will be exported within four years of other disposal is intended by the own- registration. If such articles are subse- its importation into the United States; er. However, in order to document the quently exported, a Form 9, Application transaction as a temporary conveyance and Permit for Permanent Exportation of (4) Maintain the defense articles in and make clear that an actual “trans- Firearms, must also be approved prior to a secure place and manner to ensure fer” of a firearm has not taken place, exportation. that the articles are not diverted to ATF strongly recommends that the im- criminal or terrorist use; and porter submit a Form 5, Application for As with post-86 machineguns, nei- Tax Exempt Transfer and Registration ther the law nor regulations specifically (5) Export the articles within 4 of Firearm, for approval prior to convey- address the importation of firearms sub- years of importation into the United ing a firearm for repair or manipulation. ject to the NFA for purposes of repair, in- States. In the alternative, the importer should spection, calibration, or for incorporation convey the weapon with a letter to the into another defense article. Importers who follow the procedures contractor, stating: (1) the weapon is outlined above will be in compliance with being temporarily conveyed for inspec- ATF recognizes that inspection, all the provisions of the GCA, NFA, and tion, testing, calibration, repair, or incor- repair, calibration, incorporation into AECA administered and enforced by poration into another defense article; another defense article, and recondi- ATF. All other provisions of the law must and (2) the approximate time period tioning of machineguns, destructive be followed. the weapon is to be in the contractor’s devices, and other NFA firearms is possession. The transferee must be often necessary for National defense. ATF finds that the procedure outlined properly licensed to engage in an NFA These defense articles are frequently above meets the legal requirements for firearms business. sold to allies of the United States for an alternate method or procedure be- their legitimate defense needs. Ac- cause there is good cause to authorize Held, pursuant to 27 CFR 478.22 and cordingly, ATF believes it is appropri- the importation of defense articles for 479.26, the Bureau of Alcohol, Tobacco, ate to recognize an alternate method repair, inspection, calibration, or incor- Firearms and Explosives has approved

142 an alternate method or procedure for im- 26 U.S.C. 5845(b): DEFINITIONS (MA- parts from which a machinegun can porters to use when temporarily import- CHINEGUN) be assembled if such parts are in the ing firearms subject to the Gun Control possession or under the control of Act, National Firearms Act, and the Arms 27 CFR 179.11: MEANING OF TERMS the person.” Id.; see 18 U.S.C.b921(a) Export Control Act for inspection, test- (23); 27 CFR 478.11, 479.11. ing, calibration, repair, or incorporation The 7.62mm Aircraft Machine Gun, into another defense article. This proce- identified in the U.S. military invento- ATF and its predecessor agency, dure applies to all defense articles that ry as the “M-134” (Army), “GAU-2B/A” the Internal Revenue Service (IRS), are also subject to the NFA and GCA. (Air Force), and “GAU-17/A” (Navy), is have historically held that the original, The procedure requires that importers a machinegun as defined by 26 U.S.C. crank-operated Gatling Gun, and repli- 5845(b). Rev. Rul. 55-528 modified. cas thereof, are not automatic firearms (1) Be qualified under the GCA and or machineguns as defined. See Rev. NFA to import the type of firearms ATF Rul. 2004-5 Rul. 55-528, 1955-2 C.B. sought for importation; The Bureau of Alcohol, Tobacco, Fire- 482. The original Gatling Gun is a (2) Obtain a temporary import li- arms and Explosives (ATF) has exam- rapid-firing, hand-operated weapon. The cense, DSP-61, from the Department ined the 7.62mm Aircraft Machine Gun, rate of fire is regulated by the rapidity of of State in accordance with 22 CFR commonly referred to as a “Minigun.” the hand-cranking movement, manual- 123.3 or qualify for a temporary im- The Minigun is a 36-pound, six-barrel, ly controlled by the operator. It is not a port license exemption pursuant to 22 electrically powered machinegun. It is in “machinegun” as that term is defined CFR 123.4; the U.S. military inventory and identified in 26 U.S.C. 5845(b) because it is not a as the “M-134” (Army), “GAU-2B/A” weapon that fires automatically. (3) Within 15 days of the release of (Air Force), and “GAU-17/A” (Navy). It the firearms from Customs custody, is a lightweight and extremely reliable The Minigun is not a Gatling Gun. It file an ATF Form 2, Notice of Firearms weapon, capable of discharging up to was not produced under the 1862 - 1893 Manufactured or Imported, showing 6,000 rounds per minute. It has been patents of the original Gatling Gun. While the importation of the firearms. The used on helicopters, fixed-wing aircraft, using a basic design concept of the Gat- DSP-61 must be attached to the and wheeled vehicles. It is highly adapt- ling Gun, the Minigun does not incorporate Form 2. If the importation is subject to able, being used with pintle mounts, tur- any of Gatling’s original components and a licensing exemption under 22 CFR rets, pods, and internal installations. its feed mechanisms are entirely differ- 123.4, the importer must submit with ent. Critically, the Minigun shoots more the ATF Form 2 a statement, under The Minigun has six barrels and bolts than one shot, without manual reloading, penalty of perjury, attesting to the ex- which are mounted on a rotor. The firing by a single function of the trigger, as pre- emption and stating that the article sequence begins with the manual op- scribed by 26 U.S.C. 5845(b). See United will be exported within four years of eration of a trigger. On an aircraft, the States v. Fleischli, 305 F.3d 643, 655-656 its importation into the United States; trigger is commonly found on the control (7th Cir. 2002). See also Staples v. United column, or joystick. Operation of the trig- States, 511 U.S. 600, 603 (1994) (auto- (4) Maintain the defense articles in ger causes an electric motor to turn the matic refers to a weapon that “once its a secure place and manner to ensure rotor. As the rotor turns, a stud on each trigger is depressed, the weapon will that the articles are not diverted to bolt travels along an elliptical groove on automatically continue to fire until its criminal or terrorist use; and the inside of the housing, which causes trigger is released or the ammunition is the bolts to move forward and rearward exhausted”); GEORGE C. NONTE, JR., (5) Export the articles within 4 on tracks on the rotor. A triggering cam, FIREARMS ENCYCLOPEDIA 13 (Harper years of importation into the United or sear shoulder, trips the firing pin when & Rowe 1973) the term “automatic” is States. the bolt has traveled forward through the defined to include “any firearm in which full length of the bolt track. One com- a single pull and continuous pressure Held further, temporary conveyance plete revolution of the rotor discharges upon the trigger (or other firing device) of NFA weapons from the importer to a cartridges in all six barrels. The housing will produce rapid discharge of suc- contractor within the United States for that surrounds the rotor, bolts and firing cessive shots so long as ammunition purposes of inspection, testing, calibra- mechanism constitutes the frame or re- remains in the magazine or feed de- tion, repair, or incorporation into another ceiver of the firearm. vice - in other words, a machinegun”); defense article may be accomplished WEBSTER’S II NEW RIVERSIDE - UNI- through advance approval of ATF Form The National Firearms Act defines VERSITY DICTIONARY (1988) (defining 5, Application for Tax Exempt Transfer “machinegun” as “any weapon which automatically as “acting or operating in and Registration of Firearm, or with a shoots, is designed to shoot, or can a manner essentially independent of letter from the importer to the contractor be readily restored to shoot, auto- external influence or control”); JOHN stating: (1) the weapon is being tempo- matically more than one shot, with- QUICK, PH.D., DICTIONARY OF WEAP- rarily conveyed for inspection, testing, out manual reloading, by a single ONS AND MILITARY TERMS 40 Mc- calibration, repair, or incorporation into function of the trigger.” 26 U.S.C. Graw-Hill 1973) (defining automatic fire another defense article; and (2)the ap- 5845(b). The term also includes “the as “continuous fire from an automatic proximate time period the weapon is to frame or receiver of any such weap- gun, lasting until pressure on the trig- be in the contractor’s possession. The on, any part designed and intended ger is released”). transferee must be properly licensed to solely and exclusively, or combina- engage in an NFA firearms business. tion of parts designed and intended, The term “trigger” is generally held for use in converting a weapon into a to be the part of a firearm that is used Date signed: April 7, 2004 machinegun, and any combination of to initiate the firing sequence. See Unit-

143 ed States v. Fleischli, 305 F.3d at 655- The sample submitted is a paintball The terms “firearm silencer” and 56 (and cases cited therein); see also gun with a ported device attached to “firearm muffler” mean any device for ASSOCIATION OF FIREARMS AND the barrel. The paintball gun uses com- silencing, muffling, or diminishing the re- TOOLMARK EXAMINERS (AFTE) pressed air to expel a projectile. The port of a portable firearm, including any GLOSSARY 185 (1st ed. 1980) (“that paintball gun has a barrel with a smooth combination of parts, designed or rede- part of a firearm mechanism which is bore 12 1/4 inches long and 1 inch in di- signed, and intended for use in assem- moved manually to cause the firearm ameter. The barrel is permanently weld- bling or fabricating a firearm silencer or to discharge”); WEBSTER’S II NEW ed to the paintball gun. The section of firearm muffler, and any part intended RIVERSIDE - UNIVERSITY DICTIO- the barrel that the device is attached to only for use in such assembly or fabri- NARY (1988) (“lever pressed by the has an internal diameter of .68 inches cation. finger in discharging a firearm”). and is ported with 20 openings. Ten of the openings are rectangular in shape The NFA defines the term“firearm” to Held, the 7.62mm Minigun is designed and are approximately .430 inches include any silencer as defined in section to shoot automatically more than one wide and 1 inch in length. The other 10 921 of the GCA. 26 U.S.C. 5845(a)(7). shot, without manual reloading, by a sin- openings are oval in shape and approx- gle function of the trigger. Consequently, imately .25 inches wide and 1 inch in The term “make” is defined in the the 7.62mm Minigun is a machinegun as length. Two end caps, each with a di- NFA to include manufacturing, putting defined in section 5845(b) of the National ameter of 1.5 inches, are permanently together, Firearms Act. See United States v. Fleis- welded to the barrel at either end of the chli, 305 F.3d at 655-56. Similarly, the ported section of the barrel. A section altering, any combination of these, housing that surrounds the rotor is the of plastic tube approximately 8 inches or otherwise producing a firearm. 26 frame or receiver of the Minigun, and thus in length and 2 inches in diameter cov- U.S.C. 5845(i). is also a machinegun. Id.; see 18 U.S.C. ers the ported section of the barrel. It 921(a)(23); 27 CFR 478.11, 479.11. is attached by sliding over the paintball The paintball gun examined by ATF is gun barrel and is held in place by two not a “firearm” as defined, because it To the extent this ruling is inconsistent rubber “O” rings that are affixed to met- does not, is not designed to, and may with Revenue Ruling 55-528 issued by al bushings. These metal bushings are not be readily converted to expel a pro- the IRS, Revenue Ruling 55-528, 1955- permanently welded to the barrel, one jectile by the action of an explosive and 2 C.B. 482, is hereby modified. toward the rear and one at the muzzle does not utilize the frame or receiver end of the barrel. The plastic tube, how- of a firearm. The sole issue presented Date signed: August 18, 2004 ever, can be removed. is whether the ported barrel and outer sleeve are a firearm muffler or firearm 18 U.S.C. 921(a)(3): DEFINITIONS To determine whether the ported bar- silencer as defined in the GCA and NFA. (FIREARM) rel and outer sleeve would function as a silencer, it was removed by cutting with a The design characteristics of the 18 U.S.C. 921(a)(24): DEFINITIONS hack saw. A threaded adaptor with tape ported barrel and outer sleeve are simi- (FIREARM MUFFLER AND FIREARM wrapped around it was utilized so the lar to those of conventional commercial SILENCER) device could be attached to a .22 cali- silencers. The barrel is ported to allow ber Ruger Mark II pistol. With the device the escape of gases from a fired round 26 U.S.C. 5845(a)(7): DEFINITIONS attached, a sound meter test was per- and the outer sleeve dampens or muffles (FIREARM) formed, with five shots being fired with the sound when a round is fired. More- the device attached and five shots fired over, the sound meter test indicates a re- 26 U.S.C. 5845(i): DEFINITIONS without the device attached. The test- duction of 7.98 decibels when the ported (MAKE) ing indicated that the attachment of the barrel and sleeve were attached to a .22 device resulted in a 7.98-decibel sound caliber pistol, which is consistent with Certain integral devices intended to reduction. the sound reduction resulting from the diminish the report of paintball guns use of commercial silencers. are not “firearm silencers” or “fire- The GCA defines the term “firearm” arm mufflers” under the Gun Control as: Noteworthy, the definition of “fire- Act of 1968 or the National Firearms arm silencer” and “firearm muffler” Act. (A) any weapon (including a starter requires that the device be one for di- gun) which will or is designed to or may minishing the report of a portable fire- ATF Rul. 2005-4 readily be converted to expel a projec- arm. The device under consideration is tile by the action of an explosive; (B) the permanently attached to and an integral The Bureau of Alcohol, Tobacco, Fire- frame or receiver of any such weapon; part of a paintball gun, which is not a arms and Explosives (ATF) has received (C) any firearm muffler or firearm silenc- firearm as defined in the GCA or NFA. requests from manufacturers of paintball er; or (D) any destructive device. Such The device cannot be removed from the guns for evaluation and classification of term does not include an antique fire- paintball gun without destroying the bar- integral devices intended to diminish the arm. rel and rendering the paintball gun un- report of a paintball gun. Specifically, the usable. Under these circumstances, the manufacturers have asked whether the 18 U.S.C. 921(a)(3)(C). integral device is not a firearm muffler or device would be considered a “silenc- firearm silencer. er” as defined in the Gun Control Act The definition of “firearm silencer” of 1968 (GCA), 18 U.S.C. Chapter 44, and “firearm muffler” in 18 U.S.C. However, once the device is cut from and the National Firearms Act (NFA), 26 921(a)(24) provides as follows: the paintball gun, it can be used to di- U.S.C. Chapter 53. minish the report of a firearm. As stated

144 previously, the design characteristics of Control Act includes a part or parts ATF has examined several firearms the device are consistent with those of that are designed and intended for accessory devices that are designed and commercial silencers, and testing indi- use in converting a weapon into a intended to accelerate the rate of fire for cates that the device functions to reduce machinegun. This language includes semiautomatic firearms. One such device the report of the firearm. Moreover, re- a device that, when activated by a consists of the following components: two moval of the device from the paintball single pull of the trigger, initiates an metal blocks; the first block replaces the gun indicates some intention to utilize the automatic firing cycle that continues original manufacturer’s V-Block of a Ru- device for something other than reducing until the finger is released or the am- ger 10/22 rifle and has attached two rods the report of the paintball gun. Because munition supply is exhausted. approximately ¼ inch in diameter and ap- the device will no longer be permanent- proximately 6 inches in length; the second ly attached to an unregulated item, and ATF Rul. 2006-2 block, approximately 3 inches long, 1 ⅜ because of its silencer design character- inches wide, and ¾ inch high, has been istics, removal will result in the making of The Bureau of Alcohol, Tobacco, Fire- machined to allow the two guide rods of a silencer under the NFA and GCA. This arms and Explosives (ATF) has been the first block to pass through. The second is consistent with the definition of“make” asked by several members of the fire- block supports the guide rods and attach- in the NFA, as removal of the device re- arms industry to classify devices that are es to the stock. Using ¼ inch rods, metal sults in production of a silencer. exclusively designed to increase the rate washers, rubber and metal bushings, two of fire of a semiautomatic firearm. These collars with set screws, one coiled spring, Making of a silencer by an unlicensed devices, when attached to a firearm, result C-clamps, and a split ring, the two blocks person for personal use does not require in the firearm discharging more than one are assembled together with the compos- any license or notification to ATF under the shot with a single function of the trigger. ite stock. As attached to the firearm, the GCA. However, under the NFA the making ATF has been asked whether these devic- device permits the entire firearm (receiver of a silencer must be approved in advance es fall within the definition of machinegun and all its firing components) to recoil a by ATF. Unlicensed persons must file an under the National Firearms Act (NFA) short distance within the stock when fired. ATF Form 1, Application to Make a Fire- and Gun Control Act of 1968 (GCA). As A shooter pulls the trigger which causes arm, pay a $200 making tax, and comply explained herein, these devices, once ac- the firearm to discharge. As the firearm with all other provisions of the law prior to tivated by a single pull of the trigger, initiate moves rearward in the composite stock, making the firearm. Approval of the Form an automatic firing cycle which continues the shooter’s trigger finger contacts the 1 results in registration of the silencer to until either the finger is released or the am- stock. The trigger mechanically resets, the maker. Subsequent transfers of the munition supply is exhausted. Accordingly, and the device, which has a coiled spring registered silencer must be approved in these devices are properly classified as a located forward of the firearm receiver, advance by ATF. Possession of a silenc- part “designed and intended solely and is compressed. Energy from this spring er not registered to the possessor, and a exclusively, or combination of parts subsequently drives the firearm forward making or transfer that does not comply designed and intended, for use in con- into its normal firing position and, in turn, with the NFA and regulations are punish- verting a weapon into a machinegun” causes the trigger to contact the shooter’s able by imprisonment for up to 10 years, a and therefore machineguns under the trigger finger. Provided the shooter main- fine of $250,000, or both. NFA and GCA. tains finger pressure against the stock, the weapon will fire repeatedly until the Held, a device for an unregulated The National Firearms Act (NFA), ammunition is exhausted or the finger is paintball gun, having a permanently af- 26 U.S.C. Chapter 53, defines the removed. The assembled device is ad- fixed, integral ported barrel and other term “firearm” to include a machine- vertised to fire approximately 650 rounds components, that functions to reduce the gun. Section 5845(b) of the NFA de- per minute. Live-fire testing of this device report of the paintball gun is not a “fire- fines “machinegun” as “any weapon demonstrated that a single pull of the arm silencer” or “firearm muffler” as which shoots, is designed to shoot, trigger initiates an automatic firing cycle defined, as the device is not one for di- or can be readily restored to shoot, which continues until the finger is released minishing the report of a portable firearm. automatically more than one shot, or the ammunition supply is exhausted. without manual reloading, by a single Held further, removal of the permanent- function of the trigger. The term shall As noted above, a part or parts de- ly affixed ported barrel and other compo- also include the frame or receiver of signed and intended to convert a weapon nents from a paintball gun is a “making” any such weapon, any part designed into a machinegun, i.e., a weapon that will of a silencer under the GCA and NFA that and intended solely and exclusive- shoot automatically more than one shot, requires advance approval from ATF. ly, or combination of parts designed without manual reloading, by a single func- and intended, for use in converting tion of the trigger, is a machinegun under Date approved: October 12, 2005 a weapon into a machinegun, and the NFA and GCA. ATF has determined any combination of parts from which that the device constitutes a machinegun 18 U.S.C. 922(o): Transfer or posses- a machinegun can be assembled if under the NFA and GCA. This determina- sion of machinegun such parts are in the possession or tion is consistent with the legislative his- under the control of a person.” The tory of the National Firearms Act in which 26 U.S.C. 5845(b): Definition of ma- Gun Control Act of 1968 (GCA), 18 the drafters equated “single function chinegun U.S.C. Chapter 44, defines machinegun of the trigger” with “single pull of the identically to the NFA. 18 U.S.C. 921(a) trigger.” See, e.g., National Firearms Act: 18 U.S.C. 921(a)(23): Definition of (23). Pursuant to 18 U.S.C. 922(o), ma- Hearings Before the Comm. on Ways and machinegun chineguns manufactured on or after May Means, House of Representatives, Sec- 19, 1986, may only be transferred to or ond Session on H.R. 9066, 73rd Cong., at The definition of machinegun in the possessed by Federal, State, and local 40 (1934). Accordingly, conversion parts National Firearms Act and the Gun government agencies for official use. that, when installed in a semiautomatic

145 rifle, result in a weapon that shoots more This ruling was superseded by ATF fine the term “machinegun” as “any than one shot, without manual reloading, Rul. 2008-2. weapon which shoots, is designed by a single pull of the trigger, are a ma- to shoot, or can be readily restored chinegun as defined in the National Fire- 18 U.S.C. 921(a)(3): DEFINITION OF to shoot, automatically more than arms Act and the Gun Control Act. FIREARM one shot, without manual reloading, by a single function of the trigger.” Held, a device (consisting of a block 18 U.S.C. 922(o): TRANSFER OR The term also includes “the frame or replacing the original manufacturer’s POSSESSION OF MACHINEGUN receiver of any such weapon, any V-Block of a Ruger 10/22 rifle with two part designed and intended sole- attached rods approximately ¼ inch in 18 U.S.C. 921(a)(23): DEFINITION OF ly and exclusively, or combination diameter and approximately 6 inches in MACHINEGUN of parts designed and intended, for length; a second block, approximately 3 use in converting a weapon into a inches long, 1 ⅜ inches wide, and ¾ inch 26 U.S.C. 5845(b): DEFINITION OF machinegun, and any combination high, machined to allow the two guide MACHINEGUN of parts from which a machinegun rods of the first block to pass through; the can be assembled if such parts are second block supporting the guide rods 27 CFR 478.11: DEFINITION OF FIRE- in the possession or under the con- and attached to the stock; using ¼ inch ARM FRAME OR RECEIVER trol of a person.” (See also 27 CFR rods; metal washers; rubber and metal 478.11, 479.11). Title 27, Code of Fed- bushings; two collars with set screws; The upper assembly of the Fabrique eral Regulations, section 478.11 defines one coiled spring; C-clamps; a split ring; Nationale Herstal SA (FN) FNC rifle a “firearm receiver” as, “[t]hat part of the two blocks assembled together with is classified as the receiver of the a firearm which provides housing for the composite stock) that is designed to firearm for purposes of the Gun Con- the hammer, bolt or breechblock, and attach to a firearm and, when activated trol Act, 18 U.S.C. Chapter 44, and firing mechanism, and which is usu- by a single pull of the trigger, initiates an the National Firearms Act, 26 U.S.C. ally threaded at its forward portion to automatic firing cycle that continues until Chapter 53. receive the barrel.” either the finger is released or the ammunition supply is exhausted, is a ma- ATF Rul. 2008-1 The FNC rifle consists of two major chinegun under the National Firearms assemblies, the upper assembly and Act, 26 U.S.C. 5845(b), and the Gun The Bureau of Alcohol, Tobacco, Fire- the lower assembly. The lower assembly Control Act, 18 U.S.C. 921(a)(23). arms and Explosives (ATF) has recently houses the trigger, hammer, disconnec- received inquiries concerning the instal- tor, safety/selector, and an automatic trip Held further, manufacture and distri- lation of a registered sear into the FN lever in the automatic version. It also in- bution of any device described in this FNC rifle. These sears, when installed, corporates a pistol grip and a magazine ruling must comply with all provisions allow a semiautomatic FNC rifle to be release. The upper assembly houses a of the NFA and the GCA, including 18 converted into a machinegun. Prior to barrel that is attached to the upper as- U.S.C. 922(o). May 19, 1986, a number of these sears sembly by means of a barrel extension. made for the FNC rifle were registered It also houses the bolt carrier with gas To the extent that previous ATF rul- as machineguns in the National Fire- piston affixed, gas tube and handguard, ings are inconsistent with this determi- arms Registration and Transfer Record bolt, operating rod and spring. The two nation, they are hereby overruled. (NFRTR). These sears were required to assemblies are mounted together with a be registered in the NFRTR as machine- front and rear takedown pin. Since 1981, Date approved: December 13, 2006 guns because they are parts designed ATF has classified the lower assembly and intended solely and exclusively for as the receiver for purposes of the GCA 18 U.S.C. 923(g): RECORDS RE- use in converting a weapon into a ma- and NFA. QUIRED TO BE MAINTAINED BY chinegun. FEDERAL FIREARMS LICENSEES ATF has reconsidered its classification In order to install a registered FNC of the lower assembly of the FNC rifle as 27 CFR PART 478, SUBPART H: sear into a host FNC rifle, a hole must the receiver. The upper assembly of the RECORDS be drilled into the lower assembly and a FNC rifle is more properly classified as portion of the solid area of the lower as- the receiver. The upper assembly of the 27 CFR 478.22: ALTERNATIVE sembly between the magazine well and FNC rifle houses the bolt and provides METHODS OR PROCEDURES; the compartment for the trigger mech- a connection point for the barrel. More- EMERGENCY VARIATIONS FROM anism must be milled out. If the lower over, the upper assembly is classified as REQUIREMENTS assembly were to be classified as the the receiver on similar types of firearms, receiver, any such modifications would to include other FN rifles, such as the FN A Federal firearms licensee (FFL) create a new machinegun receiver, po- FAL and FN SCAR. Reclassification of who has an approved variance to tentially in violation of 18 U.S.C. 922(o) the upper assembly as the receiver will use a computerized acquisition and (prohibiting the transfer or possession of also allow the continued installation of a disposition record may periodical- a machinegun except for official Federal, lawfully registered sear into an FNC rifle ly download the required records State, or local government use). because no modification to the receiver, to portable data storage devices in- which is the upper assembly, is required stead of printing out such records, The Gun Control Act of 1968 (GCA) at to properly install the sear. even if the original variance did not 18 U.S.C. 921(a)(23), and the National include this provision. Firearms Held, the upper assembly of the FN FNC rifle is the receiver of the firearm. ATF Rul. 2007- 4 Act (NFA) at 26 U.S.C. 5845(b), de-

146 Held further, in the event a licensed authorizes licensees to use an elec- feree (buyer) and transferor (seller), ex- manufacturer in the United States man- tronic version of Form 4473, as an al- cept for the signatures, dates, and the ufactures a new firearm that is substan- ternate method or procedure, provided National Instant Criminal Background tially similar to the FN FNC rifle, it must all of the requirements stated in this Check System (NICS) information. be marked with a model designation oth- ruling are met. er than “FNC.” ATF finds that the alternate method set ATF Rul. 2008-3 forth in this ruling is consistent with the To the extent this ruling is inconsistent provisions of 27 CFR 478.121, 478.124, with any previous ATF classifications, The Gun Control Act of 1968 (GCA), 18 and 479.131 because it will ensure that they are hereby superseded. U.S.C. Chapter 44, provides, in part, that all required information is captured on each licensed importer, licensed manufac- the electronic Form 4473, and that the Date approved: May 27, 2008 turer, and licensed dealer (licensees) must answers are confirmed in writing. Further, maintain records of sale or other disposi- this alternate method is not contrary to 18 U.S.C. 923(g)(1)(A): RECORDS tion of firearms at their place of business any provision of law, should not increase REQUIRED FOR FIREARMS LICENS- for such period, and in such form, as the costs to ATF, and should not hinder the EES Attorney General may by regulations pre- effective administration of the regulations. scribe. With certain exceptions, a licensee 27 CFR PART 478, SUBPART H: may not sell or otherwise dispose, tem- Under the terms, conditions, and in RECORDS porarily or permanently, of any firearm to the order set forth in this ruling, ATF any person, other than another licensee, authorizes an alternate method or pro- 27 CFR 478.22, 478.121, 478.122, unless the licensee records the transac- cedure to the ATF Form 4473 (5300.9) 478.123, 478.125(e): LICENSEE tion on a Firearms Transaction Record, requirements of 27 CFR 478.121, ACQUISITION AND DISPOSITION ATF Form 4473 (5300.9). The answers 478.124, and 479.131, when licensees RECORDS, ALTERNATE METHODS on Form 4473 must be handwritten, and comply with the following requirements: OR PROCEDURES contain the information specified by Title 27, Code of Federal Regulations (CFR), (1) The licensee will follow the Notic- Under specified conditions, approv- section 478.124. es, Instructions, and Definitions govern- al is granted to utilize computerized ing the use of the OMB-approved ver- records as required records under 27 Persons with a valid Federal firearms sion of the ATF Form 4473, and either: CFR 478.121, 478.122, 478.123, and license may seek approval to use an al- (a) acquires and uses his/her own elec- 478.125(e), Subpart H. ternate electronic system of recordkeep- tronic Form 4473 software; or (b) down- ing. Title 27, Code of Federal Regula- loads from ATF’s internet website and ATF Rul. 2008-2 tions, sections saves to his/her computer ATF’s most current electronic version of Form 4473, This ruling was superseded by ATF 478.22 and 479.26, provide that the known as ATF e-Form 4473. Rul. 2013-5. Director may approve an alternate method or procedure in lieu of a method or (2) The electronic Form 4473 dis- 18 U.S.C. 923(g)(1)(A): RECORDS procedure specifically prescribed in plays clearly, either on the same screen REQUIRED the regulations when he finds that: (1) as the questions, or upon mouse-click- Good cause is shown for the use of the ing a conspicuously displayed screen 18 U.S.C. 922(b)(5): RECORDS RE- alternate method or procedure; (2) The item, all of the Notices, Instructions, and QUIRED alternate method or procedure is within Definitions contained on the current Of- the purpose of, and consistent with the fice of Management and Budget (OMB) 27 CFR 478.22: ALTERNATE METH- effect intended by, the specifically pre- approved ATF Form 4473. ODS OR PROCEDURES scribed method or procedure and that the alternate method or procedure is (3) The transferee (buyer) of the fire- 27 CFR 478.121: RECORDS RE- substantially equivalent to that specifi- arm(s) answers the questions for Sec- QUIRED cally prescribed method or tion A of Form 4473 while physically present at the seller’s premises. The 27 CFR 478.124: FIREARMS TRANS- procedure; and (3) The alternate questions presented on the computer ACTION RECORD method or procedure will not be contrary screen must be legible, and contain the to any provision of law and will not result same wording as the current OMB-ap- 27 CFR 479.26: ALTERNATE METH- in an increase in cost to the Government proved version of ATF Form 4473 ODS OR PROCEDURES or hinder the effective administration of (5300.9), Firearms Transaction Record Parts 478 or 479, Title 27, CFR. Part I, Over-the-counter. Where Form 27 CFR 479.131: RECORDS RE- 4473 requires “checking” or “mark- QUIRED The Bureau of Alcohol, Tobacco, Fire- ing,” the transferee may mouse-click arms and Explosives (ATF) recognizes in an appropriate box to answer the Pursuant to 27 CFR 478.22 and 479.26, that, provided certain conditions are question on the electronic Form 4473. ATF authorizes an alternate method met, a computer generated and printed Where Form 4473 requires “printing” or procedure from the provisions of version of Form 4473 may reduce re- or “handwriting” (except for signatures 27 CFR 478.121, 478.124, and 479.131 cordkeeping errors. ATF finds that there and dates), the transferee will enter the that require licensees to complete ATF is good cause to authorize a variance information on the electronic form. Form 4473 (5300.9), Firearms Transac- to the provisions of 27 CFR 478.121, tion Record Part I–Over-the-Counter, 478.124, and 479.131 requiring that (4) The electronic Form 4473 must al- by handwriting the information. ATF Form 4473 be handwritten by the trans- low the transferee to review and amend

147 his/her answers until he/she selects or the NICS (or the State Point-of-Contact sentation that ATF has required a collec- mouse-clicks a statement on the screen (POC)) for the background check, ex- tion of any additional information. that he/she “agrees with and certifies” cept where the buyer has a valid permit the same transferee certification state- from the State where the transfer is to Held, pursuant to 27 CFR 478.22 ment as the current OMB-approved ATF take place, or the transaction involves and 479.26, ATF authorizes an alter- Form 4473 (5300.9). Once the state- an ATF approved transfer of solely Na- nate method or procedure from the pro- ment has been selected or mouse- tional Firearms Act (NFA) firearm(s), visions of 27 CFR 478.121, 478.124, clicked, the transferee can no longer which qualify as exemptions to NICS. If and 479.131 that require licensees to make revisions to his/her answers. applicable, the NICS/POC background complete ATF Form 4473 (5300.9), check information is handwritten by the Firearms Transaction Record Part I, (5) The transferor (seller) of the fire- licensee in Section B of the printed form. Over- the-counter, by handwriting the arm(s) enters the information into the information. ATF authorizes licensees to licensee’s computer for Section B (ex- (10) The licensee/transferor reuse an electronic version of Form 4473, cept the NICS background check infor- views the entire form for complete- including ATF’s e-Form 4473, as an al- mation) and Section D (except for the ness and accuracy, and confirms ternate method or procedure, provided signature and date) of the electronic his/her answers by handwriting (in all of the requirements stated in this rul- Form 4473. The questions presented ink) his/her signature and date on ing are met. on the computer screen must be legible, the printed form, certifying that his/ and contain the same wording as the her answers are true, correct, and Held further, if legal or administra- current OMB-approved version of ATF complete, and that he/she has read, tive difficulties arise due to the down- Form 4473 (5300.9). understood, and complied with the load and/or use of any electronic Form conditions, notices, definitions, and 4473, or if ATF finds for any reason that (6) The electronic Form 4473 allows instructions for the form. use of an electronic Form 4473 fails to the transferor to review and amend meet the requirements of this ruling or his/her answers until he/she selects or (11) The licensee staples the print- 27 CFR 478.22 or 479.26, licensees mouse-clicks a statement on the screen ed pages together and retains the may be required to discontinue use of that he/she “agrees with and certifies” complete package, including all No- the electronic Form 4473 and handwrite the same transferor certification as the tices, Instructions, and Definitions for the answers on the Form 4473 available current OMB-approved ATF Form 4473 ATF Form 4473, at his/her licensed through ATF’s Distribution Center. (5300.9). Once the statement has been premises in accordance with law and selected or mouse-clicked, the transfer- regulations. Date approved: November 19, 2008 or can no longer make revisions to his/ her answers. The laws, regulations, policies, and 18 U.S.C. 921(a): DEFINITION procedures applicable to the handwrit- (7) The transferor (seller) prints all pag- ten version of 18 U.S.C. 922(a)(l)(A): LICENSES es of ATF Form 4473 on 8 1/2” x 11” or the REQUIRED previously prescribed 8 1/2” x 33” paper, ATF Form 4473 apply to electronic ver- 20 pound, matte finish, and paper of the sions of Form 4473. Licensees who fail 18 U.S.C. 923(a): LICENSES RE- same color of paper as the current edition to abide by the terms and conditions set QUIRED (the printer and paper to be provided by forth in this ruling may be advised by ATF the licensee); the ink or toner quality used that their privilege of utilizing an electronic 27 CFR 478.11: DEFINITIONS in printing, whether ink-jet or laser, must Form 4473 has been terminated. Errors remain visible and legible for the duration on printed forms may only be corrected 27 CFR 478.41(a): LICENSES RE- that the form is required to be kept by law prior to completion of the transaction by QUIRED and regulation. The entire printed Form marking through the error, entering the 4473 must be a verbatim/exact image correct information, and initialing and Any person who engages in an ac- of the current OMB-approved ATF Form dating each correction. Licensees are not tivity or process that primarily adds 4473 (5300.9). Each response to a ques- required to use an electronic Form 4473, to or changes a firearm’s appear- tion must be legibly printed and aligned and may continue to use the OMB-ap- ance, by camouflaging a firearm by in the particular space or box allotted for proved version of the ATF Form 4473 painting, dipping, or applying tape, that question on ATF Form 4473. If paper available through ATF’s Distribution Cen- or by engraving the external surface is unavailable, licensees should use the ter. Licensees are reminded of their re- of a firearm, does not need to be li- current hardcopy of the OMB-approved sponsibility to ensure accuracy and com- censed as a manufacturer under the version of the form available from ATF’s pleteness of all of their required records. Gun Control Act. Any person who distribution center. is licensed as a dealer/gunsmith, This ruling does not apply to a licens- and who camouflages or engraves (8) The transferee (buyer) confirms ee or computer software that gathers in- firearms as described in this ruling his/her answers by handwriting (in ink) formation other than that set forth on the does not need to be licensed as a his/her signature and date on the print- current OMB-approved ATF Form 4473 manufacturer under the Gun Control ed form, certifying that his/her answers (5300.9), Part I. Licensees who wish to Act. Any person who is engaged in are true, correct, and complete, and that collect additional information must clearly the business of camouflaging or en- he/she has read, understood, and com- distinguish information requested by the graving firearms as described in this plied with the conditions, notices, defini- licensee from information required by law ruling must be licensed as a dealer, tions, and instructions for the form. and ATF. In no case shall any licensee or which includes a gunsmith, under software make any representation con- the Gun Control Act. (9) The transferor (seller) contacts trary to law or regulation, or any repre-

148 ATF Rul. 2009-1 could assemble firearms from compo- 27 CFR 478.41(a): LICENSES nent parts on an individual basis, but REQUIRED The Bureau of Alcohol, Tobacco, Fire- could not engage in the business of as- arms and Explosives (ATF) has received sembling firearms from component parts Any person who installs “drop in” re- inquiries from Federally licensed manu- in quantity lots for purposes of sale or placement parts in or on existing, ful- facturers and dealers/gunsmiths seeking distribution without a manufacturer’s li- ly assembled firearms does not man- clarification as to whether camouflaging cense. Since then, ATF has similarly and ufacture a firearm, and does not need firearms, or cutting designs into firearms consistently interpreted the term “man- to be licensed as a manufacturer un- by engraving, constitute manufacturing ufacturer” under the GCA to mean any der the Gun Control Act. A “drop in” activities that require a manufacturer’s person who engages in the business of replacement part is one that can be license. making firearms, by casting, assembly, installed in or on an existing, fully alteration, or otherwise, for the purpose assembled firearm without drilling, Camouflaging refers to a patterned of sale or distribution. cutting, or machining. A replace- treatment using a variety of different col- ment part, whether factory original ors that enables a firearm to blend into Performing a cosmetic process or ac- or otherwise, has the same design, a particular outdoor environment. This tivity, such as camouflaging, that primar- function, substantially the same di- typically involves painting, dipping, or ily adds to or changes the appearance mensions, and does not otherwise applying a tape over the firearm’s wood or decoration of a firearm is not manu- affect the manner in which the weap- and/or metal parts. facturing. Unlike manufacturing process- on expels a projectile by the action es that primarily enhance a firearm’s of an explosive. Any person who is Engraving firearms is a process in durability, camouflaging is primarily cos- licensed as a dealer, which includes which a decorative pattern is placed on metic. Likewise, external engravings are a gunsmith, and who installs “drop the external cosmetic in nature and primarily affect in” replacement parts in or on exist- only the appearance of a firearm. ing, fully assembled firearms as de- metal of a firearm primarily for orna- scribed in this ruling does not need mental purposes. The engraving can Held, any person who engages in an to be licensed as a manufacturer un- be cut by hand or machine, or pressed activity or process that primarily adds to der the Gun Control Act. Any person into the metal. There are other engrav- or changes a firearm’s appearance by who is engaged in the business of in- ing techniques that cut designs into fire- camouflaging the firearm by painting, stalling “drop in” replacement parts arms, such as checkering or scalloping. dipping, or applying tape does not need in or on existing, fully assembled to be licensed as a manufacturer under firearms as described in this ruling The Gun Control Act of 1968 (GCA), the Gun Control Act. must be licensed as a dealer, which Title 18, United States Code (U.S.C.), includes a gunsmith, under the Gun Chapter 44, provides, in part, that no Held further, any person who en- Control Act. person shall engage in the business of gages in an activity or process that pri- importing, manufacturing, or dealing in marily adds to or changes a firearm’s ATF Rul. 2009-2 firearms until he has filed an application appearance by engraving the external with and received a license to do so from surface of the firearm does not need to The Bureau of Alcohol, Tobacco, Fire- the Attorney General. A “firearm” is de- be licensed as a manufacturer under the arms and Explosives (ATF) has received fined by 18 U.S.C. 92l(a)(3) to include Gun Control Act. inquiries any weapon (including a starter gun) which will or is designed to or may read- Held further, any person who is li- from Federally licensed firearms man- ily be converted to expel a projectile by censed as a dealer, which includes a ufacturers and dealers/gunsmiths seek- the action of an explosive, and the frame gunsmith, and who camouflages or en- ing clarification as to whether installing or receiver of any such weapon. The graves firearms as described in this rul- “drop in” replacement parts in or on term “manufacturer” is defined by 18 ing does not need to be licensed as a existing firearms constitutes a manufac- U.S.C. 921(a)(10) and 27 CFR 478.11 manufacturer under the Gun Control Act. turing activity that requires a manufac- as any person engaged in the business turer’s license. of manufacturing firearms or ammunition Held further, any person who is en- for purposes of sale or distribution. The gaged in the business of camouflaging Persons may buy “drop in” replace- term “dealer,” which includes a gun- or engraving firearms as described in ment firearm parts to replace worn or smith, is defined by 18 U.S.C. 921(a)(l1) this ruling must be licensed as a deal- broken original factory parts. Replace- and 27 CFR 478.11 to include any per- er, which includes a gunsmith, under the ment parts, such as barrels, triggers, son engaged in the business of selling Gun Control Act. hammers, and sears have been de- firearms at wholesale or retail, or repair- signed so that they can be dropped in ing firearms or making or fitting special Date approved: January 12, 2009 to replace existing parts on fully assem- barrels, stocks, or trigger mechanisms bled firearms. A “drop in” replacement to firearms. 18 U.S.C. 921(a): DEFINITIONS part is one that can be installed in or on an existing, fully assembled firearm (not In Revenue Ruling 55-342, ATF’s pre- 18 U.S.C. 922(a)(1)(A): LICENSES solely a frame or receiver) without drill- decessor agency interpreted the mean- REQUIRED ing, cutting, or machining. ing of the terms “manufacturer” and “dealer” for the purpose of firearms 18 U.S.C. 923(a): LICENSES RE- The Gun Control Act of 1968 (GCA), licensing under the Federal Firearms QUIRED Title 18, United States Code (U.S.C.), Act, the precursor statute to the GCA. It Chapter 44, provides, in part, that no was determined that a licensed dealer 27 CFR 478.11: DEFINITIONS person shall engage in the business of

149 importing, manufacturing, or dealing in part is one that can be installed in or that each manufacturer performing a firearms until he has filed an application on an existing, fully assembled firearm manufacturing process on a firearm, in- with and received a license to do so from without drilling, cutting, or machining. A cluding a frame or receiver, place their the Attorney General. A “firearm” is de- replacement part, whether factory orig- identifying markings on each firearm. fined by 18 U.S.C. 921(a)(3) to include inal or otherwise, has the same design, any weapon (including a starter gun) function, substantially the same dimen- Many licensed manufacturers contract which will or is designed to or may read- sions, and does not otherwise affect the with other licensed manufacturers to per- ily be converted to expel a projectile by manner in which the weapon expels a form various steps in the manufacturing the action of an explosive, and the frame projectile by the action of an explosive. process on firearms that already have a or receiver of any such weapon. The serial number and other required mark- term “manufacturer” is defined by 18 Held further, any person who is li- ings, and who then distribute those fire- U.S.C. 921(a)(10) and 27 CFR 478.11 censed as a dealer, which includes a arms to another licensed manufacturer, as any person engaged in the business gunsmith, and who installs “drop in” or into the wholesale or retail market. The of manufacturing firearms or ammunition replacement parts in or on existing, fully manufacturers performing a manufac- for purposes of sale or distribution. The assembled firearms as described in this turing process for another manufacturer term “dealer” is defined by 18 U.S.C. ruling does not need to be licensed as a often ask ATF for approval not to place 921(a)(11) and 27 CFR 478.11 to in- manufacturer under the Gun Control Act. their marks of identification on the fire- clude any person engaged in the busi- arms. ATF has approved many of these ness of selling firearms at wholesale or Held further, any person who is en- “non-marking variance” requests after retail, or repairing firearms or making or gaged in the business of installing “drop finding that certain conditions were met. fitting special barrels, stocks, or trigger in” replacement parts in or on existing, mechanisms to firearms. fully assembled firearms as described in The Gun Control Act of 1968 (GCA), this ruling must be licensed as a dealer, at Title 18, United States Code (U.S.C.), In Revenue Ruling 55-342, ATF’s pre- which includes a gunsmith, under the section 923(i), and the National Firearms decessor agency interpreted the mean- Gun Control Act. Act (NFA), at Title 26, U.S.C., section ing of the terms “manufacturer” and 5842(a), require all licensed importers “dealer” for the purpose of firearms Date approved: January 12, 2009 and manufacturers to identify each fire- licensing under the Federal Firearms arm imported or manufactured by means Act, the precursor statute to the GCA. It 18 U.S.C. 923(i): IDENTIFICATION OF of a serial number engraved or cast on was determined that a licensed dealer FIREARMS the frame or receiver of the weapon, in could assemble firearms from compo- such manner as the Attorney General nent parts on an individual basis, but 26 U.S.C. 5842(a): IDENTIFICATION shall by regulations prescribe. Feder- could not engage in the business of as- OF FIREARMS al regulations at 27 CFR 478.92(a) and sembling firearms from component parts 479.102(a) prescribe the requirements in quantity lots for purposes of sale or 27 CFR 478.92(a): IDENTIFICATION for serialization and other marks of iden- distribution without a manufacturer’s li- OF FIREARMS tification that must be placed on firearms. cense. Since then, ATF has similarly and consistently interpreted the term “man- 27 CFR 478.92(a)(4)(i): ALTERNATE Persons with a valid Federal importer ufacturer” under the GCA to mean any MEANS OF IDENTIFICATION or manufacturer license may seek ap- person who engages in the business of proval to use an alternate means of iden- making firearms, by casting, assembly, 27 CFR 479.102(a): IDENTIFICATION tification of firearms. Sections 478.92(a) alteration, or otherwise, for the purpose OF FIREARMS (4)(i) and 479.102(c) of Title 27, Code of of sale or distribution. Such persons Federal Regulations (CFR), provide that must have a manufacturer’s license un- 27 CFR 479.102(c): ALTERNATE the Director may authorize other means der the GCA. MEANS OF IDENTIFICATION of identification upon receipt of a letter application showing that such other Installing “drop in” parts in or on ex- ATF authorizes licensed manufac- identification is reasonable and will not isting, fully assembled firearms, whether turers who perform a manufacturing hinder the effective administration of the factory original or otherwise, does not process on firearms for, or on behalf firearms regulations. result in any alteration to the original fire- of, another licensed manufacturer arms so long as they are replacement not to place their serial numbers and The unique marks of identification of parts. A replacement part, whether fac- other required identification mark- firearms serve several purposes. First, tory original or otherwise, has the same ings on the firearms, provided such the marks are used by Federal firearms design, function, substantially the same firearms already have been properly licensees to effectively track their fire- dimensions, and does not otherwise marked with a serial number and oth- arms inventories and maintain all required affect the manner in which the weapon er identifying markings as required records. Second, the marks enable law expels a projectile by the action of an by 27 CFR 478.92(a) and 479.102(a) enforcement officers to trace specific fire- explosive. and that all of the other requirements arms used in crimes from the manufac- stated in this ruling have been met. turer or importer to individual purchasers, Held, any person who installs “drop and to identify particular firearms that have in” replacement parts in or on existing, ATF Rul. 2009-5 been lost or stolen. Further, marks help fully assembled firearms does not need prove in certain criminal prosecutions that to be licensed as a manufacturer under The Bureau of Alcohol, Tobacco, Fire- firearms used in a crime have travelled in the Gun Control Act. arms and Explosives (ATF) has received interstate or foreign commerce. inquiries from Federally licensed man- Held further, a “drop in” replacement ufacturers concerning the requirement Multiple identification markings may

150 be confusing to law enforcement and (e) The serial numbers of the ufacturer not to place their serial num- potentially hinder effective tracing of firearms in sequential order; bers and other required identification firearms used in crimes. Therefore, ATF markings on the firearms, provided such finds that the other means to identify fire- (f) The calibers or gauges of the firearms already have been properly arms specified in this ruling are reason- firearms; and marked with a serial number and other able and will not hinder the effective ad- identifying markings as required by 27 ministration of the firearms regulations. (g) Any other information con- CFR 478.92(a) and 479.102(a) and that cerning the firearms manufactur- all of the other requirements stated in Licensed manufacturers who perform er(s) or manufacturing process this ruling have been met. a manufacturing process on firearms that ATF may require. for, or on behalf of, another licensed Held further, if ATF finds that a li- manufacturer need not place their serial (6) The manufacturer desiring not to censed manufacturer has failed to sub- numbers and other identification mark- mark must maintain copies of its submit to ATF all information required by this ings on firearms as required by 27 CFR mission to ATF of the information re- ruling, ATF may require corrective or oth- 478.92(a) and 479.102(a), provided the quired by this ruling with its permanent er action by the licensee. The licensee following conditions have been met: records of manufacture. The manufac- will be required to comply with the reg- turer availing itself of this ruling should ulations contained at 27 CFR 478.92(a) (1) The manufacturer is receiving retain proof of its submission to ATF and/or 27 CFR 479.102(a) unless and the firearms, including frames or re- (e.g., certified return receipt mail or until such action is taken. ceivers, from another manufacturer. tracking number). This proof of submission should show that it was sent Held further, if ATF finds that a li- (2) The manufacturer is performing to ATF’s Firearms Technology Branch, censed manufacturer has failed to abide a manufacturing process on the fire- or any other office that ATF may des- by the conditions of this ruling, or is en- arms as directed by another manu- ignate as the proper recipient of such gaged in any process that hinders the facturer before distributing those fire- information. Additionally, the manu- effective administration of the firearms arms to another manufacturer or into facturer must allow ATF representa- laws or regulations, ATF may require the wholesale or retail market. tives to inspect such documents upon that the licensed manufacturer comply request at any time during business with regulations contained at 27 CFR (3) All manufacturers involved in hours without a warrant. 478.92(a) and/or 27 CFR 479.102(a). the manufacturing process possess a valid Federal firearms manufacturer’s (7) All manufacturers involved Date approved: November 9, 2009 license issued by ATF and are per- in the manufacturing process must forming only the manufacturing pro- maintain all records required by Fed- 18 U.S.C. 922(a)(2): INTERSTATE cesses authorized under that license. eral law and regulation. CONTROLS

(4) The firearms, including frames Once the manufacturer has submitted 18 U.S.C. 922(b)(3): INTERSTATE and receivers, are already properly the necessary documentation to ATF CONTROLS marked with a serial number and all pursuant to this ruling, and provided other identifying markings in accor- the manufacturer has complied with all 18 U.S.C. 922(t): TRANSFER TO dance with 27 CFR 478.92(a) and, if other conditions set forth in this ruling, UNLICENSED PERSONS applicable, 479.102(a). no “non-marking variance” approval from ATF is required, and the manufac- 18 U.S.C. 923(g)(1)(A): REQUIRED (5) Prior to engaging in the man- turer may engage in the manufacturing RECORDS ufacturing process, the manufacturer process for, or on behalf of, another li- desiring not to mark must submit to censed manufacturer without placing its 27 CFR 478.124: FIREARMS TRANS- ATF the following information: identifying markings on the firearms in ACTION RECORD accordance with 27 CFR 478.92(a) and (a) The manufacturer’s name, 479.102(a). 27 CFR 478.125: FIREARMS RE- address, and license number, and CEIPT AND DISPOSITION RECORD the name, address, and license Licensees are reminded of their re- number of the manufacturer for sponsibility to ensure accuracy and The temporary assignment of a fire- which the manufacturing process completeness of all required records. arm by an FFL to its unlicensed em- is being performed; Additionally, licensees manufacturing ployees for bona fide business -pur firearms under the NFA and 27 CFR Part poses, where the actual custody of (b) A copy of the license held by 479 are reminded that this ruling applies the firearm is transferred for a limited each manufacturer; only to the relevant marking require- period of time, and where title and ments for those firearms. Manufacturers control of the firearm remain with the (c) A description of the type of still must abide by all other provisions re- FFL, is not a transfer for purposes of manufacturing process to be per- lating to the manufacture, transfer, and the Gun Control Act, and, according- formed by the manufacturer desir- possession of NFA firearms. ly, the FFL need not contact NICS for ing not to mark; a background check, record a bound Held, pursuant to 27 CFR 478.92(a) book disposition entry, nor complete (d) The model(s), if assigned, of (4)(i) and 479.102(c), ATF authorizes an ATF Form 4473. The temporary the firearms subject to the manu- licensed manufacturers who perform a assignment of a firearm by an FFL to facturing process described; manufacturing process on firearms for, its unlicensed agents, contractors, or on behalf of, another licensed man- volunteers, or any other person who

151 is not an employee of the FFL, even agents, and representatives. That ruling through their employees. When an FFL for bona fide business purposes, is a states that a licensee may lawfully ship temporarily assigns a firearm to an em- transfer or disposition for purposes or transport a firearm to its unlicensed ployee for bona fide business purposes, of the Gun Control Act, and, accord- employees, agents, or representatives title and control of the firearm remain with ingly, the FFL must contact NICS for without violating section 922(a)(2), pro- the licensee. For this reason, no transfer a background check, record a dis- vided (1) the employee, agent, or repre- or disposition occurs for purposes of the position entry, and complete an ATF sentative is not prohibited under section GCA. Accordingly, no NICS check, dis- Form 4473. Revenue Ruling 69-248 is 922(g) from possessing a firearm; and position record entry, or ATF Form 4473 superseded and ATF Ruling 73-19 is (2) the shipment is for a bona fide busi- is required for the temporary assignment modified. Industry Circular 72-23 is ness purpose, except to sell or dispose of a firearm by an FFL to its employee. no longer in effect. of the firearm. Upon completion of the Bona fide business purposes, in this con- business purpose, the employee, agent, text, are purposes integral to the FFL’s ATF Rul. 2010-1 or representative must return the firearm business operations, and do not include to the licensee. Rev. Rul. 69-248 is lim- permanently assigning a firearm to a The Bureau of Alcohol, Tobacco, Fire- ited to situations in which “the actual specific employee, or loaning or renting arms and Explosives (ATF) has received custody of the firearms . . . is trans- a firearm to an employee for personal inquiries from firearms industry members ferred for a limited period of time and use. Those are considered transfers or asking whether the temporary assign- where title and ultimate control of the other dispositions that would trigger re- ment of a firearm by a Federal firearms firearms . . . remain in such licensee.” cordkeeping and NICS requirements. licensee (FFL) to certain unlicensed per- Because FFLs are accountable for their sons constitutes a “transfer” under Fed- ATF issued Industry Circular 72-23 firearms inventories, ATF strongly recom- eral law, thus requiring the FFL to contact (dated August 23, 1972) to clarify Rev. mends that FFLs ensure accountability the National Instant Criminal Background Rul. 69-248. Industry Circular 72-23 ex- for firearms temporarily assigned to em- Check System (NICS) prior to assigning plained that professional writers, con- ployees. In addition, ATF reminds FFLs firearms to such persons. sultants and evaluators were included that they may not knowingly make avail- within the category of agents and rep- able or assign a firearm to any person FFLs use employees and sometimes resentatives discussed in Rev. Rul. 69- whose receipt or possession of firearms the services of certain unlicensed per- 248. The industry circular noted that is prohibited under the GCA. sons, such as writers, evaluators, con- Rev. Rul. 69-248 is explicitly limited to sultants, attorneys, engineers, and sales “firearms . . . acquired from a licensee Businesses may also support their representatives, to carry out their busi- for limited lengths of time and where operations through contractors or volun- ness operations. In the course of their the title to and ultimate control of the teers. When an FFL temporarily assigns employment or contracted services, firearm remains in the licensee.” a firearm to a non-employee, even for such persons may, for example, re- bona fide business purposes, a transfer search, examine, photograph, and eval- In 1993, over 20 years after issuance occurs for purposes of the GCA. Tempo- uate firearms on behalf of FFLs. of the ruling and circular, Congress en- rary firearms assignments to employees acted the Brady Handgun Violence Pre- are different from temporary firearms The Gun Control Act of 1968 (GCA), vention Act (the Brady Law), Title 18, assignments to non-employee contrac- Title 18, United States Code (U.S.C.), U.S.C., section 922(t). The Brady Law tors, agents, and representatives be- Chapter 44, imposes Federal controls on amended the GCA, in part, by providing cause the FFL exerts a higher level of FFLs who transfer firearms in interstate that an FFL may not transfer a firearm control over its employees than its con- commerce. Section 922(a)(2) makes it to any unlicensed person unless the FFL tractors or agents. Unlike contractors unlawful for an FFL to ship or transport contacts and successfully completes a and agents, employees work for wag- in interstate or foreign commerce any background check through NICS, and es or salaries under direct supervision. firearm to a person other than an FFL. the FFL has verified the identity of the In an employer-employee relationship, Section 922(b)(3) makes it unlawful for transferee by examining a valid identi- the employer controls not only the re- an FFL to sell or deliver a firearm to a fication document containing a photo- sult of the employee’s work, but also the person he or she knows does not reside graph of the transferee. In enacting the manner, training, and hours in which the in the State in which the FFL’s place of Brady Law, Congress intended to create work will be carried out. In independent business is located. Additionally, under a system to help ensure that FFLs did contractor or non-employee agency rela- 18 U.S.C. 923(g)(1)(A), each FFL must not allow prohibited persons to come tionships, the independent contractor or maintain records of importation, pro- into possession of firearms. non-employee agent has control of the duction, shipment, receipt, sale, or oth- manner, training, and hours of perform- er disposition of firearms at its place of Neither the GCA nor its implementing ing the work, and is only responsible for business as prescribed by regulation. regulations define the term “transfer.” the result. Because an FFL relinquishes Federal regulations at Title 27, Code The common legal definition of “trans- control over a firearm by temporarily as- of Federal Regulations (CFR), sections fer” broadly encompasses any method signing it to a non-employee, the GCA 478.124 and 478.125, require licensed of disposing of an asset. A “transfer” requirements apply. importers, manufacturers, and dealers includes any change in dominion or con- to record each firearm sale or disposi- trol of a firearm, whether temporary or If the FFL and the unlicensed person tion and complete a Firearms Transac- permanent, commercial or noncommer- do not wish to enter into an employ- tion Record, ATF Form 4473. cial. A change in dominion or control may er-employee relationship, certain unli- occur even when such change does not censed persons may obtain a Federal Revenue Ruling 69-248, 1969-1 convey title to the firearm. firearms license from ATF. As discussed C.B. 360, addresses temporary assign- above, the Brady Law does not apply to ments of firearms to FFL employees, Businesses carry out operations transfers between FFLs; therefore, no

152 NICS check would be required to trans- FIREARMS semi-automatic and machinegun config- fer a firearm from one FFL to another. urations. The design of these firearms, in In ATF Ruling 73-19, for example, ATF 26 U.S.C. 5842(a): IDENTIFICATION either configuration, consists of forward determined that firearms consultants OF FIREARMS and rear sections. The forward section and experts may be licensed as deal- is made of a reciprocating barrel assem- ers to receive firearms from unlicensed 26 U.S.C. 5845(a): DEFINITIONS bly. The majority of the barrel assembly persons for testing and evaluation. ATF (FIREARM) is contained inside a jacket. The jacket Rul. 73-19, 1973-ATF C.B. 93. Licensed has a rear ring (often integrally formed dealers who engage solely in firearms 26 U.S.C. 5845(b): DEFINITIONS (MA- with the trunnion), an outer body, and consulting or expert services for firearms CHINEGUN) a forward ring or cap. The forward ring testing or evaluation need not maintain incorporates a mounting point for an ac- regular business hours or open their 27 CFR 478.11: DEFINITIONS celerator and guide for the forward part business premises to the general public, (FIREARM FRAME OR RECEIVER, of the barrel. The rear section is made although they must comply with all other MACHINEGUN) of the receiver- box, which contains the applicable GCA requirements. internal fire control components of the 27 CFR 478.92: IDENTIFICATION OF firearm and provides housing for the rear Held, the temporary assignment of a FIREARMS portion of the barrel assembly and the firearm by an FFL to its unlicensed em- ammunition feed tray. The receiver-box ployees 27 CFR 479.11: DEFINITIONS consists of a left and a right side-plate, (FIREARM, FRAME OR RECEIVER, bottom channel, and trunnion that are for bona fide business purposes, MACHINEGUN) held together by a number of rivets. The where the actual custody of the firearm receiver-box also provides mounting for is transferred for a limited period of time, 27 CFR 479.102: IDENTIFICATION OF the handle block, top cover, and recoil and where title and control of the firearm FIREARMS mechanism. Camming lobes, which are remain with the FFL, is not a transfer or permanently affixed to the inside portion disposition for purposes of the Gun Con- The right side-plate of a Vickers/ of each side-plate, hold the lock piece trol Act, as amended, and, accordingly, Maxim-type firearm, manufactured in place and guide the movement of the the FFL need not contact NICS for a with its camming lobe affixed in the extractor, which is attached to the lock background check, record a disposition proper location, and without an ATF piece. Vickers/Maxim-type side-plates entry, nor complete an ATF Form 4473. approved block that prevents instal- are recognizable and properly classi- lation of machinegun fire control fied as side-plates for this weapon when Held further, the temporary assign- components, is a machinegun receiv- the camming lobe has been affixed. ment of a firearm by an FFL to its un- er, and therefore, a “machinegun” as The right side-plate of the Vickers/Max- licensed agents, contractors, volun- defined by the Gun Control Act of im-type machinegun provides housing teers, or any other person who is not 1968, 18 U.S.C. 921(a)(23), the Nation- for the hammer, breechblock, and firing an employee of the FFL, even for bona al Firearms Act, 26 U.S.C. 5845(b), mechanism, and attaches to the trun- fide business purposes, is a transfer and their implementing regulations, nion, which holds the rear portion of the or disposition for purposes of the Gun 27 CFR 478.11 and 479.11. Provided barrel. The right side-plate typically con- Control Act, as amended, and, accord- it has not been disassembled into its tains a mounting point for the cocking-le- ingly, the FFL must contact NICS for a component parts, a complete Vick- ver assembly. background check, record a disposition ers/Maxim-type machinegun that is entry, and complete an ATF Form 4473. currently registered in the National ATF evaluated Vickers/Maxim-type As a reminder, an FFL may not transfer Firearms Registration and Transfer firearms and parts in the following con- a firearm other than a rifle or shotgun Record with its serial number located figurations: to an unlicensed person who does not on a component part of the receiver reside in the FFL’s State. An FFL may box other than the right side- plate 1. A completely assembled Vick- transfer a firearm to another FFL in the has been lawfully registered under ers/Maxim-type firearm; unlicensed person’s State of residence, the National Firearms Act and may be and that FFL may subsequently transfer lawfully possessed by the registrant 2. A complete receiver-box; the firearm to the unlicensed person, under 18 U.S.C. 922(o). after contacting NICS for a background 3. A left side-plate; check, recording a disposition entry, and ATF Rul. 2010-3 completing an ATF Form 4473. 4. A right side-plate (both auto- The Bureau of Alcohol, Tobacco, Fire- matic and semi-automatic configu- Rev. Rul. 69-248, 1969-1 C.B. 360, is arms and Explosives (ATF) has received rations); hereby superseded and ATF Rul. 73-19, requests for clarification from persons 1973-ATF C.B. 93, is modified. In addi- asking what part of Vickers/ Maxim-type 5. A trunnion; tion, Industry Circular 72-23, dated Au- machineguns constitutes the “frame or gust 23, 1972, is no longer in effect. receiver” that must be marked with a 6. A parts kit containing a right serial number and required identifying side-plate; and Date approved: May 20, 2010 information and registered in the Nation- al Firearms Registration and Transfer 7. A parts kit containing a left 18 U.S.C. 921(a)(23): DEFINITIONS Record (NFRTR). side-plate. (MACHINEGUN) ATF examined various types of During the evaluations, complete, 18 U.S.C. 923(i): IDENTIFICATION OF Vickers/Maxim-type firearms in both original models of Vickers and German

153 ATF Rul. 2010-3 Image

Maxim-type machinegun is a “machinegun” as defined by the GCA, 18 U.S.C. 921(a)(23), the NFA, 26 U.S.C. 5845(b), and their implementing regulations, 27 CFR 478.11 and 479.11.

Moreover, though not necessary for classification, only with a complete right side-plate could the Vickers/Maxim-type machinegun shoot automatically more than one shot, without manual reloading, by a single function of the trigger. Therefore, the right side-plate of a Vick- ers/Maxim-type machinegun, either stand-alone or assembled as part of the complete receiver-box, is a machinegun receiver, and therefore, a “machinegun,” as defined by the GCA, NFA, and their implementing regulations. The right side-plate of the Vickers/Maxim-type machinegun is illustrated below.

Because the right side-plate of a Vick- ers/Maxim-type machinegun is the machinegun receiver, any kit or collection of parts of a Vickers/Maxim-type firearm containing the right side-plate is also a machinegun. In contrast, any individual part of a Vickers/Maxim-type firearm other than the machinegun’s right side-plate, or any kit or collection of parts of a Vickers/ Maxim-type firearm that does not contain the machinegun right side-plate is not a machinegun receiver, and therefore, not a “machinegun,” as defined by the GCA, NFA, and their implementing regulations.

MG-08 Maxim-type machineguns were The NFA, 26 U.S.C. 5845(a)(6), and Machineguns are required to be iden- tested and found to fire automatically its implementing regulation, 27 CFR tified by a serial number, pursuant to 18 more than one round of ammunition by 479.11, define the term “firearm,” in U.S.C. 923(i), 26 U.S.C. 5842, 27 CFR a single function of the trigger. Addition- part, as “a machinegun.” The term 478.92, and 479.102. Under 27 CFR ally, a reference model of a Vickers-type “machinegun” is defined by the GCA, 478.92(a)(1) and (2) and 479.102(a)(1) machinegun was tested for function; first, 18 U.S.C. 921(a)(23), the NFA, 26 and (e), the serial number must be placed by partially removing the right side-plate, U.S.C. 5845(b), and their implementing on the frame or receiver of a machinegun and then after completely removing the regulations, 27 CFR 478.11 and 479.11, regardless of whether it is part of a com- right side-plate. Although the sample fire- as “any weapon which shoots, is de- plete firearm. Thus, the right side-plate, arm was capable of firing one shot with signed to shoot, or can be readily re- either unattached or assembled as part a partial right side-plate, once the entire stored to shoot, automatically more of a complete Vickers/Maxim-type ma- right side-plate was removed, testing than one shot, without manual reload- chinegun, must be identified with a serial demonstrated the sample was not capa- ing, by a single function of the trigger. number and registered in the NFRTR. ble of functioning without the right side- The term shall also include the frame plate. Accordingly, it was determined that or receiver of any such weapon …” ATF is aware that, without the bene- neither a Vickers nor any Maxim-type The term “frame or receiver” is de- fit of this ruling, some complete Vickers/ machinegun would be capable of firing fined in 27 CFR 478.11 and 479.11 as Maxim-type machineguns registered in the with the entire right side-plate removed. “[t]hat part of a firearm which -pro NFRTR were identified with serial num- Nonetheless, ATF has previously ex- vides housing for the hammer, bolt or bers located on parts other than the right amined semi-automatic versions of the breechblock and firing mechanism, side-plate. Federal regulations at 27 CFR Vickers/Maxim firearm where the right and which is usually threaded at its 478.92(a)(4) and 479.102(c) provide that side-plate has an approved block that forward portion to receive the barrel.” the Director of ATF may authorize other prevents installation of machinegun fire means of identification of firearms if the control components. These semi-auto- A completely assembled Vickers/ other method is reasonable and will not matic firearms have been classified by Maxim-type machinegun is a weapon hinder the effective administration of the ATF as “firearms” under the Gun Con- that shoots automatically more than regulations. Provided that it has not been trol Act of 1968 (GCA), but not as “ma- one shot, without manual reloading, by disassembled into its component parts, chineguns” under the GCA or the Na- a single function of the trigger. There- ATF finds that a complete Vickers/Max- tional Firearms Act (NFA). fore, a completely assembled Vickers/ im-type machinegun identified with a serial

154 number on a component part of the receiv- TO TRANSFER FIREARMS as “the State in which an individual er box other than the right side-plate has resides. An individual resides in a been registered in the NFRTR in a manner 27 CFR 478.11: DEFINITIONS (STATE State if he or she is present in a State that will not hinder the effective administra- OF RESIDENCE) with the intention of making a home tion of the NFA or its regulations. in that State.” Ownership of a home or 27 CFR 478.11: DEFINITIONS (IDEN- land within a given State is not sufficient, However, if the complete machinegun TIFICATION DOCUMENT) by itself, to establish a State of resi- is disassembled, such as for resale of dence. However, ownership of a home the right side-plate, the right side-plate 27 CFR 478.124: FIREARMS TRANS- or land within a particular State is not re- must be marked with its registered serial ACTION RECORD quired to establish presence and intent number and name of the manufacturer, to make a home in that State. Further- as required by 26 U.S.C. 5842(a) and For the purpose of acquiring firearms more, temporary travel, such as short- 27 CFR 479.102. If disassembled with- under the Gun Control Act of 1968, a term stays, vacations, or other transient out its required markings, the unmarked United States citizen who temporarily acts in a State are not sufficient to es- right side-plate of a Vickers/Maxim-type resides in a foreign country, but who tablish a State of residence because the firearm would be a machinegun receiver also demonstrates the intention of individual demonstrates no intention of not identified or registered in the NFR- making a home in a particular State, is making a home in that State. TR, and therefore, unlawful to transfer a resident of the State during the time and possess, pursuant to 18 U.S.C. period he or she actually resides in To ensure compliance with this resi- 922(o) and 26 U.S.C. 5861. that State. The intention of making a dency requirement, section 922(t) of the home in a State must be demonstrat- GCA requires licensees to examine a Held, the right side-plate of a Vickers/ ed to a Federal firearms licensee by valid “identification document” (as de- Maxim-type firearm, manufactured with presenting valid identification docu- fined in 18 U.S.C. 1028(d) and 27 CFR its camming lobe affixed in the proper ments. Such documents include, but 478.11) of a firearm transferee. This docu- location, and without an ATF approved are not limited to, driver’s licenses, ment must contain the residence address block that prevents installation of ma- voter registration, tax records, or ve- of the transferee so that the licensee may chinegun fire control components, is a hicle registration. verify the identity of the transferee and machinegun receiver, and therefore, a discern whether the transferee has the “machinegun” as that term is defined by ATF Rul. 2010-6 intention of making a home in a particular the Gun Control Act of 1968, 18 U.S.C. State. Licensees transferring a firearm to 921(a)(23), the National Firearms Act, 26 The Bureau of Alcohol, Tobacco, Fire- a person not licensed under the GCA are U.S.C. 5845(b), and their implementing arms and Explosives (ATF) has received required, pursuant to 27 CFR 478.124, regulations, 27 CFR 478.11 and 479.11. inquiries seeking clarification as to wheth- to record the firearm transaction on an er, under Federal law, United States citi- ATF Form 4473, which requires, among Held further, provided it has not been zens who maintain residences in both other things, the transferee’s residence disassembled into its component parts, a foreign country and a particular State address, including the transferee’s State a complete Vickers/Maxim-type ma- may purchase firearms while in the State. of residence as it appears on the valid chinegun that is currently registered in identification document. the National Firearms Registration and The Gun Control Act of 1968 (GCA), Transfer Record with its serial number as amended, Title 18, United States Code The term “identification document” located on a component part of the re- (U.S.C.), section 922(a)(3) prohibits any is defined by 18 U.S.C. 1028(d)(3) as “a ceiver box other than the right side- person not licensed under the GCA (non- document made or issued by or under plate, has been lawfully registered un- licensees) from receiving any firearm the authority of the United States Gov- der the National Firearms Act and may purchased or otherwise obtained by such ernment, a State, political subdivision be lawfully possessed by the registrant person outside the State in which the per- of a State . . . which, when completed under 18 U.S.C. 922(o). son resides. Furthermore, section 922(a) with information concerning a partic- (9) provides, in part, that it is unlawful for ular individual, is of a type intended To the extent this ruling is inconsistent any unlicensed person who does not re- or commonly accepted for the pur- with any prior classifications, they are side in any State to receive any firearm pose of identification of individuals.” hereby superseded. unless such receipt is for lawful sporting The regulations, 27 CFR 478.11, define purposes. Pursuant to section 922(b)(3), the term “identification document” as Date approved: September 28, 2010 the GCA also prohibits licensees from “[a] document containing the name, selling or delivering firearms to any per- residence address, date of birth, and 18 U.S.C. 922(a)(3): PROHIBITED son who the licensee knows or has rea- photograph of the holder and which TRANSPORTATION OR RECEIPT sonable cause to believe does not reside was made or issued by or under the in the State in which the licensee’s place authority of the United States Gov- 18 U.S.C. 922(a)(5): PROHIBITED of business is located. Section 922(a)(5) ernment, a State, political subdivision TRANSFER BY NON-LICENSEE extends the prohibition, with some limit- of a State . . . which, when completed ed exceptions, to any unlicensed person with information concerning a particu- 18 U.S.C. 922(a)(9): PROHIBITED transferring a firearm to anyone who lar individual, is of a type intended or RECEIPT BY NON-RESIDENT the transferor knows or has reasonable commonly accepted for the purpose cause to believe does not reside in the of identification of individuals.” Iden- 18 U.S.C. 922(b)(3): PROHIBITED transferor’s State of residence. tification documents include, but are not TRANSFER BY LICENSEE limited to, a driver’s license, voter regis- A person’s “State of residence” is tration, tax records, or vehicle registra- 18 U.S.C. 922(t): REQUIREMENTS defined by regulation in 27 CFR 478.11 tion. As explained in ATF Ruling 2001-5

155 (ATFQB 2001-4, 37), a combination of QUIRED ber of the licensee to whom the firearms valid government documents may be were transferred, and the date of the used to satisfy the GCA’s State residency 27 CFR 478.123: RECORDS MAIN- transaction. This information must be en- requirement. TAINED BY MANUFACTURERS tered in the proper record book not later than the seventh day following the date ATF has previously addressed the el- 27 CFR 478.125: RECORDS OF FIRE- of the transaction, and such information igibility of individuals to acquire firearms ARMS RECEIPT AND DISPOSITION must be recorded under the format pre- who maintain residences in more than scribed by 27 CFR 478.122, except that one State. Federal regulations at 27 CFR 27 CFR 478.129: RECORD the name of the manufacturer need not 478.11 (definition of State of Residence), RETENTION be recorded if the firearm is of the man- Example 2, clarify that a U.S. citizen with ufacturer’s own manufacture. Under 27 homes in two States may, during the pe- ATF authorizes an alternate method CFR 478.129(d), the manufacturer’s re- riod of time the person actually resides or procedure from the firearms acqui- cords of the sale or other disposition of in a particular State, purchase a firearm sition and disposition recordkeeping firearms to licensees must be retained in that State. See also ATF Publication requirements of 27 CFR 478.123. by the manufacturer for 20 years. 5300.4 (2005), Question and Answer Specifically, ATF authorizes licensed B12, page 179. Similarly, in ATF Ruling manufacturers to consolidate their In addition, under 27 CFR 478.123(d) li- 80-21 (ATFB 1980-4, 25), ATF held that, records of manufacture or other ac- censed manufacturers must maintain sep- during the time college students actual- quisition of firearms and their separate records of the sales or other dispo- ly reside in a college dormitory or at an arate firearms disposition records, sitions of firearms made to nonlicensees. off-campus location, they are considered provided all of the conditions in this These records must be maintained in the residents of the State where the on-cam- ruling are met. form and manner prescribed by regula- pus or off-campus housing is located. tions at 27 CFR 478.124, 478.125(e), and ATF Rul. 2010-8 478.125(i), with regard to firearms trans- The same reasoning applies to cit- action records and records of firearms dis- izens of the United States who reside The Bureau of Alcohol, Tobacco, Fire- position. Under 27 CFR 478.129(d), the temporarily outside of the country for arms and Explosives (ATF) has received manufacturer’s records of the sale or oth- extended periods of time, but who also requests from licensed manufacturers er disposition of firearms to nonlicensees maintain residency in a particular State. for permission to consolidate their re- must be retained for 20 years. Where a citizen temporarily resides cords of firearms manufacture or other outside of the country, but also has the acquisition and their separate records of Licensed manufacturers may seek intention of making a home in a particu- firearms disposition. approval from ATF to use an alternate lar State, the citizen is a resident of the method or procedure to record the acqui- State during the time he or she actually The Gun Control Act of 1968 (GCA), sition and disposition of firearms. Federal resides in that State. In acquiring a fire- at Title 18, United States Code, sec- regulations at 27 CFR 478.123(c) provide arm, the individual must demonstrate to tion 923(g)(1)(A), provides, in part, that that ATF may authorize alternate records the transferor-licensee that he or she is each licensed manufacturer must main- of the disposal of firearms when it is a resident of the State by presenting val- tain records of importation, production, shown by the licensed manufacturer that id identification documents. shipment, receipt, sale, or other dispo- the alternate records will accurately and sition of firearms at his place of busi- readily disclose the information required Held, for the purpose of acquiring fire- ness for such period, and in such form, to be maintained. Additionally, under 27 arms under the Gun Control Act of 1968, as the Attorney General may by regula- CFR 478.22, the Director may approve a United States citizen who temporarily tions prescribe. Federal regulations at an alternate method or procedure in lieu resides in a foreign country, but who also Title 27, Code of Federal Regulations of a method or procedure specifically pre- demonstrates the intention of making a (CFR), section 478.123(a), require li- scribed in the regulations when he finds home in a particular State, is a resident censed manufacturers to record the that: (1) good cause is shown for the use of the State during the time period he or type, model, caliber or gauge, and se- of the alternate method or procedure; she actually resides in that State. rial number of each complete firearm (2) the alternate method or procedure manufactured or otherwise acquired, is within the purpose of, and consistent Held further, the intention of making a and the date such manufacture or oth- with the effect intended by, the specifical- home in a State must be demonstrated to er acquisition was made, not later than ly prescribed method or procedure and a Federal firearms licensee by present- the seventh day following the date such that the alternate method or procedure is ing valid identification documents. Such manufacture or other acquisition was substantially equivalent to that specifical- documents include, but are not limited to, made. The records of manufacture or ly prescribed method or procedure; and driver’s licenses, voter registration, tax other acquisition must be retained by (3) the alternate method or procedure will records, or vehicle registration. the manufacturer on the licensed prem- not be contrary to any provision of law ises permanently, pursuant to 27 CFR and will not result in an increase in cost Date approved: November 10, 2010 478.121(a) and 478.129(d). to the Government or hinder the effective administration of 27 CFR Part 478. 18 U.S.C. 923(g)(1)(A): RECORDS Federal regulations at 27 CFR REQUIRED 478.123(b) require licensed manufactur- ATF recognizes that, provided certain ers to record the disposition of firearms conditions are met, the consolidation of re- 27 CFR 478.22: ALTERNATE METH- to other licensees showing the quantity, cords of manufacture or other acquisition of ODS OR PROCEDURES type, model, manufacturer, caliber, size firearms by a licensed manufacturer with or gauge, serial number of the firearms corresponding firearms disposition records 27 CFR 478.121: RECORDS RE- transferred, the name and license num- will accurately and readily disclose the in-

156 formation required to be maintained. It will c. Address of the person to Licensees are reminded of their re- also make it easier for manufacturers and whom the firearm was transferred sponsibility to ensure the accuracy and ATF to account for and trace a manufactur- if the transferee is a nonlicensee or completeness of all required records, er’s firearms inventory. ATF therefore finds the ATF Form 4473 serial number and to maintain such records on their that there is good cause to authorize a vari- if the Forms 4473 are filed numeri- licensed premises available for inspec- ance to the separate acquisition and dispo- cally, or if transferred to a licensee, tion. Additionally, this approval does not sition records requirements of the Federal the transferee’s complete 15-digit relieve licensees of any requirements of firearms regulations. Further, this alternate license number. State, local, or other Federal government method is not contrary to any provision of agencies. If acquisition and disposition law, will not increase costs to ATF, and will 3. A manufacturer intending to make records are maintained in electronic form, not hinder the effective administration of any change to the model, type, caliber, licensees must comply with ATF Ruling the Federal regulations. size or gauge of a frame, receiver, or 2008-2 (approved August 25, 2008). assembled firearm must log the fire- Licensed firearms manufacturers are arm out of the acquisition and dispo- Held, pursuant to 27 CFR 478.22 and authorized to consolidate their records sition record as a disposition to the 478.123(c), ATF authorizes an alternate of manufacture or other acquisition of licensee. Once the change has been method or procedure from the firearms firearms and their separate firearms dis- made, the firearm must be recorded acquisition and disposition recordkeep- position records provided the following as a new firearm manufactured on a ing requirements of 27 CFR 478.123. conditions are met: separate line of the acquisition and Specifically, ATF authorizes licensed disposition record. As the manufactur- manufacturers to consolidate their re- 1. Within seven (7) days of the er, the licensee should record his or cords of manufacture or other acquisi- date of manufacture or other acqui- her name and license number. tion of firearms and their separate fire- sition, the licensed manufacturer arms disposition records, provided all of records the following information for 4. For firearms dispositions to a the conditions in this ruling are met. each firearm: licensee, the commercial record of the transaction shall be retained sep- Held further, if ATF finds that a licens- a. Date of manufacture or other arately from other commercial doc- ee has failed to abide by the conditions acquisition; uments maintained by the licensed of this ruling, or uses any procedure manufacturer until the transaction is that hinders the effective administration b. Name of the person from recorded, and be readily available for of the Federal firearms laws or regula- whom the firearm was acquired; inspection on the licensed premises. tions, ATF may notify the licensee that the licensee is no longer authorized to c. Address of the person from 5. For firearms dispositions to a consolidate his acquisition and disposi- whom the firearm was acquired if nonlicensee, the Firearms Transac- tion records under this ruling. the transferor is a nonlicensee or tion Record, ATF Form 4473, shall be the complete 15-digit license num- retained separately from the licens- Date approved: December 6, 2010 ber of the licensed manufacturer or ee’s Form 4473 file, and be read- other licensee from whom the fire- ily available for inspection on the li- 22 U.S.C. 2778(b): REQUIREMENTS arm was acquired; censed premises until the transaction FOR IMPORTATION is recorded. After that time, the Form d. Name of the manufacturer (to 4473 shall be retained alphabetically 27 CFR 447.52: REQUIREMENTS include the licensed manufacturer) (by name of purchaser), chronologi- FOR IMPORTATION and licensed importer (if applicable); cally (by date of sale or other disposition), or numerically (by transaction Persons holding a valid Federal fire- e. Model; serial number) as part of the licensed arms license and/or who are regis- manufacturer’s required records. tered as importers of articles on the f. Serial number; U.S. Munitions Import List importing 6. By using this variance, a line surplus military defense articles im- g. Type; and item will be recorded for each firearm portable as curios or relics, may sub- manufactured or otherwise acquired mit photocopies of the original sup- h. Caliber, size or gauge. and sold or otherwise disposed of by porting statements and documents a licensed manufacturer. The quanti- with ATF Form 6, if they certify, under 2. Within seven (7) days of the date ty of firearms manufactured or other- penalties provided by law, that the of sale or other disposition, beside wise acquired of the same type, mod- supporting documentation is true, the corresponding line item record of el, and caliber or gauge must be able correct, and complete. Such persons manufacture or other acquisition, the to be readily determined by adding all who are authorized under ATF Ruling licensed manufacturer records the associated line items. 2003-6 to file eForm 6, may submit following information for each firearm: digitally scanned copies of the orig- 7. All consolidated firearms acqui- inal supporting statements and doc- a. Date of sale or other disposition; sition and disposition records must uments with eForm 6, if they certify, be maintained permanently by the li- under penalties provided by law, that b. Name of the person to whom censed manufacturer. Additionally, as the supporting documentation is true, the firearm was transferred (to in- provided by 27 CFR 478.127, upon correct, and complete. clude the licensed manufacturer); discontinuance of business all required and records must be forwarded to the ATF Out-of-Business Records Center.

157 ATF Rul. 2010—9 tivities include applying special coatings ponent parts on an individual basis, but and treatments to firearms (e.g., bluing, could not engage in the business of as- This ruling was superseded by ATF anodizing, powder-coating, plating, pol- sembling firearms from component parts Rul. 2013-1. ishing, heat/chemical treating). This has in quantity lots for purposes of sale or dis- caused confusion over which importers tribution without a manufacturer’s license. 18 U.S.C. 921(a): DEFINITIONS and manufacturers are required to iden- Since then, ATF has similarly and consis- tify/mark firearms and maintain perma- tently interpreted the term “manufactur- 18 U.S.C. 922(a)(1)(A): LICENSES nent records of importation or manufac- er” under the GCA to mean any person REQUIRED ture. For this reason, licensed importers who engages in the business of making and manufacturers have asked whether firearms, by casting, assembly, alteration, 18 U.S.C. 923(a): LICENSES RE- licensed dealergunsmiths, who are not or otherwise, for the purpose of sale or dis- QUIRED required to mark firearms and keep pro- tribution. Such persons must have a man- duction records, may engage in such ufacturer’s license under the GCA, main- 18 U.S.C. 923(i): IDENTIFICATION OF manufacturing activities on their behalf. tain permanent records of manufacture, FIREARMS and submit annual manufacturing reports. The Gun Control Act of 1968 (GCA), Ti- The Revenue Ruling did not address 27 CFR 478.11: DEFINITIONS tle 18, United States Code (U.S.C.), section whether dealergunsmiths who engage in the business of repairing, modifying, em- 27 CFR 478.41(a): LICENSES RE- 923(a), provides, in part, that no person bellishing, refurbishing, or installing parts QUIRED shall engage in the business of importing, in or on firearms for, or on behalf of an im- manufacturing, or dealing in firearms until porter or manufacturer are engaged in the 27 CFR 478.92: IDENTIFICATION OF he has filed an application with and received business of manufacturing firearms requir- FIREARMS a license to do so from the Attorney Gen- ing a manufacturer’s license. eral. A “firearm” is defined by 18 U.S.C. Any person licensed as a dealer-gun- 921(a)(3) to include any weapon (includ- Manufacturing smith who repairs, modifies, embel- ing a starter gun) which will or is designed lishes, refurbishes, or installs parts to or may readily be converted to expel a ATF’s long-standing position is that in or on firearms (frames, receivers, projectile by the action of an explosive, and any activities that result in the making of or otherwise) for, or on behalf of a li- the frame or receiver of any such weapon. firearms for sale or distribution, to include censed importer or licensed manufac- The term “manufacturer” is defined by 18 installing parts in or on firearm frames and turer, is not required to be licensed as U.S.C. 921(a)(10) as any person engaged receivers, and processes that primarily a manufacturer under the Gun Control in the business of manufacturing firearms enhance a firearm’s durability, constitute Act, provided the firearms for which or ammunition for purposes of sale or firearms manufacturing that may require such services are rendered are: (I) distribution. As applied to a manufactur- a manufacturer’s license. In contrast, not owned, in whole or in part, by the er of firearms, the term “engaged in the some activities are not firearms manu- dealer-gunsmith; (2) returned by the business” is defined by 18 U.S.C. 921(a) facturing processes, and do not require dealer-gunsmith to the importer or (2l)(A) and 27 CPR 478.11, as a “person a manufacturer’s license. For example, manufacturer upon completion of the who devotes time, attention, and labor ATF Ruling 2009-1 (approved January manufacturing processes, and not to manufacturing firearms as a regular 12, 2009) explained that performing a sold or distributed to any person out- course of trade or business with the cosmetic process or activity, such as side, the manufacturing process; and principal objective of livelihood and camouflaging or engraving, that primar- (3) already properly identified/marked profit through the sale or distribution ily adds to or changes the appearance by the importer or manufacturer in ac- of the firearms manufactured.” The term or decoration of a firearm is not manu- cordance with Federal law and regu- “dealer” is defined by 18 U.S.C. 921(a) facturing. Likewise, ATF Ruling 2009-2 lations. (11)(B) and 27 CPR 478.11 to include “any (approved January 12, 2009) stated that person engaged in the business of re- installing “drop-in” replacement parts in ATF Rul. 2010-10 pairing firearms or of making or fitting or on existing, fully assembled firearms special barrels, stocks, or trigger mech- does not result in any alteration to the The Bureau of Alcohol, Tobacco, anisms to firearms ... “ (i.e., a gunsmith). original firearms. Persons engaged in the Firearms and Explosives (ATF) has re- As applied to a gunsmith, the term “en- business of these activities that do not ceived inquiries from firearms industry gaged in the business” is defined by 18 constitute firearms manufacturing need members asking whether licensed deal- U.S.C. 92l(a)(21)(D) and 27 CFR478.11 as only obtain a dealer’s license. er-gunsmiths who would be engaged a “person who devotes time, attention, in the business of repairing, modifying, and labor to engaging in such activity Although installing parts in or on fire- embellishing, refurbishing, or installing as a regular course of trade or business arms, and applying special coatings and parts in or on firearms for, or on behalf of with the principal objective of livelihood treatments to firearms are manufacturing a licensed importer or manufacturer are and profit ...” activities, the definition of “manufactur- required to be licensed as manufacturer” in 18 U.S.C. 921(a)(10) and 27 CFR ers and abide by the requirements im- In Revenue Ruling 55-342 (C.B. 1955- 478.11 also requires that a person be “en- posed on manufacturers. 1, 562), ATF’s predecessor agency inter- gaged in the business” before the man- preted the meaning of the terms “manu- ufacturer’s license requirement of section In recent years, licensed firearms facturer” and “dealer” for the purpose 923(a) applies. Thus, a person who man- importers and manufacturers have con- of firearms licensing under the Federal ufactures a firearm will require a manu- tracted certain firearms manufacturing Firearms Act, the precursor statute to the facturer’s license if he/she devotes time, activities on their behalf to specialized li- GCA. It was determined that a licensed attention, and labor to such manufacture censed firearms manufacturers. Such ac- dealer could assemble firearms from com- as a regular course of trade or business

158 with the principal objective of livelihood as a manufacturer must also segregate all Because dealer-gunsmiths are not and profit through the sale or distribution firearms manufactured for that business required to identify firearms manufac- of the firearms manufactured. If the per- separately from firearms for which gun- tured, it is incumbent upon the import- son is performing such services only for smithing services are being performed. er or manufacturer, prior to shipping a customer on firearms provided by that firearms to a dealer gunsmith for gun- customer, and is not selling or distributing To facilitate inspection and ensure smithing services, to mark them with the firearms manufactured, the person that ATF can determine that a licensed a serial number and other required in- would be a “dealer” as defined by 18 dealer-gunsmith is not engaged in the formation. With regard to frames and U.S.C. 921(a)(l1)(B) and 27 CFR 478.11, business of manufacturing firearms for receivers shipped separately, section requiring a dealer’s license, assuming the his own sale or distribution without a 478.92(a)(2) provides, in part, that the person is “engaged in the business” as manufacturer’s license, licensees may manufacturer or importer must mark all defined in 18 U.S.C. 921(a)(21)(D) and 27 take the following steps: frames and receivers prior to shipment CFR 478.11 (i.e., “gunsmithing”). with all information required by section (1) maintain a copy of the current, 478.92 (i.e., serial number, model (if Gunsmithing active license of all contracted licens- designated), caliber/gauge, manufac- ees; turer’s name, and place of origin). This A dealer is “engaged in the business” will ensure that the frames and receiv- of gunsmithing, as defined in 18 U.S.C. (2) maintain a copy of the contract ers can be traced by ATF in the event 92l(a)(21)(D) and 27 CFR 478.11, when and all instructions for gunsmithing they are lost or stolen during the man- he/she receives firearms (frames, receiv- services rendered; ufacturing process. ers, or otherwise) provided by a customer for the purpose of repairing, modifying, (3) maintain a copy of the invoices Held, any person licensed as a deal- embellishing, refurbishing, or installing for gunsmithing services; er-gunsmith who repairs, modifies, em- parts in or on those firearms. Once the bellishes, refurbishes, or installs parts work is completed, the gunsmith returns (4) timely and accurately reflect all in or on firearms (frames, receivers, or the firearms, and charges the customer firearms acquisitions and dispositions otherwise) for, or on behalf of a licensed for labor and parts. As with an individu- consistent with the contract for gun- importer or licensed manufacturer, is not al customer, a licensed dealer-gunsmith smithing services rendered; and required to be licensed as a manufactur- may receive firearms (properly identified er under the Gun Control Act, provided with a serial number and other information (5) in the case of a licensed deal- the firearms for which such services are required by 27 CFR 478.92) and conduct er-gunsmith, maintain required bound rendered are: (1) not owned, in whole or gunsmithing services for a customer who acquisition and disposition records in part, by the dealer-gunsmith; (2) re- is a licensed importer or manufacturer. A for all gunsmithing activities separate turned by the dealer-gunsmith to the im- dealergunsmith is not “engaged in the from other dealer’s records. porter or manufacturer upon completion business” of manufacturing firearms be- of the manufacturing processes, and not cause the firearms being produced are not Unless licensees take these steps, sold or distributed to any person outside owned by the dealer-gunsmith, and he/ ATF may presume that a particular deal- the manufacturing process; and (3) al- she does not sell or distribute the firearms er-gunsmith is engaged in his own busi- ready properly identified/marked by the manufactured. Once the work is complet- ness of manufacturing firearms for sale importer or manufacturer in accordance ed, the dealer-gunsmith returns the fire- or distribution without a manufacturer’s with Federal law and regulations. arms to the importer or manufacturer upon license, and take corrective administra- completion of the manufacturing process- tive or other enforcement action. This ruling is limited to an interpreta- es, and does not sell or distribute them tion of the requirements imposed upon to any person outside the manufacturing Identification of Firearms importers, manufacturers, and deal- process. Under these circumstances, the er-gunsmiths under the Gun Control Act licensed dealer-gunsmith is not “engaged The GCA at 18 U.S.C. 923(i) provides, of 1968, and does not apply to persons in the business” of manufacturing fire- in part, that licensed manufacturers and making or manufacturing firearms sub- arms requiring a manufacturer’s license. importers must “identify” each firearm ject to the National Firearms Act, 26 manufactured or imported by a serial U.S.C. 5801 et. seq. In contrast, a dealer-gunsmith may number in the manner prescribed by reg- make or acquire his/her own firearms, ulation. Federal regulations at 27 CFR Revenue Ruling 55-342, C.B. 1955- and repair, modify, embellish, refurbish, or 478.92(a)(l) further require importers and 1, 562, is hereby clarified. To the ex- install parts in or on those firearms. If the manufacturers to identify each firearm by tent this ruling may be inconsistent dealer-gunsmith then sells or distributes engraving, casting, stamping (impress- with any prior letter rulings, they are those firearms for livelihood and profit, ing), or otherwise conspicuously placing hereby superseded. the dealer-gunsmith is engaged in his/her the individual serial number and certain own business of manufacturing firearms. additional information - the model (if des- Date approved: December 27, 2010 A person engaged in the business of man- ignated), caliber/gauge, manufacturer’s ufacturing firearms for sale or distribution name, and place of origin on the frame, 18 U.S.C. 923(g)(l)(A): RECORDS is required to be licensed as a manufac- receiver, or barrel - at a minimum depth. REQUIRED turer, identify/mark all firearms manu- Section 478.92(a)(2) specifies that a factured, maintain permanent records of “firearm frame or receiver that is not a 27 CFR 478.22; ALTERNATE METH- manufacture, submit annual manufactur- component part of a complete weapon ODS OR PROCEDURES ing reports, and pay any taxes imposed at the time it is sold, shipped, or other- on firearm manufacturers. A licensed wise disposed of ... must be identified 27 CFR 478.U1: RECORDS RE- dealer-gunsmith who becomes licensed as required by this section.” QUIRED

159 27 CFR 478.122: RECORDS MAIN- formation must be entered in the proper variance to the separate acquisition and TAINED BY IMPORTERS record book not later than the seventh disposition records requirements of the day following the date of the transaction, Federal firearms regulations. Further, this 27 CFR 478.125: RECORDS OF FIRE- and such information must be recorded alternate method is not contrary to any ARMS RECEIPT AND DISPOSITION under the format prescribed by 27 CFR provision of law, will not increase costs to 478.122. Under 27 CFR 478.129(d), the ATF, and will not hinder the effective ad- 27 CFR 478.U9: RECORD RETEN- importer’s records of the sale or other ministration of the Federal regulations. TION disposition of firearms to licensees must be retained by the importer for 20 years. Licensed firearms importers are not ATF authorizes an alternate meth- required to maintain separate records of od or procedure from the firearms In addition, Wider 27 CFR 478.122(d) importation or other acquisition and dis- acquisition and disposition record- licensed importers must maintain sepa- position of firearms, as required by the keeping requirements of 27 CFR rate records of the sales or other dispo- Federal regulations, provided the follow- 478.122. Specifically, ATF authorizes sitions of firearms made to nonlicensees. ing conditions are met: licensed importers to consolidate These records must be maintained in the their records of importation or other form and manner prescribed by regula- 1. Within 15 days of the date of im- acquisition of firearms and their sep- tions at 27 CFR 478.124, 478.125(e), and portation or other acquisition, the li- arate firearms disposition records, 478.125(i), with regard to firearms trans- censed importer records the following provided all of the requirements stat- action records and records of firearms information for each firearm: ed in this ruling are met. disposition. Under 27 CFR 478.129(d), the importer’s records of the sale or oth- a. Name of the manufacturer ATF Rul. 2011-l er disposition of firearms to nonlicensees (foreign or domestic) and importer must be retained for 20 years. (if any); The Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) has re- Licensed importers may seek approv- b. Country of manufacture; ceived requests from licensed import- al from ATF to use an alternate method ers for permission to consolidate their or procedure to record the acquisition c. Model; records of firearms importation or other and disposition of firearms. Federal reg- acquisition and their separate records ulations at 27 CFR d. Type; of firearms disposition. 478.122(c) provide that ATF may au- e. Serial number; The Gun Control Act of 1968 (GCA), thorize alternate records of the disposal of at Title 18.United States Code, section firearms when it is shown by the licensed f. Caliber or gauge; importer that the alternate records will ac- 923(g)(l)(A), provides, in part, that curately and readily disclose the informa- g. Date of importation or other each licensed importer must maintain tion required to be maintained. Additional- acquisition; records of importation, production, ship- ly, under 27 CFR 478.22, the Director may ment, receipt, sale, or other disposition of approve an alternate method or procedure h. Name of the person (nonlicens- firearms at his place of business for such in lieu of a method or procedure specifical- ee or other Federal firearms licensee period, and in such form, as the Attorney ly prescribed in the regulations when he (FFL))from whom the firearm was re- General may by regulations prescribe. finds that: (1) good cause is shown for the ceived (to include a person outside of Federal regulations at Title 27, Code use of the alternate method or procedure; the United States, if applicable); and of Federal Regulations (CFR), section (2) the alternate method or procedure 478.122(a), require licensed importers, is within the purpose of, and consistent i. Address (if a non licensee) or within 15 days of importation or other with the effect intended by, the specifical- complete 15-digit license number acquisition, to record the type, model, ly prescribed method or procedure and of the person from whom the fire- caliber or gauge, manufacturer, country that the alternate method or procedure is arm was received (to include the of manufacture, and the serial number substantially equivalent to that specifically address of a person outside of the of each firearm imported or otherwise prescribed method or procedure; and (3) United States, if applicable). acquired, and the date such importation the alternate method or procedure will not or other acquisition was made. The re- be contrary to any provision of law and will 2. Within seven (7) days of the date cords of importation or other acquisition not result in an increase in cost to the Gov- of sale or other disposition, beside must be retained by the importer on the ernment or hinder the effective administra- the corresponding line item record of licensed premises permanently, pursuant tion of 27 CFR Part 478. importation or other acquisition, the li- to 27 CPR 478.121(a) and 478.129(d). censed importer records the following ATF recognizes that, provided certain information for each firearm: Federal regulations at 27 CFR conditions are met, the consolidation of 478.122(b) require licensed importers to records of importation or other acquisition a. Date of sale or other disposi- record the disposition of firearms to oth- of firearms by a licensed importer with cor- tion; er licensees showing the quantity, type, responding firearms disposition records manufacturer, country of manufacture, will accurately and readily disclose the b. Name of the person to whom caliber or gauge, model, serial number information required to be maintained. It the firearm was transferred; and of the firearms transferred, the name will also make it easier for importers and and license number of the licensee to ATF to account for and trace an importer’s c. Address or license number of whom the firearms were transferred, .firearms inventory. ATF therefore finds the person to whom the f1rearm was and the date of the transaction. This in- that there is good cause to authorize a transferred: if the transferee is a non-

160 licensee, the address of the transfer- acquisition and disposition recordkeep- lated under the NFA (e.g., as a pistol). ee or the ATF Form 4473 Firearms ing requirements of27 CFR 478.122. A firearm, as defined by 26 U.S.C. Transaction Record serial number if Specifically, ATF authorizes licensed 5845(a)(4), is made when a handgun or the Forms 4473 are filed numerical- importers to consolidate their records other weapon with an overall length of ly; if the transferee is a licensee, the of importation or other acquisition of less than 26 inches, or a barrel or bar- complete 15digit license number. firearms and their separate firearms dis- rels of less than 16 inches in length, is position records, provided all of the re- assembled or produced from a weap- 3. For firearms dispositions to a quirements stated in this ruling are met. on originally assembled or produced licensee, the commercial record of only as a rifle. the transaction shall be retained sep- Held further, if ATF finds that a licens- arately from other commercial doc- ee has failed to abide by the conditions ATF Rul. 2011-4 uments maintained by the licensed of this ruling, or uses any procedure importer until the transaction is re- that hinders the effective administration The Bureau of Alcohol, Tobacco, Fire- corded, and be readily available for of the Federal firearms laws or regula- arms and Explosives (ATF) has received inspection on the licensed premises. tions, ATF may notify the licensee that requests from individuals to classify pis- the licensee is no longer authorized to tols that are reconfigured into rifles, for 4. For firearms dispositions to a consolidate his acquisition and disposi- personal use, through the addition of nonlicensee, the ATF Form 4473 tion records under this ruling. barrels, stocks, and other parts and then shall be retained separately from returned to a pistol configuration by re- the licensee’s Form 4473 file and be Date Approved: January 26, 2011 moval of those components. Specifically, readily available for inspection on the ATF has been asked to determine wheth- licensed premises until the transaction Editors Note: er such a pistol, once returned to a pis- is recorded. After that time, the Form tol configuration from a rifle, becomes a 4473 shall be retained alphabetically as defined Reference to ATF Rul. 2008-2 is re- “weapon made from a rifle” (by name of purchaser), chronologi- under the National Firearms Act (NFA). placed by reference to ATF Rul. 2013-5 cally (by date of sale or other dispo- approved December 17, 2013. sition), or numerically (by transaction Some manufacturers produce firearm serial number) as part of the licensed receivers and attachable component 26 U.S.C. 5845(a)(3): DEFINITIONS importer’s required records. parts that are designed to be assembled (FIREARM ) into both rifles and pistols. The same 5. By using this variance, a line receiver can accept an interchangeable 26 U.S.C. 5845(a)(4): DEFINITIONS item will be recorded for each firearm shoulder stock or pistol grip, and a long (FIREARM) imported or otherwise acquired and (16 or more inches in length) or short sold or otherwise disposed of by a li- (less than 16 inches) barrel. These com- 26 U.S.C. 5845(c): DEFINITIONS censed importer. The quantity of fire- ponents are sold individually, or as unas- (RIFLE) arms of the same type, model, and sembled kits. Generally, the kits include caliber or gauge imported or other- a receiver, a pistol grip, a pistol barrel 27 CFR 479.11: DEFINITIONS (RIFLE) wise acquired and disposed of must less than 16 inches in length, a shoul- be able to be readily determined by der stock, and a rifle barrel 16 inches or 27 CFR 479.11: DEFINITIONS (PISTOL) adding all associated line items. more in length. Certain parts or parts sets are also designed to allow an individual A firearm, as defined by the National 6. All consolidated firearms acqui- to convert a pistol into a rifle without re- Firearms Act (NFA), 26 U.S.C. 5845(a) sition and disposition records must moving a barrel or attaching a shoulder (3), is made when unassembled parts be maintained permanently by the li- stock to the pistol. These parts consist are placed in close proximity in such censed importer. Additionally, as proof an outer shell with a shoulder stock a way that they: (a) serve no useful vided by 27 CFR 478.127, upon dis- into which the pistol may be inserted. purpose other than to make a rifle hav- continuance of business, all required When inserted, the pistol fires a projec- ing a barrel or barrels of less than 16 records must be forwarded to the ATF tile through a rifled extension barrel that inches in length; or (b) convert a com- Out-of-Business Records Center. is 16 inches or more in length, and with plete weapon into such an NFA fire- an overall length of 26 inches or more. arm. A firearm, as defined by 26 U.S.C. Licensees are reminded of their re- Other parts sets require that certain parts 5845(a)(3) and (a)(4), is not made when sponsibility to ensure the accuracy and of the pistol, such as the pistol barrel and parts within a kit that were original- completeness of all required records, the slide assembly, be removed from the ly designed to be configured as both and to maintain such records on their pistol frame prior to attaching the parts a pistol and a rifle are assembled or licensed premises available for inspec- sets. Typically, a separate barrel is sold re-assembled in a configuration not tion. Additionally, this approval does not with the parts set, which is 16 inches or regulated under the NFA (e.g., as a relieve licensees of any requirements of greater in length. The barrel is installed pistol, or a rifle with a barrel or barrels State, local, or other Federal government along with an accompanying shoulder of 16 inches or more in length). A fire- agencies. If acquisition and disposition stock. The resulting firearm has a barrel arm, as defined by 26 U.S.C. 5845(a)(3) records are maintained in electronic form, of 16 inches or more in length, and an and (a)(4), is not made when a pistol licensees must comply with ATF Ruling overall length of 26 inches or more. is attached to a part or parts designed 2008-2 (approved August 25, 2008). to convert the pistol into a rifle with a The NFA, Title 26, United States Code barrel or barrels of 16 inches or more Held, pursuant to 27 CFR 478.22 and (U.S.C.), Chapter 53, requires that per- in length, and the parts are later unas- 478.122(c), ATF authorizes an alternate sons manufacturing, importing, transfer- sembled in a configuration not regu- method or procedure from the firearms ring, or possessing firearms as defined in

161 the NFA comply with the Act’s licensing, than to make an NFA firearm (e.g., a originally designed, made, and intended registration, and taxation requirements. receiver, an attachable shoulder stock, to fire a projectile by one hand. The NFA defines the term “firearm” at and a short barrel); or (b) convert a com- 26 U.S.C. 5845(a) to include “(3) a rifle plete weapon into an NFA firearm (e.g., Held, a firearm, as defined by the having a barrel or barrels of less than a pistol and attachable shoulder stock, National Firearms Act (NFA), 26 U.S.C. 16 inches in length;” (“short-barreled or a long-barreled rifle and attachable 5845(a)(3), is made when unassembled rifle”) and “(4) a weapon made from a short barrel). Id. at 511-13. parts are placed in close proximity in rifle if such weapon as modified has such a way that they: an overall length of less than 26 inch- Assembly of Weapons from Parts Kits es or a barrel or barrels of less than 16 (a)Serve no useful purpose other inches in length” (“weapon made from The Thompson/Center Court viewed than to make a rifle having a barrel or a rifle”). The term “rifle” is defined by 26 the parts within the conversion kit not barrels of less than 16 inches in length U.S.C. 5845(c) and 27 CFR 479.11 as “a only as a Contender pistol, but also as (e.g., a receiver, an attachable shoulder weapon designed or redesigned, made an unassembled “rifle” as defined by stock, and barrel of less than 16 inches or remade, and intended to be fired 26 U.S.C. 5845(c). The inclusion of the in length); or from the shoulder and designed or re- rifle stock in the package brought the designed and made or remade to use Contender pistol and carbine kit with- (b) Convert a complete weapon into the energy of the explosive in a fixed in the “intended to be fired from the such an NFA firearm, including – cartridge to fire only a single projectile shoulder” language in the definition of through a rifled bore for each single rifle at 26 U.S.C. 5845(c). Id. at 513 n.6. (1) A pistol and attachable shoul- pull of the trigger, and shall include Thompson/Center did not address the der stock; and any such weapon which may be read- subsequent assembly of the parts. Unit- ily restored to fire a fixed cartridge.” ed States v. Ardoin, 19 F.3d 177, 181 (2) A rifle with a barrel of 16 inches Although not defined in the NFA, the term (5th Cir. 1994). Based on the definition or more in length, and an attachable “pistol” is defined by the Act’s imple- of “firearm” in 26 U.S.C. 5845(a)(3), if barrel of less than 16 inches in length. menting regulations, 27 CFR 479.11, as parts are assembled into a rifle having “a weapon originally designed, made, a barrel or barrels of less than 16 inches Such weapons must be registered and and intended to fire a projectile (bullet) in length, a regulated short-barreled rifle are subject to all requirements of the NFA. from one or more barrels when held in has been made. See, e.g., United States one hand, and having (a) a chamber(s) v. Owens, 103 F.3d 953 (11th Cir. 1997); Held further, a firearm, as defined by 26 as an integral part(s) of, or permanent- United States v. One (1) Colt Ar-15, 394 U.S.C. 5845(a)(3) and (a)(4), is not made ly aligned with, the bore(s); and (b) a F. Supp. 2d 1064 (W.D.Tenn. 2004). when parts in a kit that were originally de- short stock designed to be gripped by Conversely, if the parts are assembled signed to be configured as both a pistol one hand and at an angle to and ex- into a rifle having a barrel or barrels 16 and a rifle are assembled or re-assembled tending below the line of the bore(s)” inches in length or more, a rifle not sub- in a configuration not regulated under the (emphasis added). ject to the NFA has been made. NFA (e.g., as a pistol, or a rifle with a barrel of 16 inches or more in length). Unassembled Parts Kits Therefore, so long as a parts kit or collection of parts is not used to make a Held further, a firearm, as defined by In United States v. Thompson/Center firearm regulated under the NFA (e.g., a 26 U.S.C. 5845(a)(3) and (a)(4), is not Arms Company, 504 U.S. 505 (1992), short-barreled rifle or “any other weap- made when a pistol is attached to a part the United States Supreme Court ex- on” as defined by 26 U.S.C. 5845(e)), or parts designed to convert the pistol amined whether a short-barreled rifle no NFA firearm is made when the same into a rifle with a barrel of 16 inches or was “made” under the NFA when a parts are assembled or re-assembled in more in length, and the parts are later carbine-conversion kit consisting of a a configuration not regulated under the unassembled in a configuration not reg- single-shot “Contender” pistol was de- NFA (e.g., a pistol, or a rifle with a barrel ulated under the NFA (e.g., as a pistol). signed so that its handle and barrel could of 16 inches or more in length). Merely be removed from its receiver, and was assembling and disassembling such a ri- Held further, a firearm, as defined by packaged with a 21-inch barrel, a rifle fle does not result in the making of a new 26 U.S.C. 5845(a)(4), is made when a stock, and a wooden fore-end. The Court weapon; rather, it is the same rifle in a handgun or other weapon with an over- held that, where aggregated parts could knockdown condition (i.e., complete as to all length of less than 26 inches, or a convert a pistol into either a regulated all component parts). Likewise, because barrel or barrels of less than 16 inch- short-barreled rifle, or an unregulated ri- it is the same weapon when reconfigured es in length, is assembled or produced fle with a barrel of 16 inches or more in as a pistol, no “weapon made from a ri- from a weapon originally assembled or length, the NFA was ambiguous and ap- fle” subject to the NFA has been made. produced only as a rifle. Such weapons plied the “rule of lenity” (i.e., ambiguities must be registered and are subject to all in criminal statutes should be resolved in Nonetheless, if a handgun or other requirements of the NFA. favor of the defendant) so that the pistol weapon with an overall length of less than and carbine kit, when packaged together, 26 inches, or a barrel or barrels of less To the extent this ruling may be incon- were not considered a “short-barreled than 16 inches in length is assembled or sistent with any prior letter rulings, they rifle” for purposes of the NFA. otherwise produced from a weapon orig- are hereby superseded. inally assembled or produced only as a However, the Court also explained rifle, such a weapon is a“weapon made Date approved: July 25, 2011 that an NFA firearm is made if aggregat- from a rifle” as defined by 26 U.S.C. ed parts are in close proximity such that 5845(a)(4). Such a weapon would not be 18 U.S.C. 921(a)(3): DEFINITIONS they: (a) serve no useful purpose other a “pistol” because the weapon was not (FIREARM)

162 18 U.S.C. 923(i): IDENTIFICATION OF may possess firearm frames or receivers for an indefinite period of time. The plain FIREARMS for an extended period of time without language in section 923(i) requiring that selling, shipping, or otherwise disposing the serial number be “engraved or cast 27 CFR 478.11: DEFINITIONS (FIRE- of them. Such manufacturers may intend on” the receiver or frame of the firearm ARM) to sell these components as frames or demonstrates Congressional intent to receivers without further manufactur- require marking as an integral part of the 27 CFR 478.92: IDENTIFICATION OF ing, or intend to manufacture complete manufacturing process. Otherwise, fully FIREARMS weapons from them in the future. assembled firearms, or finished frames and receivers to be sold, shipped, or dis- 27 CFR 478.123(a): RECORDS MAIN- The Gun Control Act (GCA) at 18 posed of separately - stockpiled indefi- TAINED BY MANUFACTURERS U.S.C. 921(a)(3) and its implementing nitely without required markings - would regulation, 27 be susceptible to theft or loss without All firearms manufactured, to include any means to trace them. firearm frames and receivers that are CFR 478.11, define the term“firearm,” to be sold, shipped, or otherwise dis- in part, to mean: “any weapon (includ- Under the regulations, section 478.92, posed of separately, must be iden- ing a starter gun) which will or is de- firearms required to be marked at the time tified by a licensed manufacturer in signed to or may readily be converted of manufacture include both “complete the manner and with the markings re- to expel a projectile by the action of weapons,” and complete frames or required by 18 U.S.C. 923(i) and 27 CFR an explosive,” and includes “the frame ceivers of such weapons that are to be 478.92 during the manufacturing pro- or receiver of any such weapon.” The sold, shipped, or otherwise disposed of cess. It is reasonable for a licensed term “firearm frame or receiver” is de- separately. Because identifying firearms manufacturer to have seven (7) days fined by section 478.11 as “[t]hat part of is an integral part of the manufacturing following the date of completion (to a firearm which provides housing for process, and sections 923(i) and 478.92 include a firearm in knockdown con- the hammer, bolt or breechblock, and do not specify a time period in which to dition, i.e., complete as to all com- firing mechanism, and which is usually identify firearms, licensed manufacturers ponent parts, or a frame or receiver threaded at its forward position to re- are required to mark them during the man- to be sold, shipped, or disposed of ceive the barrel.” Under 18 U.S.C. 923(i) ufacturing process. Reading the marking separately) in which to mark a firearm and 27 CFR 478.92, licensed manufactur- requirement for complete weapons in sec- manufactured, and record its identify- ers and licensed importers must “identify, tion 478.92(a) together with the seven day ing information in the manufacturer’s by means of a serial number engraved recordkeeping requirement for complete permanent records. A firearm frame or cast on the receiver or frame of the firearms in section 478.123(a), ATF con- or receiver that is not a component weapon, in such manner as the At- cludes that it is reasonable for a manufac- part of a complete weapon at the time torney General shall by regulations turer to have seven (7) days following the it is sold, shipped, or otherwise dis- prescribe, each firearm imported or date of completion (to include a firearm in posed of must be marked with all of manufactured ....” Federal regulations knockdown condition, i.e., complete as to the required markings; provided, that at 478.92(a)(1) require manufacturers to all component parts, or a frame or receiver an alternate means of identification identify each firearm by engraving, cast- to be sold, shipped, or disposed of sepa- may be approved (i.e., a “non-marking ing, stamping (impressing), or otherwise rately) in which to mark the firearm and re- variance’’) under section 478.92(a)(4); placing certain additional information cord its identifying information in the man- provided further, that the model des- (the model, caliber/gauge, manufactur- ufacturer’s permanent records. Further, ignation and caliber or gauge may be er’s name, and place of origin) on the because firearm frames and receivers to omitted without a variance if that in- frame, receiver, or barrel, at a minimum be sold, shipped, or disposed of separate- formation is unknown at the time the depth. Paragraph 478.92(a)(2) specifies ly do not have a barrel at the time they are frames or receivers are marked. that a “firearm frame or receiver that marked, pursuant to 478.92(a)(2), all of the is not a component part of a complete information required by 478.92(a)(1) must ATF Rul. 2012-1 weapon at the time it is sold, shipped, be placed on the frame or receiver, unless or otherwise disposed of ... must be an alternate means of identification is ap- The Bureau of Alcohol, Tobacco, Fire- identified as required by this section.” proved (i.e., a “non-marking variance”) arms and Explosives (ATF) has received As to recordkeeping, section 478.123(a) under section 478.92(a)(4). The model inquiries from manufacturers asking provides that “[e]ach licensed manu- designation and the caliber or gauge may when they must mark the firearms they facturer shall record the type, model, be omitted without a variance if that infor- manufacture. They ask specifically caliber or gauge, and serial number of mation is unknown at the time the firearm whether the requirement to record fire- each complete firearm manufactured frames or receivers are marked. arms in their records of manufacture or otherwise acquired ... not later than within seven days also requires marking the seventh day following the date Nonetheless, ATF recognizes that a within that time period. such manufacture or acquisition was manufacturer may require more than made.” (emphasis added) seven days to finish the manufacturing Some licensed firearms manufactur- process from beginning to end with the ers produce and assemble complete Congress did not specify in section required markings, depending on the firearms within their licensed business 923(i) a time period for a manufacturer nature of the process involved. Some premises. Others manufacture only to mark firearms manufactured. Howev- firearms may take more time due to frames or receivers that are not parts of er, it is unlikely Congress intended to al- differences in the type and capability complete weapons when transferred to low manufacturers to stockpile complet- of the firearm, availability of materials other licensees for further manufacturing. ed firearms (including finished frames or and components, and complexity of the receivers of such firearms to be sold or assembly and finishing processes. ATF In some instances, a manufacturer shipped separately) without markings also recognizes that the equipment nec-

163 essary to identify the firearms must be information is unknown at the time the when practicable, by October 2003. In available and in working order. However, frames or receivers are marked. accordance with the GPEA’s mandate, once the entire manufacturing process ATF developed the eForms online elec- has ended, manufacturers must ensure This ruling is limited to an interpreta- tronic filing system for Federal firearms that the firearms have been marked in tion of the requirements imposed upon licensees (FFLs) and others to submit a the manner required by section 478.92. licensed manufacturers under the Gun variety of ATF forms. Control Act of 1968, 18 U.S.C. 921 et. To facilitate inspection and ensure seq., and does not apply to persons mak- The eForms online electronic filing that ATF can determine that a licensed ing or manufacturing firearms subject to system now enables licensed manu- manufacturer has not unreasonably the National Firearms Act,26 U.S.C. 5801 facturers to submit the AFMER and held completed firearms (to include fin- et. seq. To the extent this ruling may be meet the submission requirements set ished frames and receivers to be sold, inconsistent with any prior letter rulings, forth in 18 U.S.C. 923(g)(5)(A). The shipped, or disposed of separately) after they are hereby superseded. ATF Form 5300.11 is accepted and pro- seven (7) days from the date of com- cessed by ATF provided the manufac- pletion without their required markings, Date Approved: January 12, 2012 turer has furnished all of the required licensees may take the following steps: information. The manufacturer may ob- 18 U.S.C. 923(g)(5)(A): RECORDS tain through the internet electronic cop- (1) maintain a copy of the cur- ies of submitted ATF Forms 5300.11, rent, active license of all contracted The Bureau of Alcohol, Tobacco, Fire- which can be printed and preserved as licensees; arms and Explosives (ATF) authoriz- documentation of compliance with the es an alternate method or procedure filing requirement. (2) maintain records of firearms to the requirement at Title 18, United production; States Code (U.S.C.), section 923(g) To register to use the eForms system, (5)(A), that licensees submit a form applicants must access the ATF website (3) maintain work orders, contracts, containing certain required record in- at http://www.atfonline.gov/. This site and related instructions for services formation. Specifically, licensed manu- contains the instructions necessary to rendered that describe the various facturers may submit the Annual Fire- access eForms and register to use the firearm manufacturing processes; arms Manufacturing and Exportation system. To register, the applicant must Report (AFMER), ATF Form 5300.11, provide his or her name, business name (4) maintain orders for firearm parts electronically using ATF eForms, pro- (if applicable), address, telephone num- that have yet to be received; and vided all of the conditions set forth in ber, and email address. Upon proper this ruling are met. registration, ATF issues each registrant (5) maintain invoices to repair a user identification (ID), and the reg- non-functioning machines. ATF Rul. 2012-3 istrant creates a password allowing access to the eForms system. Each Held, all firearms manufactured, to in- The Gun Control Act of 1968 (GCA), 18 individual registrant is issued a unique clude firearm frames and receivers that U.S.C. 923(g)(5)(A), provides, in relevant user ID that can be applied to multiple are to be sold, shipped, or otherwise dis- part, that each licensed importer, manu- Federal firearms licenses. After regis- posed of separately, must be identified facturer, and dealer shall, when required tering with the unique user ID, persons by a licensed manufacturer in the man- by letter issued by the Attorney General, filing the AFMER form on behalf of an ner and with the markings required by 18 and until notified to the contrary, submit FFL must request to be associated with U.S.C. 923(i) and 27 CFR 478.92 during on a form specified by the Attorney Gen- the applicable Federal firearms license the manufacturing process. eral, for periods and at the times speci- using the “My Profile” function of the fied in such letter, all record information eForms system. Held further, it is reasonable for a li- required to be kept by 18 U.S.C. Chapter censed manufacturer to have seven (7) 44 or such lesser record information as The eForms system requires ap- days following the date of completion (to the Attorney General in such letter pre- plicants to attest that the information include a firearm in knockdown condi- scribes. The authority to administer and submitted is true and correct, subject tion, i.e., complete as to all component enforce the provisions of the GCA was to penalties provided by law, and con- parts, or a frame or receiver to be sold, delegated to the Attorney General, who firm their ATF-issued electronic cre- shipped, or disposed of separately) in further delegated these responsibilities to dentials to complete the application which to mark a firearm manufactured, the Director of ATF. See 28 CFR 0.130. process. Specifically, to complete the and record its identifying information in Pursuant to 18 U.S.C. 923(g)(5)(A), ATF application process, an applicant is the manufacturer’s permanent records. requires licensed manufacturers to sub- required to declare first that all state- mit an Annual Firearms Manufacturing ments contained in the application are Held further, a firearm frame or re- and Exportation Report (AFMER), ATF true and correct, and that he or she has ceiver that is not a component part of a Form 5300.11. Currently, the form may read, understood, and complied with complete weapon at the time it is sold, either be mailed or faxed to ATF. the conditions and instructions for the shipped, or otherwise disposed of must form being submitted. Second, the ap- be marked with all of the required mark- The Government Paperwork Elimi- plicant is required to declare that he or ings; provided, that an alternate means nation Act (GPEA), 44 U.S.C. 3504, re- she authorizes the transmittal via the of identification may be approved (i.e., a quires executive agencies to provide for eForms system of data that may consti- “non-marking variance”) under section the option of the electronic maintenance, tute tax return information, as defined 478.92(a)(4);provided further, that the submission, or disclosure of information, in section 6103 of the Internal Revenue model designation and caliber or gauge as a substitute for paper, and for the use Code, Title 26, U.S.C. Applicants are may be omitted without a variance if that and acceptance of electronic signatures, not required to use the eForms system,

164 and licensees may continue to file ATF 22 U.S.C. 2778: CONTROL OF ARMS NFA, and the permanent import provi- Form 5300.11 on paper in accordance EXPORTS AND IMPORTS sions of the AECA, were delegated to with the instructions on the form. the Attorney General, who further dele- 26 U.S.C. 5844: IMPORTATION gated at 28 CFR 0.130 these responsi- In addition to the mandate of GPEA, bilities to the Director, ATF. ATF recognizes that, provided certain 27 CFR 447.42: APPLICATION FOR conditions are met, the use of electronic PERMIT The regulations at 27 CFR AFMERs may more accurately and read- 447.42, 478.112, 478.113, 478.113a, ily disclose the same information required 27 CFR 447.45: IMPORTATION 478.116,478.119, 479.111, 479.112, to be submitted. It will also make it easier, and 479.113 require persons requesting less costly, and faster for manufacturers 27 CFR 478.22: ALTERNATE METH- to import firearms or ammunition to file to submit their reports, and for ATF to pro- ODS OR PROCEDURES with the Director an ATF Form 6- Part I, cess those reports. ATF therefore finds Application and Permit for Importation of that there is good cause to authorize a 27 CFR 478.111-478.113, 478.116, and Firearms, Ammunition and Implements variance from the ATF Form 5300.11 sub- 478.119: IMPORTATION of War. Under 27 CFR 478.112, 478.113, mission requirement of the Federal fire- 478.113a, and 478.119, if the Director arms laws. ATF also finds that, provided 27 CFR 479.26: ALTERNATE METH- approves the application, the approved certain conditions are met, the alternate ODS OR PROCEDURES application serves as the import permit. method set forth in this ruling is within the Under 27 CFR 447.45,478.112, 478.113, purposes of, and consistent with the re- 27 CFR 479.111-479.113: IMPORTA- 478.113a, and 478.119, the importer quirements at 18 U.S.C. 923(g)(5)(A) be- TION must then furnish a copy of ATF Form cause the same required information is 6A, Release and Receipt of Imported captured on the applicable eForm, which The Bureau of Alcohol, Tobacco, Fire- Firearms, Ammunition, and Implements is electronically signed under penalties arms and Explosives (ATF) authoriz- of War, to U.S. Customs and Border Pro- provided by law. Further, this alternate es an alternate method or procedure tection (CBP), and must forward a copy method is not contrary to any provision from the regulations that require the of the ATF Form 6A to ATF, to complete of law, will not increase costs to ATF, and filing of applications to import- fire the release of the imported articles. will not hinder the effective administration arms, ammunition, and other defense of the regulations. articles in paper form. Specifically, in- In accordance with the mandate of dividuals, Federal firearms licensees the Government Paperwork Elimination Held, licensed manufacturers may (FFLs), and registered importers of Act (GPEA), 44 U.S.C. 3504, ATF issued submit the AFMER, ATF Form 5300.11, articles enumerated on the US. Muni- ATF Ruling 2003-6 (approved July 11, electronically using ATF eForms, provid- tions Import List (USMIL) may file ATF 2003), which conditionally authorized ed the following conditions are met: Form 6-Part I and Form 6A electroni- a variance from the requirements of 27 cally using ATF eForms, provided all CFR 447.42, 478.111, 1. The applicant has registered of the conditions set forth in this rul- with ATF by completing the on-line ing are met. Persons authorized to file 478.112, 478.113, 479.111, 479.112, registration process; eForms may submit digitally scanned and 479.113 only for FFLs and registered copies of the original supporting importers of articles enumerated on the 2. The applicant has received a statements and documents with USMIL who file eForms. In addition, ATF unique user ID and created a pass- eForms, if they certify, under penal- issued ATF Ruling 2010-9 (approved No- word; ties provided by law, that the support- vember 30, 2010), allowing only those ing documentation is true, correct, persons holding a valid Federal firearms 3. The applicant has agreed that and complete. This ruling supersedes license and/or who are registered as the electronic signature assigned to ATF Rulings 2003-6 and 2010-9. importers of articles on the USMIL who them is intended as their original sig- are importing surplus military defense ar- nature for eForms submissions; and ATF Rul. 2013-1 ticles importable as curios or relics, and who are authorized under ATF Ruling 4. The applicant has agreed to The Gun Control Act of 1968 (GCA), 2003-6 to file eForm 6, to submit digitally be bound by the Notices and Agree- Title 18, United States Code (U.S.C.) scanned copies of the original supporting ments governing the use of the Chapter 44, and the National Firearms statements and documents with eForm 6, eForms system. Act (NFA), 26 U.S.C. Chapter 53, pro- if they certified, under penalties provided vide that, with certain exceptions, no by law, that the supporting documenta- Held further, if ATF finds that an firearm, firearm barrel, or ammunition tion is true, correct, and complete. eForms user has failed to abide by the shall be imported or brought into the conditions of this ruling, uses any pro- United States unless the Attorney Gen- The eForms online electronic filing sys- cedure that hinders the effective admin- eral has authorized its importation. See tem now enables individuals, FFLs, and istration of the Federal firearms laws or 18 U.S.C. 925(d); 26 U.S.C. 5844. The registered importers under the AECA, to regulations, or any legal or administrative Arms Export Control Act of 1976 (AECA), file the ATF Form 6- Part I electronical- difficulties arise due to the use of eForms, 22 U.S.C. 2778, gives the President the ly and obtain an approved import permit ATF may notify the person that he or she authority to control the export and import from ATF electronically via the Internet. is no longer authorized to use eForms. of defense articles and defense services ATF processes eForm online applications in furtherance of world peace and the and approves, partially approves, denies, Date approved: June 14, 2012 security and foreign policy of the United returns without action (if incomplete), or States. The authority to administer and withdraws the application (at the request 18 U.S.C. 925(d): EXCEPTIONS enforce the provisions of the GCA and of the applicant). While the applicant may

165 also file the Form 6A electronically, it is not od or procedure specifically prescribed registration process; required and the Form 6A may be submit- in the regulations when he finds that: (1) ted in the paper version even if the Form good cause is shown for the use of the 2. The applicant has received a 6 was submitted electronically. The appli- alternate method or procedure; (2) the unique user ID and created a pass- cant may obtain through the Internet elec- alternate method or procedure is within word; tronic copies of the submitted applications the purpose of, and consistent with the with ATF’s final determination, which can effect intended by, the specifically pre- 3. The applicant has agreed that be printed and furnished to CBP to affect scribed method or procedure and that the electronic signature assigned to release of the imported articles. the alternate method or procedure is them is intended as their original sig- substantially equivalent to that specifi- nature for eForms submissions; and To register to use the eForms system, cally prescribed method or applicants must access the ATF website 4. The applicant has agreed to at http://www.atfonline.gov/. This site procedure; and (3) the alternate meth- be bound by the Notices and Agree- contains the instructions necessary to od or procedure will not be contrary to ments governing the use of the access the eForms applications and to any provision of law and will not result in eForms system. register to use the system. To register, an increase in cost to the Government or the applicant must provide his or her hinder the effective administration of27 Held further, persons authorized to name, business name (if applicable), CFR Parts 478 or 479. file eForms may submit digitally scanned address, telephone number, and email copies of the original supporting state- address. Upon proper registration, ATF In addition to the mandate of GPEA, ments and documents with eForms, if issues each registrant a user identifi- ATF recognizes that, provided certain they certify, under penalties provided by cation (ID), and the registrant creates conditions are met, the use of electronic law, that the supporting documentation a password allowing access to the forms to import firearms and other de- is true, correct, and complete; provided, eForms system. Each individual regis- fense articles will more accurately and ATF will determine whether the docu- trant is issued a unique user ID that can readily disclose the information required mentation submitted is acceptable, and be applied to multiple Federal firearms to be submitted to process import appli- may require the submission of the orig- licenses or AECA registrations. After cations. It will also make it easier, less inal or additional documentation if nec- registering with the unique user ID, per- costly, and faster for importers to submit essary; provided further, ATF may deny sons filing permit applications on behalf their applications, and for ATF to process a permit application when an applicant of an FFL or an import registrant under those applications. ATF therefore finds fails to submit legible copies of original the AECA must request to be associat- that there is good cause to authorize statements or documents, or fails to pro- ed with the applicable Federal firearms a variance from the paper importation vide original and/or additional supporting license or AECA registration number application requirements of the Federal statements or documents upon request. using the “My Profile” function of the firearms regulations. ATF also finds that, eForms system. provided certain conditions are met, the Held further, if ATF finds that an alternate method set forth in this ruling eForms user has failed to abide by the The eForms system requires individu- is within the purposes of, and consistent conditions of this ruling, uses any pro- als, FFLs and registered importers to at- with the provisions of 27 CFR 447.42, cedure that hinders the effective admin- test that the information submitted is true 447.45, 478.112, 478.113, 478.113a, istration of the Federal firearms laws or and correct, subject to penalties pro- 478.116, 478.119, 479.111,479.112, and regulations, or any legal or administra- vided by law, and confirm their ATF-is- 479.113, because the same required in- tive difficulties arise due to the use of sued electronic credentials to complete formation is captured on the applicable eForms, ATF may notify the person that the application process. Specifically, to eForm, which is electronically signed he or she is no longer authorized to use complete the application process, an under penalties provided by law. Further, eForms. applicant is required to declare first that this alternate method is not contrary to all statements contained in the applica- any provision of law, will not increase Date approved: July 10, 2013 tion are true and correct and that he or costs to ATF, and will not hinder the ef- she has read, understood, and complied fective administration of the regulations. 26 U.S.C. 5811 - 5812: TRANSFERS with the conditions and instructions for the application being submitted. Sec- Held, pursuant to 27 CFR 478.22 and 26 U.S.C. 5821 - 5822: MAKING ond, the applicant is required to declare 479.26, ATF authorizes an alternate meth- that he or she authorizes the transmit- od or procedure from the provisions of 27 26 U.S.C. 5841: REGISTRATION OF tal via the eForms system of data that CFR 447.42, 447.45, 478.112, 478.113, FIREARMS may constitute tax return information, 478.113a, 478.116, 478.119, 479.111, as defined in section 6103 of the In- 479.112, and 479.113 that require the fil- 26 U.S.C. 5844: IMPORTATION ternal Revenue Code, Title 26, U.S.C. ing of applications to import firearms, am- Applicants are not required to use the munition, and other defense articles in pa- 26 U.S.C. 5851 - 5854: EXEMPTIONS eForms system and, in certain circum- per form. Specifically, individuals, Federal stances, may not be able to participate. firearms licensees, and registered import- 27 CFR 479.26: ALTERNATE METH- Applicants may continue to submit ATF ers of articles enumerated on the USMIL ODS OR PROCEDURES forms on paper in accordance with the may file ATF Form 6-Part I and Form 6A instructions on the form. electronically using ATF eForms, provided 27 CFR 479.61 - 479.64: TAX ON the following conditions are met: MAKING FIREARMS Under 27 CFR 478.22 and 479.26, the Director may approve an alternate 1. The applicant has registered 27 CFR 479.68 - 479.70: EXCEP- method or procedure in lieu of a meth- with ATF by completing the on-line TIONS TO TAX ON MAKING FIRE-

166 ARMS CFR Part 479. The following forms are the completion of the Law Enforcement used by persons to register NFA firearms Certification that is required with the 27 CFR 479.71: REGISTRATION in the NFRTR, and pay associated taxes: submission of an ATF Form 1, 4, or 5 by an individual. Therefore, individuals may 27 CFR 479.81 - 479.86: TRANSFER 1. ATF Form 1 (5320.1), Applica- not submit ATF Forms 1, 4, and 5 elec- TAX tion to Make and Register a Firearm. tronically to ATF.

27 CFR 479.88 - 479.91: EXEMP- 2. ATF Form 2 (5320.2), Notice of To register to use the eForms system, TIONS RELATING TO TRANSFERS Firearms Manufactured or Imported. applicants must access the ATF website OF FIREARMS at http://www.atfonline.gov/. This site 3. ATF Form 3 (5320.3), Appli- contains the instructions necessary to 27 CFR 479.101, 479.103, 479.104, cation for Tax-Exempt Transfer of access eForms and register to use the 479.112: REGISTRATION OF FIRE- Firearm and Registration to Special system. To register, the applicant must ARMS Occupational Taxpayer (National provide his or her name, business name Firearms Act). (if applicable), address, telephone num- 27 CFR 479.114 - 116: EXPORTATION ber, and email address. Upon proper 4. ATF Form 4 (5320.4), Applica- registration, ATF issues each registrant a The Bureau of Alcohol, Tobacco, tion for Tax Paid Transfer and Regis- user identification (ID), and the registrant Firearms and Explosives (ATF) au- tration of Firearm. creates a password allowing access to thorizes an alternate method or the eForms system. Each individual reg- procedure from the provisions of 5. ATF Form 5 (5320.5), Appli- istrant is issued a unique user ID that can Title 27, Code of Federal Regula- cation for Tax Exempt Transfer and be applied to multiple Federal firearms tions (CFR), sections 479.61-479.64, Registration of Firearm. licenses. After registering with the unique 479.68-479.71, 479.81-479.86, 479.88- user ID, persons filing NFA fo1ms on be- 479.91, 479.101, 479.103, 479.104, 6. ATF Form 9 (5320.9), Applica- half of an FFL must request to be associ- and 479.112-479.116 that require the tion and Permit for Permanent Expor- ated with the applicable Federal firearms filing of paper forms to make,- man tation of Firearms. license using the “My Profile” function of ufacture, import, transfer, export, or the eForms system. register National Firearms Act (NFA) 7. ATF Form 10 (5320.10), Appli- firearms. Specifically, Federal fire- cation for Registration of Firearms The eForms system requires applicants arms licensees (FFLs), legal entities, Acquired by Certain Governmental to attest that the information submitted is and government agencies may file Entities. true, correct, and complete, subject to ATF Forms 1, 2, 3, 4, 5, 9, and 10 using penalties provided by law, and confirm ATF eForms, provided all of the con- In accordance with the mandate of their ATF-issued electronic credentials to ditions set forth in this ruling are met. the Government Paperwork Elimination complete the application process. Specifi- Persons authorized to file eForms Act (GPEA), 44 U.S.C. 3504, ATF has cally, to complete the application process, may submit digitally scanned copies expanded the forms that may be elec- an applicant is required to declare first that of the original supporting statements tronically filed to include the above stat- all statements contained in the applica- and documents with eForms, if they ed NFA forms. ATF’s eForms program tion are true and correct, and that he or certify, under penalties provided by enables applicants, with certain restric- she has read, understood, and complied law, that the supporting documenta- tions depending on the form, to elec- with the conditions and instructions for the tion is true, correct, and complete. tronically file these forms and download form being submitted. Second, the appli- the finalized applications or notices from cant is required to declare that he or she ATF Rul. 2013-2 ATF electronically via the Internet. ATF authorizes the transmittal via the eForms processes eForms online applications, system of data that may constitute tax The NFA, Title 26, United States Code and approves, denies, or withdraws the return information, as defined in section (U.S.C.), Chapter 53, requires the registra- application (at the request of the appli- 6103 of the Internal Revenue Code, Title tion in the National Firearms Registration cant). The electronic copy with ATF’s 26, U.S.C. Applicants are not required to and Transfer Record (NFRTR) of certain final approval must be printed by the use the eForms system, and in certain firearms, such as machineguns, short-bar- applicant as proof of registration as re- circumstances, may not be able to par- reled rifles, short-barreled shotguns, and quired by 26 U.S.C. 5841(e) and 27 CFR ticipate. As noted, NFA forms that require silencers. The NFA regulates the making, 479.10l(e). Applicants may attach sup- photographs, fingerprints, or the Law En- manufacture, importation, transfer, and porting documentation with their sub- forcement Certification cannot be submit- exportation of these firearms. Any making, mitted eForms applications, notices, or ted electronically. Applicants may continue transfer, importation, or exportation of an returns. The supporting documentation to file ATF fo1ms on paper in accordance NFA firearm must be approved by ATF pri- will be treated as an original document with the instructions on the form. or to the activity taking place. with the electronic filing. As provided in 27 CFR 479.26, the Di- The regulations at 479.62, 479.70, Persons engaged in the business of rector may approve an alternate method 479.84, 479.88, 479.90, 479.103, importing, manufacturing or dealing in or procedure in lieu of a method or proce- 479.104, 479.112, and 479.114 require firearms, or a government agency or le- dure specifically prescribed in the regula- persons and governmental entities who gal entity (e.g., a trust), may use eForms tions when he finds that: (1) good cause is request to make, manufacture, import, in accordance with the instructions for shown for the use of the alternate method transfer, export, or register NFA firearms the applicable eForm. Currently, the or procedure; (2) the alternate method or to file certain forms with the information eForms system is not able to accept fin- procedure is within the purpose of, and con- specified in Federal regulations at 27 gerprint cards or photographs or to verify sistent with the effect intended by, the spe-

167 cifically prescribed method or procedure 4. The applicant has agreed to thorizes licensed manufacturers and that the alternate method or procedure be bound by the Notices and Agree- and licensed importers of firearms, is substantially equivalent to that specifical- ments governing the use of the and makers of National Firearms ly prescribed method or procedure; and (3) eForms system. Act (NFA) firearms, to adopt the se- the alternate method or procedure will not rial number, caliber/gauge, and/or be contrary to any provision of law and will Held further, persons authorized to model already identified on a firearm not result in an increase in cost to the Gov- file eForms may submit digitally scanned without seeking a marking variance, ernment or hinder the effective administra- copies of the original supporting state- provided all of the conditions in this tion of27 CFR Part 479. ments and documents with eForms, if ruling are met. Licensed manufac- they certify under penalties provided by turers seeking to adopt all of the re- In addition to the mandate of GPEA, law, that the supporting documentation quired markings, including the orig- ATF recognizes that, provided certain con- is true, correct, and complete; provided, inal manufacturer’s name and place ditions are met, the use of electronic forms ATF will determine whether the docu- of origin, must receive an approved to make, manufacture, import, transfer, ex- mentation submitted is acceptable, and variance from ATF. ATF Ruling 75-28 port, or register NFA firearms or pay SOT may require the submission of the origi- is superseded, and ATF Industry Cir- will more accurately and readily disclose nal or additional documentation if neces- cular 77-20 is clarified. the information required to be submitted sary; provided further , ATF may deny a to process such applications. It will also registration application when an applicant ATF Rul. 2013-3 make it easier, less costly, and faster for fails to submit legible copies of original persons to submit their NFA applications statements or documents, or fails to pro- ATF has received numerous inquiries and for ATF to process those applications. vide original and/or additional supporting from manufacturers and importers of fire- ATF therefore finds that there is good statements or documents upon request. arms, and makers of NFA firearms (mak- cause to authorize a variance from the ers), asking if they can adopt the existing paper filing requirements of the Federal Held further, if ATF finds that an markings that were placed on a firearm by firearms regulations. ATF also finds that, eForms user has failed to abide by the the original manufacturer. They ask spe- provided certain conditions are met, the conditions of this ruling, uses any pro- cifically if they may use the existing serial alternate method set forth in this ruling is cedure that hinders the effective admin- number, caliber/gauge, and model already within the purposes of, and consistent with istration of the Federal firearms laws or placed on a firearm instead of marking this the provisions of 27 CFR, 479.61-479.64, regulations, or any legal or administrative information on the firearm when they fur- 479.68-479.71, 479.81-479.86, 479.88- difficulties arise due to the use of eForms, ther manufacture or import the firearm. 479.91, 479.101, 479.103, 479.104, ATF may notify the person that he or she 479.112 and 479.114-116 because the is no longer authorized to use eForms. Some firearm manufacturers and im- same required information is captured on porters acquire receivers and assemble the applicable eForm, which is electroni- Date approved: July 10, 2013 them into completed firearms for the cally signed under penalties provided by purpose of sale or distribution. Others, law. Further, this alternate method is not 18 U.S.C. 922(k): REMOVED, OBLIT- including makers, acquire complete contrary to any provision of law, will not in- ERATED, OR ALTERED SERIAL firearms and further manufacture them crease costs to ATF, and will not hinder the NUMBER (e.g., re-barreling or machining the effective administration of the regulations. frame or receiver to accept new parts). 18 U.S.C. 923(i): IDENTIFICATION OF In either case, the firearm is already Held, pursuant to 27 CFR 479.26, FIREARMS marked with a serial number, original ATF authorizes an alternate method or manufacturer’s name, model (if desig- procedure from the provisions of 27 CFR 26 U.S.C. 5842: IDENTIFICATION OF nated), caliber or gauge (if known), and 479.61-479.64, 479.68-479.71, 479.81- FIREARMS place of origin. Many manufacturers, im- 479.86, 479.88-479.91, 479.101, porters, and makers assert that marking 479.103, 479.104, 479.112 and 479.114- 26 U.S.C. 5861(h): OBLITERATED, firearms with their own serial numbers, 116 that require the filing of paper forms REMOVED, CHANGED, OR AL- calibers/gauges, and models, in addition to make, manufacture, import, transfer, TERED SERIAL NUMBER to the existing markings, is costly and export, or register NFA firearms. Specif- burdensome. They also contend that ically, FFLs, legal entities, and govern- 27 CFR 478.92(a)(1): IDENTIFICA- multiple markings are confusing for re- ment agencies may file ATF Forms 1, 2, TION OF FIREARMS cordkeeping and tracing purposes. 3, 4, 5, 9, and 10 using ATF eForms, provided the following conditions are met: 27 CFR 478.92(a)(4)(i): ALTERNATE The Gun Control Act of 1968 at Title 18 MEANS OF IDENTIFICATION United States Code (U.S.C.) 923(i) pro- 1. The applicant has registered vides, in part, that licensed manufacturers with ATF by completing the on-line 27 CFR 478.112(d): IMPORTATION and licensed importers must identify each registration process; BY A LICENSED IMPORTER firearm manufactured or imported by a serial number in the manner prescribed by 2. The applicant has received a 27 CFR 479.102(a): IDENTIFICATION regulation. The NFA at 26 U.S.C. 5842 pro- unique user ID and created a password; OF FIREARMS vides, in relevant part, that manufacturers, importers, and anyone making a firearm 3. The applicant has agreed that 27 CFR 479.102(c): ALTERNATE shall identify each firearm manufactured, the electronic signature assigned to MEANS OF IDENTIFICATION imported, or made by a serial number, them is intended as their original sig- the name of the manufacturer, importer, nature for eForms submissions; and The Bureau of Alcohol, Tobacco, or maker, and such other identification Firearms and Explosives (ATF) au- prescribed by regulation. Title 27 Code

168 of Federal Regulations (CFR) 478.92(a) to licensees and law enforcement, and turer’s serial number if the importer (1) and 479.102(a) further require the li- potentially hinder effective tracing of receives two or more firearms with censed manufacturer, licensed importer, firearms. Licensees use the markings the same serial number; or maker of a firearm to legibly identify to effectively maintain their firearms in- each firearm manufactured, imported, or ventories and required records. Law en- 4. The serial number adopted must made by engraving, casting, stamping forcement officers use the markings to be comprised of only a combination (impressing), or otherwise conspicuously trace specific firearms involved in crimes of Roman letters and Arabic numer- placing the individual serial number on the from the manufacturer, importer, or mak- als, or solely Arabic numerals, and frame or receiver, and certain additional er to individual purchasers. The mark- can include a hyphen, that were con- information - the model (if designated), ings also identify particular firearms that spicuously placed on the firearm; and caliber/gauge, manufacturer/importer’s have been lost or stolen and help prove name, and place of origin - on the frame, in certain criminal prosecutions that fire- 5. If the caliber or gauge was not receiver, or barrel. Both regulations re- arms used in a crime have travelled in identified or designated (e.g., marked quire the serial number to be at a minimum interstate or foreign commerce. “multi”) on the firearm, the manufac- depth and print size, and the additional in- turer, importer, or maker must legibly formation to be at a minimum depth. Fur- Often there is little space available and conspicuously mark the frame, ther, the serial number must be placed in on a pistol frame to mark the additional receiver, barrel, or pistol slide (if ap- a manner not susceptible of being readily information, and the pistol barrel is en- plicable) with the actual caliber/gauge obliterated, altered, or removed, and not closed by a slide. Thus, it is reasonable once the caliber or gauge is known. duplicate any serial number placed by the to allow licensed manufacturers and li- licensed manufacturer, licensed importer, censed importers to mark the slide with Held further, licensed manufactur- or maker on any other firearm. Under 18 the additional information required by the ers seeking to adopt all of the required U.S.C. 922(k) and 26 U.S.C. 5861(g), it is regulations. Therefore, ATF also finds markings, including the original manu- unlawful for any person to possess or re- that marking the additional information facturer’s name and place of origin, must ceive any firearm which has had the serial (i.e., make, model, caliber/gauge, man- receive an approved variance from ATF. number removed, obliterated, or altered. ufacturer/importer’s name, and place of origin) on the slide of a pistol is reason- All prior rulings regarding the adop- Under 27 CFR 478.112(d), licensed able and will not hinder the effective ad- tion of markings on firearms, including importers must place all required iden- ministration of the regulations. ATF Ruling 75-28 (ATF C.B. 1975, 59), tification data on each firearm imported, are hereby superseded. ATF Industry and record that information in the re- Held, pursuant to 27 CFR 478.92(a) Circular 77-20 is hereby clarified. quired records within fifteen days of the (4)(i) and 479.102(c), ATF authorizes li- date of release from Customs custody. censed manufacturers and licensed im- Date approved: July 10, 2013 As explained in ATF Ruling 2012-1 (ap- porters of firearms, and makers, to adopt proved January 12, 2012), it is reason- the serial number, caliber/gauge, and/or 18 U.S.C. 921(a)(1): DEFINITIONS able for licensed manufacturers to have model already identified on a firearm with- seven days following the date of comple- out seeking a marking variance, provided 18 U.S.C. 923(g)(1)(A): LICENSING tion (to include a firearm in knockdown all of the following conditions are met: condition, or a frame or receiver to be 27 CFR 478.22: ALTERNATE METH- sold, shipped, or disposed of separately) 1. The manufacturer, importer, or ODS OR PROCEDURES in which to mark a firearm manufactured, maker must legibly and conspicuous- and record its identifying information in ly place on the frame, receiver, barrel, 27 CFR 478.121: RECORDS RE- the manufacturer’s permanent records. or pistol slide (if applicable) his/her QUIRED - GENERAL own name (or recognized abbrevia- Licensed manufacturers, licensed im- tion) and location (city and State, or 27 CFR 478.122: RECORDS MAIN- porters, and makers may seek approv- recognized abbreviation of the State) TAINED BY IMPORTERS al from ATF to use an alternate means as specified under his/her Federal of identification of firearms (marking firearms license (if a licensee); 27 CFR 478.123: RECORDS MAIN- variance). The regulations at 27 CFR TAINED BY MANUFACTURERS 478.92(a)(4)(i) and 479.102(c) provide 2. The serial number adopted must that the Director of ATF may authorize have been marked in accordance 27 CFR 478.124: FIREARMS TRANS- other means of identification upon re- with 27 CFR 478.92 and 479.102, in- ACTION RECORD ceipt of a letter application showing that cluding that it must not duplicate any such other identification is reasonable serial number adopted or placed by 27 CFR 478.125: RECORD OF RE- and will not hinder the effective admin- the manufacturer, importer, or maker CEIPT AND DISPOSITION istration of 27 CFR Parts 478 and 479. on any other firearm; 27 CFR 478.127: DISCONTINUANCE ATF finds, under the conditions set 3. The manufacturer, importer, or OF BUSINESS forth in this ruling, that allowing licensed maker must not remove, obliterate, manufacturers and licensed importers or alter the importers’ or manufac- 27 CFR 479.26: ALTERNATE METH- of firearms, and makers to adopt the turer’s serial number to be adopted, ODS OR PROCEDURES serial number, caliber/gauge, and/or except that, within 15 days of the date model already marked on the firearm of release from Customs custody, a 27 CFR 479.131: RECORDS is reasonable and will not hinder the ef- licensed importer must add letters, fective administration of the regulations. numbers, or a hyphen (as described The Bureau of Alcohol, Tobacco, Fire- Multiple serial numbers are confusing in paragraph 4) to a foreign manufac- arms and Explosives (ATF) authorizes

169 an alternate method or procedure to that such records shall be maintained in from whom the curio or relic was received, the firearms acquisition and dispo- the form and manner prescribed by 27 the name of the manufacturer and import- sition recordkeeping requirements CFR 478.124 and 27 CFR 478.125. er (if any), the model, serial number, type, contained in Title 27, Code of Federal and the caliber or gauge of the firearm cu- Regulations (CFR) 478.121, 478.122(a), The regulation at 27 CFR 478.123(a) rio or relic. This section further requires a 478.123(a), 478.125(e), 478.125(f), and requires a licensed manufacturer to re- collector to record the date of the sale or 27 CFR 479.131. Specifically, ATF au- cord the type, model, caliber or gauge, other disposition of each firearm curio or thorizes licensed importers, licensed and serial number of each complete fire- relic, the name and address of the person manufacturers, licensed dealers, and arm manufactured or otherwise acquired to whom the firearm curio or relic is trans- licensed collectors to maintain their and the date of such manufacture or oth- ferred, or the name and license number firearms acquisition and disposition er acquisition. This information must be of the person to whom transferred if such records electronically instead of in pa- recorded not later than the seventh day person is a licensee, and the date of birth per format provided the conditions set following the date of such manufacture of the transferee if other than a licensee. forth in this ruling are met. This ruling or other acquisition was made. Further, This information must be entered not lat- supersedes ATF Rul. 2008-2, Records 27 CFR 478.123(b) requires a manufac- er than seven days following the date of Required for Firearms Licensees. turer to record the disposition of firearms such transaction, and must be maintained to another licensee showing the quantity, in bound form under the format prescribed ATF Rul. 2013-5 type, model, manufacturer, caliber, size by 27 CFR 478.125(f). or gauge, serial number of the firearms ATF has received inquiries from mem- transferred, the name and license number The regulation at 27 CFR 479.131 re- bers of the firearms industry seeking to of the licensee to whom the firearms were quires each manufacturer, importer, and maintain their required firearms acquisi- transferred, and the date of the transac- dealer in National Firearms Act (NFA), 26 tion and disposition records electronically tion. This information must be entered in U.S.C., Chapter 53, firearms to keep and on a computer, rather than in paper form. the proper record book not later than the maintain records regarding the manufac- seventh day following the transaction date, ture, importation, acquisition (whether by The Gun Control Act of 1968 (GCA), Ti- and must use the record format prescribed making, transfer, or otherwise), receipt, tle 18, United States Code (U.S.C.), section by 27 CFR 478.122, except that the name and disposition of NFA firearms as de- of the manufacturer need not be record- scribed by 27 CFR Part 478. 923(g)(1)(A), and the implementing ed if the firearm is of the licensee’s own regulations at 27 CFR 478.121, provide, in manufacture. Also, 27 CFR 478.123(d) Licensees may seek ATF approval to part, that each licensed importer, licensed requires that each licensed manufacturer use an alternate method or procedure to manufacturer, licensed dealer, and li- maintain separate records of dispositions record the acquisition and disposition of censed collector (licensee) must maintain of firearms to non-licensees in the format firearms. Pursuant to 27 CFR 478.122(c), records of importation, production, ship- specified by 27 CFR 478.123(c), and 478.125(h), ATF may au- ment, receipt, sale, or other disposition of thorize alternate records of firearms, as firearms at the licensed premises for such 478.124 and 27 CFR 478.125. well as acquisition, when it is shown by period, and in such form, as the Attorney the licensee that the alternate records will General by regulations prescribe. The regulation at 27 CFR 478.125(e) accurately and readily disclose the infor- requires a licensed dealer to record, no mation required to be maintained. The regulation at 27 CFR 478.122(a) later than the close of the next business requires a licensed importer to record, day following the date a firearm was re- The regulations at 27 CFR 478.22 and within 15 days of the date of importation ceived, the date of receipt, name and 27 CFR 479.26, provide that the Director or other acquisition, the type, model, address or the name and license num- may approve an alternate method or pro- caliber or gauge, manufacturer, country ber of the person from whom the firearm cedure in lieu of a method or procedure of manufacture, and the serial number was received, name of the manufac- specifically prescribed in the regulations of each firearm imported or otherwise turer and importer (if any), model, seri- when he or she finds that: (1) good cause is acquired, and the date of importation al number, type, and caliber or gauge. shown for the use of the alternate method or other acquisition. Further, 27 CFR This section further requires a dealer to or procedure; (2) the alternate method or 478.122(b) requires a licensed importer record the disposition of firearms show- procedure is within the purpose of, and con- to record the disposition of firearms to ing the date of sale or other disposition, sistent with the effect intended by, the spe- another licensee showing the quantity, and the name and address or the name cifically prescribed method or procedure, type, manufacturer, country of manu- and license number (if a licensee) of the and that the alternate method or procedure facture, caliber or gauge, model, serial person to whom the firearm was trans- is substantially equivalent to that specifical- number of the firearms transferred, the ferred. This information must be entered ly prescribed method or procedure; and (3) name and license number of the licensee not later than seven days following the the alternate method or procedure will not to whom the firearms were transferred, date of such transaction, and must be be contrary to any provision of law and will and the date of the transaction. This in- maintained in bound form under the for- not result in an increase in cost to the Gov- formation must be entered in the proper mat prescribed by 27 CFR 478.125(e). ernment or hinder the effective administra- record book not later than the seventh tion of 27 CFR Part 478 or 479. day following the date of the transac- Additionally, 27 CFR 478.125(f) re- tion, and such information must be requires a licensed collector to record, not ATF understands that using computers corded in the format prescribed by 27 later than the close of the next business to record and maintain firearms acquisi- CFR 478.122. Also, 27 CFR 478.122(d) day following the date of purchase or oth- tion and disposition records saves time provides that a licensed importer must er acquisition of a curio or relic, the date and money in bookkeeping and auditing maintain separate records of disposi- of receipt, the name and address or the expenses. Most businesses computerize tions of firearms to non-licensees, and name and license number of the person inventory, sales, customer lists, and other

170 business records. This allows companies number may be used instead of the 8. If a licensee downloads the re- to automate inventories, using technology address for recording the transfer of a cords on a portable storage device such as bar codes or radio frequency iden- firearm to a non-licensee if such forms (e.g., Compact Disc (CD), Digital Ver- tification (RFID) chips. Furthermore, this are filed numerically. satile Disc (DVD), or Universal Serial technology may facilitate better account- Bus (USB) Flash Drive), the download ability of inventory, and reduce the poten- 2. The system must retain any must be retained on the portable stor- tial for accounting errors. Computerized correction of errors as an entirely age device until the next download is records also facilitate tracing and tracking new entry, without deleting or mod- prepared. Additionally, the licensee of firearms through licensee inventories, ifying the original entry (e.g., macro must be able to present the most cur- thus reducing time spent by ATF officials created to track changes). Alterna- rent version of the requested records examining records during the inspection tively, the system may allow for en- in a printed format at ATF’s request. process. Additionally, the search capabil- tries in a “notes” column to explain ity of electronically stored records makes any correction and/or track changes 9. Electronic firearms acquisi- it easier and faster for licensees to locate (i.e., what was changed, who made tion and disposition records may be specific records and respond to ATF trace the change, why the change was stored on a computer server owned requests. Therefore, ATF finds that there needed). ATF suggests that the re- and operated solely by the person (as is good cause to authorize a variance from cordkeeping system be capable of defined by 18 U.S.C. section 921(a) the firearms acquisition and disposition re- blocking fields from correction (e.g., (1)) holding the license, provided that cordkeeping requirements of the Federal protect workbook function). the records are readily accessible firearms regulations. through a computer device located at 3. The system cannot rely upon the licensed premises during regular ATF also finds that, provided certain invoices or other paper/manual sys- business hours. The server must be conditions are met, the alternate method tems to provide any of the required located within the United States. set forth in this ruling is within the purpose information. of and consistent with the provisions of 10. The system must back-up the 27 CFR 478.121, 478.122, 478.123, 4. The system must allow queries firearms acquisition and disposition 478.125(e) and 478.125(f), and 27 CFR by serial number, acquisition date, records on a daily basis to protect the 479.131, because the same required in- name of the manufacturer or importer, data from accidental deletion or sys- formation will be captured in the electron- name of the purchaser, and address tem failure. ic acquisition and disposition record. Fur- of purchaser or other transferee. ther, this alternate method is not contrary 11. Upon discontinuance of a li- to any provision of law, will not increase 5. The licensee must print or down- cense, the licensee must provide costs to ATF, and will not hinder the ef- load all records from the system: an American Standard Code for In- fective administration of the regulations. formation Interchange (ASCII) text a. at least semiannually; file (in conformity with industry stan- Held, pursuant to 27 CFR 478.22, dards) containing all acquisition and 478.122(c), 478.123(c), 478.125(h), and b. upon request of an ATF officer disposition records, and a file de- 27 CFR 479.26, ATF authorizes an alter- (must be provided within 24 hours); scription, to ATF Out-of-Business Re- nate method or procedure to the paper cords Center, in accordance with 27 bound firearms acquisition and disposi- c. prior to discontinuance of the CFR 478.127. The complete printout tion recordkeeping requirements of 27 database; and and ASCII text file (and file descrip- CFR 478.122, 478.123, 478.125(e), and tion) must contain all information pre- 478.125(f), and 27 CFR 479.131. Spe- d. prior to discontinuance of the scribed by regulation. cifically, ATF authorizes licensed import- licensee’s firearms business. ers, licensed manufacturers, licensed All laws, regulations, policies, and pro- dealers, and licensed collectors to main- The printouts/downloads must in- cedures applicable to the paper form of tain their firearms acquisition and dispo- clude all firearms in inventory, as well as the firearms acquisition and disposition sition records electronically, provided all all firearms transferred during the period records also apply to electronic versions. of the following conditions are met. covered, sequentially by date of acquisi- Licensees are not required to use an tion, and must be limited to display only electronic acquisition and disposition re- 1. The licensee records in the com- the information required by the appli- cord, and may continue to use a paper puter system all of the acquisition and cable regulations. The printouts/ down- record in the format prescribed by regula- disposition information required by loads may contain additional columns tion. Licensees are reminded of their re- 27 CFR 478.121, 478.122, 478.123, capturing certain additional information, sponsibility to ensure accuracy and com- 478.125(e) and 478.125 (f), and 27 provided that the required information is pleteness of all of their required records. CFR 479.131, as applicable. Required readily apparent. information includes a record of both Held further, if the licensee fails to abide the manufacturer and the importer of 6. If the licensee prints out the re- by the conditions of this ruling, uses any foreign-made firearms (if any). Addi- cords, the printout must be retained tional columns can be utilized to cap- until the next printout is prepared. procedure that hinders the effective ad- ture certain additional information (e.g. ministration of the Federal firearms laws inventory number, new/used, etc.), so 7. Printouts may include antique or regulations, or any legal or administra- long as the additional information is firearms, but cannot include other tive difficulties arise due to the use of an separate from the required information merchandise. However, antique fire- electronic acquisition and disposition re- and the required information is readi- arms must be identified as such in the cord, the licensee is no longer authorized ly apparent. An ATF Form 4473 serial “firearm type” column. to maintain acquisition and disposition re-

171 cords electronically under this ruling until government agencies. A manufacturer of parts from which a machinegun can be all conditions of this ruling are met. may deliver machineguns it has manu- assembled if such parts are in the posses- factured to another qualified manufac- sion or under the control of a person. While This ruling supersedes all previous rul- turer for any manufacturing process; the GCA does not define “transfer,” case ings regarding alternate methods or pro- provided, the first manufacturer main- law interprets this term to mean a change cedures for electronically maintaining fire- tains continuous dominion or control in dominion or control of a firearm. See arms acquisition and disposition records, over the machineguns. A manufacturer ATF Rul. 2010-1 (approved May 20, 2010). including ATF Rul. 2008-2, Records Re- may transfer machineguns it has man- Under the NFA, the term “transfer” is de- quired for Firearms Licensees, approved ufactured for present or future sale to fined by 26 U.S.C. 5845(j) to include sell- August 25, 2008. Further, the references a Federal, State, or local government ing, assigning, pledging, leasing, loaning, to ATF Rul. 2008-2 in ATF Rul. 2010-8 agency to another qualified manufac- giving away, or otherwise disposing of an Consolidation of Required Records for turer for any manufacturing processes NFA firearm. Manufacturers, approved December 6, or storage; provided, the manufacturer 2010, and ATF Rul. 2011-1, Consolida- has a specific government contract or Section 922(o)(2)(A) exempts from tion of Required Records for Importers, official written request documenting section 922(o) transfer[s] to or by, or approved January 26, 2011, are hereby that it is an agent of the government possession by or under the authority of replaced to reference this ruling. agency requesting and authorizing a Federal, State, or local government such transfer. ATF Ruling 2004-2 is agency. The regulations implementing This ruling replaces and rescinds all clarified. section 922(o) further provide that qual- previously approved variances covering ified manufacturers may manufacture electronically maintaining firearms ac- ATF Rul. 2014-1 machineguns for sale or distribution to quisition and disposition records. Thus, a Federal, State, or local government if a licensee holds a previously approved The Bureau of Alcohol, Tobacco, Fire- agency so long as they are registered variance that meets the conditions of arms and Explosives (ATF) has received in the National Firearms Registration this ruling, no ATF variance approval is numerous inquiries from licensed fire- and Transfer Record (NFRTR), and their required to maintain such records. arms manufacturers asking whether ma- subsequent transfer is conditioned upon chineguns may be transferred to other and restricted to the sale or distribution Date approved: December 17, 2013 licensees involved in the manufacturing of such weapons for the official use of process and whether manufacturers may Federal, State, or local government 18 U.S.C. 921(a)(23): DEFINITIONS maintain an inventory of post-1986 ma- entities. See 27 CFR 478.36, 27 CFR (MACHINEGUN) chineguns for future transfer to Federal, 479.103 and 479.105(c). Prior to dis- State, or local government agencies. continuance of business, qualified man- 18 U.S.C. 922(o): TRANSFER AND ufacturers must transfer machineguns POSSESSION OF MACHINEGUNS In recent years, licensed firearms man- manufactured to a Federal, State or lo- ufacturers have contracted certain ma- cal governmental entity, qualified man- 26 U.S.C. 5845(b): DEFINITIONS (MA- chinegun manufacturing processes to oth- ufacturer, qualified importer, or a dealer CHINEGUN) er qualified manufacturers. Such activities qualified to possess such machineguns. may include assembly, development, test- See 27 CFR 479.105(d) and (f). 26 U.S.C. 5845(j): DEFINITIONS ing, repair, or applying special coatings and (TRANSFER) Manufacture and Possession of Ma- treatments to machineguns. Although chineguns 27 CFR 478.36: TRANSFER OR POS- some manufacturers transport and remain SESSION OF MACHINE GUNS with the machineguns during the manu- Manufacturers necessarily come to facturing process, these manufacturers “possess” machineguns during the 27 CFR 479.11: DEFINITIONS (MA- assert that it would be less costly to leave manufacturing process (assuming they CHINE GUN AND TRANSFER) machineguns with the other qualified manufacture them to completion or to a manufacturer while such processes are point where the parts constitute a ma- 27 CFR 479.103: REGISTRATION OF being conducted. In some cases, a manu- chinegun). While section 922(o) does (NFA) FIREARMS MANUFACTURED facturer may not yet have a sales contract not expressly prohibit the manufacture with the government, but desires to man- of machineguns, it would normally bar 27 CFR 479.105: TRANSFER AND ufacture and maintain an inventory of ma- possessing and maintaining an invento- POSSESSION OF MACHINE GUNS chineguns in anticipation of future sales to ry of machineguns unless those activi- the government (i.e., stockpiling). ties fall within an exception. A manufacturer licensed and qualified under the Gun Control Act (GCA) and The GCA at Title 18, United States Code The government exception, section National Firearms Act (NFA) may man- (U.S.C.), section 922(o), generally makes it 922(o)(2)(A), does not expressly state ufacture and maintain an inventory of unlawful for any person to transfer or pos- that the contemplated transfer of ma- machineguns for future sale to Feder- sess a machinegun. The term “machine- chineguns to governmental entities will al, State, or local government agencies gun” is defined under the GCA, 18 U.S.C. include machineguns produced by do- without a specific government -con 921(a)(23), and the National Firearms Act mestic manufacturers. But the fact that tract or official request; provided, the (NFA), 26 U.S.C. 5845(b), to include the section 922(o)(2)(A)’s companion pro- machineguns are properly registered, frame or receiver of any such weapon, any vision, section 922(o)(2)(B), broadly and their subsequent transfer is condi- part designed and intended solely and ex- permits “any lawful transfer or lawful tioned upon and restricted to the sale clusively, or combination of parts designed possession of a machinegun that was or distribution of such weapons for the and intended, for use in converting a weap- lawfully possessed before the date official use of Federal, State, or local on into a machinegun, and any combination this subsection takes effect” suggests

172 that section 922(o)(2)(A) is intended to at the contractor’s premises for further Held further, a manufacturer may address transfers of machineguns man- manufacture, or otherwise disposed of transfer machineguns it has manufac- ufactured or imported after the statute’s the machinegun to another manufacturer. tured for present or future sale to a Fed- effective date. There is also no evidence eral, State, or local government agency that Congress meant to require govern- Again, while section 922(o) would to another qualified manufacturer for ment agencies to import all machineguns. normally prohibit such a transfer, section assembly, development, testing, repair, 922(o)(2)(A) exempts machinegun trans- other manufacturing processes, or stor- In light of the breadth of the phrase fers “to or by” or possession “by or un- age on behalf of that government agen- “possession . . . under the authority der the authority of” a Federal, State, cy; provided, the first manufacturer has of” a government agency, and the fact or local government agency. Because the a specific government contract or official that the statute contemplates that manu- phrase, “under the authority of” only written request stating that it is an agent facturers will possess machineguns pri- modifies “possession,” a machinegun of the government agency requesting or to their transfer to the government, it can only be transferred “by” a govern- and authorizing such transfer and, in the is reasonable to read section 922(o)(2) ment agency if the agency itself transfers case of a written request, it is on official (A) as permitting manufacturers to pos- the machinegun, or another person au- government letterhead signed and dat- sess machineguns produced for future thorized to act on that agency’s behalf, as ed by an authorized government official, transfer to the government “under the a lawful agent, transfers the machinegun. includes the official’s title and position, authority of” that government agency. and includes the following statements to In addition, permitting qualified manufac- Under agency common law, the gov- document government approval: turers to maintain an inventory of weap- ernment (as principal) may authorize a ons in anticipation of future government manufacturer (as agent) to act on its be- 1. A statement that the firearms to sales is necessary to ensure that military half in accordance with the express terms be transferred are machineguns (as and law enforcement personnel have of a contract or agreement between defined by Federal law i.e., the GCA, enough machineguns available during them. A manufacturer (as agent) may 18 U.S.C. 921(a)(23), and the NFA, times of war or national emergency. then appoint another manufacturer (as 26 U.S.C. 5845(b)); subagent) to perform functions that the Delivery of Machineguns to Contrac- manufacturer has consented to perform 2. A statement that the machine- tors for, and on behalf of, the government (as guns to be transferred are particu- principal), so long as the government has larly suitable for official use by the As stated above, the GCA, section granted the first manufacturer authority to requesting Federal, State, or local 922(o), makes it generally unlawful for any do so. Therefore, assuming the machine- government agency; and person to transfer or possess a machinegun is for future sale to the government, gun. Under the GCA, a “transfer” occurs a manufacturer may transfer one or more 3. A statement that the Federal, when there is a change in dominion or con- machineguns to another for further man- State, or local government agency trol of a firearm. Thus, once a machinegun ufacture if it is expressly authorized by a requests and authorizes the manu- has been manufactured for present or fu- government agency through a specific facturer to transfer the machineguns ture sale, no transfer in violation of the GCA government contract or official written re- to and/or from other licensed manu- would occur if the registrant—the manufac- quest. Such documentation would be suf- facturers for assembly, repair, devel- turer—maintains continuous dominion and ficient to authorize a machinegun“trans - opment, testing, other manufacturing control over the machinegun. fer by” and subsequent “possession processes, or storage, as the case under the authority of” the interested may be, for that government agency. To preclude a transfer under the GCA, government department or agency. a manufacturer, including an authorized A manufacturer wishing to transfer ma- employee, may deliver the machineguns Held, a manufacturer licensed and chineguns under government authority to the other licensed manufacturer’s busi- qualified under the Gun Control Act must attach a specific government con- ness premises, remain with the machine- (GCA) and National Firearms Act (NFA) tract or official written request to the trans- guns during the performance of another may manufacture and maintain an in- fer application submitted to ATF’s National process, and return with the machineguns ventory of machineguns for future sale Firearms Act Branch and receive ATF ap- to the first manufacturer’s premises. If the to Federal, State, or local government proval before making the transfer. process takes longer than a day, the ma- agencies without a specific government chineguns must be stored in a manner so contract or official request; provided, the ATF Ruling 2004-2 (approved April 7, that only the registrant has access to them machineguns are properly registered, 2004) is hereby clarified with respect to during the overnight period. No work may and their subsequent transfer is condi- the documentation required under the be conducted on the machineguns without tioned upon and restricted to the sale or GCA for a qualified importer to temporarily the registrant’s employees being present to distribution of such weapons for the offi- transfer a lawfully imported machinegun maintain dominion and control over them. cial use of Federal, State, or local gov- for inspection, testing, calibration, repair, ernment agencies. reconditioning, further manufacture, or Transfers of Machineguns to Con- incorporation into another defense article. tractors Held further, a manufacturer may de- To the extent, this ruling may be inconsis- liver machineguns it has manufactured tent with any prior letter rulings or marking As stated above, under the GCA, a to another qualified manufacturer for as- variances, they are hereby modified. machinegun transfer would occur if there sembly, anodizing, or other manufactur- was a change in dominion or control of ing processes; provided, the first manu- Date approved: September 4, 2014 the machinegun. Thus, a transfer would facturer maintains continuous dominion occur if the manufacturer relinquished or control over the machineguns. control over a machinegun by leaving it

173 PROCEDURES

PART 178: COMMERCE IN FIREARMS (2) For example, where a licensed of the ATF Identification Number and the dealer orders firearms from a whole- replacement with the use of the Employ- (Also 26 CFR 178.94, 178.12) saler and the wholesaler requests drop er Identification Number (EIN) on all NFA shipment from the manufacturer to the transaction forms. Recordkeeping procedures for “drop dealer, a certified copy of the dealer’s shipments” of firearms and ammuni- license shall accompany the whole- Background: Section 5801 of Title 26, tion are prescribed. saler’s order to the manufacturer. The U.S.C. provides that on first engaging in manufacturer shall enter in his bound business, and thereafter on or before the ATF Proc. 75-3 record the disposition of the firearms to first day of July of each year, every im- the dealer, and the dealer shall enter the porter, manufacturer, and dealer in NFA Purpose: This ATF procedure sets acquisition of the firearms in his bound firearms shall pay the appropriate special forth the recordkeeping procedures for record reflecting receipt from the manu- (occupational) tax. In addition, section “drop shipments” of firearms (other facturer. The wholesaler, although a part 5802 requires each importer, manufac- than National Firearms Act firearms as of the business transaction, neither ac- turer, and dealer to register with the Sec- defined in section 5845(a) of Chapter quires nor disposes of the firearms and retary his name and the address of each 53, Title 26, U.S.C.) and ammunition be- would, therefore, enter nothing of the location where he will conduct business. tween federally licensed firearms deal- transaction in his bound record. The filing of ATF Form 5630.5, with pay- ers, importers, and manufacturers. ment of the appropriate tax required by NFA Firearms: Transfer of National section 5801, also accomplishes regis- Background: The Bureau has expe- Firearms Act firearms may be accom- tration requirements under section 5802. rienced difficulty in tracing firearms in plished only pursuant to the manner instances where drop shipments have outlined in Subpart F, Part 179, Title 27, The regulations at 27 CFR 179.34 been made to third parties and where the Code of Federal Regulations. require that the special tax be paid by recordkeeping procedures employed by return (ATF Form 5630.5, Special Tax the three parties do not lend themselves Inquiries: Inquiries concerning this Registration and Return) and require to easy and fast tracing of firearms and procedure should refer to its number and that all information called for on the ammunition. For this reason, the Bureau be addressed to the Firearms Industry return be provided, including the Em- has prescribed recordkeeping proce- Programs Branch. ployee Identification Number. 27 CFR dures for “drop shipments” as set forth 179.35 provides the instruction for ap- below. Editor’s Note: plying for an EIN.

Procedures: (1) Where licensee “A” The above procedure no longer ap- The regulations in 27 CFR 179.84, places an order for firearms or ammuni- plies to ammunition other than shipments 179.88, and 179.90 require that the appli- tion with licensee “B” and “B” transmits of armor piercing ammunition or ammu- cation to transfer an NFA firearm identify the order to licensee “C” for direct ship- nition for destructive devices. the special tax stamp, if any, of the trans- ment (drop shipment) to “A,” a certified feror and transferee. The regulations in copy of the license of “A” must be for- 27 CFR 179.103 and 179.112 require [75 ATF C.B. 78] warded to “C” prior to shipment of the that the notice submitted to register NFA order. On shipment of the order to “A,” firearms identify the special tax stamp 27 CFR 179.35: EMPLOYER IDENTI- “C” shall enter in his bound record the of the manufacturer or importer respec- FICATION NUMBER disposition of the firearms or ammuni- tively. Identification of the tax stamp is tion to “A.” On receipt of the shipment necessary to ensure the tax liability has (Also see 179.34, 179.84 179.88, by “A,” he shall enter the acquisition of been satisfied, that the parties are qual- 179.90, 179.103 and 179.112) the firearms or ammunition in his bound ified to import, manufacture, or deal in record. Both licensees shall make such NFA firearms, and, in certain instances, Identification Number for Special entries in the manner prescribed by regis necessary to ensure that both parties (Occupational) Taxpayer ulations. Since the actual movement of in a transfer application are entitled to an the firearms or ammunition is between exemption from the transfer tax. ATF Proc. 90-1 “C” and “A” and since “B” does not take physical possession of them, “B” In 1980, because of delays in the is- Purpose: The purpose of this ATF will make no entry in his bound record. suance of special tax stamps resulting procedure is to inform Federal Firearms However, “B” should make appropriate in the inability of special taxpayers to licensees who have paid the special (oc- entries or notations in his commercial re- conduct business operations, ATF Pro- cupational) tax to import, manufacture, cords to reflect the transaction. cedure 80-6 was implemented. This pro- or deal in National Firearms Act (NFA) cedure notified taxpayers that they could firearms of the discontinuance of the use

174 obtain an ATF identification number Federal firearms licensees (FFLs) who (4) the FFL must maintain the which should be used in lieu of the IRS facilitate the transfer of firearms between Form 4473 in accordance with 27 special tax stamp number on all NFA private unlicensed individuals. This pro- CFR 478.129(b). transaction forms. This procedure was cedure does not apply to pawn transac- established to facilitate the processing tions, consignment sales, or repairs. The FFL must record “Private Party of NFA forms and to eliminate the delay Transfer” on the form to ensure it can caused by the time period required for Background: On January 16, 2013, be determined which transaction records IRS processing of the special tax stamp. ATF issued an Open Letter to all FFLs correspond with private party transfers encouraging them to facilitate the trans- in the FFL’s A&D record. If “Private Par- ATF has recently taken over the col- fer of firearms between private individu- ty Transfer” is not noted on the form, lection of special tax from the Internal als to enhance public safety and assist and there is no corresponding entry in Revenue Service, and is now issuing the law enforcement. This procedure ex- the A&D record, ATF may conclude that special tax stamps. The number used to pands and modifies the guidance pro- the FFL has transferred a firearm with- identify the special tax stamp is the EIN. vided in that letter with respect to private out making appropriate entries in the firearms transfers facilitated by FFLs. A&D record. Identification: Because the number As explained in the letter, unlicensed used to identify the special tax stamp persons do not have the ability to use Procedure - Immediate “Proceed” is the EIN, this number must appear NICS to conduct background checks on Transactions: on all forms (applications, notices, and prospective transferees (buyers) and, returns) involving NFA firearms. The consequently, have no comprehensive • If the FFL receives an immediate problems that caused the implementa- way to confirm whether or not the trans- “proceed” response from NICS, the tion of the procedure in 1980 have been feree (buyer) is prohibited from receiv- FFL enters the firearm into the A&D re- resolved. In fact, the assignment of an ing or possessing a firearm. In addition, cord as an acquisition from the private ATF identification number is now dupli- several states have laws which prohibit party (seller) in accordance with 27 CFR cative and requires more paperwork of the transfer of firearms between private 478.1 22, 478.123, and 478.125. the taxpayer. Accordingly, the use of the individuals unless a NICS check is con- ATF identification number is no longer ducted on the transferee (buyer). • The FFL completes Section D of the necessary and is discontinued. Form 4473 and transfers the firearm to Title 18, United States Code (U.S.C.). the transferee (buyer). ATF Procedure 80-6 is cancelled. section 922(t)(l )(A) requires FFLs to contact NICS before completing the transfer • The FFL records the disposition of Inquiries: Inquiries regarding this of a firearm to an unlicensed person. Title the firearm out of the A&D record to the ATF procedure should refer to its num- 27, Code of Federal Regulations (CFR) transferee (buyer) no later than seven ber and be addressed to the Bureau of sections 478.102, 478.122, 478.123, days following the transaction. Alcohol, Tobacco and Firearms, Chief, 478.124, and 478.125 set forth the re- National Firearms Act Branch, Martins- cordkeeping and background check re- Procedure - “Denied” or “Cancelled” burg, West Virginia. quirements with which FFLs must com- Transactions: ply to conduct firearms transactions. As Editor’s Note: provided by 18 U.S.C. 922(t)(1), an FFL • If the FFL receives a “denied” or may only conduct a NICS check in con- “cancelled’’ response from NICS, the nection with a proposed firearm transfer firearm cannot be transferred to the pro- ATF Form 5630.5 has been replaced by the FFL. For an FFL to lawfully com- spective transferee (buyer). If the private by ATF Form 5630.7, Special Tax Reg- plete the transfer of a firearm, the FFL pa1ty (seller) has not relinquished pos- istration and Return National Firearms must first take the firearm into inventory, session, he or she may leave the busi- Act (NFA). and record it as an acquisition in the ac- ness premises with the firearm. The FFL quisition and disposition (A&D) record. would not enter the firearm as an acqui- [ATFB 1990-1 55] sition into the A&D record. The procedures below must be fol- PART 478: COMMERCE IN FIRE- lowed when the private party (seller) • If, for whatever reason, the private ARMS takes a firearm to an FFL with the pro- party (seller) leaves the firearm in the spective transferee (buyer) to conduct a exclusive possession of the FFL at the (18 U.S.C. 922(t), 922(b)(2), 922(z); transaction. In all cases- FFL’s business premises, the FFL must: 27 CFR 478.58, 478.102, 478.122, (1) record the firearm as an acquisition 478.123, 478.124, 478.125, 478.126a, (1) the prospective transferee in the A&D record from the private par- 478.129) (buyer) must complete Section A of a ty (seller), in accordance with 27 CFR Firea1ms Transaction Record , ATF 478.122, 478.123, and 478.125; (2) Recordkeeping and background Form 4473; complete a Form 4473 to return the fire- check procedures for facilitation of arm to the private party (seller); private party firearms transfers. (2) the FFL must complete Section B of the Form 4473, conduct a NICS (3) conduct a NICS background ATF Proc. 2013-1 check on the prospective transferee check on the private party (seller), (buyer), and record the response; and receive either a “proceed” re- Purpose: The purpose of this ATF pro- sponse or no response after three cedure is to set forth the recordkeeping (3) the FFL must record the words business days (or appropriate State and National Instant Criminal Background “Private Party Transfer” on the ATF waiting period), prior to returning the Check System (NICS) procedures for Form 4473, Item 30c; and firearm; and

175 (4) record the return as a disposi- • If the transfer of the firearm takes and Revolvers: As provided by 27 CFR tion in the A&D record no later than place on a different day from the date 478.126a, the FFL must complete an seven days following the transaction. that the prospective transferee (buyer) ATF Form 3310.4 and report all trans- signed Section A, the FFL must again actions in which an unlicensed person Procedure— “Delayed” Transactions check the photo identification of the acquires, at one time or during five con- Without a Subsequent Denial: prospective transferee (buyer) at the secutive business days, two or more FFL’s licensed business premises, and pistols or revolvers. The form is not re- • If the FFL receives a “delayed” the prospective transferee (buyer) must quired when the pistols or revolvers are response from NICS, the private party complete the recertification in Section C returned to the same person from whom (seller) has the option to: of the Form 4473 immediately prior to they were received. the transfer of the firearm. (1) leave the FFL·s business prem- Procedure - Reports of Multiple ises with the firearm; or • The FFL must complete Section D Sale or Other Disposition of Certain of the Form 4473 prior to transferring the Rifles: All applicable FFLs and pawn- (2) allow the FFL to retain the fire- firearm to the prospective transferee. brokers located in Arizona, California, arm at the business premises (with The FFL must record the words “Private New Mexico, and Texas must complete the FFL ‘s consent) pending a re- Party Transfer” on the Form 4473, Item an ATF Form 3310.12 and repo11all sponse from NICS, or until the pas- 30c and file the form as prescribed by transactions in which an unlicensed sage of three business days or appli- 27 CFR 478.124(b). In addition, the FFL person acquires, at one time or during cable State waiting period. must record in the A&D record the dis- five consecutive business days, two or position of the firearm to the transferee more semi-automatic rifles larger than • If the private party (seller) choos- (buyer) no later than seven days follow- .22 caliber (including .223/5.56 caliber) es to leave the FFL’s premises with ing the transaction. with the ability to accept a detachable the firearm, the FFL does not need to magazine. record the acquisition into the A&D re- • If the private parties do not return cord. However, the private party (sell- to complete the transfer, the FFL must The form is not required when the er) must return the firearm to the FFL’s retain the Form 4473 in accordance with rifles are returned to the same person business premises prior to transfer of section 478.129(b). from whom they were received. the firearm to the prospective transferee (buyer). Procedure - Delayed Transactions NFA Firearms: Transfers of National With a Subsequent Denial: If the FFL Firearms Act firearms may be accom- • If the private party (seller) chooses receives a “denied” response from plished only pursuant to the manner to allow the FFL to retain the firearm at NICS prior to transfer of the firearm, it outlined in Subpart F, Part 479, Title 27, the FFL’s business premises, the FFL is cannot be transferred to the prospective Code of Federal Regulations. required to take the firearm into invento- transferee (buyer). If the private party ry, and record the firearm as an acquisi- (seller) has chosen to allow the FFL to State and Local Law: An FFL facil- tion in the A&D record in accordance with retain the firearm pending NICS approv- itating private party firearms transfers 27 CFR 478.122, 478.123, and 478.125. al, the FFL and the private party (sell- must comply with all State laws and lo- If NICS later issues a ‘’proceed,., or no er) must complete a Form 4473 prior to cal ordinances. As provided by 27 CFR response after three business days (or returning the firearm to the private party 478.58, a Federal Firearms License con- appropriate State waiting period ), and (seller). The FFL must also conduct a fers no right or privilege to conduct busi- the FFL chooses to proceed with the NICS background check on the private ness or activity contrary to State or other transfer, the private party (seller) need party (seller) and receive a “proceed” law. It is unlawful for an FFL to sell or not return to the FFL’s business premis- response, or no response after three deliver any firearm to any person in any es for transfer of the firearm to the trans- business days (or appropriate State State where the purchase or possession feree (buyer). waiting period), prior to returning the by such person of such firearm would be firearm. The FFL must also record the in violation of any State law or published • If the FFL does not receive a re- return as a disposition in the A&D record ordinance applicable at the place of sponse after three business days (or no later than seven days following the sale, delivery, or other disposition. See appropriate State waiting period) and transaction. 18 U.S.C. 922(b)(2). Compliance with NICS (or State point-of-contact) has not the provisions of any State or other law advised the FFL that the prospective Procedure -Secure Handgun Stor- affords no immunity under Federal law transferee’s (buyer’s) receipt or posses- age or Safety Devices: The FFL must or regulations. sion of the firearm would be in violation provide the transferee (buyer) or private of law, the FFL may, but is not required party (seller) with a secure gun storage Procedure-Out-of-State Transac- to, transfer the firearm to the prospective or safety device for each handgun he tions: Private party firearm transfers transferee (buyer). or she transfers, pursuant to 18 U.S.C. conducted with out-of-State FFLs must 922(z). The FFL is not required to pro- comply with all interstate controls and • A transfer to a prospective transfer- vide the private party (seller) with a se- requirements under the Gun Control Act, ee (buyer) must be completed within 30 cure gun storage or safety device if the 18 U.S.C. 921 et. seq. Except in limit- calendar days from the date NICS was private party (seller) does not relinquish ed circumstances, FFLs cannot transfer initially contacted. If the prospective exclusive dominion or control of the fire- firearms to out-of-State residents. See, transferee (buyer) does not return during arm. e.g.,18 U.S.C. 922(b)(3). this period, the FFL must conduct a new NICS check prior to the transfer. Procedure- Reports of Multiple Date approved: March 15, 2013 Sale or Other Disposition of Pistols

176 18 U.S.C. 922(c): NON–OVER–THE– Signature �� ATF recognizes that Form 4473, Part COUNTER SALES OF FIREARMS I–Over–the–Counter, does not include Date �� the sworn statement required by 18 18 U.S.C. 922(t): NICS REQUIRE- U.S.C. 922(c)(1), and that licensees who MENTS AND EXCEPTIONS The statement must contain blank sell firearms subject to section 478.96(b) spaces to attach a true copy of any permit requirements without that statement 27 CFR 478.96: MAIL ORDER SALES or other information required pursuant to would not be in compliance with Feder- OF FIREARMS (IN–STATE, NICS such State statute or published ordinance. al law. For this reason, ATF authorizes EXEMPT) this procedure to use Form 4473, Part I, The corresponding regulation at 27 for non–over–the–counter firearm sales 27 CFR 478.102: NICS REQUIRE- CFR 478.96(b) states, in relevant part, by licensees to unlicensed in-state res- MENTS AND EXCEPTIONS that a licensee may sell a firearm that is idents that are NICS exempt. not subject to the provisions of 478.102(a) Recordkeeping procedure for non– to a nonlicensee who does not appear in Procedure: A licensed importer, man- over–the–counter firearm sales by person at the licensee’s business prem- ufacturer, or dealer may record and con- licensees to unlicensed in-state res- ises if the nonlicensee is a resident of duct the sale of a firearm to a resident of idents that are NICS exempt. the same State in which the licensee’s the same state who does not appear in business premises are located, and the person at the licensed business premis- ATF Proc. 2013-2 nonlicensee furnishes to the licensee the es using ATF Form 4473, Part I, provid- firearms transaction record, Form 4473 ed the transfer is exempt from the NICS Purpose: This ATF procedure gives as required by 478.124. The regulation requirements, pursuant to 18 U.S.C. guidance to licensed importers, man- further requires the nonlicensee to attach 922(t)(3) and 27 CFR 478.102(d), and ufacturers, and dealers (licensees) on to the Form 4473 a true copy of any per- the procedures below are followed: how to record the sale of a firearm to an mit or other information required pursuant unlicensed person who: to any statute of the State and published 1. The buyer must properly com- ordinance applicable to the locality in plete and execute Section A of ATF a) Has a valid alternate permit or oth- which he/she resides. Form 4473, Part I, as if the firearm erwise is exempt from National Instant was being transferred over-the- Criminal Background Check System Furthermore, 18 U.S.C. 922(t)(1) and counter; (NICS) requirements; its implementing regulations at 27 CFR 478.102(a) require a licensee to con- 2. Pursuant to 18 U.S.C. 922(c) b) Resides in the same State as the tact NICS for a background check prior (1) and 27 CFR 478.96(b), the buyer licensee; and to completion of a firearm transfer to an must execute and attach to the Form unlicensed person, and verify the iden- 4473 a sworn statement in the format c) Does not appear in person at the tity of that person by examining a valid prescribed by 18 U.S.C. 922(c)(1) licensee’s business premises. identification document. The statute at (set forth above), and, as applicable, subsection 922(t)(3) and implementing a true copy signed and dated by the Background: Title 18, United States regulation at subsection buyer of the valid alternate permit that Code (U.S.C.), section 922(c)(1), states qualifies as a NICS exception, and that, in any case not otherwise prohibit- 478.102(d) provide exceptions to any other documentation required ed by 18 U.S.C. chapter 44, a licensed these requirements: (1) if the transfer- pursuant to State statute or published importer, licensed manufacturer, or li- ee has presented a permit or license ordinance; censed dealer may sell a firearm to a (“alternate permit”) that: (i) allows the person (other than another licensed transferee to possess, acquire, or carry 3. The buyer must send the original importer, manufacturer, or dealer) who a firearm; (ii) was issued not more than ATF Form 4473 and attachment(s) to does not appear in person at the licens- 5 years earlier by the State in which the the licensee. The licensee must then ee’s business premises only if the trans- transfer is to take place; and (iii) the law complete the remaining portions of feree submits to the transferor a sworn of the State provides that such a permit the form as if the firearm was being statement in the following form: or license is to be issued only after an transferred over–the–counter; authorized government official has ver- Subject to penalties provided by law, I ified that the information available to 4. The licensee must document the swear that, in the case of any firearm other such official does not indicate that pos- applicable NICS exception in Section than a shotgun or a rifle, I am twenty–one session of a firearm by the transferee B of the ATF Form 4473; years or more of age, or that, in the case would be in violation of Federal, State, or of a shotgun or a rifle, I am eighteen years local law, and includes completion of a 5. The licensee is permitted to or more of age; that I am not prohibited NICS background check; (2) the firearm omit recording identifying informa- by the provisions of chapter 44 of title 18, is subject to the provisions of the Nation- tion (type of identification, number United States Code, from receiving a fire- al Firearms Act and has been approved on identification, expiration date of arm in interstate or foreign commerce; and for transfer under 27 CFR identification) in Section B. However, that my receipt of this firearm will not be if the buyer is a nonimmigrant alien, in violation of any statute of the State and Part 479; or (3) on application of the the licensee must record the type of published ordinance applicable to the lo- licensee, in accordance with 27 CFR documentation showing an exception cality in which I reside. Further, the true ti- 478.150, the ATF Director has certified to the nonimmigrant alien prohibition. tle, name, and address of the principal law that running a NICS background check This supporting documentation must enforcement officer of the locality to which is impracticable due to the geographical be attached to the ATF Form 4473; the firearm will be delivered are. location of the licensee.

177 6. Neither the licensee nor the pur- to the CLEO, or the return of the copy 478.126a. In addition, the licensee chaser should complete Section C of of the Form 4473 to the licensee due must report any multiple sales or oth- the ATF Form 4473; to refusal of the CLEO to accept the er disposition of certain rifles on ATF same in accordance with U.S. Postal Form 3310.12 in accordance with 18 7. The licensee must complete Service regulations; U.S.C. 923(g)(5)(A), as applicable. Section D. In addition, the licensee must record the words “Non over the 10. The licensee must retain the Licensees are reminded of their re- counter transaction” at the top of the original Form 4473, Part I, sworn sponsibility to ensure the accuracy and first page of the ATF Form 4473; statement, NICS exemption docu- completeness of all required records, mentation, and evidence of receipt and to maintain such records on their 8. Pursuant to 18 U.S.C. 922(c)(2) or rejection of delivery of the infor- licensed premises available for inspec- and 27 CFR 478.96(b), the licensee mation sent to the CLEO as a part tion. Failure to abide by any of these must, prior to shipment or delivery of of the records required to be kept by procedures may result in a violation of the firearm, forward by registered or the licensee under the provisions of 18 U.S.C. 922(b)(5), 922(c), 922(m), certified mail (return receipt request- 27 CFR Subpart H, including 478.129 923(g), and/or 924(a)(3)(B), and corre- ed) a copy of the Form 4473, sworn and 478.131; sponding regulations. statement, and valid alternate permit or other required information to the 11. The licensee must record the Inquiries: Inquiries concerning this chief law enforcement officer (CLEO) firearms disposition in the licensee’s procedure should refer to its number and named on such statement; acquisition and disposition record in be addressed to the Firearms Industry accordance with 27 CFR 478.122, Programs Branch at (202) 648-7190 or 9. Pursuant to 18 U.S.C. 922(c)(3) 478.123, or 478.125 (as applicable); [email protected]. and 27 CFR 478.96(b), the licensee and must delay shipment or delivery of Date approved: August 15, 2013 the firearm for at least seven days 12. The licensee must report any following receipt by the licensee of multiple sales or other disposition B. Todd Jones Director either the return receipt evidencing of pistols or revolvers on ATF Form delivery of the copy of the Form 4473, 3310.4 in accordance with 27 CFR

178 INDUSTRY CIRCULARS

Industry Circular 72-23 firearms on licensed premises which are attention the need to emphasize the im- segregated from firearms held for sale portance of verifying the identity of trans- SHIPMENT OR DELIVERY OF FIRE- and which are appropriately identified as ferees involved in such transactions. ARMS BY LICENSEES TO EMPLOY- not being for sale need not be entered in EES, AGENTS, REPRESENTATIVES, the dealer’s records. Guidelines for Verifying Identity and WRITERS, AND EVALUATORS License Status of Transferee. A licens- There may be occasions where a ee who appears in person at another This circular is no longer in effect. firearms dealer utilizes his license to licensee’s business premises for the See ATF Rul. 2010-1. acquire firearms for his personal collec- purpose of acquiring firearms or ammu- tion. Such firearms must be entered in nition should be required to furnish, to Industry Circular 72-30 his permanent acquisition records and the transferor, positive identification in subsequently be recorded as a dispo- addition to a certified copy of his license. IDENTIFICATION OF PERSONAL sition to himself in his private capacity. Such identification should prove to the FIREARMS ON LICENSED PREMIS- If such personal firearms remain on the satisfaction of the transferor that the per- ES NOT OFFERED FOR SALE licensed premises, the procedures de- son receiving the firearm or ammunition scribed above with respect to segrega- is, in fact, the same person to whom the Purpose. The purpose of this circular tion and identification must be followed. license furnished has been issued. is to urge licensed firearms dealers to identify their personal collection of fire- The above procedures will facilitate With respect to mail order sales be- arms kept at the business premises. the examination and inspection of the tween firearms licensees, where the records of firearms dealers and result in shipment is to be made to an address Scope. The provisions of Section less inconvenience to licensees. other than the transferee’s premises as 923(g), 18 U.S.C. Chapter 44, and Sub- listed on his license, it is suggested that part H of the regulations (27 CFR 178) Industry Circular 74-13 the transferor verify the address as be- require all licensed firearms dealers to ing that of the transferee. maintain records of their receipt and VERIFICATION OF IDENTITY AND LI- disposition of all firearms at the licensed CENSED STATUS OF TRANSFEREE The Bureau urges all firearms licens- premises. Section ees to require whatever information they Purpose. The purpose of this circular deem necessary and within reason in 178.121(b) of the regulations and the is to remind firearms dealers, manufac- order to verify the identity and licensed law further provide for the examination turers, and importers of the provisions of status of the transferee licensees with and inspection during regular business 18 U.S.C. Chapter 44, and Subpart F of whom they do business. hours or other reasonable times of fire- the Regulations thereunder (26 CFR 178) arms kept or stored on business premis- pertaining to sales or deliveries of firearms Inquiries. Inquiries regarding this cir- es by licensees and any firearms record or ammunition between licensees. cular should refer to its number and be or document required to be maintained. addressed to the Chief, Firearms Indus- Background. Regulations, 26 CFR try Programs Branch, Washington D.C. Guidelines for Identifying Personal 178.94, provide as follows: “A licensed 20226. Firearms on the Business Premises of Li- importer licensed manufacturer, or licensed Dealers. A presumption exists that censed dealer selling or otherwise dis- Editor’s Note: all firearms on a business premises are posing of firearms or ammunition and a for sale and accordingly must be entered licensed collector selling or otherwise This procedure no longer applies to in the records required to be maintained disposing of curios or relics, to another distributions of ammunition, other than under the law and regulations. However, licensee shall verify the identify and li- armor piercing ammunition or ammuni- it is recognized that some dealers may censed status of the transferee prior to tion for destructive devices. have personal firearms on their business making the transaction…Such verifica- premises for purposes of display or dec- tion should be established by the trans- Industry Circular 77-20 oration and not for sale. Firearms deal- feree (buyer) furnishing to the transferor ers who have such personal firearms on (seller) a certified copy of the transfer- DUPLICATION OF SERIAL NUM- licensed premises should not intermingle ee’s license and by such means as the BERS BY LICENSED IMPORTERS such firearms with firearms held for sale. transferor deems necessary… Such firearms should be segregated from ATF has noted cases where some firearms held for sale and appropriately Recent reports involving thefts of licensed importers have adopted the identified (for example, by attaching a firearms licenses and of the purchas- same serial number for more than one tag) as being “not for sale”. Personal ing copies thereof have brought to our firearm. These instances of duplication

179 have generally occurred when firearms be adopted to fulfill this unique serial CFR 178.92. In addition to a unique seri- are received from more than one source. number requirement. However, the man- al number, each firearm must be marked ufacturer’s serial number must be affixed to show the model (if any); the caliber or Title 27, CFR section 178.92 requires in the manner set forth in 27 CFR 178.92 gauge; the name of the manufacturer and that the serial number affixed to a firearm and must not duplicate a number previ- importer, or recognizable abbreviations; must not duplicate the number affixed ously adopted by you for another firearm. the country of manufacture; and the city to any other firearm that you import into and State (or recognized abbreviations) in the United States. Those of you who im- If you receive two or more firearms which your licensed premises are located. port destructive devices are under the with the same serial number, it is your same requirement due to the inclusion responsibility to affix additional markings Editors Note: of destructive devices in the definition of to make each serial number unique. firearm as used in 27 CFR 178.11. ATF This Industry Circular is further Ruling 75-28 stated that a serial number ATF Ruling 75-28 also reminds you of clarified with ATF Rul. 2013-3. affixed by the foreign manufacturer may the other identifying marks required by 27

180 GENERAL INFORMATION

TABLE OF CONTENTS

1. Information Concerning AR–15 Type Rifles �� 182 2. Federal Age Restrictions ��182 3. Sales to Law Enforcement Officers �� 182 4. Sales to Aliens in the United States for Export �� 183 5. Sales to Diplomats, Embassies or Consulates �� 183 6. Canadian Firearms Information �� 183 a. General ��183

b. Firearms Users Visiting Canada �� 183 c. Licensing Requirements ��184 d. Borrowing Firearms While in Canada �� 184 e. Fees (in Canadian funds) �� 185 f. Storage, Display and Transportation �� 185 g. Canadian Firearms Program �� 185 7. Antique Firearms ��185 8. Importation ��186 a. Importation of Rifles ��186 b. Importation of Shotguns ��186 c. Assembly of Nonsporting Semiautomatic Rifles or Shotguns from Imported Parts �� 186 d. Importation of Handguns �� 187 e. Importation of Firearms by Nonlicensed U.S. Residents �� 187 f. Importation by Non–resident U.S. Citizens Returning to the United States and Non–resident Aliens Immigrating to the United States �� 187 g. Importation by Members of the Armed Forces �� 188 9. Special (Occupational) Taxpayers and NFA Firearms �� 188 a. General ��188 b. What You Need to Proceed �� 188 c. Changes in Operations ��189 d. Machineguns ��189 e. Going Out of Business ��189 f. NFA Firearms in Decedents’ Estates �� 189 10. Armor Piercing Ammunition ��190

181 GENERAL INFORMATION

1. INFORMATION CONCERN- ponents also may be modified to AR–15 To qualify for this exemption, the law ING M16 PARTS AND AR–15 TYPE Model SP1 configuration. enforcement officer must present to the RIFLES licensee a certification letter on the agen- It is important to note that any mod- cy’s letterhead, signed by a person in au- ATF has encountered various AR–15 ification of the M16 parts should be at- thority within the agency stating: the offi- type rifles such as those manufactured by tempted by fully qualified personnel only. cer will use the firearm in performance of Colt, E.A. Company, SGW, Sendra and official duties and that a records check re- others, which have been assembled with Should you have any questions con- veals that the purchasing officer has not fire control components designed for use cerning AR–15 type rifles with M16 been convicted of a misdemeanor crime in M16 machineguns. The vast majority of parts, please contact your nearest ATF of domestic violence. ATF considers the these rifles which have been assembled office. A list of ATF field offices may be following as persons having authority to with an M16 bolt carrier, hammer, trigger, found at http://www.atf.gov. certify that law enforcement officers pur- disconnector and selector will fire auto- chasing firearms will use the firearms in matically merely by manipulation of the 2. FEDERAL AGE RESTRICTIONS performance of official duties: selector or removal of the disconnector. Many of these rifles using less than the 5 Federal law prohibits Federal firearms a. In a city or county police depart- M16 parts listed above also will shoot au- licensees from selling or delivering any ment, the director of public safety or the tomatically by manipulation of the selector firearm or ammunition to any individual chief or commissioner of police. or removal of the disconnector. who the licensee knows or has reasonable cause to believe is less than 18 b. In a sheriff’s office, the sheriff. Any weapon which shoots automati- years of age, and, if the firearm is other cally more than 1 shot without manual re- than a shotgun or rifle, or ammunition for c. In a State police or highway patrol loading, by a single function of the trigger, a shotgun or rifle, to any individual who department, the superintendent or the su- is a machinegun as defined in 26 U.S.C. the licensee knows or has reasonable pervisor in charge of the office to which 5845(b), the National Firearms Act (NFA). cause to believe is less than 21 years of the State officer or employee is assigned. The definition of a machinegun also in- age. (18 U.S.C. 922(b)(1), 27 cludes any combination of parts from d. In Federal law enforcement offic- which a machinegun may be assembled, CFR 478.99(b)(1).) Ammunition in- es, the supervisor in charge of the office if such parts are in possession or under terchangeable between rifles and hand- to which the Federal officer or employee the control of a person. An AR–15 type ri- guns (such as .22 caliber rimfire) may be is assigned. fle which fires more than 1 shot by a single sold to an individual 18 years of age, but function of the trigger is a machinegun unless than 21, if the licensee is satisfied The Bureau would also recognize der the NFA. Any machinegun is subject that the ammunition is being acquired for someone signing on behalf of a person to the NFA and the possession of an un- use in a rifle. in authority, provided there is a proper registered machinegun could subject the delegation of authority and overall re- possessor to criminal prosecution. It is generally unlawful for a juvenile sponsibility has not changed in any way. (a person less than 18 years of age) to If the purchasing officer is a supervisory Additionally, these rifles could pose a possess a handgun, or for any person to officer, the certification must be made by safety hazard in that they may fire auto- transfer a handgun to a juvenile. Howev- that officer’s supervisor. In other words, matically without the user being aware er exceptions are provided for the trans- the purchasing officer and the certifying that the weapon will fire more than 1 fer and possession of a handgun for officer may not be the same person. shot with a single pull of the trigger. the purposes of employment, ranching, farming, target practice or hunting. (18 Licensees who receive a qualifying In order to avoid violations of the NFA, U.S.C. 922(x)) letter are not required to prepare an ATF M16 hammers, triggers, disconnectors, Form 4473 or conduct a NICS back- selectors and bolt carriers should not be 3. SALES TO LAW ENFORCE- ground check. However, disposition to used in assembly of AR–15 type semi- MENT OFFICERS the officer is to be entered in the licens- automatic rifles, unless the M16 parts ee’s permanent records and the certifi- have been modified to AR–15 Model Most provisions of the GCA do not apply cation letter kept on file. The permanent SP1 configuration. Any AR–15 type ri- to the sale of firearms to law enforcement records should show the residence fles which have been assembled with agencies or law enforcement officers for address of the purchasing officer, not M16 internal components should have official duty. However, the GCA does pro- the address of the officer’s employing those parts removed and replaced with hibit the receipt or possession of firearms agency. The officer specified in the cer- AR–15 Model SP1 type parts which are by an officer who has been convicted by a tification may purchase a firearm from a available commercially. The M16 com- misdemeanor crime of domestic violence. licensee regardless of the State in which

182 the officer resides, or in which the agen- ment of Commerce requires a specific li- rectly to the embassy or consulate. An cy is located. cense to export or re–export these items ATF Form 4473 need not be completed to most destinations. For further infor- because ATF considers the sale to be Law enforcement officers who do not mation, contact an Export Counselor at: exportation, however the licensee must have a certification letter may purchase reflect the disposition to the foreign mis- firearms in the same manner as any oth- 202–482–4811 – Outreach and Edu- sion in the acquisition and disposition er unlicensed person, including complet- cational Services Division (located in record. ing an ATF Form 4473 and undergoing a Washington, DC) NICS background check. 6. CANADIAN FIREARMS INFOR- 949–660–0144 – Western Regional MATION 4. SALES TO ALIENS IN THE Office (located in Newport Beach, CA) UNITED STATES FOR EXPORT a. General 408–998–8806 – Northern California Removal of a firearm or ammunition branch (located in San Jose, CA) Implementation of the Firearms Act from the U.S. by anyone is an exporta- on December 1, 1998, brought about tion. With few exceptions, the firearms WEBSITE: HTTP://WWW.BIS.DOC. extensive changes to Canadian firearm licensee must obtain an export license GOV/ regulations. Most changes affecting visi- (Form DSP–5) from the State Depart- tors bringing firearms into Canada came ment’s Directorate of Defense Trade 5. SALES TO DIPLOMATS, EM- into effect on January 1, 2001. Controls (DDTC) or the Commerce De- BASSIES OR CONSULATES partment’s Bureau of Industry and Se- b. Firearms Users Visiting Canada curity (BIS) prior to exportation. When Diplomats, as individuals, are not ex- a licensee exports firearms directly to empt from Federal, State or local fire- An individual must be at least 18 years an alien’s residence outside the United arms laws. Sales to individuals, includ- of age to bring a firearm into Canada. In- States, the licensee need only record ing diplomats and embassy personnel, dividuals that are younger than 18 may the name and address of the foreign must comply with all requirements of use a firearm in certain circumstances, customer in his or her bound book. ATF the GCA and the firearms regulations but an adult must remain present and Form 4473 need not be completed. (27 CFR Part 478), including the gen- responsible for the firearm. eral prohibition on nonimmigrant aliens Exportation of firearms other than unless the diplomat is purchasing the Prohibited firearms (see discussion sporting shotguns is regulated by the firearm/ammunition for official purposes. below on prohibited firearms) may not Department of State, DDTC. Any per- be brought into Canada or transported son who intends to export or temporar- Foreign embassies or consulates through Canada. ily export firearms, ammunition or com- may purchase firearms for the pur- ponents as defined under the United pose of the physical security of embas- Restricted firearms (see discussion States Munitions List (22 CFR 121) must sy or consulate grounds. The firearms below on restricted firearms) may only obtain the approval of the DDTC prior to become the property of the government be imported with prior authorization from export unless the export qualifies for an whose embassy or consulate made the the Chief Firearms Officer of the prov- exemption under the provisions of the purchase, not the private property of an ince or territory to which you are travel- International Traffic in Arm Regulations individual. ATF views the transaction ing. (22 CFR 120–130). as an exportation because embassy or consulate grounds are regarded as for- Anyone entering Canada must de- For further information about the ex- eign territory. clare all firearms to Canadian Customs. portation of firearms, ammunition or components, contact DDTC: To document that the sale is to the For more information on bringing fire- foreign mission and not to an individual arms into Canada, contact the Canadian U.S. DEPARTMENT OF STATE diplomat, the licensee should obtain the Firearms Program at 1–800–731–4000. DIRECTORATE OF DEFENSE following: TRADE CONTROLS 1. Prohibited Firearms (1) A purchase order or invoice COMPLIANCE & from the foreign mission; The following firearms are classified REGISTRATION DIVISION as prohibited firearms and cannot be 2401 E STREET, NW, SA–1, (2) Payment out of government brought into Canada: ROOM H1200 funds rather than from private funds; WASHINGTON, DC 20522–0112 or • Short–barreled handguns (handguns with a barrel length equal to or less TELEPHONE: 202–663–1282 (3) A written statement by the prin- than 105 mm) WEBSITE: HTTP://WWW.PMDDTC. cipal officer of the embassy or con- STATE.GOV sulate that the weapons are being • .25 caliber handguns purchased by, and will be the proper- The Department of Commerce regu- ty of, the mission. • .32 caliber handguns lates the exportation of shotguns with a barrel length of 18 inches and over, as Once the licensee has documented No handgun listed above is prohibited well as related parts, components, shot- that a sale is to a foreign mission, he if it is prescribed by regulation for use in gun shells, and certain muzzle loading or she may complete the transaction by competitions governed by the rules of (black powder) firearms. The Depart- shipping or delivering the firearms di- the International Shooting Union.

183 • sawed–off rifles or sawed–off shot- • all handguns which are not prohib- The declaration form should be filled guns less than 660 mm in overall length ited firearms out prior to arrival at the point of entry, in order to save time. However, it should • sawed–off rifles or sawed–off shot- • semiautomatic centerfire rifles and not be signed before arriving at the en- guns which have a barrel length of less shotguns that have a barrel length less try point, as a Canada Border Services than 457 mm and are equal to or more than 470 mm and are not prohibited Agency (CBSA) customs officer must than 660 mm in overall length witness the signature. • rifles and shotguns that can fire af- • all automatic firearms ter being reduced to an overall length A confirmed declaration costs a flat of less than 660 mm, by any temporary fee of $25, regardless of the number of • automatic firearms that have been means such as folding or telescoping firearms listed on it. It is valid only for the converted to semiautomatic or single person who signs it and only for those shot • firearms restricted by Criminal Code firearms listed on the declaration. Regulations. • firearms prohibited by Criminal Once the declaration has been con- Code Regulations. Anyone bringing a restricted firearm firmed by the CBSA customs officer, it into Canada must have an Authorization acts as a license for the owner and it is Some large capacity magazines are to Transport for the restricted firearm. valid for 60 days. The declaration can be prohibited even if the firearms for which This authorization will permit transport of renewed for free, providing it is renewed the magazines are designed are al- the restricted firearm between specified before it expires, by contacting the Chief lowed. As a general rule, the maximum places within Canada. This authorization Firearms Officer (call 1–800–731–4000) capacity is: must be obtained in advance from the of the relevant province or territory. Chief Firearms Officer of the Canadian Five cartridges for most magazines province or territory to be visited. Option 2 designed for a centre–fire semi–automatic long gun; and An applicant for an Authorization to Apply for a five–year Possession and Transport must have a valid purpose for Acquisition License (PAL). Ten cartridges for most handgun bringing restricted firearms to Canada, magazines. such as for use in target practice, or a To apply for a PAL, applicants must target shooting competition at an ap- provide evidence that they have passed There is no maximum magazine ca- proved shooting club or range. Restrict- the written and practical tests for the pacity for other types of long guns, ined firearms cannot be used for hunting. Canadian Firearms Safety Course. A cluding semi–automatics that discharge course from another country does not only rim–fire ammunition. For more information on Authoriza- meet Canadian legal requirements. tions to Transport, call the Chief Fire- However, it may be possible to take the Replica firearms, except for replicas arms Officer of the Canadian province tests without taking the course. of antique firearms, are prohibited and or territory that you will be visiting. You cannot be brought into Canada. can obtain the address, telephone and The CFO of the province or territory fax numbers from the Canada Firearms to be visited can provide information Replica firearms are devices that look Centre. on any other documents that will be re- exactly or almost exactly like real fire- quired to complete the background se- arms. As a rule to be prohibited, a device c. Licensing Requirements curity check. must closely resemble an existing make and model of firearm, not just a generic Firearm owners and users in Cana- With a Canadian firearms license, firearm. Many of these devices have to da must have firearms licenses for the there is no need to complete the Non– be assessed on a case–by–case basis. class of firearms in their possession. A Resident Firearms Declaration. Howev- license issued under Canada’s Firearms er, an oral declaration must still be made When a prohibited firearm is declared Act is different from a provincial hunting to the customs officer. at Canadian Customs, a customs officer license. may allow the firearm to be exported For information on the declaration back to its country of origin. Firearms Non–residents have two options for process, please call the CBSA: that are not immediately exported are meeting the Canadian licensing require- forfeited. ments: Within Canada: 1–800–461–9999

For information on firearms prohibited Option 1 Outside Canada: 204–983–3500 or by regulations or on firearms prescribed 506–636–5064 as International Shooting Union hand- Declare firearms in writing to a cus- guns, contact the Canadian Firearms toms officer at the point of entry to Can- d. Borrowing Firearms Program at 1–800–731–4000. ada, using the Non–Resident Firearm while in Canada Declaration (form RCMP 5589). 2. Restricted Firearms No license is required if the firearms If there are more than three firearms, user remains under the direct and imme- The following firearms are classified a Non–Resident Firearm Declaration diate supervision of a licensed adult. as restricted firearms requiring an Au- Continuation Sheet (form RCMP 5590) thorization to Transport from a Chief should be added. Otherwise, one of the following is nec- Firearms Officer to bring into Canada: essary:

184 • A PAL (see above), or da, the Storage, Display, Transportation (i) is not designed or rede- and Handling of Firearms by Individuals signed for using rimfire or con- • A confirmed Temporary Firearms Regulations, must be complied with. For ventional centerfire fixed ammu- Borrowing License (for Non–residents) non–restricted firearms: nition, or (Form RCMP 5513). • A secure locking device, such as a (ii) uses rimfire or convention- A confirmed Non–Resident Firearms trigger lock or cable lock, should be at- al centerfire fixed ammunition Declaration does NOT currently permit tached, so firearms cannot be fired; or which is no longer manufactured the borrowing of firearms in Canada. A in the United States and which temporary borrowing license permits the • The firearms should be locked in a is not readily available in the or- following uses: cabinet, container or room that is difficult dinary channels of commercial to break into. trade; or • hunting under the supervision of an outfitter or other person authorized to or- The ammunition should be stored (C) any muzzle loading rifle, ganize hunting services in Canada; separately or locked up. It can be stored muzzle loading shotgun, or muzzle in the same locked container as the fire- loading pistol, which is designed to • hunting with a Canadian resident arms. use black powder, or a black pow- who has the proper firearms license and der substitute, and which cannot hunting license; If left in an unattended vehicle, fire- use fixed ammunition. For purpos- arms should be kept in the trunk, or out es of this subparagraph, the term • competing in a shooting competi- of sight. The vehicle should be locked. “antique firearm” shall not in- tion; clude any weapon which incorpo- More information on requirements for rates a firearm frame or receiver, • target shooting at an approved the safe storage, display, transportation any firearm which is converted into shooting club or range; and handling of firearms in Canada is a muzzle loading weapon, or any available from the Canadian Firearms muzzle loading weapon which can • taking part in a historical reenact- Program. be readily converted to fire fixed ment or display; ammunition by replacing the bar- g. Canadian Firearms Program rel, bolt, breechblock, or any com- • engaging in a business or scientific bination thereof. activity being carried on in a remote area The Canadian Firearms Program where firearms are needed to control an- (CFP)is an agency of the Government of Under section 5845(g) of the NFA, an- imal predators; Canada responsible for the implementa- tique firearm means: tion of the Firearms Act. For more infor- • taking part in a parade, pageant or mation contact the CFP at: “...Any firearm not designed or re- other similar event; or designed for using rim fire or con- ROYAL CANADIAN MOUNTED POLICE ventional center fire ignition with • using firearms for movie, television, CANADIAN FIREARMS PROGRAM fixed ammunition and manufac- video or theatrical productions or pub- OTTAWA, ON K1A OR2 tured in or before 1898 (including lishing activities. any matchlock, flintlock, percus- TELEPHONE: 1–800–731–4000 Visitors are advised to apply for this sion cap, or similar type of ignition WEBSITE: HTTP://WWW.RCMP. temporary license well in advance of system or replica thereof, whether arrival at the Canadian border. License GC.CA actually manufactured before or application forms are available from the E–MAIL: CFP–PCAF@RCMP–GRC. after 1898) and also any firearm Canada Firearms Centre. GC.CA using fixed ammunition manufactured in or before 1898, for which Information in this section was ob- e. Fees (in Canadian funds) ammunition is no longer manufac- tained from http://www.rcmp.gc.ca/cfp- tured in the United States and is A confirmed Non–Resident Firearm pcaf/fs-fd/visit–visite–eng.htm. not readily available in the ordinary Declaration costs $25. This fee covers all the firearms listed on the declaration. 7. ANTIQUE FIREARMS channels of commercial trade.”

An initial PAL costs $60. It is valid Under section 921(a)(16)of the GCA, To illustrate the distinction between for five years. For more information on the term antique firearm means: the two definitions of antique firearm the current license fee structure, please under the GCA and NFA, a rifle manu- contact CFP by one of the methods list- (A) any firearm (including any factured in or before 1898 would be an ed at the end of this article. firearm with a matchlock, flintlock, antique firearm under the provisions of percussion cap, or similar type of the GCA, even though it uses conven- A Temporary Firearms Borrowing Li- ignition system) manufactured in tional ammunition. However, if such ri- cense (for Non–Residents) costs $30. or before 1898; or fle has a barrel of less than 16 inches in length AND uses conventional fixed f. Storage, Display and (B) any replica of any firearm ammunition which is available in the or- Transportation described in subparagraph (A) if dinary channels of commercial trade, it such replica— would not be an antique firearm under In order to bring a firearm to Cana- the NFA.

185 An antique firearm as defined in both configuration features, other than the features, it may not be imported into the the GCA and NFA is exempt from all of ability to accept a detachable magazine, United States: the provisions and restrictions contained would negatively impact the importability in both laws. Consequently, such an an- of semiautomatic rifles. (1) Folding, telescoping or collaps- tique firearm may be bought, sold, trans- ible stock. ported, shipped, etc., without regard to In 1998, ATF published an updated the requirements of these laws. report, the Study on the Sporting Suit- (2) Bayonet Lug. ability of Modified Semiautomatic As- Under the Arms Export Control Act sault Rifles (the “1998 Study”). The (3) Flash Suppressor. certain “antique firearms” are not sub- 1998 Study validated the findings of the ject to the import controls under that Act. 1989 Study and also found that “the (4) Magazine over 5 rounds, or a These “antique firearms” are defined ability to accept a detachable large Drum Magazine. as “muzzle loading (black powder) capacity military magazine (LCMM) firearms (including any firearm with a – a magazine with a capacity of more (5) Grenade Launcher Mount. matchlock, flintlock, percussion cap, than ten rounds – originally designed or similar type of ignition system) or and produced for a military assault (6) Integrated Rail Systems. firearms covered by Category I(a) es- weapon should be added to the list tablished to have been manufactured of disqualifying military configura- (7) Light Enhancing Devices. in or before 1898.” No all–inclusive list tion features identified in 1989.” The of antique firearms is published by ATF. findings in this regard were based on the (8) Excessive Weight. (generally observation that LCMMs primarily serve less than 10 pounds fully assembled) The Bureau of Industry and Securi- “combat–functional ends” and that ty (BIS) requires an export license for firearms equipped with LCMMs do not (9) Excessive Bulk. muzzle loading (black powder) firearms serve a traditional sporting purpose. with a caliber less than 20 mm that were Sporting shotguns are generally manufactured later than 1937 and that Both the 1989 and 1998 Studies were no more than 3 inches in width or are not reproductions of firearms manu- conducted to address a particular type more than 4 inches in depth. factured earlier than 1890. This BIS con- of rifle–the “semiautomatic assault trol does not apply to weapons used for rifle”–and therefore the respective (10) Forward Pistol Grip or Other hunting or sporting purposes that were Studies did not address rifles outside of Protruding Part Designed or Used for not specially designed for military use this limited rifle “type.” However, rifles Gripping the Shotgun with the Shoot- and are not of the fully automatic type. not included in the Studies–those not er’s Extended Hand. This exemption does not apply if the meeting the definition of semiautomat- weapon meets certain control require- ic assault rifles–are still subject to the c. Assembly of Nonsporting Semi- ments. Contact BIS at 202–482–4811 sporting purposes test under Section Automatic Rifles and Shotguns for additional information. 925(d)(3) before they may legally be im- from Imported Parts ported. Such rifles are not to be consid- 8. IMPORTATION ered sporting merely on the basis of their Section 922(r), Title 18, U.S.C., makes exclusion from the respective Studies. it unlawful for any person to assemble a. Importation of Rifles Therefore, ATF must apply the sporting from imported parts any semiautomatic purposes test to these rifles as well. rifle or any shotgun which is identical 18 U.S.C. § 922(l) prohibits the impor- to any rifle or shotgun prohibited from tation or bringing into the United States b. Importation of Shotguns importation under section 925(d)(3) of or any possession any firearm. Section the GCA. Regulations implementing the 925(d) provides limited exceptions to The purpose of section 925(d)(3) law in 27 C.F.R. 478.39 provide that a the general prohibition, and subsection is to provide a limited exception to the violation of section 922(r) will result if a (d)(3) requires, among other things, that general prohibition on the importation semiautomatic rifle or shotgun is assem- firearms be“…particularly suitable for of firearms without placing “any undue bled with more than 10 of the following or readily adaptable to sporting pur- or unnecessary Federal restrictions or imported parts: poses….” burdens on law–abiding citizens with respect to the acquisition, possession, or (1) Frames, receivers, receiver ATF, in 1989, published the Report use of firearms. castings, forgings, or stampings and Recommendation of the ATF Work- ing Group on the Importability of Cer- In January 2011, ATF published the (2) Barrels tain Semiautomatic Rifles (the “1989 “Study on the Importability of Cer- Study”). The Study identified eight tain Shotguns”. This study was held to (3) Barrel extensions physical features on rifles that created establish the “sportability” criteria for a military configuration. These features shotguns as the ’89 and ’98 studies had (4) Mounting blocks (trunnions) were: 1) ability to accept a detachable done for rifles and the ’68 study did for magazine, 2) folding/telescoping stocks, handguns. (5) Muzzle attachments 3) separate pistol grips, 4) ability to accept a bayonet, 5) flash suppressors, The working group identified certain (6) Bolts 6) bipods, 7) grenade launchers, and features and characteristics that if in- 8) night sights. The Bureau took the cluded on a shotgun, could not be char- (7) Bolt carriers position that when considered with oth- acterized as sporting. Thus, if a shotgun er characteristics, any of these military has any of the following enumerated (8) Operating rods

186 (9) Gas pistons The panel developed objective nu- A nonlicensee may obtain a permit to merical criteria with minimum qualify- import sporting ammunition for personal (10) Trigger housings ing scores to determine if a handgun use (excluding armor piercing ammu- is particularly suitable for or readily nition, or tracer or incendiary ammuni- (11) Triggers adaptable to sporting purposes. The tion), firearm parts, other than frames criteria, ATF Form 4590, Factoring or receivers, or barrels for sporting (12) Hammers Criteria for Weapons, assigns point firearms without engaging the services values to handguns based on dimen- of a Federal firearms licensee. Silenc- (13) Sears sions, material used in construction, er parts and certain machinegun parts weight, caliber, safety features and are subject to the NFA and may not be (14) Disconnectors miscellaneous equipment. The criteria imported. If the nonlicensee chooses to also have prerequisite requirements have a licensee handle the importation, (15) Buttstocks concerning safeties and minimum di- the licensee should complete and send mensions. to ATF an ATF Form 6, Part I, in accor- (16) Pistol grips dance with the instructions on the form. Form 4590 is divided into two parts. The nonlicensee’s name, address, and (17) Forearms, handguards The right side of the form is used to eval- telephone number should appear in Item uate revolvers and the left side is used to 9, “Specific purpose of importation.” (18) Magazine bodies evaluate pistols. The minimum qualifying score for a revolver is 45 points and No permit or authorization from ATF is (19) Followers the minimum qualifying score for a pistol required to bring into the United States is 75 points. The form also provides that a firearm or ammunition that was previ- (20) Floorplates revolvers must pass a safety test. ously taken out of the U.S. by the person bringing it in. U.S. Customs and Border Section 922(r) does not prohibit the Any handgun being imported into the Protection (CBP) is authorized to re- importation, sale, or possession of United States must pass these criteria. lease a firearm or ammunition without a parts which may be used to assemble a The fact that a particular weapon may be permit from ATF upon a proper showing semiautomatic rifle or shotgun in viola- of domestic manufacture or classified as of proof that the firearm or ammunition tion of the statute. However, 18 U.S.C. a curio or relic does not exempt it from was taken out of the country by the per- § 2 provides that a person who aids or the factoring criteria. son bringing it in. This proof is best es- abets another person in the commission tablished by having registered the item of an offense is also responsible for the If you have any questions concern- or items on CBP Form 4457, Certificate offense. Therefore, a person who sells ing Form 4590, or the score a particular of Registration, at the point and time of parts knowing that the purchaser intends handgun achieves, please contact the departure. to use the parts in assembling a firearm ATF Firearms Technology Branch. in violation of section 922(r) would also For further information, see ATF Rul. be responsible for the offense. e. Importation of Firearms by 81–3, ATF Rul. 85–10, and ATF Ruling Nonlicensed U.S. Residents 2013–1, set out within the Rulings, Pro- d. Importation of Handguns cedures, and Industry Circulars portion A permit from ATF must be obtained of this publication. Section 925(d)(3), Title 18, U.S.C., to permanently import or bring into the states that the Attorney General shall United States any firearm, firearm part, f. Importation by Non–resident U.S. authorize a firearm or ammunition to or ammunition. The firearm or ammu- Citizens Returning to the United be imported or brought into the Unit- nition must be generally recognized as States and Non–resident Aliens ed States if it is of a type that does not particularly suitable for, or readily adapt- Immigrating to the United States fall within the definition of a firearm in able to, sporting purposes. Firearm section 5845(a) of the Internal Reve- frames or receivers or firearm barrels for A non–resident U.S. citizen returning nue Code of 1986 and is generally rec- non-sporting firearms are generally not to the United States, or a non–resident ognized as particularly suitable for or importable. Surplus military firearms are alien lawfully immigrating to the United readily adaptable to sporting purposes, generally excluded from importation into States, may apply for a permit from ATF excluding surplus military firearms. The the United States. to import for personal use, and not for statute also prohibits the importation of resale, firearms and ammunition without any frame, receiver, or barrel of a firearm Unlicensed persons may not per- having to utilize the services of a federal- that would be prohibited if assembled. manently import firearms into the Unit- ly licensed firearms dealer. ATF Form 6, ed States (18 U.S.C. 922(a)(3); 27 Part I application should include a state- In 1968, the Secretary of the Treasury CFR 478.111, 113). A Federal firearms ment, on the application form or on an established the Treasury Department licensee located in the nonlicensee’s attached sheet, that: Firearms Evaluation Panel. The purpose State of residence may act as an agent of this panel was to assist in the estab- to import the nonlicensee’s personal (1) the applicant is a non–resident lishment of guidelines for use in deter- firearm. The form to be used by the U.S. citizen who is returning to the mining if a particular firearm would be licensee is ATF Form 6, Part I, Applica- United States from a residence out- importable under the sporting purposes tion and Permit for Importation of Fire- side of the United States or, in the test prescribed by section 925(d)(3). arms, Ammunition and Implements of case of an alien, is lawfully immigrat- This panel was composed of represen- War, and may be obtained from the ATF ing to the United States from a res- tatives from the firearms industry, law website at http://www.atf.gov. idence outside of the United States, enforcement, and the military. and

187 (2) the firearms and ammunition A member of the Armed Forces who that a permit or other authorization be are being imported for personal use does not meet the above criteria must issued prior to possessing or owning a and not for resale. obtain the services of a Federal firearms handgun shall submit evidence of com- licensee located in his or her State of pliance with State law before an appli- No permit will be issued to import fire- residence to import a firearm on behalf cation to import a handgun may be ap- arms or ammunition which are not gen- of the member. The licensee would sub- proved. erally recognized as particularly suitable mit an application on ATF Form 6, Part I. for, or readily adaptable to, sporting pur- ATF Rul. 74–13 is set out within the poses, surplus military firearms, or Na- If your application is approved, the Rulings, Procedures, and Industry Cir- tional Firearms Act (NFA) firearms (e.g., original will be returned to you. This culars portion of this publication. machineguns, silencers, destructive de- will be your authorization to import the vices, short–barreled rifles, short–bar- firearm(s) described on the form. The 9. SPECIAL (OCCUPATIONAL) reled shotguns, etc.). permit is valid for 1 year from the date TAXPAYERS AND NFA FIREARMS of approval. If disapproved, your appli- The firearms must accompany non– cation will be stamped disapproved and a. General resident U.S. citizens, since once a person returned to you with the reason for dis- is in the United States and has acquired approval stated. Anyone wishing to manufacture, im- residence in a State, he or she may import port, or deal in firearms as defined in the a firearm only by arranging for the impor- A permit must be obtained for all fire- NFA must: tation through a Federal firearms licensee. arms to be imported, regardless of the date purchased. However, this does 1. Be properly licensed as a Federal g. Importation by Members not apply to a firearm previously taken firearms licensee; of the Armed Forces out of the United States by the person bringing it in (if they can prove they pre- 2. Have an employer identification (1) Import Permit Requirements viously took the firearm out of the United number (even if you have no employ- States), nor to a firearm shipped by a ees); and Section 925(a)(4) of the GCA pro- licensee in the United States to a ser- vides that: viceperson on active duty outside the 3. Pay the Special (Occupational) Tax United States or to an authorized rod required of those manufacturing, import- When established to the satisfaction and gun club abroad specifically for the ing, or dealing in NFA firearms. of the Attorney General to be consis- serviceperson importing the firearm. tent with the provisions of this chapter Those weapons defined as NFA fire- [the GCA] and other applicable Federal Authorization will not be given to im- arms can be found in sections 5845(a)– and State laws and published ordinanc- port a machinegun, or any other firearm (f) of the NFA. es, the Attorney General may authorize as defined in the NFA, regardless of the the transportation, shipment, receipt or degree of serviceability. Additionally, au- b. What You Need to Proceed importation into the United States to the thorization will not be given to import any place of residence of any member of the surplus military firearm. If you do not already have an employ- United States Armed Forces who is on er identification number (EIN), you must active duty outside the United States (or (2) Importation of War Souvenirs or obtain and complete a Form SS–4 ap- who has been on active duty outside the War Trophy Firearms plication to obtain such a number. This United States within the 60 day period number must appear on all registration immediately preceding the transporta- Generally, war souvenirs or war tro- documents when you apply to receive or tion, shipment, receipt, or importation), phies are not importable without spe- transfer any NFA firearm. of any firearm or ammunition which is: cific authorization by the Department of Defense. Active duty service members Federal firearms licensees who wish (A) determined by the Attorney should contact their respective branch to engage in the business of importing, General to be generally recognized for additional information. manufacturing, or dealing in NFA fire- as particularly suitable for sporting arms are required to pay special occu- purposes, or determined by the De- (3) ATF Ruling 74–13 — Importation pational tax before beginning business. partment of Defense to be a type of of Handguns You may file one return (ATF Form firearm normally classified as a war 5630.7) to cover several locations or souvenir, and ATF was informed by State and local classes of taxable activity. However, you authorities that handguns were being must submit a separate return for each (B) intended for the personal use transported, shipped, received, or im- tax period. The special occupational tax of such member. ported into the United States by mem- period runs from July 1 through June 30 bers of the U.S. Armed Forces to their and payment is due annually by July 1. If Applications to import such firearms State of residence without such mem- you begin business any time during the are filed on ATF Form 6, Part II and bers having obtained the required per- tax year, you are responsible for the full should include a detailed description mits or other authorizations required by amount of tax for the entire year, i.e., the of each firearm to be imported. Incom- the State for lawful possession or owner- taxes are not prorated. plete information will cause return of ship of handguns in that State. your application. Applications should be Upon receipt of your properly com- completed in triplicate and mailed to the Ruling 74–13 holds that a member of pleted ATF Form 5630.7, together with Bureau of ATF, Firearms and Explosives the U.S. Armed Forces who is a resident your remittance, a Special Tax Stamp Imports Branch. of any State or territory which requires will be mailed directly to you.

188 c. Changes in Operations partnership, or other type of business Any NFA firearms retained by the entity continues to exist under State law business that were imported under 26 If a licensee intends to change loca- and only if the title to the machineguns U.S.C. 5844 for use as samples or for tion/address, the licensee must file an remains in the business after the Special scientific or research purposes may only Application for an Amended Federal (Occupational) tax stamp expires. Prior to be transferred to government agencies Firearms License, ATF Form 5300.38, a corporation, partnership or other type for official use or to a Federal firearms with the Chief, Federal Firearms Licens- of business entity ceasing to exist under licensee who has paid the special (occu- ing Center, not less than 30 days prior to State law, all NFA firearms registered to pational) tax to manufacture, import, or the move. The licensee must obtain the the entity must have been properly trans- deal in NFA firearms. amended license before commencing ferred to another person. Transfer appli- business at the new location. cations must be submitted and approved f. NFA Firearms in Decedents’ before dissolution occurs to avoid placing Estates In addition, for a change of address, the possessors in violation of the NFA. If location, or trade name, an amended the registered machineguns are trans- Possession of an NFA firearm not ATF Form 5630.7 must be filed accord- ferred to officers or directors of a corpo- registered to the possessor is a violation ing to the instructions on the form and rate registrant or individual partners of a of Federal law. However, a reasonable approved prior to the change. partnership, the transaction is a transfer time is allowed for transfer of lawfully subject to all applicable provisions of the registered NFA firearms in a decedent’s d. Machineguns NFA and GCA, including payment of tax. estate.

Machineguns produced, imported, or (2) Post–86 Machineguns. When a It is the responsibility of the executor registered after May 19, 1986, the effec- Special (Occupational) Taxpayer goes or the administrator of an estate to trans- tive date of 18 U.S.C. 922(o), generally out of business, machineguns lawful- fer firearms registered to a decedent. are unlawful to possess or transfer ex- ly imported or manufactured on or after ATF Form 5, Application for Tax Exempt cept for use by a government agency or May 19, 1986, may not be retained by the Transfer and Registration of a Firearm, is for exportation. Licensed dealers may, business. Such machineguns are subject used to apply for a tax–exempt transfer however, acquire “sales samples” of to the restrictions of 18 U.S.C. 922(o) and to a lawful heir. A lawful heir is anyone post-1986 machineguns if they obtain must be transferred to a law enforcement named in the decedent’s will or, in the proper official documentation as speci- agency for official use or to a qualified absence of a will, anyone entitled to in- fied in 27 CFR 479.105(d). NFA dealer as dealer sales samples in herit under the laws of the State in which accordance with 27 C.F.R. 479.105(d). the decedent last resided. NFA firearms e. Going Out Of Business may be transferred directly interstate to a NFA Firearms Other Than Machine- beneficiary of the estate. However, if any Machineguns. When a Special (Oc- guns. When a individual Special(Occu- Federal, State or local law prohibits the cupational) Taxpayer does not renew pational) Taxpayer goes out of business, heir from receiving or possessing the fire- payment of the special tax, all machine- the individual may continue to possess arm, ATF will not approve the application. guns possessed by that taxpayer that firearms registered to the business. When a firearm is being transferred to an are restricted under 18 U.S.C. 922(o) Subsequent transfers of the registered individual heir, his or her fingerprints on must be transferred to a Special(Occu- weapons are subject to all the provisions FBI Forms FD–258 must accompany the pational) Taxpayer having a legitimate of the NFA and GCA. transfer application. need for the weapon(s) or be exported. Such transfer must occur before the When a corporation, partnership, or ATF Form 4 is used to apply for the tax Federal firearms license and special tax other type of business entity Special(Oc- paid transfer of a serviceable NFA fire- status expires. Otherwise, these fire- cupational) Taxpayer goes out of busi- arm to a person outside the estate (not arms may not lawfully be possessed, ness, the business may continue to pos- a beneficiary). ATF Form 5 is also used and must be disposed of in accordance sess firearms other than machineguns to apply for the tax–exempt transfer of an with 27 CFR 479.105(f). registered to the business only if the unserviceable NFA firearm to a person corporation, partnership, or other type of outside the estate. As noted above, all (1) Pre–86 Machineguns. Unless business entity continues to exist under requirements, such as fingerprint cards otherwise prohibited by State or local State law and only if title to the firearms for transfers to individuals and compli- law, when an individual Special (Occu- remains in the business after the Special ance with State or local law, must be met pational) Taxpayer goes out of business, (Occupational) tax stamp expires. Prior to before an application could be approved. the individual may continue to possess a corporation, partnership or other type machineguns lawfully imported or man- of business entity ceasing to exist under If the NFA firearm in the estate was ufactured prior to May 19, 1986 which State law, all NFA firearms registered to imported for use as a “sales sample,” are lawfully registered to the individual. the entity must have been properly trans- this restriction on the firearm’s posses- These firearms may also be transferred ferred to another person. Transfer appli- sion remains. The NFA firearm may only after ATF has approved a proper applications must be submitted and approved be transferred to a Federal firearms cation for transfer under the NFA. before dissolution occurs to avoid placing licensee who has paid the special (occu- the possessors in violation of the NFA. If pational) tax to deal in NFA firearms or to When a corporation, partnership, or the registered machineguns are trans- a government agency. other type of business entity Special ferred to officers or directors of a corpo- (Occupational) Taxpayer goes out of rate registrant or individual partners of a For further information, contact: Bureau business, the business may continue to partnership, the transaction is a transfer of Alcohol, Tobacco, Firearms and Explo- possess pre–86 machineguns registered subject to all applicable provisions of the sives, National Firearms Act Branch. to the business only if the corporation, NFA and GCA, including payment of tax.

189 10. ARMOR PIERCING Armor piercing ammunition includes BLACK STEEL ARMOR PIERCING AMMUNITION the following: AMMUNITION, all calibers, as produced by National Cartridge, Atlanta, Georgia. Under Federal law, it is unlawful for KTW AMMUNITION, all calibers. any person (including licensed importers Identified by a green coating on the pro- BLACK STEEL METAL PIERCING and manufacturers) to import or manu- jectile. AMMUNITION, all calibers, as produced facture armor piercing ammunition un- by National Cartridge, Atlanta, Georgia. less such manufacture is for a govern- ARCANE AMMUNITION, all calibers. mental agency, exportation, or testing/ Identified by a pointed bronze or brass 7.62mm NATO AP, identified by black experimentation. See 18 U.S.C. 922(a) projectile. coloring in the bullet tip. This ammuni- (7),(8); 27 CFR 478.37, 478.148. Li- tion is used by various NATO countries. censed dealers may only transfer armor THV AMMUNITION, all calibers. The U.S. military designation is M61 AP. piercing ammunition to a governmental Identified by a brass or bronze projectile agency if the ammunition was received and a head stamp containing the letters 7.62mm NATO SLAP. Identified by pro- and maintained by the dealer as part of SFM and THV. jectile having a plastic sabot around a hard its business inventory prior to August 28, penetrator. The penetrator protrudes above 1986. See 18 U.S.C. 923(e); 27 CFR CZECHOSLOVAKIAN manufactured the sabot and is similar in appearance to 478.99(e). 9mm Parabellum (Luger) ammunition a Remington accelerator cartridge. having an iron or steel bullet core. Iden- The GCA defines the term “armor tified by a cupronickel jacket and a head PMC ULTRAMAG, .38 Special cali- piercing ammunition” as: stamp containing a triangle, star, and ber, constructed entirely of a brass type dates of 49, 50, 51, or 52. This bullet is material, and a plastic pusher disc locat- (i) a projectile or projectile core attracted to a magnet. ed at the base of the projectile. NOTE: which may be used in a handgun and PMC ULTRAMAG 38J late production which is constructed entirely (exclud- GERMAN manufactured 9mm Par- made of copper with lead alloy projectile ing the presence of traces of other abellum (Luger) having an iron or is not armor piercing. substances) from one or a combi- steel bullet core. Original packaging is nation of tungsten alloys, steel, iron, marked Pistolenpatronen 08 m.E. May OMNISHOCK. A .38 Special cartridge brass, bronze, beryllium copper, or have black colored bullet. This bullet is with a lead bullet containing a mild steel depleted uranium; or attracted to a magnet. core with a flattened head resembling a wad cutter. NOTE: OMNISHOCK car- (ii) a full jacketed projectile larger MSC AMMUNITION, caliber .25. tridges having a bullet with an aluminum than .22 caliber designed and intended Identified by a hollowpoint brass bullet. core are not armor piercing. for use in a handgun and whose jacket NOTE: MSC ammunition, caliber .25 has a weight of more than 25 percent identified by a hollowpoint copper bullet 7.62x39mm with steel core. These of the total weight of the projectile.” is not armor piercing. projectiles have a steel core. NOTE: Projectiles having a lead core with steel jacket or steel case are not armor piercing.

In addition, the Violent Crime Control and Law Enforcement Act of 1994 added to the definition of armor piercing ammunition the following:

"... a full jacketed projectile larger than .22 caliber designed and intended for use in a handgun and whose jacket has a weight of more than 25 percent of the total weight of the projectile."

Exemptions: The following articles are exempted from the definition of armor piercing ammunition.

5.56 mm (.233) SS 109 and M855 Ammunition, identified by a green coating on the projectile tip.

U.S. .30-06 M2AP, identified by a black coating on the projectile tip.

190 QUESTIONS & ANSWERS

TABLE OF CONTENTS

A. GENERAL QUESTIONS ��196 1. Businesses subject to regulation �� 196 2. License or permits to carry firearms �� 196 3. Antique Firearms ��196 4. Ammunition covered by the GCA �� 196 5. Sale of firearms parts ��196 6. Making of firearms for personal use �� 196 7. Prohibited persons ��196 8. Relief from firearms disabilities ��196 9. Pardons, expungements, set asides, and restorations of civil rights �� 196 10. Prohibited person possession of black powder firearm �� 197

B. UNLICENSED PERSONS ��197 1. Transfers of firearms ��197 2. Acquisition of firearms ��197 3. Out–of–State purchases of firearms �� 197 4. Out–of–State purchases of ammunition �� 197 5. Law enforcement officers subject to restraining orders �� 197 6. Mailing firearms through the U.S. Postal Service �� 197 7. Shipment of firearms by common/contract carriers �� 197 8. Interstate shipment of firearms for hunting or other lawful activity �� 198 9. Transporting firearms interstate as part of a move �� 198 10. Residency – general ��198 11. Residency in more than one State �� 198 12. Firearm purchases by legal aliens �� 198 13. Gift to juvenile by parent or guardian �� 198 14. Purchase of handgun between ages of 18 and 21 �� 198 15. Curio or relic firearms ��198 16. Recordkeeping for private firearms transactions �� 198 17. Firearms registration ��198

C. LICENSING ��199 1. Licensing eligibility ��199 2. Application procedure ��199 3. Locations covered by license ��199 4. Dual licensing ��199 5. Operations after expiration ��199 6. Surrender of records ��199 7. Records required to be surrendered �� 199 8. Successor owner – need for license �� 200 9. License to deal at gun shows ��200 10. Change in location ��200

191 D. ATF FORM 4473 — FIREARMS TRANSACTION RECORD �� 200 1. ATF Form 4473 availability ��200 2. Private sales ��200 3. Signing of ATF Form 4473 by the seller �� 200 4. Social security number not required �� 200 5. Means of identification ��200 6. Race and Ethnicity ��200 7. ATF Form 4473 retention of instructions �� 200 8. Transferee unable to complete ATF Form 4473 �� 200 9. Correction of error on ATF Form 4473 �� 200 10. ATF Form 4473 Retention requirements �� 200 11. Power of attorney ��201

E. RECORDS REQUIRED — LICENSEES �� 201 1. Bound book — acquisition and disposition record book �� 201 2. Multiple bound books ��201 3. Acquisition and disposition record book — availability �� 201 4. Time for entries into acquisition and disposition record �� 201 5. Alternate method of maintaining records �� 201 6. Licensee’s responsibility when alternate method authorized �� 201 7. Ammunition — record of acquisition and disposition �� 201 8. Rental firearms — record of acquisition and disposition �� 201 9. Transfer of frame or receiver ��201

F. PERSONAL COLLECTIONS — LICENSEES �� 201 1. Personal collection maintained by licensee �� 201 2. Acquisition and disposition record �� 201 3. How to maintain personal collection �� 202 4. Personal collection to avoid recordkeeping and NICS check �� 202 5. Storage of personal collection at business premises �� 202

G. CONDUCT OF BUSINESS — LICENSEES �� 202 1. Transfers to unlicensed persons �� 202 2. Identification documents ��202 3. Nonlicensed person who does not appear in person at business premises �� 202 4. Compliance with State laws and local published ordinances �� 202 5. Sale to nonlicensed out–of–State resident �� 203 6. Sales to law enforcement agencies and individual officers �� 203 7. Employees less than 21 years of age �� 203 8. Employment of prohibited persons �� 203 9. Reporting multiple sales of pistols or revolvers �� 203 10. Return of pistols or revolvers to the same person from whom received �� 203 11. Filing of multiple sale forms ��203 12. Retention of multiple sale forms by Chief Law Enforcement Officer �� 203 13. Age requirements — ammunition purchases �� 204 14. “Interchangeable” ammunition purchasers — age requirements �� 204 15. Verification — licensees’ status �� 204 16. Verification — multi–licensed entity �� 204 17. Deliveries after license expiration �� 204 18. License to sell ammunition ��204 19. Sales at gun shows ��204 20. Sales at out–of–State gun shows �� 204 21. Mailing firearms through the U.S. Postal Service �� 204 22. Consignment sales ��204

192 23. Reporting lost or stolen firearms �� 204 24. Stolen firearms — records ��205 25. Responses to trace requests ��205 26. Written notification on juveniles and handguns �� 205 27. Shipment of firearms ��205 28. Replacement firearms ��205 29. Transfer of frame or receiver to 18 year old �� 205 30. Transfer of frame or receiver to out–of–state resident �� 205 31. Multiple sales of frames or receivers �� 205 32. Child Safety Lock Act requirements �� 205 33. Secure gun storage or safety device �� 205

H. COLLECTORS ��205 1. Collector’s license ��205 2. What are curio and relic firearms �� 205 3. Collector’s license limitations ��206 4. Collector cannot engage in business �� 206 5. ATF Form 4473 ��206 6. NICS background check requirements �� 206 7. Notification and posting signs concerning juveniles and handguns �� 206 8. Surrender of records ��206

I. MANUFACTURERS ��206 1. Import business not covered by manufacturer’s license �� 206 2. Ammunition manufacturer’s license does not include fireams �� 206 3. Firearms manufacturer’s license does include ammuntion �� 206 4. Reloaders of ammunition ��206 5. Excise taxes ��206 6. Annual Firearms Manufacturing and Exportation Report (ATF F 5300.11) �� 206 7. Zero firearms manufactured or exported �� 206

J. GUNSMITHS ��206 1. Activity requires license ��206 2. Records of acquisition and disposition �� 206 3. ATF Form 4473 ��207 4. Immediate repairs ��207 5. NFA weapon repair ��207 6. Notification and posting signs concerning juveniles and handguns �� 207 7. NICS background check requirements �� 207

K. PAWNBROKERS ��207 1. Procedure to return a pawned firearm �� 207 2. Persons who may redeem pawned firearms �� 207 3. Prohibited categories of persons �� 207 4. Notification and posting signs concerning juveniles and handguns �� 207 5. NICS background check requirements �� 207

L. AUCTIONEERS ��207 1. License requirements ��207 2. Location of sales ��208 3. Licensees conducting business on behalf of an unlicensed auctioneer �� 208

193 M. IMPORTING AND EXPORTING �� 208 1. Importation by licensed dealers �� 208 2. Exportation ��208

N. NATIONAL FIREARMS ACT (NFA) �� 208 1. Firearms regulated by the NFA �� 208 2. Lawful acquisitions ��208 3. Tax on making ��208 4. Tax on transfer ��208 5. Paying tax ��208 6. NFA firearms acquired by State �� 209 7. Unregistered NFA firearms ��209 8. Disposal of unregistered firearm �� 209 9. Exemptions from making/transfer tax �� 209 10. How to qualify to import/manufacture/deal �� 209 11. Payment–special (occupational) tax �� 209 12. Special tax generally required for each activity �� 209 13. Licensed collector–NFA firearms �� 209 14. Parts or kits subject to registration �� 209 15. Acceptable “law enforcement certifications” �� 209 16. Absence of duty to sign “law enforcement certification” �� 210 17. Refusal to sign “law enforcement certification” �� 210 18. Approval to transfer interstate–when required �� 210 19. Disapproved application to transfer interstate–options �� 210 20. Application to transfer prior to receipt not allowed �� 210 21. Pistol and attachable shoulder stock �� 210 22. Evidence of registration required �� 210 23. Status–unloaded grenades, shell casings, etc. �� 210 24. Status–muzzleloading cannons �� 210 25. Status–grenade and rocket launcher attachments �� 210 26. Paintball and/or airgun sound suppressors �� 210 27. Classification of paintball and or airgun silencer �� 210

O. MACHINE GUNS �� 211 1. Manufacture by unlicensed person �� 211 2. Transfers by registered owners �� 211

P. NATIONAL INSTANT CRIMINAL BACKGROUND CHECK SYSTEM (NICS) �� 211 1. Persons who must comply �� 211 2. FBI operates NICS �� 211 3. Agencies that perform NICS checks �� 211 4. States as points of contact for NICS checks �� 211 5. How to find out if you are in a point of contact State �� 211 6. Charge for NICS checks �� 211 7. Enrolling with FBI for access to NICS �� 211 8. Firearms subject to NICS checks �� 211 9. Antique firearms �� 211 10. Transfers between licensees �� 211 11. Transfers of curios or relics by licensed collectors �� 211 12. Loan or rental of firearms �� 211 13. FFL sales at gun shows �� 211 14. Redemption of pawned firearms �� 211 15. Pawnbroker’s disposition of pawned firearm when transfer “denied” �� 212 16. Repeated pawn of same firearm �� 212

194 17. Sale to law enforcement official for personal use �� 212 18. Exceptions to requirement to initiate NICS check �� 212 19. “Cancelled” response from FBI NICS �� 212 20. “Business day” for purposes of NICS check �� 212 21. Transfer of firearm after “delayed” NICS response �� 212 22. Action of licensee after “denied” NICS response �� 212 23. Advice by licensee to proposed transferee denied by NICS �� 212 24. How proposed transferee may learn of reasons for “denied” NICS response �� 212 25. Recording NICS responses on ATF Form 4473 �� 212 26. Keeping ATF Form 4473 when proposed transfer does not occur �� 212 27. When to contact NICS ��213 28. Period of time a NICS check is valid �� 213 29. Multiple firearms transactions ��213 30. Wait time after a “delayed” response �� 213 31. NICS checks after successful appeal of NICS “denial” �� 213 32. NICS alternative permits not covering type of firearm being purchased �� 213 33. NICS alternative permits only valid in State of issuance �� 213 34. Compliance with State waiting periods �� 213 35. NICS checks for transfers to personal collections �� 214 36. Raffling firearms at organizational events �� 214

Q. MISDEMEANOR CRIME OF DOMESTIC VIOLENCE �� 214 1. Definition of misdemeanor crime of domestic violence �� 214 2. No requirement offense be classified as a “domestic violence” offense �� 214 3. Conviction before effective date �� 214 4. Applicable law to determine if “convicted” �� 214 5. What State and local offenses are misdemeanors �� 215 6. Convictions of local criminal ordinances �� 215 7. Relationship not required “element” of predicate crime �� 215 8. Action by convicted individuals �� 215 9. Application to law enforcement officers �� 215 10. Pardons, expungements, set asides, and civil rights �� 215

R. NONIMMIGRANT ALIENS ��215 1. Definition of “nonimmigrant aliens” �� 215 2. Nonimmigrant alien possession of firearms �� 215 3. Waiver ��215 4. Purchase of firearms or ammunition by nonimmigrant alien �� 215 5. Purchase of firearms or ammunition by nonimmigrants without a visa �� 215 6. Alien or admission numbers ��216 7. Permanent resident aliens (“green card” holders) �� 216 8. Use of a State hunting license to claim exemption in a different State �� 216 9. Canadians and alien/admission number �� 216 10. Temporary import permits for hunting and other lawful sporting purposes �� 216 11. Documentation required upon entry to U.S �� 216 12. ATF Form 6A ��216 13. Length of time ATF Form 6 NIA valid �� 216 14. Import permit requirements for antique firearms �� 216 15. Restrictions on firearms that may be temporarily imported �� 216 16. Leaving firearms in the U.S. after receiving a temporary import permit �� 216 17. No export permit required after receiving temporary import permit �� 216 18. Renting firearms while in the U.S. for sporting purposes �� 216 19. Temporary import of firearms by U.S. citizens living abroad �� 217 20. Canadian citizens traveling through the U.S. to get to another part of Canada �� 217 21. Permit requirements for returning to the U.S. with firearms legally purchased in the U.S. �� 217

195 A. GENERAL QUESTIONS lencers and machineguns are also regu- ing at which notice was given to lated as firearms under the GCA, as well the person and at which the person (A1) Does Federal law regulate fire- as under the National Firearms Act (NFA). had an opportunity to participate, arms businesses? and includes a finding that the per- [18 U.S.C. 921(a)(3), (23) and (24); 26 son subject to the order represents Yes. The Gun Control Act (GCA), ad- U.S.C. 5845; 27 CFR 478.11 and 479.11] a credible threat to the intimate ministered by the Bureau of Alcohol, To- partner or child or the intimate part- bacco, Firearms and Explosives (ATF) (A6) Does an individual need a license ner OR explicitly prohibits the use, of the Department of Justice, requires to make a firearm for personal use? attempted use, or threatened use a person obtain a Federal license to of force against the partner; or engage in various firearms businesses No, a license is not required to make (manufacturers, importers, and dealers). a firearm solely for personal use. How- (9) Has been convicted of a ever, a license is required to manufac- misdemeanor crime of domestic [18 U.S.C. 922(a)(1)(A) and 923(a); 27 ture firearms for sale or distribution. The violence cannot lawfully receive, CFR 478.41] law prohibits a person from assembling possess, ship, or transport a fire- a non–sporting semiautomatic rifle or arm or ammunition,is prohibited (A2) Does the Federal Government shotgun from 10 or more imported parts, from shipping, transporting, pos- issue a license or permit to carry a as well as firearms that cannot be de- sessing, or receiving firearms and concealed weapon? tected by metal detectors or x–ray ma- ammunition. chines. In addition, the making of an No. Neither ATF nor any other Fed- NFA firearm requires a tax payment and A person who is under indictment or eral agency issues such a permit or li- advance approval by ATF. information for a crime punishable by im- cense. Carrying permits may be issued prisonment for a term exceeding 1 year by a State or local government. Please [18 U.S.C. 922(o), (p) and (r); 26 U.S.C. cannot lawfully ship, transport, or receive contact your State’s Attorney General’s 5822; 27 CFR 478.39, 479.62 and a firearm or ammunition. Such persons may continue to lawfully possess fire- Office for information regarding permits 479.105] to carry firearms. arms and ammunition obtained prior to the indictment or information, but cannot (A7) Are there persons who cannot do so once the conviction becomes final. (A3) Do antique firearms come with- legally receive or possess firearms in the purview of the GCA? and/or ammunition? [18 U.S.C. 922(g) and (n); 27 CFR 478.32] No, assuming the antique firearm is not Yes, a person who — a replica designed or redesigned for using (A8) Is there a way for a prohibited rimfire or conventional centerfire fixed am- (1) Has been convicted in any person to restore his or her right munition. The antique firearm also cannot court of a crime punishable by im- to receive or possess firearms and be a black powder muzzle loading weap- prisonment for a term exceeding 1 ammunition? on that incorporates a firearm frame or re- year; ceiver, have been converted into a muzzle Although Federal law provides a loading weapon, or uses fixed ammunition (2) Is a fugitive from justice; means for the relief of firearms disabil- (or readily converted to do so). ities, since October 1992, ATF’s annual (3) Is an unlawful user of or ad- appropriation has prohibited the ex- [18 U.S.C. 921(a)(3) and (16); 27 CFR dicted to any controlled substance; pending of any funds to investigate or 478.11 and 478.141(d)] act upon applications for relief from Fed- (4) Has been adjudicated as a eral firearms disabilities submitted by (A4) Does the GCA regulate ammuni- mental defective or has been com- individuals. As long as this provision is tion businesses? mitted to a mental institution; included in current ATF appropriations, the Bureau cannot act upon applications Yes. A license is required to import or (5) Is an alien illegally or un- for relief from Federal firearms disabili- manufacture ammunition. However, a li- lawfully in the United States or an ties submitted by individuals. cense is not required to deal only in am- alien admitted to the United States munition. Ammunition includes cartridge under a nonimmigrant visa; [18 U.S.C. 925(c); 27 CFR 478.144] cases, primers, bullets or propellant powder designed for use in any firearm (6) Has been discharged from (A9) If a person has been convict- other than an antique firearm. the Armed Forces under dishonor- ed of a disabling offense, is there able conditions; a means other then relief to have [18 U.S.C. 921(a)(17), 922(a)(1)(B) and firearms rights restored? 923(a); 27 CFR 478.11] (7) Having been a citizen of the United States, has renounced his Persons convicted of a Federal of- (A5) Does the GCA control the sale or her citizenship; fense may apply for a Presidential par- of firearms parts? don. 28 CFR Part I specifies the rules (8) Is subject to a court order governing petitions for obtaining Pres- No, except that frames or receivers of that restrains the person from ha- idential pardons. You may contact the firearms are “firearms” as defined inthe rassing, stalking, or threatening an Pardon Attorney’s Office at the U.S. De- law and are subject to the same controls intimate partner or child of such in- partment of Justice, Washington, DC, to as complete firearms. Certain parts of si- timate partner issued after a hear- inquire about the procedures for obtaining a Presidential pardon.

196 Persons convicted of a State offense A person may loan or rent a firearm to (B5) Do law enforcement officers who may contact the State Attorney Gener- a resident of any State for temporary use are subject to restraining orders and al’s Office in the State of their conviction for lawful sporting purposes, if he or she who receive and possess firearms for for information concerning the availabili- or she does not know or have reasonable purposes of carrying out their official ty of expungements, set asides, pardons cause to believe the person is prohibited duties violate the law? and civil rights restoration. from receiving or possessing firearms under Federal law. Another exception is No. Although generally the GCA pro- [18 U.S.C. 921(a)(20) and (a)(33); 27 provided for transfers of firearms to non- hibits the receipt and possession of fire- CFR 478.11 and 478.142] residents to carry out a lawful bequest or arms and ammunition by persons subject acquisition by intestate succession. This to disqualifying restraining orders, the (A10) Can a person prohibited by exception would authorize the transfer of GCA does not prohibit a law enforcement law from possessing a firearm own a a firearm to a nonresident who inherits a officer subject to a restraining order from black powder firearm? firearm under the will of a decedent. receiving or possessing firearms or ammunition for use in performing official du- Because black powder firearms are A person may transfer a firearm to a ties. Possession of the firearm for official considered antique firearms, the pos- licensee in any State. However, a firearm purposes while off duty would be lawful session of a black powder firearm by a other than a curio or relic may not be trans- if such possession is required or autho- person subject to Federal firearms dis- ferred interstate to a licensed collector. rized by law or by official departmental abilities is not prohibited by the GCA. policy. An officer subject to a disabling re- However, a person subject to Federal [18 U.S.C 922(a)(5) and 922(d); 27 CFR straining order would violate the law if the firearms disabilities may not receive 478.30, 478.32] officer received or possessed a firearm or and/or possess black powder firearms ammunition for other than official use. that can be readily converted to fire fixed (B2) May an unlicensed person ammunition by replacing the barrel, bolt, acquire a firearm under the GCA in [18 U.S.C. 921(a)(32), 922(g)(8) and breechblock, or any combination there- any State? 925(a)(1); 27 CFR 478.11, 478.32 and of which are classified as “firearms.” 478.141] Additionally, State law may prohibit the Generally, a person may only acquire possession of a black powder firearm by a firearm within the person’s own State. (B6) May a nonlicensee mail a persons who are not Federally prohibit- Exceptions include the acquisition pursu- firearm through the U.S. Postal ed from possessing them. Please con- ant to a lawful bequest, or an over–the– Service? tact your State Attorney General’s Office counter acquisition of a rifle or shotgun for information regarding black powder from a licensee where the transaction A nonlicensee may mail a shotgun or firearms. is allowed by the purchaser’s State of rifle to a resident of his or her own State residence and the licensee’s State of or to a licensee in any State. The Post- [18 U.S.C. 921(a)(3) and (16); 27 CFR business. A person may borrow or rent al Service recommends that long guns 478.11 and 478.141(d)] a firearm in any State for temporary use be sent by registered mail and that no for lawful sporting purposes. marking of any kind which would indi- B. UNLICENSED PERSONS cate the nature of the contents be placed [18 U.S.C 922(a)(3); 27 CFR 478.29] on the outside of any parcel containing (B1) To whom may an unlicensed firearms. Handguns may not be mailed. person transfer firearms under the (B3) How may an unlicensed person A common or contract carrier must be GCA? receive a firearm in his or her State used to ship a handgun. that he or she or she purchased A person may transfer a firearm to an from an out–of–State source? [18 U.S.C. 1715, 922(a)(5) and 922 (a) unlicensed resident of his or her State, (2)(A); 27 CFR 478.31] provided the transferor does not know An unlicensed person who is not pro- or have reasonable cause to believe the hibited from receiving or possessing (B7) May a nonlicensee ship a fire- transferee is prohibited from receiving or firearms may purchase a firearm from arm by common or contract carrier? possessing firearms under Federal law. an out–of–State source, provided the There may be State laws that regulate transfer takes place through a Federal A nonlicensee may ship a firearm by intrastate firearm transactions. A person firearms licensee in his or her State of a common or contract carrier to a resi- considering transferring a firearm should residence. dent of his or her or her own State or to a contact his or her State Attorney Gener- licensee in any State. A common or con- al’s Office to inquire about the laws and [18 U.S.C 922(a)(3) and 922(b)(3); 27 tract carrier must be used to ship a hand- possible State or local restrictions. CFR 478.29] gun. In addition, Federal law requires that the carrier be notified that the shipment Generally, for a person to lawfully (B4) May an unlicensed person contains a firearm or ammunition, prohib- transfer a firearm to an unlicensed per- obtain ammunition from an out–of– its common or contract carriers from re- son who resides out of State, the firearm State source? quiring or causing any label to be placed must be shipped to a Federal firearms on any package indicating that it contains licensee (FFL) within the transferee’s Yes, provided he or she or she is not a firearm and requires obtaining written State of residence. The transferee may prohibited from possessing or receiving acknowledgement of receipt. then receive the firearm from the FFL ammunition. upon completion of an ATF Form 4473 [18 U.S.C. 922(a)(2)(A), 922(a)(5), 922(e) and a NICS background check. [18 U.S.C. 922(g) and (n)] and (f); 27 CFR 478.30 and 478.31]

197 (B8) May a nonlicensee ship fire- (B11) May a person who resides There may be State or local laws arms interstate for his or her use in in one State and owns property in or regulations that govern this type of hunting or other lawful activity? another State purchase a firearm in transaction. Contact the office of your either State? State Attorney General for information Yes. A person may ship a firearm to on any such requirements. himself or herself in care of another If a person maintains a home in 2 person in the State where he or she or States and resides in both States for cer- [18 U.S.C. 922(b)(1)] she intends to hunt or engage in any tain periods of the year, he or she may, other lawful ac-tivity. The package during the period of time the person ac- (B15) Are curio or relic firearms should be addressed to the owner “in tually resides in a particular State, pur- exempt from the provisions of the the care of” the out–of–State resident. chase a firearm in that State. However, GCA? Upon reaching its destination, pers- simply owning property in another State ons other than the owner may not does not alone qualify the person to pur- No. Curios or relics are still firearms open the package or take pos-session chase a firearm in that State. subject to the provisions of the GCA; of the firearm. however, curio or relic firearms may be [27 CFR 478.11] transferred in interstate commerce to li- (B9) May a person who is censed collectors or other licensees. relocating out–of–State move (B12) May aliens legally in the United firearms with other household States purchase firearms? [18. U.S.C. 921(a)(3) and (13) and goods? 923(b); 27 CFR 478.11] Yes. A person who lawfully An alien legally in the U.S. is not pro- possess-es a firearm may transport or hibited from purchasing firearms unless (B16) What recordkeeping proce- ship the firearm interstate when the alien is admitted into the U.S. under dures should be followed when changing his or her State of resi- nonimmigrant visa and does not meet two unlicensed individuals want to dence. If using a moving company, one of the exceptions as provided in 18 engage in a firearms transaction? the person must no-tify the mover that U.S.C. 922(y)(2), such as possession of firearms are being transported. a valid hunting license or permit. When a transaction takes place between unlicensed persons who reside in Certain NFA firearms must have [18 U.S.C. 922 (d)(5), (g)(5) and (y)(2); the same State, the GCA does not require prior approval from ATF before such 27 CFR 478.11 and 478.32(a)(5) ] any record keeping. An unlicensed person firearms may be moved interstate. He may sell a firearm to another unlicensed or she or she should also check State (B13) May a parent or guardian pur- person in his or her State of residence and local laws where relocating to chase firearms or ammunition as a and, similarly, an unlicensed person may ensure that movement of firearms into gift for a juvenile (less than 18 years buy a firearm from another unlicensed the new State does not violate any of age)? person who resides in the same State. It State law or local ordinance. is not necessary under Federal law for a [18 U.S.C. 922(a)(4) and 922(e); Yes. However, persons less than 18 Federal firearms licensee (FFL) to assist 27 CFR 478.28 and 478.31] years of age may only receive and pos- in the sale or transfer when the buyer and sess handguns with the written permis- seller are “same–State” residents. (B10) What constitutes residency in sion of a parent or guardian for limited a State? purposes, e.g., employment, ranching, There may be State or local laws farming, target practice or hunting. or regulations that govern this type of For GCA purposes, a person is a resi- transaction. Contact the office of your dent of a State in which he or she is pres- [18 U.S.C. 922(x)] State Attorney General for information ent with the intention of making a home regarding any such requirements. in that State. The State of residence for (B14) May an individual between the a corporation or other business entity is ages of 18 and 21 years of age ac- (B17) How does a person register the State where it maintains a place of quire a handgun from an unlicensed a firearm or remove a name from a business. A member of the Armed Forc- individual who is also a resident of firearms registration? es on active duty is a resident of the that same State? State in which his or her or her perma- Only those firearms subject to the nent duty station is located. If a member An individual between 18 and 21 National Firearms Act (NFA) (e.g., ma- of the Armed Forces maintains a home years of age may acquire a handgun chineguns, short–barreled rifles and in one State and the member’s perma- from an unlicensed individual who re- shotguns, silencers, destructive devices, nent duty station is in a nearby State to sides in the same State, provided the and firearms designated as “any other which he or she or she commutes each person acquiring the handgun is not weapons”) must be registered with ATF. day, then the member has two States of otherwise prohibited from receiving residence and may purchase a firearm or possessing firearms under Federal Firearms registration may be required in either the State where the duty station law. A Federal firearms licensee may by State or local law. Any person consid- is located or the State where the home not, however, sell or deliver a firearm ering acquiring a firearm should contact is maintained. other than a shotgun or rifle to a per- his or her State Attorney General’s Of- son the licensee knows or has reason- fice to inquire about the laws and possi- [18 U.S.C. 921(b), 922(a)(3), and 922(b) able cause to believe is under 21 years ble State or local restrictions. (3); 27 CFR 478.11] of age. [26 U.S.C. 5841; 27 CFR 479.101]]

198 C. LICENSING arms are sold under the license to per- cense, or an ATF Form 7CR, Application sons who are not licensees (“secure gun for License (Collector of Curios or Rel- (C1) Who is eligible for a firearms storage or safety device” is defined in 18 ics), as required by 27 CFR 478.44. license? U.S.C. 921(a)(34)). [27 CFR 478.45] An application for a Federal firearms [18 U.S.C. 923(d)(1); 27 CFR 478.47(b)] license will be approved if the applicant: (C6) Must a licensed importer’s, (C2) How does one get a license? manufacturer’s, or dealer’s records • Is 21 years of age or over; be surrendered to ATF if the licensee Submit ATF Form 7, Application for Li- discontinues business? • Is not prohibited from shipping, cense, or ATF Form 7CR, Application for transporting, receiving or possessing License (Collector of Curios or Relics), If the business is being discontinued firearms or ammunition, nor in the with the appropriate fee in accordance completely, the licensed dealer, manu- case of a corporation, partnership, with the instructions on the form to ATF. facturer or importer is required to submit or association, is any individual pos- An application packet may be obtained all records to ATF within 30 days . Re- sessing, directly or indirectly, the pow- by contacting the ATF Distribution Center. cords may be delivered to an ATF office er to direct or cause the direction of or shipped to the following address: the management and policies of the [18 U.S.C. 923; 27 CFR 478.44] corporation, partnership, or associa- BUREAU OF ATF tion prohibited from shipping, trans- (C3) May one license cover several ATF OUT–OF–BUSINESS RECORDS porting, receiving or possessing fire- locations? CENTER arms or ammunition; 244 NEEDY ROAD No. A separate license must be ob- MARTINSBURG, WV 25405 • Has not willfully violated the GCA tained for each location. However, sepa- or its regulations; rate facilities solely to store firearms are A licensee discontinuing business not required to be covered by a sepa- • Has not willfully failed to disclose must also notify the Federal Firearms rate license, although the records main- Licensing Center within 30 days. material information or has not made tained at the licensed premises must false statements concerning material reflect all firearms held in the separate If someone is taking over the busi- facts in connection with his or her ap- storage facility. plication; ness, the original licensee should un- derline the final entry in each acqui- [18 U.S.C. 923(a); 27 CFR 478.42 and sition and disposition (A&D) record, • Has premises for conducting busi- 478.50] ness or collecting; and note the date of transfer, and forward all records and forms to the successor (C4) Does an importer or manufac- • The applicant certifies that: (who must apply for and receive his or turer of firearms also need a dealer’s her own license before lawfully engag- license? (1) the business to be conducting in business) or forward the records and forms to the ATF Out–of–Business ed under the license is not pro- No, as long as the importer or man- hibited by State or local law in the Records Center. If the successor licens- ufacturer is engaged in the business of ee receives records and forms from the place where the licensed premises dealing in firearms at the licensed premis located; original licensee, the successor licensee ises in the same type of firearms autho- may choose to forward those records rized by the importer’s or manufacturer’s and forms to the ATF Out–of– Business (2) within 30 days after the ap- license. plication is approved the business Record Center. will comply with the requirements [27 CFR 478.41(b)] of State and local law applicable to [18 U.S.C. 923(g)(4); 27 CFR 478.57(a) the conduct of the business; and, 478.127] (C5) If a person timely files an application for renewal of a license (3) the business will not be (C7) What records are licensees and the present license expires prior conducted under the license until required to forward to ATF upon to receipt of the new license, may the requirements of State and lo- discontinuance of business? the person continue to conduct the cal law applicable to the business business covered by the expired have been met; The records consist of the licens- license? ee’s acquisition and disposition (A/D) (4) the applicant has sent or de- records, ATF Forms 4473, ATF Forms Yes. A person who timely files an ap- livered a form to the chief law en- 3310.4 (Report of Multiple Sale or plication for renewal of a license may forcement officer where the prem- Other Disposition of Pistols and Re- continue operations authorized by the ises is located notifying the officer volvers), ATF Forms 3310.11 (Federal expired license until final action is taken that the applicant intends to apply Firearms Licensee Theft/Loss Report), on the application. for a license; and records of importation (ATF Forms 6 and 6A), and law enforcement certifi- If a person does not timely file a li- * if the applicant is to be a licensed cation letters. cense renewal application and the li- dealer, the applicant certifies that se- cense expires, the person must file a cure gun storage or safety devices will [18 U.S.C. 923(g)(4); 27 CFR 478.127] new ATF Form 7, Application for Li- be available at any place in which fire-

199 (C8) Must a person obtain his or censed manufacturer, importer, or dealer. be maintained with the Form 4473 her own firearms license if he or as part of a licensee’s permanent she purchases an existing firearms [18 U.S.C. 923(g); 27 CFR 478.124] firearms records? business? (D3) Who signs the ATF Form 4473 Yes. Yes. Each person intending to engage for the seller? in business as a firearms dealer, import- [27 CFR 478.21] er or manufacturer, or an ammunition The ATF Form 4473 must be signed importer or manufacturer must obtain by the person who verified the identity (D8) If a buyer or transferee is un- the required Federal firearms license of the buyer. able to read and or write but wants prior to commencing business. to purchase a firearm, how may the (D4) Must a transferee provide his transfer legally be completed? [18 U.S.C. 923(a); 27 CFR 478.41] or her social security number on the ATF Form 4473? If the buyer or transferee is unable to (C9) May a person obtain a dealer’s read and/ or write, the answers (other license to engage in business only No. This information is solicited on an than the signature) may be written on the at gun shows? optional basis. However, providing this inform by another person, excluding the formation will help ensure the lawfulness seller. Two persons not directly involved No. A license may only be issued for of the sale and avoid the possibility that in the firearms transaction (excluding, for a permanent premises at which the li- the transferee will be incorrectly identified example, the licensee and employees of cense applicant intends to do business. as a felon or other prohibited person. the licensee) must sign as witnesses to A person having such license may con- the buyer’s answers and signature. duct business temporarily at gun shows [27 CFR 478.124] located in the State in which the licensed [27 CFR 478.21] premises is located, and sell and deliver (D5) Is a Social Security card a prop- curio or relic firearms to other licensees er means of identification for pur- (D9) If a licensee notices an error on at any location. chasing a firearm from a licensee? the ATF Form 4473 after the transfer, what is the procedure to record the [18 U.S.C. 923(a) and (j); 27 CFR No. An identification document must correct information? 478.100] contain the name, residence address, date of birth and photograph of the hold- If the licensee or the buyer/transferee (C10) Does a person need to obtain er. A Social Security card does not, by discovers that an ATF Form 4473 is in- a new license if an existing firearms itself, contain sufficient information to complete or improperly completed after business is moved to a new location? identify a firearms purchaser. However, the firearm(s) has been transferred, the a purchaser may be identified by any licensee should photocopy the inaccurate Yes. To change a business location, combination of government–issued doc- form and make any necessary additions a licensee must file an application for an uments which together establish all of or revisions to the photocopy. The buyer/ amended license, ATF Form 5300.38, not the required information. transferee should only make changes to less than 30 days prior to the move. An Sections A and C. The licensee should amended license must be obtained be- [27 CFR 478.11 and 478.124(c)] only make changes to Sections B and D. fore commencing business at the new lo- Whoever made the changes should ini- cation. Once the new license is obtained, (D6) Why does ATF Form 4473 ask tial and date the changes. The corrected the licensee may no longer conduct busi- for race and ethnicity? photocopy should be attached to the orig- ness at the former business premises. inal ATF Form 4473 and retained as part The purpose for requiring prospective of the licensee’s permanent records. [27 CFR 478.52] purchasers of firearms to identify their ra- cial and ethnic background is to aid law [27 CFR 478.21] D. ATF FORM 4473, FIREARMS enforcement in accurately tracing firearms TRANSACTION RECORD found in crimes and better enable Federal (D10) How long are licensees re- firearms licensees to identify the purchas- quired to maintain ATF Forms 4473? (D1) Where can a Federal firearms er during the background check portion licensee get ATF Forms 4473? of a firearms transaction. To collect this Licensees shall retain each ATF Form identifying information, ATF was required 4473 for a period of not less than 20 ATF Forms 4473 are available free of to follow the race and ethnicity standards years after the date of sale or disposition. charge from the ATF Distribution Center. and format for administrative forms and Where a licensee has initiated a NICS Forms may be ordered online at www. records established by the Office of Man- check for a proposed firearms transac- atf.gov. Please order a quantity of forms agement and Budget (OMB). These stan- tion, but the sale, delivery, or transfer of estimated for 6 months use. dards were first published by OMB in the the firearm is not made, the licensee shall Federal Register on October 30, 1997, record any transaction number on the (D2) Is an ATF Form 4473 required and became effective on January 1, 2003. Form 4473, and retain the Form 4473 for when an unlicensed person sells or a period of not less than 5 years after the disposes a firearm? [62 Fed. Reg. 58782 (October 30, 1997)] date of the NICS inquiry.

No. The ATF Form 4473 is required (D7) Are the instructions attached [18 U.S.C. 923(g)(1)(A); 27 CFR only for sales or dispositions by a li- to the ATF Form 4473 required to 478.129(b)]

200 (D11) May an ATF Form 4473 be com- taining the required information cords of acquisition and disposition pleted for the transfer of a firearm by a are available for inspection and are for ammunition? person holding a Power of Attorney? separate from other commercial documents, dealers have 7 days Licensees are required to keep re- No. A licensee is required to obtain from the time of receipt to record cords for armor piercing ammunition. an ATF Form 4473 from the transferee the receipt in the acquisition and who must certify that he or she is not disposition (A&D) record. [18 U.S.C. 922(b)(5); 27 CFR 478.122, prohibited from receiving or possessing 478.123, and 478.125] a firearm, and whose identity the licens- 2. Manufacturer Acquisitions: ee must verify prior to transfer. A licens- (E8) Do licensees need to record the ee cannot comply with these provisions Each licensed manufacturer rental of a firearm in the acquisition where a Form 4473 is completed by a shall record each firearm manu- and disposition (A&D) record? person other than the actual transferee. factured or otherwise acquired not later than the 7th day following the Yes, if the firearm is taken off the [18 U.S.C. 923(g); 27 CFR 478.124] date of such manufacture or other premises of the licensee. However, no acquisition. disposition entry is required for the loan E. RECORDS REQUIRED – or rental of a firearm for use only on the LICENSEES 3. Importer Acquisitions: premises of the licensee.

(E1) What is a “bound book?” Each licensed importer shall [27 CFR 478.97] within 15 days of the date of impor- The firearms acquisition and dispo- tation or other acquisition record the (E9) How should a licensee record sition (A&D) record, also known as a required information of each firearm in his or her records the transfer of “bound book”, is a permanently bound imported or otherwise acquired. a frame or receiver to an unlicensed book or an orderly arrangement of purchaser? loose–leaf pages which must be main- 4. Dispositions: tained at the business premises. The A licensee must record in the acqui- format must follow that prescribed in the All licensees shall record sales sition and disposition record and on the regulations and the pages must be num- or other dispositions not later than bered consecutively. 7 days following date of the trans- ATF Form 4473 the type of firearm as action. If a disposition is made a “frame” or “receiver” (as applicable). [18 U.S.C. 923(g)(1)(A); 27 CFR before the acquisition has been The licensee must also include in any 478.121 and 478.125] entered in the A&D record, the ac- record the make, model, and serial num- quisition entry must be made at the ber of the frame or receiver. (E2) May a licensee keep more than same time as the disposition entry. one “bound book” at the same time? As a frame or receiver is neither a [18 U.S.C. 923(g)(1)(A); 27 CFR shotgun nor a rifle, a licensee is prohib- Yes. A licensee is not limited to using 478.122, 123, and 125] ited from selling or delivering a frame or only one “bound book.” It may be conve- receiver to any individual the licensee nient for a licensee to account for different (E5) May a licensee seek an alternate knows or has reasonable cause to be- brands or types of firearms, or business method of maintaining records? lieve is less than 21 years of age. activities (e.g., retail, pawn, or gunsmith inventories), in separate “bound books.” Yes. The licensee may request an al- [18 U.S.C. 922(b)(5), 27 CFR 478.11] ternate method to maintain records. (E3) Does the Government sell F. PERSONAL COLLECTIONS– firearms acquisition and disposition [27 CFR 478.22, 478.122(c), 478.123(c), LICENSEES record books for licensees to use in and 478.125(h)] recording their receipts and disposi- (F1) May a licensee maintain a per- tions of firearms? (E6) What is the licensee’s respon- sonal collection of firearms? sibility where an alternate meth- No, however, some private vendors od to maintain records has been Yes. may have them available for purchase. authorized? [18 U.S.C. 923(c); 27 CFR 478.125a] (E4) How much time does a licensee The ATF letter authorizing the alter- have to record the acquisition and nate method must be kept at the licensed (F2) Does a licensee have to record disposition of firearms? premises and available for inspection. firearms acquired prior to obtaining For businesses with more than a single the license in his or her acquisition 1. Dealer Acquisitions: licensed outlet, each outlet covered by and disposition record? the alternate method must have a copy Generally, for licensed dealers of the letter authorizing the change. Firearms acquired by a licensee prior the purchase or other acquisition to obtaining a license must be recorded of a firearm shall be recorded not [27 CFR 478.22, 478.122(c), 478.123(c), as business inventory in the acquisition later than the close of the next and 478.125(h)] and disposition record if the licensee in- business day following the date of tends to sell the firearm. All firearms ac- the acquisition or purchase. How- (E7) Do licensees need to keep required after obtaining a firearms license ever, if commercial records con-

201 must be recorded as an acquisition in 1. The licensee must have the to supply State issued documents. If the the acquisition and disposition record as transferee complete and sign ATF State recognizes the hunting license or business inventory. Form 4473, Firearms Transaction permit as government issued, then this Record. license or permit would qualify as being [18 U.S.C. 923(c); 27 CFR 478.125a] government issued for the purposes of 2. The licensee must verify the supplementing another government is- (F3) How can a licensee maintain a identity of the transferee through a sued identification document. personal collection of firearms? government–issued photo identification. A description of the location of the A licensee may log business firearms residence on an identification document, out of the acquisition and disposition 3. Unless an exception applies, such as a rural route, is sufficient to con- record as a personal firearm. If that fire- the licensee must contact NICS stitute a residence address provided the arm is sold within a year of having been through either the FBI or a State purchaser resides in a State or locality transferred to the licensee’s personal point of contact (POC). A licens- where it is considered to be a legal resi- collection, the licensee must re–enter the ee may not transfer a firearm unless dence address. firearm in the business acquisition and the licensee receives a “proceed” re- disposition record, and sell or transfer sponse, or three business days have [18 U.S.C. 922(t); 27 CFR 478.11 and the firearm as business inventory, includ- elapsed since the licensee contacted 478.124] ing completing an ATF Form 4473 and a NICS, and the system has not notified NICS background check if required. If, the licensee that the receipt of a fire- (G3) May a licensee transfer a fire- however, the firearm is held in the per- arm by such other person would vio- arm to a nonlicensed individual who sonal collection of the licensee for more late the law. Licensees contacting the does not appear in person at the than one year, the firearm may be sold as FBI directly and receiving a “delayed” licensed premises? the licensee’s personal firearm. Although response will receive information from no ATF Form 4473 or NICS background the FBI indicating when the 3 business Assuming the transfer otherwise check is required, the licensee must re- day time period elapses. A licensee complies with Federal and State law, cord the disposition of the personal fire- may not transfer a firearm where a a licensee may transfer a firearm to a arm in a personal disposition record. “denied” response is issued by NICS. nonlicensed person who does not appear in person at the licensed prem- [18 U.S.C. 923(c); 27 CFR 478.125a] (G2) What form of identification ises only when a background check must a licensee obtain from a trans- is not required to transfer the firearm, (F4) May a licensee create a per- feree of a firearm? and both reside in the same State. For sonal collection to avoid the re- example, a licensee may ship firearms cordkeeping and NICS background The identification document present- to residents within the same State as check requirements of the GCA? ed by the transferee must have a pho- the licensee where the transferee has tograph of the transferee, as well as a valid permit that has been recognized No. The law presumes that any fire- the transferee’s name, residence ad- as an alternative to NICS where the arm transferred to a personal collection dress, and date of birth. The identifica- licensee complies with the procedures for the purpose of willfully evading the tion document must also be valid (e.g., set forth in 18 U.S.C. 922(c), 27 CFR restrictions placed upon licensees re- unexpired) and have been issued by a 478.96(b) and ATF Procedure 2013–2. mains business inventory. governmental entity for the purpose of In any transaction where a NICS check identification of individuals. An example is required, the firearm must be sold [18 U.S.C. 923(c)] of an acceptable identification document over–the–counter. is a current driver’s license. (F5) May a licensee store personal [18 U.S.C. 922(c) and 922(t); 27 CFR firearms at the business premises? A combination of government issued 478.96 and 478.124; ATF Procedure documents may be used to meet the 2013–2] Yes, however, such firearms must requirements of an identification document. For example, a passport which be kept segregated from the licensee’s (G4) Does Federal law require licens- contains the name, date of birth, and business inventory. A presumption ex- ees to comply with State laws and photograph of the holder may be com- ists that all firearms on a licensee’s busi- local published ordinances when bined with a voter or vehicle registration ness premises are for sale and must be selling firearms? entered in the licensee’s bound book. card containing the residence address of the transferee in order to comply with the Licensees should appropriately identify Yes. It is unlawful for any licensed im- identification document requirements. A or tag personal firearms as “not for sale.” porter, licensed manufacturer, licensed passport issued by a foreign govern- dealer, or licensed collector to sell or de- ment is also acceptable so long as it has G. CONDUCT OF BUSINESS — liver any firearm to any person if the per- all of the required information. LICENSEES son’s purchase or possession would be in violation of any State law or local pub- Whether a hunting license or permit (G1) What steps must licensee take lished ordinance applicable at the place issued by a retailer meets the definition prior to transferring a firearm to an of sale, delivery or other disposition. unlicensed person? of an identification document is State law specific. This license or permit meets the definition of an identification [18 U.S.C. 922(b)(2); 27 CFR 478.99(b) The following steps must be followed (2)] prior to transferring a firearm: document if the State in which the retailer is located has authorized the retailer

202 (G5) May a licensee sell a firearm to ever, a person less than 18 years of age person acquires another handgun a nonlicensee who is a resident of must have the prior written consent of a the next day (Sunday), the follow- another State? parent or guardian and the written con- ing Saturday or Sunday, or the Sat- sent must be in the person’s possession urday after that, the reporting re- Generally, a firearm may not lawfully at all times. Also, the parent or guard- quirement would be triggered, the be sold by a licensee to a nonlicens- ian giving the written consent may not subsequent acquisition of a pistol or ee who resides in a State other than be prohibited by law from possessing a revolver would have to be reported the State in which the seller’s licensed firearm. Moreover, State law must not on a Form 3310.4 by the close of premises is located. However, the sale prohibit a person less than 18 years of the day upon which the second or may be made if the firearm is shipped age from possessing the handguns or subsequent pistol or revolver was to a licensee whose business is in the ammunition. sold. purchaser’s State of residence and the purchaser takes delivery of the firearm [18 U.S.C. 922(x)] [18 U.S.C. 923(g)(3); 27 CFR 478.126a] from the licensee in his or her State of residence. In addition, a licensee may (G8) May a licensee employ an (G10) Does a licensee have to sell a rifle or shotgun to a person who individual who is prohibited from prepare a multiple sale report for is not a resident of the State where the receiving or possessing firearms the return of two or more pistols or licensee’s business premises is locat- and ammunition? revolvers to the same person from ed in an over–the–counter transaction, whom they were received? provided the transaction complies with A licensee may not allow an individual State law in the State where the licens- who is a prohibited person to receive or No. A multiple sale report is not re- ee is located and in the State where the possess firearms or ammunition, includ- quired for the return of firearms to the purchaser resides. ing persons employed by the licensee. same individual such as a pawn redemption, consignment or repair. [18 U.S.C. 922(b)(3); 27 CFR 478.99(a)] [18 U.S.C. 922(g) or (n), and 2] [27 CFR 478.126a] (G6) May a licensee sell firearms to (G9) Must a licensee advise ATF if law enforcement agencies and indi- two or more pistols or revolvers are (G11) Where does a licensee sub- vidual officers? sold or otherwise disposed of to an mit the ATF Form 3310.4, Report of unlicensed person? Multiple Sale or Other Disposition of Yes. Law enforcement officers pur- Pistols and Revolvers? chasing firearms for official use who The disposition of two or more pis- provide a licensee with a certification tols or revolvers to any nonlicensee ATF Form 3310.4 must be complet- on agency letterhead that the officer during a period of 5 consecutive busi- ed in triplicate (3 copies). The original will use the firearm in official duties ness days must be reported on ATF is sent to ATF’s National Tracing Center and that a records check reveals the Form 3310.4, Report of Multiple Sale by FAX at 1–877–283–0288, by email at purchasing officer has no convictions or Other Disposition of Pistols and Re- [email protected], for misdemeanor crimes of domestic volvers, not later than the close of the or by mail to U.S. Department of Jus- violence are not required to complete business day on the day of disposition tice, Bureau of Alcohol, Tobacco, Fire- a ATF Form 4473 or undergo a back- of the second pistol or revolver. The arms and Explosives, National Tracing ground check. An officer purchasing a licensee must forward a copy of the Center, P.O. Box 0279, Kearneysville, firearm for official duties may purchase Form 3310.4 to the ATF office speci- WV 25430–0279. A copy is to be sent the firearm from a licensee in any State, fied thereon, and another copy must to the designated State police or the regardless of where the officer resides be forwarded to the State police or local law enforcement agency in the or the agency is located. Disposition of local law enforcement agency where jurisdiction where the sale took place. a firearm to an officer must be entered the sale occurred. A copy of the Form The remaining copy is to be attached into the licensee’s acquisition and dis- 3310.4 must also be attached to the to the corresponding ATF Form 4473 position record, and the certification ATF Form 4473 executed upon deliv- and retained in the licensee’s records letter used to purchase the firearm ery of the pistols or revolvers. for a period of not less than 5 years. must be retained in the licensee’s files. Contact your State’s Attorney General’s A business day for purposes of report- [27 CFR 478.126a and 478.129] Office to ensure there is no State prohi- ing multiple sales of pistols or revolvers bition on such sales. is a day that a licensee conducts busi- (G12) How long may Chief Law En- ness pursuant to the license, regardless forcement Officers (CLEOs) retains [18 U.S.C. 925(a)(1); 27 CFR 478.134 of whether State offices are open. The multiple sale reports? and 478.141] application of the term “business day” is, therefore, distinguishable from the term Federal law, 18 U.S.C. 923(g)(3)(B), (G7) May a licensee employ an “business day” as used in the NICS con- provides that Chief Law Enforcement individual who is less than 21 years text. Officers (CLEOs) receiving copies of of age if the licensee sells handguns ATF Form 3310.4 from FFLs for sales and ammunition suitable for use in Example: A licensee conducts to nonprohibited persons may not dis- handguns? business only on Saturdays and close the contents of the forms and must Sundays, days on which State offic- destroy the forms and any record of the Yes. An individual less than 21 years es are not open. The licensee sells content of the forms within 20 days of of age may sell handguns and ammuni- a pistol to an unlicensed person on receipt. tion suitable for use in handguns. How- a Saturday. If that same unlicensed

203 (G13) Does a customer have to be a [27 CFR 478.94] Yes. Licensees may mail an unload- certain age to buy firearms or am- ed handgun to another licensee in cus- munition from a licensee? (G17) May a licensee continue to sell tomary trade shipments. Handguns may or dispose of firearms to a licensee also be mailed to any officer, employee, Yes. Under the GCA, shotguns and whose license has expired? agent, or watchman who is eligible un- rifles, and ammunition for shotguns or der 18 U.S.C. 1715 to receive pistols, rifles may be sold only to individuals 18 Yes, for a period of 45 days following the revolvers, and other firearms capable of years of age or older. All firearms other date of expiration of the license. After the being concealed on the person for use in than shotguns and rifles, and all ammuni- 45–day period, the transferor is required to connection with his or her official duties. tion other than ammunition for shotguns verify the licensed status of the transferee or rifles may be sold only to individuals with the Chief, Firearms Licensing Center. However, postal service regulations 21 years of age or older. Licensees are must be followed. Any person propos- bound by the minimum age requirements [27 CFR 478.94] ing to mail a handgun must file with the established by the GCA regardless of postmaster, at the time of mailing, an af- State or local law. However, if State law (G18) Is a license required to engage fidavit signed by the addressee stating or local ordinances establish a higher in the business of selling small arms that the addressee is qualified to receive minimum age for the purchase or dispo- ammunition? the firearm, and the affidavit must bear sition of firearms, the licensee must ob- a certificate stating that the firearm is for serve the higher age requirement. No. A license is not required for a the official use of the addressee. See dealer in ammunition only. However a the current Postal Manual for details. [18 U.S.C. 922(b)(1) and (b)(2); 27 CFR license is required to manufacture or im- 478.99(b)] port ammunition. [18 U.S.C. 1715]

(G14) May a licensee sell inter- [18 U.S.C. 922 (a)(1)(B); 27 CFR (G22) How does a licensee handle changeable ammunition such as 478.41]] the sale of a consignment firearm? .22 caliber rimfire ammunition to a person less than 21 years of age? (G19) May licensees sell firearms at Firearms received for sale on con- gun shows? signment must be entered in the licens- Yes, provided the buyer is 18 years of ee’s acquisition and disposition record. age or older, and the licensee is satisfied Generally, a licensed manufactur- The sale of a consignment firearm is that the ammunition is for use in a rifle. If er, importer or dealer may sell firearms handled in the same manner as other the ammunition is intended for use in a temporarily at a qualifying gun show or firearm sale. handgun, the buyer must be at least 21 event located within his or her State of years of age. licensure. Licensees may, however, sell Return of any consigned firearms by curio or relic firearms to another licensee the licensee to the consignor must be [18 U.S.C. 922(b)(1); 27 CFR 478.99(b)] at any location. entered in the licensee’s disposition record. An ATF Form 4473 and a NICS (G15) If the purchaser of a firearm [18 U.S.C. 923(j), 27 CFR 478.100] check must be completed prior to the is a licensee, how does the seller return of such firearms. verify that the licensed status of the (G20) What may a licensee do at an purchaser? out–of–State gun show? [18 U.S.C. 923(g); 27 CFR 478.122, 478.123, 478.124 and 478.125] A licensee selling or disposing of A licensee may only display and take firearms to another licensee must veri- orders for firearms at an out–of–State (G23) How does a licensee report the fy the licensed status of the transferee gun show. In filling any orders for fire- theft or loss of firearms? by having the transferee furnish to the arms, the licensee must return the fire- transferor a certified copy of the trans- arms to his or her licensed premises A theft or loss of firearms must be feree’s license and by any other means and deliver them from that location. reported to your local police as well as the transferor deems necessary (such Any firearm ordered by a nonlicensee to ATF within 48 hours after the discov- as the FFL eZcheck). must be delivered or shipped from the ery. Licensees should notify ATF on the licensee’s premises to a licensee in the 24–hour, 7 days a week toll free line at [27 CFR 478.94] purchaser’s State of residence, and the 1–888–930–9275 and by preparing and purchaser must obtain the firearm from submitting ATF Form 3310.11, Federal (G16) Must a multi–licensed busi- the licensee located in the purchas- Firearms Licensee Firearms Inventory- ness submit a certified copy of each er’s State. A licensee is prohibited from Theft/Loss Report. license when acquiring firearms transferring firearms to another licensee from another licensee? at an out–of–State gun show, except The theft or loss of NFA firearms where the firearm being transferred is a should also be reported to the NFA No. The multi–licensed business may curio or relic. Branch immediately upon discovery. provide the seller a list, certified to be The NFA Branch can be contacted at true, correct and complete, containing [18 U.S.C. 922(a)(1), (b)(3), 923(a) and (304) 616–4500. the name, address, and license number (j); 27 CFR 478.100] and expiration date for each location in [18 U.S.C. 923(g)(6); 27 CFR 478.39a lieu of a copy of each license. (G21) May a licensee mail handguns and 479.141] through the U.S. Postal Service?

204 (G24) How should a licensee record (G29) May a licensee lawfully trans- signed to be or can be used to store the theft or loss of a firearm in the fer a frame or receiver to an unli- a firearm and that is designed to be acquisition and disposition record? censed individual who is less than unlocked only by means of a key, a 21 years of age? combination, or other similar means. The licensee should note “stolen” or “lost” and the date in the disposition No. A frame or receiver is a type of fire- Zip ties, rope, and string do not meet section of the acquisition and disposition arm “other than a shotgun or rifle” and the this definition. record for each firearm stolen or lost. In transfer by a licensee to an individual less addition, the licensee should also record than 21 years of age would be prohibited. [18 U.S.C. 921(a) (34)] in the bound book the control number provided by ATF upon notification of the [18 U.S.C. 921(a)(5) and (7) and 922(b) H. COLLECTORS theft or loss. (1); 27 CFR 478.11 and 478.99(b)] (H1) Is there a specific license which (G25) What is a licensee’s respon- (G30) May a licensee lawfully trans- permits a collector to acquire fire- sibility to respond to a request to fer a frame or receiver to an unli- arms in interstate commerce? trace a firearm? censed person who resides outside his or her state? Yes. A person may obtain a collector’s A licensee must provide the request- license. However, this license applies only ed information immediately and in no No. to transactions in curio or relic firearms. event later than 24 hours after receipt of a request by ATF. [18 U.S.C. 922(b)(3); 27 CFR 478.99(a)] [18 U.S.C. 921(a)(13), 923(b); 27 CFR 478.41(c), (d), and 478.93] [18 U.S.C. 923(g)(7); 27 CFR 478.25a] (G31) Does a licensee need to complete and submit a multiple (H2) What firearms are considered to (G26) Is a licensee required to pro- sales form after selling, within five be curio and relic firearms? vide written notification regarding consecutive business days, two or handguns and juveniles? more frames or receivers? Curio and relic firearms are defined as firearms which are of special interest to Yes. The requirement to give written No. Multiple sales forms (ATF Forms collectors because they possess some notification applies when the licensee 3310.4) are not required for sales of qualities not ordinarily associated with fire- delivers a handgun to a nonlicensee. frames or receivers as they are not pis- arms intended for sporting use or as of- tols or revolvers. fensive or defensive weapons. To be rec- [27 CFR 478.103] ognized as a curio or relic, firearms must [18 U.SC 923(g)(3); 27 CFR 478.126a] fall within one of the following categories: (G27) May firearms be shipped to a licensee at an address different from (G32) What does the Child Safety (1) Firearms manufactured at the business premises address iden- Lock Act of 2005 (CSLA) require of a least 50 years prior the current date, tified on the license? licensee? but not including replicas thereof;

Yes. Neither the GCA nor its implement- When selling, delivering, or transfer- (2) Firearms certified by the curator ing regulations require firearms be shipped ring a handgun to any person other than of a municipal, State, or Federal muse- only to the licensed business premises another licensee, any licensed importer, um which exhibits firearms to be curios Therefore, a licensee may lawfully receive licensed manufacturer, or licensed deal- or relics of museum interest; and firearms at the licensee’s mailing address, er must provide a secure gun storage storage location, or other address where or safety device to that person for the (3) Firearms which derive a sub- the licensee intends to ensure safe and handgun. stantial part of their monetary value secure receipt of the firearms. from the fact that they are novel, rare, [18 U.S.C. 922(z)] or bizarre or from the fact of their as- (G28) How would a licensee record sociation with some historical figure, the disposition of a replacement (G33) What qualifies as a secure gun period, or event. firearm in the licensee’s records? storage or safety device? ATF has recognized only complete, A licensee who receives a firearm for 1. A device that, when installed on assembled firearms as curios or relics. repair or customizing, and who returns a a firearm, is designed to prevent the ATF’s classification of surplus military replacement firearm, must record the dis- firearm from being operated without firearms as curios or relics has extend- position in the licensee’s acquisition and first deactivating the device; ed only to those firearms in their original disposition record. However, no ATF Form military configuration. Frames or receiv- 4473 is required if the replacement firearm 2. A device incorporated into the de- ers of curios or relics are not generally is returned to the same person from whom sign of the firearm that is designed to recognized as curios or relics. the licensee received the firearm being re- prevent the operation of the firearm by placed. The replacement firearm must be anyone not having access to the de- Collectors wishing to obtain a deter- of the same kind and type. vice; or mination whether a particular firearm qualifies for classification as a curio or [18 U.S.C. 922(a)(2)(A); 27 CFR 3. A safe, gun safe, gun case, relic may submit a written request for a 478.124(a) and 478.147] lock box, or other device that is de- determination to ATF’s Firearms Tech- nology Branch. ATF’s classifications of

205 curios and relics firearms are published requirement does not apply to licensed Yes. Licensed manufacturers in- in ATF Publication 5300.11. collectors. cur excise tax on the sale of firearms and ammunition manufactured. For (H3) Does a collector’s license afford [27 CFR 478.103] additional information on excise taxes any privileges to the licensee with contact the Department of Treasury, respect to acquiring or disposing of (H8) Are licensed collectors required Alcohol and Tobacco Tax and Trade firearms other than curios or relics to turn in their acquisition and Bureau. in interstate or foreign commerce? disposition records to ATF if they discontinue their collecting activity? (I6) Are licensed manufacturers No. A licensed collector has the same required to report the production of status under the GCA as a nonlicensee No. Licensed collectors are not re- firearms? except for transactions in curio or relic quired to submit their records to ATF upon firearms. discontinuance of their collecting activity. Yes. Manufacturers are required to complete the Annual Firearms Manu- [27 CFR 478.93] [18 U.S.C. 923(g)(4); 27 CFR 478.127] facturing and Exportation Report (ATF F 5300.11). (H4) Does a license as a collector of I. MANUFACTURERS curio or relic firearms authorize the [18 U.S.C. 932(g)(5)] collector to engage in the business (I1) Must a person who engages in of dealing in curios or relics? business in both manufacturing fire- (I7) Are licensed manufacturers arms and importing firearms have a required to file the Annual Firearms No. A dealer’s license must be obtained separate license to cover each type Manufacturing and Exportation to engage in the business of dealing in any of business? Report even if the licensee did not firearms, including curios or relics. manufacture any firearms during the Yes. A separate license is required to reporting period? [18 U.S.C. 922(a) and 923(a); 27 CFR cover each of these types of businesses. 478.41(d)] Yes, licensees must file a report even if [18 U.S.C. 923; 27 CFR 478.41] the licensee had no manufacturing activity. (H5) Are licensed collectors required to execute an ATF Form 4473 for (I2) May a person licensed as a [18 U.S.C. 932(g)(5)] transactions in curio or relic fire- manufacturer of ammunition also arms? manufacture firearms? J. GUNSMITHS

No. However, licensed collectors are No. A person licensed as a manufac- (J1) Is a license needed to engage in required to keep an acquisition and dis- turer of ammunition may not manufac- the business of engraving, cus- position (A&D) record. ture firearms unless he or she obtains a tomizing, refinishing or repairing license as a firearms manufacturer. firearms? [18 U.S.C. 923(g)(2); 27 CFR 478.125(f)] [18 U.S.C. 923; 27 CFR 478.41] Yes. A person conducting such activi- (H6) Are transfers of curio or relic ties as a business is considered to be a firearms by licensed collectors sub- (I3) May a person licensed as a man- gunsmith within the definition of a dealer. ject to the NICS background check ufacturer of firearms also manufac- requirements? ture ammunition? [18 U.S.C. 921(a)(11) and (21); 27 CFR 478.11] No. However, it is unlawful for any Yes. A manufacturer of firearms may person to transfer a firearm to any also manufacture ammunition (not in- (J2) Does a gunsmith need to enter person knowing or having reasonable cluding destructive device ammunition every firearm received for adjust- cause to believe that such person is a or armor piercing ammunition) without ment or repair into an acquisition felon or is within any other category of obtaining a separate license as a man- and disposition (A&D) record? person prohibited from receiving or pos- ufacturer of ammunition. sessing firearms. If a firearm is brought in for repairs (I4) Is a person who reloads ammu- and the owner waits while it is being [18 U.S.C. 922(d) and 922(t)(1); 27 CFR nition required to be licensed as a repaired, or if the gunsmith is able to 478.32(d) and 478.102] manufacturer? return the firearm to the owner during the same business day, it is not nec- (H7) Are licensed collectors required Yes, if the person engages in the busi- essary to list the firearm in the A&D to comply with the requirements that ness of selling or distributing reloads for record as an “acquisition.” If the gun- written notification be given to hand- the purpose of livelihood and profit. No, if smith has possession of the firearm gun transferees and signs be posted the person reloads only for personal use. from one business day to another or on juveniles and handguns? longer, the firearm must be recorded [18 U.S.C. 922(a) and 923(a); 27 CFR as an “acquisition” and a “disposition” Licensed collectors are required to 478.41] in the A&D record. comply with written notification to unlicensed individuals upon delivery of (I5) Must a licensed manufacturer a handgun. However, the sign posting pay excise taxes?

206 (J3) Is an ATF Form 4473 required K. PAWNBROKERS (K4) Is a pawnbroker required to when a gunsmith returns a repaired comply with the requirements to firearm? (K1) What is the procedure for a give written notification to handgun pawnbroker to return a pawned transferees and post signs regard- No, provided the firearm is returned to firearm? ing juveniles and handguns? the person from whom it was received. The redemption of a pawned firearm Yes. Licensed pawnbrokers are re- [27 CFR 478.124(a) and 478.147] is a “disposition” subject to all the record- quired to comply with written notifica- keeping requirements under the GCA. tion to unlicensed individuals upon de- (J4) May a gunsmith make immedi- Dispositions must be properly entered livery of a handgun. A pawnbroker who ate repairs at locations other than in the pawnbroker’s acquisition and dis- transfers handguns to nonlicensees his or her place of business? position record, an ATF Form 4473 must must also comply with the sign posting be executed and a NICS background requirement. Yes. Licensed gunsmiths may make check completed in connection with the on–the–spot repairs at skeet, trap, tar- redemption. [27 CFR 478.103] get, and similar organized shooting events. [18 U.S.C. 922(t), 923(g); 27 CFR (K5) May a pawnbroker conduct a 478.102, 478.124 and 478.125] NICS background check prior to (J5) May a licensed gunsmith re- accepting a firearm for pawn? ceive an NFA firearm for purposes of (K2) To whom may a pawnbroker repair? return a pawned firearm? Yes. A licensed pawnbroker may conduct a NICS background check on Yes, a licensed gunsmith may receive (1) If the pawnbroker and non- a person at the time the person offers a National Firearms Act firearm for the licensee are residents of the same to pawn a firearm. If NICS advises the sole purpose of repair and subsequent State, the pawnbroker may return a pawnbroker that receipt or possession return to its owner. It is suggested that handgun, long gun, or other firearm of the firearm by the person attempting the owner obtain permission from ATF for to either the person who pawned to pawn the firearm would violate the the transfer by submitting an ATF Form it or, where State and/or local law law, the pawnbroker must advise local 5, Application for Tax Exempt Transfer allows, a holder of the pawn ticket law enforcement within 48 hours after and Registration of Firearm, to the NFA who resides in the pawnbroker’s receipt of the information. Branch and receive approval prior to the State. delivery. The gunsmith should do the A pawnbroker who contacts NICS same prior to returning the firearm. (2) If the pawnbroker and non- about a person prior to accepting the licensee are not residents of the person’s firearm in pawn must still con- (J6) Is a licensed gunsmith required same State: duct a NICS background check at the to comply with the requirements to time of redemption. give written notification to handgun a. The pawnbroker may return a transferees and post signs regard- firearm to the person who pawned it. [Public Law 105–277, enacted on Octo- ing juveniles and handguns? ber 21, 1998] b. The pawnbroker may trans- Yes. Licensed gunsmiths are required fer a rifle or shotgun to the hold- L. AUCTIONEERS to comply with written notification to un- er of a pawn ticket who did not licensed individuals upon delivery of pawn it, provided the transaction (L1) Does an auctioneer who is a handgun. A gunsmith who transfers complies with the conditions of involved in firearms sales need a handguns to nonlicensees must also sale in both the State where the dealer’s license? comply with the sign posting requirement. pawnbroker is licensed and the State where the pawn ticket hold- Generally speaking, there are two [27 CFR 478.103] er resides. types of auctions: estate–type auctions and consignment auctions. (J7) Must a licensed gunsmith con- [18 U.S.C. 922(a)(2), 922(a)(3) and duct a NICS background check on 922(b)(3)] In estate–type auctions, the articles to the return of repaired or customized be auctioned (including firearms) are be- firearms? (K3) Are there categories of per- ing sold by the executor of the estate of an sons to whom a pawnbroker cannot individual. The firearms belong to and are No, if the firearm is being returned to return firearms? possessed by the executor. The firearms the person from whom it was received. are controlled by the estate, and the sales If however the firearm is delivered to a Yes. Like other licensees, a pawn- of firearms are being made by the estate. person other than the person from whom broker cannot lawfully return a firearm The auctioneer is acting as an agent of received, a NICS background check is to a person who is, due to age or other the executor and assisting the executor required. disability, ineligible to receive or possess in finding buyers for the firearms. In these firearms. cases, the auctioneer does not meet the [18 U.S.C. 922(t); 478.124(a)] definition of engaging in business as a [18 U.S.C. 922(d) and 922(b)(1); 27 dealer in firearms and would not need a CFR 478.99] license. An auctioneer who does have a license may perform this function away from his or her licensed premises.

207 In consignment–type auctions, an auc- first submit an ATF Form 6, Part I to ATF in subsection (e); tioneer often takes possession of firearms for approval. The licensee may then in advance of the auction. These firearms present the approved ATF Form 6 and (6) a machinegun; are generally inventoried, evaluated, and completed ATF Form 6A to U.S. Cus- tagged for identification. The firearms be- toms and Border Protection. (7) any silencer (as defined in long to individuals who have entered into a section 921 of title 18, United States consignment agreement with the auction- [27 CFR 478.113] Code); and eer giving that auctioneer authority to sell the firearms. The auctioneer therefore has (M2) Does a licensee need an export (8) a destructive device. possession and control of the firearms. license to export a firearm? Under these circumstances, an auction- [26 U.S.C. 5845; 27 CFR 479.11] eer would generally need a license. If you Most firearms and ammunition must are not sure if a license is needed in a be exported in accordance with the (N2) How can a person legally obtain particular consignment auction situation, provisions of the Arms Export Control NFA firearms? contact your local ATF office. Act of 1976. Regulations implementing this Act generally require a license to A person may make an NFA firearm [ATF Ruling 96–2] be obtained from the U.S. Department by filing and receiving an approved ATF of State, Directorate of Defense Trade Form 1 Application to Make and Regis- (L2) If a licensed auctioneer is Controls. Additional information may be ter a Firearm. making sales of firearms, where may accessed online at: http://www.pmddtc. those sales be made? state.gov/index.html. A person may transfer an NFA firearm to another person by filing and receiving In a consignment auction firearms may The export of sporting shotguns and an approved ATF Form 4, Application for be displayed at an auction site away from ammunition for sporting shotguns is Tax Paid Transfer and Registration of the auctioneer’s licensed premises and regulated by the U.S. Department of Firearm. sales of the firearms can be agreed upon Commerce. An export license is gen- at that location, but the firearms must erally needed to export these shotguns Applications to make or transfer a be returned to the auctioneer’s licensed and ammunition. For further information, firearm will not be approved if Federal, premises prior to transfer. The simulta- contact the U.S. Department of Com- State, or local law prohibits the making neous sale and delivery of the auctioned merce, Bureau of Industry and Security. or possession of the firearm. firearms away from the licensed premis- Contact information may be found online es would violate the law, i.e., engaging in at: http://www.bis.doc.gov/ [26 U.S.C. 5812 and 5822; 27 CFR business at an unlicensed location. 479.62 and 479.84] When exporting NFA firearms, an ATF However, if the auctioneer is assisting Form 9, Application and Permit for Per- (N3) What is the tax on making an an estate in disposing of firearms, the es- manent Exportation of Firearms, must NFA firearm? tate is the seller of the firearms and the be approved by ATF prior to export. estate is in control and possession of the The tax is $200 for making any NFA firearms. In this situation, the firearms may [22 U.S.C. 2778; 27 CFR 479.114 and firearm. be sold by the estate at the auction site. 479.116] [26 U.S.C. 5821; 27 CFR 479.61] [18 U.S.C. 923(a); 27 CFR 478.50] N. NATIONAL FIREARMS ACT (NFA) (N4) What is the tax on the transfer (L3) Can a licensee conduct back- (N1) What firearms are regulated of an NFA firearm? ground checks and transfer fire- under the NFA? arms on behalf of an unlicensed The tax is $200 for the transfer of any auctioneer? (1) a shotgun having a barrel or firearm except a firearm classified as an barrels of less than 18 inches in “any other weapon” which is $5. Generally no, as most auctions do length; not qualify as a gun show or qualifying An unserviceable firearm may be event and therefore a licensee would not (2) a weapon made from a shotgun if transferred as a curio or ornament with- be permitted to conduct business away such weapon as modified has an over- out payment of the transfer tax. from the licensed premises. all length of less than 26 inches or a barrel or barrels of less than 18 inches [26 U.S.C. 5811, 5852(e) and 5845(h); [18 U.S.C. 923(j); 27 CFR 478.100] in length; 27 CFR 479.11, 479.82 and 479.91]

M. IMPORTING AND EXPORTING (3) a rifle having a barrel or barrels (N5) How is this tax paid? of less than 16 inches in length; (M1) May a licensee who does not A check or money order made pay- have an importer’s license make an (4) a weapon made from a rifle if able to the Bureau of ATF together with occasional importation? such weapon as modified has an the application forms are to be mailed to: overall length of less than 26 inches National Firearms Act Branch, Bureau Yes. A licensee may make an occa- or a barrel or barrels of less than 16 of Alcohol, Tobacco, Firearms and Ex- sional importation of a firearm for a non- inches in length; plosives, P.O. Box 530298, Atlanta, GA licensee or for the licensee’s personal 30353–0298. use (not for resale). The licensee must (5) any other weapon, as defined

208 (N6) What should a State do when an (4) Tax exempt transfer of a firearm * REDUCED = Rates which apply to cer- unregistered NFA firearm is acquired to a lawful heir: ATF Form 5. tain taxpayers whose total gross receipts through forfeiture or abandonment? in the last taxable year are less than (5) Tax–exempt transfer by opera- $500,000. When a State wants to keep such tion of law (e.g., court order). NFA firearms for official use, the State must register the firearm by filing an ATF [26 U.S.C. 5851–5853; 27 CFR 479.69, A licensed manufacturer under con- Form 10 Application for Registration of 479.70 and 479.88–91] tract to make NFA firearms for the U.S. Firearms Acquired by Certain Govern- Government may be granted an exemp- mental Entities. Since approval of the (N10) How does a person qualify to tion from payment of the special (occu- Form 10 is conditioned on an “official import, manufacture, or deal in NFA pational) tax as a manufacturer of NFA use only” basis, subsequent transfers firearms? firearms and an exemption from all other will not be approved unless the transfer NFA provisions (except importation) with is to another government agency for of- The person must be licensed under respect to the weapons made to fulfill the ficial use. the GCA and pay the required special contract. Exemptions are obtained by (occupational) tax imposed by the NFA. writing the NFA Branch, stating the con- [26 U.S.C. 5841; 27 CFR 479.104] After becoming licensed under the GCA, tract number(s) and the anticipated date the licensee must file an ATF Form of termination. This exemption must be (N7) May a private citizen register a 5630.7, Special Tax Registration and renewed each year prior to July 1. firearm not previously registered in Return National Firearms Act (NFA) with the National Firearms Registration the appropriate tax payment with ATF. In [26 U.S.C. 5801; 27 CFR 479.31, and Transfer Record? addition, an importer (except importers 479.32, 479.32a and 479.33] of sporting shotguns and shotgun am- No. The NFA permits only manufactur- munition) must also be registered with (N12) Does a licensee that engages ers, makers, importers, and certain gov- ATF under the Arms Export Control Act in both manufacturing and import- ernmental entities to register firearms. of 1976, by filing an ATF Form 4587, ing need to pay a separate special Application to Register as an Importer of (occupational) tax payment for each [26 U.S.C. 5841(b) and 5861(d); 27 U.S. Munitions Import List Articles. activity? CFR 479.101(b) and 479.104] [26 U.S.C. 5801; 18 U.S.C. 923; 27 Yes. A separate special (occupation- (N8) What should a person do if he CFR 447.31, 478.41 and 479.34] al) tax payment must be made for each or she comes into possession of an of these activities. However, Class 1 (im- unregistered NFA firearm? (N11) When must firearms special porter) and Class 2 (manufacturer) spe- (occupational) taxes be paid and cial (occupational) taxpayers are quali- Contact the nearest ATF office imme- how much are the taxes? fied to deal in NFA firearms without also diately. A listing of the telephone numbers having to pay special (occupational) tax can be found online at www.atf.gov. These taxes must be paid in full on first as a Class 3 dealer. engaging in business and thereafter on (N9) Are there any exemptions from or before the first day of July. The current [27 CFR 479.39] the making or transfer tax provi- taxes are set out in the following table. sions of the NFA? (N13) May a licensed collector obtain NFA firearms in interstate com- Yes. These are noted below, along SPECIAL (OCCUPATIONAL) TAX merce? with the required form number, if any, RATES UNDER THE NFA to apply for the exemption. Completed Yes, but only if the firearms are clas- forms must be approved by the NFA CLASS OF ANNUAL sified as curios or relics, are registered, Branch prior to the making or transfer: TAXPAYER FEE and are transferred in accordance with the provisions of the NFA. (1) Tax–exempt transfer and reg- 1 – Importer of Firearms istration of a firearm between special (Including “Any Other Weapon”) $1000. (N14) Are parts or kits which would (occupational) taxpayers: ATF Form 3. convert a firearm into a machinegun 2 – Manufacturer of Firearms subject to registration? (2) Tax–exempt making of a fire- (Including “Any Other Weapon”) $1000. arm by a qualified manufacturer, or Yes. other than by a qualified manufactur- 3 — Dealer of Firearms er if the firearm is made on behalf of a (Including “Any Other Weapon”) $500. [26 U.S.C. 5845(b); 27 CFR 479.11] Federal or State agency: ATF Form 1 and 2. Tax–exempt transfer and reg- 1 — Importer of Firearms (N15) Who may qualify as a certify- istration of the firearm on behalf of a (Including “Any Other Weapon”) $500. ing official on an ATF Form 1 or ATF Federal or State agency: ATF Form 5. REDUCED* Form 4 for the making or transfer of an NFA firearm? (3) Tax–exempt transfer and reg- 2 — Manufacturer of Firearms istration of an unserviceable firearm (Including “Any Other Weapon”) $500. As provided by regulations, certifica- which is being transferred as a curio REDUCED* tions by the local chief of police, sheriff or ornament: ATF Form 5. of the county, head of the State police, or

209 State or local district attorney or prosecu- because of a prohibition in the new nition components for destructive devices tor are acceptable. The regulations also State, what options does a lawful are not considered NFA weapons. provide that certifications of other officials possessor have? are appropriate if found in a particular (N24) Are muzzleloading cannons case to be acceptable to the Director. Ex- NFA firearms may be left in a safe classified as destructive devices? amples of other officials who have been deposit box in his or her former State accepted in specific situations include of residence. Also, the firearm could be Generally, no. Muzzleloading can- State attorneys general and judges of left or stored in the former State of resi- nons not capable of firing fixed ammuni- State courts having authority to conduct dence at the house of a friend or relative tion and manufactured in or before 1898 jury trials in felony cases. in a locked room or container to which and replicas thereof are antiques and only the registered owner has a key. The not subject to the provisions of either the [27 CFR 479.63 and 479.85] friend or relative should be supplied with GCA or the NFA. a copy of the registration forms and a let- (N16) Is the chief law enforcement ter from the owner authorizing storage of [26 U.S.C. 5845; 27 CFR 479.11] officer required to sign the law the firearm at that location. enforcement certification on an ATF (N25) Are grenade and rocket Form 1 or ATF Form 4? The firearms may also be transferred launcher attachments destructive in accordance with NFA regulations or devices? No. Federal law does not compel any abandoned to ATF. official to sign the law enforcement cer- Grenade and rocket launcher attach- tification. However, ATF will not approve (N20) May a transferor submit an ments for use on military type rifles gen- an application to make or transfer a fire- application to transfer an NFA fire- erally do not come within the definition arm on ATF Forms 1 or 4 unless the law arm prior to the date on which the of destructive devices. However, the enforcement certification is completed transferor receives the weapon? grenades and rockets used in these de- by an acceptable law enforcement offi- vices are generally within the definition. cial who has signed the certification in No. the space indicated on the form. [26 U.S.C. 5845; 27 CFR 479.11] (N21) If a person has a pistol and (N17) If the chief law enforcement an attachable shoulder stock, does (N26) Are Paintball and/or Airgun official whose jurisdiction includes this constitute possession of an NFA Sound Suppressers NFA firearms? the proposed transferee’s residence firearm? refuses to sign the law enforcement The terms “firearm silencer” and “fire- certification, will the signature of Yes, unless the barrel of the pistol is at arm muffler” mean any device for silenc- an official in another jurisdiction be least 16 inches in length (and the overall ing, muffling, or diminishing the report of acceptable? length of the firearm with stock attached a portable firearm, including any combi- is at least 26 inches). However, cer- nation of parts, designed or redesigned, No. tain stocked handguns, such as original and intended for use in assembling or semiautomatic Mauser “Broomhandles” fabricating a firearm silencer or firearm (N18) Does the registered possessor and Lugers, have been removed from the muffler, and any part intended only for of a destructive device, machinegun, purview of the NFA as collectors’ items. use in such assembly or fabrication. short–barreled shotgun, or short–barreled rifle need authorization to lawful- [26 U.S.C. 5845; 27 CFR 479.11] Numerous paintball and airgun silenc- ly transport such items interstate? ers tested by ATF’s Firearms Technolo- (N22) Does the possessor of an gy Branch have been determined to be, Yes, unless the registered possessor NFA firearm have to show proof of by nature of their design and function, is a qualified dealer, manufacturer or im- registration? firearm silencers. Because silencers are porter, or a licensed collector transporting NFA weapons, an individual wishing to only curios or relics. Prior approval must Yes. The approved application re- manufacture or transfer such a silencer be obtained, even if the move is tempo- ceived from ATF serves as evidence of must receive prior approval from ATF rary. Approval is requested by either sub- registration of the NFA firearm. This doc- and pay the required tax. mitting a letter containing all necessary ument must be made available upon re- information, or by submitting ATF Form quest of any ATF officer. It is suggested [26 U.S.C. 5845; 27 CFR 479.11] 5320.20, Application to Transport Inter- that a photocopy of the approved appli- state or to Temporarily Export Certain cation be carried by the possessor when (N27) If I have any further questions National Firearms Act (NFA) Firearms. the weapon is being transported. as to the classification of a paintball This requirement does not apply to the or airgun silencer, who should I lawful interstate transportation of silenc- [26 U.S.C. 5841(e); 27 CFR 478.101] contact? ers. Possession of the firearms also must comply with all State and local laws. (N23) What is the status of unloaded Please send a written request to or dummy grenades, artillery shell ATF’s Firearms Technology Branch, 244 [18 U.S.C. 922(a)(4); 27 CFR 478.28] casings and similar devices? Needy Road, Martinsburg, WV, 24505 or by fax at: (304) 616–4301. (N19) If an individual is changing Unloaded or dummy grenades, artillery his or her State of residence and the shell casings, and similar devices, which [18 U.S.C. 921(a)(24); 26 U.S.C. individual’s application to transport are cut or drilled in an ATF approved man- 5845(a); 27 CFR 479.11] the NFA firearm cannot be approved ner so that they cannot be used as ammu-

210 O. MACHINEGUNS [28 CFR 25.2 and 25.6] No. Because weapons that meet the definition of an “antique firearm” are not (O1) May an unlicensed person (P4) If the State is acting as a POC, firearms subject to the GCA, licensees make a machinegun? does that mean that all NICS checks need not conduct a background check go through the POC rather than the when transferring an antique firearm. Generally, no. However, applications FBI? to make and register machine guns on or [18 U.S.C. 921(a)(3), 921(a)(16), 922(t); after May 19, 1986 for the benefit of a Fed- That depends on the State. In some 27 CFR 478.11 and 478.102] eral, State, or local government entity will States, the POC conducts background be approved if documentation can be pro- checks for all firearms transactions. In (P10) Must a licensee conduct a vided, along with the application to make other States, licensees must contact the NICS background check for the a machinegun, which establishes that the POC for handgun transactions and the transfer of firearms to another machine gun is particularly suitable for use FBI for long gun transactions. In some licensee? by Federal, State or local governmental POC States, NICS checks for pawn re- entities and is being made at the request demptions are handled by the FBI. No. and on behalf of such an entity (P5) How does a licensee know [18 U.S.C. 922(t); 27 CFR 478.102] [18 U.S.C. 922(o)(2); 27 CFR whether to contact the FBI or a POC 479.105(e)] in order to initiate a NICS check? (P11) Must licensed collectors conduct a NICS background check prior (O2) May machineguns be trans- Your local office can advise you on to transferring a curio or relic firearm? ferred from one registered posses- the appropriate point of contact for NICS sor to another? checks or you can check the ATF web- No. However, licensed manufactur- site at www.atf.gov or the NICS web- ers, importers and dealers who transfer Yes. If the machinegun was lawfully site www.fbi.gov. a curio or relic firearm must conduct a registered and possessed before May NICS background check prior to transfer 19, 1986, it may be transferred pursuant (P6) Is there a charge for NICS to a nonlicensee. to an approved ATF Form 3 or Form 4, checks? as applicable. [18 U.S.C. 922(t); 27 CFR 478.102] The FBI does not charge a fee for [18 U.S.C. 922(o)(2); 26 U.S.C. 5812] conducting NICS checks. However, (P12) Is a NICS background check States that act as points of contact for required for a licensee’s loan or P. NATIONAL INSTANT CRIMINAL NICS checks may charge a fee consis- rental of a firearm to a nonlicensee? BACKGROUND CHECK SYSTEM tent with State law. (NICS) If the firearm is loaned or rented for (P7) Must licensees enroll with the use on the licensee’s premises, a back- (P1) Who must comply with the FBI to get access to NICS? ground check is not required. However, requirements to conduct a NICS if the firearm is loaned or rented for use background check prior to transfer- Licensees must be enrolled with the off the premises, the licensee must con- ring a firearm? FBI before they can initiate NICS checks duct a background check prior to the through the FBI’s NICS Operations Cen- transfer of the firearm. Licensed firearms importers, manufac- ter. Licensees who have not received an enrollment package from the FBI should turers, and dealers must conduct a NICS [18 U.S.C. 922(t); 27 CFR 478.102 and call FBI NICS Customer Service at background check prior to the transfer of 478.124] any firearm to a nonlicensed individual. 1–877–FBI–NICS (324–6427) and ask that an enrollment package be sent to (P13) Must licensees conduct a NICS [18 U.S.C. 922(t); 27 CFR 478.102] them. Licensees in States where a State agency is acting as a point of contact for background check for the sale of firearms to nonlicensees at gun shows? (P2) Are NICS checks conducted by NICS checks should contact the State for enrollment information. ATF? Yes. A licensee conducting business (P8) Is a NICS background check re- temporarily at a gun show must comply No. NICS checks are conducted by the with the background check provisions in Federal Bureau of Investigation (FBI). quired for the transfer of long guns as well as handguns? the same manner as if the sale were taking place at the licensed premises. [28 CFR 25.3] Yes. Licensed manufacturers, importers, and dealers must conduct a back- [18 U.S.C. 922(t) and 923(j); 27 CFR (P3) Do all NICS checks go through ground check for the transfer of all fire- 478.100 and 478.102] the FBI’s NICS Operations Center? arms subject to the GCA. (P14) Is the redemption of a pawned No. In many States, licensees initiate [18 U.S.C. 922(t); 27 CFR 478.102] firearm subject to a NICS back- NICS checks through the State point of ground check? contact (POC) serving as an intermedi- (P9) Are NICS background checks ary between a licensee and the federal Yes. The redemption of a pawned databases checked by the NICS. required for the transfer of antique firearms? firearm is a transfer subject to a NICS background check.

211 (P15) What should a licensed pawn- discovers that the NICS check was not licensee should provide the transferee broker do when NICS denies the initiated in accordance with ATF or FBI with the name and address of the deny- redemption of a pawned firearm? regulations, e.g., a NICS check was initi- ing agency and the NICS or State trans- ated for a non–authorized purpose or by action number, and an appeals brochure Federal law prohibits the transfer of a a non–authorized individual. A licensee created by the FBI or State POC outlin- firearm to a person who has been de- cannot transfer a firearm when a “can- ing the transferee’s appeal rights and re- nied by NICS. Further guidance may celled” response is provided by NICS. sponsibilities. An FBI appeal brochure is be found in the ATF FFL Newsletter De- available through the FBI NICS section, cember 2002 Issue #1. (P20) For purposes of the NICS or at www.fbi.gov/nics–appeals. background check requirements, [18 U.S.C. 922(d) and (t)] what is meant by a “business day?” [28 CFR 25.10]

(P16) If an individual repeatedly A business day is defined as a day on (P24) If a transferee receives a “de- pawns the same firearm, is the FFL which State offices are open in the State nied” response from NICS, can the required to do a NICS background in which the proposed firearm transac- transferee find out why he or she or check each time the firearm is re- tion is to take place. she was denied? deemed? [18 U.S.C. 922(t)(1)(B)(ii); 28 CFR 25.2] Yes. Although the licensee will not Yes. The fact that the transferee has know the reason for the denial, the trans- redeemed the firearm before does not (P21) If a licensee contacts NICS on feree may contact the FBI or the State excuse the pawnbroker from conducting Thursday, December 2, and gets a point of contact in writing to request the a background check for each separate “delayed” response, when may the reason for denial. transaction. licensee transfer the firearm if no further response is received from [28 CFR 25.10] [18 U.S.C. 922(t); 27 CFR 478.102] NICS? (P25) What NICS or State point of (P17) Is a NICS background check The firearm may be transferred on contact response information must a required for the sale of a firearm to Wednesday, December 8. Assuming licensee record on ATF Form 4473? a law enforcement official for his or State offices are open on Friday, Mon- her personal use? day, and Tuesday, and closed on Satur- Licensees must record any initial “pro- day and Sunday, 3 business days would ceed”, “delayed”, or “denied” response Yes. In such transactions, the law en- have elapsed at the end of Tuesday, De- received, as well as any transaction forcement official is treated no differently cember 7. Therefore, the licensee may number provided. If the initial NICS re- from any other unlicensed transferee, transfer the firearm at the start of busi- sponse was “delayed,” a licensee must and a NICS background check must be ness on Wednesday, December 8. The also record the date and response lat- conducted. 3 business days do not include the day er provided, or that no resolution was the NICS check is initiated. provided within 3 business days if the [18 U.S.C. 922(t) and 925(a)(1)] licensee transfers the firearm after the 3 (P22) What should a licensee do if days. In addition, if a licensee receives a (P18) Are there transfers that are he or she gets a “denied” response response from NICS after a firearm has exempt from the NICS background from NICS or a State point of contact been transferred, he or she or she must check requirement? after 3 business days have elapsed, record this information. but prior to the transfer of the fire- Firearm transfers are exempt from arm? [18 U.S.C. 922(t); 27 CFR 478.124(c) the requirement for a NICS background (3)(iv)] check in three situations. These include If the licensee receives a “denied” re- transfers: (1) to transferees having a sponse at any time prior to the transfer (P26) Must licensees keep ATF State permit that has been recognized by of the firearm, he or she may not transfer Forms 4473 if the firearm transfer ATF as an alternative to a NICS check; the firearm. is denied or, for some other reason, (2) of National Firearms Act weapons to not completed? persons approved by ATF; and (3) certi- If the FBI provides a “denied” re- fied by ATF as exempt because compli- sponse after the third business day, Licensees must keep each ATF Form ance with the NICS background check and the firearm has already been trans- 4473 for which a NICS check has been requirement is impracticable. ferred, the licensee should notify the initiated, regardless of whether the trans- NICS Section. fer of a firearm is made. If the transfer is [18 U.S.C. 922(t); 27 CFR 478.102(d)] not made, the FFL must keep the Form [18 U.S.C. 922(d); 27 CFR 478.99(c)] 4473 for 5 years after the date of the NICS (P19) What does it mean when a inquiry. If the transfer is made, the FFL licensee receives a “cancelled” (P23) What should a licensee tell a must keep the Form 4473 for 20 years response from the FBI to a NICS transferee who is denied by NICS? after the date of the sale or disposition. background check? Forms 4473 with respect to a transfer The licensee should inform the trans- that did not take place must be separately On occasion, the FBI may provide feree that the NICS check indicates maintained. the FFL with a “cancelled” response. that the transfer of the firearm should Transactions will be cancelled if the FBI not be made, however the system does [27 CFR 478.129(b)] not provide a reason for the denial. The

212 (P27) At what point during a transac- arate transaction. Therefore, a new NICS (P33) ATF has recognized the con- tion should a licensee contact NICS? check must be initiated by the licensee. cealed weapons permits in State A and State B as valid alternatives to a Licensees should contact NICS after Example: A transferee completes NICS check. Can a resident of State the transferee has completed Section A ATF Form 4473 for a single firearm on A use a concealed weapons permit of the ATF Form 4473. February 15. The licensee receives issued by State A to purchase a long a “proceed” from NICS that day. The gun in State B without undergoing a [27 CFR 478.124] transferee does not return to pick up NICS check? the firearm until February 20. Before (P28) For what period of time is a the licensee completes the transfer of No. A permit qualifies as a NICS alter- NICS check valid? the first firearm, the transferee decides native only if it was issued by the State in to acquire an additional firearm. The which the transfer is to take place. A NICS check is valid for 30 calendar second firearm may be recorded on the days for any transaction. The 30 calen- same Form 4473. The acquisition of the [18 U.S.C. 922(t); 27 CFR 478.102(d)] dar day period is counted beginning on 2 firearms is considered a single trans- the day after NICS was initially contact- action. Therefore, the licensee is not (P34) Does a licensee who conducts ed. Where more than 30 calendar days required to conduct a new NICS check a NICS check have to comply with have passed since the licensee first con- prior to transferring the second firearm. State waiting periods before trans- tacted NICS, the licensee must initiate a ferring a firearm? new NICS check prior to transferring the (P30) Must a licensee always wait 3 firearm. It is not necessary to complete business days before transferring a Yes. Compliance with Federal back- a new ATF Form 4473, but the results of firearm to a transferee after receiv- ground check provisions does not ex- the new NICS background check must ing a “delayed” response? cuse a licensee from compliance with be recorded on the form. State law. A licensee must follow State A licensee may transfer a firearm to a law waiting periods. Example1: A NICS check is initiat- transferee as soon as he or she receives ed on May15th. The licensee receives a “proceed” from NICS (assuming that Example: State X is acting as a point a “proceed” from NICS. The transferee the transaction would be in compliance of contact for NICS checks. State law does not return to pick up the firearm with State law). However, if the licens- requires the licensee to wait 10 days, until June 22nd of the same year. The ee does not receive a final “proceed” or rather than 3 days, for a response to the licensee must conduct another NICS “denied” response from NICS, he or she background check prior to transferring check before transferring the firearm to must wait until 3 business days have a firearm. Because State law provides the transferee. elapsed prior to transferring the firearm. a 10 day period before a licensee may transfer a firearm, the licensee may not Example 2: A NICS check is initiated [18 U.S.C. 922(t); 27 CFR 478.102(a)(2)] transfer the firearm until 10 days have on May 15th. The licensee receives a elapsed since conducting the back- “delayed” response from NICS; no fur- (P31) What happens if the transfer- ground check. ther response is received. The transferee successfully appeals the NICS ee does not return to pick up the firearm denial but more than 30 calendar Example: State X is acting as a point until June 16th of the same year. The days have elapsed since the initial of contact for NICS checks. State law licensee must conduct another NICS background check was initiated? allows a licensee to transfer a firearm check before transferring the firearm to 24 hours after conducting a NICS check the transferee. The licensee must initiate another and receiving a “delayed” response. Al- NICS check before the firearm may be though State law would permit a licens- [27 CFR 478.102] transferred. ee to transfer a firearm 24 hours after receiving a “delayed” response, the (P29) Can one NICS check be used for (P32) Does a permit qualify as an licensee must comply with Federal law more than one firearms transaction? alternative to a NICS check if the which requires the licensee wait 3 busi- purchaser is using it to purchase a ness days prior to transferring a firearm No. A licensee must initiate a new type of firearm that is not covered by where the licensee has not received NICS background check for each com- the permit? notice the transfer would be prohibited. pleted firearms transaction. However, a person may purchase or acquire several Yes, assuming the transaction com- Example: The law of State X provides firearms in one transaction. plies with State law. for a 5 day waiting period before a handgun may be transferred by a licensee. An [27 CFR 478.102] Example: ATF recognizes the permit individual completes an ATF Form 4473 to purchase a handgun and the confor the purchase of a handgun, a NICS Example: A transferee completes cealed weapons permit as alternatives check is conducted, and a “proceed” re- an ATF Form 4473 for a single firearm to a NICS check in State A. Any purchas- sponse is given by NICS. Although the on February 15. The licensee receives er who displays a permit to purchase a licensee received a “proceed” response, a “proceed” from NICS that day. The handgun or a concealed weapons per- the licensee must comply with the State licensee signs the form, and the firearm is mit in State A is not required to undergo waiting period, and the licensee may not transferred. On February 20, the transfer- a NICS check prior to purchasing a rifle, transfer the firearm until the State 5 day ee returns to the licensee’s premises and assuming the transaction complies with waiting period has elapsed. wishes to acquire a second firearm. The State law. acquisition of the second firearm is a sep- [18 U.S.C. 922(b)(2)]

213 (P35) Does an officer or employee of arm is a rifle or shotgun, the licensee can (b) the person knowingly and an entity that holds a Federal firearms lawfully transfer the firearm to the winner intelligently waived the right to license, such as a corporation, have of the raffle as long as the transaction is have the case tried by a jury, by to undergo a NICS check prior to over–the–counter and complies with the guilty plea or otherwise. acquiring a firearm for the personal laws applicable at the place of sale and collection of the officer or employee? the State where the transferee resides. In addition, a conviction would not be disabling if it has been expunged or set Yes. The exemption from completing Example 3: If the raffle meets the defi- aside, or is an offense for which the per- an ATF Form 4473 and a NICS check nition of a qualifying event, the licensee son has been pardoned or has had civil applies only to the person holding the may conduct business at that event. rights restored (if the law of the jurisdic- license, not to individual officers or em- tion in which the proceedings were held ployees of the person holding the license. Please note, if the organization’s provides for the loss of civil rights upon practice of raffling firearms rises to the conviction for such an offense) unless [18 U.S.C. 921(a)(1); 27 CFR 478.11] level of being engaged in the business the pardon, expunction, or restoration of dealing in firearms, the organization of civil rights expressly provides that the (P36) How may a licensee partici- must get its own Federal firearms li- person may not ship, transport, possess, pate in the raffling of firearms by an cense. or receive firearms, and the person is unlicensed organization? not otherwise prohibited by the law of [18 U.S.C. 922(a)(5), 922(b)(3), 922(t), the jurisdiction in which the proceedings Depending on how the organization and 923(j); 27 CFR 478.99, 478.100, were held from receiving or possessing arranges for the firearms to be trans- 478.102, and 478.124] firearms. ferred to the raffle winner, the licensee’s participation may vary. Q. MISDEMEANOR CRIME OF DO- [18 U.S.C. 921(a)(33); 27 CFR 478.11] MESTIC VIOLENCE Example 1: A licensee transfers a fire- (Q2) Must a misdemeanor crime arm to the organization sponsoring the (Q1) What is a “misdemeanor crime of domestic violence (MCDV) be raffle. The representative acting on behalf of domestic violence”? designated as a “domestic violence” of the organization must complete the ATF offense? Form 4473 and undergo a NICS back- A “misdemeanor crime of domestic vi- ground check. When the buyer of a fire- olence” is an offense that: No. A qualifying offense need not arm is a corporation, association, or other be designated as a domestic violence organization, an officer or other represen- (1) is a misdemeanor under Feder- offense. For example, a conviction for tative authorized to act on behalf of the al, State, or Tribal law; assault may qualify as an MCDV even organization must complete the form with if the offense is not designated as a do- his or her personal information and attach (2) has, as an element, the use or mestic violence assault. a written statement, executed under pen- attempted use of physical force, or alties of perjury, stating that the firearm is the threatened use of a deadly weap- [18 U.S.C. 921(a)(33) and 922(g)(9); 27 being acquired for the use of the organi- on; and CFR 478.11 and 478.32(a)(9)] zation and the name and address of the organization. Once the firearm had been (3) was committed by a current or (Q3) Does the prohibition on re- transferred to the organization, the orga- former spouse, parent, or guardian ceipt or possession of firearms and nization can subsequently transfer the of the victim, by a person with whom ammunition apply if the person was firearm to the raffle winner without an ATF the victim shares a child in common, convicted of an MCDV prior to the Form 4473 being completed or a NICS by a person who is cohabiting with enactment of 18 U.S.C. 922(g)(9) on check being conducted. This is because or has cohabited with the victim as a September 30, 1996? the organization is not a licensee. How- spouse, parent, or guardian, or by a ever, the organization cannot transfer the person similarly situated to a spouse, Yes. firearm to a person who is not a resident of parent, or guardian of the victim. the organization’s State of residence nor [18 U.S.C. 922(g)(9); 27 CFR 478.32(a) can the organization knowingly transfer However, a person is not considered (9)] the firearm to a prohibited person. to have been convicted of a misdemean- or crime of domestic violence unless: (Q4) In determining whether a con- Example 2: The licensee or a repre- viction in a State court is a “con- sentative of the licensee brings a firearm (1) the person was represented by viction” of a misdemeanor crime of to the raffle so that the firearm can be counsel in the case, or knowingly and domestic violence, does Federal, displayed. After the raffle, the firearm is intelligently waived the right of coun- State or Tribal law apply? returned to the licensee’s premises. The sel in the case; and licensee must complete an ATF Form The law of the jurisdiction determines 4473 and conduct a NICS background (2) in the case of a prosecution for whether a conviction has occurred. check prior to transferring the firearm to which a person was entitled to a jury Therefore, if the law of the jurisdiction the winner of the raffle. If the firearm is a trial in the jurisdiction in which the does not consider the person to be con- handgun, the winner of the raffle must be case was tried, either – victed, the person would not have the a resident of the State where the trans- Federal disability. fer takes place, or the firearm must be (a) the case was tried by a jury, transferred through another licensee in or [18 U.S.C. 921(a)(33); 27 CFR 478.11] the winner’s State of residence. If the fire-

214 (Q5) What State and local offenses or receive firearms or ammunition for resentatives of a foreign government, are “misdemeanors” for purposes of any purpose, including performance or a foreign law enforcement officer of 18 U.S.C. 922(d)(9) and (g)(9)? of their official duties. The disability a friendly foreign government entering applies to firearms and ammunition the United States on official law enforce- The definition of misdemeanor crime issued by government agencies, pur- ment business. of domestic violence in the GCA includes chased by government employees for any offense classified as a “misdemean- use in performing their official duties, [18 U.S.C. 922(g)(5)(B) and 922(y)(2); or” under Federal, State or Tribal law. In and personal firearms and ammunition 27 CFR 478.11 and 478.32] States that do not classify offenses as possessed by such employees. misdemeanors, the definition includes (R3) Can a nonimmigrant alien obtain any State or local offense punishable by [18 U.S.C. 922(g)(9) and 925(a)(1); 27 a waiver from the prohibition on imprisonment for a term of 1 year or less CFR 478.32(a)(9) and 478.141] shipping, transporting, receiving, or or punishable by a fine. possessing a firearm or ammunition? (Q10) Is an individual who has been [18 U.S.C. 921(a)(33); 27 CFR 478.11] pardoned, or whose conviction was Yes. An individual may apply to ATF expunged or set aside, or whose for a waiver. (Q6) Are local criminal ordinances civil rights have been restored, con- “misdemeanors under State law” for sidered convicted of a misdemeanor [18 U.S.C. 922(g)(5)(B) and 922(y)(3); purposes of sections 922(d)(9) and crime of domestic violence? 27 CFR 478.11 and 478.32] (g)(9)? No, as long as the pardon, expunge- (R4) May a nonimmigrant alien who Yes, assuming a violation of the or- ment, or restoration does not expressly has been admitted to the United dinance meets the definition of “misde- provide that the person may not ship, States under a nonimmigrant visa meanor crime of domestic violence” in transport, possess, or receive firearms. and who falls within an exception, all other respects. A restoration of civil rights, however, is purchase a firearm or ammunition in only effective to remove the Federal fire- the United States? (Q7) Is the relationship between the arms disability if the law of the jurisdic- parties an element of an MCDV? tion provides for the loss of civil rights A nonimmigrant alien without resi- for a conviction of such a misdemeanor. dency in any State may not purchase No. The “as an element” language in and take possession of a firearm. A the definition of “misdemeanor crime of [18 U.S.C. 921(a)(33); 27 CFR 478.11] nonimmigrant alien may only purchase domestic violence” only applies to the use a firearm through a licensee where the of force provision of the statute and not the R. NONIMMIGRANT ALIENS licensee arranges to have the firearm relationship provision. However, to be dis- directly exported. A nonimmigrant alien abling, the offense must have been com- (R1) Who is a nonimmigrant alien? who falls within an exception may, how- mitted by someone whose relationship to ever, purchase and take possession of the victim meets the definition in the GCA. A nonimmigrant alien is an alien in ammunition. the United States in a nonimmigrant [18 U.S.C. 921(a)(33); 27 CFR 478.11] classification as defined by section A nonimmigrant alien who has es- 101(a)(15) of the Immigration and Na- tablished residency in a State may pur- (Q8) What should an individual do tionality Act (8 U.S.C. 1101(a)(15). chase and take possession of a firearm if he or she has been convicted of Generally, “nonimmigrant aliens” are from an unlicensed person, provided a misdemeanor crime of domestic tourists, students, business travelers, the buyer and seller are residents of the violence? and temporary workers who enter the same State, and no other State or local U.S. for fixed periods of time; they are law prohibits the transaction. A nonim- Individuals subject to this disability lawfully admitted aliens who are not migrant alien with residency in a State should immediately dispose of their fire- lawful permanent residents. may purchase a firearm from a licensee, arms and ammunition, such as by aban- provided the sale complies with all appli- donment to a law enforcement agency. [27 CFR 478.11] cable laws and regulations.

[18 U.S.C. 922(g)(9); 27 CFR 478.32] (R2) May a nonimmigrant alien who [18 U.S.C. 922(a)(9); 27 CFR 478.29a] has been admitted to the United (Q9) Does the disability apply to law States under a nonimmigrant visa (R5) Does the prohibition on the enforcement officers? possess a firearm or ammunition in receipt and possession of firearms the United States? and ammunition by aliens in nonim- Yes. The Gun Control Act was migrant visa status apply to nonim- amended so that employees of gov- An alien admitted to the United States migrant aliens who lawfully enter the ernment agencies convicted of misde- under a nonimmigrant visa is prohibited United States without a visa? meanor crimes of domestic violence from shipping, transporting, receiving, would not be exempt from disabilities or possessing a firearm or ammunition No. A nonimmigrant alien who is law- with respect to their receipt or pos- unless the alien falls within one of the fully admitted to the United States with- session of firearms or ammunition. exceptions provided in 18 U.S.C. 922(y) out a visa (e.g. Visa Waiver Program), Thus, law enforcement officers and (2), such as: a valid hunting license or may acquire or possess a firearm in the other government officials who have permit, admitted for lawful hunting or United States. been convicted of a disqualifying mis- sporting purposes, certain official rep- demeanor may not lawfully possess

215 (R6) What is an alien number or and ammunition for hunting or other law- sess antique firearms, even if the alien admission number? ful sporting purposes. Please note this does not fall within an exception to the requirement applies to all nonimmigrant nonimmigrant alien prohibition. An alien number is a unique 7, 8, or 9 aliens, not all nonresidents (e.g., it does digit number assigned to a noncitizen by not apply to U.S. citizens residing abroad). [18 U.S.C. 921(a)(3) and (a)(16); 27 the Department of Homeland Security CFR 478.11] upon the creation of a file. The form to be filed with ATF is an ATF Form 6 NIA (5330.3D) (Application/Permit (R15) Are there any restrictions on An admission number is the number on for Temporary Importation of Firearms and the types of firearms that can be a CBP Form I–94 or CBP Form I–94W, the Ammunition by Nonimmigrant Aliens) with temporarily imported into the United arrival/departure form Customs and Bor- documentation demonstrating that you fall States for hunting or for a shooting der Protection (CBP) gives most nonimmi- within an exception to the nonimmigrant competition? grant aliens when they arrive in the U.S. alien prohibition. The form is both the ap- While most nonimmigrant aliens will au- plication and, once approved, the permit Yes. National Firearms Act weapons tomatically receive an admission number you present to the U.S. Customs and Bor- (which include machineguns, short–bar- when they enter the U.S., Canadians will der Protection when you enter the United reled rifles and shotguns, and silencers); not. However, if a Canadian asks a CBP States. The Form 6 NIA can be download- nonsporting firearms; U.S. government or- official for an admission number when he ed at www.atf.gov. igin firearms or firearms that contain U.S. or she enters the United States, he or she government origin manufactured parts or will be given an admission number. [27 CFR 478.115(d) and (e) and 478.120] components; and firearms from certain proscribed countries may not be tempo- (R7) Is the possessor of a “green (R11) What documentation does an rarily imported. If you think the firearm(s) card” a nonimmigrant alien? alien need to show U.S. Customs and you wish to import may be affected by Border Protection (CBP) when enter- these restrictions, please contact the Fire- No. The possessor of a “green card” ing the United States with a firearm? arms and Explosives Imports Branch. is a permanent resident and not in nonimmigrant status. When entering the United States, an [18 U.S.C. 922(l) and 925(d); 26 U.S.C. alien must show CBP both the approved 5844; 27 CFR 447.52 and 447.57; 27 (R8) Is a valid hunting license or per- Form 6 NIA (5330.3D) permit, and if CFR 478.111; 27 CFR 479.111] mit as an exception to the firearms admitted to the United States under a prohibitions on nonimmigrant aliens nonimmigrant visa, appropriate docu- (R16) May a firearm that was tempo- only valid in the State in which it mentation demonstrating you fall within rarily imported into the United States was issued? an exception to the nonimmigrant alien remain in the United States? prohibition. No. A valid, unexpired hunting license An alien that temporarily imports a or permit from any State within the United [27 CFR 478.120] firearm into the United States must re- States satisfies the hunting license excep- move the firearm from the country at the tion to the nonimmigrant alien prohibition. (R12) Do aliens that have an ap- conclusion of the visit. The hunting license or permit does not proved ATF Form 6 NIA need to pro- have to be from the State where the non- vide Customs and Border Protec- [27 CFR 478.115(d)(1)] immigrant alien is purchasing the firearm. tion (CPB) with an ATF Form 6A? (R17) Does an alien with an approved (R9) Does a Canadian citizen re- No. Because you are only importing siding in the United States need an Form 6 NIA import permit need to the firearms temporarily, you do not obtain an export permit to take the alien number or admission number need to complete an ATF Form 6A or to purchase a firearm? firearm(s) and/or remaining ammuni- provide it to CBP. tion back out of the United States? Yes. All non–U.S. citizens need an alien [27 CFR 478.120] number or admission number to purchase No. a firearm from a Federal firearms licens- (R13) How long is an ATF Form 6 NIA (R18) Can an alien who enters the ee (FFL). A FFL cannot complete the sale valid for? without an alien or admission number. This United States on a nonimmigrant alien visa rent a firearm for lawful is the case even if you have a State per- The ATF Form 6 NIA is valid for one mit that ATF has determined qualifies as hunting or sporting purposes while year from the date of approval. For con- in the United States? a “NICS alternative” and therefore do not ditions on importation see the instruc- need to have a NICS background check. tions on the Form 6 NIA. A nonimmigrant alien that possess a valid hunting license from a State within (R10) Do nonimmigrant aliens need (R14) Is an ATF Form 6 NIA required to obtain a permit to temporarily im- the United States or falls within any of to temporarily import an antique the other exceptions or exemptions that port firearms into the United States firearm? for hunting or other lawful sporting allow nonimmigrant aliens to possess purposes? firearms may rent firearms to hunt or to No. Because antique firearms are not use at a shooting range. considered firearms for purposes of the Yes. All nonimmigrant aliens (with a few GCA, none of the import regulations ap- [18 U.S.C. 922(a)(5) and (9), 922(g)(5)(B) exceptions ) must obtain an import permit ply to the importation of antique firearms. and 922(y); 27 CFR 478.99(a) and (c)(5)] from ATF to temporarily import firearms Moreover, a nonimmigrant alien may pos-

216 (R19) Does a United States citizen (R20) Would an import permit be re- (R21) Does an alien residing in the living abroad with no State of resi- quired for a Canadian citizen driving United States who temporarily takes dence in the United States need an through the United States from one a firearm out of the United States import permit to temporarily bring part of Canada to another part of need to obtain a Form 6 NIA to bring firearms into the United States for Canada? the firearm back into the country? lawful purposes? No. An ATF Form 6 NIA import per- No Form 6 NIA is required when it can No. Unlike aliens, United States citi- mit is not required because firearms in be established to the satisfaction U.S. zens are not required to obtain an im- transit are not considered imported into Customs and Border Protection (CBP) port permit to temporarily bring firearms the United States. However, the Cana- official that the firearm was previous- into the United States If the importation dian citizen must comply with the laws ly taken out of the United States. This is other than a temporary importation, of each State which is being driving can be satisfied by completing Customs the citizen must file an ATF Form 6, Ap- through. For information on State laws, Form 4457 prior to leaving the U.S. with plication and Permit for Importation of contact the State’s Attorney General the firearm. However, if you are a non- Firearms, Ammunition and Implements Office for each State in which you are immigrant alien returning to the U.S. of War. driving through. you must provide the CPB official with documentation demonstrating you are Contact the U.S. Customs and Border [27 CFR 447.11, 27 CFR 478.11] exempt from the general nonimmigrant Protection for requirements regarding alien prohibition on possessing firearms. the temporary importation of firearms. [18 U.S.C. 922(g)(5)(b); 27 CFR 478.99 and 478.115]

217 ATF POINTS OF CONTACT

Report Lost or Stolen Firearms, including National Firearms Act Weapons �� 888-930-9275 or 1-800-ATF-GUNS (1-800-283-4867)

Report Unlawful Firearms Activity �� 1-800-ATF-GUNS (1-800-283-4867)

Report Multiple Sales of Handguns Please make sure to send a completed ATF Form 3310.4 to: ATF National Tracing Center (NTC) 244 Needy Road, Martinsburg WV25405 ��304-260-1500

Rather than mailing this form, you may FAX it to the NTC at �� 877-283-0288 or Email to �� [email protected]

(You also must send a copy of the Form 3310.4 to the Chief Law Enforcement Office where your business is located and attach a copy to the Form 4473 for the second handgun.)

Federal Firearms License Application or Renewal

Federal Firearms Licensing Center P.O. Box 409567 Atlanta, GA 30384-9567 Toll-free ��866-662-2750

ATF Forms and Publications ATF Distribution Center �� (703) 870-7526 or (703) 870-7528 Most forms and publications also are available at the ATF website at ��www.ATF.gov

Firearms Technology Branch 244 Needy Road Martinsburg, WV 25405 �� (304) 616-4300 Email: ��[email protected]

Going Out-of-Business Records should be shipped to: ATF Out-of-Business Records Center 244 Needy Road, Martinsburg, WV 25405 ��800-788-7133

Questions About Federal Firearms Laws and Regulations

Contact your nearest ATF Field Office ��See listing starting on page 219

218 FOR QUESTIONS CONCERNING UNLAWFUL ACTIVITIES CONTACT THE ATF CRIMINAL ENFORCEMENT FIELD DIVISIONS BELOW

Atlanta Field Division Houston Field Division Philadelphia Field Division 2600 Century Parkway N.E. 5825 N. Sam Houston Parkway The Curtis Center Suite 300 Suite 300 601 Walnut Street, Suite 1000 E Atlanta, GA 30345-3104 Houston, TX 77086 Philadelphia, PA 19106 (404) 417-2600 (281) 716-8200 (215) 446-7800

Baltimore Field Division Kansas City Field Division Phoenix Field Division 31 Hopkins Plaza, 5th Floor 2600 Grand Blvd. 201 East Washington Street Balitmore, MD 21201 Suite 200 Suite 940 (443) 965-2000 Kansas City, MO 64108 Phoenix, AZ 85004 (816) 559-0700 (602) 776-5400 Boston Field Division 10 Causeway Street Los Angeles Field Division San Francisco Field Division Room 791 550 N. Brand Blvd. 5601 Arnold Road Boston, MA 02222-1047 Suite 800 Suite 400 (617) 557-1200 Glendale, CA 91203 Dublin, CA 94568-7724 (818) 265-2500 Charlotte Field Division (925) 557-2800 Louisville Field Division 6701 Carmel Road Seattle Field Division 600 Dr. Martin Luther King Jr. Place Suite 200 Jackson Federal Building Suite 500 Charlotte, NC 28226 915 2nd Avenue, Room 790 Louisville, KY 40202 (704) 716-1800 Seattle, WA 98174 (502) 753-3400 Chicago Field Division (206) 204-3205 Miami Field Division 525 West Van Buren Street St. Paul Field Division Suite 600 11410 NW 20th Street Suite 200 1870 MINN. World Trade Center Chicago, IL 60607 30 East Seventh Street (312) 846-7200 Miami, FL 33172 (305) 597-4800 Suite 1900 Columbus Field Division St. Paul, MN 55101 Nashville Field Division 230 West Street (651) 726-0200 5300 Maryland Way Suite 400 Suite 200 Tampa Field Division Columbus, OH 43215 Brentwood, TN 37027 400 North Tampa Street (614) 827-8400 (615) 565-1400 Suite 2100 Dallas Field Division Tampa, FL 33602 Newark Field Division 1114 Commerce Street (813) 202-7300 1 Garret Mountain Plaza Room 303 Suite 400 Washington Field Division Dallas, TX 75242 Woodland Park, NJ 07424 1401 H Street, NW (469) 227-4300 (973) 413-1179 Suite 900 Denver Field Division New Orleans Field Division Washington, DC 20005 950 17th Street, Suite 1800 One Galleria Blvd., Suite 1700 (202) 648-8010 Denver, CO 80202 Metairie, LA 70001 (303) 575-7600 (504) 841-7000 Detroit Field Division New York Field Division 1155 Brewery Park Blvd. 32 Old Slip Suite 300 Suite 3500 Detroit, MI 48207-2602 Manhattan, NY 10005 (313) 202-3400 (646) 335-9000

219 FOR QUESTIONS CONCERNING FEDERAL FIREARMS LAWS, REGULATIONS, PROCEDURES OR POLICIES CONTACT AN ATF INDUSTRY OPERATIONS FIELD OFFICE BELOW

ALBUQUERQUE II FO (IO) CLEVELAND III FIELD OFFICE (IO) FALLS CHURCH III FIELD OFFICE (IO) 201 THIRD STREET SUITE 1550 5005 ROCKSIDE ROAD 7799 LEESBURG PIKE ALBUQURQUE, NM 87102 SUITE 700 SUITE 1050, N. TOWER (505) 346-6910 INDEPENDENCE, OH 44131 FALLS CHURCH, VA 22043-2413 (216) 573-8140 (703) 287-1120 ATLANTA V FIELD OFFICE (IO) 2600 CENTURY PARKWAY, NE COLUMBIA II FIELD OFFICE (IO) FORT PIERCE II FIELD OFFICE (IO) ROOM 350 1835 ASSEMBLY STREET, RM. 309 1660 SW. ST. LUCIE WEST BLVD. ATLANTA, GA 30345 COLUMBIA, SC 29201 SUITE 400 (404) 417-2670 (803) 251-4640 PORT ST. LUCIE, FL 34986 (772) 924-2780 BALTIMORE V FIELD OFFICE (IO) DALLAS V FIELD OFFICE (IO) FALLON FEDERAL BUILDING 1114 COMMERCE STREET FORT WORTH II FIELD OFFICE (IO) 31 HOPKINS PLAZA, 5TH FLOOR ROOM 303 6000 WESTERN PLACE, SUITE 400 BALTIMORE, MD 21201 DALLAS, TX 75242 FT WORTH, TX 76107 (443) 965-2120 (469) 227-4415 (817) 862-2850

BIRMINGHAM II FIELD OFFICE (IO) DENVER III FIELD OFFICE (IO) GLENDALE III FIELD OFFICE (IO) 920 18TH STREET NORTH 950 17TH STREET, SUITE 1800 550 N. BRAND BLVD., SUITE 800 ROOM 237, DENVER, CO 80202 GLENDALE, CA 91203 BIRMINGHAM, AL 35203 (303) 575-7640 (818) 265-2540 (205) 583-5950 DETROIT V FIELD OFFICE (IO) GRAND RAPIDS II FIELD OFFICE (IO) BOSTON V FIELD OFFICE (IO) 1155 BREWERY PARK BLVD 38 WEST FULTON, SUITE 200 10 CAUSEWAY STREET, ROOM 701 SUITE 300 GRAND RAPIDS, MI 49503 BOSTON, MA 02222 DETROIT, MI 48207 (616) 301-6100 (617) 557-1250 (313) 202-3550 GREENSBORO II FIELD OFFICE (IO) BUFFALO II FIELD OFFICE (IO) DOWNERS GROVE III FIELD OFFICE (IO) 1801 STANLEY ROAD 598 MAIN STREET, SUITE 201 3250 LACEY ROAD ROOM 300 BUFFALO, NY 14202 SUITE 400 GREENSBORO, NC 27407-2643 (716) 853-5160 DOWNERS GROVE, IL 60515 (336) 235-4950 (630) 725-5290 CHARLESTON FIELD OFFICE (IO) HARRISBURG II FIELD OFFICE (IO) 300 SUMMERS STREET, SUITE 1400 DUBLIN III FIELD OFFICE (IO) MARKET SQUARE PLAZA CHARLESTON, WV 25301 5601 ARNOLD ROAD, SUITE 400 17 NORTH 2ND STREET, SUITE 1400 (304) 340-7820 DUBLIN, CA 94568 HARRISBURG, PA 17101 (925) 557-2830 (717) 231-3400 CHARLOTTE III FIELD OFFICE (IO) 6701 CARMEL ROAD, SUITE 200 EL PASO II FIELD OFFICE (IO) HARTFORD FIELD OFFICE (IO) CHARLOTTE, NC 28226 303 NORTH OREGON 450 MAIN STREET, ROOM 610 (704) 716-1830 EL PASO, TEXAS 79901 HARTFORD, CT 06103 (915) 534-6449 (860) 240-3400 CINCINNATI II FIELD OFFICE (IO) 550 MAIN STREET FAIRVIEW HEIGHTS FIELD OFFICE (IO) HELENA II FIELD OFFICE (IO) ROOM 1516 333 SALEM PLACE, SUITE 205 10 WEST 15TH STREET CINCINNATI, OH 45202 FAIRVIEW HEIGHTS, IL 62208 SUITE 2400 (513) 684-3351 (618) 632-0704 HELENA, MT 59626 (406) 441-3160

220 HOUSTON FIELD OFFICE VII (IO) LUBBOCK II FIELD OFFICE (IO) NEW JERSEY III FIELD OFFICE (IO) 5825 N. SAM HOUSTON PARKWAY SENTRY PLAZA III 3 GARRET MOUNTAIN PLAZA SUITE 300 5214 68TH STREET, SUITE 300 SUITE 202 HOUSTON, TX 77086 LUBBOCK, TX 79424 WOODLAND PARK, NJ 07424 (281) 716-8360 (806) 783-2750 (973) 247-3030

INDIANAPOLIS II FIELD OFFICE (IO) MACON II FIELD OFFICE (IO) OKLAHOMA CITY I FIELD OFFICE (IO) 151 N. DELAWARE STREET, SUITE 1000 1645 FOREST HILL ROAD 55 NORTH ROBINSON, ROOM 229 INDIANAPOLIS, IN 46204 SUITE 200 OKLAHOMA CITY, OK 73102 (317) 287-3500 MACON, GA 31210 (405) 297-5073 (478) 405-2440 JACKSON II FIELD OFFICE (IO) OMAHA FIELD II OFFICE (IO) 100 WEST CAPITOL STREET, MC ALLEN II FIELD OFFICE (IO) 17310 WRIGHT STREET, SUITE 204 SUITE 1403 1100 EAST LAUREL AVENUE OMAHA, NE 68130 JACKSON, MS 39269 SUITE 301 (402) 952-2635 (601) 863-0940 MCALLEN, TX 78504 (956) 661-7950 ORLANDO II FIELD OFFICE (IO) JACKSONVILLE III FIELD OFFICE (IO) 3452 LAKE CYNDA DRIVE, SUITE 450 5210 BELFORT ROAD MERRILLVILLE II FIELD OFFICE (IO) ORLANDO, FL 32817 SUITE 350 8420 INDIANA STREET 2ND FLOOR (407) 384-2420 JACKSONVILLE, FL 32256 MERRILLVILLE, IN 46410 (219) 755-6310 (904) 380-5580 PHOENIX III FIELD OFFICE (IO) 201 EAST WASHINGTON STREET KANSAS CITY III & VI FIELD OFFICE (IO) MIAMI VI FIELD OFFICE (IO) SUITE 940 2600 GRAND BOULEVARD, SUITE 200 11410 NW. PHOENIX, AZ 85004 KANSAS CITY, MO 64108 20TH STREET, SUITE 200 (602) 776-5480 (816) 410-6000 MIAMI, FL 33172 (305) 597-4960 PITTSBURGH III FIELD OFFICE (IO) LANSDALE FIELD OFFICE (IO) 1000 LIBERTY AVENUE 100 WEST MAIN STREET MILWAUKEE II FIELD OFFICE (IO) SUITE 1414 SUITE 300B 1000 NORTH WATER STREET PITTSBURGH, PA 15222 LANSDALE, PA 19446 SUITE 1400 (412) 395-0540 (215) 362-1840 MILWAUKEE, WI 53202 (414) 727-6200 PORTLAND III FIELD OFFICE (IO) LAS VEGAS III FIELD OFFICE (IO) 1201 N.E. LLOYD BLVD. 8965 S. EASTERN AVENUE. MOBILE II FIELD OFFICE (IO) ROOM 720 SUITE 200 41 WEST INTERSTATE 65 PORTLAND, OR 97232 LAS VEGAS, NV 89123 SERVICE ROAD NORTH SUITE 350 (503) 331-7820 (702) 347-5930 MOBILE, AL 36608 (251) 706-8540 RICHMOND II FIELD OFFICE (IO) LEXINGTON FIELD OFFICE (IO) 1011 BOULDER SPRINGS DRIVE 1040 MONARCH STEET NASHVILLE II & IV FIELD OFFICE (IO) SUITE 300 SUITE 250 5300 MARYLAND WAY, SUITE 200 RICHMOND, VA 23225 LEXINGTON, KY 40513 BRENTWOOD, TN 37027 (804) 200-4141 (859) 219-4500 (615) 565-1412 LITTLE ROCK II FIELD OFFICE (IO) ROANOKE II FIELD OFFICE (IO) NEW ORLEANS III FIELD OFFICE (IO) 425 WEST CAPITOL, SUITE 775A 310 FIRST STREET, SW ONE GALLERIA BLVD., SUITE 1700 LITTLE ROCK, AR 72201 SUITE 500 METAIRIE, LA 70001 (501) 324-6457 ROANAKE, VA 24011 (504) 841-7120 (540) 983-6944 LOUISVILLE II FIELD OFFICE (IO) 600 DR. MARTIN L KING JR PL., NEW YORK VI FIELD OFFICE (IO) SACRAMENTO II FIELD OFFICE (IO) SUITE 354 32 OLD SLIP, SUITE 3500 1325 J STREET, SUITE 1530 LOUISVILLE, KY 40202 NEW YORK, NY SACRAMENTO, CA 95814 (502) 753-3500 (646) 335-9060 (916) 498-5095

221 SALT LAKE CITY II FIELD OFFICE (IO) SPOKANE II FIELD OFFICE (IO) SYRACUSE II FIELD OFFICE (IO) 257 EAST 200 SOUTH, SUITE 475 1313 NORTH ATLANTIC STREET 100 SOUTH CLINTON STREET SALT LAKE CITY, UT 84111 SUITE 4100 ROOM 517 (801) 524-7000 SPOKANE, WA 99201 SYRACUSE, NY 13260 (509) 324-7866 (315) 448-0898 SAN ANTONIO II FIELD OFFICE (IO) 8610 BROADWAY, SUITE 400 SPRINGFIELD II FIELD OFFICE (IO) TAMPA II FIELD OFFICE (IO) SAN ANTONIO, TX 78217 3161 W. WHITE OAKS DRIVE 923 U.S. HIGHWAY 301 SOUTH (210) 805-2777 SUITE 200 TAMPA, FL 33619 SPRINGFIELD, IL 62704 (813) 612-2470 SAN DIEGO III FIELD OFFICE (IO) (217) 547-3675 9449 BALBOA AVENUE, SUITE 200 TUCSON III FIELD OFFICE (IO) SAN DIEGO, CA 92123 ST. LOUIS III FIELD OFFICE (IO) 2255 WEST INA ROAD (858) 966-1030 ROBERT A. YOUNG FEDERAL BLDG. 3RD FLOOR 1222 SPRUCE STREET, ROOM 6.205 TUCSON, AZ 85741 SANTA ANA II FIELD OFFICE (IO) ST. LOUIS, MO 63103 (520) 297-2100 34 CIVIC CENTER PLAZA (314) 269-2250 SUITE 6121 WILKES BARRE FIELD OFFICE (IO) SANTA ANA, CA 92701 ST. PAUL II FIELD OFFICE (IO) 7 NORTH WILKES BARRE BLVD. (714) 347-9150 30 EAST 7TH STREET, SUITE 1700 SUITE 271-M ST. PAUL, MN 55101 WILKES-BARRE, PA 18702 SEATTLE II FIELD OFFICE (IO) (651) 726-0220 (570) 820-2210 915 SECOND AVENUE 7TH FLOOR, ROOM 790 SEATTLE, WA 98174 (206) 204-7693

222 NON-ATF POINTS OF CONTACT

Directorate of Defense Trade Controls U.S. Department of State Directorate of Defense Trade Controls Compliance & Registration Division 2401 E Street NW, SA-1, Room H1200 Washington, DC 20522-0112 Telephone ��202-663-1282 Web site ��www.pmddtc.state.gov

Bureau of Industry and Security Outreach and Educational Services Division 14th Street & Pennsylvania Ave., N.W. Washington, DC 20230 Telephone ��202-482-4811 Web site �� www.bis.doc.gov

Federal Bureau of Investigation Criminal Justice Information Services Division NICS Section Appeal Services Team, Module A-1 Post Office Box 4278 Clarksburg, WV 26302-4278 Telephone ��877-444-6427 Web site �� www.fbi.gov/about-us/cjis/nics/nics

Canada Firearms Centre Royal Canadian Mounted Police Canadian Firearms Program Ottawa, ON K1A 0R2 Telephone ��800-731-4000 Web site �� www.rcmp-grc.gc.ca/cfp-pcaf/index-eng.htm E-mail ��[email protected]

Questions about State Laws or Local Ordinances Contact your State Police, local law enforcement authority or State Attorney General’s Office See listing of State Attorney Generals starting on page 224

223 STATE ATTORNEYS GENERAL

Alabama District of Columbia Iowa Office of the Attorney General Office of the Corporation Counsel Office of the Attorney General 501 Washington Avenue 441 4th Street, NW, Hoover State Office Building Montgomery, AL 36104 Washington DC 20001 1305 East Walnut (334) 242-7300 (202) 727-3400 Des Moines, IA 50319 (515) 281-5164 Alaska Florida Office of the Attorney General Office of the Attorney General Kansas P.O. Box 110300 The Capitol, PL 01 Office of the Attorney General Diamond Courthouse, 4th Floor Tallahassee, FL 32399-1050 120 S.W. 10th Avenue, 2nd Floor Juneau, AK 99811-0300 (850) 414-3300 Topeka, KS 66612-1597 (907) 465-2133 (785) 296-2215 Georgia American Samoa Office of the Attorney General Kentucky Office of the Attorney General 40 Capitol Square Office of the Attorney General American Samoa Atlanta, GA 30334-1300 State Capitol, Room 118 Government Executive Office Bldg. (404) 656-3300 700 Capitol Avenue Frankfort, KY 40601 Pago Pago, AS 96799 (502) 696-5300 011 (684) 633-4163 Guam Office of the Attorney General Louisiana Arizona 590 S. Marine Corps Drive Office of the Attorney General Office of the Attorney General ITC Bldg., Suite 706 Department of Justice 1275 West Washington Street Tamuning, Guam 96913 P.O. Box 94005 Phoenix, AZ 85007 (671) 475-3324 Baton Rouge, LA 70804 (602) 542-4266 (225) 326-6079 Hawaii Arkansas Office of the Attorney General Maine Office of the Attorney General 425 Queen Street Office of the Attorney General 200 Tower Building Honolulu, HI 96813 6 State House Station 323 Center Street (808) 586-1500 Augusta, ME 04333-0006 Little Rock, AR 72201-2610 (207) 626-8800 (800) 482-8982 Idaho Office of the Attorney General Maryland California 700 W. Jefferson Street Office of the Attorney General Office of the Attorney General P.O. Box 83720 200 St. Paul Place 1300 I Street, Suite 1740 Boise, ID 83720-1000 Baltimore, MD 21202-2202 Sacramento, CA 95814 (208) 334-2400 (410) 576-6300 (916) 445-9555 Illinois Massachusetts Colorado Office of the Attorney General Office of the Attorney General Office of the Attorney General James R. Thompson Center South One Ashburton Place Boston, MA Ralph L. Carr Colorado Judicial Center 100 West Randolph Street 02108-1698 1300 Broadway, 10th Floor 12th Floor (617) 727-2200 Denver, Colorado 80203 Chicago, IL 60601 720-508-6000 (312) 814-3000 Michigan Office of the Attorney General Connecticut Indiana P.O. Box 30212 Office of the Attorney General Office of the Attorney General 525 West Ottawa Street Lansing, MI 55 Elm Street Indiana Government Center 48909-0212 Hartford, CT 06141-0120 302 West Washington Street (517) 373-1110 (860) 808-5318 5th Floor Indianapolis, IN 46204 Minnesota Delaware (317) 232-6201 Office of the Attorney General Office of the Attorney General 1400 Bremer Tower Carvel State Office Building 445 Minnesota Street 820 North French Street St. Paul, MN 55101 Wilmington, DE 19801 (651) 296-3353 (302) 577-8500

224 Mississippi North Dakota Tennessee Office of the Attorney General Office of the Attorney General Office of the Attorney General Department of Justice State Capitol P.O. Box 20207 Post Office Box 220 600 East Boulevard Avenue Nashville, TN 37202-0207 Jackson, MS 39205-0220 Bismarck, ND 58505-0040 (615) 741-3491 (601) 359-3680 (701) 328-2210 Texas Missouri No. Mariana Islands Office of the Attorney General Office of the Attorney General Office of the Attorney General Capitol Station Supreme Court Building Administration Building P.O. Box 12548 207 West High Street P.O. Box 10007 Austin, TX 78711-2548 Jefferson City, MO 65101 Saipan, MP 96950-8907 (512) 463-2100 (573) 751-3321 (670) 664-2341 Utah Montana Ohio Office of the Attorney General Office of the Attorney General Office of the Attorney General Utah State Capitol Complex Justice Building State Office Tower 350 North State Street Suite 230 215 North Sanders Helena, MT 59620-1401 30 East Broad Street, 14th Floor Salt Lake City UT 84114-2320 (406) 444-2026 Columbus, OH 43266-0410 (801) 538-9600 Nebraska (614) 466-4986 Vermont Office of the Attorney General Office of the Attorney General Oklahoma 109 State Street 2115 State Capitol Office of the Attorney General Lincoln, NE 68509 Montpelier, VT 05609-1001 State Capitol, Room 112 (802) 828-3171 (402) 471-2682 313 NE 21st Street Virgin Islands Nevada Oklahoma City, OK 73105 Office of the Attorney General Office of the Attorney General (405) 521-3921 Department of Justice Old Supreme Court Building Oregon 34-38 Kronprindsens 100 North Carson Street Office of the Attorney General Gade GERS Building, Carson City, NV 89701 Justice Building 2nd Floor St. Thomas, (775) 684-1100 1162 Court Street Virgin Islands 00802 New Hampshire NE Salem, OR 97301-4096 (340) 774-5666 (503) 378-4400 Office of the Attorney General Virginia State House Annex Pennsylvania Office of the Attorney General 33 Capitol Street Office of the Attorney General 900 East Main Street Concord, NH 03301-6397 1600 Strawberry Square Richmond, VA 23219 (603) 271-3658 Harrisburg, PA 17120 (804) 786-2071 New Jersey (717) 787-3391 Washington Office of the Attorney General Puerto Rico Office of the Attorney General Richard J. Hughes Justice Complex 1125 Washington Street, SE 25 Market St., CN 080 Office of the Attorney General P.O. Box 9020192 P.O. Box 40100 Trenton, NJ 08625 Olympia, WA 98504-0100 (609) 292-8740 San Juan, PR 00902-0192 (787) 721-2900 (360) 753-6200 New Mexico West Virginia Office of the Attorney General Rhode Island Office of the Attorney General Post Office Drawer 1508 Office of the Attorney General State Capitol, Room E26 Santa Fe, NM 87504-1508 150 South Main Street 1900 Kanawha Boulevard East (505) 827-6000 Providence, RI 02903 Charleston, WV 25305 (401) 274-4400 New York (304) 558-2021 Office of the Attorney General South Carolina Wisconsin Department of Law -The Capitol Office of the Attorney General Office of the Attorney General 2nd Floor Rembert C. Dennis Office Bldg. 114 East State Capitol Albany, NY 12224 P.O. Box 11549 P.O. Box 7857 1-800-771-7755 Columbia, SC 29211-1549 Madison, WI 53707-7857 (803) 734-3970 (608) 266-1221 North Carolina Office of the Attorney General South Dakota Wyoming Department of Justice Office of the Attorney General Office of the Attorney General 9001 Mail Service Center 1302 E. Highway 14, Suite 1 State Capitol Building, Room 123 Raleigh, NC 27699-9001 Pierre, SD 57501-8501 200 W. 24th Street (919) 716-6400 (605) 773-3215 (307) 777-7841

225 U.S. Department of Justice

Federal Bureau of Investigation

Clarksburg, WV 26306

TO: FEDERAL FIREARMS LICENSEES (FFL)

On November 30, 1998, the permanent provisions of the Brady Handgun Violence Prevention Act of 1993 (Brady Act) went into effect. The Brady Act required the U.S. Attorney General to establish a National Instant Criminal Background Check System (NICS) that any FFL could contact by telephone, or other electronic means, for information to be supplied immediately, on whether the receipt of the firearm by a prospective transferee would violate state or federal law.

In order to request a NICS background check, the FFL must first enroll in the NICS with the FBI. To obtain an enrollment form and additional NICS information, access the NICS FFL Web site at . If you are an FFL without Internet access, you may contact the FBI Criminal Justice Information Services (CJIS) Division’s NICS Section Customer Service at 1-877-FBI-NICS (324-6427) to retrieve copies of the information. The site includes but is not limited to the following:

• Contact the NICS FFL Liaison Specialist—E-mail the NICS Liaison Specialist with questions, comments, and/or new enrollments.

• NICS Resolution Cards for Your Denied/Delayed Customers—Order these NICS Resolution Cards online (50 card limit per request).

• Update your FBI NICS FFL Contact Information—If the NICS Section must contact your business, do we have the correct contact information on file for you? Now the FFL can update their contact information online by submitting a form to the NICS Section. Remember, if your main contact information has changed, the FFL must contact the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) Licensing Center in writing by e-mail to , fax 1-866-257-2749, or via U.S. mail to 244 Needy Road, Martinsburg, West Virginia 25405.

• Receive NICS Messages—FFLs and their employees can receive e-mails pertaining to NICS system changes/outages/general updates, etc. The FFL will have the option to add their e-mail address, request the e-mail address on file be replaced with a new e-mail address, or ask to be removed from the e-mail list all together. There is no limit to how many store employees can request updates. The FFL number is a requirement for any request. Once added to the list, e-mails will be received from this address .

226 • The FFL Enrollment Form—Requires you pick a code word. Each time you contact the NICS Section telephonically, you will be asked to supply your code word and your FFL number for verification of your identity. This code word is used for authentication of your identity and should be treated as confidential information. Additionally, you can request to conduct your NICS transaction online by using the NICS E-Check 2.0. This requires the FFL to complete sections 12-14 on the enrollment form. The FFL will be provided a user name and establish a password that will be used for authentication of your identity. The Enrollment Form Instructions are located on the backside of the enrollment form and should be read completely prior to completing the form.

• The FFL Acknowledgment of Responsibilities under the NICS—Outline the NICS-related responsibilities of each FFL. These responsibilities also apply to any FFLs, employees, agents, or other representatives. Any employee who will perform NICS background checks must read and comply with the policies and procedures outlined in the acknowledgment. Two signature pages are included in the agreement. The first signature page should be retained by the FFL. The second signature page is included on the enrollment form. This signature area must be signed by the licensee, witnessed, and returned to the FBI.

• The NICS FFL User Manual—Explains the NICS process.

• The NICS Appeal Information—For customers who are denied the purchase of a firearm based on a NICS background check. The appellant can file an appeal online or print the appeal brochure and fingerprint card to mail the appeal. Appeal packets are also available by calling the NICS Customer Service at 1-877-FBI-NICS (324-6427). The appellant begins the process via the Web site at .

• How to Obtain and Challenge your FBI Identification Record Brochure—For customers with a criminal history interested in obtaining their FBI record.

• The NICS E-Check 2.0 Information—Provides links to the NICS E-Check 2.0 Web site. It also illustrates the functionality, security, and benefits of the new and improved NICS E-Check 2.0.

• The FFL Quick Reference Guide—Provides a quick overview of the steps required in conducting a NICS background check.

• The NICS Information Sheet—Explains a delay response. This sheet should be distributed to prospective gun purchasers whose transactions have been delayed.

227 • The NICS Delay Instruction Sheet—Provides instructions for the FFL on the processing of the delayed firearm transaction.

The FFL has two possible ways to conduct a NICS transaction:

1. Internet—Conduct your NICS transactions online by utilizing the NICS E-Check 2.0. Aren’t having two options to conduct your NICS transactions better than one? To enroll with the NICS E-Check 2.0, you must complete sections 12-14 on the enrollment form in addition to registering to use the NICS E-Check on the dedicated Web site at .

2. Telephonically—Once the NICS Section receives/completes your enrollment form, you will are automatically enrolled to conduct NICS transactions telephonically. Please be advised that calls may be monitored and recorded for any authorized purpose.

The NICS Section is dedicated to providing services to FFLs that enable your business to operate in an efficient and organized manner. One of the valuable tools that you can use to maximize efficiency and organization is the NICS E-Check. Please understand that we try to handle all incoming transactions as efficiently as possible; however, during peak times, it is not always possible to avoid hold times on the telephone. Even during times of high transaction volume, the NICS E-Check was still running efficiently with an average wait time of less than two minutes once the transaction was initiated.

The NICS E-Check 2.0 allows you to access the system by using any browser on any device with Internet access, for example, computer, laptop, tablet, smart phone, etc. The FFL and/or manager receives administrative controls, which includes the ability to create and modify employee NICS E-Check accounts. You simply log in to the NICS E-Check 2.0 using a user name and password, similar to how many of us manage online accounts.

The NICS E-Check 2.0 offers many benefits which are listed below:

• You will have administrative controls and can create accounts for all employees you wish to have access to the NICS E-Check.

• You will be able to lock or suspend accounts for employees that have left the company or are on extended leave.

• You will be able to reset passwords for employees that have forgotten their password.

• You will be able to access the NICS E-Check using any computer or browser.

• Ability to retrieve background checks 24/7 regardless of whether initiated on NICS E-Check 2.0 or at the NICS Contracted Call Center.

228 • No hold times for the NICS Contracted Call Center.

• No hold times for an FBI NICS representative to review a transaction.

• Ability to print completed NICS background check search requests.

• The availability of messages regarding NICS operational status.

• Added customer protection against identity theft.

• Added safeguard against theft of license number and code word.

In addition to this letter, you have been provided instructions on how to register to use the NICS E-Check 2.0 and the features and testimonials of the NICS E-Check. Please use these documents to maximize the services offered to you by the NICS Section.

Please complete the FFL Enrollment Form and return it to the FBI within two weeks of receipt. You may return this document via facsimile at (304) 625-0897, e-mail at , or mail to:

Federal Bureau of Investigation NICS Section Post Office Box 4278 Clarksburg, WV 26302-9951

You may also enroll by calling the NICS Customer Service at 1-877-FBI-NICS (324-6427), press option 2, and then option 4. However, if you enroll through the NICS Customer Service, you will only be enrolled to conduct your NICS transactions telephonically. To enroll for NICS E-Check 2.0 follow the enclosed instructions. All enrollment forms must be returned to the NICS Section containing the signature of the FFL and a witness. Your ability to perform the background checks required under the Brady Act is dependent on completion and return of the FFL Enrollment Form. Upon utilization of your code word for the first time, you are acknowledging you have read and understand the obligations and responsibilities under the NICS as an FFL.

We look forward to working with you. If you have questions regarding the materials online, please call the NICS Customer Service at 1-877-FBI-NICS (324-6427).

229

~Sign up to Receive NICS Messages via E-mail

~Voluntary Appeal File Information and Video

~View the NICS Process in Motion Video ~Update Your FFL Contact Information

~Receive NICS Message via E-mail

~NICS E-Check 2.0 Information ~Order NICS Resolution Cards

~NICS FFL Reference Card

~Enrollment Information ~Appeal Information

~FFL Manual

230 What is a Business Day?

A business day is a 24-hour day (beginning at 12:01 a.m.) on which state offices are open. A business day does not include Saturday, Sunday, or holidays. The count for the three business days begins the day after the check was initiated.

231 What Do I Give My Delayed/Denied Customers? NICS Resolution Card

The FBI Criminal Justice Information Services (CJIS) Division’s National Instant Criminal Background Check System (NICS) Section is pleased to offer a tool for firearm dealers and their customers. The NICS Section has noticed an increased propensity for a denied or delayed customer to be unsure about the best avenue to pursue when receiving a delayed or deny response from their NICS background check. In response, the NICS Resolution Card has been created. The purpose of this card is two-fold: (1) to define the most appropriate action for the customer to pursue and (2) to educate and encourage customers to utilize the NICS Web site. Customers who initiate their inquiry through the NICS Web site will experience an improved user-friendly, streamlined process.

Federal Firearms Licensee (FFL): We are recommending the following practice be employed when utilizing the card.

DENY side of the card:

If a prospective transferee has been denied the transfer of a firearm, the FFL should give the individual a NICS Resolution Card, circle the word “DENY” on the top of the card, and provide the individual with the NICS Transaction Number (NTN). The FFL should write the NTN on the line provided on the bottom of the card. The Deny side of the card provides the customer with information on how to appeal this decision on-line or via the U.S. Mail.

DELAY side of the card:

If a prospective transferee gets extended and/or experiences continuous delays, the FFL may provide a NICS Resolution Card, circle the word “DELAY” on the top of the card, and provide the individual with the NTN. The FFL should write the NTN on the line provided on the bottom of the card. The Delay side of the card provides the customer with information on how to appeal this decision on-line or via the U.S. mail.

The specific reason for delay and deny cannot be provided over the phone due to the Privacy Act of 1974.

Both options can be found at . For customers without Internet access, the NICS Resolution Card also provides the mailing address and basic instructions for sending requests to the NICS Section.

To request a shipment of the NICS Resolution Cards, visit the NICS FFL Web site at , or contact the NICS Customer Service at 1-877-FBI-NICS (324-6427), option 2.

232

Deny Delay

The National Instant Criminal Background Check System The National Instant Criminal Background Check System (NICS) is a descriptor-based name search. If you believe (NICS) is a descriptor-based name search. If you are you have been erroneously denied you may submit a experiencing an extended delay, you may submit a request to request to appeal the deny decision. appeal the delay decision.

The agency which processed your NICS transaction is The NICS Appeal Web site was established to help guide required to have an appeal process. You may make NICS delayed appellants through the appeal process. application first to the denying agency, i.e., either the state or local law enforcement agency that processed your http://www.fbi.gov/nics-appeals transaction. As an alternative to appealing directly through You will be notified via U.S. Mail once the status of your the denying agency, you may elect to submit your appeal appeal is determined. request to the FBI Criminal Justice Information Services Division’s NICS Section. For customers with no Internet access, you may mail the appeal request to: The NICS Appeal Web site was established to help guide NICS denied appellants through the appeal process. FBI NICS Section Attention: Appeal Services Team http://www.fbi.gov/nics-appeals P.O. Box 4278 Clarksburg, WV 26302-9922 For customers without Internet access, you may mail an appeal request to the address listed below: The appeal submission must include:  A request for the reason for your delay FBI NICS Section  NICS Transaction Number (NTN) Attention: Appeal Services Team  Your full name P.O. Box 4278  Your address Clarksburg, WV 26302-9922  Your phone number  Positive proof of your identity The appeal submission must include:  Request the reason for your denial Positive proof of your identity requires that you provide a set  NICS Transaction Number (NTN) of your rolled fingerprint impressions prepared by a law  Your full name enforcement agency or other authorized fingerprinting  Your address agency. A fingerprint card can be downloaded from the  Your phone number Web site or will be mailed to you if you have no Internet access. You will be notified via U.S. mail once the status of your appeal is determined. The NICS Section cannot release the reason for a delay determination over the phone. Positive proof of identification is needed to make a final determination on many appeal requests for a denied The NICS Section suggests that you wait at least 30 days decision. Providing a set of your rolled fingerprint prior to filing an appeal on a delay to give the NICS impressions prepared by law enforcement or an Section’s staff time to complete the transaction. If your authorized fingerprinting agency is highly recommended background check is completed, the NICS Section will to help expedite your appeal of a deny decision. notify the Federal Firearm Licensee with a final status.

The NICS Section cannot release the reason for a deny determination over the phone. NICS Transaction Number (NTN): NICS Transaction Number (NTN): ______(NTN Required to Appeal) June 2014 (NTN Required to Appeal) June 2014

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