[Title 27 CFR ]
[Code of Federal Regulations (annual edition) - April 1, 2018 Edition]
[From the U.S. Government Publishing Office]
[[Page i]]
Title 27
Alcohol, Tobacco Products and Firearms
________________________
Part 400 to End
Revised as of April 1, 2017
Containing a codification of documents of general
applicability and future effect
As of April 1, 2017
Published by the Office of the Federal Register
National Archives and Records Administration as a
Special Edition of the Federal Register
[[Page ii]]
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[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 27:
Chapter II--Bureau of Alcohol, Tobacco, Firearms,
and Explosives, Department of Justice 3
Finding Aids:
Table of CFR Titles and Chapters........................ 185
Alphabetical List of Agencies Appearing in the CFR...... 205
List of CFR Sections Affected........................... 215
[[Page iv]]
----------------------------
Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 27 CFR 447.1 refers
to title 27, part 447,
section 1.
----------------------------
[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
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parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
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collection request.
[[Page vi]]
Many agencies have begun publishing numerous OMB control numbers as
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(a) The incorporation will substantially reduce the volume of
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(b) The matter incorporated is in fact available to the extent
necessary to afford fairness and uniformity in the administrative
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(c) The incorporating document is drafted and submitted for
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What if the material incorporated by reference cannot be found? If
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this volume.
[[Page vii]]
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Oliver A. Potts,
Director,
Office of the Federal Register.
April 1, 2017.
[[Page ix]]
THIS TITLE
Title 27--Alcohol, Tobacco Products and Firearms is composed of
three volumes: Parts 1-39, parts 40-399, and part 400 to end. The
contents of these volumes represent all current regulations issued by
the Alcohol and Tobacco Tax and Trade Bureau, Department of the
Treasury, and the Bureau of Alcohol, Tobacco, Firearms, and Explosives,
Department of Justice, as of April 1, 2017.
For this volume, Michele Bugenhagen was Chief Editor. The Code of
Federal Regulations publication program is under the direction of John
Hyrum Martinez, assisted by Stephen J. Frattini.
[[Page 1]]
TITLE 27--ALCOHOL, TOBACCO PRODUCTS, AND FIREARMS
(This book contains part 400 to End)
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Part
chapter ii--Bureau of Alcohol, Tobacco, Firearms, and
Explosives, Department of Justice......................... 447
Abbreviations Used in This Chapter:
ATF = Alcohol, Tobacco and Firearms.
TD = Treasury Decision.
TTB = Alcohol and Tobacco Tax and Trade Bureau.
[[Page 3]]
CHAPTER II--BUREAU OF ALCOHOL, TOBACCO, FIREARMS, AND EXPLOSIVES,
DEPARTMENT OF JUSTICE
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SUBCHAPTER A [RESERVED]
SUBCHAPTER B--FIREARMS AND AMMUNITION
Part Page
400-446
[Reserved]
447 Importation of arms, ammunition and
implements of war....................... 5
478 Commerce in firearms and ammunition......... 18
479 Machine guns, destructive devices, and
certain other firearms.................. 86
SUBCHAPTER C--EXPLOSIVES
555 Commerce in explosives...................... 117
SUBCHAPTER D--MISCELLANEOUS REGULATIONS RELATING TO ALCOHOL AND TOBACCO
646 Contraband cigarettes....................... 179
647-699
[Reserved]
[[Page 5]]
SUBCHAPTER A [RESERVED]
SUBCHAPTER B_FIREARMS AND AMMUNITION
PARTS 400 446 [RESERVED]
PART 447_IMPORTATION OF ARMS, AMMUNITION AND IMPLEMENTS OF WAR
--Table of Contents
Subpart A_Scope
Sec.
447.1 General.
447.2 Relation to other laws and regulations.
Subpart B_Definitions
447.11 Meaning of terms.
Subpart C_The U.S. Munitions Import List
447.21 The U.S. Munitions Import List.
447.22 Forgings, castings, and machined bodies.
Subpart D_Registration
447.31 Registration requirement.
447.32 Application for registration and refund of fee.
447.33 Notification of changes in information furnished by registrants.
447.34 Maintenance of records by persons required to register as
importers of Import List articles.
447.35 Forms prescribed.
Subpart E_Permits
447.41 Permit requirement.
447.42 Application for permit.
447.43 Terms of permit.
447.44 Permit denial, revocation or suspension.
447.45 Importation.
447.46 Articles in transit.
Subpart F_Miscellaneous Provisions
447.51 Import certification and delivery verification.
447.52 Import restrictions applicable to certain countries.
447.53 Exemptions.
447.54 Administrative procedures inapplicable.
447.55 Departments of State and Defense consulted.
447.56 Authority of Customs officers.
447.57 U.S. military defense articles.
447.58 Delegations of the Director.
Subpart G_Penalties, Seizures and Forfeitures
447.61 Unlawful importation.
447.62 False statements or concealment of facts.
447.63 Seizure and forfeiture.
Authority: 22 U.S.C. 2778; E.O. 13637, 78 FR 16129 (Mar. 8, 2013).
Source: T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, unless otherwise
noted. Redesignated by T.D. ATF-487, 68 FR 3747, Jan. 24, 2003.
Editorial Note: Nomenclature changes to part 447 appear by T.D. ATF-
487, 68 FR 3748, Jan. 24, 2003.
Subpart A_Scope
Sec. 447.1 General.
The regulations in this part relate to that portion of section 38 of
the Arms Export Control Act of 1976, as amended, authorizing the
President to designate defense articles and defense services as part of
the United States Munitions List (USML) for purposes of import and
export controls. To distinguish the list of defense articles and defense
services controlled in this part for purposes of permanent import from
the list of defense articles and defense services controlled by the
Secretary of State for purposes of export and temporary import, this
part shall refer to the defense articles and defense services controlled
for purposes of permanent import as the U.S. Munitions Import List
(USMIL) and shall refer to the export and temporary import control list
set out by the Department of State in its International Traffic in Arms
Regulations as the USML. Part 447 contains the USMIL and includes
procedural and administrative requirements relating to registration of
importers, permits, articles in transit, import certification, delivery
verification, import restrictions applicable to certain countries,
exemptions, U.S. military firearms and ammunition, penalties, seizures,
and forfeitures. The President's delegation of permanent import control
authorities to the Attorney General provides the Attorney General the
[[Page 6]]
authority to assess whether controls are justified, but in designating
the defense articles and defense services set out in the USMIL the
Attorney General shall be guided by the views of the Secretary of State
on matters affecting world peace and the external security and foreign
policy of the United States. All designations and changes in
designations of defense articles and defense services subject to
permanent import control under this part must have the concurrence of
the Secretary of State and the Secretary of Defense, with notice given
to the Secretary of Commerce.
[ATF-50F, 78 FR 23676, Apr. 22, 2013]
Sec. 447.2 Relation to other laws and regulations.
(a) All of those items on the U.S. Munitions Import List (see Sec.
447.21) which are ``firearms'' or ``ammunition'' as defined in 18 U.S.C.
921(a) are subject to the interstate and foreign commerce controls
contained in Chapter 44 of Title 18 U.S.C. and 27 CFR Part 478 and if
they are ``firearms'' within the definition set out in 26 U.S.C. 5845(a)
are also subject to the provisions of 27 CFR Part 479. Any person
engaged in the business of importing firearms or ammunition as defined
in 18 U.S.C. 921(a) must obtain a license under the provisions of 27 CFR
Part 478, and if he imports firearms which fall within the definition of
26 U.S.C. 5845(a) must also register and pay special tax pursuant to the
provisions of 27 CFR Part 479. Such licensing, registration and special
tax requirements are in addition to registration under subpart D of this
part.
(b) The permit procedures of subpart E of this part are applicable
to all importations of articles on the U.S. Munitions Import List not
subject to controls under 27 CFR Part 478 or 479. U.S. Munitions Import
List articles subject to controls under 27 CFR Part 478 or 27 CFR Part
479 are subject to the import permit procedures of those regulations if
imported into the United States (within the meaning of 27 CFR Parts 478
and 479).
(c) Articles on the U.S. Munitions Import List imported for the
United States or any State or political subdivision thereof are exempt
from the import controls of 27 CFR Part 478 but are not exempt from
control under Section 38, Arms Export Control Act of 1976, unless
imported by the United States or any agency thereof. All such
importations not imported by the United States or any agency thereof
shall be subject to the import permit procedures of subpart E of this
part.
(d) For provisions requiring the registration of persons engaged in
the business of brokering activities with respect to the importation of
any defense article or defense service, see Department of State
regulations in 22 CFR part 129.
[T.D. ATF-215, 50 FR 42158, Oct. 18, 1985, as amended by T.D. ATF-426,
65 FR 38197, June 20, 2000]
Subpart B_Definitions
Sec. 447.11 Meaning of terms.
When used in this part and in forms prescribed under this part,
where not otherwise distinctly expressed or manifestly incompatible with
the intent thereof, terms shall have the meanings ascribed in this
section. Words in the plural form shall include the singular, and vice
versa, and words imparting the masculine gender shall include the
feminine. The terms ``includes'' and ``including'' do not exclude other
things not enumerated which are in the same general class or are
otherwise within the scope thereof.
Appropriate ATF officer. An officer or employee of the Bureau of
Alcohol, Tobacco, Firearms, and Explosives (ATF) specified by ATF Order
1130.34, Delegation of the Director's Authorities in 27 CFR Part 447,
Importation of Arms, Ammunition and Implements of War.
Article. Any of the defense articles enumerated in the U.S.
Munitions Import List (USMIL).
Bureau. Bureau of Alcohol, Tobacco, Firearms, and Explosives, the
Department of Justice.
Carbine. A short-barrelled rifle whose barrel is generally not
longer than 22 inches and is characterized by light weight.
CFR. The Code of Federal Regulations.
Chemical agent. A substance useful in war which, by its ordinary and
direct
[[Page 7]]
chemical action, produces a powerful physiological effect.
Defense articles. Any item designated in Sec. 447.21 or Sec.
447.22. This term includes models, mockups, and other such items which
reveal technical data directly relating to Sec. 447.21 or Sec. 447.22.
Defense services. (a) The furnishing of assistance, including
training, to foreign persons in the design, engineering, development,
production, processing, manufacture, use, operation, overhaul, repair,
maintenance, modification, or reconstruction of defense articles,
whether in the United States or abroad; or
(b) The furnishing to foreign persons of any technical data, whether
in the United States or abroad.
Director. The Director, Bureau of Alcohol, Tobacco, Firearms, and
Explosives, the Department of Justice, Washington, DC 20226.
Executed under the penalties of perjury. Signed with the prescribed
declaration under the penalties of perjury as provided on or with
respect to the application, form, or other document or, where no form of
declaration is prescribed, with the declaration: ``I declare under the
penalties of perjury that this ------------ (insert type of document
such as statement, certificate, application, or other document),
including the documents submitted in support thereof, has been examined
by me and, to best of my knowledge and belief, is true, correct, and
complete.''
Firearms. A weapon, and all components and parts therefor, not over
.50 caliber which will or is designed to or may be readily converted to
expel a projectile by the action of an explosive, but shall not include
BB and pellet guns, and muzzle loading (black powder) firearms
(including any firearm with a matchlock, flintlock, percussion cap, or
similar type of ignition system) or firearms covered by Category I(a)
established to have been manufactured in or before 1898.
Import or importation. Bringing into the United States from a
foreign country any of the articles on the Import List, but shall not
include intransit, temporary import or temporary export transactions
subject to Department of State controls under Title 22, Code of Federal
Regulations.
Import List. The list of articles contained in Sec. 447.21 and
identified therein as ``The U.S. Munitions Import List''.
Machinegun. A ``machinegun'', ``machine pistol'', ``submachinegun'',
or ``automatic rifle'' is a firearm originally designed to fire, or
capable of being fired fully automatically by a single pull of the
trigger.
Permit. The same as ``license'' for purposes of 22 U.S.C. 1934(c).
Person. A partnership, company, association, or corporation, as well
as a natural person.
Pistol. A hand-operated firearm having a chamber integral with, or
permanently aligned with, the bore.
Revolver. A hand-operated firearm with a revolving cylinder
containing chambers for individual cartridges.
Rifle. A shoulder firearm discharging bullets through a rifled
barrel at least 16 inches in length, including combination and drilling
guns.
Sporting type sight including optical. A telescopic sight suitable
for daylight use on a rifle, shotgun, pistol, or revolver for hunting or
target shooting.
This chapter. Title 27, Code of Federal Regulations, Chapter II (27
CFR Chapter II).
United States. When used in the geographical sense, includes the
several States, the Commonwealth of Puerto Rico, the insular possessions
of the United States, the District of Columbia, and any territory over
which the United States exercises any powers of administration,
legislation, and jurisdiction.
(26 U.S.C. 7805 (68A Stat. 917), 27 U.S.C. 205 (49 Stat. 981 as
amended), 18 U.S.C. 926 (82 Stat. 959), and sec. 38, Arms Export Control
Act (22 U.S.C. 2778, 90 Stat. 744))
[T.D. ATF-48, 43 FR 13535, Mar. 31, 1978; 44 FR 55840, Sept. 28, 1979,
as amended by T.D. ATF-202, 50 FR 14382, Apr. 12, 1985; T.D. ATF-215, 50
FR 42158, Oct. 18, 1985; T.D. ATF-484, 67 FR 64526, Oct. 21, 2002; T.D.
ATF-9F, 72 FR 72938, Dec. 26, 2007; ATF-50F, 78 FR 23677, Apr. 22, 2013;
T.D. ATF 2013R-9F, 79 FR 46692, Aug. 11, 2014]
[[Page 8]]
Subpart C_The U.S. Munitions Import List
Sec. 447.21 The U.S. Munitions Import List.
The following defense articles and defense services, designated
pursuant to section 38(a) of the Arms Export Control Act, 22 U.S.C.
2778(a), and E.O. 13637 are subject to controls under this part. For
purposes of this part, the list shall be known as the U.S. Munitions
Import List (USMIL):
The U.S. Munitions Import List
category i--firearms
(a) Nonautomatic and semiautomatic firearms, to caliber .50
inclusive, combat shotguns, and shotguns with barrels less than 18
inches in length, and all components and parts for such firearms.
(b) Automatic firearms and all components and parts for such
firearms to caliber .50 inclusive.
(c) Insurgency-counterinsurgency type firearms of other weapons
having a special military application (e.g. close assault weapons
systems) regardless of caliber and all components and parts for such
firearms.
(d) Firearms silencers and suppressors, including flash suppressors.
(e) [Reserved]
Note: Rifles, carbines, revolvers, and pistols, to caliber .50
inclusive, combat shotguns, and shotguns with barrels less than 18
inches in length are included under Category I(a). Machineguns,
submachineguns, machine pistols and fully automatic rifles to caliber
.50 inclusive are included under Category I(b).
category ii--artillery projectors
(a) Guns over caliber .50, howitzers, mortars, and recoiless rifles.
(b) Military flamethrowers and projectors.
(c) Components, parts, accessories, and attachments for the articles
in paragraphs (a) and (b) of this category, including but not limited to
mounts and carriages for these articles.
category iii--ammunition
(a) Ammunition for the arms in Categories I and II of this section.
(b) Components, parts, accessories, and attachments for articles in
paragraph (a) of this category, including but not limited to cartridge
cases, powder bags, bullets, jackets, cores, shells (excluding shotgun
shells), projectiles, boosters, fuzes and components therefor, primers,
and other detonating devices for such ammunition.
(c)-(d) [Reserved]
Note: Cartridge and shell casings are included under Category III
unless, prior to their importation, they have been rendered useless
beyond the possibility of restoration for use as a cartridge or shell
casing by means of heating, flame treatment, mangling, crushing,
cutting, or popping.
category iv--launch vehicles, guided missiles, ballistic missiles,
rockets, torpedoes, bombs and mines
(a) Rockets (including but not limited to meteorological and other
sounding rockets), bombs, grenades, torpedoes, depth charges, land and
naval mines, as well as launchers for such defense articles, and
demolition blocks and blasting caps.
(b) Launch vehicles and missile and anti-missile systems including
but not limited to guided, tactical and strategic missiles, launchers,
and systems.
(c) Apparatus, devices, and materials for the handling, control,
activation, monitoring, detection, protection, discharge, or detonation
of the articles in paragraphs (a) and (b) of this category. Articles in
this category include, but are not limited to, the following: Fuses and
components for the items in this category, bomb racks and shackles, bomb
shackle release units, bomb ejectors, torpedo tubes, torpedo and guided
missile boosters, guidance system equipment and parts, launching racks
and projectors, pistols (exploders), igniters, fuze arming devices,
intervalometers, guided missile launchers and specialized handling
equipment, and hardened missile launching facilities.
(d) Missile and space vehicle powerplants.
(e) Military explosive excavating devices.
(f) [Reserved]
(g) Non/nuclear warheads for rockets and guided missiles.
(h) All specifically designed components or modified components,
parts, accessories, attachments, and associated equipment for the
articles in this category.
Note: Military demolition blocks and blasting caps referred to in
Category IV(a) do not include the following articles:
(a) Electric squibs.
(b) No. 6 and No. 8 blasting caps, including electric ones.
(c) Delay electric blasting caps (including No. 6 and No. 8
millisecond ones).
(d) Seismograph electric blasting caps (including SSS, Static-
Master, Vibrocap SR, and SEISMO SR).
(e) Oil well perforating devices.
category v [Reserved]
category vi--vessels of war and special naval equipment
(a) Vessels of War, if they are armed and equipped with offensive or
defensive weapon
[[Page 9]]
systems, including but not limited to amphibious warfare vessels,
landing craft, mine warfare vessels, patrol vessels, auxiliary vessels,
service craft, experimental types of naval ships, and any vessels
specifically designed or modified for military purposes or other surface
vessels equipped with offensive or defensive military systems.
(b) Turrets and gun mounts, special weapons systems, protective
systems, and other components, parts, attachments, and accessories
specifically designed or modified for such articles on combatant
vessels.
(c)-(d) [Reserved]
(e) Naval nuclear propulsion plants, their land prototypes and
special facilities for their construction, support and maintenance. This
includes any machinery, device, component, or equipment specifically
developed or designed or modified for use in such plants or facilities.
Note: The term ``vessels of war'' includes, but is not limited to,
the following, if armed and equipped with offensive or defensive weapons
systems:''.
(a) Combatant vessels:
(1) Warships (including nuclear-powered versions):
(i) Aircraft carriers (CV, CVN)
(ii) Battleships (BB)
(iii) Cruisers (CA, CG, CGN)
(iv) Destroyers (DD, DDG)
(v) Frigates (FF, FFG)
(vi) Submarines (SS, SSN, SSBN, SSG, SSAG).
(2) Other Combatant Classifications:
(i) Patrol Combatants (PC, PHM)
(ii) Amphibious Helicopter/Landing Craft Carriers (LHA, LPD, LPH)
(iii) Amphibious Landing Craft Carriers (LKA, LPA, LSD, LST)
(iv) Amphibious Command Ships (LCC)
(v) Mine Warfare Ships (MSO).
(b) Auxiliaries:
(1) Mobile Logistics Support:
(i) Under way Replenishment (AD, AF, AFS, AO, AOE, AOR)
(ii) Material Support (AD, AR, AS).
(2) Support Ships:
(i) Fleet Support Ships (ARS, ASR, ATA, ATF, ATS)
(ii) Other Auxiliaries (AG, AGDS, AGF, AGM, AGOR, AGOS, AGS, AH, AK,
AKR, AOG, AOT, AP, APB, ARC, ARL, AVM, AVT).
(c) Combatant Craft:
(1) Patrol Craft:
(i) Coastal Patrol Combatants (PB, PCF, PCH, PTF)
(ii) River, Roadstead Craft (ATC, PBR).
(2) Amphibious Warfare Craft:
(i) Landing Craft (AALC, LCAC, LCM, LCPL, LCPR, LCU, LWT, SLWT)
(ii) Special Warfare Craft (LSSC, MSSC, SDV, SWCL, SWCM).
(3) Mine Warfare Craft:
(i) Mine Countermeasures Craft (MSB, MSD, MSI, MSM, MSR).
(d) Support and Service Craft:
(1) Tugs (YTB, YTL, YTM)
(2) Tankers (YO, YOG, YW)
(3) Lighters (YC, YCF, YCV, YF, YFN, YFNB, YFNX, YFR, YFRN, YFU, YG,
YGN, YOGN, YON, YOS, YSR, YWN)
(4) Floating Dry Docks (AFDB, AFDL, AFDM, ARD, ARDM, YFD)
(5) Miscellaneous (APL, DSRV, DSV, IX, NR, YAG, YD, YDT, YFB, YFND,
YEP, YFRT, YHLC, YM, YNG, YP, YPD, YR, YRB, YRBN, YRDH, YRDM, YRR, YRST,
YSD).
(e) Coast Guard Patrol and Service Vessels and Craft:
(1) Coast Guard Cutters (CGC, WHEC, WMEC)
(2) Patrol Craft (WPB)
(3) Icebreakers (WAGB)
(4) Oceanography Vessels (WAGO)
(5) Special Vessels (WIX)
(6) Buoy Tenders (WLB, WLM, WLI, WLR, WLIC)
(7) Tugs (WYTM, WYTL)
(8) Light Ships (WLV).
category vii--tanks and military vehicles
(a) Military type armed or armored vehicles, military railway
trains, and vehicles specifically designed or modified to accommodate
mountings for arms or other specialized military equipment or fitted
with such items.
(b) Military tanks, combat engineer vehicles, bridge launching
vehicles, halftracks and gun carriers.
(c) Self-propelled guns and howitzers.
(d)-(e) [Reserved]
(f) Amphibious vehicles.
(g) [Reserved]
(h) Tank and military vehicle parts, components, accessories,
attachments, and associated equipment for offensive or defensive systems
for the articles in this category, as follows:
(1) Armored hulls, armored turrets and turret support rings;
(2) Active protection systems (i.e., defensive systems that actively
detect and track incoming threats and launch a ballistic, explosive,
energy or electromagnetic countermeasure(s) to neutralize the threat
prior to contact with a vehicle);
(3) Composite armor parts and components;
(4) Spaced armor components and parts, including slat armor parts
and components;
(5) Reactive armor and components;
(6) Electromagnetic armor parts and components, including pulsed
power;
(7) Gun mount, stabilization, turret drive, and automatic elevating
systems;
(8) Kits specifically designed to convert a vehicle in this category
into either an unmanned or a driver-optional vehicle. For a kit to be
controlled by this paragraph it must include all of the following:
[[Page 10]]
(i) Remote or autonomous steering;
(ii) Acceleration and braking; and
(iii) A control system;
(9) Fire control computers, stored management systems, armaments
control processors, vehicle weapon interface units and computers;
(10) Electro-optical sighting systems; and
(11) Laser rangefinder or target designating devices.
(i) Other ground vehicles having all of the following:
(1) Manufactured or fitted with materials or components to provide
ballistic protection to level III (NIJ 0108.01, September 1985) or
better;
(2) A transmission to provide drive to both front and rear wheels
simultaneously, including those vehicles having additional wheels for
load bearing purposes whether driven or not;
(3) Gross Vehicle Weight Rating (GVWR) greater than 4,500 kg; and
(4) Designed or modified for off-road use.
Note: An ``amphibious vehicle'' in Category VII(f) is a vehicle or
chassis that is equipped to meet special military requirements, and that
is designed or adapted for operation on or under water, as well as on
land.
Note: Engines and engine parts are not included in paragraph (h) of
Category VII.
Note: Paragraph (i) of Category VII does not apply to civil vehicles
designed or modified for transporting money or valuables.
category viii--aircraft and associated equipment
(a) Aircraft, including but not limited to helicopters, non-
expansive balloons, drones and lighter-than-air aircraft, which are
specifically designed, modified, or equipped for military purposes. This
includes but is not limited to the following military purposes: gunnery,
bombing, rocket or missile launching, electronic and other surveillance,
reconnaissance, refueling, aerial mapping, military liaison, cargo
carrying or dropping, personnel dropping, airborne warning and control,
and military training.
(b) [Reserved]
Note: In Category VIII, ``aircraft'' means aircraft designed,
modified, or equipped for a military purpose, including aircraft
described as ``demilitarized.'' All aircraft bearing an original
military designation are included in Category VIII. However, the
following aircraft are not so included so long as they have not been
specifically equipped, reequipped, or modified for military operations:
(a) Cargo aircraft bearing ``C'' designations and numbered C-45
through C-118 inclusive, and C-121 through C-125 inclusive, and C-131,
using reciprocating engines only.
(b) Trainer aircraft bearing ``T'' designations and using
reciprocating engines or turboprop engines with less than 600 horsepower
(s.h.p.).
(c) Utility aircraft bearing ``U'' designations and using
reciprocating engines only.
(d) All liaison aircraft bearing an ``L'' designation.
(e) All observation aircraft bearing ``O'' designations and using
reciprocating engines.
categories ix-xiii [Reserved]
category xiv--toxicological agents and equipment and radiological
equipment
(a) Chemical agents, including but not limited to lung irritants,
vesicants, lachrymators, and tear gases (except tear gas formulations
containing 1% or less CN or CS), sternutators and irritant smoke, and
nerve gases and incapacitating agents.
(b) [Reserved]
(c) All specifically designed or modified equipment, including
components, parts, accessories, and attachments for disseminating the
articles in paragraph (a) of this category.
(d)-(e)[Reserved]
Note: A chemical agent in Category XIV(a) is a substance having
military application which by its ordinary and direct chemical action
produces a powerful physiological effect. The term ``chemical agent''
includes, but is not limited to, the following chemical compounds:
(a) Lung irritants:
(1) Diphenylcyanoarsine (DC).
(2) Fluorine (but not fluorene).
(3) Trichloronitro methane (chloropicrin PS).
(b) Vesicants:
(1) B-Chlorovinyldichloroarsine (Lewisite, L).
(2) Bis(dichlorethyl) sulphide (Mustard Gas, HD or H).
(3) Ethyldichloroarsine (ED).
(4) Methyldichloroarsine (MD).
(c) Lachrymators and tear gases:
(1) A-Brombenzyl cyanide (BBC).
(2) Chloroacetophenone (CN).
(3) Dibromodimethyl ether.
(4) Dichlorodimethyl ether (ClCi).
(5) Ethyldibromoarsine.
(6) Phenylcarbylamine chloride.
(7) Tear gas solutions (CNB and CNS).
(8) Tear gas orthochlorobenzalmalononitrile (CS).
(d) Sternutators and irritant smokes:
(1) Diphenylamine chloroarsine (Adamsite, DM).
(2) Diphenylchloroarsine (BA).
(3) Liquid pepper.
(e) Nerve agents, gases, and aerosols. These are toxic compounds
which affect the nervous system, such as:
(1) Dimethylaminoethoxycyanophosphine oxide (GA).
[[Page 11]]
(2) Methylisopropoxyfluorophosphine oxide (GB).
(3) Methylpinacolyloxyfluoriphosphine oxide (GD).
(f) Antiplant chemicals, such as: Butyl 2-chloro-4-
fluorophenoxyacetate (LNF).
category xv [Reserved]
category xvi--nuclear weapons design and test equipment
(a)[Reserved]
(b) Modeling or simulation tools that model or simulate the
environments generated by nuclear detonations or the effects of these
environments on systems, subsystems, components, structures, or humans.
Note: Category XVI does not include equipment, technical data, or
services controlled by the Department of Energy pursuant to the Atomic
Energy Act of 1954, as amended, and the Nuclear Non-Proliferation Act of
1978, as amended, or are government transfers authorized pursuant to
these Acts.
category xvii-xix [Reserved]
category xx--submersible vessels, oceanographic and associated equipment
(a) Submersible vessels, manned and unmanned, designed or modified
for military purposes or having independent capability to maneuver
vertically or horizontally at depths below 1,000 feet, or powered by
nuclear propulsion plants.
(b) Submersible vessels, manned or unmanned, designed or modified in
whole or in part from technology developed by or for the U.S. Armed
Forces.
(c) Any of the articles in Category VI and elsewhere in this part
specifically designed or modified for use with submersible vessels, and
oceanographic or associated equipment assigned a military designation.
(d) Equipment, components, parts, accessories, and attachments
specifically designed for any of the articles in paragraphs (a) and (b)
of this category.
category xxi--miscellaneous articles
Any defense article or defense service not specifically enumerated
in the other categories of the USMIL that has substantial military
applicability and that has been specifically designed or modified for
military purposes. The decision as to whether any article may be
included in this category shall be made by the Attorney General with the
concurrence of the Secretary of State and the Secretary of Defense.
[T.D. ATF-215, 50 FR 42158, Oct. 18, 1985; 50 FR 46647, Nov. 12, 1985,
as amended by T.D. ATF-426, 65 FR 38197, June 20, 2000; T.D. ATF-9F, 72
FR 72938, Dec. 26, 2007; ATF-50F, 78 FR 23677, Apr. 22, 2013; T.D. ATF-
25I, 79 FR 17028, Mar. 27, 2014]
Sec. 447.22 Forgings, castings, and machined bodies.
Articles on the U.S. Munitions Import List include articles in a
partially completed state (such as forgings, castings, extrusions, and
machined bodies) which have reached a stage in manufacture where they
are clearly identifiable as defense articles. If the end-item is an
article on the U.S. Munitions Import List, (including components,
accessories, attachments and parts) then the particular forging,
casting, extrusion, machined body, etc., is considered a defense article
subject to the controls of this part, except for such items as are in
normal commercial use.
[T.D. ATF-215, 50 FR 42160, Oct. 18, 1985]
Subpart D_Registration
Sec. 447.31 Registration requirement.
Persons engaged in the business, in the United States, of importing
articles enumerated on the U.S. Munitions Import List must register by
making an application on ATF Form 4587.
[T.D. ATF-484, 67 FR 64526, Oct. 21, 2002]
Sec. 447.32 Application for registration and refund of fee.
(a) Application for registration must be filed on ATF Form 4587 and
must be accompanied by the registration fee at the rate prescribed in
this section. The appropriate ATF officer will approve the application
and return the original to the applicant.
(b) Registration may be effected for periods of from 1 to 5 years at
the option of the registrant by identifying on Form 4587 the period of
registration desired. The registration fees are as follows:
1 year.......................................................... $250
2 years......................................................... 500
3 years......................................................... 700
4 years......................................................... 850
5 years......................................................... 1,000
(c) Fees paid in advance for whole future years of a multiple year
registration will be refunded upon request if the registrant ceases to
engage in importing articles on the U.S. Munitions Import List. A
request for a refund must be submitted to the appropriate ATF officer at
the Bureau of Alcohol,
[[Page 12]]
Tobacco, Firearms, and Explosives, Martinsburg, WV 25405, prior to the
beginning of any year for which a refund is claimed.
(Approved by the Office of Management and Budget under control number
1140-0009)
[T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF-215, 50
FR 42161, Oct. 18, 1985; T.D. ATF-484, 67 FR 64526, Oct. 21, 2002; T,D.
ATF-11F, 73 FR 57240, Oct. 2, 2008; T.D. ATF 2013R-9F, 79 FR 46692, Aug.
11, 2014]
Sec. 447.33 Notification of changes in information furnished by registrants.
Registered persons shall notify the appropriate ATF officer in
writing, in duplicate, of significant changes in the information set
forth in their registration
(Approved by the Office of Management and Budget under control number
1140-0009)
[T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF-215, 50
FR 42161, Oct. 18, 1985; T.D. ATF-11F, 73 FR 57240, Oct. 2, 2008]
Sec. 447.34 Maintenance of records by persons required to register as
importers of Import List articles.
(a) Registrants under this part engaged in the business of importing
articles subject to controls under 27 CFR Parts 478 and 479 shall
maintain records in accordance with the applicable provisions of those
parts.
(b) Registrants under this part engaged in importing articles on the
U.S. Munitions Import List subject to the permit procedures of subpart E
of this part must maintain for a period of 6 years records bearing on
such articles imported, including records concerning their acquisition
and disposition, including Forms 6 and 6A. The appropriate ATF officer
may prescribe a longer or shorter period in individual cases as such
officer deems necessary. See Sec. 478.129 of this chapter for articles
subject to import control under part 478 of this chapter.
(Approved by the Office of Management and Budget under control number
1140-0032)
[T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF-172, 49
FR 14941, Apr. 16, 1984; T.D. ATF-215, 50 FR 42161, Oct. 18, 1985; T.D.
ATF-426, 65 FR 38197, June 20, 2000; T.D. ATF-484, 67 FR 64526, Oct. 21,
2002; T.D. ATF-11F, 73 FR 57240, Oct. 2, 2008]
Sec. 447.35 Forms prescribed.
(a) The appropriate ATF officer is authorized to prescribe all forms
required by this part. All of the information called for in each form
shall be furnished as indicated by the headings on the form and the
instructions on or pertaining to the form. In addition, information
called for in each form shall be furnished as required by this part. The
form will be filed in accordance with the instructions for the form.
(b) Forms may be requested from the ATF Distribution Center (http://
www.atf.gov) or by calling (202) 648-6420.
[T.D. ATF-92, 46 FR 46914, Sept. 23, 1981, as amended by T.D. ATF-249,
52 FR 5961, Feb. 27, 1987; T.D. ATF-426, 65 FR 38197, June 20, 2000;
T.D. ATF-484, 67 FR 64526, Oct. 21, 2002; T.D. ATF-11F, 73 FR 57240,
Oct. 2, 2008; T.D. ATF 2013R-9F, 79 FR 46692, Aug. 11, 2014]
Subpart E_Permits
Sec. 447.41 Permit requirement.
(a) Articles on the U.S. Munitions Import List will not be imported
into the United States except pursuant to a permit under this subpart.
For articles subject to control under parts 478 or 479 of this chapter,
a separate permit is not necessary.
(b) Articles on the U.S. Munitions Import List intended for the
United States or any State or political subdivision thereof, or the
District of Columbia, which are exempt from import controls of 27 CFR
478.115 shall not be imported into the United States, except by the
United States or agency thereof, without first obtaining a permit under
this subpart.
(c) A permit is not required for the importation of--
(1)(i) The U.S. Munitions Import List articles from Canada, except
articles enumerated in Categories I, II, III, IV, VI(e), VIII(a), XVI,
and XX; and
(ii) Nuclear weapons strategic delivery systems and all specifically
designed components, parts, accessories, attachments, and associated
equipment thereof (see Category XXI); or
(2) Minor components and parts for Category I(a) and I(b) firearms,
except barrels, cylinders, receivers (frames) or complete breech
mechanisms, when the
[[Page 13]]
total value does not exceed $100 wholesale in any single transaction.
[T.D. ATF-215, 50 FR 42161, Oct. 18, 1985, as amended by T.D. ATF-426,
65 FR 38197, June 20, 2000; T.D. ATF-484, 67 FR 64526, Oct. 21, 2002]
Sec. 447.42 Application for permit.
(a)(1) Persons required to obtain a permit as provided in Sec.
447.41 must file a Form 6--Part I. The application must be signed and
dated and must contain the information requested on the form, including:
(i) The name, address, telephone number, license and registration
number, if any (including expiration date) of the importer;
(ii) The country from which the defense article is to be imported;
(iii) The name and address of the foreign seller and foreign
shipper;
(iv) A description of the defense article to be imported,
including--
(A) The name and address of the manufacturer;
(B) The type (e.g., rifle, shotgun, pistol, revolver, aircraft,
vessel, and in the case of ammunition only, ball, wadcutter, shot,
etc.);
(C) The caliber, gauge, or size;
(D) The model;
(E) The length of barrel, if any (in inches);
(F) The overall length, if a firearm (in inches);
(G) The serial number, if known;
(H) Whether the defense article is new or used;
(I) The quantity;
(J) The unit cost of the firearm, firearm barrel, ammunition, or
other defense article to be imported;
(K) The category of U.S. Munitions Import List under which the
article is regulated;
(v) The specific purpose of importation, including final recipient
information if different from the importer; and
(vi) Certification of origin.
(2)(i) If the appropriate ATF officer approves the application, such
approved application will serve as the permit to import the defense
article described therein, and importation of such defense article may
continue to be made by the licensed/registered importer (if applicable)
under the approved application (permit) during the period specified
thereon. The appropriate ATF officer will furnish the approved
application (permit) to the applicant and retain two copies thereof for
administrative use.
(ii) If the Director disapproves the application, the licensed/
registered importer (if applicable) will be notified of the basis for
the disapproval.
(b) For additional requirements relating to the importation of
plastic explosives into the United States on or after April 24, 1997,
see Sec. 555.183 of this title.
(Approved by the Office of Management and Budget under control number
1140-0005)
[T.D. ATF-215, 50 FR 42161, Oct. 18, 1985, as amended by T.D. ATF-387,
62 FR 8376, Feb. 25, 1997; T.D. ATF-426, 65 FR 38197, June 20, 2000;T.D.
ATF-484, 67 FR 64526, Oct. 21, 2002; T.. DATF-11F, 73 FR 57240, Oct. 2,
2008]
Sec. 447.43 Terms of permit.
(a) Import permits issued under this subpart are valid for two years
from their issuance date unless a different period of validity is stated
thereon. They are not transferable.
(b) If shipment cannot be completed during the period of validity of
the permit, another application must be submitted for permit to cover
the unshipped balance. Such an application shall make reference to the
previous permit and may include materials in addition to the unshipped
balance.
(c) No amendments or alteration of a permit may be made, except by
the appropriate ATF officer.
[T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF-325, 57
FR 29787, July 7, 1992; T.D. ATF-426, 65 FR 38197, June 20, 2000; ATF-
26F, 79 FR 7396, Feb. 7, 2014]
Sec. 447.44 Permit denial, revocation or suspension.
(a) Import permits under this subpart may be denied, revoked,
suspended or revised without prior notice whenever the appropriate ATF
officer finds the proposed importation to be inconsistent with the
purpose or in violation of section 38, Arms Export Control Act of 1976
or the regulations in this part.
[[Page 14]]
(b) Whenever, after appropriate consideration, a permit application
is denied or an outstanding permit is revoked, suspended, or revised,
the applicant or permittee shall be promptly advised in writing of the
appropriate ATF officer's decision and the reasons therefor.
(c) Upon written request made within 30 days after receipt of an
adverse decision, the applicant or permittee shall be accorded an
opportunity to present additional information and to have a full review
of his case by the appropriate ATF officer.
(d) Unused, expired, suspended, or revoked permits must be returned
immediately to the appropriate ATF officer.
[T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF-215, 50
FR 42161, Oct. 18, 1985]
Sec. 447.45 Importation.
(a) Articles subject to the import permit procedures of this subpart
imported into the United States may be released from Customs custody to
the person authorized to import same upon his showing that he has a
permit for the importation of the article or articles to be released.
For articles in Categories I and III imported by a registered importer,
the importer will also submit to Customs a copy of the export license
authorizing the export of the article or articles from the exporting
country. If the exporting country does not require issuance of an export
license, the importer must submit a certification, under penalty of
perjury, to that effect.
(1) In obtaining the release from Customs custody of an article
imported pursuant to a permit, the permit holder will prepare and file
Form 6A according to its instructions.
(2) The ATF Form 6A must contain the information requested on the
form, including:
(i) The name, address, and license number (if any) of the importer;
(ii) The name of the manufacturer of the defense article;
(iii) The country of manufacture;
(iv) The type;
(v) The model;
(vi) The caliber, gauge, or size;
(vii) The serial number in the case of firearms, if known; and
(viii) The number of defense articles released.
(b) Within 15 days of the date of their release from Customs
custody, the importer of the articles released will forward to the
address specified on the form a copy of Form 6A on which will be
reported any error or discrepancy appearing on the Form 6A certified by
Customs and serial numbers if not previously provided on ATF Form 6A.
(Approved by the Office of Management and Budget under control number
1140-0007)
[T.D. ATF-215, 50 FR 42161, Oct. 18, 1985, as amended by T.D. ATF-426,
65 FR 38197, June 20, 2000; T.D. ATF-484, 67 FR 64526, Oct. 21, 2002; TD
..ATF-11F, 73 FR 57240, Oct. 2, 2008]
Sec. 447.46 Articles in transit.
Articles subject to the import permit procedures of this subpart
which enter the United States for temporary deposit pending removal
therefrom and such articles which are temporarily taken out of the
United States for return thereto shall be regarded as in transit and
will be considered neither imported nor exported under this part. Such
transactions are subject to the Intransit or Temporary Export License
procedures of the Department of State (see 22 CFR Part 123).
[T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF-215, 50
FR 42161, Oct. 18, 1985]
Subpart F_Miscellaneous Provisions
Sec. 447.51 Import certification and delivery verification.
Pursuant to agreement with the United States, certain foreign
countries are entitled to request certification of legality of
importation of articles on the U.S. Munitions Import List. Upon request
of a foreign government, the appropriate ATF officer will certify the
importation, on Form ITA-645P/ATF-4522/DSP53, for the U.S. importer.
Normally, the U.S. importer will submit this form at the time he applies
for an import permit. This document will serve as evidence to the
government of the exporting company that the U.S. importer has complied
with import regulations of the U.S.
[[Page 15]]
Government and is prohibited from diverting, transshipping, or
reexporting the material described therein without the approval of the
U.S. Government. Foreign governments may also require documentation
attesting to the delivery of the material into the United States. When
such delivery certification is requested by a foreign government, the
U.S. importer may obtain directly from the U.S. District Director of
Customs the authenticated Delivery Verification Certificate (U.S.
Department of Commerce Form ITA-647P) for this purpose.
(Approved by the Office of Management and Budget under control number
0625-0064)
[T.D. ATF-215, 50 FR 42162, Oct. 18, 1985, as amended by T.D. ATF-484,
67 FR 64526, Oct. 21, 2002]
Sec. 447.52 Import restrictions applicable to certain countries.
(a) It is the policy of the United States to deny licenses and other
approvals with respect to defense articles and defense services
originating in certain countries or areas. This policy applies to
Afghanistan, Belarus (one of the states composing the former Soviet
Union), Cuba, Iran, Iraq, Libya, Mongolia, North Korea, Sudan, Syria,
and Vietnam. This policy applies to countries or areas with respect to
which the United States maintains an arms embargo (e.g., Burma, China,
the Democratic Republic of the Congo, Haiti, Liberia, Rwanda, Somalia,
Sudan, and UNITA (Angola)). It also applies when an import would not be
in furtherance of world peace and the security and foreign policy of the
United States.
Note: Changes in foreign policy may result in additions to and
deletions from the above list of countries. The ATF will publish changes
to this list in the Federal Register. Contact the Firearms and
Explosives Imports Branch at (304) 616-4550 for current information.
(b) Notwithstanding paragraph (a) of this section, the appropriate
ATF officer shall deny applications to import into the United States the
following firearms and ammunition:
(1) Any firearm located or manufactured in Georgia, Kazakstan,
Kyrgyzstan, Moldova, Russian Federation, Turkmenistan, Ukraine, or
Uzbekistan, and any firearm previously manufactured in the Soviet Union,
that is not one of the models listed below:
(i) Pistols/Revolvers:
(A) German Model P08 Pistol.
(B) IZH 34M, .22 caliber Target Pistol.
(C) IZH 35M, .22 caliber Target Pistol.
(D) Mauser Model 1896 Pistol.
(E) MC-57-1 Pistol.
(F) MC-1-5 Pistol.
(G) Polish Vis Model 35 Pistol.
(H) Soviet Nagant Revolver.
(I) TOZ 35, .22 caliber Target Pistol.
(ii) Rifles:
(A) BARS-4 Bolt Action Carbine.
(B) Biathlon Target Rifle, .22LR caliber.
(C) British Enfield Rifle.
(D) CM2, .22 caliber Target Rifle (also known as SM2, 22 caliber).
(E) German Model 98K Rifle.
(F) German Model G41 Rifle.
(G) German Model G43 Rifle.
(H) IZH-94.
(I) LOS-7 Bolt Action Rifle.
(J) MC-7-07.
(K) MC-18-3.
(L) MC-19-07.
(M) MC-105-01.
(N) MC-112-02.
(O) MC-113-02.
(P) MC-115-1.
(Q) MC-125/127.
(R) MC-126.
(S) MC-128.
(T) Saiga Rifle.
(U) Soviet Model 38 Carbine.
(V) Soviet Model 44 Carbine.
(W) Soviet Model 91/30 Rifle.
(X) TOZ 18, .22 caliber Bolt Action Rifle.
(Y) TOZ 55.
(Z) TOZ 78.
(AA) Ural Target Rifle, .22LR caliber.
(BB) VEPR Rifle.
(CC) Winchester Model 1895, Russian Model Rifle;
(2) Ammunition located or manufactured in Georgia, Kazakstan,
Kyrgyzstan, Moldova, Russian Federation, Turkmenistan, Ukraine, or
Uzbekistan, and ammunition previously manufactured in the Soviet Union,
that is 7.62 x 25mm caliber (also known as 7.63 x 25mm caliber or .30
Mauser); or
(3) A type of firearm the manufacture of which began after February
9, 1996.
[[Page 16]]
(c) The provisions of paragraph (b) of this section shall not affect
the fulfillment of contracts with respect to firearms or ammunition
entered or withdrawn from warehouse for consumption in the United States
on or before February 9, 1996.
(d) A defense article authorized for importation under this part may
not be shipped on a vessel, aircraft or other means or conveyance which
is owned or operated by, or leased to or from, any of the countries or
areas covered by paragraph (a) of this section.
(e) Applications for permits to import articles that were
manufactured in, or have been in, a country or area proscribed under
this section may be approved where the articles are covered by Category
I(a) of the Import List (other than those subject to the provisions of
27 CFR Part 479), are importable as curios or relics under the
provisions of 27 CFR 478.118, and meet the following criteria:
(1) The articles were manufactured in a proscribed country or area
prior to the date, as established by the Department of State, the
country or area became proscribed, or, were manufactured in a non-
proscribed country or area; and
(2) The articles have been stored for the five year period
immediately prior to importation in a non-proscribed country or area.
(f) Applicants desiring to import articles claimed to meet the
criteria specified in paragraph (e) of this section shall explain, and
certify to, how the firearms meet the criteria. The certification
statement will be prepared in letter form, executed under the penalties
of perjury, and should be submitted with the application for an import
permit. The certification statement must be accompanied by documentary
information on the country or area of original manufacture and on the
country or area of storage for the five year period immediately prior to
importation. Such information may, for example, include a verifiable
statement in the English language of a government official or any other
person having knowledge of the date and place of manufacture and/or the
place of storage; a warehouse receipt or other document which provides
the required history of storage; and any other document that the
applicant believes substantiates the place and date of manufacture and
the place of storage. The appropriate ATF officer, however, reserves the
right to determine whether documentation is acceptable. Applicants
shall, when required by the appropriate ATF officer, furnish additional
documentation as may be necessary to determine whether an import permit
application should be approved.
[T.D. ATF-202, 50 FR 14382, Apr. 12, 1985, as amended by T.D. ATF-215,
50 FR 42162, Oct. 18, 1985; T.D. ATF-287, 54 FR 13681, Apr. 5, 1989;
T.D. ATF-323, 57 FR 24189, June 8, 1992; T.D. ATF-349, 58 FR 47831,
Sept. 13, 1993; T.D. ATF-367, 60 FR 47866, Sept. 15, 1995; T.D. ATF-396,
62 FR 61234, Nov. 17, 1997; T.D. ATF-484, 67 FR 64526, Oct. 21, 2002;
T.D. ATF-9F, 72 FR 72938, Dec. 26, 2007]
Sec. 447.53 Exemptions.
(a) The provisions of this part are not applicable to:
(1) Importations by the United States or any agency thereof;
(2) Importation of components for items being manufactured under
contract for the Department of Defense; or
(3) Importation of articles (other than those which would be
``firearms'' as defined in 18 U.S.C. 921(a)(3) manufactured in foreign
countries for persons in the United States pursuant to Department of
State approval.
(b) Any person seeking to import articles on the U.S. Munitions
Import List as exempt under paragraph (a)(2) or (3) of this section may
obtain release of such articles from Customs custody by submitting, to
the Customs officer with authority to release, a statement claiming the
exemption accompanied by satisfactory proof of eligibility. Such proof
may be in the form of a letter from the Department of Defense or State,
as the case may be, confirming that the conditions of the exemption are
met.
[T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF-215, 50
FR 42162, Oct. 18, 1985]
Sec. 447.54 Administrative procedures inapplicable.
The functions conferred under section 38, Arms Export Control Act of
1976, as amended, are excluded from the
[[Page 17]]
operation of Chapter 5, Title 5, United States Code, with respect to
Rule Making and Adjudication, 5 U.S.C. 553 and 554.
[T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF-215, 50
FR 42162, Oct. 18, 1985]
Sec. 447.55 Departments of State and Defense consulted.
The administration of the provisions of this part will be subject to
the guidance of the Secretaries of State and Defense on matters
affecting world peace and the external security and foreign policy of
the United States.
Sec. 447.56 Authority of Customs officers.
(a) Officers of the U.S. Customs Service are authorized to take
appropriate action to assure compliance with this part and with 27 CFR
Parts 478 and 479 as to the importation or attempted importation of
articles on the U.S. Munitions Import List, whether or not authorized by
permit.
(b) Upon the presentation to him of a permit or written approval
authorizing importation of articles on the U.S. Munitions Import List,
the Customs officer who has authority to release same may require, in
addition to such documents as may be required by Customs regulations,
the production of other relevant documents relating to the proposed
importation, including, but not limited to, invoices, orders, packing
lists, shipping documents, correspondence, and instructions.
[T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF-215, 50
FR 42162, Oct. 18, 1985]
Sec. 447.57 U.S. military defense articles.
(a)(1) Notwithstanding any other provision of this part or of parts
478 or 479 of this chapter, no military defense article of United States
manufacture may be imported into the United States if such article was
furnished to a foreign government under a foreign assistance or foreign
military sales program of the United States.
(2) The restrictions in paragraph (a)(1) of this section cover
defense articles which are advanced in value or improved in condition in
a foreign country, but do not include those which have been
substantially transformed as to become, in effect, articles of foreign
manufacture.
(b) Paragraph (a) of this section will not apply if:
(1) The applicant submits with the ATF Form 6--Part I application
written authorization from the Department of State to import the defense
article; and
(2) In the case of firearms, such firearms are curios or relics
under 18 U.S.C. 925(e) and the person seeking to import such firearms
provides a certification of a foreign government that the firearms were
furnished to such government under a foreign assistance or foreign
military sales program of the United States and that the firearms are
owned by such foreign government. (See Sec. 478.118 of this chapter
providing for the importation of certain curio or relic handguns, rifles
and shotguns.)
(c) For the purpose of this section, the term ``military defense
article'' includes all defense articles furnished to foreign governments
under a foreign assistance or foreign military sales program of the
United States as set forth in paragraph (a) of this section.
(Approved by the Office of Management and Budget under OMB Control No.
1140-0005)
[T.D. ATF-287, 54 FR 13681, Apr. 5, 1989, as amended by T.D. ATF-393, 62
FR 61235, Nov. 17, 1997; T.D. ATF-426, 65 FR 38198, June 20, 2000; T.D.
ATF-11F, 73 FR 57240, Oct. 2, 2008]
Sec. 447.58 Delegations of the Director.
The regulatory authorities of the Director contained in this part
are delegated to appropriate ATF officers. These ATF officers are
specified in ATF O 1130.34, Delegation of the Director's Authorities in
27 CFR Part 447. ATF delegation orders, such as ATF O 1130.34, are
available to any interested party by submitting a request to the ATF
Distribution Center (http://www.atf.gov) or by calling (202) 648-6420
[T.D. ATF-484, 67 FR 64526, Oct. 21, 2002, as amended by T.D. ATF-11F,
73 FR 57240, Oct. 2, 2008; T.D. ATF 2013R-9F, 79 FR 46692, Aug. 11,
2014]
[[Page 18]]
Subpart G_Penalties, Seizures and Forfeitures
Sec. 447.61 Unlawful importation.
Any person who willfully:
(a) Imports articles on the U.S. Munitions Import List without a
permit;
(b) Engages in the business of importing articles on the U.S.
Munitions Import List without registering under this part; or
(c) Otherwise violates any provisions of this part;
Shall upon conviction be fined not more than $1,000,000 or imprisoned
not more than 10 years, or both.
[T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, as amended at 39 FR 4760, Feb.
7, 1974; T.D. ATF-215, 50 FR 42162, Oct. 18, 1985; T.D. ATF-287, 54 FR
13681, Apr. 5, 1989]
Sec. 447.62 False statements or concealment of facts.
Any person who willfully, in a registration or permit application,
makes any untrue statement of a material fact or fails to state a
material fact required to be stated therein or necessary to make the
statements therein not misleading, shall upon conviction be fined not
more than $1,000,000, or imprisoned not more than 10 years, or both.
[T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF-215, 50
FR 42162, Oct. 18, 1985; T.D. ATF-287, 54 FR 13681, Apr. 5, 1989]
Sec. 447.63 Seizure and forfeiture.
Whoever knowingly imports into the United States contrary to law any
article on the U.S. Munitions Import List; or receives, conceals, buys,
sells, or in any manner facilitates its transportation, concealment, or
sale after importation, knowing the same to have been imported contrary
to law, shall be fined not more than $10,000 or imprisoned not more than
5 years, or both; and the merchandise so imported, or the value thereof
shall be forfeited to the United States.
(18 U.S.C. 545)
[T.D. ATF-8, 39 FR 3251, Jan. 25, 1974, as amended by T.D. ATF-215, 50
FR 42162, Oct. 18, 1985]
PART 478_COMMERCE IN FIREARMS AND AMMUNITION--Table of Contents
Subpart A_Introduction
Sec.
478.1 Scope of regulations.
478.2 Relation to other provisions of law.
Subpart B_Definitions
478.11 Meaning of terms.
Subpart C_Administrative and Miscellaneous Provisions
478.21 Forms prescribed.
478.22 Alternate methods or procedures; emergency variations from
requirements.
478.23 Right of entry and examination.
478.24 Compilation of State laws and published ordinances.
478.25 Disclosure of information.
478.25a Responses to requests for information.
478.26 Curio and relic determination.
478.27 Destructive device determination.
478.28 Transportation of destructive devices and certain firearms.
478.29 Out-of-State acquisition of firearms by nonlicensees.
478.29a Acquisition of firearms by nonresidents.
478.30 Out-of-State disposition of firearms by nonlicensees.
478.31 Delivery by common or contract carrier.
478.32 Prohibited shipment, transportation, possession, or receipt of
firearms and ammunition by certain persons.
478.33 Stolen firearms and ammunition.
478.33a Theft of firearms.
478.34 Removed, obliterated, or altered serial number.
478.35 Skeet, trap, target, and similar shooting activities.
478.36 Transfer or possession of machine guns.
478.37 Manufacture, importation and sale of armor piercing ammunition.
478.38 Transportation of firearms.
478.39 Assembly of semiautomatic rifles or shotguns.
478.39a Reporting theft or loss of firearms.
478.40 Manufacture, transfer, and possession of semiautomatic assault
weapons.
478.40a Transfer and possession of large capacity ammunition feeding
devices.
Subpart D_Licenses
478.41 General.
478.42 License fees.
478.43 License fee not refundable.
478.44 Original license.
478.45 Renewal of license.
[[Page 19]]
478.46 Insufficient fee.
478.47 Issuance of license.
478.48 Correction of error on license.
478.49 Duration of license.
478.50 Locations covered by license.
478.51 License not transferable.
478.52 Change of address.
478.53 Change in trade name.
478.54 Change of control.
478.55 Continuing partnerships.
478.56 Right of succession by certain persons.
478.57 Discontinuance of business.
478.58 State or other law.
478.59 Abandoned application.
478.60 Certain continuances of business.
Subpart E_License Proceedings
478.71 Denial of an application for license.
478.72 Hearing after application denial.
478.73 Notice of revocation, suspension, or imposition of civil fine.
478.74 Request for hearing after notice of suspension, revocation, or
imposition of civil fine.
478.75 Service on applicant or licensee.
478.76 Representation at a hearing.
478.77 Designated place of hearing.
478.78 Operations by licensee after notice.
Subpart F_Conduct of Business
478.91 Posting of license.
478.92 How must licensed manufacturers and licensed importers identify
firearms, armor piercing ammunition, and large capacity
ammunition feeding devices?
478.93 Authorized operations by a licensed collector.
478.94 Sales or deliveries between licensees.
478.95 Certified copy of license.
478.96 Out-of-State and mail order sales.
478.97 Loan or rental of firearms.
478.98 Sales or deliveries of destructive devices and certain firearms.
478.99 Certain prohibited sales or deliveries.
478.100 Conduct of business away from licensed premises.
478.101 Record of transactions.
478.102 Sales or deliveries of firearms on and after November 30, 1998.
478.103 Posting of signs and written notification to purchasers of
handguns.
Subpart G_Importation
478.111 General.
478.112 Importation by a licensed importer.
478.113 Importation by other licensees.
478.113a Importation of firearm barrels by nonlicensees.
478.114 Importation by members of the U.S. Armed Forces.
478.115 Exempt importation.
478.116 Conditional importation.
478.117 Function outside a customs territory.
478.118 Importation of certain firearms classified as curios and relics.
478.119 Importation of ammunition feeding devices.
478.120 Firearms or ammunition imported by or for a nonimmigrant alien.
Subpart H_Records
478.121 General.
478.122 Records maintained by importers.
478.123 Records maintained by manufacturers.
478.124 Firearms transaction record.
478.125 Record of receipt and disposition.
478.125a Personal firearms collection.
478.126 Furnishing transaction information.
478.126a Reporting multiple sales or other disposition of pistols and
revolvers.
478.127 Discontinuance of business.
478.128 False statement or representation.
478.129 Record retention.
478.131 Firearms transactions not subject to a NICS check.
478.132 Dispositions of semiautomatic assault weapons and large capacity
ammunition feeding devices to law enforcement officers for
official use and to employees or contractors of nuclear
facilities.
478.133 Records of transactions in semiautomatic assault weapons.
478.134 Sale of firearms to law enforcement officers.
Subpart I_Exemptions, Seizures, and Forfeitures
478.141 General.
478.142 Effect of pardons and expunctions of convictions.
478.143 Relief from disabilities incurred by indictment.
478.144 Relief from disabilities under the Act.
478.145 Research organizations.
478.146 Deliveries by mail to certain persons.
478.147 Return of firearm.
478.148 Armor piercing ammunition intended for sporting or industrial
purposes.
478.149 Armor piercing ammunition manufactured or imported for the
purpose of testing or experimentation.
478.150 Alternative to NICS in certain geographical locations.
478.151 Semiautomatic rifles or shotguns for testing or experimentation.
478.152 Seizure and forfeiture.
478.153 Semiautomatic assault weapons and large capacity ammunition
feeding devices manufactured or imported for the purposes of
testing or experimentation.
Subpart J [Reserved]
[[Page 20]]
Subpart K_Exportation
478.171 Exportation.
Authority: 5 U.S.C. 552(a); 18 U.S.C. 921-931; 44 U.S.C. 3504(h).
Source: 33 FR 18555, Dec. 14, 1968, unless otherwise noted.
Redesignated at 40 FR 16835, Apr. 15, 1975, and further redesignated by
T.D. ATF-487, 68 FR 3750, Jan. 24, 2003.
Editorial Note: Nomenclature changes to part 478 appear by T.D. ATF-
411, 64 FR 17291, Apr. 9, 1999, and T.D. ATF-487, 68 FR 3750, Jan. 24,
2003, and T.D. ATF-11F, 73 FR 57240, Oct. 2, 2008.
Subpart A_Introduction
Sec. 478.1 Scope of regulations.
(a) General. The regulations contained in this part relate to
commerce in firearms and ammunition and are promulgated to implement
Title I, State Firearms Control Assistance (18 U.S.C. Chapter 44), of
the Gun Control Act of 1968 (82 Stat. 1213) as amended by Pub. L. 99-308
(100 Stat. 449), Pub. L. 99-360 (100 Stat. 766), Pub. L. 99-408 (100
Stat. 920), Pub. L. 103-159 (107 Stat. 1536), Pub. L. 103-322 (108 Stat.
1796), Pub. L. 104-208 (110 Stat. 3009), and Pub. L. 105-277 (112 Stat.
2681).
(b) Procedural and substantive requirements. This part contains the
procedural and substantive requirements relative to:
(1) The interstate or foreign commerce in firearms and ammunition;
(2) The licensing of manufacturers and importers of firearms and
ammunition, collectors of firearms, and dealers in firearms;
(3) The conduct of business or activity by licensees;
(4) The importation of firearms and ammunition;
(5) The records and reports required of licensees;
(6) Relief from disabilities under this part;
(7) Exempt interstate and foreign commerce in firearms and
ammunition; and
(8) Restrictions on armor piercing ammunition.
[T.D. ATF-270, 53 FR 10490, Mar. 31, 1988, as amended by T.D. ATF-354,
59 FR 7112, Feb. 14, 1994; T.D. ATF-363, 60 FR 17450, Apr. 6, 1995; T.D.
ATF-401, 63 FR 35522, June 30, 1998; T.D. ATF-471, 67 FR 5425, Feb. 5,
2002]
Sec. 478.2 Relation to other provisions of law.
The provisions in this part are in addition to, and are not in lieu
of, any other provision of law, or regulations, respecting commerce in
firearms or ammunition. For regulations applicable to traffic in machine
guns, destructive devices, and certain other firearms, see Part 479 of
this chapter. For statutes applicable to the registration and licensing
of persons engaged in the business of manufacturing, importing or
exporting arms, ammunition, or implements of war, see section 38 of the
Arms Export Control Act (22 U.S.C. 2778) and regulations thereunder and
Part 447 of this chapter. For statutes applicable to nonmailable
firearms, see 18 U.S.C. 1715 and regulations thereunder.
[T.D. ATF-270, 53 FR 10490, Mar. 31, 1988]
Subpart B_Definitions
Sec. 478.11 Meaning of terms.
When used in this part and in forms prescribed under this part,
where not otherwise distinctly expressed or manifestly incompatible with
the intent thereof, terms shall have the meanings ascribed in this
section. Words in the plural form shall include the singular, and vice
versa, and words importing the masculine gender shall include the
feminine. The terms ``includes'' and ``including'' do not exclude other
things not enumerated which are in the same general class or are
otherwise within the scope thereof.
Act. 18 U.S.C. Chapter 44.
Adjudicated as a mental defective. (a) A determination by a court,
board, commission, or other lawful authority that a person, as a result
of marked subnormal intelligence, or mental illness, incompetency,
condition, or disease:
(1) Is a danger to himself or to others; or
(2) Lacks the mental capacity to contract or manage his own affairs.
(b) The term shall include--
(1) A finding of insanity by a court in a criminal case; and
(2) Those persons found incompetent to stand trial or found not
guilty by reason of lack of mental responsibility pursuant to articles
50a and 72b of the
[[Page 21]]
Uniform Code of Military Justice, 10 U.S.C. 850a, 876b.
Admitted to the United States for lawful hunting or sporting
purposes. (a) Is entering the United States to participate in a
competitive target shooting event sponsored by a national, State, or
local organization, devoted to the competitive use or other sporting use
of firearms; or
(b) Is entering the United States to display firearms at a sports or
hunting trade show sponsored by a national, State, or local firearms
trade organization, devoted to the competitive use or other sporting use
of firearms.
Alien. Any person not a citizen or national of the United States.
Alien illegally or unlawfully in the United States. Aliens who are
unlawfully in the United States are not in valid immigrant, nonimmigrant
or parole status. The term includes any alien--
(a) Who unlawfully entered the United States without inspection and
authorization by an immigration officer and who has not been paroled
into the United States under section 212(d)(5) of the Immigration and
Nationality Act (INA);
(b) Who is a nonimmigrant and whose authorized period of stay has
expired or who has violated the terms of the nonimmigrant category in
which he or she was admitted;
(c) Paroled under INA section 212(d)(5) whose authorized period of
parole has expired or whose parole status has been terminated; or
(d) Under an order of deportation, exclusion, or removal, or under
an order to depart the United States voluntarily, whether or not he or
she has left the United States.
Ammunition. Ammunition or cartridge cases, primers, bullets, or
propellent powder designed for use in any firearm other than an antique
firearm. The term shall not include (a) any shotgun shot or pellet not
designed for use as the single, complete projectile load for one shotgun
hull or casing, nor (b) any unloaded, non-metallic shotgun hull or
casing not having a primer.
Antique firearm. (a) Any firearm (including any firearm with a
matchlock, flintlock, percussion cap, or similar type of ignition
system) manufactured in or before 1898; and (b) any replica of any
firearm described in paragraph (a) of this definition if such replica
(1) is not designed or redesigned for using rimfire or conventional
centerfire fixed ammunition, or (2) uses rimfire or conventional
centerfire fixed ammunition which is no longer manufactured in the
United States and which is not readily available in the ordinary
channels of commercial trade.
Armor piercing ammunition. Projectiles or projectile cores which may
be used in a handgun and which are constructed entirely (excluding the
presence of traces of other substances) from one or a combination of
tungsten alloys, steel, iron, brass, bronze, beryllium copper, or
depleted uranium; or full jacketed projectiles 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. The term
does not include shotgun shot required by Federal or State environmental
or game regulations for hunting purposes, frangible projectiles designed
for target shooting, projectiles which the Director finds are primarily
intended to be used for sporting purposes, or any other projectiles or
projectile cores which the Director finds are intended to be used for
industrial purposes, including charges used in oil and gas well
perforating devices.
ATF officer. An officer or employee of the Bureau of Alcohol,
Tobacco, Firearms, and Explosives (ATF) authorized to perform any
function relating to the administration or enforcement of this part.
Business premises. The property on which the manufacturing or
importing of firearms or ammunition or the dealing in firearms is or
will be conducted. A private dwelling, no part of which is open to the
public, shall not be recognized as coming within the meaning of the
term.
Chief, Federal Firearms Licensing Center (FFLC). The ATF official
responsible for the issuance and renewal of licenses under this part.
Collector. Any person who acquires, holds, or disposes of firearms
as curios or relics.
Collection premises. The premises described on the license of a
collector as
[[Page 22]]
the location at which he maintains his collection of curios and relics.
Commerce. Travel, trade, traffic, commerce, transportation, or
communication among the several States, or between the District of
Columbia and any State, or between any foreign country or any territory
or possession and any State or the District of Columbia, or between
points in the same State but through any other State or the District of
Columbia or a foreign country.
Committed to a mental institution. A formal commitment of a person
to a mental institution by a court, board, commission, or other lawful
authority. The term includes a commitment to a mental institution
involuntarily. The term includes commitment for mental defectiveness or
mental illness. It also includes commitments for other reasons, such as
for drug use. The term does not include a person in a mental institution
for observation or a voluntary admission to a mental institution.
Controlled substance. A drug or other substance, or immediate
precursor, as defined in section 102 of the Controlled Substances Act,
21 U.S.C. 802. The term includes, but is not limited to, marijuana,
depressants, stimulants, and narcotic drugs. The term does not include
distilled spirits, wine, malt beverages, or tobacco, as those terms are
defined or used in Subtitle E of the Internal Revenue Code of 1986, as
amended.
Crime punishable by imprisonment for a term exceeding 1 year. Any
Federal, State or foreign offense for which the maximum penalty, whether
or not imposed, is capital punishment or imprisonment in excess of 1
year. The term shall not include (a) any Federal or State offenses
pertaining to antitrust violations, unfair trade practices, restraints
of trade, or other similar offenses relating to the regulation of
business practices or (b) any State offense classified by the laws of
the State as a misdemeanor and punishable by a term of imprisonment of 2
years or less. What constitutes a conviction of such a crime shall be
determined in accordance with the law of the jurisdiction in which the
proceedings were held. Any conviction which has been expunged or set
aside or for which a person has been pardoned or has had civil rights
restored shall not be considered a conviction for the purposes of the
Act or this part, unless such pardon, expunction, or restoration of
civil rights expressly provides that the person may not ship, transport,
possess, or receive firearms, or unless the person is prohibited by the
law of the jurisdiction in which the proceedings were held from
receiving or possessing any firearms.
Curios or relics. Firearms which are of special interest to
collectors by reason of some quality other than is associated with
firearms intended for sporting use or as offensive or defensive weapons.
To be recognized as curios or relics, firearms must fall within one of
the following categories:
(a) Firearms which were manufactured at least 50 years prior to the
current date, but not including replicas thereof;
(b) Firearms which are certified by the curator of a municipal,
State, or Federal museum which exhibits firearms to be curios or relics
of museum interest; and
(c) Any other firearms which derive a substantial part of their
monetary value from the fact that they are novel, rare, bizarre, or
because of their association with some historical figure, period, or
event. Proof of qualification of a particular firearm under this
category may be established by evidence of present value and evidence
that like firearms are not available except as collector's items, or
that the value of like firearms available in ordinary commercial
channels is substantially less.
Customs officer. Any officer of U.S. Customs and Border Protection,
any commissioned, warrant, or petty officer of the Coast Guard, or any
agent or other person authorized by law to perform the duties of a
customs officer.
Dealer. Any person engaged in the business of selling firearms at
wholesale or retail; any person engaged in the business of repairing
firearms or of making or fitting special barrels, stocks, or trigger
mechanisms to firearms; or any person who is a pawnbroker. The term
shall include any person who engages in such business or occupation on a
part-time basis.
[[Page 23]]
Destructive device. (a) Any explosive, incendiary, or poison gas (1)
bomb, (2) grenade, (3) rocket having a propellant charge of more than 4
ounces, (4) missile having an explosive or incendiary charge of more
than one-quarter ounce, (5) mine, or (6) device similar to any of the
devices described in the preceding paragraphs of this definition; (b)
any type of weapon (other than a shotgun or a shotgun shell which the
Director finds is generally recognized as particularly suitable for
sporting purposes) by whatever name known which will, or which may be
readily converted to, expel a projectile by the action of an explosive
or other propellant, and which has any barrel with a bore of more than
one-half inch in diameter; and (c) any combination of parts either
designed or intended for use in converting any device into any
destructive device described in paragraph (a) or (b) of this section and
from which a destructive device may be readily assembled. The term shall
not include any device which is neither designed nor redesigned for use
as a weapon; any device, although originally designed for use as a
weapon, which is redesigned for use as a signalling, pyrotechnic, line
throwing, safety, or similar device; surplus ordnance sold, loaned, or
given by the Secretary of the Army pursuant to the provisions of section
4684(2), 4685, or 4686 of title 10, United States Code; or any other
device which the Director finds is not likely to be used as a weapon, is
an antique, or is a rifle which the owner intends to use solely for
sporting, recreational, or cultural purposes.
Director. The Director, Bureau of Alcohol, Tobacco, Firearms, and
Explosives, the Department of Justice, Washington, DC.
Director of Industry Operations. The principal ATF official in a
Field Operations division responsible for administering regulations in
this part.
Discharged under dishonorable conditions. Separation from the U.S.
Armed Forces resulting from a dishonorable discharge or dismissal
adjudged by a general court-martial. The term does not include any
separation from the Armed Forces resulting from any other discharge,
e.g., a bad conduct discharge.
Division. A Bureau of Alcohol, Tobacco, Firearms, and Explosives
Division.
Engaged in the business--(a) Manufacturer of firearms. A person who
devotes time, attention, and labor to manufacturing firearms as a
regular course of trade or business with the principal objective of
livelihood and profit through the sale or distribution of the firearms
manufactured;
(b) Manufacturer of ammunition. A person who devotes time,
attention, and labor to manufacturing ammunition as a regular course of
trade or business with the principal objective of livelihood and profit
through the sale or distribution of the ammunition manufactured;
(c) Dealer in firearms other than a gunsmith or a pawnbroker. A
person who devotes time, attention, and labor to dealing in firearms as
a regular course of trade or business with the principal objective of
livelihood and profit through the repetitive purchase and resale of
firearms, but such a term shall not include a person who makes
occasional sales, exchanges, or purchases of firearms for the
enhancement of a personal collection or for a hobby, or who sells all or
part of his personal collection of firearms;
(d) Gunsmith. A person who devotes time, attention, and labor to
engaging in such activity as a regular course of trade or business with
the principal objective of livelihood and profit, but such a term shall
not include a person who makes occasional repairs of firearms or who
occasionally fits special barrels, stocks, or trigger mechanisms to
firearms;
(e) Importer of firearms. A person who devotes time, attention, and
labor to importing firearms as a regular course of trade or business
with the principal objective of livelihood and profit through the sale
or distribution of the firearms imported; and,
(f) Importer of ammunition. A person who devotes time, attention,
and labor to importing ammunition as a regular course of trade or
business with the principal objective of livelihood and profit through
the sale or distribution of the ammunition imported.
Executed under penalties of perjury. Signed with the prescribed
declaration
[[Page 24]]
under the penalties of perjury as provided on or with respect to the
return form, or other document or, where no form of declaration is
prescribed, with the declaration:
``I declare under the penalties of perjury that this--(insert type
of document, such as, statement, application, request, certificate),
including the documents submitted in support thereof, has been examined
by me and, to the best of my knowledge and belief, is true, correct, and
complete.''
Federal Firearms Act. 15 U.S.C. Chapter 18.
Firearm. Any weapon, including a starter gun, which will or is
designed to or may readily be converted to expel a projectile by the
action of an explosive; the frame or receiver of any such weapon; any
firearm muffler or firearm silencer; or any destructive device; but the
term shall not include an antique firearm. In the case of a licensed
collector, the term shall mean only curios and relics.
Firearm frame or receiver. That part of a firearm which provides
housing for the hammer, bolt or breechblock, and firing mechanism, and
which is usually threaded at its forward portion to receive the barrel.
Firearm muffler or firearm silencer. Any device for silencing,
muffling, or diminishing the report of a portable firearm, including any
combination of parts, designed or redesigned, and intended for use in
assembling or fabricating a firearm silencer or firearm muffler, and any
part intended only for use in such assembly or fabrication.
Friendly foreign government. Any government with whom the United
States has diplomatic relations and whom the United States has not
identified as a State sponsor of terrorism.
Fugitive from justice. Any person who has fled from any State to
avoid prosecution for a felony or a misdemeanor; or any person who
leaves the State to avoid giving testimony in any criminal proceeding.
The term also includes any person who knows that misdemeanor or felony
charges are pending against such person and who leaves the State of
prosecution.
Handgun. (a) Any firearm which has a short stock and is designed to
be held and fired by the use of a single hand; and
(b) Any combination of parts from which a firearm described in
paragraph (a) can be assembled.
Hunting license or permit lawfully issued in the United States. A
license or permit issued by a State for hunting which is valid and
unexpired.
Identification document. A document containing the name, residence
address, date of birth, and photograph of the holder and which was made
or issued by or under the authority of the United States Government, a
State, political subdivision of a State, a foreign government, political
subdivision of a foreign government, an international governmental or an
international quasi- governmental organization which, when completed
with information concerning a particular individual, is of a type
intended or commonly accepted for the purpose of identification of
individuals.
Importation. The bringing of a firearm or ammunition into the United
States; except that the bringing of a firearm or ammunition from outside
the United States into a foreign-trade zone for storage pending shipment
to a foreign country or subsequent importation into this country,
pursuant to this part, shall not be deemed importation.
Importer. Any person engaged in the business of importing or
bringing firearms or ammunition into the United States. The term shall
include any person who engages in such business on a part-time basis.
Indictment. Includes an indictment or information in any court,
under which a crime punishable by imprisonment for a term exceeding 1
year (as defined in this section) may be prosecuted, or in military
cases to any offense punishable by imprisonment for a term exceeding 1
year which has been referred to a general court-martial. An information
is a formal accusation of a crime, differing from an indictment in that
it is made by a prosecuting attorney and not a grand jury.
Interstate or foreign commerce. Includes commerce between any place
in a State and any place outside of that State, or within any possession
of the United States (not including the Canal Zone) or the District of
Columbia. The term shall not include commerce between places within the
same State but
[[Page 25]]
through any place outside of that State.
Intimate partner. With respect to a person, the spouse of the
person, a former spouse of the person, an individual who is a parent of
a child of the person, and an individual who cohabitates or has
cohabitated with the person.
Large capacity ammunition feeding device. A magazine, belt, drum,
feed strip, or similar device for a firearm manufactured after September
13, 1994, that has a capacity of, or that can be readily restored or
converted to accept, more than 10 rounds of ammunition. The term does
not include an attached tubular device designed to accept, and capable
of operating only with, .22 caliber rimfire ammunition, or a fixed
device for a manually operated firearm, or a fixed device for a firearm
listed in 18 U.S.C. 922, appendix A.
Licensed collector. A collector of curios and relics only and
licensed under the provisions of this part.
Licensed dealer. A dealer licensed under the provisions of this
part.
Licensed importer. An importer licensed under the provisions of this
part.
Licensed manufacturer. A manufacturer licensed under the provisions
of this part.
Machine gun. Any weapon which shoots, is designed to shoot, or can
be readily restored to shoot, automatically more than one shot, without
manual reloading, by a single function of the trigger. The term shall
also include the frame or receiver of any such weapon, any part designed
and intended solely and exclusively, or combination of parts designed
and intended, for use in converting a weapon into a machine gun, and any
combination of parts from which a machine gun can be assembled if such
parts are in the possession or under the control of a person.
Manufacturer. Any person engaged in the business of manufacturing
firearms or ammunition. The term shall include any person who engages in
such business on a part-time basis.
Mental institution. Includes mental health facilities, mental
hospitals, sanitariums, psychiatric facilities, and other facilities
that provide diagnoses by licensed professionals of mental retardation
or mental illness, including a psychiatric ward in a general hospital.
Misdemeanor crime of domestic violence. (a) Is a Federal, State or
local offense that:
(1) Is a misdemeanor under Federal or State law or, in States which
do not classify offenses as misdemeanors, is an offense punishable by
imprisonment for a term of one year or less, and includes offenses that
are punishable only by a fine. (This is true whether or not the State
statute specifically defines the offense as a ``misdemeanor'' or as a
``misdemeanor crime of domestic violence.'' The term includes all such
misdemeanor convictions in Indian Courts established pursuant to 25 CFR
part 11.);
(2) Has, as an element, the use or attempted use of physical force
(e.g., assault and battery), or the threatened use of a deadly weapon;
and
(3) Was committed by a current or former spouse, parent, or guardian
of the victim, by a person with whom the victim shares a child in
common, by a person who is cohabiting with or has cohabited with the
victim as a spouse, parent, or guardian, (e.g., the equivalent of a
``common law'' marriage even if such relationship is not recognized
under the law), or a person similarly situated to a spouse, parent, or
guardian of the victim (e.g., two persons who are residing at the same
location in an intimate relationship with the intent to make that place
their home would be similarly situated to a spouse).
(b) A person shall not be considered to have been convicted of such
an offense for purposes of this part unless:
(1) The person is considered to have been convicted by the
jurisdiction in which the proceedings were held.
(2) The person was represented by counsel in the case, or knowingly
and intelligently waived the right to counsel in the case; and
(3) In the case of a prosecution for which a person was entitled to
a jury trial in the jurisdiction in which the case was tried, either
(i) The case was tried by a jury, or
(ii) The person knowingly and intelligently waived the right to have
the case tried by a jury, by guilty plea or otherwise.
[[Page 26]]
(c) A person shall not be considered to have been convicted of such
an offense for purposes of this part if the conviction has been expunged
or set aside, or is an offense for which the person has been pardoned or
has had civil rights restored (if the law of the jurisdiction in which
the proceedings were held provides for the loss of civil rights upon
conviction for such an offense) unless the pardon, expunction, or
restoration of civil rights expressly provides that the person may not
ship, transport, possess, or receive firearms, and the person is not
otherwise prohibited by the law of the jurisdiction in which the
proceedings were held from receiving or possessing any firearms.
National Firearms Act. 26 U.S.C. Chapter 53.
NICS. The National Instant Criminal Background Check System
established by the Attorney General pursuant to 18 U.S.C. 922(t).
Nonimmigrant alien. An alien in the United States in a nonimmigrant
classification as defined by section 101(a)(15) of the Immigration and
Nationality Act (8 U.S.C. 1101(a)(15)).
Nonimmigrant visa. A visa properly issued to an alien as an eligible
nonimmigrant by a competent officer as provided in the Immigration and
Nationality Act, 8 U.S.C. 1101 et seq.
Pawnbroker. Any person whose business or occupation includes the
taking or receiving, by way of pledge or pawn, of any firearm as
security for the payment or repayment of money. The term shall include
any person who engages in such business on a part-time basis.
Permanently inoperable. A firearm which is incapable of discharging
a shot by means of an explosive and incapable of being readily restored
to a firing condition. An acceptable method of rendering most firearms
permanently inoperable is to fusion weld the chamber closed and fusion
weld the barrel solidly to the frame. Certain unusual firearms require
other methods to render the firearm permanently inoperable. Contact ATF
for instructions.
Person. Any individual, corporation, company, association, firm,
partnership, society, or joint stock company.
Pistol. A weapon originally designed, made, and intended to fire a
projectile (bullet) from one or more barrels when held in one hand, and
having (a) a chamber(s) as an integral part(s) of, or permanently
aligned with, the bore(s); and (b) a short stock designed to be gripped
by one hand and at an angle to and extending below the line of the
bore(s).
Principal objective of livelihood and profit. The intent underlying
the sale or disposition of firearms is predominantly one of obtaining
livelihood and pecuniary gain, as opposed to other intents such as
improving or liquidating a personal firearms collection: Provided, That
proof of profit shall not be required as to a person who engages in the
regular and repetitive purchase and disposition of firearms for criminal
purposes or terrorism. For purposes of this part, the term ``terrorism''
means activity, directed against United States persons, which--
(a) Is committed by an individual who is not a national or permanent
resident alien of the United States;
(b) Involves violent acts or acts dangerous to human life which
would be a criminal violation if committed within the jurisdiction of
the United States; and
(c) Is intended--
(1) To intimidate or coerce a civilian population;
(2) To influence the policy of a government by intimidation or
coercion; or
(3) To affect the conduct of a government by assassination or
kidnapping.
Published ordinance. A published law of any political subdivision of
a State which the Director determines to be relevant to the enforcement
of this part and which is contained on a list compiled by the Director,
which list is incorporated by reference in the Federal Register, revised
annually, and furnished to licensees under this part.
Renounced U.S. citizenship. (a) A person has renounced his U.S.
citizenship if the person, having been a citizen of the United States,
has renounced citizenship either--
(1) Before a diplomatic or consular officer of the United States in
a foreign state pursuant to 8 U.S.C. 1481(a)(5); or
(2) Before an officer designated by the Attorney General when the
United
[[Page 27]]
States is in a state of war pursuant to 8 U.S.C. 1481(a)(6).
(b) The term shall not include any renunciation of citizenship that
has been reversed as a result of administrative or judicial appeal.
Revolver. A projectile weapon, of the pistol type, having a
breechloading chambered cylinder so arranged that the cocking of the
hammer or movement of the trigger rotates it and brings the next
cartridge in line with the barrel for firing.
Rifle. A weapon designed or redesigned, made or remade, and intended
to be fired from the shoulder, and designed or redesigned and made or
remade to use the energy of the explosive in a fixed metallic cartridge
to fire only a single projectile through a rifled bore for each single
pull of the trigger.
Semiautomatic assault weapon. (a) Any of the firearms, or copies or
duplicates of the firearms in any caliber, known as:
(1) Norinco, Mitchell, and Poly Technologies Avtomat Kalashnikovs
(all models),
(2) Action Arms Israeli Military Industries UZI and Galil,
(3) Beretta Ar70 (SC-70),
(4) Colt AR-15,
(5) Fabrique National FN/FAL, FN/LAR, and FNC,
(6) SWD M-10, M-11, M-11/9, and M-12,
(7) Steyr AUG,
(8) INTRATEC TEC-9, TEC-DC9 and TEC-22, and
(9) Revolving cylinder shotguns, such as (or similar to) the Street
Sweeper and Striker 12;
(b) A semiautomatic rifle that has an ability to accept a detachable
magazine and has at least 2 of--
(1) A folding or telescoping stock,
(2) A pistol grip that protrudes conspicuously beneath the action of
the weapon,
(3) A bayonet mount,
(4) A flash suppressor or threaded barrel designed to accommodate a
flash suppressor, and
(5) A grenade launcher;
(c) A semiautomatic pistol that has an ability to accept a
detachable magazine and has at least 2 of--
(1) An ammunition magazine that attaches to the pistol outside of
the pistol grip,
(2) A threaded barrel capable of accepting a barrel extender, flash
suppressor, forward handgrip, or silencer,
(3) A shroud that is attached to, or partially or completely
encircles, the barrel and that permits the shooter to hold the firearm
with the nontrigger hand without being burned,
(4) A manufactured weight of 50 ounces or more when the pistol is
unloaded, and
(5) A semiautomatic version of an automatic firearm; and
(d) A semiautomatic shotgun that has at least 2 of--
(1) A folding or telescoping stock,
(2) A pistol grip that protrudes conspicuously beneath the action of
the weapon,
(3) A fixed magazine capacity in excess of 5 rounds, and
(4) An ability to accept a detachable magazine.
Semiautomatic pistol. Any repeating pistol which utilizes a portion
of the energy of a firing cartridge to extract the fired cartridge case
and chamber the next round, and which requires a separate pull of the
trigger to fire each cartridge.
Semiautomatic rifle. Any repeating rifle which utilizes a portion of
the energy of a firing cartridge to extract the fired cartridge case and
chamber the next round, and which requires a separate pull of the
trigger to fire each cartridge.
Semiautomatic shotgun. Any repeating shotgun which utilizes a
portion of the energy of a firing cartridge to extract the fired
cartridge case and chamber the next round, and which requires a separate
pull of the trigger to fire each cartridge.
Short-barreled rifle. A rifle having one or more barrels less than
16 inches in length, and any weapon made from a rifle, whether by
alteration, modification, or otherwise, if such weapon, as modified, has
an overall length of less than 26 inches.
Short-barreled shotgun. A shotgun having one or more barrels less
than 18 inches in length, and any weapon made from a shotgun, whether by
alteration, modification, or otherwise, if such weapon as modified has
an overall length of less than 26 inches.
[[Page 28]]
Shotgun. A weapon designed or redesigned, made or remade, and
intended to be fired from the shoulder, and designed or redesigned and
made or remade to use the energy of the explosive in a fixed shotgun
shell to fire through a smooth bore either a number of ball shot or a
single projectile for each single pull of the trigger.
State. A State of the United States. The term shall include the
District of Columbia, the Commonwealth of Puerto Rico, and the
possessions of the United States (not including the Canal Zone).
State of residence. The State in which an individual resides. An
individual resides in a State if he or she is present in a State with
the intention of making a home in that State. If an individual is on
active duty as a member of the Armed Forces, the individual's State of
residence is the State in which his or her permanent duty station is
located, as stated in 18 U.S.C. 921(b). The following are examples that
illustrate this definition:
Example 1. A maintains a home in State X. A travels to State Y on a
hunting, fishing, business, or other type of trip. A does not become a
resident of State Y by reason of such trip.
Example 2. A maintains a home in State X and a home in State Y. A
resides in State X except for weekends or the summer months of the year
and in State Y for the weekends or the summer months of the year. During
the time that A actually resides in State X, A is a resident of State X,
and during the time that A actually resides in State Y, A is a resident
of State Y.
Example 3. A, an alien, travels to the United States on a three-week
vacation to State X. A does not have a state of residence in State X
because A does not have the intention of making a home in State X while
on vacation. This is true regardless of the length of the vacation.
Example 4. A, an alien, travels to the United States to work for
three years in State X. A rents a home in State X, moves his personal
possessions into the home, and his family resides with him in the home.
A intends to reside in State X during the 3-year period of his
employment. A is a resident of State X.
Unlawful user of or addicted to any controlled substance. A person
who uses a controlled substance and has lost the power of self-control
with reference to the use of controlled substance; and any person who is
a current user of a controlled substance in a manner other than as
prescribed by a licensed physician. Such use is not limited to the use
of drugs on a particular day, or within a matter of days or weeks
before, but rather that the unlawful use has occurred recently enough to
indicate that the individual is actively engaged in such conduct. A
person may be an unlawful current user of a controlled substance even
though the substance is not being used at the precise time the person
seeks to acquire a firearm or receives or possesses a firearm. An
inference of current use may be drawn from evidence of a recent use or
possession of a controlled substance or a pattern of use or possession
that reasonably covers the present time, e.g., a conviction for use or
possession of a controlled substance within the past year; multiple
arrests for such offenses within the past 5 years if the most recent
arrest occurred within the past year; or persons found through a drug
test to use a controlled substance unlawfully, provided that the test
was administered within the past year. For a current or former member of
the Armed Forces, an inference of current use may be drawn from recent
disciplinary or other administrative action based on confirmed drug use,
e.g., court-martial conviction, nonjudicial punishment, or an
administrative discharge based on drug use or drug rehabilitation
failure.
Unserviceable firearm. A firearm which is incapable of discharging a
shot by means of an explosive and is incapable of being readily restored
to a firing condition.
U.S.C. The United States Code.
(5 U.S.C. 552(a), 80 Stat. 383, as amended; 18 U.S.C. 847 (84 Stat.
959); 18 U.S.C. 926 (82 Stat. 1226))
[T.D. ATF-48, 43 FR 13536, Mar. 31, 1978; 44 FR 55842, Sept. 28, 1979]
Editorial Note: For Federal Register citations affecting Sec.
478.11, see the List of CFR Sections Affected, which appears in the
Finding Aids section of the printed volume and at www.fdsys.gov.
[[Page 29]]
Subpart C_Administrative and Miscellaneous Provisions
Sec. 478.21 Forms prescribed.
(a) The Director is authorized to prescribe all forms required by
this part. All of the information called for in each form shall be
furnished as indicated by the headings on the form and the instructions
on or pertaining to the form. In addition, information called for in
each form shall be furnished as required by this part.
(b) Requests for forms should be submitted to the ATF Distribution
Center (http://www.atf.gov) or made by calling (202) 648-6420.
(5 U.S.C. 552(a); 80 Stat. 383, as amended)
[T.D. ATF-92, 46 FR 46915, Sept. 23, 1981, as amended by T.D. ATF-249,
52 FR 5962, Feb. 27, 1987; T.D. ATF-270, 53 FR 10492, Mar. 31, 1988;
T.D. 372, 61 FR 20724, May 8, 1996; T.D. ATF-11F, 73 FR 57240, Oct. 2,
2008; T.D. ATF 2013R-9F, 79 FR 46692, Aug. 11, 2014]
Sec. 478.22 Alternate methods or procedures; emergency variations
from requirements.
(a) Alternate methods or procedures. The licensee, on specific
approval by the Director as provided in this paragraph, may use an
alternate method or procedure in lieu of a method or procedure
specifically prescribed in this part. The Director may approve an
alternate method or procedure, subject to stated conditions, when it is
found that:
(1) Good cause is shown for the use of the alternate method or
procedure;
(2) The alternate method or procedure is within the purpose of, and
consistent with the effect intended by, the specifically prescribed
method or procedure and that the alternate method or procedure is
substantially equivalent to that specifically prescribed method or
procedure; and
(3) The alternate method or procedure will not be contrary to any
provision of law and will not result in an increase in cost to the
Government or hinder the effective administration of this part. Where
the licensee desires to employ an alternate method or procedure, a
written application shall be submitted to the appropriate Director of
Industry Operations, for transmittal to the Director. The application
shall specifically describe the proposed alternate method or procedure
and shall set forth the reasons for it. Alternate methods or procedures
may not be employed until the application is approved by the Director.
The licensee shall, during the period of authorization of an alternate
method or procedure, comply with the terms of the approved application.
Authorization of any alternate method or procedure may be withdrawn
whenever, in the judgment of the Director, the effective administration
of this part is hindered by the continuation of the authorization.
(b) Emergency variations from requirements. The Director may approve
a method of operation other than as specified in this part, where it is
found that an emergency exists and the proposed variation from the
specified requirements are necessary and the proposed variations (1)
will not hinder the effective administration of this part, and (2) will
not be contrary to any provisions of law. Variations from requirements
granted under this paragraph are conditioned on compliance with the
procedures, conditions, and limitations set forth in the approval of the
application. Failure to comply in good faith with the procedures,
conditions, and limitations shall automatically terminate the authority
for the variations, and the licensee shall fully comply with the
prescribed requirements of regulations from which the variations were
authorized. Authority for any variation may be withdrawn whenever, in
the judgment of the Director, the effective administration of this part
is hindered by the continuation of the variation. Where the licensee
desires to employ an emergency variation, a written application shall be
submitted to the appropriate Director of Industry Operations for
transmittal to the Director. The application shall describe the proposed
variation and set forth the reasons for it. Variations may not be
employed until the application is approved.
(c) Retention of approved variations. The licensee shall retain, as
part of the
[[Page 30]]
licensee's records, available for examination by ATF officers, any
application approved by the Director under this section.
[T.D. ATF-270, 53 FR 10492, Mar. 31, 1988]
Sec. 478.23 Right of entry and examination.
(a) Except as provided in paragraph (b), any ATF officer, when there
is reasonable cause to believe a violation of the Act has occurred and
that evidence of the violation may be found on the premises of any
licensed manufacturer, licensed importer, licensed dealer, or licensed
collector, may, upon demonstrating such cause before a Federal
magistrate and obtaining from the magistrate a warrant authorizing
entry, enter during business hours (or, in the case of a licensed
collector, the hours of operation) the premises, including places of
storage, of any such licensee for the purpose of inspecting or
examining:
(1) Any records or documents required to be kept by such licensee
under this part and
(2) Any inventory of firearms or ammunition kept or stored by any
licensed manufacturer, licensed importer, or licensed dealer at such
premises or any firearms curios or relics or ammunition kept or stored
by any licensed collector at such premises.
(b) Any ATF officer, without having reasonable cause to believe a
violation of the Act has occurred or that evidence of the violation may
be found and without demonstrating such cause before a Federal
magistrate or obtaining from the magistrate a warrant authorizing entry,
may enter during business hours the premises, including places of
storage, of any licensed manufacturer, licensed importer, or licensed
dealer for the purpose of inspecting or examining the records,
documents, ammunition and firearms referred to in paragraph (a) of this
section:
(1) In the course of a reasonable inquiry during the course of a
criminal investigation of a person or persons other than the licensee,
(2) For insuring compliance with the recordkeeping requirements of
this part:
(i) Not more than once during any 12-month period, or
(ii) At any time with respect to records relating to a firearm
involved in a criminal investigation that is traced to the licensee, or
(3) When such inspection or examination may be required for
determining the disposition of one or more particular firearms in the
course of a bona fide criminal investigation.
(c) Any ATF officer, without having reasonable cause to believe a
violation of the Act has occurred or that evidence of the violation may
be found and without demonstrating such cause before a Federal
magistrate or obtaining from the magistrate a warrant authorizing entry,
may enter during hours of operation the premises, including places of
storage, of any licensed collector for the purpose of inspecting or
examining the records, documents, firearms, and ammunition referred to
in paragraph (a) of this section (1) for ensuring compliance with the
recordkeeping requirements of this part not more than once during any
12-month period or (2) when such inspection or examination may be
required for determining the disposition of one or more particular
firearms in the course of a bona fide criminal investigation. At the
election of the licensed collector, the annual inspection permitted by
this paragraph shall be performed at the ATF office responsible for
conducting such inspection in closest proximity to the collectors
premises.
(d) The inspections and examinations provided by this section do not
authorize an ATF officer to seize any records or documents other than
those records or documents constituting material evidence of a violation
of law. If an ATF officer seizes such records or documents, copies shall
be provided the licensee within a reasonable time.
[T.D. ATF-270, 53 FR 10492, Mar. 31, 1988, as amended by T.D. ATF-363,
60 FR 17450, Apr. 6, 1995]
Sec. 478.24 Compilation of State laws and published ordinances.
(a) The Director shall annually revise and furnish Federal firearms
licensees with a compilation of State laws and
[[Page 31]]
published ordinances which are relevant to the enforcement of this part.
The Director annually revises the compilation and publishes it as
``State Laws and Published Ordinances--Firearms'' which is furnished
free of charge to licensees under this part. Where the compilation has
previously been furnished to licensees, the Director need only furnish
amendments of the relevant laws and ordinances to such licensees.
(b) ``State Laws and Published Ordinances--Firearms'' is
incorporated by reference in this part. It is ATF Publication 5300.5,
revised yearly. The current edition is available from the Superintendent
of Documents, U.S. Government Printing Office, Washington, DC 20402. It
is also available for inspection at the National Archives and Records
Administration (NARA). For information on the availability of this
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/
federal--register/code--of--federal--regulations/ibr--locations.html.
This incorporation by reference was approved by the Director of the
Federal Register.
[T.D. ATF-270, 53 FR 10493, Mar. 31, 1988, as amended by 69 FR 18803,
Apr. 9, 2004]
Sec. 478.25 Disclosure of information.
The Director of Industry Operations may make available to any
Federal, State or local law enforcement agency any information which is
obtained by reason of the provisions of the Act with respect to the
identification of persons prohibited from purchasing or receiving
firearms or ammunition who have purchased or received firearms or
ammunition, together with a description of such firearms or ammunition.
Upon the request of any Federal, State or local law enforcement agency,
the Director of Industry Operations may provide such agency any
information contained in the records required to be maintained by the
Act or this part.
[T.D. ATF-270, 53 FR 10493, Mar. 31, 1988]
Sec. 478.25a Responses to requests for information.
Each licensee shall respond immediately to, and in no event later
than 24 hours after the receipt of, a request by an ATF officer at the
National Tracing Center for information contained in the records
required to be kept by this part for determining the disposition of one
or more firearms in the course of a bona fide criminal investigation.
The requested information shall be provided orally to the ATF officer
within the 24-hour period. Verification of the identity and employment
of National Tracing Center personnel requesting information may be
established at the time the requested information is provided by
telephoning the toll-free number 1-800-788-7132 or using the toll-free
facsimile (FAX) number 1-800-788-7133.
(Approved by the Office of Management and Budget under control number
1140-0032)
[T.D. ATF-363, 60 FR 17451, Apr. 6, 1996, as amended by T.D. ATF-396, 63
FR 12646, Mar. 16, 1998; T.D. ATF-11F, 73 FR 57240, Oct. 2, 2008]
Sec. 478.26 Curio and relic determination.
Any person who desires to obtain a determination whether a
particular firearm is a curio or relic shall submit a written request,
in duplicate, for a ruling thereon to the Director. Each such request
shall be executed under the penalties of perjury and shall contain a
complete and accurate description of the firearm, and such photographs,
diagrams, or drawings as may be necessary to enable the Director to make
a determination. The Director may require the submission of the firearm
for examination and evaluation. If the submission of the firearm is
impractical, the person requesting the determination shall so advise the
Director and designate the place where the firearm will be available for
examination and evaluation.
[T.D. ATF-270, 53 FR 10493, Mar. 31, 1988]
Sec. 478.27 Destructive device determination.
The Director shall determine in accordance with 18 U.S.C. 921(a)(4)
whether a device is excluded from the definition of a destructive
device. A person who desires to obtain a determination under that
provision of law for any device which he believes is not likely to be
used as a weapon shall submit a
[[Page 32]]
written request, in triplicate, for a ruling thereon to the Director.
Each such request shall be executed under the penalties of perjury and
contain a complete and accurate description of the device, the name and
address of the manufacturer or importer thereof, the purpose of and use
for which it is intended, and such photographs, diagrams, or drawings as
may be necessary to enable the Director to make his determination. The
Director may require the submission to him, of a sample of such device
for examination and evaluation. If the submission of such device is
impracticable, the person requesting the ruling shall so advise the
Director and designate the place where the device will be available for
examination and evaluation.
Sec. 478.28 Transportation of destructive devices and certain firearms.
(a) The Director may authorize a person to transport in interstate
or foreign commerce any destructive device, machine gun, short-barreled
shotgun, or short-barreled rifle, if he finds that such transportation
is reasonably necessary and is consistent with public safety and
applicable State and local law. A person who desires to transport in
interstate or foreign commerce any such device or weapon shall submit a
written request so to do, in duplicate, to the Director. The request
shall contain:
(1) A complete description and identification of the device or
weapon to be transported;
(2) A statement whether such transportation involves a transfer of
title;
(3) The need for such transportation;
(4) The approximate date such transportation is to take place;
(5) The present location of such device or weapon and the place to
which it is to be transported;
(6) The mode of transportation to be used (including, if by common
or contract carrier, the name and address of such carrier); and
(7) Evidence that the transportation or possession of such device or
weapon is not inconsistent with the laws at the place of destination.
(b) No person shall transport any destructive device, machine gun,
short-barreled shotgun, or short-barreled rifle in interstate or foreign
commerce under the provisions of this section until he has received
specific authorization so to do from the Director. Authorization granted
under this section does not carry or import relief from any other
statutory or regulatory provision relating to firearms.
(c) This section shall not be construed as requiring licensees to
obtain authorization to transport destructive devices, machine guns,
short-barreled shotguns, and short-barreled rifles in interstate or
foreign commerce: Provided, That in the case of a licensed importer,
licensed manufacturer, or licensed dealer, such a licensee is qualified
under the National Firearms Act (see also Part 479 of this chapter) and
this part to engage in the business with respect to the device or weapon
to be transported, and that in the case of a licensed collector, the
device or weapon to be transported is a curio or relic.
[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16385, Apr. 15, 1975,
and amended by T.D. ATF-138, 48 FR 35399, Aug. 4, 1983]
Sec. 478.29 Out-of-State acquisition of firearms by nonlicensees.
No person, other than a licensed importer, licensed manufacturer,
licensed dealer, or licensed collector, shall transport into or receive
in the State where the person resides (or if a corporation or other
business entity, where it maintains a place of business) any firearm
purchased or otherwise obtained by such person outside that State:
Provided, That the provisions of this section:
(a) Shall not preclude any person who lawfully acquires a firearm by
bequest or intestate succession in a State other than his State of
residence from transporting the firearm into or receiving it in that
State, if it is lawful for such person to purchase or possess such
firearm in that State,
(b) Shall not apply to the transportation or receipt of a rifle or
shotgun obtained from a licensed manufacturer, licensed importer,
licensed dealer, or licensed collector in a State other than the
transferee's State of residence in an over-the-counter transaction at
the licensee's premises obtained in conformity with the provisions of
Sec. 478.96(c) and
[[Page 33]]
(c) Shall not apply to the transportation or receipt of a firearm
obtained in conformity with the provisions of Sec. Sec. 478.30 and
478.97.
[T.D. ATF-270, 53 FR 10493, Mar. 31, 1988]
Sec. 478.29a Acquisition of firearms by nonresidents.
No person, other than a licensed importer, licensed manufacturer,
licensed dealer, or licensed collector, who does not reside in any State
shall receive any firearms unless such receipt is for lawful sporting
purposes.
[T.D. ATF-363, 60 FR 17451, Apr. 6, 1995]
Sec. 478.30 Out-of-State disposition of firearms by nonlicensees.
No nonlicensee shall transfer, sell, trade, give, transport, or
deliver any firearm to any other nonlicensee, who the transferor knows
or has reasonable cause to believe does not reside in (or if the person
is a corporation or other business entity, does not maintain a place of
business in) the State in which the transferor resides: Provided, That
the provisions of this section:
(a) shall not apply to the transfer, transportation, or delivery of
a firearm made to carry out a bequest of a firearm to, or any
acquisition by intestate succession of a firearm by, a person who is
permitted to acquire or possess a firearm under the laws of the State of
his residence; and
(b) shall not apply to the loan or rental of a firearm to any person
for temporary use for lawful sporting purposes.
[T.D. ATF-313, 56 FR 32508, July 17, 1991; 57 FR 1205, Jan. 10, 1992]
Sec. 478.31 Delivery by common or contract carrier.
(a) No person shall knowingly deliver or cause to be delivered to
any common or contract carrier for transportation or shipment in
interstate or foreign commerce to any person other than a licensed
importer, licensed manufacturer, licensed dealer, or licensed collector,
any package or other container in which there is any firearm or
ammunition without written notice to the carrier that such firearm or
ammunition is being transported or shipped: Provided, That any passenger
who owns or legally possesses a firearm or ammunition being transported
aboard any common or contract carrier for movement with the passenger in
interstate or foreign commerce may deliver said firearm or ammunition
into the custody of the pilot, captain, conductor or operator of such
common or contract carrier for the duration of that trip without
violating any provision of this part.
(b) No common or contract carrier shall require or cause any label,
tag, or other written notice to be placed on the outside of any package,
luggage, or other container indicating that such package, luggage, or
other container contains a firearm.
(c) No common or contract carrier shall transport or deliver in
interstate or foreign commerce any firearm or ammunition with knowledge
or reasonable cause to believe that the shipment, transportation, or
receipt thereof would be in violation of any provision of this part:
Provided, however, That the provisions of this paragraph shall not apply
in respect to the transportation of firearms or ammunition in in-bond
shipment under Customs laws and regulations.
(d) No common or contract carrier shall knowingly deliver in
interstate or foreign commerce any firearm without obtaining written
acknowledgement of receipt from the recipient of the package or other
container in which there is a firearm: Provided, That this paragraph
shall not apply with respect to the return of a firearm to a passenger
who places firearms in the carrier's custody for the duration of the
trip.
[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16385, Apr. 15, 1975,
and amended by T.D. ATF-354, 59 FR 7112, Feb. 14, 1994; T.D. ATF-361, 60
FR 10786, Feb. 27, 1995]
Sec. 478.32 Prohibited shipment, transportation, possession, or receipt
of firearms and ammunition by certain persons.
(a) No person may ship or transport any firearm or ammunition in
interstate or foreign commerce, or receive any firearm or ammunition
which has been shipped or transported in interstate or foreign commerce,
or possess any firearm or ammunition in or affecting commerce, who:
[[Page 34]]
(1) Has been convicted in any court of a crime punishable by
imprisonment for a term exceeding 1 year,
(2) Is a fugitive from justice,
(3) Is an unlawful user of or addicted to any controlled substance
(as defined in section 102 of the Controlled Substances Act, 21 U.S.C.
802),
(4) Has been adjudicated as a mental defective or has been committed
to a mental institution,
(5) Being an alien--
(i) Is illegally or unlawfully in the United States; or
(ii) Except as provided in paragraph (f) of this section, has been
admitted to the United States under a nonimmigrant visa: Provided, That
the provisions of this paragraph (a)(5)(ii) do not apply to any alien
who has been lawfully admitted to the United States under a nonimmigrant
visa, if that alien is--
(A) Admitted to the United States for lawful hunting or sporting
purposes or is in possession of a hunting license or permit lawfully
issued in the United States;
(B) An official representative of a foreign government who is either
accredited to the United States Government or the Government's mission
to an international organization having its headquarters in the United
States or is en route to or from another country to which that alien is
accredited. This exception only applies if the firearm or ammunition is
shipped, transported, possessed, or received in the representative's
official capacity;
(C) An official of a foreign government or a distinguished foreign
visitor who has been so designated by the Department of State. This
exception only applies if the firearm or ammunition is shipped,
transported, possessed, or received in the official's or visitor's
official capacity, except if the visitor is a private individual who
does not have an official capacity; or
(D) A foreign law enforcement officer of a friendly foreign
government entering the United States on official law enforcement
business,
(6) Has been discharged from the Armed Forces under dishonorable
conditions,
(7) Having been a citizen of the United States, has renounced
citizenship,
(8) Is subject to a court order that--
(i) Was issued after a hearing of which such person received actual
notice, and at which such person had an opportunity to participate;
(ii) Restrains such person from harassing, stalking, or threatening
an intimate partner of such person or child of such intimate partner or
person, or engaging in other conduct that would place an intimate
partner in reasonable fear of bodily injury to the partner or child; and
(iii)(A) Includes a finding that such person represents a credible
threat to the physical safety of such intimate partner or child; or
(B) By its terms explicitly prohibits the use, attempted use, or
threatened use of physical force against such intimate partner or child
that would reasonably be expected to cause bodily injury, or
(9) Has been convicted of a misdemeanor crime of domestic violence.
(b) No person who is under indictment for a crime punishable by
imprisonment for a term exceeding one year may ship or transport any
firearm or ammunition in interstate or foreign commerce or receive any
firearm or ammunition which has been shipped or transported in
interstate or foreign commerce.
(c) Any individual, who to that individual's knowledge and while
being employed by any person described in paragraph (a) of this section,
may not in the course of such employment receive, possess, or transport
any firearm or ammunition in commerce or affecting commerce or receive
any firearm or ammunition which has been shipped or transported in
interstate or foreign commerce.
(d) No person may sell or otherwise dispose of any firearm or
ammunition to any person knowing or having reasonable cause to believe
that such person:
(1) Is under indictment for, or has been convicted in any court of,
a crime punishable by imprisonment for a term exceeding 1 year,
(2) Is a fugitive from justice,
[[Page 35]]
(3) Is an unlawful user of or addicted to any controlled substance
(as defined in section 102 of the Controlled Substances Act, 21 U.S.C.
802),
(4) Has been adjudicated as a mental defective or has been committed
to a mental institution,
(5) Being an alien--
(i) Is illegally or unlawfully in the United States; or
(ii) Except as provided in paragraph (f) of this section, has been
admitted to the United States under a nonimmigrant visa: Provided, That
the provisions of this paragraph (d)(5)(ii) do not apply to any alien
who has been lawfully admitted to the United States under a nonimmigrant
visa, if that alien is--
(A) Admitted to the United States for lawful hunting or sporting
purposes or is in possession of a hunting license or permit lawfully
issued in the United States;
(B) An official representative of a foreign government who is either
accredited to the United States Government or the Government's mission
to an international organization having its headquarters in the United
States or en route to or from another country to which that alien is
accredited. This exception only applies if the firearm or ammunition is
shipped, transported, possessed, or received in the representative's
official capacity;
(C) An official of a foreign government or a distinguished foreign
visitor who has been so designated by the Department of State. This
exception only applies if the firearm or ammunition is shipped,
transported, possessed, or received in the official's or visitor's
official capacity, except if the visitor is a private individual who
does not have an official capacity; or
(D) A foreign law enforcement officer of a friendly foreign
government entering the United States on official law enforcement
business,
(6) Has been discharged from the Armed Forces under dishonorable
conditions,
(7) Having been a citizen of the United States, has renounced
citizenship,
(8) Is subject to a court order that restrains such person from
harassing, stalking, or threatening an intimate partner of such person
or child of such intimate partner or person, or engaging in other
conduct that would place an intimate partner in reasonable fear of
bodily injury to the partner or child: Provided, That the provisions of
this paragraph shall only apply to a court order that--
(i) Was issued after a hearing of which such person received actual
notice, and at which such person had the opportunity to participate; and
(ii)(A) Includes a finding that such person represents a credible
threat to the physical safety of such intimate partner or child; or
(B) By its terms explicitly prohibits the use, attempted use, or
threatened use of physical force against such intimate partner or child
that would reasonably be expected to cause bodily injury, or
(9) Has been convicted of a misdemeanor crime of domestic violence.
(e) The actual notice required by paragraphs (a)(8)(i) and (d)(8)(i)
of this section is notice expressly and actually given, and brought home
to the party directly, including service of process personally served on
the party and service by mail. Actual notice also includes proof of
facts and circumstances that raise the inference that the party received
notice including, but not limited to, proof that notice was left at the
party's dwelling house or usual place of abode with some person of
suitable age and discretion residing therein; or proof that the party
signed a return receipt for a hearing notice which had been mailed to
the party. It does not include notice published in a newspaper.
(f) Pursuant to 18 U.S.C. 922(y)(3), any individual who has been
admitted to the United States under a nonimmigrant visa may receive a
waiver from the prohibition contained in paragraph (a)(5)(ii) of this
section if the Attorney General approves a petition for the waiver.
[T.D. ATF-270, 53 FR 10493, Mar. 31, 1988, as amended by T.D. ATF-363,
60 FR 17451, Apr. 6, 1995; T.D. ATF-391, 62 FR 34639, June 27, 1997;
T.D. ATF-401, 63 FR 35522, June 30, 1998; T.D. ATF-471, 67 FR 5425, Feb.
5, 2002; T.D. ATF-24F, 77 FR 33629, June 7, 2012]
[[Page 36]]
Sec. 478.33 Stolen firearms and ammunition.
No person shall transport or ship in interstate or foreign commerce
any stolen firearm or stolen ammunition knowing or having reasonable
cause to believe that the firearm or ammunition was stolen, and no
person shall receive, possess, conceal, store, barter, sell, or dispose
of any stolen firearm or stolen ammunition, or pledge or accept as
security for a loan any stolen firearm or stolen ammunition, which is
moving as, which is a part of, which constitutes, or which has been
shipped or transported in, interstate or foreign commerce, either before
or after it was stolen, knowing or having reasonable cause to believe
that the firearm or ammunition was stolen.
[T.D. ATF-363, 60 FR 17451, Apr. 6, 1995]
Sec. 478.33a Theft of firearms.
No person shall steal or unlawfully take or carry away from the
person or the premises of a person who is licensed to engage in the
business of importing, manufacturing, or dealing in firearms, any
firearm in the licensee's business inventory that has been shipped or
transported in interstate or foreign commerce.
[T.D. ATF-354, 59 FR 7112, Feb. 14, 1994]
Sec. 478.34 Removed, obliterated, or altered serial number.
No person shall knowingly transport, ship, or receive in interstate
or foreign commerce any firearm which has had the importer's or
manufacturer's serial number removed, obliterated, or altered, or
possess or receive any firearm which has had the importer's or
manufacturer's serial number removed, obliterated, or altered and has,
at any time, been shipped or transported in interstate or foreign
commerce.
[T.D. ATF-313, 56 FR 32508, July 17, 1991]
Sec. 478.35 Skeet, trap, target, and similar shooting activities.
Licensing and recordkeeping requirements, including permissible
alternate records, for skeet, trap, target, and similar organized
activities shall be determined by the Director of Industry Operations on
a case by case basis.
Sec. 478.36 Transfer or possession of machine guns.
No person shall transfer or possess a machine gun except:
(a) A transfer to or by, or possession by or under the authority of,
the United States, or any department or agency thereof, or a State, or a
department, agency, or political subdivision thereof. (See Part 479 of
this chapter); or
(b) Any lawful transfer or lawful possession of a machine gun that
was lawfully possessed before May 19, 1986 (See Part 479 of this
chapter).
[T.D. ATF-270, 53 FR 10494, Mar. 31, 1988]
Sec. 478.37 Manufacture, importation and sale of armor piercing
ammunition.
No person shall manufacture or import, and no manufacturer or
importer shall sell or deliver, armor piercing ammunition, except:
(a) The manufacture or importation, or the sale or delivery by any
manufacturer or importer, of armor piercing ammunition for the use of
the United States or any department or agency thereof or any State or
any department, agency or political subdivision thereof;
(b) The manufacture, or the sale or delivery by a manufacturer or
importer, of armor piercing ammunition for the purpose of exportation;
or
(c) The sale or delivery by a manufacturer or importer of armor
piercing ammunition for the purposes of testing or experimentation as
authorized by the Director under the provisions of Sec. 478.149.
[T.D. ATF-270, 53 FR 10494, Mar. 31, 1988]
Sec. 478.38 Transportation of firearms.
Notwithstanding any other provision of any law or any rule or
regulation of a State or any political subdivision thereof, any person
who is not otherwise prohibited by this chapter from transporting,
shipping, or receiving a firearm shall be entitled to transport a
firearm for any lawful purpose from any place where such person may
lawfully possess and carry such firearm to any other place where such
person may lawfully possess and carry such firearm
[[Page 37]]
if, during such transportation the firearm is unloaded, and neither the
firearm nor any ammunition being transported is readily accessible or is
directly accessible from the passenger compartment of such transporting
vehicle: Provided, That in the case of a vehicle without a compartment
separate from the driver's compartment the firearm or ammunition shall
be contained in a locked container other than the glove compartment or
console.
[T.D. ATF-270, 53 FR 10494, Mar. 31, 1988]
Sec. 478.39 Assembly of semiautomatic rifles or shotguns.
(a) No person shall assemble a semiautomatic rifle or any shotgun
using more than 10 of the imported parts listed in paragraph (c) of this
section if the assembled firearm is prohibited from importation under
section 925(d)(3) as not being particularly suitable for or readily
adaptable to sporting purposes.
(b) The provisions of this section shall not apply to:
(1) The assembly of such rifle or shotgun for sale or distribution
by a licensed manufacturer to the United States or any department or
agency thereof or to any State or any department, agency, or political
subdivision thereof; or
(2) The assembly of such rifle or shotgun for the purposes of
testing or experimentation authorized by the Director under the
provisions of Sec. 478.151; or
(3) The repair of any rifle or shotgun which had been imported into
or assembled in the United States prior to November 30, 1990, or the
replacement of any part of such firearm.
(c) For purposes of this section, the term imported parts are:
(1) Frames, receivers, receiver castings, forgings or stampings
(2) Barrels
(3) Barrel extensions
(4) Mounting blocks (trunions)
(5) Muzzle attachments
(6) Bolts
(7) Bolt carriers
(8) Operating rods
(9) Gas pistons
(10) Trigger housings
(11) Triggers
(12) Hammers
(13) Sears
(14) Disconnectors
(15) Buttstocks
(16) Pistol grips
(17) Forearms, handguards
(18) Magazine bodies
(19) Followers
(20) Floorplates
[T.D. ATF-346, 58 FR 40589, July 29, 1993]
Sec. 478.39a Reporting theft or loss of firearms.
(a)(1) Each licensee shall report the theft or loss of a firearm
from the licensee's inventory (including any firearm which has been
transferred from the licensee's inventory to a personal collection and
held as a personal firearm for at least 1 year), or from the collection
of a licensed collector, within 48 hours after the theft or loss is
discovered.
(2) When a firearm is stolen or lost in transit on a common or
contract carrier (which for purposes of this paragraph includes the U.S.
Postal Service), it is considered stolen or lost from the transferor/
sender licensee's inventory for reporting purposes. Therefore, the
transferor/sender of the stolen or lost firearm shall report the theft
or loss of the firearm within 48 hours after the transferor/sender
discovers the theft or loss.
(b) Each licensee shall report the theft or loss by telephoning ATF
at 1-888-930-9275 (nationwide toll-free number), and by preparing and
submitting to ATF a Federal Firearms Licensee Theft/Loss Report, ATF
Form 3310.11, in accordance with the instructions on the form. The
original of the report shall be retained by the licensee as part of the
licensee's required records.
(c) When a licensee submits to ATF a Federal Firearms Licensee
Theft/Loss Report, ATF Form 3310.11, for the theft or loss of a firearm
registered under the National Firearms Act, this report also satisfies
the notification requirement under Sec. 479.141 of this chapter.
(d) Theft or loss of any firearm shall also be reported to the
appropriate local authorities. If the location of the theft or loss is
known, the local law enforcement agency at that location would be the
appropriate local authority. Otherwise, the report should be made to the
local law enforcement authorities at the licensee's location or business
premises.
[[Page 38]]
(e) Licensees shall reflect the theft or loss of a firearm as a
disposition entry in the Record of Acquisition and Disposition required
by subpart H of this part not later than 7 days following discovery of
the theft or loss. The disposition entry shall record whether the
incident is a theft or loss, the ATF-Issued Incident Number, and the
Incident Number provided by the local law enforcement agency.
(f) Licensees who report the theft or loss of a firearm and later
discover its whereabouts shall advise ATF at 1-888-930-9275 (nationwide
toll-free number) that the firearm has been located, and shall re-enter
the firearm in the Record of Acquisition and Disposition as an
acquisition or disposition entry as appropriate.
[ATF 40F, 81 FR 1318, Jan. 12, 2016]
Sec. 478.40 Manufacture, transfer, and possession of semiautomatic
assault weapons.
(a) Prohibition. No person shall manufacture, transfer, or possess a
semiautomatic assault weapon.
(b) Exceptions. The provisions of paragraph (a) of this section
shall not apply to:
(1) The possession or transfer of any semiautomatic assault weapon
otherwise lawfully possessed in the United States under Federal law on
September 13, 1994;
(2) Any of the firearms, or replicas or duplicates of the firearms,
specified in 18 U.S.C. 922, appendix A, as such firearms existed on
October 1, 1993;
(3) Any firearm that--
(i) Is manually operated by bolt, pump, lever, or slide action;
(ii) Has been rendered permanently inoperable; or
(iii) Is an antique firearm;
(4) Any semiautomatic rifle that cannot accept a detachable magazine
that holds more than 5 rounds of ammunition;
(5) Any semiautomatic shotgun that cannot hold more than 5 rounds of
ammunition in a fixed or detachable magazine;
(6) The manufacture for, transfer to, or possession by the United
States or a department or agency of the United States or a State or a
department, agency, or political subdivision of a State, or a transfer
to or possession by a law enforcement officer employed by such an entity
for purposes of law enforcement;
(7) The transfer to a licensee under title I of the Atomic Energy
Act of 1954 (42 U.S.C. 2011 et seq.) for purposes of establishing and
maintaining an on-site physical protection system and security
organization required by Federal law, or possession by an employee or
contractor of such licensee on-site for such purposes or off-site for
purposes of licensee-authorized training or transportation of nuclear
materials;
(8) The possession, by an individual who is retired from service
with a law enforcement agency and is not otherwise prohibited from
receiving a firearm, of a semiautomatic assault weapon transferred to
the individual by the agency upon such retirement;
(9) The manufacture, transfer, or possession of a semiautomatic
assault weapon by a licensed manufacturer or licensed importer for the
purposes of testing or experimentation as authorized by the Director
under the provisions of Sec. 478.153; or
(10) The manufacture, transfer, or possession of a semiautomatic
assault weapon by a licensed manufacturer, licensed importer, or
licensed dealer for the purpose of exportation in compliance with the
Arms Export Control Act (22 U.S.C. 2778).
(c) Manufacture and dealing in semiautomatic assault weapons.
Subject to compliance with the provisions of this part, licensed
manufacturers and licensed dealers in semiautomatic assault weapons may
manufacture and deal in such weapons manufactured after September 13,
1994: Provided, The licensee obtains evidence that the weapons will be
disposed of in accordance with paragraph (b) of this section. Examples
of acceptable evidence include the following:
(1) Contracts between the manufacturer and dealers stating that the
weapons may only be sold to law enforcement agencies, law enforcement
officers, or other purchasers specified in paragraph (b) of this
section;
(2) Copies of purchase orders submitted to the manufacturer or
dealer by law enforcement agencies or other
[[Page 39]]
purchasers specified in paragraph (b) of this section;
(3) Copies of letters submitted to the manufacturer or dealer by
government agencies, law enforcement officers, or other purchasers
specified in paragraph (b) of this section expressing an interest in
purchasing the semiautomatic assault weapons;
(4) Letters from dealers to the manufacturer stating that sales will
only be made to law enforcement agencies, law enforcement officers, or
other purchasers specified in paragraph (b) of this section; and
(5) Letters from law enforcement officers purchasing in accordance
with paragraph (b)(6) of this section and Sec. 478.132.
(Paragraph (c) approved by the Office of Management and Budget under
control number 1140-0041)
[T.D. ATF-363, 60 FR 17451, Apr. 6, 1995], as amended by T.D. ATF-11F,
73 FR 57240, Oct. 2, 2008]
Sec. 478.40a Transfer and possession of large capacity ammunition
feeding devices.
(a) Prohibition. No person shall transfer or possess a large
capacity ammunition feeding device.
(b) Exceptions. The provisions of paragraph (a) of this section
shall not apply to:
(1) The possession or transfer of any large capacity ammunition
feeding device otherwise lawfully possessed on September 13, 1994;
(2) The manufacture for, transfer to, or possession by the United
States or a department or agency of the United States or a State or a
department, agency, or political subdivision of a State, or a transfer
to or possession by a law enforcement officer employed by such an entity
for purposes of law enforcement;
(3) The transfer to a licensee under title I of the Atomic Energy
Act of 1954 for purposes of establishing and maintaining an on-site
physical protection system and security organization required by Federal
law, or possession by an employee or contractor of such licensee on-site
for such purposes or off-site for purposes of licensee-authorized
training or transportation of nuclear materials;
(4) The possession, by an individual who is retired from service
with a law enforcement agency and is not otherwise prohibited from
receiving ammunition, of a large capacity ammunition feeding device
transferred to the individual by the agency upon such retirement;
(5) The manufacture, transfer, or possession of any large capacity
ammunition feeding device by a manufacturer or importer for the purposes
of testing or experimentation in accordance with Sec. 478.153; or
(6) The manufacture, transfer, or possession of any large capacity
ammunition feeding device by a manufacturer or importer for the purpose
of exportation in accordance with the Arms Export Control Act (22 U.S.C.
2778).
(c) Importation, manufacture, and dealing in large capacity
ammunition feeding devices. Possession and transfer of large capacity
ammunition feeding devices by persons who manufacture, import, or deal
in such devices will be presumed to be lawful if such persons maintain
evidence establishing that the devices are possessed and transferred for
sale to purchasers specified in paragraph (b) of this section. Examples
of acceptable evidence include the following:
(1) Contracts between persons who import or manufacture such devices
and persons who deal in such devices stating that the devices may only
be sold to law enforcement agencies or other purchasers specified in
paragraph (b) of this section;
(2) Copies of purchase orders submitted to persons who manufacture,
import, or deal in such devices by law enforcement agencies or other
purchasers specified in paragraph (b) of this section;
(3) Copies of letters submitted to persons who manufacture, import,
or deal in such devices by government agencies or other purchasers
specified in paragraph (b) of this section expressing an interest in
purchasing the devices;
(4) Letters from persons who deal in such devices to persons who
import or manufacture such devices stating that sales will only be made
to law enforcement agencies or other purchasers specified in paragraph
(b) of this section; and
[[Page 40]]
(5) Letters from law enforcement officers purchasing in accordance
with paragraph (b)(2) of this section and Sec. 478.132.
(Paragraph (c) approved by the Office of Management and Budget under
control number 1140-0041)
[T.D. ATF-363, 60 FR 17452, Apr. 6, 1995, as amended by T.D. ATF-383, 61
FR 39321, July 29, 1996; T.D. ATF-11F, 73 FR 57240, Oct. 2, 2008]
Subpart D_Licenses
Sec. 478.41 General.
(a) Each person intending to engage in business as an importer or
manufacturer of firearms or ammunition, or a dealer in firearms shall,
before commencing such business, obtain the license required by this
subpart for the business to be operated. Each person who desires to
obtain a license as a collector of curios or relics may obtain such a
license under the provisions of this subpart.
(b) Each person intending to engage in business as a firearms or
ammunition importer or manufacturer, or dealer in firearms shall file an
application, with the required fee (see Sec. 478.42), with ATF in
accordance with the instructions on the form (see Sec. 478.44), and,
pursuant to Sec. 478.47, receive the license required for such business
from the Chief, Federal Firearms Licensing Center. Except as provided in
Sec. 478.50, a license must be obtained for each business and each
place at which the applicant is to do business. A license as an importer
or manufacturer of firearms or ammunition, or a dealer in firearms
shall, subject to the provisions of the Act and other applicable
provisions of law, entitle the licensee to transport, ship, and receive
firearms and ammunition covered by such license in interstate or foreign
commerce and to engage in the business specified by the license, at the
location described on the license, and for the period stated on the
license. However, it shall not be necessary for a licensed importer or a
licensed manufacturer to also obtain a dealer's license in order to
engage in business on the licensed premises as a dealer in the same type
of firearms authorized by the license to be imported or manufactured.
Payment of the license fee as an importer or manufacturer of destructive
devices, ammunition for destructive devices or armor piercing ammunition
or as a dealer in destructive devices includes the privilege of
importing or manufacturing firearms other than destructive devices and
ammunition for other than destructive devices or ammunition other than
armor piercing ammunition, or dealing in firearms other than destructive
devices, as the case may be, by such a licensee at the licensed
premises.
(c) Each person seeking the privileges of a collector licensed under
this part shall file an application, with the required fee (see Sec.
478.42), with ATF in accordance with the instructions on the form (see
Sec. 478.44), and pursuant to Sec. 478.47, receive from the Chief,
Federal Firearms Licensing Center, the license covering the collection
of curios and relics. A separate license may be obtained for each
collection premises, and such license shall, subject to the provisions
of the Act and other applicable provisions of law, entitle the licensee
to transport, ship, receive, and acquire curios and relics in interstate
or foreign commerce, and to make disposition of curios and relics in
interstate or foreign commerce, to any other person licensed under the
provisions of this part, for the period stated on the license.
(d) The collector license provided by this part shall apply only to
transactions related to a collector's activity in acquiring, holding or
disposing of curios and relics. A collector's license does not authorize
the collector to engage in a business required to be licensed under the
Act or this part. Therefore, if the acquisitions and dispositions of
curios and relics by a collector bring the collector within the
definition of a manufacturer, importer, or dealer under this part, he
shall qualify as such. (See also Sec. 478.93 of this part.)
(18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 Stat. 1226))
[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-270, 53 FR 10494, Mar. 31, 1988; T.D. ATF-290,
54 FR 53054, Dec. 27, 1989]
[[Page 41]]
Sec. 478.42 License fees.
Each applicant shall pay a fee for obtaining a firearms license or
ammunition license, a separate fee being required for each business or
collecting activity at each place of such business or activity, as
follows:
(a) For a manufacturer:
(1) Of destructive devices, ammunition for destructive devices or
armor piercing ammunition--$1,000 per year.
(2) Of firearms other than destructive devices--$50 per year.
(3) Of ammunition for firearms other than ammunition for destructive
devices or armor piercing ammunition--$10 per year.
(b) For an importer:
(1) Of destructive devices, ammunition for destructive devices or
armor piercing ammunition--$1,000 per year.
(2) Of firearms other than destructive devices or ammunition for
firearms other than destructive devices or ammunition other than armor
piercing ammunition--$50 per year.
(c) For a dealer:
(1) In destructive devices--$1,000 per year.
(2) Who is not a dealer in destructive devices--$200 for 3 years,
except that the fee for renewal of a valid license shall be $90 for 3
years.
(d) For a collector of curios and relics--$10 per year.
[T.D. ATF-270, 53 FR 10494, Mar. 31, 1988, as amended by T.D. ATF-354,
59 FR 7112, Feb. 14, 1994]
Sec. 478.43 License fee not refundable.
No refund of any part of the amount paid as a license fee shall be
made where the operations of the licensee are, for any reason,
discontinued during the period of an issued license. However, the
license fee submitted with an application for a license shall be
refunded if that application is denied or withdrawn by the applicant
prior to being acted upon.
[T.D. ATF-270, 53 FR 10494, Mar. 31, 1988]
Sec. 478.44 Original license.
(a)(1) Any person who intends to engage in business as a firearms or
ammunition importer or manufacturer, or firearms dealer, or who has not
previously been licensed under the provisions of this part to so engage
in business, or who has not timely submitted an application for renewal
of the previous license issued under this part, must file an application
for license, ATF Form 7 (Firearms), in duplicate, with ATF in accordance
with the instructions on the form. The application must:
(i) Be executed under the penalties of perjury and the penalties
imposed by 18 U.S.C. 924;
(ii) Include a photograph and fingerprints as required in the
instructions on the form;
(iii) If the applicant (including, in the case of a corporation,
partnership, or association, any individual possessing, directly or
indirectly, the power to direct or cause the direction of the management
and policies of the corporation, partnership, or association) is an
alien who has been admitted to the United States under a nonimmigrant
visa, applicable documentation demonstrating that the alien falls within
an exception specified in 18 U.S.C. 922(y)(2) (e.g., a hunting license
or permit lawfully issued in the United States) or has obtained a waiver
as specified in 18 U.S.C. 922(y)(3); and
(iv) Include the appropriate fee in the form of money order or check
made payable to the ``Bureau of Alcohol, Tobacco, Firearms, and
Explosives''.
(2) ATF Form 7 may be obtained by contacting the ATF Distribution
Center (See Sec. 478.21).
(b) Any person who desires to obtain a license as a collector under
the Act and this part, or who has not timely submitted an application
for renewal of the previous license issued under this part, shall file
an application, ATF Form 7CR (Curios and Relics), with ATF in accordance
with the instructions on the form. If the applicant (including, in the
case of a corporation, partnership, or association, any individual
possessing, directly or indirectly, the power to direct or cause the
direction of the management and policies of the corporation,
partnership, or association) is an alien who has been admitted to the
United States under a nonimmigrant visa, the application must include
applicable documentation demonstrating that the alien falls within an
exception specified in 18
[[Page 42]]
U.S.C. 922(y)(2) (e.g., a hunting license or permit lawfully issued in
the United States) or has obtained a waiver as specified in 18 U.S.C.
922(y)(3). The application must be executed under the penalties of
perjury and the penalties imposed by 18 U.S.C. 924. The application
shall include the appropriate fee in the form of a money order or check
made payable to the Bureau of Alcohol, Tobacco, Firearms, and
Explosives. ATF Form 7CR (Curios and Relics) may be obtained by
contacting the ATF Distribution Center (See Sec. 478.21).
(Paragraphs (a) and (b) approved by the Office of Management and Budget
under control number 1140-0060)
[T.D. ATF-363, 60 FR 17453, Apr. 6, 1995, as amended by T.D. ATF-471, 67
FR 5425, Feb. 5, 2002; T.D. ATF-11F, 73 FR 57240, Oct. 2, 2008; T.D.
ATF-24F, 77 FR 33629, June 7, 2012]
Sec. 478.45 Renewal of license.
If a licensee intends to continue the business or activity described
on a license issued under this part during any portion of the ensuing
year, the licensee shall, unless otherwise notified in writing by the
Chief, Federal Firearms Licensing Center, execute and file with ATF
prior to the expiration of the license an application for a license
renewal, ATF Form 8 Part II, in accordance with the instructions on the
form, and the required fee. If the applicant is an alien who has been
admitted to the United States under a nonimmigrant visa, the application
must include applicable documentation demonstrating that the alien falls
within an exception specified in 18 U.S.C. 922(y)(2) (e.g., a hunting
license or permit lawfully issued in the United States) or has obtained
a waiver as specified in 18 U.S.C. 922(y)(3). The Chief, Federal
Firearms Licensing Center may, in writing, require the applicant for
license renewal to also file completed ATF Form 7 or ATF Form 7CR in the
manner required by Sec. 478.44. In the event the licensee does not
timely file an ATF Form 8 Part II, the licensee must file an ATF Form 7
or ATF Form 7CR as required by Sec. 478.44, and obtain the required
license before continuing business or collecting activity. If an ATF
Form 8 Part II is not timely received through the mails, the licensee
should so notify the Chief, Federal Firearms Licensing Center.
(Approved by the Office of Management and Budget under control number
1140-0060)
[ATF-11, 73 FR 57241, Oct. 2, 2008, as amended by T.D. ATF-24F, 77 FR
33629, June 7, 2012]
Sec. 478.46 Insufficient fee.
If an application is filed with an insufficient fee, the application
and any fee submitted will be returned to the applicant.
(18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 Stat. 1226))
[T.D. ATF-200, 50 FR 10498, Mar. 15, 1985]
Sec. 478.47 Issuance of license.
(a) Upon receipt of a properly executed application for a license on
ATF Form 7, ATF Form 7CR, or ATF Form 8 Part II, the Chief, Federal
Firearms Licensing Center, shall, upon finding through further inquiry
or investigation, or otherwise, that the applicant is qualified, issue
the appropriate license. Each license shall bear a serial number and
such number may be assigned to the licensee to whom issued for so long
as the licensee maintains continuity of renewal in the same location
(State).
(b) The Chief, Federal Firearms Licensing Center, shall approve a
properly executed application for license on ATF Form 7, ATF Form 7CR,
or ATF Form 8 Part II, if:
(1) The applicant is 21 years of age or over;
(2) The applicant (including, in the case of a corporation,
partnership, or association, any individual possessing, directly or
indirectly, the power to direct or cause the direction of the management
and policies of the corporation, partnership, or association) is not
prohibited under the provisions of the Act from shipping or transporting
in interstate or foreign commerce, or possessing in or affecting
commerce, any firearm or ammunition, or from receiving any firearm or
ammunition which has been shipped or transported in interstate or
foreign commerce;
(3) The applicant has not willfully violated any of the provisions
of the Act or this part;
(4) The applicant has not willfully failed to disclose any material
information required, or has not made any
[[Page 43]]
false statement as to any material fact, in connection with his
application; and
(5) The applicant has in a State (i) premises from which he conducts
business subject to license under the Act or from which he intends to
conduct such business within a reasonable period of time, or (ii) in the
case of a collector, premises from which he conducts his collecting
subject to license under the Act or from which he intends to conduct
such collecting within a reasonable period of time.
(c) The Chief, Federal Firearms Licensing Center, shall approve or
the Director of Industry Operations shall deny an application for a
license within the 60-day period beginning on the date the properly
executed application was received: Provided, That when an applicant for
license renewal is a person who is, pursuant to the provisions of Sec.
478.78, Sec. 478.143, or Sec. 478.144, conducting business or
collecting activity under a previously issued license, action regarding
the application will be held in abeyance pending the completion of the
proceedings against the applicant's existing license or license
application, final determination of the applicant's criminal case, or
final action by the Director on an application for relief submitted
pursuant to Sec. 478.144, as the case may be.
(d) When the Director of Industry Operations or the Chief, Federal
Firearms Licensing Center fails to act on an application for a license
within the 60-day period prescribed by paragraph (c) of this section,
the applicant may file an action under section 1361 of title 28, United
States Code, to compel ATF to act upon the application.
(18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 Stat. 1226))
[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-135, 48 FR 24068, May 31, 1983; T.D. ATF-241, 51
FR 39619, Oct. 29, 1986; T.D. ATF-270, 53 FR 10495, Mar. 31, 1988; T.D.
ATF-290, 54 FR 53054, Dec. 27, 1989; T.D. ATF-363, 60 FR 17453, Apr. 6,
1995; T.D. ATF-11F, 73 FR 57241, Oct. 2, 2008]
Sec. 478.48 Correction of error on license.
(a) Upon receipt of a license issued under the provisions of this
part, each licensee shall examine same to ensure that the information
contained thereon is accurate. If the license is incorrect, the licensee
shall return the license to the Chief, Federal Firearms Licensing
Center, with a statement showing the nature of the error. The Chief,
Federal Firearms Licensing Center, shall correct the error, if the error
was made in his office, and return the license. However, if the error
resulted from information contained in the licensee's application for
the license, the Chief, Federal Firearms Licensing Center, shall require
the licensee to file an amended application setting forth the correct
information and a statement explaining the error contained in the
application. Upon receipt of the amended application and a satisfactory
explanation of the error, the Chief, Federal Firearms Licensing Center,
shall make the correction on the license and return same to the
licensee.
(b) When the Chief, Federal Firearms Licensing Center, finds through
any means other than notice from the licensee that an incorrect license
has been issued, the Chief, Federal Firearms Licensing Center, may
require the holder of the incorrect license to (1) return the license
for correction, and (2) if the error resulted from information contained
in the licensee's application for the license, the Chief, Federal
Firearms Licensing Center, shall require the licensee to file an amended
application setting forth the correct information, and a statement
explaining the error contained in the application. The Chief, Federal
Firearms Licensing Center, then shall make the correction on the license
and return same to the licensee.
[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-290, 54 FR 53054, Dec. 27, 1989]
Sec. 478.49 Duration of license.
The license entitles the person to whom issued to engage in the
business or activity specified on the license, within the limitations of
the Act and the regulations contained in this part, for a three year
period, unless terminated sooner.
[T.D. ATF-270, 53 FR 10495, Mar. 31, 1988]
[[Page 44]]
Sec. 478.50 Locations covered by license.
The license covers the class of business or the activity specified
in the license at the address specified therein. A separate license must
be obtained for each location at which a firearms or ammunition business
or activity requiring a license under this part is conducted except:
(a) No license is required to cover a separate warehouse used by the
licensee solely for storage of firearms or ammunition if the records
required by this part are maintained at the licensed premises served by
such warehouse;
(b) A licensed collector may acquire curios and relics at any
location, and dispose of curios or relics to any licensee or to other
persons who are residents of the State where the collector's license is
held and the disposition is made;
(c) A licensee may conduct business at a gun show pursuant to the
provision of Sec. 478.100; or
(d) A licensed importer, manufacturer, or dealer may engage in the
business of dealing in curio or relic firearms with another licensee at
any location pursuant to the provisions of Sec. 478.100.
[T.D. ATF-191, 49 FR 46890, Nov. 29, 1984, as amended by T.D. ATF-401,
63 FR 35523, June 30, 1998]
Sec. 478.51 License not transferable.
Licenses issued under this part are not transferable. In the event
of the lease, sale, or other transfer of the operations authorized by
the license, the successor must obtain the license required by this part
prior to commencing such operations. However, for rules on right of
succession, see Sec. 478.56.
Sec. 478.52 Change of address.
(a) Licensees may during the term of their current license remove
their business or activity to a new location at which they intend
regularly to carry on such business or activity by filing an Application
for an Amended Federal Firearms License, ATF Form 5300.38, in duplicate,
not less than 30 days prior to such removal with the Chief, Federal
Firearms Licensing Center. The ATF Form 5300.38 shall be completed in
accordance with the instructions on the form. The application must be
executed under the penalties of perjury and penalties imposed by 18
U.S.C. 924. The application shall be accompanied by the licensee's
original license. The Chief, Federal Firearms Licensing Center Center,
may, in writing, require the applicant for an amended license to also
file completed ATF Form 7 or ATF Form 7CR, or portions thereof, in the
manner required by Sec. 478.44.
(b) Upon receipt of a properly executed application for an amended
license, the Chief, Federal Firearms Licensing Center, shall, upon
finding through further inquiry or investigation, or otherwise, that the
applicant is qualified at the new location, issue the amended license,
and return it to the applicant. The license shall be valid for the
remainder of the term of the original license. The Chief, Federal
Firearms Licensing Center, shall, if the applicant is not qualified,
refer the application for amended license to the Director of Industry
Operations for denial in accordance with Sec. 478.71.
(Approved by the Office of Management and Budget under control number
1140-0040)
[T.D. ATF-363, 60 FR 17453, Apr. 6, 1995, as amended by T.D. ATF-11F, 73
FR 57241, Oct. 2, 2008]
Sec. 478.53 Change in trade name.
A licensee continuing to conduct business at the location shown on
his license is not required to obtain a new license by reason of a mere
change in trade name under which he conducts his business: Provided,
That such licensee furnishes his license for endorsement of such change
to the Chief, Federal Firearms Licensing Center within 30 days from the
date the licensee begins his business under the new trade name.
[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979; T.D. ATF-290,
54 FR 53055, Dec. 27, 1989]
Sec. 478.54 Change of control.
In the case of a corporation or association holding a license under
this part, if actual or legal control of the corporation or association
changes, directly or indirectly, whether by reason
[[Page 45]]
of change in stock ownership or control (in the licensed corporation or
in any other corporation), by operations of law, or in any other manner,
the licensee shall, within 30 days of such change, give written
notification thereof, executed under the penalties of perjury, to the
Chief, Federal Firearms Licensing Center. Upon expiration of the
license, the corporation or association must file a Form 7 (Firearms) as
required by Sec. 478.44.
[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-290, 54 FR 53054, Dec. 27, 1989]
Sec. 478.55 Continuing partnerships.
Where, under the laws of the particular State, the partnership is
not terminated on death or insolvency of a partner, but continues until
the winding up of the partnership affairs is completed, and the
surviving partner has the exclusive right to the control and possession
of the partnership assets for the purpose of liquidation and settlement,
such surviving partner may continue to operate the business under the
license of the partnership. If such surviving partner acquires the
business on completion of the settlement of the partnership, he shall
obtain a license in his own name from the date of acquisition, as
provided in Sec. 478.44. The rule set forth in this section shall also
apply where there is more than one surviving partner.
Sec. 478.56 Right of succession by certain persons.
(a) Certain persons other than the licensee may secure the right to
carry on the same firearms or ammunition business at the same address
shown on, and for the remainder of the term of, a current license. Such
persons are:
(1) The surviving spouse or child, or executor, administrator, or
other legal representative of a deceased licensee; and
(2) A receiver or trustee in bankruptcy, or an assignee for benefit
of creditors.
(b) In order to secure the right provided by this section, the
person or persons continuing the business shall furnish the license for
that business for endorsement of such succession to the Chief, Federal
Firearms Licensing Center, within 30 days from the date on which the
successor begins to carry on the business.
[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979; T.D. ATF-290,
54 FR 53055, Dec. 27, 1989; T.D. ATF 2013R-9F, 79 FR 46692, Aug. 11,
2014]
Sec. 478.57 Discontinuance of business.
(a) Where a firearm or ammunition business is either discontinued or
succeeded by a new owner, the owner of the business discontinued or
succeeded shall within 30 days thereof furnish to the Chief, Federal
Firearms Licensing Center notification of the discontinuance or
succession. (See also Sec. 478.127.)
(b) Since section 922(v), Title 18, U.S.C., makes it unlawful to
transfer or possess a semiautomatic assault weapon, except as provided
in the law, any licensed manufacturer, licensed importer, or licensed
dealer intending to discontinue business shall, prior to going out of
business, transfer in compliance with the provisions of this part any
semiautomatic assault weapon manufactured or imported after September
13, 1994, to a person specified in Sec. 478.40(b), or, subject to the
provisions of Sec. Sec. 478.40(c) and 478.132, a licensed manufacturer,
a licensed importer, or a licensed dealer.
(c) Since section 922(w), Title 18, U.S.C., makes it unlawful to
transfer or possess a large capacity ammunition feeding device, except
as provided in the law, any person who manufactures, imports, or deals
in such devices and who intends to discontinue business shall, prior to
going out of business, transfer in compliance with the provisions of
this part any large capacity ammunition feeding device manufactured
after September 13, 1994, to a person specified in Sec. 478.40a(b), or,
subject to the provisions of Sec. Sec. 478.40a(c) and 478.132, a person
who manufactures, imports, or deals in such devices.
[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979; T.D. ATF-290,
54 FR 53055, Dec. 27, 1989; T.D. ATF-363, 60 FR 17453, Apr. 6, 1995;
T.D. ATF-383, 61 FR 39321, July 29, 1996]
[[Page 46]]
Sec. 478.58 State or other law.
A license issued under this part confers no right or privilege to
conduct business or activity contrary to State or other law. The holder
of such a license is not by reason of the rights and privileges granted
by that license immune from punishment for operating a firearm or
ammunition business or activity in violation of the provisions of any
State or other law. Similarly, compliance with the provisions of any
State or other law affords no immunity under Federal law or regulations.
Sec. 478.59 Abandoned application.
Upon receipt of an incomplete or improperly executed application on
ATF form 7 (5310.12), or ATF Form 8 (5310.11) Part II, the applicant
shall be notified of the deficiency in the application. If the
application is not corrected and returned within 30 days following the
date of notification, the application shall be considered as having been
abandoned and the license fee returned.
[T.D. ATF-135, 48 FR 24068, May 31, 1983]
Sec. 478.60 Certain continuances of business.
A licensee who furnishes his license to the Chief, Federal Firearms
Licensing Center for correction or endorsement in compliance with the
provisions contained in this subpart may continue his operations while
awaiting its return.
[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-290, 54 FR 53054, Dec. 27, 1989]
Subpart E_License Proceedings
Sec. 478.71 Denial of an application for license.
Whenever the Director has reason to believe that an applicant is not
qualified to receive a license under the provisions of Sec. 478.47, he
may issue a notice of denial, on Form 4498, to the applicant. The notice
shall set forth the matters of fact and law relied upon in determining
that the application should be denied, and shall afford the applicant 15
days from the date of receipt of the notice in which to request a
hearing to review the denial. If no request for a hearing is filed
within such time, the application shall be disapproved and a copy, so
marked, shall be returned to the applicant.
[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-270, 53 FR 10495, Mar. 31, 1988; ATF-27P, 74 FR
1878, Jan. 14, 2009]
Sec. 478.72 Hearing after application denial.
If the applicant for an original or renewal license desires a
hearing to review the denial of his application, he shall file a request
therefor, in duplicate, with the Director of Industry Operations within
15 days after receipt of the notice of denial. The request should
include a statement of the reasons therefor. On receipt of the request,
the Director of Industry Operations shall, as expeditiously as possible,
make the necessary arrangements for the hearing and advise the applicant
of the date, time, location, and the name of the officer before whom the
hearing will be held. Such notification shall be made not less than 10
days in advance of the date set for the hearing. During the hearing the
applicant will have the opportunity to submit facts and arguments for
review and consideration; offers of settlement will not be entertained
at the hearing but may be made before or after the hearing. On
conclusion of the hearing and consideration of all relevant facts and
circumstances presented by the applicant or his representative, the
Director shall render his decision confirming or reversing the denial of
the application. A copy of the application, marked ``Disapproved,'' will
be returned to the applicant. If the decision is that the license
applied for should be issued, the applicant shall be so notified, in
writing, and the license shall be issued as provided by Sec. 478.47.
[33 FR 18555, Dec. 14, 1968, as amended by ATF-27P, 74 FR 1878, Jan. 14,
2009; T.D. ATF 2013R-9F, 79 FR 46692, Aug. 11, 2014; ATF 2008R-15P; 81
FR 32235, May 23, 2016]
Sec. 478.73 Notice of revocation, suspension, or imposition of
civil fine.
(a) Basis for action. Whenever the Director has reason to believe
that a licensee has willfully violated any provision of the Act or this
part, a notice of revocation of the license, ATF Form
[[Page 47]]
4500, may be issued. In addition, pursuant to 18 U.S.C. 922(t)(5) and 18
U.S.C. 924(p), a notice of revocation, suspension, or imposition of a
civil fine may be issued on ATF Form 4500 whenever the Director has
reason to believe that a licensee has knowingly transferred a firearm to
an unlicensed person and knowingly failed to comply with the
requirements of 18 U.S.C. 922(t)(1) with respect to the transfer and, at
the time that the transferee most recently proposed the transfer, the
national instant criminal background check system was operating and
information was available to the system demonstrating that the
transferee's receipt of a firearm would violate 18 U.S.C. 922(g) or
922(n) or State law; or that a licensee has violated 18 U.S.C. 922(z)(1)
by selling, delivering, or transferring any handgun to any person other
than a licensee, unless the transferee was provided with a secure gun
storage or safety device for that handgun.
(b) Issuance of notice. The notice shall set forth the matters of
fact constituting the violations specified, dates, places, and the
sections of law and regulations violated. The Director shall afford the
licensee 15 days from the date of receipt of the notice in which to
request a hearing prior to suspension or revocation of the license, or
imposition of a civil fine. If the licensee does not file a timely
request for a hearing, the Director shall issue a final notice of
suspension or revocation and/or imposition of a civil fine on ATF Form
5300.13, as provided in Sec. 478.74.
[T.D. ATF-415, 63 FR 58278, Oct. 29, 1998, as amended by T.D. ATF-27P,
74 FR 1878, Jan. 14, 2009; T.D. ATF 2013R-9F, 79 FR 46692, Aug. 11,
2014; ATF 2008R-15P; 81 FR 32235, May 23, 2016]
Sec. 478.74 Request for hearing after notice of suspension, revocation,
or imposition of civil fine.
If a licensee desires a hearing after receipt of a notice of
suspension or revocation of a license, or imposition of a civil fine,
the licensee shall file a request, in duplicate, with the Director of
Industry Operations within 15 days after receipt of the notice of
suspension or revocation of a license, or imposition of a civil fine. On
receipt of such request, the Director of Industry Operations shall, as
expeditiously as possible, make necessary arrangements for the hearing
and advise the licensee of the date, time, location and the name of the
officer before whom the hearing will be held. Such notification shall be
made no less than 10 days in advance of the date set for the hearing. On
conclusion of the hearing and consideration of all the relevant
presentations made by the licensee or the licensee's representative, the
Director shall render a decision and shall prepare a brief summary of
the findings and conclusions on which the decision is based. If the
decision is that the license should be revoked, or, in actions under 18
U.S.C. 922(t)(5) or 924(p), that the license should be revoked or
suspended, or that a civil fine should be imposed, a certified copy of
the summary shall be furnished to the licensee with the final notice of
revocation, suspension, or imposition of a civil fine on ATF Form
5300.13. If the decision is that the license should not be revoked, or
in actions under 18 U.S.C. 922(t)(5) or 924(p), that the license should
not be revoked or suspended, and a civil fine should not be imposed, the
licensee shall be notified in writing. During the hearing the licensee
will have the opportunity to submit facts and arguments for review and
consideration; offers of settlement will not be entertained at the
hearing but may be made before or after the hearing.
[T.D. ATF-415, 63 FR 58278, Oct. 29, 1998, as amended by ATF-27P, 74 FR
1878, Jan. 14, 2009; T.D. ATF 2013R-9F, 79 FR 46692, Aug. 11, 2014; ATF
2008R-15P; 81 FR 32235, May 23, 2016]
Sec. 478.75 Service on applicant or licensee.
All notices and other documents required to be served on an
applicant or licensee under this subpart shall be served by certified
mail or by personal delivery. Where service is by certified mail, a
signed duplicate original copy of the formal document shall be mailed,
with return receipt requested, to the applicant or licensee at the
address stated in his application or license, or at his last known
address. Where service is by personal delivery, a signed duplicate
original copy of the formal document shall be delivered to
[[Page 48]]
the applicant or licensee, or, in the case of a corporation,
partnership, or association, by delivering it to an officer, manager, or
general agent thereof, or to its attorney of record.
[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and further redesignated by T.D. ATF-241, 51 FR 39619, Oct. 29, 1986;
T.D. ATF-270, 53 FR 10496, Mar. 31, 1988]
Sec. 478.76 Representation at a hearing.
An applicant or licensee may be represented by an attorney,
certified public accountant, or other person recognized to practice
before the Bureau of Alcohol, Tobacco, Firearms, and Explosives as
provided in 31 CFR Part 8 (Practice Before the Bureau of Alcohol,
Tobacco and Firearms), if he has otherwise complied with the applicable
requirements of 26 CFR 601.521 through 601.527 (conference and practice
requirements for alcohol, tobacco, and firearms activities) of this
chapter. The Director may be represented in proceedings by an attorney
in the office of Chief Counsel who is authorized to execute and file
motions, briefs and other papers in the proceeding, on behalf of the
Director, in his own name as ``Attorney for the Government.''
[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979; T.D. ATF-92, 46
FR 46916, Sept. 23, 1981. Further redesignated by T.D. ATF-241, 51 FR
39619, Oct. 29, 1986; T.D. ATF-270, 53 FR 10496, Mar. 31, 1988; ATF-27P,
74 FR 1878, Jan. 14, 2009; T.D. ATF 2013R-9F, 79 FR 46692, Aug. 11,
2014]
Sec. 478.77 Designated place of hearing.
The designated place of the hearing shall be a location convenient
to the aggrieved party.
[T.D. ATF-270, 53 FR 10496, Mar. 31, 1988]
Sec. 478.78 Operations by licensee after notice.
In any case where denial, suspension, or revocation proceedings are
pending before the Bureau of Alcohol, Tobacco, Firearms, and Explosives,
or notice of denial, suspension, or revocation has been served on the
licensee and he has filed timely request for a hearing, the license in
the possession of the licensee shall remain in effect even though such
license has expired, or the suspension or revocation date specified in
the notice of revocation on Form 4500 served on the licensee has passed:
Provided, That with respect to a license that has expired, the licensee
has timely filed an application for the renewal of his license. If a
licensee is dissatisfied with a posthearing decision revoking or
suspending the license or denying the application or imposing a civil
fine, as the case may be, he may, pursuant to 18 U.S.C. 923(f)(3),
within 60 days after receipt of the final notice denying the application
or revoking or suspending the license or imposing a civil fine, file a
petition for judicial review of such action. Such petition should be
filed with the U.S. district court for the district in which the
applicant or licensee resides or has his principal place of business. In
such case, when the Director finds that justice so requires, he may
postpone the effective date of suspension or revocation of a license or
authorize continued operations under the expired license, as applicable,
pending judicial review.
[T.D. ATF-415, 63 FR 58278, Oct. 29, 1998, as amended by ATF-27P, 74 FR
1878, Jan. 14, 2009; T.D. ATF 2013R-9F, 79 FR 46692, Aug. 11, 2014]
Subpart F_Conduct of Business
Sec. 478.91 Posting of license.
Any license issued under this part shall be kept posted and kept
available for inspection on the premises covered by the license.
Sec. 478.92 How must licensed manufacturers and licensed importers
identify firearms, armor piercing ammunition, and large capacity
ammunition feeding devices?
(a)(1) Firearms. You, as a licensed manufacturer or licensed
importer of firearms, must legibly identify each firearm manufactured or
imported as follows:
(i) By engraving, casting, stamping (impressing), or otherwise
conspicuously placing or causing to be engraved, cast, stamped
(impressed) or placed on the frame or receiver thereof an individual
serial number. The serial number must be placed in a manner not
susceptible of being readily obliterated, altered, or removed, and must
not duplicate any serial number placed by
[[Page 49]]
you on any other firearm. For firearms manufactured or imported on and
after January 30, 2002, the engraving, casting, or stamping (impressing)
of the serial number must be to a minimum depth of .003 inch and in a
print size no smaller than \1/16\ inch; and
(ii) By engraving, casting, stamping (impressing), or otherwise
conspicuously placing or causing to be engraved, cast, stamped
(impressed) or placed on the frame, receiver, or barrel thereof certain
additional information. This information must be placed in a manner not
susceptible of being readily obliterated, altered, or removed. For
firearms manufactured or imported on and after January 30, 2002, the
engraving, casting, or stamping (impressing) of this information must be
to a minimum depth of .003 inch. The additional information includes:
(A) The model, if such designation has been made;
(B) The caliber or gauge;
(C) Your name (or recognized abbreviation) and also, when
applicable, the name of the foreign manufacturer;
(D) In the case of a domestically made firearm, the city and State
(or recognized abbreviation thereof) where you as the manufacturer
maintain your place of business; and
(E) In the case of an imported firearm, the name of the country in
which it was manufactured and the city and State (or recognized
abbreviation thereof) where you as the importer maintain your place of
business. For additional requirements relating to imported firearms, see
Customs regulations at 19 CFR part 134.
(2) Firearm frames or receivers. A firearm frame or receiver that is
not a component part of a complete weapon at the time it is sold,
shipped, or otherwise disposed of by you must be identified as required
by this section.
(3) Special markings for semiautomatic assault weapons, effective
July 5, 1995. In the case of any semiautomatic assault weapon
manufactured after September 13, 1994, you must mark the frame or
receiver ``RESTRICTED LAW ENFORCEMENT/GOVERNMENT USE ONLY'' or, in the
case of weapons manufactured for export, ``FOR EXPORT ONLY,'' in a
manner not susceptible of being readily obliterated, altered, or
removed. For weapons manufactured or imported on and after January 30,
2002, the engraving, casting, or stamping (impressing) of the special
markings prescribed in this paragraph (a)(3) must be to a minimum depth
of .003 inch.
(4) Exceptions. (i) Alternate means of identification. The Director
may authorize other means of identification upon receipt of a letter
application from you, submitted in duplicate, showing that such other
identification is reasonable and will not hinder the effective
administration of this part.
(ii) Destructive devices. In the case of a destructive device, the
Director may authorize other means of identifying that weapon upon
receipt of a letter application from you, submitted in duplicate,
showing that engraving, casting, or stamping (impressing) such a weapon
would be dangerous or impracticable.
(iii) Machine guns, silencers, and parts. Any part defined as a
machine gun, firearm muffler, or firearm silencer in Sec. 478.11, that
is not a component part of a complete weapon at the time it is sold,
shipped, or otherwise disposed of by you, must be identified as required
by this section. The Director may authorize other means of
identification of parts defined as machine guns other than frames or
receivers and parts defined as mufflers or silencers upon receipt of a
letter application from you, submitted in duplicate, showing that such
other identification is reasonable and will not hinder the effective
administration of this part.
(5) Measurement of height and depth of markings. The depth of all
markings required by this section will be measured from the flat surface
of the metal and not the peaks or ridges. The height of serial numbers
required by paragraph (a)(1)(i) of this section will be measured as the
distance between the latitudinal ends of the character impression
bottoms (bases).
(b) Armor piercing ammunition--(1) Marking of ammunition. Each
licensed manufacturer or licensed importer of armor piercing ammunition
shall identify such ammunition by means of painting, staining or dying
the exterior of the projectile with an opaque black coloring. This
coloring must completely cover the point of the projectile
[[Page 50]]
and at least 50 percent of that portion of the projectile which is
visible when the projectile is loaded into a cartridge case.
(2) Labeling of packages. Each licensed manufacturer or licensed
importer of armor piercing ammunition shall clearly and conspicuously
label each package in which armor piercing ammunition is contained,
e.g., each box, carton, case, or other container. The label shall
include the words ``ARMOR PIERCING'' in block letters at least \1/4\
inch in height. The lettering shall be located on the exterior surface
of the package which contains information concerning the caliber or
gauge of the ammunition. There shall also be placed on the same surface
of the package in block lettering at least \1/8\ inch in height the
words ``FOR GOVERNMENTAL ENTITIES OR EXPORTATION ONLY.'' The statements
required by this subparagraph shall be on a contrasting background.
(c) Large capacity ammunition feeding devices manufactured after
September 13, 1994. (1) Each person who manufactures or imports any
large capacity ammunition feeding device manufactured after September
13, 1994, shall legibly identify each such device with a serial number.
Such person may use the same serial number for all large capacity
ammunition feeding devices produced.
(i) Additionally, in the case of a domestically made large capacity
ammunition feeding device, such device shall be marked with the name,
city and State (or recognized abbreviation thereof) of the manufacturer;
(ii) And in the case of an imported large capacity ammunition
feeding device, such device shall be marked:
(A) With the name of the manufacturer, country of origin, and,
(B) Effective July 5, 1995, the name, city and State (or recognized
abbreviation thereof) of the importer.
(iii) Further, large capacity ammunition feeding devices
manufactured after September 13, 1994, shall be marked ``RESTRICTED LAW
ENFORCEMENT/GOVERNMENT USE ONLY'' or, in the case of devices
manufactured or imported for export, effective July 5, 1995, ``FOR
EXPORT ONLY.''
(2) All markings required by this paragraph (c) shall be cast,
stamped, or engraved on the exterior of the device. In the case of a
magazine, the markings shall be placed on the magazine body.
(3) Exceptions--(i) Metallic links. Persons who manufacture or
import metallic links for use in the assembly of belted ammunition are
only required to place the identification marks prescribed in paragraph
(c)(1) of this section on the containers used for the packaging of the
links.
(ii) Alternate means of identification. The Director may authorize
other means of identifying large capacity ammunition feeding devices
upon receipt of a letter application, in duplicate, from the
manufacturer or importer showing that such other identification is
reasonable and will not hinder the effective administration of this
part.
(Approved by the Office of Management and Budget under control number
1140-0050)
[T.D. ATF-270, 53 FR 10496, Mar. 31, 1988, as amended by T.D. ATF-363,
60 FR 17454, Apr. 6, 1995; T.D. ATF-383, 61 FR 39321, July 29, 1996;
T.D. ATF-396, 63 FR 12646, Mar. 16, 1998; T.D. ATF-461, 66 FR 40600,
Aug. 3, 2001; T.D. ATF-11F, 73 FR 57241, Oct. 2, 2008]
Sec. 478.93 Authorized operations by a licensed collector.
The license issued to a collector of curios or relics under the
provisions of this part shall cover only transactions by the licensed
collector in curios and relics. The collector's license is of no force
or effect and a licensed collector is of the same status under the Act
and this part as a nonlicensee with respect to (a) any acquisition or
disposition of firearms other than curios or relics, or any
transportation, shipment, or receipt of firearms other than curios or
relics in interstate or foreign commerce, and (b) any transaction with a
nonlicensee involving any firearm other than a curio or relic. (See also
Sec. 478.50.) A collectors license is not necessary to receive or
dispose of ammunition, and a licensed collector is not precluded by law
from receiving or disposing of armor piercing ammunition. However, a
licensed collector may not dispose of any ammunition to a person
prohibited from receiving or possessing
[[Page 51]]
ammunition (see Sec. 478.99(c)). Any licensed collector who disposes of
armor piercing ammunition must record the disposition as required by
Sec. 478.125 (a) and (b).
[T.D. ATF-270, 53 FR 10496, Mar. 31, 1988]
Sec. 478.94 Sales or deliveries between licensees.
A licensed importer, licensed manufacturer, or licensed dealer
selling or otherwise disposing of firearms, and a licensed collector
selling or otherwise disposing of curios or relics, to another licensee
shall verify the identity and licensed status of the transferee prior to
making the transaction. Verification shall be established by the
transferee furnishing to the transferor a certified copy of the
transferee's license and by such other means as the transferor deems
necessary: Provided, That it shall not be required (a) for a transferee
who has furnished a certified copy of its license to a transferor to
again furnish such certified copy to that transferor during the term of
the transferee's current license, (b) for a licensee to furnish a
certified copy of its license to another licensee if a firearm is being
returned either directly or through another licensee to such licensee
and (c) for licensees of multilicensed business organizations to furnish
certified copies of their licenses to other licensed locations operated
by such organization: Provided further, That a multilicensed business
organization may furnish to a transferor, in lieu of a certified copy of
each license, a list, certified to be true, correct and complete,
containing the name, address, license number, and the date of license
expiration of each licensed location operated by such organization, and
the transferor may sell or otherwise dispose of firearms as provided by
this section to any licensee appearing on such list without requiring a
certified copy of a license therefrom. A transferor licensee who has the
certified information required by this section may sell or dispose of
firearms to a licensee for not more than 45 days following the
expiration date of the transferee's license.
(Approved by the Office of Management and Budget under control number
1140-0032)
[T.D. ATF-270, 53 FR 10496, Mar. 31, 1988, as amended by T.D. ATF-11F,
73 FR 57241, Oct. 2, 2008]
Sec. 478.95 Certified copy of license.
The license furnished to each person licensed under the provisions
of this part contains a purchasing certification statement. This
original license may be reproduced and the reproduction then certified
by the licensee for use pursuant to Sec. 178.94. If the licensee
desires an additional copy of the license for certification (instead of
making a reproduction of the original license), the licensee may submit
a request, in writing, for a certified copy or copies of the license to
the Chief, Federal Firearms Licensing Center. The request must set forth
the name, trade name (if any) and address of the licensee, and the
number of license copies desired. There is a charge of $1 for each copy.
The fee paid for copies of the license must accompany the request for
copies. The fee may be paid by (a) cash, or (b) money order or check
made payable to the Bureau of Alcohol, Tobacco, Firearms, and
Explosives.
(Approved by the Office of Management and Budget under control number
1140-0032)
[T.D. ATF-270, 53 FR 10497, Mar. 31, 1988, as amended by T.D. ATF-290,
54 FR 53055, Dec. 27, 1989; T.D. ATF-11F, 73 FR 57241, Oct. 2, 2008]
Sec. 478.96 Out-of-State and mail order sales.
(a) The provisions of this section shall apply when a firearm is
purchased by or delivered to a person not otherwise prohibited by the
Act from purchasing or receiving it.
(b) A licensed importer, licensed manufacturer, or licensed dealer
may sell a firearm that is not subject to the provisions of Sec.
478.102(a) to a nonlicensee who does not appear in person at the
licensee's business premises if the nonlicensee is a resident of the
same State in which the licensee's business premises are located, and
the nonlicensee furnishes to the licensee
[[Page 52]]
the firearms transaction record, Form 4473, required by Sec. 478.124.
The nonlicensee shall attach to such record a true copy of any permit or
other information required pursuant to any statute of the State and
published ordinance applicable to the locality in which he resides. The
licensee shall prior to shipment or delivery of the firearm, forward by
registered or certified mail (return receipt requested) a copy of the
record, Form 4473, to the chief law enforcement officer named on such
record, and delay shipment or delivery of the firearm for a period of at
least 7 days following receipt by the licensee of the return receipt
evidencing delivery of the copy of the record to such chief law
enforcement officer, or the return of the copy of the record to him due
to the refusal of such chief law enforcement officer to accept same in
accordance with U.S. Postal Service regulations. The original Form 4473,
and evidence of receipt or rejection of delivery of the copy of the Form
4473 sent to the chief law enforcement officer shall be retained by the
licensee as a part of the records required of him to be kept under the
provisions of subpart H of this part.
(c)(1) A licensed importer, licensed manufacturer, or licensed
dealer may sell or deliver a rifle or shotgun, and a licensed collector
may sell or deliver a rifle or shotgun that is a curio or relic to a
nonlicensed resident of a State other than the State in which the
licensee's place of business is located if--
(i) The purchaser meets with the licensee in person at the
licensee's premises to accomplish the transfer, sale, and delivery of
the rifle or shotgun;
(ii) The licensed importer, licensed manufacturer, or licensed
dealer complies with the provisions of Sec. 478.102;
(iii) The purchaser furnishes to the licensed importer, licensed
manufacturer, or licensed dealer the firearms transaction record, Form
4473, required by Sec. 478.124; and
(iv) The sale, delivery, and receipt of the rifle or shotgun fully
comply with the legal conditions of sale in both such States.
(2) For purposes of paragraph (c) of this section, any licensed
manufacturer, licensed importer, or licensed dealer is presumed, in the
absence of evidence to the contrary, to have had actual knowledge of the
State laws and published ordinances of both such States.
(Approved by the Office of Management and Budget under control number
1140-0021)
[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979; T.D. ATF-241,
51 FR 39620, Oct. 29, 1986; T.D. ATF-270, 53 FR 10497, Mar. 31, 1988;
T.D. ATF-354, 59 FR 7112, Feb. 14, 1994; T.D. ATF-415, 63 FR 58278, Oct.
29, 1998; T.D. ATF-11F, 73 FR 57241, Oct. 2, 2008]
Sec. 478.97 Loan or rental of firearms.
(a) A licensee may lend or rent a firearm to any person for
temporary use off the premises of the licensee for lawful sporting
purposes: Provided, That the delivery of the firearm to such person is
not prohibited by Sec. 478.99(b) or Sec. 478.99(c), the licensee
complies with the requirements of Sec. 478.102, and the licensee
records such loan or rental in the records required to be kept by him
under Subpart H of this part.
(b) A club, association, or similar organization temporarily
furnishing firearms (whether by loan, rental, or otherwise) to
participants in a skeet, trap, target, or similar shooting activity for
use at the time and place such activity is held does not, unattended by
other circumstances, cause such club, association, or similar
organization to be engaged in the business of a dealer in firearms or as
engaging in firearms transactions. Therefore, licensing and
recordkeeping requirements contained in this part pertaining to firearms
transactions would not apply to this temporary furnishing of firearms
for use on premises on which such an activity is conducted.
[T.D. ATF-415, 63 FR 58278, Oct. 29, 1998]
Sec. 478.98 Sales or deliveries of destructive devices and certain
firearms.
The sale or delivery by a licensee of any destructive device,
machine gun, short-barreled shotgun, or short-barreled rifle, to any
person other than another licensee who is licensed under this part to
deal in such device or firearm, is prohibited unless the person to
receive such device or firearm furnishes to the licensee a sworn
statement setting forth
[[Page 53]]
(a) The reasons why there is a reasonable necessity for such person
to purchase or otherwise acquire the device or weapon; and
(b) That such person's receipt or possession of the device or weapon
would be consistent with public safety. Such sworn statement shall be
made on the application to transfer and register the firearm required by
Part 479 of this chapter. The sale or delivery of the device or weapon
shall not be made until the application for transfer is approved by the
Director and returned to the licensee (transferor) as provided in Part
479 of this chapter.
[T.D. ATF-270, 53 FR 10497, Mar. 31, 1988]
Sec. 478.99 Certain prohibited sales or deliveries.
(a) Interstate sales or deliveries. A licensed importer, licensed
manufacturer, licensed dealer, or licensed collector shall not sell or
deliver any firearm to any person not licensed under this part and who
the licensee knows or has reasonable cause to believe does not reside in
(or if a corporation or other business entity, does not maintain a place
of business in) the State in which the licensee's place of business or
activity is located: Provided, That the foregoing provisions of this
paragraph (1) shall not apply to the sale or delivery of a rifle or
shotgun (curio or relic, in the case of a licensed collector) to a
resident of a State other than the State in which the licensee's place
of business or collection premises is located if the requirements of
Sec. 478.96(c) are fully met, and (2) shall not apply to the loan or
rental of a firearm to any person for temporary use for lawful sporting
purposes (see Sec. 478.97).
(b) Sales or deliveries to underaged persons. A licensed importer,
licensed manufacturer, licensed dealer, or licensed collector shall not
sell or deliver (1) any firearm or ammunition to any individual who the
importer, manufacturer, dealer, or collector knows or has reasonable
cause to believe is less than 18 years of age, and, if the firearm, or
ammunition, is other than a shotgun or rifle, or ammunition for a
shotgun or rifle, to any individual who the importer, manufacturer,
dealer, or collector knows or has reasonable cause to believe is less
than 21 years of age, or (2) any firearm to any person in any State
where the purchase or possession by such person of such firearm would be
in violation of any State law or any published ordinance applicable at
the place of sale, delivery, or other disposition, unless the importer,
manufacturer, dealer, or collector knows or has reasonable cause to
believe that the purchase or possession would not be in violation of
such State law or such published ordinance.
(c) Sales or deliveries to prohibited categories of persons. A
licensed manufacturer, licensed importer, licensed dealer, or licensed
collector shall not sell or otherwise dispose of any firearm or
ammunition to any person knowing or having reasonable cause to believe
that such person:
(1) Is, except as provided by Sec. 478.143, under indictment for,
or, except as provided by Sec. 478.144, has been convicted in any court
of a crime punishable by imprisonment for a term exceeding 1 year;
(2) Is a fugitive from justice;
(3) Is an unlawful user of or addicted to any controlled substance
(as defined in section 102 of the Controlled Substance Act, 21 U.S.C.
802);
(4) Has been adjudicated as a mental defective or has been committed
to any mental institution;
(5) Is an alien illegally or unlawfully in the United States or,
except as provided in Sec. 478.32(f), is an alien who has been admitted
to the United States under a nonimmigrant visa: Provided, That the
provisions of this paragraph (c)(5) do not apply to any alien who has
been lawfully admitted to the United States under a nonimmigrant visa if
that alien is--
(i) Admitted to the United States for lawful hunting or sporting
purposes or is in possession of a hunting license or permit lawfully
issued in the United States;
(ii) An official representative of a foreign government who is
either accredited to the United States Government or the Government's
mission to an international organization having its headquarters in the
United States or en route to or from another country to which that alien
is accredited. This exception only applies if the firearm or
[[Page 54]]
ammunition is shipped, transported, possessed, or received in the
representative's official capacity;
(iii) An official of a foreign government or a distinguished foreign
visitor who has been so designated by the Department of State. This
exception only applies if the firearm or ammunition is shipped,
transported, possessed, or received in the official's or visitor's
official capacity, except if the visitor is a private individual who
does not have an official capacity; or
(iv) A foreign law enforcement officer of a friendly foreign
government entering the United States on official law enforcement
business;
(6) Has been discharged from the Armed Forces under dishonorable
conditions;
(7) Who, having been a citizen of the United States, has renounced
citizenship;
(8) Is subject to a court order that restrains such person from
harassing, stalking, or threatening an intimate partner of such person
or child of such intimate partner or person, or engaging in other
conduct that would place an intimate partner in reasonable fear of
bodily injury to the partner or child, except that this paragraph shall
only apply to a court order that--
(i) Was issued after a hearing of which such person received actual
notice, and at which such person had the opportunity to participate; and
(ii)(A) Includes a finding that such person represents a credible
threat to the physical safety of such intimate partner or child; or
(B) By its terms explicitly prohibits the use, attempted use, or
threatened use of physical force against such intimate partner or child
that would reasonably be expected to cause bodily injury, or
(9) Has been convicted of a misdemeanor crime of domestic violence.
(d) Manufacture, importation, and sale of armor piercing ammunition
by licensed importers and licensed manufacturers. A licensed importer or
licensed manufacturer shall not import or manufacture armor piercing
ammunition or sell or deliver such ammunition, except:
(1) For use of the United States or any department or agency thereof
or any State or any department, agency, or political subdivision
thereof;
(2) For the purpose of exportation; or
(3) For the purpose of testing or experimentation authorized by the
Director under the provisions of Sec. 478.149.
(e) Transfer of armor piercing ammunition by licensed dealers. A
licensed dealer shall not willfully transfer armor piercing ammunition:
Provided, That armor piercing ammunition received and maintained by the
licensed dealer as business inventory prior to August 28, 1986, may be
transferred to any department or agency of the United States or any
State or political subdivision thereof if a record of such ammunition is
maintained in the form and manner prescribed by Sec. 478.125(c). Any
licensed dealer who violates this paragraph is subject to license
revocation. See subpart E of this part. For purposes of this paragraph,
the Director shall furnish each licensed dealer information defining
which projectiles are considered armor piercing. Such information may
not be all-inclusive for purposes of the prohibition on manufacture,
importation, or sale or delivery by a manufacturer or importer of such
ammunition or 18 U.S.C. 929 relating to criminal misuse of such
ammunition.
[T.D. ATF-270, 53 FR 10497, Mar. 31, 1988, as amended by T.D. ATF-363,
60 FR 17454, Apr. 6, 1995; T.D. ATF-401, 63 FR 35523, June 30, 1998;
T.D. ATF-471, 67 FR 5426, Feb. 5, 2002; T.D. ATF-24F, 77 FR 33629, June
7, 2012]
Sec. 478.100 Conduct of business away from licensed premises.
(a)(1) A licensee may conduct business temporarily at a gun show or
event as defined in paragraph (b) if the gun show or event is located in
the same State specified on the license: Provided, That such business
shall not be conducted from any motorized or towed vehicle. The premises
of the gun show or event at which the licensee conducts business shall
be considered part of the licensed premises. Accordingly, no separate
fee or license is required for the gun show or event locations. However,
licensees shall comply with the provisions of Sec. 478.91 relating to
posting of licenses (or a copy thereof) while conducting business at the
gun show or event.
[[Page 55]]
(2) A licensed importer, manufacturer, or dealer may engage in the
business of dealing in curio or relic firearms with another licensee at
any location.
(b) A gun show or an event is a function sponsored by any national,
State, or local organization, devoted to the collection, competitive
use, or other sporting use of firearms, or an organization or
association that sponsors functions devoted to the collection,
competitive use, or other sporting use of firearms in the community.
(c) Licensees conducting business at locations other than the
premises specified on their license under the provisions of paragraph
(a) of this section shall maintain firearms records in the form and
manner prescribed by subpart H of this part. In addition, records of
firearms transactions conducted at such locations shall include the
location of the sale or other disposition, be entered in the acquisition
and disposition records of the licensee, and retained on the premises
specified on the license.
[T.D. ATF-270, 53 FR 10498, Mar. 31, 1988, as amended by T.D. ATF-401,
63 FR 35523, June 30, 1998]
Sec. 478.101 Record of transactions.
Every licensee shall maintain firearms and armor piercing ammunition
records in such form and manner as is prescribed by subpart H of this
part.
[T.D. ATF-270, 53 FR 10498, Mar. 31, 1988]
Sec. 478.102 Sales or deliveries of firearms on and after
November 30, 1998.
(a) Background check. Except as provided in paragraph (d) of this
section, a licensed importer, licensed manufacturer, or licensed dealer
(the licensee) shall not sell, deliver, or transfer a firearm to any
other person who is not licensed under this part unless the licensee
meets the following requirements:
(1) Before the completion of the transfer, the licensee has
contacted NICS;
(2)(i) NICS informs the licensee that it has no information that
receipt of the firearm by the transferee would be in violation of
Federal or State law and provides the licensee with a unique
identification number; or
(ii) Three business days (meaning days on which State offices are
open) have elapsed from the date the licensee contacted NICS and NICS
has not notified the licensee that receipt of the firearm by the
transferee would be in violation of law; and
(3) The licensee verifies the identity of the transferee by
examining the identification document presented in accordance with the
provisions of Sec. 478.124(c).
Example for paragraph (a). A licensee contacts NICS on Thursday, and
gets a ``delayed'' response. The licensee does not get a further
response from NICS. If State offices are not open on Saturday and
Sunday, 3 business days would have elapsed on the following Tuesday. The
licensee may transfer the firearm on the next day, Wednesday.
(b) Transaction number. In any transaction for which a licensee
receives a transaction number from NICS (which shall include either a
NICS transaction number or, in States where the State is recognized as a
point of contact for NICS checks, a State transaction number), such
number shall be recorded on a firearms transaction record, Form 4473,
which shall be retained in the records of the licensee in accordance
with the provisions of Sec. 478.129. This applies regardless of whether
the transaction is approved or denied by NICS, and regardless of whether
the firearm is actually transferred.
(c) Time limitation on NICS checks. A NICS check conducted in
accordance with paragraph (a) of this section may be relied upon by the
licensee only for use in a single transaction, and for a period not to
exceed 30 calendar days from the date that NICS was initially contacted.
If the transaction is not completed within the 30-day period, the
licensee shall initiate a new NICS check prior to completion of the
transfer.
Example 1 for paragraph (c). A purchaser completes the Form 4473 on
December 15, 1998, and a NICS check is initiated by the licensee on that
date. The licensee is informed by NICS that the information available to
the system does not indicate that receipt of the firearm by the
transferee would be in violation of law, and a unique identification
number is provided. However, the State imposes a 7-day waiting period on
all firearms
[[Page 56]]
transactions, and the purchaser does not return to pick up the firearm
until January 22, 1999. The licensee must conduct another NICS check
before transferring the firearm to the purchaser.
Example 2 for paragraph (c). A purchaser completes the Form 4473 on
January 25, 1999, and arranges for the purchase of a single firearm. A
NICS check is initiated by the licensee on that date. The licensee is
informed by NICS that the information available to the system does not
indicate that receipt of the firearm by the transferee would be in
violation of law, and a unique identification number is provided. The
State imposes a 7-day waiting period on all firearms transactions, and
the purchaser returns to pick up the firearm on February 15, 1999.
Before the licensee executes the Form 4473, and the firearm is
transferred, the purchaser decides to purchase an additional firearm.
The transfer of these two firearms is considered a single transaction;
accordingly, the licensee may add the second firearm to the Form 4473,
and transfer that firearm without conducting another NICS check.
Example 3 for paragraph (c). A purchaser completes a Form 4473 on
February 15, 1999. The licensee receives a unique identification number
from NICS on that date, the Form 4473 is executed by the licensee, and
the firearm is transferred. On February 20, 1999, the purchaser returns
to the licensee's premises and wishes to purchase a second firearm. The
purchase of the second firearm is a separate transaction; thus, a new
NICS check must be initiated by the licensee.
(d) Exceptions to NICS check. The provisions of paragraph (a) of
this section shall not apply if--
(1) The transferee has presented to the licensee a valid permit or
license that--
(i) Allows the transferee to possess, acquire, or carry a firearm;
(ii) Was issued not more than 5 years earlier by the State in which
the transfer is to take place; and
(iii) The law of the State provides that such a permit or license is
to be issued only after an authorized government official has verified
that the information available to such official does not indicate that
possession of a firearm by the transferee would be in violation of
Federal, State, or local law: Provided, That on and after November 30,
1998, the information available to such official includes the NICS;
(2) The firearm is subject to the provisions of the National
Firearms Act and has been approved for transfer under 27 CFR part 479;
or
(3) On application of the licensee, in accordance with the
provisions of Sec. 478.150, the Director has certified that compliance
with paragraph (a)(1) of this section is impracticable.
(e) The document referred to in paragraph (d)(1) of this section (or
a copy thereof) shall be retained or the required information from the
document shall be recorded on the firearms transaction record in
accordance with the provisions of Sec. 478.131.
(Approved by the Office of Management and Budget under control number
1140-0045)
[T.D. ATF-415, 63 FR 58279, Oct. 29, 1998, as amended by T.D. ATF-11F,
73 FR 57241, Oct. 2, 2008]
Sec. 478.103 Posting of signs and written notification to purchasers
of handguns.
(a) Each licensed importer, manufacturer, dealer, or collector who
delivers a handgun to a nonlicensee shall provide such nonlicensee with
written notification as described in paragraph (b) of this section.
(b) The written notification (ATF I 5300.2) required by paragraph
(a) of this section shall state as follows:
(1) The misuse of handguns is a leading contributor to juvenile
violence and fatalities.
(2) Safely storing and securing firearms away from children will
help prevent the unlawful possession of handguns by juveniles, stop
accidents, and save lives.
(3) Federal law prohibits, except in certain limited circumstances,
anyone under 18 years of age from knowingly possessing a handgun, or any
person from transferring a handgun to a person under 18.
(4) A knowing violation of the prohibition against selling,
delivering, or otherwise transferring a handgun to a person under the
age of 18 is, under certain circumstances, punishable by up to 10 years
in prison.
FEDERAL LAW
The Gun Control Act of 1968, 18 U.S.C. Chapter 44, provides in
pertinent part as follows:
[[Page 57]]
18 U.S.C. 922(x)
(x)(1) It shall be unlawful for a person to sell, deliver, or
otherwise transfer to a person who the transferor knows or has
reasonable cause to believe is a juvenile--
(A) a handgun; or
(B) ammunition that is suitable for use only in a handgun.
(2) It shall be unlawful for any person who is a juvenile to
knowingly possess--
(A) a handgun; or
(B) ammunition that is suitable for use only in a handgun.
(3) This subsection does not apply to--
(A) a temporary transfer of a handgun or ammunition to a juvenile or
to the possession or use of a handgun or ammunition by a juvenile if the
handgun and ammunition are possessed and used by the juvenile--
(i) in the course of employment, in the course of ranching or
farming related to activities at the residence of the juvenile (or on
property used for ranching or farming at which the juvenile, with the
permission of the property owner or lessee, is performing activities
related to the operation of the farm or ranch), target practice,
hunting, or a course of instruction in the safe and lawful use of a
handgun;
(ii) with the prior written consent of the juvenile's parent or
guardian who is not prohibited by Federal, State, or local law from
possessing a firearm, except--
(I) during transportation by the juvenile of an unloaded handgun in
a locked container directly from the place of transfer to a place at
which an activity described in clause (i) is to take place and
transportation by the juvenile of that handgun, unloaded and in a locked
container, directly from the place at which such an activity took place
to the transferor; or
(II) with respect to ranching or farming activities as described in
clause (i) a juvenile may possess and use a handgun or ammunition with
the prior written approval of the juvenile's parent or legal guardian
and at the direction of an adult who is not prohibited by Federal,
State, or local law from possessing a firearm;
(iii) the juvenile has the prior written consent in the juvenile's
possession at all times when a handgun is in the possession of the
juvenile; and
(iv) in accordance with State and local law;
(B) a juvenile who is a member of the Armed Forces of the United
States or the National Guard who possesses or is armed with a handgun in
the line of duty;
(C) a transfer by inheritance of title (but not possession) of a
handgun or ammunition to a juvenile; or
(D) the possession of a handgun or ammunition by a juvenile taken in
defense of the juvenile or other persons against an intruder into the
residence of the juvenile or a residence in which the juvenile is an
invited guest.
(4) A handgun or ammunition, the possession of which is transferred
to a juvenile in circumstances in which the transferor is not in
violation of this subsection shall not be subject to permanent
confiscation by the Government if its possession by the juvenile
subsequently becomes unlawful because of the conduct of the juvenile,
but shall be returned to the lawful owner when such handgun or
ammunition is no longer required by the Government for the purposes of
investigation or prosecution.
(5) For purposes of this subsection, the term ``juvenile'' means a
person who is less than 18 years of age.
(6)(A) In a prosecution of a violation of this subsection, the court
shall require the presence of a juvenile defendant's parent or legal
guardian at all proceedings.
(B) The court may use the contempt power to enforce subparagraph
(A).
(C) The court may excuse attendance of a parent or legal guardian of
a juvenile defendant at a proceeding in a prosecution of a violation of
this subsection for good cause shown.
18 U.S.C. 924(a)(6)
(6)(A)(i) A juvenile who violates section 922(x) shall be fined
under this title, imprisoned not more than 1 year, or both, except that
a juvenile described in clause (ii) shall be sentenced to probation on
appropriate conditions and shall not be incarcerated unless the juvenile
fails to comply with a condition of probation.
(ii) A juvenile is described in this clause if--
(I) the offense of which the juvenile is charged is possession of a
handgun or ammunition in violation of section 922(x)(2); and
(II) the juvenile has not been convicted in any court of an offense
(including an offense under section 922(x) or a similar State law, but
not including any other offense consisting of conduct that if engaged in
by an adult would not constitute an offense) or adjudicated as a
juvenile delinquent for conduct that if engaged in by an adult would
constitute an offense.
(B) A person other than a juvenile who knowingly violates section
922(x)--
(i) shall be fined under this title, imprisoned not more than 1
year, or both; and
(ii) if the person sold, delivered, or otherwise transferred a
handgun or ammunition to a juvenile knowing or having reasonable cause
to know that the juvenile intended to carry or otherwise possess or
discharge or otherwise use the handgun or ammunition in the commission
of a crime of violence, shall be fined under this title, imprisoned not
more than 10 years, or both.
[[Page 58]]
(c) This written notification shall be delivered to the nonlicensee
on ATF I 5300.2, or in the alternative, the same written notification
may be delivered to the nonlicensee on another type of written
notification, such as a manufacturer's or importer's brochure
accompanying the handgun; a manufacturer's or importer's operational
manual accompanying the handgun; or a sales receipt or invoice applied
to the handgun package or container delivered to a nonlicensee. Any
written notification delivered to a nonlicensee other than on ATF I
5300.2 shall include the language set forth in paragraph (b) of this
section in its entirety. Any written notification other than ATF I
5300.2 shall be legible, clear, and conspicuous, and the required
language shall appear in type size no smaller than 10-point type.
(d) Except as provided in paragraph (f) of this section, each
licensed importer, manufacturer, or dealer who delivers a handgun to a
nonlicensee shall display at its licensed premises (including temporary
business locations at gun shows) a sign as described in paragraph (e) of
this section. The sign shall be displayed where customers can readily
see it. Licensed importers, manufacturers, and dealers will be provided
with such signs by ATF. Replacement signs may be requested from the ATF
Distribution Center.
(e) The sign (ATF I 5300.1) required by paragraph (d) of this
section shall state as follows:
(1) The misuse of handguns is a leading contributor to juvenile
violence and fatalities.
(2) Safely storing and securing firearms away from children will
help prevent the unlawful possession of handguns by juveniles, stop
accidents, and save lives.
(3) Federal law prohibits, except in certain limited circumstances,
anyone under 18 years of age from knowingly possessing a handgun, or any
person from transferring a handgun to a person under 18.
(4) A knowing violation of the prohibition against selling,
delivering, or otherwise transferring a handgun to a person under the
age of 18 is, under certain circumstances, punishable by up to 10 years
in prison.
Note: ATF I 5300.2 provides the complete language of the statutory
prohibitions and exceptions provided in 18 U.S.C. 922(x) and the penalty
provisions of 18 U.S.C. 924(a)(6). The Federal firearms licensee posting
this sign will provide you with a copy of this publication upon request.
Requests for additional copies of ATF I 5300.2 should be submitted to
the ATF Distribution Center (http://www.atf.gov) or made by calling
(202) 648-6420.
(f) The sign required by paragraph (d) of this section need not be
posted on the premises of any licensed importer, manufacturer, or dealer
whose only dispositions of handguns to nonlicensees are to nonlicensees
who do not appear at the licensed premises and the dispositions
otherwise comply with the provisions of this part.
[T.D. ATF-402, 63 FR 37742, July 13, 1998, as amended by T.D. ATF 2013R-
9F, 79 FR 46692, Aug. 11, 2014]
Subpart G_Importation
Sec. 478.111 General.
(a) Section 922(a)(3) of the Act makes it unlawful, with certain
exceptions not pertinent here, for any person other than a licensee to
transport into or receive in the State where the person resides any
firearm purchased or otherwise obtained by the person outside of that
State. However, section 925(a)(4) provides a limited exception for the
transportation, shipment, receipt or importation of certain firearms and
ammunition by certain members of the United States Armed Forces. Section
922(1) of the Act makes it unlawful for any person knowingly to import
or bring into the United States or any possession thereof any firearm or
ammunition except as provided by section 925(d) of the Act, which
section provides standards for importing or bringing firearms or
ammunition into the United States. Section 925(d) also provides
standards for importing or bringing firearm barrels into the United
States. Accordingly, no firearm, firearm barrel, or ammunition may be
imported or brought into the United States except as provided by this
part.
(b) Where a firearm, firearm barrel, or ammunition is imported and
the authorization for importation required by this subpart has not been
obtained by the person importing same, such person shall:
[[Page 59]]
(1) Store, at the person's expense, such firearm, firearm barrel, or
ammunition at a facility designated by U.S Customs or the Director of
Industry Operations to await the issuance of the required authorization
or other disposition; or
(2) Abandon such firearm, firearm barrel, or ammunition to the U.S.
Government; or
(3) Export such firearm, firearm barrel, or ammunition.
(c) Any inquiry relative to the provisions or procedures under this
subpart, other than that pertaining to the payment of customs duties or
the release from Customs custody of firearms, firearm barrels, or
ammunition authorized by the Director to be imported, shall be directed
to the Director of Industry Operations for reply.
[T.D. ATF-270, 53 FR 10498, Mar. 31, 1988]
Sec. 478.112 Importation by a licensed importer.
(a) No firearm, firearm barrel, or ammunition shall be imported or
brought into the United States by a licensed importer (as defined in
Sec. 478.11) unless the Director has authorized the importation of the
firearm, firearm barrel, or ammunition.
(b)(1) An application for a permit, ATF Form 6--Part I, to import or
bring a firearm, firearm barrel, or ammunition into the United States or
a possession thereof under this section must be filed, in triplicate,
with the Director. The application must be signed and dated and must
contain the information requested on the form, including:
(i) The name, address, telephone number, and license number
(including expiration date) of the importer;
(ii) The country from which the firearm, firearm barrel, or
ammunition is to be imported;
(iii) The name and address of the foreign seller and foreign
shipper;
(iv) A description of the firearm, firearm barrel, or ammunition to
be imported, including:
(A) The name and address of the manufacturer;
(B) The type (e.g., rifle, shotgun, pistol, revolver and, in the
case of ammunition only, ball, wadcutter, shot, etc.);
(C) The caliber, gauge, or size;
(D) The model;
(E) The barrel length, if a firearm or firearm barrel (in inches);
(F) The overall length, if a firearm (in inches);
(G) The serial number, if known;
(H) Whether the firearm is new or used;
(I) The quantity;
(J) The unit cost of the firearm, firearm barrel, or ammunition to
be imported;
(v) The specific purpose of importation, including final recipient
information if different from the importer;
(vi) Verification that if a firearm, it will be identified as
required by this part; and
(vii)(A) If a firearm or ammunition imported or brought in for
scientific or research purposes, a statement describing such purpose; or
(B) If a firearm or ammunition for use in connection with
competition or training pursuant to Chapter 401 of Title 10, U.S.C., a
statement describing such intended use; or
(C) If an unserviceable firearm (other than a machine gun) being
imported as a curio or museum piece, a description of how it was
rendered unserviceable and an explanation of why it is a curio or museum
piece; or
(D) If a firearm other than a surplus military firearm, of a type
that does not fall within the definition of a firearm under section
5845(a) of the Internal Revenue Code of 1986, and is for sporting
purposes, an explanation of why the firearm is generally recognized as
particularly suitable for or readily adaptable to sporting purposes; or
(E) If ammunition being imported for sporting purposes, a statement
why the ammunition is particularly suitable for or readily adaptable to
sporting purposes; or
(F) If a firearm barrel for a handgun, an explanation why the
handgun is generally recognized as particularly suitable for or readily
adaptable to sporting purposes.
(2)(i) If the Director approves the application, such approved
application will serve as the permit to import the firearm, firearm
barrel, or ammunition described therein, and importation of such
firearms, firearm barrels, or ammunition may continue to be made by
[[Page 60]]
the licensed importer under the approved application (permit) during the
period specified thereon. The Director will furnish the approved
application (permit) to the applicant and retain two copies thereof for
administrative use.
(ii) If the Director disapproves the application, the licensed
importer will be notified of the basis for the disapproval.
(c) A firearm, firearm barrel, or ammunition imported or brought
into the United States or a possession thereof under the provisions of
this section by a licensed importer may be released from Customs custody
to the licensed importer upon showing that the importer has obtained a
permit from the Director for the importation of the firearm, firearm
barrel, or ammunition to be released. The importer will also submit to
Customs a copy of the export license authorizing the export of the
firearm, firearm barrel, or ammunition from the exporting country. If
the exporting country does not require issuance of an export license,
the importer must submit a certification, under penalty of perjury, to
that effect.
(1) In obtaining the release from Customs custody of a firearm,
firearm barrel, or ammunition authorized by this section to be imported
through the use of a permit, the licensed importer will prepare ATF Form
6A, in duplicate, and furnish the original ATF Form 6A to the Customs
officer releasing the firearm, firearm barrel, or ammunition. The
Customs officer will, after certification, forward the ATF Form 6A to
the address specified on the form.
(2) The ATF Form 6A must contain the information requested on the
form, including:
(i) The name, address, and license number of the importer;
(ii) The name of the manufacturer of the firearm, firearm barrel, or
ammunition;
(iii) The country of manufacture;
(iv) The type;
(v) The model;
(vi) The caliber, gauge, or size;
(vii) The serial number in the case of firearms, if known; and
(viii) The number of firearms, firearm barrels, or rounds of
ammunition released.
(d) Within 15 days of the date of release from Customs custody, the
licensed importer must:
(1) Forward to the address specified on the form a copy of ATF Form
6A on which must be reported any error or discrepancy appearing on the
ATF Form 6A certified by Customs and serial numbers if not previously
provided on ATF Form 6A;
(2) Pursuant to Sec. 478.92, place all required identification data
on each imported firearm if same did not bear such identification data
at the time of its release from Customs custody; and
(3) Post in the records required to be maintained by the importer
under subpart H of this part all required information regarding the
importation.
(Paragraph (b) approved by the Office of Management and Budget under
control number 1140-0005; paragraphs (c) and (d) approved by the Office
of Management and Budget under control number 1140-0007)
[T.D. ATF-270, 53 FR 10498, Mar. 31, 1988, as amended by T.D. ATF-426,
65 FR 38198, June 20, 2000; T.D. ATF-11F, 73 FR 57241, Oct. 2, 2008]
Sec. 478.113 Importation by other licensees.
(a) No person other than a licensed importer (as defined in Sec.
478.11) shall engage in the business of importing firearms or
ammunition. Therefore, no firearm or ammunition shall be imported or
brought into the United States or a possession thereof by any licensee
other than a licensed importer unless the Director issues a permit
authorizing the importation of the firearm or ammunition. No barrel for
a handgun not generally recognized as particularly suitable for or
readily adaptable to sporting purposes shall be imported or brought into
the United States or a possession thereof by any person. Therefore, no
firearm barrel shall be imported or brought into the United States or
possession thereof by any licensee other than a licensed importer unless
the Director issues a permit authorizing the importation of the firearm
barrel.
(b)(1) An application for a permit, ATF Form 6--Part I, to import or
bring a firearm, firearm barrel, or ammunition into the United States or
a possession thereof by a licensee, other than a
[[Page 61]]
licensed importer, must be filed, in triplicate, with the Director. The
application must be signed and dated and must contain the information
requested on the form, including:
(i) The name, address, telephone number, and license number
(including expiration date) of the applicant;
(ii) The country from which the firearm, firearm barrel, or
ammunition is to be imported;
(iii) The name and address of the foreign seller and foreign
shipper;
(iv) A description of the firearm, firearm barrel, or ammunition to
be imported, including:
(A) The name and address of the manufacturer;
(B) The type (e.g., rifle, shotgun, pistol, revolver and, in the
case of ammunition only, ball, wadcutter, shot, etc.);
(C) The caliber, gauge, or size;
(D) The model;
(E) The barrel length, if a firearm or firearm barrel (in inches);
(F) The overall length, if a firearm (in inches);
(G) The serial number, if known;
(H) Whether the firearm is new or used;
(I) The quantity;
(J) The unit cost of the firearm, firearm barrel, or ammunition to
be imported;
(v) The specific purpose of importation, including final recipient
information if different from the applicant; and
(vi)(A) If a firearm or ammunition imported or brought in for
scientific or research purposes, a statement describing such purpose; or
(B) If a firearm or ammunition for use in connection with
competition or training pursuant to Chapter 401 of Title 10, U.S.C., a
statement describing such intended use; or
(C) If an unserviceable firearm (other than a machine gun) being
imported as a curio or museum piece, a description of how it was
rendered unserviceable and an explanation of why it is a curio or museum
piece; or
(D) If a firearm other than a surplus military firearm, of a type
that does not fall within the definition of a firearm under section
5845(a) of the Internal Revenue Code of 1986, and is for sporting
purposes, an explanation of why the firearm is generally recognized as
particularly suitable for or readily adaptable to sporting purposes; or
(E) If ammunition being imported for sporting purposes, a statement
why the ammunition is particularly suitable for or readily adaptable to
sporting purposes; or
(F) If a firearm barrel for a handgun, an explanation why the
handgun is generally recognized as particularly suitable for or readily
adaptable to sporting purposes.
(2)(i) If the Director approves the application, such approved
application will serve as the permit to import the firearm, firearm
barrel, or ammunition described therein, and importation of such
firearms, firearm barrels, or ammunition may continue to be made by the
applicant under the approved application (permit) during the period
specified thereon. The Director will furnish the approved application
(permit) to the applicant and retain two copies thereof for
administrative use.
(ii) If the Director disapproves the application, the applicant will
be notified of the basis for the disapproval.
(c) A firearm, firearm barrel, or ammunition imported or brought
into the United States or a possession thereof under the provisions of
this section may be released from Customs custody to the licensee upon
showing that the licensee has obtained a permit from the Director for
the importation of the firearm, firearm barrel, or ammunition to be
released.
(1) In obtaining the release from Customs custody of a firearm,
firearm barrel, or ammunition authorized by this section to be imported
through the use of a permit, the licensee will prepare ATF Form 6A, in
duplicate, and furnish the original ATF Form 6A to the Customs officer
releasing the firearm, firearm barrel, or ammunition. The Customs
officer will, after certification, forward the ATF Form 6A to the
address specified on the form.
(2) The ATF Form 6A must contain the information requested on the
form, including:
(i) The name, address, and license number of the licensee;
(ii) The name of the manufacturer of the firearm, firearm barrel, or
ammunition;
[[Page 62]]
(iii) The country of manufacture;
(iv) The type;
(v) The model;
(vi) The caliber, gauge, or size;
(vii) The serial number in the case of firearms; and
(viii) The number of firearms, firearm barrels, or rounds of
ammunition released.
(Paragraph (b) approved by the Office of Management and Budget under
control number 1140-0005; paragraph (c) approved by the Office of
Management and Budget under control number 1140-0007)
[T.D. ATF-270, 53 FR 10499, Mar. 31, 1988, as amended by T.D. ATF-426,
65 FR 38199, June 20, 2000; T.D. ATF-11F, 73 FR 57241, Oct. 2, 2008]
Sec. 478.113a Importation of firearm barrels by nonlicensees.
(a) A permit will not be issued for a firearm barrel for a handgun
not generally recognized as particularly suitable for or readily
adaptable to sporting purposes. No firearm barrel shall be imported or
brought into the United States or possession thereof by any nonlicensee
unless the Director issues a permit authorizing the importation of the
firearm barrel.
(b)(1) An application for a permit, ATF Form 6--Part I, to import or
bring a firearm barrel into the United States or a possession thereof
under this section must be filed, in triplicate, with the Director. The
application must be signed and dated and must contain the information
requested on the form, including:
(i) The name, address, and telephone number of the applicant;
(ii) The country from which the firearm barrel is to be imported;
(iii) The name and address of the foreign seller and foreign
shipper;
(iv) A description of the firearm barrel to be imported, including:
(A) The name and address of the manufacturer;
(B) The type (e.g., rifle, shotgun, pistol, revolver);
(C) The caliber, gauge, or size;
(D) The model;
(E) The barrel length (in inches);
(F) The quantity;
(G) The unit cost of the firearm barrel;
(v) The specific purpose of importation, including final recipient
information if different from the importer; and
(vi) If a handgun barrel, an explanation of why the barrel is for a
handgun that is generally recognized as particularly suitable for or
readily adaptable to sporting purposes.
(2)(i) If the Director approves the application, such approved
application will serve as the permit to import the firearm barrel, and
importation of such firearm barrels may continue to be made by the
applicant under the approved application (permit) during the period
specified thereon. The Director will furnish the approved application
(permit) to the applicant and retain two copies thereof for
administrative use.
(ii) If the Director disapproves the application, the applicant will
be notified of the basis for the disapproval.
(c) A firearm barrel imported or brought into the United States or a
possession thereof under the provisions of this section may be released
from Customs custody to the person importing the firearm barrel upon
showing that the person has obtained a permit from the Director for the
importation of the firearm barrel to be released.
(1) In obtaining the release from Customs custody of a firearm
barrel authorized by this section to be imported through the use of a
permit, the person importing the firearm barrel will prepare ATF Form
6A, in duplicate, and furnish the original ATF Form 6A to the Customs
officer releasing the firearm barrel. The Customs officer will, after
certification, forward the ATF Form 6A to the address specified on the
form.
(2) The ATF Form 6A must contain the information requested on the
form, including:
(i) The name and address of the person importing the firearm barrel;
(ii) The name of the manufacturer of the firearm barrel;
(iii) The country of manufacture;
(iv) The type;
(v) The model;
(vi) The caliber or gauge of the firearm barrel so released; and
[[Page 63]]
(vii) The number of firearm barrels released.
(Paragraph (b) approved by the Office of Management and Budget under
control number 1140-0005; paragraph (c) approved by the Office of
Management and Budget under control number 1140-0007)
[T.D. ATF-270, 53 FR 10499, Mar. 31, 1988, as amended by T.D. ATF-426,
65 FR 38200, June 20, 2000; T.D. ATF-11F, 73 FR 57241, Oct. 2, 2008]
Sec. 478.114 Importation by members of the U.S. Armed Forces.
(a) The Director may issue a permit authorizing the importation of a
firearm or ammunition into the United States to the place of residence
of any military member of the U.S. Armed Forces who is on active duty
outside the United States, or who has been on active duty outside the
United States within the 60-day period immediately preceding the
intended importation: Provided, That such firearm or ammunition is
generally recognized as particularly suitable for or readily adaptable
to sporting purposes and is intended for the personal use of such
member.
(1) An application for a permit, ATF Form 6--Part II, to import a
firearm or ammunition into the United States under this section must be
filed, in triplicate, with the Director. The application must be signed
and dated and must contain the information requested on the form,
including:
(i) The name, current address, and telephone number of the
applicant;
(ii) Certification that the transportation, receipt, or possession
of the firearm or ammunition to be imported would not constitute a
violation of any provision of the Act or of any State law or local
ordinance at the place of the applicant's residence;
(iii) The country from which the firearm or ammunition is to be
imported;
(iv) The name and address of the foreign seller and foreign shipper;
(v) A description of the firearm or ammunition to be imported,
including:
(A) The name and address of the manufacturer;
(B) The type (e.g., rifle, shotgun, pistol, revolver and, in the
case of ammunition only, ball, wadcutter, shot, etc.);
(C) The caliber, gauge, or size;
(D) The model;
(E) The barrel length, if a firearm (in inches);
(F) The overall length, if a firearm (in inches);
(G) The serial number;
(H) Whether the firearm is new or used;
(I) The quantity;
(J) The unit cost of the firearm or ammunition to imported;
(vi) The specific purpose of importation, that is--
(A) That the firearm or ammunition being imported is for the
personal use of the applicant; and
(B) If a firearm, a statement that it is not a surplus military
firearm, that it does not fall within the definition of a firearm under
section 5845(a) of the Internal Revenue Code of 1986, and an explanation
of why the firearm is generally recognized as particularly suitable for
or readily adaptable to sporting purposes; or
(C) If ammunition, a statement why it is generally recognized as
particularly suitable for or readily adaptable to sporting purposes; and
(vii) The applicant's date of birth;
(viii) The applicant's rank or grade;
(ix) The applicant's place of residence;
(x) The applicant's present foreign duty station or last foreign
duty station, as the case may be;
(xi) The date of the applicant's reassignment to a duty station
within the United States, if applicable; and
(xii) The military branch of which the applicant is a member.
(2)(i) If the Director approves the application, such approved
application will serve as the permit to import the firearm or ammunition
described therein. The Director will furnish the approved application
(permit) to the applicant and retain two copies thereof for
administrative use.
(ii) If the Director disapproves the application, the applicant will
be notified of the basis for the disapproval.
(b) Except as provided in paragraph (b)(3) of this section, a
firearm or ammunition imported into the United States under the
provisions of this section by the applicant may be released from Customs
custody to the applicant upon showing that the applicant has
[[Page 64]]
obtained a permit from the Director for the importation of the firearm
or ammunition to be released.
(1) In obtaining the release from Customs custody of a firearm or
ammunition authorized by this section to be imported through the use of
a permit, the military member of the U.S. Armed Forces will prepare ATF
Form 6A and furnish the completed form to the Customs officer releasing
the firearm or ammunition. The Customs officer will, after
certification, forward the ATF Form 6A to the address specified on the
form.
(2) The ATF Form 6A must contain the information requested on the
form, including:
(i) The name and address of the military member;
(ii) The name of the manufacturer of the firearm or ammunition;
(iii) The country of manufacture;
(iv) The type;
(v) The model;
(vi) The caliber, gauge, or size;
(vii) The serial number in the case of firearms; and
(viii) If applicable, the number of firearms or rounds of ammunition
released.
(3) When such military member is on active duty outside the United
States, the military member may appoint, in writing, an agent to obtain
the release of the firearm or ammunition from Customs custody for such
member. Such agent will present sufficient identification of the agent
and the written authorization to act on behalf of such military member
to the Customs officer who is to release the firearm or ammunition.
(c) Firearms determined by the Department of Defense to be war
souvenirs may be imported into the United States by the military members
of the U.S. Armed Forces under such provisions and procedures as the
Department of Defense may issue.
(Paragraph (a) approved by the Office of Management and Budget under
control number 1140-0006; paragraph (b) approved by the Office of
Management and Budget under control number 1140-0007)
[T.D. ATF-270, 53 FR 10500, Mar. 31, 1988, as amended by T.D. ATF-426,
65 FR 38200, June 20, 2000; T.D. ATF-11F, 73 FR 57241, Oct. 2, 2008]
Sec. 478.115 Exempt importation.
(a) Firearms and ammunition may be brought into the United States or
any possession thereof by any person who can establish to the
satisfaction of Customs that such firearm or ammunition was previously
taken out of the United States or any possession thereof by such person.
Registration on Customs Form 4457 or on any other registration document
available for this purpose may be completed before departure from the
United States at any U.S. customhouse or any office of an Director of
Industry Operations. A bill of sale or other commercial document showing
transfer of the firearm or ammunition in the United States to such
person also may be used to establish proof that the firearm or
ammunition was taken out of the United States by such person. Firearms
and ammunition furnished under the provisions of section 925(a)(3) of
the Act to military members of the U.S. Armed Forces on active duty
outside of the United States also may be imported into the United States
or any possession thereof by such military members upon establishing to
the satisfaction of Customs that such firearms and ammunition were so
obtained.
(b) Firearms, firearm barrels, and ammunition may be imported or
brought into the United States by or for the United States or any
department or agency thereof, or any State or any department, agency, or
political subdivision thereof. A firearm, firearm barrel or ammunition
imported or brought into the United States under this paragraph may be
released from Customs custody upon a showing that the firearm, firearm
barrel or ammunition is being imported or brought into the United States
by or for such a governmental entity.
(c) The provisions of this subpart shall not apply with respect to
the importation into the United States of any antique firearm.
(d) Firearms and ammunition are not imported into the United States,
and the provisions of this subpart shall not apply, when such firearms
and ammunition are brought into the United States by:
(1) A nonresident of the United States for legitimate hunting or
lawful
[[Page 65]]
sporting purposes, and such firearms and such ammunition as remains
following such shooting activity are to be taken back out of the
territorial limits of the United States by such person upon conclusion
of the shooting activity;
(2) Foreign military personnel on official assignment to the United
States who bring such firearms or ammunition into the United States for
their exclusive use while on official duty in the United States, and
such firearms and unexpended ammunition are taken back out of the
territorial limits of the United States by such foreign military
personnel when they leave the United States;
(3) Official representatives of foreign governments who are
accredited to the U.S. Government or are en route to or from other
countries to which accredited, and such firearms and unexpended
ammunition are taken back out of the territorial limits of the United
States by such official representatives of foreign governments when they
leave the United States;
(4) Officials of foreign governments and distinguished foreign
visitors who have been so designated by the Department of State, and
such firearms and unexpended ammunition are taken back out of the
territorial limits of the United States by such officials of foreign
governments and distinguished foreign visitors when they leave the
United States; and
(5) Foreign law enforcement officers of friendly foreign governments
entering the United States on official law enforcement business, and
such firearms and unexpended ammunition are taken back out of the
territorial limits of the United States by such foreign law enforcement
officers when they leave the United States.
(e) Notwithstanding the provisions of paragraphs (d) (1), (2), (3),
(4) and (5) of this section, the Secretary of the Treasury or his
delegate may in the interest of public safety and necessity require a
permit for the importation or bringing into the United States of any
firearms or ammunition.
[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-58, 44 FR 32367, June 6, 1979; T.D. ATF-270, 53
FR 10500, Mar. 31, 1988; T.D. ATF-471, 67 FR 5426, Feb. 5, 2002]
Sec. 478.116 Conditional importation.
The Director shall permit the conditional importation or bringing
into the United States or any possession thereof of any firearm, firearm
barrel, ammunition, or ammunition feeding device as defined in Sec.
478.119(b) for the purpose of examining and testing the firearm, firearm
barrel, ammunition, or ammunition feeding device in connection with
making a determination as to whether the importation or bringing in of
such firearm, firearm barrel, ammunition, or ammunition feeding device
will be authorized under this part. An application on ATF Form 6 for
such conditional importation shall be filed, in duplicate, with the
Director. The Director may impose conditions upon any importation under
this section including a requirement that the firearm, firearm barrel,
ammunition, or ammunition feeding device be shipped directly from
Customs custody to the Director and that the person importing or
bringing in the firearm, firearm barrel, ammunition, or ammunition
feeding device must agree to either export the firearm, firearm barrel,
ammunition, or ammunition feeding device or destroy same if a
determination is made that the firearm, firearm barrel, ammunition, or
ammunition feeding device may not be imported or brought in under this
part. A firearm, firearm barrel, ammunition, or ammunition feeding
device imported or brought into the United States or any possession
thereof under the provisions of this section shall be released from
Customs custody upon the payment of customs duties, if applicable, and
in the manner prescribed in the conditional authorization issued by the
Director.
[T.D. ATF-383, 61 FR 39321, July 29, 1996]
Sec. 478.117 Function outside a customs territory.
In the insular possessions of the United States outside customs
territory, the functions performed by U.S.
[[Page 66]]
Customs officers under this subpart within a customs territory may be
performed by the appropriate authorities of a territorial government or
other officers of the United States who have been designated to perform
such functions. For the purpose of this subpart, the term customs
territory means the United States, the District of Columbia, and the
Commonwealth of Puerto Rico.
Sec. 478.118 Importation of certain firearms classified as curios or relics.
Notwithstanding any other provision of this part, a licensed
importer may import all rifles and shotguns classified by the Director
as curios or relics, and all handguns classified by the Director as
curios or relics that are determined to be generally recognized as
particularly suitable for or readily adaptable to sporting purposes. The
importation of such curio or relic firearms must be in accordance with
the applicable importation provisions of this part and the importation
provisions of 27 CFR part 447. Curios or relics which fall within the
definition of ``firearm'' under 26 U.S.C. 5845(a) must also meet the
importation provisions of 27 CFR part 479 before they may be imported.
[T.D. ATF-202, 50 FR 14383, Apr. 12, 1985]
Sec. 478.119 Importation of ammunition feeding devices.
(a) No ammunition feeding device shall be imported or brought into
the United States unless the Director has authorized the importation of
such device.
(b) For purposes of this section, an ``ammunition feeding device''
is a magazine, belt, drum, feed strip, or similar device for a firearm
that has a capacity of, or that can be readily restored or converted to
accept, more than 10 rounds of ammunition. The term does not include an
attached tubular device designed to accept, and capable of operating
only with, .22 caliber rimfire ammunition, or a fixed device for a
manually operated firearm, or a fixed device for a firearm listed in 18
U.S.C. 922, appendix A.
(c) An application for a permit, ATF Form 6, to import or bring an
ammunition feeding device into the United States or a possession thereof
under this section shall be filed, in triplicate, with the Director. The
application shall contain:
(1) The name and address of the person importing the device,
(2) A description of the device to be imported, including type and
cartridge capacity, model and caliber of firearm for which the device
was made, country of manufacture, and name of the manufacturer if known,
(3) The unit cost of the device to be imported,
(4) The country from which to be imported,
(5) The name and address of the foreign seller and the foreign
shipper,
(6) Verification that such device will be marked as required by this
part, and
(7) A statement by the importer that the device is being imported
for sale to purchasers specified in Sec. 478.40a(b) or physical or
reasonable documentary evidence establishing that the magazine was
manufactured on or before September 13, 1994. Any one of the following
examples, which are not meant to be exhaustive, may be sufficient to
establish the time of manufacture:
(i) Permanent markings or physical characteristics which establish
that the magazine was manufactured on or before September 13, 1994;
(ii) A certification from the importer, under penalty of perjury,
that the importer maintained continuous custody beginning on a date
prior to September 14, 1994, and continuing until the date of the
certification. Such certification shall also be supported by reasonable
documentary evidence, such as commercial records;
(iii) A certification from the importer, under penalty of perjury,
that the magazines sought to be imported were in the custody and control
of a foreign Government on or before September 13, 1994, along with
reasonable documentary evidence to support the certification; or
(iv) A certification from the importer, under penalty of perjury,
that the magazine was in the possession of a foreign arms supplier on or
before September 13, 1994, along with reasonable documentary evidence to
support the certification.
[[Page 67]]
(d) The Director shall act upon applications to import ammunition
feeding devices as expeditiously as possible. If the Director approves
the application, such approved application shall serve as the permit to
import the device described therein, and importation of such devices may
continue to be made by the person importing such devices under the
approved application (permit) during the period specified thereon. The
Director shall furnish the approved application (permit) to the
applicant and retain two copies thereof for administrative use. If the
Director disapproves the application, the person importing such devices
shall be notified of the basis for the disapproval.
(e) An ammunition feeding device imported or brought into the United
States by a person importing such a device may be released from Customs
custody to the person importing such a device upon showing that such
person has obtained a permit from the Director for the importation of
the device to be released. In obtaining the release from Customs custody
of such a device authorized by this section to be imported through use
of a permit, the person importing such a device shall prepare ATF Form
6A, in duplicate, and furnish the original ATF Form 6A to the Customs
officer releasing the device. The Customs officer shall, after
certification, forward the ATF Form 6A to the address specified on the
form. The ATF Form 6A shall show the name and address of the person
importing the device, the name of the manufacturer of the device, the
country of manufacture, the type, model, caliber, size, and the number
of devices released.
(f) Within 15 days of the date of release from Customs custody, the
person importing such a device shall:
(1) Forward to the address specified on the form a copy of ATF Form
6A on which shall be reported any error or discrepancy appearing on the
ATF Form 6A certified by Customs, and
(2) Pursuant to Sec. 478.92, place all required identification data
on each imported device manufactured after September 13, 1994, if same
did not bear such identification data at the time of its release from
Customs custody.
(g) The Director may authorize the conditional importation of an
ammunition feeding device as provided in Sec. 478.116.
(Paragraphs (a), (c), and (d) approved by the Office of Management and
Budget under control numbers 1140-0005 and 1140-0006; paragraphs (e) and
(f) approved by the Office of Management and Budget under control number
1140-0007)
[T.D. ATF-383, 61 FR 39322, July 29, 1996, as amended by T.D. ATF-11F,
73 FR 57241, Oct. 2, 2008]
Sec. 478.120 Firearms or ammunition imported by or for a nonimmigrant
alien.
(a) General. A nonimmigrant alien temporarily importing or bringing
firearms or ammunition into the United States for lawful hunting or
sporting purposes must first obtain an approved ATF Form 6NIA (5330.3D).
(b) Aliens admitted to the United States under a nonimmigrant visa.
(1) Any alien lawfully admitted to the United States under a
nonimmigrant visa who completes an ATF Form 6NIA to import firearms or
ammunition into the United States, or any licensee who completes an ATF
Form 6 to import firearms or ammunition for such nonimmigrant alien,
must attach applicable documentation to the Form 6NIA or Form 6
establishing the nonimmigrant alien falls within an exception specified
in 18 U.S.C. 922(y)(2) (e.g., a hunting license or permit lawfully
issued in the United States) or has obtained a waiver as specified in 18
U.S.C. 922(y)(3).
(2) Aliens admitted to the United States under a nonimmigrant visa
importing or bringing firearms or ammunition into the United States must
provide the United States Customs and Border Protection with applicable
documentation (e.g., a hunting license or permit lawfully issued in the
United States) establishing the nonimmigrant alien falls within an
exception specified in 18 U.S.C. 922(y)(2) or has obtained a waiver as
specified in 18 U.S.C. 922(y)(3) before the firearm or ammunition may be
imported. This provision applies in all cases, whether or not a
[[Page 68]]
Form 6 is needed to bring the firearms or ammunition into the United
States.
(Approved by the Office of Management and Budget under control number
1140-0060)
[T.D. ATF-24F, 77 FR 33629, June 7, 2012]
Subpart H_Records
Sec. 478.121 General.
(a) The records pertaining to firearms transactions prescribed by
this part shall be retained on the licensed premises in the manner
prescribed by this subpart and for the length of time prescribed by
Sec. 478.129. The records pertaining to ammunition prescribed by this
part shall be retained on the licensed premises in the manner prescribed
by Sec. 478.125.
(b) ATF officers may, for the purposes and under the conditions
prescribed in Sec. 478.23, enter the premises of any licensed importer,
licensed manufacturer, licensed dealer, or licensed collector for the
purpose of examining or inspecting any record or document required by or
obtained under this part. Section 923(g) of the Act requires licensed
importers, licensed manufacturers, licensed dealers, and licensed
collectors to make such records available for such examination or
inspection during business hours or, in the case of licensed collectors,
hours of operation, as provided in Sec. 478.23.
(c) Each licensed importer, licensed manufacturer, licensed dealer,
and licensed collector shall maintain such records of importation,
production, shipment, receipt, sale, or other disposition, whether
temporary or permanent, of firearms and such records of the disposition
of ammunition as the regulations contained in this part prescribe.
Section 922(m) of the Act makes it unlawful for any licensed importer,
licensed manufacturer, licensed dealer, or licensed collector knowingly
to make any false entry in, to fail to make appropriate entry in, or to
fail to properly maintain any such record.
(d) For recordkeeping requirements for sales by licensees at gun
shows see Sec. 478.100(c).
(Information collection requirements in paragraph (a) approved by the
Office of Management and Budget under control number 1140-0020;
information collection requirements in paragraphs (b) and (c) approved
by the Office of Management and Budget under control number 1140-0032)
[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-191, 49 FR 46891, Nov. 29, 1984; T.D. ATF-208,
50 FR 26703, June 28, 1985; T.D. ATF-270, 53 FR 10501, Mar. 31, 1988;
T.D. ATF-11F, 73 FR 57241, Oct. 2, 2008]
Sec. 478.122 Records maintained by importers.
(a) Each licensed importer shall, within 15 days of the date of
importation or other acquisition, record the type, model, caliber or
gauge, manufacturer, country of manufacture, and the serial number of
each firearm imported or otherwise acquired, and the date such
importation or other acquisition was made.
(b) A record of firearms disposed of by a licensed importer to
another licensee and a separate record of armor piercing ammunition
dispositions to governmental entities, for exportation, or for testing
or experimentation authorized under the provisions of Sec. 478.149
shall be maintained by the licensed importer on the licensed premises.
For firearms, the record shall show the quantity, type, manufacturer,
country of manufacture, caliber or gauge, model, serial number of the
firearms so transferred, the name and license number of the licensee to
whom the firearms were transferred, and the date of the transaction. For
armor piercing ammunition, the record shall show the date of the
transaction, manufacturer, caliber or gauge, quantity of projectiles,
and the name and address of the purchaser. The information required by
this paragraph shall be entered in the proper record book not later than
the seventh day following the date of the transaction, and such
information shall be recorded under the following formats:
[[Page 69]]
Importer's Firearms Disposition Record
----------------------------------------------------------------------------------------------------------------
Name and
license No. of
Quantity Type Manufacturer Country of Caliber or Model Serial licensee to Date of the
manufacture gauge No. whom transaction
transferred
----------------------------------------------------------------------------------------------------------------
Importer's Armor Piercing Ammunition Disposition Record
------------------------------------------------------------------------
Calibur or Quantity of Purchaser--Name and
Date Manufacturer gauge projectiles address
------------------------------------------------------------------------
(c) Notwithstanding the provisions of paragraph (b) of this section,
the Director of Industry Operations may authorize alternate records to
be maintained by a licensed importer to record the disposal of firearms
and armor piercing ammunition when it is shown by the licensed importer
that such alternate records will accurately and readily disclose the
information required by paragraph (b) of this section. A licensed
importer who proposes to use alternate records shall submit a letter
application, in duplicate, to the Director of Industry Operations and
shall describe the proposed alternate records and the need therefor.
Such alternate records shall not be employed by the licensed importer
until approval in such regard is received from the Director of Industry
Operations.
(d) Each licensed importer shall maintain separate records of the
sales or other dispositions made of firearms to nonlicensees. Such
records shall be maintained in the form and manner as prescribed by
Sec. Sec. 478.124 and 478.125 in regard to firearms transaction records
and records of acquisition and disposition of firearms.
(Approved by the Office of Management and Budget under control number
1140-0032)
[T.D. ATF-270, 53 FR 10501, Mar. 31, 1988, as amended by T.D. ATF-11F,
73 FR 57241, Oct. 2, 2008]
Sec. 478.123 Records maintained by manufacturers.
(a) Each licensed manufacturer shall record the type, model, caliber
or gauge, and serial number of each complete firearm manufactured or
otherwise acquired, and the date such manufacture or other acquisition
was made. The information required by this paragraph shall be recorded
not later than the seventh day following the date such manufacture or
other acquisition was made.
(b) A record of firearms disposed of by a manufacturer to another
licensee and a separate record of armor piercing ammunition dispositions
to governmental entities, for exportation, or for testing or
experimentation authorized under the provision of Sec. 478.149 shall be
maintained by the licensed manufacturer on the licensed premises. For
firearms, the record shall show the quantity, type, model, manufacturer,
caliber, size or gauge, serial number of the firearms so transferred,
the name and license number of the licensee to whom the firearms were
transferred, and the date of the transaction. For armor piercing
ammunition, the record shall show the manufacturer, caliber or gauge,
quantity, the name and address of the transferee to whom the armor
piercing ammunition was transferred, and the date of the transaction.
The information required by this paragraph shall be entered in the
proper record book not later than the seventh day following the date of
the transaction, and such information shall be recorded under the format
prescribed by Sec. 478.122, except that the name of the manufacturer of
a firearm or armor piercing ammunition need not be recorded if the
firearm or armor piercing ammunition is of the manufacturer's own
manufacture.
(c) Notwithstanding the provisions of paragraph (b) of this section,
the Director of Industry Operations may authorize alternate records to
be maintained by a licensed manufacturer to record the disposal of
firearms and armor piercing ammunition when it is shown by the licensed
manufacturer that such alternate records will accurately and readily
disclose the information required by paragraph (b) of this section. A
licensed manufacturer who proposes to use alternate records shall submit
a
[[Page 70]]
letter application, in duplicate, to the Director of Industry Operations
and shall describe the proposed alternate record and the need therefor.
Such alternate records shall not be employed by the licensed
manufacturer until approval in such regard is received from the Director
of Industry Operations.
(d) Each licensed manufacturer shall maintain separate records of
the sales or other dispositions made of firearms to nonlicensees. Such
records shall be maintained in the form and manner as prescribed by
Sec. Sec. 478.124 and 478.125 in regard to firearms transaction records
and records of acquisition and disposition of firearms.
(Approved by the Office of Management and Budget under control number
1140-0067)
[T.D. ATF-270, 53 FR 10501, Mar. 31, 1988, as amended by T.D. ATF-11F,
73 FR 57241, Oct. 2, 2008]
Sec. 478.124 Firearms transaction record.
(a) A licensed importer, licensed manufacturer, or licensed dealer
shall not sell or otherwise dispose, temporarily or permanently, of any
firearm to any person, other than another licensee, unless the licensee
records the transaction on a firearms transaction record, Form 4473:
Provided, That a firearms transaction record, Form 4473, shall not be
required to record the disposition made of a firearm delivered to a
licensee for the sole purpose of repair or customizing when such firearm
or a replacement firearm is returned to the person from whom received.
(b) A licensed manufacturer, licensed importer, or licensed dealer
shall retain in alphabetical (by name of purchaser), chronological (by
date of disposition), or numerical (by transaction serial number) order,
and as a part of the required records, each Form 4473 obtained in the
course of transferring custody of the firearms.
(c)(1) Prior to making an over-the-counter transfer of a firearm to
a nonlicensee who is a resident of the State in which the licensee's
business premises is located, the licensed importer, licensed
manufacturer, or licensed dealer so transferring the firearm shall
obtain a Form 4473 from the transferee showing the transferee's name,
sex, residence address (including county or similar political
subdivision), date and place of birth; height, weight and race of the
transferee; the transferee's country of citizenship; the transferee's
INS-issued alien number or admission number; the transferee's State of
residence; and certification by the transferee that the transferee is
not prohibited by the Act from transporting or shipping a firearm in
interstate or foreign commerce or receiving a firearm which has been
shipped or transported in interstate or foreign commerce or possessing a
firearm in or affecting commerce.
(2) In order to facilitate the transfer of a firearm and enable NICS
to verify the identity of the person acquiring the firearm, ATF Form
4473 also requests certain optional information. This information
includes the transferee's social security number. Such information may
help avoid the possibility of the transferee being misidentified as a
felon or other prohibited person.
(3) After the transferee has executed the Form 4473, the licensee:
(i) Shall verify the identity of the transferee by examining the
identification document (as defined in Sec. 478.11) presented, and
shall note on the Form 4473 the type of identification used;
(ii) [Reserved]
(iii) Must, in the case of a transferee who is an alien admitted to
the United States under a nonimmigrant visa who states that he or she
falls within an exception to, or has a waiver from, the prohibition in
section 922(g)(5)(B) of the Act, have the transferee present applicable
documentation establishing the exception or waiver, note on the Form
4473 the type of documentation provided, and attach a copy of the
documentation to the Form 4473; and
(iv) Shall comply with the requirements of Sec. 478.102 and record
on the form the date on which the licensee contacted the NICS, as well
as any response provided by the system, including any identification
number provided by the system.
(4) The licensee shall identify the firearm to be transferred by
listing on the Form 4473 the name of the manufacturer, the name of the
importer (if any), the type, model, caliber or gauge, and the serial
number of the firearm.
(5) The licensee shall sign and date the form if the licensee does
not know
[[Page 71]]
or have reasonable cause to believe that the transferee is disqualified
by law from receiving the firearm and transfer the firearm described on
the Form 4473.
(d) Prior to making an over-the-counter transfer of a shotgun or
rifle under the provisions contained in Sec. 478.96(c) to a nonlicensee
who is not a resident of the State in which the licensee's business
premises is located, the licensee so transferring the shotgun or rifle,
and such transferee, shall comply with the requirements of paragraph (c)
of this section.
(e) Prior to making a transfer of a firearm to any nonlicensee who
is not a resident of the State in which the licensee's business premises
is located, and such nonlicensee is acquiring the firearm by loan or
rental from the licensee for temporary use for lawful sporting purposes,
the licensed importer, licensed manufacturer, or licensed dealer so
furnishing the firearm, and such transferee, shall comply with the
provisions of paragraph (c) of this section.
(f) Form 4473 shall be submitted, in duplicate, to a licensed
importer, licensed manufacturer, or licensed dealer by a transferee who
is purchasing or otherwise acquiring a firearm by other than an over-
the-counter transaction, who is not subject to the provisions of Sec.
478.102(a), and who is a resident of the State in which the licensee's
business premises are located. The Form 4473 shall show the name,
address, date and place of birth, height, weight, and race of the
transferee; and the title, name, and address of the principal law
enforcement officer of the locality to which the firearm will be
delivered. The transferee also must date and execute the sworn statement
contained on the form showing, in case the firearm to be transferred is
a firearm other than a shotgun or rifle, the transferee is 21 years or
more of age; in case the firearm to be transferred is a shotgun or
rifle, the transferee is 18 years or more of age; whether the transferee
is a citizen of the United States; the transferee's State of residence;
the transferee is not prohibited by the provisions of the Act from
shipping or transporting a firearm in interstate or foreign commerce or
receiving a firearm which has been shipped or transported in interstate
or foreign commerce or possessing a firearm in or affecting commerce;
and the transferee's receipt of the firearm would not be in violation of
any statute of the State or published ordinance applicable to the
locality in which the transferee resides. Upon receipt of such Forms
4473, the licensee shall identify the firearm to be transferred by
listing in the Forms 4473 the name of the manufacturer, the name of the
importer (if any), the type, model, caliber or gauge, and the serial
number of the firearm to be transferred. The licensee shall prior to
shipment or delivery of the firearm to such transferee, forward by
registered or certified mail (return receipt requested) a copy of the
Form 4473 to the principal law enforcement officer named in the Form
4473 by the transferee, and shall delay shipment or delivery of the
firearm to the transferee for a period of at least 7 days following
receipt by the licensee of the return receipt evidencing delivery of the
copy of the Form 4473 to such principal law enforcement officer, or the
return of the copy of the Form 4473 to the licensee due to the refusal
of such principal law enforcement officer to accept same in accordance
with U.S. Postal Service regulations. The original Form 4473, and
evidence of receipt or rejection of delivery of the copy of the Form
4473 sent to the principal law enforcement officer, shall be retained by
the licensee as a part of the records required to be kept under this
subpart.
(g) A licensee who sells or otherwise disposes of a firearm to a
nonlicensee who is other than an individual, shall obtain from the
transferee the information required by this section from an individual
authorized to act on behalf of the transferee. In addition, the licensee
shall obtain from the individual acting on behalf of the transferee a
written statement, executed under the penalties of perjury, that the
firearm is being acquired for the use of and will be the property of the
transferee, and showing the name and address of that transferee.
(h) The requirements of this section shall be in addition to any
other recordkeeping requirement contained in this part.
[[Page 72]]
(i) A licensee may obtain, upon request, an emergency supply of
Forms 4473 from any Director of Industry Operations. For normal usage, a
licensee should request a year's supply from the ATF Distribution Center
(See Sec. 478.21).
(Paragraph (c) approved by the Office of Management and Budget under
control numbers 1140-0045, 1140-0020, and 1140-0060; paragraph (f)
approved by the Office of Management and Budget under control number
1140-0021; all other recordkeeping approved by the Office of Management
and Budget under control number 1140-0020)
[33 FR 18555, Dec. 14, 1968, as amended by T.D. ATF-172, 49 FR 14942,
Apr. 16, 1984; T.D. ATF-241, 51 FR 39625, Oct. 29, 1986; T.D. ATF-270,
53 FR 10502, Mar. 31, 1988; T.D. ATF-389, 62 FR 19444, Apr. 21, 1997;
T.D. ATF-415, 63 FR 58279, Oct. 29, 1998; T.D. ATF-471, 67 FR 5426, Feb.
5, 2002; T.D. ATF-11F, 73 FR 57241, Oct. 2, 2008; T.D. ATF-24F and 22I,
77 FR 33630, 33634, June 7, 2012]
Sec. 478.125 Record of receipt and disposition.
(a) Armor piercing ammunition sales by licensed collectors to
nonlicensees. The sale or other disposition of armor piercing ammunition
by licensed collectors shall be recorded in a bound record at the time a
transaction is made. The bound record shall be maintained in
chronological order by date of sale or disposition of the armor piercing
ammunition, and shall be retained on the licensed premises of the
licensee for a period not less than two years following the date of the
recorded sale or disposition of the armor piercing ammunition. The bound
record entry shall show:
(1) The date of the transaction;
(2) The name of the manufacturer;
(3) The caliber or gauge;
(4) The quantity of projectiles;
(5) The name, address, and date of birth of the nonlicensee; and
(6) The method used to establish the identity of the armor piercing
ammunition purchaser.
The format required for the bound record is as follows:
Disposition Record of Armor Piercing Ammunition
----------------------------------------------------------------------------------------------------------------
Purchaser Enter a (x) in the ``known'' column
----------------------- if purchaser is personally known to
you. Otherwise, establish the
Date Manufacturer Caliber or Quantity of purchaser's identification
gauge projectiles Name and Date of ------------------------------------
address birth Driver's Other type
Known license (specify)
----------------------------------------------------------------------------------------------------------------
However, when a commercial record is made at the time a transaction is
made, a licensee may delay making an entry into the bound record if the
provisions of paragraph (d) of this section are complied with.
(b) Armor piercing ammunition sales by licensed collectors to
licensees. Sales or other dispositions of armor piercing ammunition from
a licensed collector to another licensee shall be recorded and
maintained in the manner prescribed in Sec. 478.122(b) for importers:
Provided, That the license number of the transferee may be recorded in
lieu of the transferee's address.
(c) Armor piercing ammunition sales by licensed dealers to
governmental entities. A record of armor piercing ammunition disposed of
by a licensed dealer to a governmental entity pursuant to Sec.
478.99(e) shall be maintained by the licensed dealer on the licensed
premises and shall show the name of the manufacturer, the caliber or
gauge, the quantity, the name and address of the entity to which the
armor piercing ammunition was transferred, and the date of the
transaction. Such information shall be recorded under the format
prescribed by Sec. 478.122(b). Each licensed dealer disposing of armor
piercing ammunition pursuant to Sec. 478.99(e) shall also maintain a
record showing the date of acquisition of such ammunition which shall be
filed in an orderly manner separate from other commercial records
maintained and be readily available for inspection. The records required
by this paragraph shall be retained on the licensed premises of the
licensee for a period not less than two
[[Page 73]]
years following the date of the recorded sale or disposition of the
armor piercing ammunition.
(d) Commercial records of armor piercing ammunition transactions.
When a commercial record is made at the time of sale or other
disposition of armor piercing ammunition, and such record contains all
information required by the bound record prescribed by paragraph (a) of
this section, the licensed collector transferring the armor piercing
ammunition may, for a period not exceeding 7 days following the date of
such transfer, delay making the required entry into such bound record:
Provided, That the commercial record pertaining to the transfer is:
(1) Maintained by the licensed collector separate from other
commercial documents maintained by such licensee, and
(2) Is readily available for inspection on the licensed premises
until such time as the required entry into the bound record is made.
(e) Firearms receipt and disposition by dealers. Each licensed
dealer shall enter into a record each receipt and disposition of
firearms. In addition, before commencing or continuing a firearms
business, each licensed dealer shall inventory the firearms possessed
for such business and shall record same in the record required by this
paragraph. The record required by this paragraph shall be maintained in
bound form under the format prescribed below. The purchase or other
acquisition of a firearm shall, except as provided in paragraph (g) of
this section, be recorded not later than the close of the next business
day following the date of such purchase or acquisition. The record shall
show the date of receipt, the name and address or the name and license
number of the person from whom received, the name of the manufacturer
and importer (if any), the model, serial number, type, and the caliber
or gauge of the firearm. The sale or other disposition of a firearm
shall be recorded by the licensed dealer not later than 7 days following
the date of such transaction. When such disposition is made to a
nonlicensee, the firearms transaction record, Form 4473, obtained by the
licensed dealer shall be retained, until the transaction is recorded,
separate from the licensee's Form 4473 file and be readily available for
inspection. When such disposition is made to a licensee, the commercial
record of the transaction shall be retained, until the transaction is
recorded, separate from other commercial documents maintained by the
licensed dealer, and be readily available for inspection. The record
shall show the date of the sale or other disposition of each firearm,
the name and address of the person to whom the firearm is transferred,
or the name and license number of the person to whom transferred if such
person is a licensee, or the firearms transaction record, Form 4473,
serial number if the licensed dealer transferring the firearm serially
numbers the Forms 4473 and files them numerically. The format required
for the record of receipt and disposition of firearms is as follows:
Firearms Acquisition and Disposition Record
--------------------------------------------------------------------------------------------------------------------------------------------------------
Description of firearm Receipt Disposition
--------------------------------------------------------------------------------------------------------------------------------------------------------
Address or
Name and license No. if
Serial Caliber address or licensee, or Form
Manufacturer and importer (if any) Model No. Type or gauge Date name and Date Name 4473 Serial No.
license if Forms 4473
No. filed numerically
--------------------------------------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------------------------------------------
(f) Firearms receipt and disposition by licensed collectors. (1)
Each licensed collector shall enter into a record each receipt and
disposition of firearms curios or relics. The record required by this
paragraph shall be maintained in bound form under the format prescribed
below. The purchase or other acquisition of a curio or relic shall,
except as provided in paragraph (g) of this section, be recorded not
later than the close of the next business day following the date of such
purchase or other acquisition. The record shall show the date of
receipt, the name and
[[Page 74]]
address or the name and license number of the person from whom received,
the name of the manufacturer and importer (if any), the model, serial
number, type, and the caliber or gauge of the firearm curio or relic.
The sale or other disposition of a curio or relic shall be recorded by
the licensed collector not later than 7 days following the date of such
transaction. When such disposition is made to a licensee, the commercial
record of the transaction shall be retained, until the transaction is
recorded, separate from other commercial documents maintained by the
licensee, and be readily available for inspection. The record shall show
the date of the sale or other disposition of each firearm curio or
relic, the name and address of the person to whom the firearm curio or
relic is transferred, or the name and license number of the person to
whom transferred if such person is a licensee, and the date of birth of
the transferee if other than a licensee. In addition, the licensee shall
cause the transferee, if other than a licensee, to be identified in any
manner customarily used in commercial transactions (e.g., a driver's
license), and note on the record the method used.
(2) The format required for the record of receipt and disposition of
firearms by collectors is as follows:
Firearms Collectors Acquisition and Disposition Record
--------------------------------------------------------------------------------------------------------------------------------------------------------
Description of firearm Receipt Disposition
--------------------------------------------------------------------------------------------------------------------------------------------------------
Driver's
Name and Name and Date of license No. or
Serial Caliber address or address or birth if other
Manufacturer and importer (if any) Model No. Type or Date name and Date name and non- identification
gauge license No. license No. licensee if non-
licensee
--------------------------------------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------------------------------------------
(g) Commercial records of firearms received. When a commercial
record is held by a licensed dealer or licensed collector showing the
acquisition of a firearm or firearm curio or relic, and such record
contains all acquisition information required by the bound record
prescribed by paragraphs (e) and (f) of this section, the licensed
dealer or licensed collector acquiring such firearm or curio or relic,
may, for a period not exceeding 7 days following the date of such
acquisition, delay making the required entry into such bound record:
Provided, That the commercial record is, until such time as the required
entry into the bound record is made, (1) maintained by the licensed
dealer or licensed collector separate from other commercial documents
maintained by such licensee, and (2) readily available for inspection on
the licensed premises: Provided further, That when disposition is made
of a firearm or firearm curio or relic not entered in the bound record
under the provisions of this paragraph, the licensed dealer or licensed
collector making such disposition shall enter all required acquisition
information regarding the firearm or firearm curio or relic in the bound
record at the time such transfer or disposition is made.
(h) Alternate records. Notwithstanding the provisions of paragraphs
(a), (e), and (f) of this section, the Director of Industry Operations
may authorize alternate records to be maintained by a licensed dealer or
licensed collector to record the acquisition and disposition of firearms
or curios or relics and the disposition of armor piercing ammunition
when it is shown by the licensed dealer or the licensed collector that
such alternate records will accurately and readily disclose the required
information. A licensed dealer or licensed collector who proposes to use
alternate records shall submit a letter application, in duplicate, to
the Director of Industry Operations and shall describe the proposed
alternate records and the need therefor. Such alternate records shall
not be employed by the licensed dealer or licensed collector until
approval in such regard is received from the Director of Industry
Operations.
(i) Requirements for importers and manufacturers. Each licensed
importer and
[[Page 75]]
licensed manufacturer selling or otherwise disposing of firearms or
armor piercing ammunition to nonlicensees shall maintain such records of
such transactions as are required of licensed dealers by this section.
(Approved by the Office of Management and Budget under control number
1140-0032)
[T.D. ATF-270, 53 FR 10503, Mar. 31, 1988, as amended by T.D. ATF-273,
53 FR 24687, June 30, 1988; T.D. ATF-313, 56 FR 32508, July 17, 1991;
T.D. ATF-389, 62 FR 19445, Apr. 21, 1997; T.D. ATF-11F, 73 FR 57241,
Oct. 2, 2008; T.D. ATF-22I, 77 FR 33634, June 7, 2012; ATF-19 F, 79 FR
45092, Aug. 4, 2014; ATF 2015R-26, 81 FR 38071, June 13, 2016]
Sec. 478.125a Personal firearms collection.
(a) Notwithstanding any other provision of this subpart, a licensed
manufacturer, licensed importer, or licensed dealer is not required to
comply with the provisions of Sec. 478.102 or record on a firearms
transaction record, Form 4473, the sale or other disposition of a
firearm maintained as part of the licensee's personal firearms
collection: Provided, That
(1) The licensee has maintained the firearm as part of such
collection for 1 year from the date the firearm was transferred from the
business inventory into the personal collection or otherwise acquired as
a personal firearm,
(2) The licensee recorded in the bound record prescribed by Sec.
478.125(e) the receipt of the firearm into the business inventory or
other acquisition,
(3) The licensee recorded the firearm as a disposition in the bound
record prescribed by Sec. 478.125(e) when the firearm was transferred
from the business inventory into the personal firearms collection or
otherwise acquired as a personal firearm, and
(4) The licensee enters the sale or other disposition of the firearm
from the personal firearms collection into a bound record, under the
format prescribed below, identifying the firearm transferred by
recording the name of the manufacturer and importer (if any), the model,
serial number, type, and the caliber or gauge, and showing the date of
the sale or other disposition, the name and address of the transferee,
or the name and business address of the transferee if such person is a
licensee, and the date of birth of the transferee if other than a
licensee. In addition, the licensee shall cause the transferee, if other
than a licensee, to be identified in any manner customarily used in
commercial transactions (e.g., a drivers license). The format required
for the disposition record of personal firearms is as follows:
Disposition Record of Personal Firearms
----------------------------------------------------------------------------------------------------------------
Description of firearm Disposition
----------------------------------------------------------------------------------------------------------------
Name and
address
Manufacturer and Model Serial No. Type Caliber or Date (business Date of birth if
importer (if any) gauge address if nonlicensee
licensee)
----------------------------------------------------------------------------------------------------------------
(b) Any licensed manufacturer, licensed importer, or licensed dealer
selling or otherwise disposing of a firearm from the licensee's personal
firearms collection under this section shall be subject to the
restrictions imposed by the Act and this part on the dispositions of
firearms by persons other than licensed manufacturers, licensed
importers, and licensed dealers.
(Approved by the Office of Management and Budget under control number
1140-0032)
[T.D. ATF-270, 53 FR 10504, Mar. 31, 1988, as amended by T.D. ATF-313,
56 FR 32509, July 17, 1991; T.D. ATF-415, 63 FR 58280, Oct. 29, 1998;
T.D. ATF-11F, 73 FR 57242, Oct. 2, 2008; T.D. ATF 2015R-26, 81 FR 38071,
June 13, 2016]
[[Page 76]]
Sec. 478.126 Furnishing transaction information.
(a) Each licensee shall, when required by letter issued by the
Director of Industry Operations, and until notified to the contrary in
writing by such officer, submit on Form 5300.5, Report of Firearms
Transactions, for the periods and at the times specified in the letter
issued by the Director of Industry Operations, all record information
required by this subpart, or such lesser record information as the
Director of Industry Operations in his letter may specify.
(b) The Director of Industry Operations may authorize the
information to be submitted in a manner other than that prescribed in
paragraph (a) of this section when it is shown by a licensee that an
alternate method of reporting is reasonably necessary and will not
unduly hinder the effective administration of this part. A licensee who
proposes to use an alternate method of reporting shall submit a letter
application, in duplicate, to the Director of Industry Operations and
shall describe the proposed alternate method of reporting and the need
therefor. An alternate method of reporting shall not be employed by the
licensee until approval in such regard is received from the Director of
Industry Operations.
(Approved by the Office of Management and Budget under control number
1140-0032)
[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-172, 49 FR 14942, Apr. 16, 1984; T.D. ATF-11F,
73 FR 57242, Oct. 2, 2008; T.D. ATF 2013R-9F, 79 FR 46692, Aug. 11,
2014]
Sec. 478.126a Reporting multiple sales or other disposition of
pistols and revolvers.
Each licensee shall prepare a report of multiple sales or other
disposition whenever the licensee sells or otherwise disposes of, at one
time or during any five consecutive business days, two or more pistols,
or revolvers, or any combination of pistols and revolvers totaling two
or more, to an unlicensed person: Provided, That a report need not be
made where pistols or revolvers, or any combination thereof, are
returned to the same person from whom they were received. The report
shall be prepared on Form 3310.4, Report of Multiple Sale or Other
Disposition of Pistols and Revolvers. Not later than the close of
business on the day that the multiple sale or other disposition occurs,
the licensee shall forward two copies of Form 3310.4 to the ATF office
specified thereon and one copy to the State police or to the local law
enforcement agency in which the sale or other disposition took place.
Where the State or local law enforcement officials have notified the
licensee that a particular official has been designated to receive Forms
3310.4, the licensee shall forward such forms to that designated
official. The licensee shall retain one copy of Form 3310.4 and attach
it to the firearms transaction record, Form 4473, executed upon delivery
of the pistols or revolvers.
Example. 1. A licensee sells a pistol and revolver in a single
transaction to an unlicensed person. This is a multiple sale and must be
reported not later than the close of business on the date of the
transaction.
Example. 2. A licensee sells a pistol on Monday and sells a revolver
on the following Friday to the same unlicensed person. This is a
multiple sale and must be reported not later than the close of business
on Friday. If the licensee sells the same unlicensed person another
pistol or revolver on the following Monday, this would constitute an
additional multiple sale and must also be reported.
Example 3. A licensee maintaining business hours on Monday through
Saturday sells a revolver to an unlicensed person on Monday and sells
another revolver to the same person on the following Saturday. This does
not constitute a multiple sale and need not be reported since the sales
did not occur during five consecutive business days.
(Approved by the Office of Management and Budget under control number
1140-0003)
[T.D. ATF-16, 40 FR 19202, May 2, 1975, as amended by T.D. ATF-172, 49
FR 14942, Apr. 16, 1984; T.D. ATF-270, 53 FR 10505, Mar. 31, 1988; T.D.
ATF-354, 59 FR 7113, Feb. 14, 1994; T.D. ATF-361, 60 FR 10787, Feb. 27,
1995; T.D. ATF-11F, 73 FR 57242, Oct. 2, 2008]
Sec. 478.127 Discontinuance of business.
Where a licensed business is discontinued and succeeded by a new
licensee, the records prescribed by this subpart shall appropriately
reflect such facts and shall be delivered to the successor. Where
discontinuance of the business is absolute, the records shall be
delivered within 30 days following the business discontinuance to the
ATF Out-of-
[[Page 77]]
Business Records Center, 244 Needy Road, Martinsburg, West Virginia
25405, or to any ATF office in the division in which the business was
located: Provided, however, Where State law or local ordinance requires
the delivery of records to other responsible authority, the Chief,
Federal Firearms Licensing Center may arrange for the delivery of the
records required by this subpart to such authority: Provided further,
That where a licensed business is discontinued and succeeded by a new
licensee, the records may be delivered within 30 days following the
business discontinuance to the ATF Out-of-Business Records Center or to
any ATF office in the division in which the business was located.
[T.D. ATF-290, 54 FR 53055, Dec. 27, 1989, as amended by T.D. ATF-363,
60 FR 17455, Apr. 6, 1995; T.D. ATF-11F, 73 FR 57242, Oct. 2, 2008]
Sec. 478.128 False statement or representation.
(a) Any person who knowingly makes any false statement or
representation in applying for any license or exemption or relief from
disability, under the provisions of the Act, shall be fined not more
than $5,000 or imprisoned not more than 5 years, or both.
(b) Any person other than a licensed manufacturer, licensed
importer, licensed dealer, or licensed collector who knowingly makes any
false statement or representation with respect to any information
required by the provisions of the Act or this part to be kept in the
records of a person licensed under the Act or this part shall be fined
not more than $5,000 or imprisoned not more than 5 years, or both.
(c) Any licensed manufacturer, licensed importer, licensed dealer,
or licensed collector who knowingly makes any false statement or
representation with respect to any information required by the
provisions of the Act or this part to be kept in the records of a person
licensed under the Act or this part shall be fined not more than $1,000
or imprisoned not more than 1 year, or both.
[T.D. ATF-270, 53 FR 10505, Mar. 31, 1988]
Sec. 478.129 Record retention.
(a) Records prior to Act. Licensed importers and licensed
manufacturers may dispose of records of sale or other disposition of
firearms prior to December 16, 1968. Licensed dealers and licensed
collectors may dispose of all records of firearms transactions that
occurred prior to December 16, 1968.
(b) Firearms transaction record. Licensees shall retain each Form
4473 and Form 4473(LV) for a period of not less than 20 years after the
date of sale or disposition. Where a licensee has initiated a NICS check
for a proposed firearms transaction, but the sale, delivery, or transfer
of the firearm is not made, the licensee shall record any transaction
number on the Form 4473, and retain the Form 4473 for a period of not
less than 5 years after the date of the NICS inquiry. Forms 4473 shall
be retained in the licensee's records as provided in Sec. 478.124(b):
Provided, That Forms 4473 with respect to which a sale, delivery or
transfer did not take place shall be separately retained in alphabetical
(by name of transferee) or chronological (by date of transferee's
certification) order.
(c) Statement of intent to obtain a handgun, reports of multiple
sales or other disposition of pistols and revolvers, and reports of
theft or loss of firearms. Licensees shall retain each Form 5300.35
(Statement of Intent to Obtain a Handgun(s)) for a period of not less
than 5 years after notice of the intent to obtain the handgun was
forwarded to the chief law enforcement officer, as defined in Sec.
478.150(c). Licensees shall retain each copy of Form 3310.4 (Report of
Multiple Sale or Other Disposition of Pistols and Revolvers) for a
period of not less than 5 years after the date of sale or other
disposition. Licensees shall retain each copy of Form 3310.11 (Federal
Firearms Licensee Theft/Loss Report) for a period of not less than 5
years after the date the theft or loss was reported to ATF.
(d) Records of importation and manufacture. Licensees will maintain
permanent records of the importation, manufacture, or other acquisition
of firearms, including ATF Forms 6 and 6A as required by subpart G of
this part. Licensed importers' records and licensed manufacturers'
records of the sale or
[[Page 78]]
other disposition of firearms after December 15, 1968, shall be retained
through December 15, 1988, after which records of transactions over 20
years of age may be discarded.
(e) Records of dealers and collectors under the Act. The records
prepared by licensed dealers and licensed collectors under the Act of
the sale or other disposition of firearms and the corresponding record
of receipt of such firearms shall be retained through December 15, 1988,
after which records of transactions over 20 years of age may be
discarded.
(f) Retention of records of transactions in semiautomatic assault
weapons. The documentation required by Sec. Sec. 478.40(c) and 478.132
shall be retained in the licensee's permanent records for a period of
not less than 5 years after the date of sale or other disposition.
(Paragraph (b) approved by the Office of Management and Budget under
control number 1512-0544; Paragraph (c) approved by the Office of
Management and Budget under control numbers 1512-0520, 1512-0006, and
1512-0524; Paragraph (f) approved by the Office of Management and Budget
under control number 1512-0526; all other recordkeeping approved by the
Office of Management and Budget under control number 1512-0129)
[T.D. ATF-208, 50 FR 26704, June 28, 1985 and correctly designated at 50
FR 35081, Aug. 29, 1985, as amended by T.D. ATF-273, 53 FR 24687, June
30, 1988; T.D. ATF-361, 60 FR 10787, Feb. 27, 1995; T.D. ATF-363, 60 FR
17455, Apr. 6, 1995; T.D. ATF-415, 63 FR 58280, Oct. 29, 1998; T.D. ATF-
426, 65 FR 38201, June 20, 2000]
Sec. 478.131 Firearms transactions not subject to a NICS check.
(a)(1) A licensed importer, licensed manufacturer, or licensed
dealer whose sale, delivery, or transfer of a firearm is made pursuant
to the alternative provisions of Sec. 478.102(d) and is not subject to
the NICS check prescribed by Sec. 478.102(a) shall maintain the records
required by paragraph (a) of this section.
(2) If the transfer is pursuant to a permit or license in accordance
with Sec. 478.102(d)(1), the licensee shall either retain a copy of the
purchaser's permit or license and attach it to the firearms transaction
record, Form 4473, or record on the firearms transaction record, Form
4473, any identifying number, the date of issuance, and the expiration
date (if provided) from the permit or license.
(3) If the transfer is pursuant to a certification by ATF in
accordance with Sec. Sec. 478.102(d)(3) and 478.150, the licensee shall
maintain the certification as part of the records required to be kept
under this subpart and for the period prescribed for the retention of
Form 5300.35 in Sec. 478.129(c).
(b) The requirements of this section shall be in addition to any
other recordkeeping requirements contained in this part.
(Approved by the Office of Management and Budget under control number
1140-0045)
[T.D. ATF-415, 63 FR 58280, Oct. 29, 1998, as amended by T.D. ATF-11F,
73 FR 57242, Oct. 2, 2008]
Sec. 478.132 Dispositions of semiautomatic assault weapons and large
capacity ammunition feeding devices to law enforcement officers for
official use and to employees or contractors of nuclear facilities.
Licensed manufacturers, licensed importers, and licensed dealers in
semiautomatic assault weapons, as well as persons who manufacture,
import, or deal in large capacity ammunition feeding devices, may
transfer such weapons and devices manufactured after September 13, 1994,
to law enforcement officers and to employees or contractors of nuclear
facilities with the following documentation:
(a) Law enforcement officers. (1) A written statement from the
purchasing officer, under penalty of perjury, stating that the weapon or
device is being purchased for use in performing official duties and that
the weapon or device is not being acquired for personal use or for
purposes of transfer or resale; and
(2) A written statement from a supervisor of the purchasing officer,
on agency letterhead, under penalty of perjury, stating that the
purchasing officer is acquiring the weapon or device for use in official
duties, that the firearm is suitable for use in performing official
duties, and that the weapon or device is not being acquired for personal
use or for purposes of transfer or resale.
[[Page 79]]
(b) Employees or contractors of nuclear facilities. (1) Evidence
that the employee is employed by a nuclear facility licensed pursuant to
42 U.S.C. 2133 or evidence that the contractor has a valid contract with
such a facility.
(2) A written statement from the purchasing employee or contractor
under penalty of perjury, stating that the weapon or device is being
purchased for one of the purposes authorized in Sec. Sec. 478.40(b)(7)
and 478.40(b)(3), i.e., on-site physical protection, on-site or off-site
training, or off-site transportation of nuclear materials.
(3) A written statement from a supervisor of the purchasing employee
or contractor, on agency or company letterhead, under penalty of
perjury, stating that the purchasing employee or contractor is acquiring
the weapon or device for use in official duties, and that the weapon or
device is not being acquired for personal use or for purposes of
transfer or resale.
(Approved by the Office of Management and Budget under control number
1140-0041)
[T.D. ATF-396, 63 FR 12646, Mar. 16, 1998, as amended by T.D. ATF-11F,
73 FR 57242, Oct. 2, 2008]
Sec. 478.133 Records of transactions in semiautomatic assault weapons.
The evidence specified in Sec. 478.40(c), relating to transactions
in semiautomatic assault weapons, shall be retained in the permanent
records of the manufacturer or dealer and in the records of the licensee
to whom the weapons are transferred.
(Approved by the Office of Management and Budget under control number
1140-0041)
[T.D. ATF-363, 60 FR 17455, Apr. 6, 1995, as amended by T.D. ATF-11F, 73
FR 57242, Oct. 2, 2008]
Sec. 478.134 Sale of firearms to law enforcement officers.
(a) Law enforcement officers purchasing firearms for official use
who provide the licensee with a certification on agency letterhead,
signed by a person in authority within the agency (other than the
officer purchasing the firearm), stating that the officer will use the
firearm in official duties and that a records check reveals that the
purchasing officer has no convictions for misdemeanor crimes of domestic
violence are not required to complete Form 4473 or Form 5300.35. The law
enforcement officer purchasing the firearm may purchase a firearm from a
licensee in another State, regardless of where the officer resides or
where the agency is located.
(b)(1) The following individuals are considered to have sufficient
authority to certify that law enforcement officers purchasing firearms
will use the firearms in the performance of official duties:
(i) In a city or county police department, the director of public
safety or the chief or commissioner of police.
(ii) In a sheriff's office, the sheriff.
(iii) In a State police or highway patrol department, the
superintendent or the supervisor in charge of the office to which the
State officer or employee is assigned.
(iv) In Federal law enforcement offices, the supervisor in charge of
the office to which the Federal officer or employee is assigned.
(2) An individual signing on behalf of the person in authority is
acceptable, provided there is a proper delegation of authority.
(c) Licensees are not required to prepare a Form 4473 or Form
5300.35 covering sales of firearm made in accordance with paragraph (a)
of this section to law enforcement officers for official use. However,
disposition to the officer must be entered into the licensee's permanent
records, and the certification letter must be retained in the licensee's
files.
[T.D. ATF-401, 63 FR 35523, June 30, 1998]
Subpart I_Exemptions, Seizures, and Forfeitures
Sec. 478.141 General.
With the exception of Sec. Sec. 478.32(a)(9) and (d)(9) and
478.99(c)(9), the provisions of this part shall not apply with respect
to:
(a) The transportation, shipment, receipt, possession, or
importation of any firearm or ammunition imported for, sold or shipped
to, or issued for the use of, the United States or any department or
agency thereof or any State or
[[Page 80]]
any department, agency, or political subdivision thereof.
(b) The shipment or receipt of firearms or ammunition when sold or
issued by the Secretary of the Army pursuant to section 4308 of Title
10, U.S.C., and the transportation of any such firearm or ammunition
carried out to enable a person, who lawfully received such firearm or
ammunition from the Secretary of the Army, to engage in military
training or in competitions.
(c) The shipment, unless otherwise prohibited by the Act or any
other Federal law, by a licensed importer, licensed manufacturer, or
licensed dealer to a member of the U.S. Armed Forces on active duty
outside the United States or to clubs, recognized by the Department of
Defense, whose entire membership is composed of such members of the U.S.
Armed Forces, and such members or clubs may receive a firearm or
ammunition determined by the Director to be generally recognized as
particularly suitable for sporting purposes and intended for the
personal use of such member or club. Before making a shipment of
firearms or ammunition under the provisions of this paragraph, a
licensed importer, licensed manufacturer, or licensed dealer may submit
a written request, in duplicate, to the Director for a determination by
the Director whether such shipment would constitute a violation of the
Act or any other Federal law, or whether the firearm or ammunition is
considered by the Director to be generally recognized as particularly
suitable for sporting purposes.
(d) The transportation, shipment, receipt, possession, or
importation of any antique firearm.
[33 FR 18555, Dec. 14, 1968. Redesignated at 40 FR 10835, Apr. 15, 1975,
and amended by T.D. ATF-241, 51 FR 39628, Oct. 29, 1986; T.D. ATF-270,
53 FR 10505, Mar. 31, 1988; T.D. ATF-313, 56 FR 32509, July 17, 1991;
T.D. ATF-401, 63 FR 35523, June 30, 1998]
Sec. 478.142 Effect of pardons and expunctions of convictions.
(a) A pardon granted by the President of the United States regarding
a Federal conviction for a crime punishable by imprisonment for a term
exceeding 1 year shall remove any disability which otherwise would be
imposed by the provisions of this part with respect to that conviction.
(b) A pardon granted by the Governor of a State or other State
pardoning authority or by the pardoning authority of a foreign
jurisdiction with respect to a conviction, or any expunction, reversal,
setting aside of a conviction, or other proceeding rendering a
conviction nugatory, or a restoration of civil rights shall remove any
disability which otherwise would be imposed by the provisions of this
part with respect to the conviction, unless:
(1) The pardon, expunction, setting aside, or other proceeding
rendering a conviction nugatory, or restoration of civil rights
expressly provides that the person may not ship, transport, possess or
receive firearms; or
(2) The pardon, expunction, setting aside, or other proceeding
rendering a conviction nugatory, or restoration of civil rights did not
fully restore the rights of the person to possess or receive firearms
under the law of the jurisdiction where the conviction occurred.
[T.D. ATF-270, 53 FR 10505, Mar. 31, 1988]
Sec. 478.143 Relief from disabilities incurred by indictment.
A licensed importer, licensed manufacturer, licensed dealer, or
licensed collector who is indicted for a crime punishable by
imprisonment for a term exceeding 1 year may, notwithstanding any other
provision of the Act, continue operations pursuant to his existing
license during the term of such indictment and until any conviction
pursuant to the indictment becomes final: Provided, That if the term of
the license expires during the period between the date of the indictment
and the date the conviction thereunder becomes final, such importer,
manufacturer, dealer, or collector must file a timely application for
the renewal of his license in order to continue operations. Such
application shall show that the applicant is under indictment for a
crime punishable by imprisonment for a term exceeding 1 year.
[[Page 81]]
Sec. 478.144 Relief from disabilities under the Act.
(a) Any person may make application for relief from the disabilities
under section 922 (g) and (n) of the Act (see Sec. 478.32).
(b) An application for such relief shall be filed, in triplicate,
with the Director. It shall include the information required by this
section and such other supporting data as the Director and the applicant
deem appropriate.
(c) Any record or document of a court or other government entity or
official required by this paragraph to be furnished by an applicant in
support of an application for relief shall be certified by the court or
other government entity or official as a true copy. An application shall
include:
(1) In the case of an applicant who is an individual, a written
statement from each of 3 references, who are not related to the
applicant by blood or marriage and have known the applicant for at least
3 years, recommending the granting of relief;
(2) Written consent to examine and obtain copies of records and to
receive statements and information regarding the applicant's background,
including records, statements and other information concerning
employment, medical history, military service, and criminal record;
(3) In the case of an applicant under indictment, a copy of the
indictment or information;
(4) In the case of an applicant having been convicted of a crime
punishable by imprisonment for a term exceeding 1 year, a copy of the
indictment or information on which the applicant was convicted, the
judgment of conviction or record of any plea of nolo contendere or plea
of guilty or finding of guilt by the court, and any pardon, expunction,
setting aside or other record purporting to show that the conviction was
rendered nugatory or that civil rights were restored;
(5) In the case of an applicant who has been adjudicated a mental
defective or committed to a mental institution, a copy of the order of a
court, board, commission, or other lawful authority that made the
adjudication or ordered the commitment, any petition that sought to have
the applicant so adjudicated or committed, any medical records
reflecting the reasons for commitment and diagnoses of the applicant,
and any court order or finding of a court, board, commission, or other
lawful authority showing the applicant's discharge from commitment,
restoration of mental competency and the restoration of rights;
(6) In the case of an applicant who has been discharged from the
Armed Forces under dishonorable conditions, a copy of the applicant's
summary of service record (Department of Defense Form 214), charge sheet
(Department of Defense Form 458), and final court martial order;
(7) In the case of an applicant who, having been a citizen of the
United States, has renounced his or her citizenship, a copy of the
formal renunciation of nationality before a diplomatic or consular
officer of the United States in a foreign state or before an officer
designated by the Attorney General when the United States was in a state
of war (see 8 U.S.C. 1481(a) (5) and (6)); and
(8) In the case of an applicant who has been convicted of a
misdemeanor crime of domestic violence, a copy of the indictment or
information on which the applicant was convicted, the judgment of
conviction or record of any plea of nolo contendere or plea of guilty or
finding of guilt by the court, and any pardon, expunction, setting aside
or other record purporting to show that the conviction was rendered
nugatory or that civil rights were restored.
(d) The Director may grant relief to an applicant if it is
established to the satisfaction of the Director that the circumstances
regarding the disability, and the applicant's record and reputation, are
such that the applicant will not be likely to act in a manner dangerous
to public safety, and that the granting of the relief would not be
contrary to the public interest. The Director will not ordinarily grant
relief if the applicant has not been discharged from parole or probation
for a period of at least 2 years. Relief will not be granted to an
applicant who is prohibited from possessing all types of firearms by the
law of the State where such applicant resides.
[[Page 82]]
(e) In addition to meeting the requirements of paragraph (d) of this
section, an applicant who has been adjudicated a mental defective or
committed to a mental institution will not be granted relief unless the
applicant was subsequently determined by a court, board, commission, or
other lawful authority to have been restored to mental competency, to be
no longer suffering from a mental disorder, and to have had all rights
restored.
(f) Upon receipt of an incomplete or improperly executed application
for relief, the applicant shall be notified of the deficiency in the
application. If the application is not corrected and returned within 30
days following the date of notification, the application shall be
considered as having been abandoned.
(g) Whenever the Director grants relief to any person pursuant to
this section, a notice of such action shall be promptly published in the
Federal Register, together with the reasons therefor.
(h) A person who has been granted relief under this section shall be
relieved of any disabilities imposed by the Act with respect to the
acquisition, receipt, transfer, shipment, transportation, or possession
of firearms or ammunition and incurred by reason of such disability.
(i)(1) A licensee who incurs disabilities under the Act (see Sec.
478.32(a)) during the term of a current license or while the licensee
has pending a license renewal application, and who files an application
for removal of such disabilities, shall not be barred from licensed
operations for 30 days following the date on which the applicant was
first subject to such disabilities (or 30 days after the date upon which
the conviction for a crime punishable by imprisonment for a term
exceeding 1 year becomes final), and if the licensee files the
application for relief as provided by this section within such 30-day
period, the licensee may further continue licensed operations during the
pendency of the application. A licensee who does not file such
application within such 30-day period shall not continue licensed
operations beyond 30 days following the date on which the licensee was
first subject to such disabilities (or 30 days from the date the
conviction for a crime punishable by imprisonment for a term exceeding 1
year becomes final).
(2) In the event the term of a license of a person expires during
the 30-day period specified in paragraph (i)(1) of this section, or
during the pendency of the application for relief, a timely application
for renewal of the license must be filed in order to continue licensed
operations. Such license application shall show that the applicant is
subject to Federal firearms disabilities, shall describe the event
giving rise to such disabilities, and shall state when the disabilities
were incurred.
(3) A licensee shall not continue licensed operations beyond 30 days
following the date the Director issues notification that the licensee's
applications for removal of disabilities has been denied.
(4) When as provided in this paragraph a licensee may no longer
continue licensed operations, any application for renewal of license
filed by the licensee during the pendency of the application for removal
of disabilities shall be denied by the Director of Industry Operations.
[T.D. ATF-270, 53 FR 10506, Mar. 31, 1988, as amended by T.D. ATF-313,
56 FR 32509, July 17, 1991; 56 FR 43649, Sept. 3, 1991; T.D. ATF-401, 63
FR 35523, June 30, 1998]
Sec. 478.145 Research organizations.
The provisions of Sec. 478.98 with respect to the sale or delivery
of destructive devices, machine guns, short-barreled shotguns, and
short-barreled rifles shall not apply to the sale or delivery of such
devices and weapons to any research organization designated by the
Director to receive same. A research organization desiring such
designation shall submit a letter application, in duplicate, to the
Director. Such application shall contain the name and address of the
research organization, the names and addresses of the persons directing
or controlling, directly or indirectly, the policies and management of
such organization, the nature and purpose of the research being
conducted, a description of the devices and weapons to be received, and
the identity of the
[[Page 83]]
person or persons from whom such devices and weapons are to be received.
[T.D. ATF-270, 53 FR 10507, Mar. 31, 1988]
Sec. 478.146 Deliveries by mail to certain persons.
The provisions of this part shall not be construed as prohibiting a
licensed importer, licensed manufacturer, or licensed dealer from
depositing a firearm for conveyance in the mails to any officer,
employee, agent, or watchman who, pursuant to the provisions of section
1715 of title 18, U.S.C., is eligible to receive through the mails
pistols, revolvers, and other firearms capable of being concealed on the
person, for use in connection with his official duties.
Sec. 478.147 Return of firearm.
A person not otherwise prohibited by Federal, State or local law may
ship a firearm to a licensed importer, licensed manufacturer, or
licensed dealer for any lawful purpose, and, notwithstanding any other
provision of this part, the licensed manufacturer, licensed importer, or
licensed dealer may return in interstate or foreign commerce to that
person the firearm or a replacement firearm of the same kind and type.
See Sec. 478.124(a) for requirements of a Form 4473 prior to return. A
person not otherwise prohibited by Federal, State or local law may ship
a firearm curio or relic to a licensed collector for any lawful purpose,
and, notwithstanding any other provision of this part, the licensed
collector may return in interstate or foreign commerce to that person
the firearm curio or relic.
[T.D. ATF-270, 53 FR 10507, Mar. 31, 1988]
Sec. 478.148 Armor piercing ammunition intended for sporting or
industrial purposes.
The Director may exempt certain armor piercing ammunition from the
requirements of this part. A person who desires to obtain an exemption
under this section for any such ammunition which is primarily intended
for sporting purposes or intended for industrial purposes, including
charges used in oil and gas well perforating devices, shall submit a
written request to the Director. Each request shall be executed under
the penalties of perjury and contain a complete and accurate description
of the ammunition, the name and address of the manufacturer or importer,
the purpose of and use for which it is designed and intended, and any
photographs, diagrams, or drawings as may be necessary to enable the
Director to make a determination. The Director may require that a sample
of the ammunition be submitted for examination and evaluation.
[T.D. ATF-270, 53 FR 10507, Mar. 31, 1988]
Sec. 478.149 Armor piercing ammunition manufactured or imported for
the purpose of testing or experimentation.
The provisions of Sec. Sec. 478.37 and 478.99(d) with respect to
the manufacture or importation of armor piercing ammunition and the sale
or delivery of armor piercing ammunition by manufacturers and importers
shall not apply to the manufacture, importation, sale or delivery of
armor piercing ammunition for the purpose of testing or experimentation
as authorized by the Director. A person desiring such authorization to
receive armor piercing ammunition shall submit a letter application, in
duplicate, to the Director. Such application shall contain the name and
addresses of the persons directing or controlling, directly or
indirectly, the policies and management of the applicant, the nature or
purpose of the testing or experimentation, a description of the armor
piercing ammunition to be received, and the identity of the manufacturer
or importer from whom such ammunition is to be received. The approved
application shall be submitted to the manufacturer or importer who shall
retain a copy as part of the records required by subpart H of this part.
[T.D. ATF-270, 53 FR 10507, Mar. 31, 1988]
Sec. 478.150 Alternative to NICS in certain geographical locations.
(a) The provisions of Sec. 478.102(d)(3) shall be applicable when
the Director has certified that compliance with the provisions of Sec.
478.102(a)(1) is impracticable because:
(1) The ratio of the number of law enforcement officers of the State
in
[[Page 84]]
which the transfer is to occur to the number of square miles of land
area of the State does not exceed 0.0025;
(2) The business premises of the licensee at which the transfer is
to occur are extremely remote in relation to the chief law enforcement
officer; and
(3) There is an absence of telecommunications facilities in the
geographical area in which the business premises are located.
(b) A licensee who desires to obtain a certification under this
section shall submit a written request to the Director. Each request
shall be executed under the penalties of perjury and contain information
sufficient for the Director to make such certification. Such information
shall include statistical data, official reports, or other statements of
government agencies pertaining to the ratio of law enforcement officers
to the number of square miles of land area of a State and statements of
government agencies and private utility companies regarding the absence
of telecommunications facilities in the geographical area in which the
licensee's business premises are located.
(c) For purposes of this section and Sec. 478.129(c), the ``chief
law enforcement officer'' means the chief of police, the sheriff, or an
equivalent officer or the designee of any such individual.
(Approved by the Office of Management and Budget under control number
1140-0045)
[T.D. ATF-415, 63 FR 58280, Oct. 29, 1998, as amended by T.D. ATF-11F,
73 FR 57242, Oct. 2, 2008]
Sec. 478.151 Semiautomatic rifles or shotguns for testing or
experimentation.
(a) The provisions of Sec. 478.39 shall not apply to the assembly
of semiautomatic rifles or shotguns for the purpose of testing or
experimentation as authorized by the Director.
(b) A person desiring authorization to assemble nonsporting
semiautomatic rifles or shotguns shall submit a written request, in
duplicate, to the Director. Each such request shall be executed under
the penalties of perjury and shall contain a complete and accurate
description of the firearm to be assembled, and such diagrams or
drawings as may be necessary to enable the Director to make a
determination. The Director may require the submission of the firearm
parts for examination and evaluation. If the submission of the firearm
parts is impractical, the person requesting the authorization shall so
advise the Director and designate the place where the firearm parts will
be available for examination and evaluation.
(Paragraph (b) approved by the Office of Management and Budget under
control number 1140-0037)
[T.D. ATF-346, 58 FR 40590, July 29, 1993, as amended by T.D. ATF-11F,
73 FR 57242, Oct. 2, 2008]
Sec. 478.152 Seizure and forfeiture.
(a) Any firearm or ammunition involved in or used in any knowing
violation of subsections (a)(4), (a)(6), (f), (g), (h), (i), (j), or (k)
of section 922 of the Act, or knowing importation or bringing into the
United States or any possession thereof any firearm or ammunition in
violation of section 922(l) of the Act, or knowing violation of section
924 of the Act, or willful violation of any other provision of the Act
or of this part, or any violation of any other criminal law of the
United States, or any firearm or ammunition intended to be used in any
offense referred to in paragraph (c) of this section, where such intent
is demonstrated by clear and convincing evidence, shall be subject to
seizure and forfeiture, and all provisions of the Internal Revenue Code
of 1986 relating to the seizure, forfeiture, and disposition of
firearms, as defined in section 5845(a) of that Code, shall, so far as
applicable, extend to seizures and forfeitures under the provisions of
the Act: Provided, That upon acquittal of the owner or possessor, or
dismissal of the charges against such person other than upon motion of
the Government prior to trial, or lapse of or court termination of the
restraining order to which he is subject, the seized or relinquished
firearms or ammunition shall be returned forthwith to the owner or
possessor or to a person delegated by the owner or possessor unless the
return of the firearms or ammunition would place the owner or possessor
or the delegate of the owner or possessor in violation of law. Any
action
[[Page 85]]
or proceeding for the forfeiture of firearms or ammunition shall be
commenced within 120 days of such seizure.
(b) Only those firearms or quantities of ammunition particularly
named and individually identified as involved in or used in any
violation of the provisions of the Act or this part, or any other
criminal law of the United States or as intended to be used in any
offense referred to in paragraph (c) of this section, where such intent
is demonstrated by clear and convincing evidence, shall be subject to
seizure, forfeiture and disposition.
(c) The offenses referred to in paragraphs (a) and (b) of this
section for which firearms and ammunition intended to be used in such
offenses are subject to seizure and forfeiture are:
(1) Any crime of violence, as that term is defined in section
924(c)(3) of the Act;
(2) Any offense punishable under the Controlled Substances Act (21
U.S.C. 801 et seq.) or the Controlled Substances Import and Export Act
(21 U.S.C. 951 et seq.);
(3) Any offense described in section 922(a)(1), 922(a)(3),
922(a)(5), or 922(b)(3) of the Act, where the firearm or ammunition
intended to be used in such offense is involved in a pattern of
activities which includes a violation of any offense described in
section 922(a)(1), 922(a)(3), 922(a)(5), or 922(b)(3) of the Act;
(4) Any offense described in section 922(d) of the Act where the
firearm or ammunition is intended to be used in such offense by the
transferor of such firearm or ammunition;
(5) Any offense described in section 922(i), 922(j), 922(l), 922(n),
or 924(b) of the Act; and
(6) Any offense which may be prosecuted in a court of the United
States which involves the exportation of firearms or ammunition.
[T.D. ATF-270, 53 FR 10507, Mar. 31, 1988; Redesignated by T.D. ATF-354,
59 FR 7114, Feb. 14, 1994, and further redesignated by T.D. ATF-361, 60
FR 10788, Feb. 27, 1995; T.D. ATF-363, 60 FR 17455, Apr. 6, 1995]
Sec. 478.153 Semiautomatic assault weapons and large capacity
ammunition feeding devices manufactured or imported for the purposes
of testing or experimentation.
The provisions of Sec. 478.40 with respect to the manufacture,
transfer, or possession of a semiautomatic assault weapon, and Sec.
478.40a with respect to large capacity ammunition feeding devices, shall
not apply to the manufacture, transfer, or possession of such weapons or
devices by a manufacturer or importer for the purposes of testing or
experimentation as authorized by the Director. A person desiring such
authorization shall submit a letter application, in duplicate, to the
Director. Such application shall contain the name and addresses of the
persons directing or controlling, directly or indirectly, the policies
and management of the applicant, the nature or purpose of the testing or
experimentation, a description of the weapons or devices to be
manufactured or imported, and the source of the weapons or devices. The
approved application shall be retained as part of the records required
by subpart H of this part.
[T.D. ATF-363, 60 FR 17456, Apr. 6, 1995]
Subpart J [Reserved]
Subpart K_Exportation
Sec. 478.171 Exportation.
Firearms and ammunition shall be exported in accordance with the
applicable provisions of section 38 of the Arms Export Control Act (22
U.S.C. 2778) and regulations thereunder. However, licensed
manufacturers, licensed importers, and licensed dealers exporting
firearms shall maintain records showing the manufacture or acquisition
of the firearms as required by this part and records showing the name
and address of the foreign consignee of the firearms and the date the
firearms were exported. Licensed manufacturers and licensed importers
exporting armor piercing ammunition and semiautomatic assault weapons
manufactured after September 13, 1994, shall maintain records showing
the name and address of the foreign consignee and the date the armor
piercing ammunition or
[[Page 86]]
semiautomatic assault weapons were exported.
[T.D. ATF-270, 53 FR 10507, Mar. 31, 1988; T.D. ATF-363, 60 FR 17456,
Apr. 6, 1995]
PART 479_MACHINE GUNS, DESTRUCTIVE DEVICES, AND CERTAIN OTHER FIREARMS
--Table of Contents
Subpart A_Scope of Regulations
Sec.
479.1 General.
Subpart B_Definitions
479.11 Meaning of terms.
Subpart C_Administrative and Miscellaneous Provisions
479.21 Forms prescribed.
479.22 Right of entry and examination.
479.23 Restrictive use of required information.
479.24 Destructive device determination.
479.25 Collector's items.
479.26 Alternate methods or procedures; emergency variations from
requirements.
Subpart D_Special (Occupational) Taxes
479.31 Liability for tax.
479.32 Special (occupational) tax rates.
479.32a Reduced rate of tax for small importers and manufacturers.
479.33 Special exemption.
479.34 Special tax registration and return.
479.35 Employer identification number.
479.36 The special tax stamp, receipt for special (occupational) taxes.
479.37 Certificates in lieu of stamps lost or destroyed.
479.38 Engaging in business at more than one location.
479.39 Engaging in more than one business at the same location.
479.40 Partnership liability.
479.41 Single sale.
Change of Ownership
479.42 Changes through death of owner.
479.43 Changes through bankruptcy of owner.
479.44 Change in partnership or unincorporated association.
479.45 Changes in corporation.
Change of Business Location
479.46 Notice by taxpayer.
Change of Trade Name
479.47 Notice by taxpayer.
Penalties and Interest
479.48 Failure to pay special (occupational) tax.
479.49 Failure to register change or removal.
479.50 Delinquency.
479.51 Fraudulent return.
Application of State Laws
479.52 State regulations.
Subpart E_Tax on Making Firearms
479.61 Rate of tax.
Application To Make a Firearm
479.62 Application to make.
479.63 Identification of applicant.
479.64 Procedure for approval of application.
479.65 Denial of application.
479.66 Subsequent transfer of firearms.
479.67 Cancellation of stamp.
Exceptions to Tax on Making Firearms
479.68 Qualified manufacturer.
479.69 Making a firearm for the United States.
479.70 Certain government entities.
Registration
479.71 Proof of registration.
Subpart F_Transfer Tax
479.81 Scope of tax.
479.82 Rate of tax.
479.83 Transfer tax in addition to import duty.
Application and Order for Transfer of Firearm
479.84 Application to transfer.
479.85 Identification of transferee.
479.86 Action on application.
479.87 Cancellation of stamp.
Exemptions Relating to Transfers of Firearms
479.88 Special (occupational) taxpayers.
479.89 Transfers to the United States.
479.90 Certain government entities.
479.90a Estates.
479.91 Unserviceable firearms.
479.92 Transportation of firearms to effect transfer.
Other Provisions
479.93 Transfers of firearms to certain persons.
Subpart G_Registration and Identification of Firearms
479.101 Registration of firearms.
479.102 How must firearms be identified?
[[Page 87]]
479.103 Registration of firearms manufactured.
479.104 Registration of firearms by certain governmental entities.
Machine Guns
479.105 Transfer and possession of machine guns.
Subpart H_Importation and Exportation
Importation
479.111 Procedure.
479.112 Registration of imported firearms.
479.113 Conditional importation.
Exportation
479.114 Application and permit for exportation of firearms.
479.115 Action by Director.
479.116 Procedure by exporter.
479.117 Action by Customs.
479.118 Proof of exportation.
479.119 Transportation of firearms to effect exportation.
479.120 Refunds.
479.121 Insular possessions.
Arms Export Control Act
479.122 Requirements.
Subpart I_Records and Returns
479.131 Records.
Subpart J_Stolen or Lost Firearms or Documents
479.141 Stolen or lost firearms.
479.142 Stolen or lost documents.
Subpart K_Examination of Books and Records
479.151 Failure to make returns: Substitute returns.
479.152 Penalties (records and returns).
Subpart L_Distribution and Sale of Stamps
479.161 National Firearms Act stamps.
479.162 Stamps authorized.
479.163 Reuse of stamps prohibited.
Subpart M_Redemption of or Allowance for Stamps or Refunds
479.171 Redemption of or allowance for stamps.
479.172 Refunds.
Subpart N_Penalties and Forfeitures
479.181 Penalties.
479.182 Forfeitures.
Subpart O_Other Laws Applicable
479.191 Applicability of other provisions of internal revenue laws.
479.192 Commerce in firearms and ammunition.
479.193 Arms Export Control Act.
Authority: 26 U.S.C. 5812; 26 U.S.C. 5822; 26 U.S.C. 7801; 26 U.S.C.
7805.
Source: 36 FR 14256, Aug. 3, 1971, unless otherwise noted.
Redesignated at 40 FR 16835, Apr. 15, 1975, and further redesignated by
T.D. ATF-487, 68 FR 3752, Jan. 24, 2003.
Editorial Note: Nomenclature changes to part 479 appear by T.D. ATF-
487, 68 FR 3752, Jan. 24, 2003.
Subpart A_Scope of Regulations
Sec. 479.1 General.
This part contains the procedural and substantive requirements
relative to the importation, manufacture, making, exportation,
identification and registration of, and the dealing in, machine guns,
destructive devices and certain other firearms under the provisions of
the National Firearms Act (26 U.S.C. Chapter 53).
[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979]
Subpart B_Definitions
Sec. 479.11 Meaning of terms.
When used in this part and in forms prescribed under this part,
where not otherwise distinctly expressed or manifestly incompatible with
the intent thereof, terms shall have the meanings ascribed in this
section. Words in the plural form shall include the singular, and vice
versa, and words importing the masculine gender shall include the
feminine. The terms ``includes'' and ``including'' do not exclude other
things not enumerated which are in the same general class or are
otherwise within the scope thereof.
Antique firearm. Any firearm not designed or redesigned for using
rim fire or conventional center fire ignition with fixed ammunition and
manufactured in or before 1898 (including any matchlock, flintlock,
percussion cap, or similar type of ignition system or replica thereof,
whether actually manufactured before or after the year 1898)
[[Page 88]]
and also any firearm using fixed ammunition manufactured in or before
1898, for which ammunition is no longer manufactured in the United
States and is not readily available in the ordinary channels of
commercial trade.
Any other weapon. Any weapon or device capable of being concealed on
the person from which a shot can be discharged through the energy of an
explosive, a pistol or revolver having a barrel with a smooth bore
designed or redesigned to fire a fixed shotgun shell, weapons with
combination shotgun and rifle barrels 12 inches or more, less than 18
inches in length, from which only a single discharge can be made from
either barrel without manual reloading, and shall include any such
weapon which may be readily restored to fire. Such term shall not
include a pistol or a revolver having a rifled bore, or rifled bores, or
weapons designed, made, or intended to be fired from the shoulder and
not capable of firing fixed ammunition.
ATF officer. An officer or employee of the Bureau of Alcohol,
Tobacco, Firearms, and Explosives (ATF) authorized to perform any
function relating to the administration or enforcement of this part.
Customs officer. Any officer of U.S. Customs and Border Protection,
any commissioned, warrant, or petty officer of the Coast Guard, or any
agent or other person authorized by law to perform the duties of a
customs officer.
Dealer. Any person, not a manufacturer or importer, engaged in the
business of selling, renting, leasing, or loaning firearms and shall
include pawnbrokers who accept firearms as collateral for loans.
Destructive device. (a) Any explosive, incendiary, or poison gas (1)
bomb, (2) grenade, (3) rocket having a propellent charge of more than 4
ounces, (4) missile having an explosive or incendiary charge of more
than one-quarter ounce, (5) mine, or (6) similar device; (b) any type of
weapon by whatever name known which will, or which may be readily
converted to, expel a projectile by the action of an explosive or other
propellant, the barrel or barrels of which have a bore of more than one-
half inch in diameter, except a shotgun or shotgun shell which the
Director finds is generally recognized as particularly suitable for
sporting purposes; and (c) any combination of parts either designed or
intended for use in converting any device into a destructive device as
described in paragraphs (a) and (b) of this definition and from which a
destructive device may be readily assembled. The term shall not include
any device which is neither designed or redesigned for use as a weapon;
any device, although originally designed for use as a weapon, which is
redesigned for use as a signaling, pyrotechnic, line throwing, safety,
or similar device; surplus ordnance sold, loaned, or given by the
Secretary of the Army under 10 U.S.C. 4684(2), 4685, or 4686, or any
device which the Director finds is not likely to be used as a weapon, or
is an antique or is a rifle which the owner intends to use solely for
sporting purposes.
Director. The Director, Bureau of Alcohol, Tobacco, Firearms, and
Explosives, the Department of Justice, Washington, DC.
Director, Industry Operations. The principal regional official
responsible for administering regulations in this part.
Director of the Service Center. A director of an Internal Revenue
Service Center in an internal revenue region.
District director. A district director of the Internal Revenue
Service in an internal revenue district.
Executed under penalties of perjury. Signed with the prescribed
declaration under the penalties of perjury as provided on or with
respect to the return, form, or other document or, where no form of
declaration is prescribed, with the declaration:
``I declare under the penalties of perjury that this--(insert type
of document, such as, statement, application, request, certificate),
including the documents submitted in support thereof, has been examined
by me and, to the best of my knowledge and belief, is true, correct, and
complete.''
Exportation. The severance of goods from the mass of things
belonging to this country with the intention of uniting them to the mass
of things belonging to some foreign country.
Exporter. Any person who exports firearms from the United States.
[[Page 89]]
Firearm. (a) A shotgun having a barrel or barrels of less than 18
inches in length; (b) a weapon made from a shotgun if such weapon as
modified has an overall length of less than 26 inches or a barrel or
barrels of less than 18 inches in length; (c) a rifle having a barrel or
barrels of less than 16 inches in length; (d) a weapon made from a rifle
if such weapon as modified has an overall length of less than 26 inches
or a barrel or barrels of less than 16 inches in length; (e) any other
weapon, as defined in this subpart; (f) a machine gun; (g) a muffler or
a silencer for any firearm whether or not such firearm is included
within this definition; and (h) a destructive device. The term shall not
include an antique firearm or any device (other than a machine gun or
destructive device) which, although designed as a weapon, the Director
finds by reason of the date of its manufacture, value, design, and other
characteristics is primarily a collector's item and is not likely to be
used as a weapon. For purposes of this definition, the length of the
barrel having an integral chamber(s) on a shotgun or rifle shall be
determined by measuring the distance between the muzzle and the face of
the bolt, breech, or breech block when closed and when the shotgun or
rifle is cocked. The overall length of a weapon made from a shotgun or
rifle is the distance between the extreme ends of the weapon measured
along a line parallel to the center line of the bore.
Fixed ammunition. That self-contained unit consisting of the case,
primer, propellant charge, and projectile or projectiles.
Frame or receiver. That part of a firearm which provides housing for
the hammer, bolt or breechblock and firing mechanism, and which is
usually threaded at its forward portion to receive the barrel.
Importation. The bringing of a firearm within the limits of the
United States or any territory under its control or jurisdiction, from a
place outside thereof (whether such place be a foreign country or
territory subject to the jurisdiction of the United States), with intent
to unlade. Except that, bringing a firearm from a foreign country or a
territory subject to the jurisdiction of the United States into a
foreign trade zone for storage pending shipment to a foreign country or
subsequent importation into this country, under Title 26 of the United
States Code, and this part, shall not be deemed importation.
Importer. Any person who is engaged in the business of importing or
bringing firearms into the United States.
Machine gun. Any weapon which shoots, is designed to shoot, or can
be readily restored to shoot, automatically more than one shot, without
manual reloading, by a single function of the trigger. The term shall
also include the frame or receiver of any such weapon, any part designed
and intended solely and exclusively, or combination of parts designed
and intended, for use in converting a weapon into a machine gun, and any
combination of parts from which a machine gun can be assembled if such
parts are in the possession or under the control of a person.
Make. This term and the various derivatives thereof shall include
manufacturing (other than by one qualified to engage in such business
under this part), putting together, altering, any combination of these,
or otherwise producing a firearm.
Manual reloading. The inserting of a cartridge or shell into the
chamber of a firearm either with the hands or by means of a mechanical
device controlled and energized by the hands.
Manufacturer. Any person who is engaged in the business of
manufacturing firearms.
Muffler or silencer. Any device for silencing, muffling, or
diminishing the report of a portable firearm, including any combination
of parts, designed or redesigned, and intended for the use in assembling
or fabricating a firearm silencer or firearm muffler, and any part
intended only for use in such assembly or fabrication.
Person. A partnership, company, association, trust, corporation,
including each responsible person associated with such an entity; an
estate; or an individual.
Pistol. A weapon originally designed, made, and intended to fire a
projectile (bullet) from one or more barrels when held in one hand, and
having (a) a chamber(s) as an integral part(s) of, or permanently
aligned with, the bore(s);
[[Page 90]]
and (b) a short stock designed to be gripped by one hand and at an angle
to and extending below the line of the bore(s).
Responsible person. In the case of an unlicensed entity, including
any trust, partnership, association, company (including any Limited
Liability Company (LLC)), or corporation, any individual who possesses,
directly or indirectly, the power or authority to direct the management
and policies of the trust or entity to receive, possess, ship,
transport, deliver, transfer, or otherwise dispose of a firearm for, or
on behalf of, the trust or legal entity. In the case of a trust, those
persons with the power or authority to direct the management and
policies of the trust include any person who has the capability to
exercise such power and possesses, directly or indirectly, the power or
authority under any trust instrument, or under State law, to receive,
possess, ship, transport, deliver, transfer, or otherwise dispose of a
firearm for, or on behalf of, the trust. Examples of who may be
considered a responsible person include settlors/grantors, trustees,
partners, members, officers, directors, board members, or owners. An
example of who may be excluded from this definition of responsible
person is the beneficiary of a trust, if the beneficiary does not have
the capability to exercise the powers or authorities enumerated in this
section.
Revolver. A projectile weapon, of the pistol type, having a
breechloading chambered cylinder so arranged that the cocking of the
hammer or movement of the trigger rotates it and brings the next
cartridge in line with the barrel for firing.
Rifle. A weapon designed or redesigned, made or remade, and intended
to be fired from the shoulder and designed or redesigned and made or
remade to use the energy of the explosive in a fixed cartridge to fire
only a single projectile through a rifled bore for each single pull of
the trigger, and shall include any such weapon which may be readily
restored to fire a fixed cartridge.
Shotgun. A weapon designed or redesigned, made or remade, and
intended to be fired from the shoulder and designed or redesigned and
made or remade to use the energy of the explosive in a fixed shotgun
shell to fire through a smooth bore either a number of projectiles (ball
shot) or a single projectile for each pull of the trigger, and shall
include any such weapon which may be readily restored to fire a fixed
shotgun shell.
Transfer. This term and the various derivatives thereof shall
include selling, assigning, pledging, leasing, loaning, giving away, or
otherwise disposing of.
United States. The States and the District of Columbia.
U.S.C. The United States Code.
Unserviceable firearm. A firearm which is incapable of discharging a
shot by means of an explosive and incapable of being readily restored to
a firing condition.
(26 U.S.C. 7805 (68A Stat. 917), 27 U.S.C. 205 (49 Stat. 981 as
amended), 18 U.S.C. 926 (82 Stat. 959), and sec. 38, Arms Export Control
Act (22 U.S.C. 2778, 90 Stat. 744))
[T.D. ATF-48, 43 FR 13538, Mar. 31, 1978; 44 FR 55842, Sept. 28, 1979;
T.D. ATF-241, 51 FR 39630, Oct. 29, 1986; T.D. ATF-270, 53 FR 10492,
Mar. 31, 1988; T.D. ATF-396, 63 FR 12647, Mar. 16, 1998; T.D. ATF 2013R-
9F, 79 FR 46692, Aug. 11, 2014; ATF-41F, 81 FR 2721, Jan. 15, 2016]
Subpart C_Administrative and Miscellaneous Provisions
Sec. 479.21 Forms prescribed.
(a) The Director is authorized to prescribe all forms required by
this part. All of the information called for in each form shall be
furnished as indicated by the headings on the form and the instructions
on or pertaining to the form. In addition, information called for in
each form shall be furnished as required by this part. Each form
requiring that it be executed under penalties of perjury shall be
executed under penalties of perjury.
(b) Requests for forms should be submitted to the ATF Distribution
Center (http://www.atf.gov) or made by calling (202) 648-6420.
(5 U.S.C. 552(a); 80 Stat. 383, as amended)
[T.D. ATF-92, 46 FR 46916, Sept. 23, 1981, as amended by T.D. ATF-241,
51 FR 39630, Oct. 29, 1986; T.D. ATF-270, 53 FR 10508, Mar. 31, 1988;
T.D. 372, 61 FR 20725, May 8, 1996; T.D. ATF-11F, 73 FR 57242, Oct. 2,
2008; T.D. ATF 2013R-9F, 79 FR 46693, Aug. 11, 2014]
[[Page 91]]
Sec. 479.22 Right of entry and examination.
Any ATF officer or employee of the Bureau of Alcohol, Tobacco,
Firearms, and Explosives duly authorized to perform any function
relating to the administration or enforcement of this part may enter
during business hours the premises (including places of storage) of any
importer or manufacturer of or dealer in firearms, to examine any books,
papers, or records required to be kept pursuant to this part, and any
firearms kept by such importer, manufacturer or dealer on such premises,
and may require the production of any books, papers, or records
necessary to determine any liability for tax under 26 U.S.C. Chapter 53,
or the observance of 26 U.S.C. Chapter 53, and this part.
[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979; T.D. ATF 2013R-
9F, 79 FR 46693, Aug. 11, 2014]
Sec. 479.23 Restrictive use of required information.
No information or evidence obtained from an application,
registration, or record required to be submitted or retained by a
natural person in order to comply with any provision of 26 U.S.C.
Chapter 53, or this part or section 207 of the Gun Control Act of 1968
shall be used, directly or indirectly, as evidence against that person
in a criminal proceeding with respect to a violation of law occurring
prior to or concurrently with the filing of the application or
registration, or the compiling of the record containing the information
or evidence: Provided, however, That the provisions of this section
shall not preclude the use of any such information or evidence in a
prosecution or other action under any applicable provision of law with
respect to the furnishing of false information.
[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979]
Sec. 479.24 Destructive device determination.
The Director shall determine in accordance with 26 U.S.C. 5845(f),
whether a device is excluded from the definition of a destructive
device. A person who desires to obtain a determination under that
provision of law for any device which he believes is not likely to be
used as a weapon shall submit a written request, in triplicate, for a
ruling thereon to the Director. Each such request shall be executed
under the penalties of perjury and contain a complete and accurate
description of the device, the name and address of the manufacturer or
importer thereof, the purpose of and use for which it is intended, and
such photographs, diagrams, or drawings as may be necessary to enable
the Director to make his determination. The Director may require the
submission to him, of a sample of such device for examination and
evaluation. If the submission of such device is impracticable, the
person requesting the ruling shall so advise the Director and designate
the place where the device will be available for examination and
evaluation.
[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979]
Sec. 479.25 Collector's items.
The Director shall determine in accordance with 26 U.S.C. 5845(a),
whether a firearm or device, which although originally designed as a
weapon, is by reason of the date of its manufacture, value, design, and
other characteristics primarily a collector's item and is not likely to
be used as a weapon. A person who desires to obtain a determination
under that provision of law shall follow the procedures prescribed in
Sec. 479.24 relating to destructive device determinations, and shall
include information as to date of manufacture, value, design and other
characteristics which would sustain a finding that the firearm or device
is primarily a collector's item and is not likely to be used as a
weapon.
[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979]
Sec. 479.26 Alternate methods or procedures; emergency variations
from requirements.
(a) Alternate methods or procedures. Any person subject to the
provisions of this part, on specific approval by the Director as
provided in this paragraph,
[[Page 92]]
may use an alternate method or procedure in lieu of a method or
procedure specifically prescribed in this part. The Director may approve
an alternate method or procedure, subject to stated conditions, when it
is found that:
(1) Good cause is shown for the use of the alternate method or
procedure;
(2) The alternate method or procedure is within the purpose of, and
consistent with the effect intended by, the specifically prescribed
method or procedure and that the alternate method or procedure is
substantially equivalent to that specifically prescribed method or
procedure; and
(3) The alternate method or procedure will not be contrary to any
provision of law and will not result in an increase in cost to the
Government or hinder the effective administration of this part. Where
such person desires to employ an alternate method or procedure, a
written application shall be submitted to the appropriate Director,
Industry Operations, for transmittal to the Director. The application
shall specifically describe the proposed alternate method or procedure
and shall set forth the reasons for it. Alternate methods or procedures
may not be employed until the application is approved by the Director.
Such person shall, during the period of authorization of an alternate
method or procedure, comply with the terms of the approved application.
Authorization of any alternate method or procedure may be withdrawn
whenever, in the judgment of the Director, the effective administration
of this part is hindered by the continuation of the authorization.
(b) Emergency variations from requirements. The Director may approve
a method of operation other than as specified in this part, where it is
found that an emergency exists and the proposed variation from the
specified requirements are necessary and the proposed variations (1)
will not hinder the effective administration of this part, and (2) will
not be contrary to any provisions of law. Variations from requirements
granted under this paragraph are conditioned on compliance with the
procedures, conditions, and limitations set forth in the approval of the
application. Failure to comply in good faith with the procedures,
conditions, and limitations shall automatically terminate the authority
for the variations, and the person granted the variance shall fully
comply with the prescribed requirements of regulations from which the
variations were authorized. Authority for any variation may be withdrawn
whenever, in the judgment of the Director, the effective administration
of this part is hindered by the continuation of the variation. Where a
person desires to employ an emergency variation, a written application
shall be submitted to the appropriate Director, Industry Operations for
transmittal to the Director. The application shall describe the proposed
variation and set forth the reasons for it. Variations may not be
employed until the application is approved.
(c) Retention of approved variations. The person granted the
variance shall retain and make available for examination by ATF officers
any application approved by the Director under this section.
[T.D. ATF-270, 53 FR 10508 Mar. 31, 1988, as amended by T.D. ATF 2013R-
9F, 79 FR 46693, Aug. 11, 2014]
Subpart D_Special (Occupational) Taxes
Sec. 479.31 Liability for tax.
(a) General. Every person who engages in the business of importing,
manufacturing, or dealing in (including pawnbrokers) firearms in the
United States shall pay a special (occupational) tax at a rate specified
by Sec. 479.32. The tax shall be paid on or before the date of
commencing the taxable business, and thereafter every year on or before
July 1. Special (occupational) tax shall not be prorated. The tax shall
be computed for the entire tax year (July 1 through June 30), regardless
of the portion of the year during which the taxpayer engages in
business. Persons commencing business at any time after July 1 in any
year are liable for the special (occupational) tax for the entire tax
year.
(b) Each place of business taxable. An importer, manufacturer, or
dealer in firearms incurs special tax liability at
[[Page 93]]
each place of business where an occupation subject to special tax is
conducted. A place of business means the entire office, plant or area of
the business in any one location under the same proprietorship.
Passageways, streets, highways, rail crossings, waterways, or partitions
dividing the premises are not sufficient separation to require
additional special tax, if the divisions of the premises are otherwise
contiguous. See also Sec. Sec. 479.38-479.39.
(26 U.S.C. 5143, 5801, 5846)
[T.D. ATF-271, 53 FR 17550, May 17, 1988]
Sec. 479.32 Special (occupational) tax rates.
(a) Prior to January 1, 1988, the special (occupational) tax rates
were as follows:
------------------------------------------------------------------------
Per year or
fraction
thereof
------------------------------------------------------------------------
Class 1--Importer of firearms.............................. $500
Class 2--Manufacturer of firearms.......................... 500
Class 3--Dealer in firearms................................ 200
Class 4--Importer only of weapons classified as ``any other 25
weapon''..................................................
Class 5--Manufacturer only of weapons classified as ``any 25
other weapon''............................................
Class 6--Dealer only in weapons classified as ``any other 10
weapon''..................................................
------------------------------------------------------------------------
(b) Except as provided in Sec. 479.32a, the special (occupational)
tax rates effective January 1, 1988, are as follows:
------------------------------------------------------------------------
Per year or
fraction
thereof
------------------------------------------------------------------------
Class 1--Importer of firearms (including an importer only $1,000
of weapons classified as ``any other weapon'')............
Class 2--Manufacturer of firearms (including a manufacturer 1,000
only of weapons classified as ``any other weapon'').......
Class 3--Dealer in firearms (including a dealer only of 500
weapons classified as ``any other weapon'')...............
------------------------------------------------------------------------
(c) A taxpayer who was engaged in a business on January 1, 1988, for
which a special (occupational) tax was paid for a taxable period which
began before January 1, 1988, and included that date, shall pay an
increased special tax for the period January 1, 1988, through June 30,
1988. The increased tax shall not exceed one-half the excess (if any) of
(1) the rate of special tax in effect on January 1, 1988, over (2) the
rate of such tax in effect on December 31, 1987. The increased special
tax shall be paid on or before April 1, 1988.
[T.D. ATF-271, 53 FR 17550, May 17, 1988]
Sec. 479.32a Reduced rate of tax for small importers and manufacturers.
(a) General. Effective January 1, 1988, 26 U.S.C. 5801(b) provides
for a reduced rate of special tax with respect to any importer or
manufacturer whose gross receipts (for the most recent taxable year
ending before the first day of the taxable period to which the special
tax imposed by Sec. 479.32 relates) are less than $500,000. The rate of
tax for such an importer or manufacturer is $500 per year or fraction
thereof. The ``taxable year'' to be used for determining gross receipts
is the taxpayer's income tax year. All gross receipts of the taxpayer
shall be included, not just the gross receipts of the business subject
to special tax. Proprietors of new businesses that have not yet begun a
taxable year, as well as proprietors of existing businesses that have
not yet ended a taxable year, who commence a new activity subject to
special tax, quality for the reduced special (occupational) tax rate,
unless the business is a member of a ``controlled group''; in that case,
the rules of paragraph (b) of this section shall apply.
(b) Controlled group. All persons treated as one taxpayer under 26
U.S.C. 5061(e)(3) shall be treated as one taxpayer for the purpose of
determining gross receipts under paragraph (a) of this section.
``Controlled group'' means a controlled group of corporations, as
defined in 26 U.S.C. 1563 and implementing regulations in 26 CFR 1.1563-
1 through 1.1563-4, except that the words ``at least 80 percent'' shall
be replaced by the words ``more than 50 percent'' in each place they
appear in subsection (a) of 26 U.S.C. 1563, as well as in the
implementing regulations. Also, the rules for a ``controlled group of
corporations'' apply in a similar fashion to groups which include
partnerships and/or sole proprietorships. If one entity maintains more
than 50% control over a group consisting of corporations and one, or
more, partnerships and/or sole proprietorships, all of the members of
the controlled group are one taxpayer for the purpose of this section.
[[Page 94]]
(c) Short taxable year. Gross receipts for any taxable year of less
than 12 months shall be annualized by multiplying the gross receipts for
the short period by 12 and dividing the result by the number of months
in the short period, as required by 26 U.S.C. 448(c)(3).
(d) Returns and allowances. Gross receipts for any taxable year
shall be reduced by returns and allowances made during that year under
26 U.S.C. 448(c)(3).
(26 U.S.C. 448, 5061, 5801)
[T.D. ATF-271, 53 FR 17550, May 17, 1988]
Sec. 479.33 Special exemption.
(a) Any person required to pay special (occupational) tax under this
part shall be relieved from payment of that tax if he establishes to the
satisfaction of the Director that his business is conducted exclusively
with, or on behalf of, the United States or any department, independent
establishment, or agency thereof. The Director may relieve any person
manufacturing firearms for or on behalf of the United States from
compliance with any provision of this part in the conduct of the
business with respect to such firearms.
(b) The exemption in this section may be obtained by filing with the
Director an application, in letter form, setting out the manner in which
the applicant conducts his business, the type of firearm to be
manufactured, and proof satisfactory to the Director of the existence of
the contract with the United States, department, independent
establishment, or agency thereof, under which the applicant intends to
operate.
Sec. 479.34 Special tax registration and return.
(a) General. Special tax shall be paid by return. The prescribed
return is ATF Form 5630.7, Special Tax Registration and Return. Special
tax returns, with payment of tax, shall be filed with ATF in accordance
with instructions on the form. Properly completing, signing, and timely
filing of a return (Form 5630.7) constitutes compliance with 26 U.S.C.
5802.
(b) Preparation of ATF Form 5630.7. All of the information called
for on Form 5630.7 shall be provided, including:
(1) The true name of the taxpayer.
(2) The trade name(s) (if any) of the business(es) subject to
special tax.
(3) The employer identification number (see Sec. 479.35).
(4) The exact location of the place of business, by name and number
of building or street, or if these do not exist, by some description in
addition to the post office address. In the case of one return for two
or more locations, the address to be shown shall be the taxpayer's
principal place of business (or principal office, in the case of a
corporate taxpayer).
(5) The class(es) of special tax to which the taxpayer is subject.
(6) Ownership and control information: That is, the name, position,
and residence address of every owner of the business and of every person
having power to control its management and policies with respect to the
activity subject to special tax. ``Owner of the business'' shall include
every partner, if the taxpayer is a partnership, and every person owning
10% or more of its stock, if the taxpayer is a corporation. However, the
ownership and control information required by this paragraph need not be
stated if the same information has been previously provided to ATF in
connection with a license application under Part 478 of this chapter,
and if the information previously provided is still current.
(c) Multiple locations and/or classes of tax. A taxpayer subject to
special tax for the same period at more than one location or for more
than one class of tax shall--
(1) File one special tax return, ATF Form 5630.7, with payment of
tax, to cover all such locations and classes of tax; and
(2) Prepare, in duplicate, a list identified with the taxpayer's
name, address (as shown on ATF Form 5630.7), employer identification
number, and period covered by the return. The list shall show, by
States, the name, address, and tax class of each location for which
special tax is being paid. The original of the list shall be filed with
ATF in accordance with instructions on the return, and the copy shall be
retained at the taxpayer's principal place of business (or principal
office, in the
[[Page 95]]
case of a corporate taxpayer) for not less than 3 years.
(d) Signing of ATF Forms 5630.7--(1) Ordinary returns. The return of
an individual proprietor shall be signed by the individual. The return
of a partnership shall be signed by a general partner. The return of a
corporation shall be signed by any officer. In each case, the person
signing the return shall designate his or her capacity as ``individual
owner,'' ``member of firm,'' or, in the case of a corporation, the title
of the officer.
(2) Fiduciaries. Receivers, trustees, assignees, executors,
administrators, and other legal representatives who continue the
business of a bankrupt, insolvent, deceased person, etc., shall indicate
the fiduciary capacity in which they act.
(3) Agent or attorney in fact. If a return is signed by an agent or
attorney in fact, the signature shall be preceded by the name of the
principal and followed by the title of the agent or attorney in fact. A
return signed by a person as agent will not be accepted unless there is
filed, with the ATF office with which the return is required to be
filed, a power of attorney authorizing the agent to perform the act.
(4) Perjury statement. ATF Forms 5630.7 shall contain or be verified
by a written declaration that the return has been executed under the
penalties of perjury.
(e) Identification of taxpayer. If the taxpayer is an individual,
with the initial return such person shall securely attach to Form 5630.7
a photograph of the individual 2 x 2 inches in size, clearly showing a
full front view of the features of the individual with head bare, with
the distance from the top of the head to the point of the chin
approximately 1\1/4\ inches, and which shall have been taken within 6
months prior to the date of completion of the return. The individual
shall also attach to the return a properly completed FBI Form FD-258
(Fingerprint Card). The fingerprints must be clear for accurate
classification and should be taken by someone properly equipped to take
them: Provided, That the provisions of this paragraph shall not apply to
individuals who have filed with ATF a properly executed Application for
License under 18 U.S.C. Chapter 44, Firearms, ATF Form 7 (5310.12), as
specified in Sec. 478.44(a).
(26 U.S.C. 5142, 5802, 5846, 6061, 6065, 6151)
[T.D. ATF-271, 53 FR 17551, May 17, 1988, as amended by T.D. ATF-363, 60
FR 17456, Apr. 6, 1995; T.D. ATF 2013R-9F, 79 FR 46693, Aug. 11, 2014]
Sec. 479.35 Employer identification number.
(a) Requirement. The employer identification number (defined in 26
CFR 301.7701-12) of the taxpayer who has been assigned such a number
shall be shown on each special tax return, including amended returns,
filed under this subpart. Failure of the taxpayer to include the
employer identification number may result in the imposition of the
penalty specified in Sec. 70.113 of this chapter.
(b) Application for employer identification number. Each taxpayer
who files a special tax return, who has not already been assigned an
employer identification number, shall file IRS Form SS-4 to apply for
one. The taxpayer shall apply for and be assigned only one employer
identification number, regardless of the number of places of business
for which the taxpayer is required to file a special tax return. The
employer identification number shall be applied for no later than 7 days
after the filing of the taxpayer's first special tax return. IRS Form
SS-4 may be obtained from the director of an IRS service center or from
any IRS district director.
(c) Preparation and filing of IRS Form SS-4. The taxpayer shall
prepare and file IRS Form SS-4, together with any supplementary
statement, in accordance with the instructions on the form or issued in
respect to it.
(26 U.S.C. 6109)
[T.D. ATF-271, 53 FR 17551, May 17, 1988, as amended by T.D. ATF-301, 55
FR 47657, Nov. 14, 1990]
Sec. 479.36 The special tax stamp, receipt for special (occupational)
taxes.
Upon filing a properly completed and executed return (Form 5630.7)
accompanied by remittance of the full amount due, the taxpayer will be
issued a special tax stamp as evidence
[[Page 96]]
of payment of the special (occupational) tax.
[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-251, 52 FR 19334, May 22, 1987; T.D. ATF-363, 60
FR 17456, Apr. 6, 1995]
Sec. 479.37 Certificates in lieu of stamps lost or destroyed.
When a special tax stamp has been lost or destroyed, such fact
should be reported immediately to the Chief, National Firearms Act
Branch who issued the stamp. A certificate in lieu of the lost or
destroyed stamp will be issued to the taxpayer upon the submission of an
affidavit showing to the satisfaction of the Chief, National Firearms
Act Branch that the stamp was lost or destroyed.
[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-251, 52 FR 19334, May 22, 1987; T.D. ATF 2013R-
9F, 79 FR 46693, Aug. 11, 2014]
Sec. 479.38 Engaging in business at more than one location.
A person shall pay the special (occupational) tax for each location
where he engages in any business taxable under 26 U.S.C. 5801. However,
a person paying a special (occupational) tax covering his principal
place of business may utilize other locations solely for storage of
firearms without incurring special (occupational) tax liability at such
locations. A manufacturer, upon the single payment of the appropriate
special (occupational) tax, may sell firearms, if such firearms are of
his own manufacture, at the place of manufacture and at his principal
office or place of business if no such firearms, except samples, are
kept at such office or place of business. When a person changes the
location of a business for which he has paid the special (occupational)
tax, he will be liable for another such tax unless the change is
properly registered with the Chief, National Firearms Act Branch for the
region in which the special tax stamp was issued, as provided in Sec.
479.46.
[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979; T.D. ATF-251,
52 FR 19334, May 22, 1987; T.D. ATF-271, 53 FR 17551, May 17, 1988; T.D.
ATF 2013R-9F, 79 FR 46693, Aug. 11, 2014]
Sec. 479.39 Engaging in more than one business at the same location.
If more than one business taxable under 26 U.S.C. 5801, is carried
on at the same location during a taxable year, the special
(occupational) tax imposed on each such business must be paid. This
section does not require a qualified manufacturer or importer to qualify
as a dealer if such manufacturer or importer also engages in business on
his qualified premises as a dealer. However, a qualified manufacturer
who engages in business as an importer must also qualify as an importer.
Further, a qualified dealer is not entitled to engage in business as a
manufacturer or importer.
[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979; T.D. ATF-271,
53 FR 17551, May 17, 1988]
Sec. 479.40 Partnership liability.
Any number of persons doing business in partnership at any one
location shall be required to pay but one special (occupational) tax.
Sec. 479.41 Single sale.
A single sale, unattended by circumstances showing the one making
the sale to be engaged in business, does not create special
(occupational) tax liability.
Change of Ownership
Sec. 479.42 Changes through death of owner.
Whenever any person who has paid special (occupational) tax dies,
the surviving spouse or child, or executors or administrators, or other
legal representatives, may carry on this business for the remainder of
the term for which tax has been paid and at the place (or places) for
which the tax was paid, without any additional payment, subject to the
following conditions. If the surviving spouse or child, or executor or
administrator, or other legal representative of the deceased taxpayer
continues the business, such person shall, within 30 days after the date
on which the successor begins to carry on the business, file a new
return, Form 5630.7, with ATF in accordance with the instructions on the
form. The
[[Page 97]]
return thus executed shall show the name of the original taxpayer,
together with the basis of the succession. (As to liability in case of
failure to register, see Sec. 479.49.)
[T.D. ATF-70, 45 FR 33979, May 21, 1980, as amended by T.D. ATF-251, 52
FR 19334, May 22, 1987; T.D. ATF-363, 60 FR 17456, Apr. 6, 1995]
Sec. 479.43 Changes through bankruptcy of owner.
A receiver or referee in bankruptcy may continue the business under
the stamp issued to the taxpayer at the place and for the period for
which the tax was paid. An assignee for the benefit of creditors may
continue business under his assignor's special tax stamp without
incurring additional special (occupational) tax liability. In such
cases, the change shall be registered with ATF in a manner similar to
that required by Sec. 479.42.
[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-251, 52 FR 19334, May 22, 1987]
Sec. 479.44 Change in partnership or unincorporated association.
When one or more members withdraw from a partnership or an
unincorporated association, the remaining member, or members, may,
without incurring additional special (occupational) tax liability, carry
on the same business at the same location for the balance of the taxable
period for which special (occupational) tax was paid, provided any such
change shall be registered in the same manner as required by Sec.
479.42. Where new member(s) are taken into a partnership or an
unincorporated association, the new firm so constituted may not carry on
business under the special tax stamp of the old firm. The new firm must
file a return, pay the special (occupational) tax and register in the
same manner as a person who first engages in business is required to do
under Sec. 479.34 even though the name of the new firm may be the same
as that of the old. Where the members of a partnership or an
unincorporated association, which has paid special (occupational) tax,
form a corporation to continue the business, a new special tax stamp
must be taken out in the name of the corporation.
Sec. 479.45 Changes in corporation.
Additional special (occupational) tax is not required by reason of a
mere change of name or increase in the capital stock of a corporation if
the laws of the State of incorporation provide for such change or
increase without the formation of a new corporation. A stockholder in a
corporation who after its dissolution continues the business, incurs new
special (occupational) tax liability.
Change of Business Location
Sec. 479.46 Notice by taxpayer.
Whenever during the taxable year a taxpayer intends to remove his
business to a location other than specified in his last special
(occupational) tax return (see Sec. 479.34), he shall file with ATF (a)
a return, Form 5630.7, bearing the notation ``Removal Registry,'' and
showing the new address intended to be used, (b) his current special tax
stamp, and (c) a letter application requesting the amendment of his
registration. The Chief, National Firearms Act Branch, upon approval of
the application, shall return the special tax stamp, amended to show the
new business location. Firearms operations shall not be commenced at the
new business location by the taxpayer prior to the required approval of
his application to so change his business location.
[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-251, 52 FR 19334, May 22, 1987; T.D. ATF-363, 60
FR 17456, Apr. 6, 1995; T.D. ATF 2013R-9F, 79 FR 46693, Aug 11, 2014]
Change of Trade Name
Sec. 479.47 Notice by taxpayer.
Whenever during the taxable year a taxpayer intends to change the
name of his business, he shall file with ATF (a) a return, Form 5630.7,
bearing the notation ``Amended,'' and showing the trade name intended to
be used, (b) his current special tax stamp, and (c) a letter application
requesting the amendment of his registration. The Chief, National
Firearms Act Branch, upon approval of the application, shall return the
special tax stamp, amended to show the new trade name. Firearms
operations shall not be commenced under
[[Page 98]]
the new trade name by the taxpayer prior to the required approval of his
application to so change the trade name.
[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-251, 52 FR 19334, May 22, 1987; T.D. ATF-363, 60
FR 17456, Apr. 6, 1995; T.D. ATF 2013R-9F, 79 FR 46693, Aug. 11, 2014]
Penalties and Interest
Sec. 479.48 Failure to pay special (occupational) tax.
Any person who engages in a business taxable under 26 U.S.C. 5801,
without timely payment of the tax imposed with respect to such business
(see Sec. 479.34) shall be liable for such tax, plus the interest and
penalties thereon (see 26 U.S.C. 6601 and 6651). In addition, such
person may be liable for criminal penalties under 26 U.S.C. 5871.
[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979]
Sec. 479.49 Failure to register change or removal.
Any person succeeding to and carrying on a business for which
special (occupational) tax has been paid without registering such change
within 30 days thereafter, and any taxpayer removing his business with
respect to which special (occupational) tax has been paid to a place
other than that for which tax was paid without obtaining approval
therefor (see Sec. 479.46), will incur liability to an additional
payment of the tax, addition to tax and interest, as provided in
sections 5801, 6651, and 6601, respectively, I.R.C., for failure to make
return (see Sec. 479.50) or pay tax, as well as criminal penalties for
carrying on business without payment of special (occupational) tax (see
section 5871 I.R.C.).
Sec. 479.50 Delinquency.
Any person liable for special (occupational) tax under section 5801,
I.R.C., who fails to file a return (Form 5630.7), as prescribed, will be
liable for a delinquency penalty computed on the amount of tax due
unless a return (Form 5630.7) is later filed and failure to file the
return timely is shown to the satisfaction of the Chief, National
Firearms Act Branch, to be due to reasonable cause. The delinquency
penalty to be added to the tax is 5 percent if the failure is for not
more than 1 month, with an additional 5 percent for each additional
month or fraction thereof during which failure continues, not to exceed
25 percent in the aggregate (section 6651, I.R.C.). However, no
delinquency penalty is assessed where the 50 percent addition to tax is
assessed for fraud (see Sec. 479.51).
[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-251, 52 FR 19334, May 22, 1987; T.D. ATF-363, 60
FR 17453, Apr. 6, 1996; T.D. ATF 2013R-9F, 79 FR 46693, Aug. 11, 2014]
Sec. 479.51 Fraudulent return.
If any part of any underpayment of tax required to be shown on a
return is due to fraud, there shall be added to the tax an amount equal
to 50 percent of the underpayment, but no delinquency penalty shall be
assessed with respect to the same underpayment (section 6653, I.R.C.).
Application of State Laws
Sec. 479.52 State regulations.
Special tax stamps are merely receipts for the tax. Payment of tax
under Federal law confers no privilege to act contrary to State law. One
to whom a special tax stamp has been issued may still be punishable
under a State law prohibiting or controlling the manufacture, possession
or transfer of firearms. On the other hand, compliance with State law
confers no immunity under Federal law. Persons who engage in the
business of importing, manufacturing or dealing in firearms, in
violation of the law of a State, are nevertheless required to pay
special (occupational) tax as imposed under the internal revenue laws of
the United States. For provisions relating to restrictive use of
information furnished to comply with the provisions of this part see
Sec. 479.23.
Subpart E_Tax on Making Firearms
Sec. 479.61 Rate of tax.
Except as provided in this subpart, there shall be levied,
collected, and paid upon the making of a firearm a
[[Page 99]]
tax at the rate of $200 for each firearm made. This tax shall be paid by
the person making the firearm. Payment of the tax on the making of a
firearm shall be represented by a $200 adhesive stamp bearing the words
``National Firearms Act.'' The stamps are maintained by the Director.
[T.D. ATF-270, 53 FR 10508, Mar. 31, 1988]
Application To Make a Firearm
Sec. 479.62 Application to make.
(a) General. No person shall make a firearm unless the person has
filed with the Director a completed application on ATF Form 1 (5320.1),
Application to Make and Register a Firearm, in duplicate, executed under
the penalties of perjury, to make and register the firearm and has
received the approval of the Director to make the firearm, which
approval shall effectuate registration of the firearm to the applicant.
If the applicant is not a licensed manufacturer, importer, or dealer
qualified under this part and is a partnership, company (including a
Limited Liability Company (LLC)), association, trust, or corporation,
all information on the Form 1 application shall be furnished for each
responsible person of the applicant
(b) Preparation of ATF Form 1. All of the information called for on
Form 1 shall be provided, including:
(1) The type of application, i.e., tax paid or tax exempt. If the
making of the firearm is taxable, the applicant shall submit a
remittance in the amount of $200 with the application in accordance with
the instructions on the form;
(2) The identity of the applicant. If an individual, the applicant
shall provide the applicant's name, address, and date of birth, and also
comply with the identification requirements prescribed in Sec.
479.63(a). If other than an individual, the applicant shall provide its
name, address, and employer identification number, if any, as well as
the name and address of each responsible person. Each responsible person
of the applicant also shall comply with the identification requirements
prescribed in Sec. 479.63(b);
(3) A description of the firearm to be made by type; caliber, gauge,
or size; model; length of barrel; serial number; other marks of
identification; and the name and address of the original manufacturer
(if the applicant is not the original manufacturer);
(4) The applicant's Federal firearms license number (if any);
(5) The applicant's special (occupational) tax stamp (if
applicable); and
(6) If the applicant (including, if other than an individual, any
responsible person) is an alien admitted under a nonimmigrant visa,
applicable documentation demonstrating that the nonimmigrant alien falls
within an exception to 18 U.S.C. 922(g)(5)(B) under 18 U.S.C. 922(y)(2),
or has obtained a waiver of that provision under 18 U.S.C. 922(y)(3).
(c) Notification of chief law enforcement officer. Prior to the
submission of the application to the Director, all applicants and
responsible persons shall forward a completed copy of Form 1 or a
completed copy of Form 5320.23, respectively, to the chief law
enforcement officer of the locality in which the applicant or
responsible person is located. The chief law enforcement officer is the
local chief of police, county sheriff, head of the State police, or
State or local district attorney or prosecutor. If the applicant is not
a licensed manufacturer, importer, or dealer qualified under this part
and is a partnership, company, association, or corporation, for purposes
of this section, it is considered located at its principal office or
principal place of business; if a trust, for purposes of this section,
it is considered located at the primary location at which the firearm
will be maintained.
(d) Approval of Form 1. If the application is approved, the Director
will affix a National Firearms Act stamp to the original application in
the space provided therefor and properly cancel the stamp (see Sec.
479.67). The approved application will then be returned to the
applicant.
[ATF-41F, 81 FR 2721, Jan. 15, 2016]
Sec. 479.63 Identification of applicant.
(a) If the applicant is an individual, the applicant shall:
(1) Securely attach to each copy of the Form 1, in the space
provided on the form, a 2 x 2-inch photograph of the
[[Page 100]]
applicant, clearly showing a full front view of the features of the
applicant with head bare, with the distance from the top of the head to
the point of the chin approximately 1\1/4\ inches, and which shall have
been taken within 1 year prior to the date of the application; and
(2) Attach to the application two properly completed FBI Forms FD-
258 (Fingerprint Card). The fingerprints must be clear for accurate
classification and should be taken by someone properly equipped to take
them.
(b) If the applicant is not a licensed manufacturer, importer, or
dealer qualified under this part and is a partnership, company
(including a Limited Liability Company (LLC)), association, trust, or
corporation, the applicant shall:
(1) Be identified on the Form 1 by the name and exact location of
the place of business, including the name and number of the building and
street, and the name of the county in which the business is located or,
in the case of a trust, the primary location at which the firearm will
be maintained. In the case of two or more locations, the address shown
shall be the principal place of business (or principal office, in the
case of a corporation) or, in the case of a trust, the primary location
at which the firearm will be maintained;
(2) Except as provided in paragraph (c) of this section, attach to
the application--
(i) Documentation evidencing the existence and validity of the
entity, which includes complete and unredacted copies of partnership
agreements, articles of incorporation, corporate registration, and
declarations of trust, with any trust schedules, attachments, exhibits,
and enclosures;
(ii) A completed ATF Form 5320.23 for each responsible person. Form
5320.23 requires certain identifying information, including each
responsible person's full name, position, home address, date of birth,
and country of citizenship if other than the United States;
(iii) In the space provided on Form 5320.23, a 2 x 2-inch photograph
of each responsible person, clearly showing a full front view of the
features of the responsible person with head bare, with the distance
from the top of the head to the point of the chin approximately 1\1/4\
inches, and which shall have been taken within 1 year prior to the date
of the application;
(iv) Two properly completed FBI Forms FD-258 (Fingerprint Card) for
each responsible person. The fingerprints must be clear for accurate
classification and should be taken by someone properly equipped to take
them.
(c) If the applicant entity has had an application approved as a
maker or transferee within the preceding 24 months, and there has been
no change to the documentation previously provided, the entity may
provide a certification that the information has not been changed since
the prior approval and shall identify the application for which the
documentation had been submitted by form number, serial number, and date
approved.
[ATF-41F, 81 FR 2721, Jan. 15, 2016]
Sec. 479.64 Procedure for approval of application.
The application to make a firearm, Form 1 (Firearms), must be
forwarded directly, in duplicate, by the maker of the firearm to the
Director in accordance with the instructions on the form. The Director
will consider the application for approval or disapproval. If the
application is approved, the Director will return the original thereof
to the maker of the firearm and retain the duplicate. Upon receipt of
the approved application, the maker is authorized to make the firearm
described therein. The maker of the firearm shall not, under any
circumstances, make the firearm until the application, satisfactorily
executed, has been forwarded to the Director and has been approved and
returned by the Director with the National Firearms Act stamp affixed.
If the application is disapproved, the original Form 1 (Firearms) and
the remittance submitted by the applicant for the purchase of the stamp
will be returned to the applicant with the reason for disapproval stated
on the form.
[T.D. ATF-270, 53 FR 10509, Mar. 31, 1988]
Sec. 479.65 Denial of application.
An application to make a firearm shall not be approved by the
Director if
[[Page 101]]
the making or possession of the firearm would place the person making
the firearm in violation of law.
Sec. 479.66 Subsequent transfer of firearms.
Where a firearm which has been made in compliance with 26 U.S.C.
5821, and the regulations contained in this part, is to be transferred
subsequently, the transfer provisions of the firearms laws and
regulations must be complied with. (See subpart F of this part).
[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979]
Sec. 479.67 Cancellation of stamp.
The person affixing to a Form 1 (Firearms) a ``National Firearms
Act'' stamp shall cancel it by writing or stamping thereon, in ink, his
initials, and the day, month and year, in such manner as to render it
unfit for reuse. The cancellation shall not so deface the stamp as to
prevent its denomination and genuineness from being readily determined.
Exceptions to Tax on Making Firearms
Sec. 479.68 Qualified manufacturer.
A manufacturer qualified under this part to engage in such business
may make firearms without payment of the making tax. However, such
manufacturer shall report and register each firearm made in the manner
prescribed by this part.
[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-271, 53 FR 17551, May 17, 1988]
Sec. 479.69 Making a firearm for the United States.
A firearm may be made by, or on behalf of, the United States or any
department, independent establishment, or agency thereof without payment
of the making tax. However, if a firearm is to be made on behalf of the
United States, the maker must file an application, in duplicate, on Form
1 (Firearms) and obtain the approval of the Director in the manner
prescribed in Sec. 479.62.
Sec. 479.70 Certain government entities.
A firearm may be made without payment of the making tax by, or on
behalf of, any State, or possession of the United States, any political
subdivision thereof, or any official police organization of such a
government entity engaged in criminal investigations. Any person making
a firearm under this exemption shall first file an application, in
duplicate, on Form 1 (Firearms) and obtain the approval of the Director
as prescribed in Sec. 479.62.
Registration
Sec. 479.71 Proof of registration.
The approval by the Director of an application, Form 1 (Firearms),
to make a firearm under this subpart shall effectuate registration of
the firearm described in the Form 1 (Firearms) to the person making the
firearm. The original Form 1 (Firearms) showing approval by the Director
shall be retained by the maker to establish proof of his registration of
the firearm described therein, and shall be made available to any ATF
officer on request.
Subpart F_Transfer Tax
Sec. 479.81 Scope of tax.
Except as otherwise provided in this part, each transfer of a
firearm in the United States is subject to a tax to be represented by an
adhesive stamp of the proper denomination bearing the words ``National
Firearms Act'' to be affixed to the Form 4 (Firearms), Application for
Transfer and Registration of Firearm, as provided in this subpart.
Sec. 479.82 Rate of tax.
The transfer tax imposed with respect to firearms transferred within
the United States is at the rate of $200 for each firearm transferred,
except that the transfer tax on any firearm classified as ``any other
weapon'' shall be at the rate of $5 for each such firearm transferred.
The tax imposed on the transfer of the firearm shall be paid by the
transferor.
[[Page 102]]
Sec. 479.83 Transfer tax in addition to import duty.
The transfer tax imposed by section 5811, I.R.C., is in addition to
any import duty.
Application and Order for Transfer of Firearm
Sec. 479.84 Application to transfer.
(a) General. Except as otherwise provided in this subpart, no
firearm may be transferred in the United States unless an application,
Form 4 (5320.4), Application for Tax Paid Transfer and Registration of
Firearm, in duplicate, executed under the penalties of perjury, to
transfer the firearm and register it to the transferee has been filed
with and approved by the Director. The application shall be filed by the
transferor. If the transferee is not a licensed manufacturer, importer,
or dealer qualified under this part and is a partnership, company
(including a Limited Liability Company (LLC)), association, trust, or
corporation, all information on the Form 4 application shall be
furnished for each responsible person of the transferee.
(b) Preparation of ATF Form 4. All of the information called for on
Form 4 shall be provided, including:
(1) The type of firearm being transferred. If the firearm is other
than one classified as ``any other weapon,'' the applicant shall submit
a remittance in the amount of $200 with the application in accordance
with the instructions on the form. If the firearm is classified as ``any
other weapon,'' the applicant shall submit a remittance in the amount of
$5;
(2) The identity of the transferor by name and address and, if the
transferor is other than a natural person, the title or legal status of
the person executing the application in relation to the transferor;
(3) The transferor's Federal firearms license number (if any);
(4) The transferor's special (occupational) tax stamp (if any);
(5) The identity of the transferee by name and address and, if the
transferee is a person not qualified as a manufacturer, importer, or
dealer under this part, the transferee shall be further identified in
the manner prescribed in Sec. 479.85;
(6) The transferee's Federal firearms license number (if any);
(7) The transferee's special (occupational) tax stamp (if
applicable); and
(8) A description of the firearm to be transferred by name and
address of the manufacturer or importer (if known); caliber, gauge, or
size; model; serial number; in the case of a short-barreled shotgun or a
short-barreled rifle, the length of the barrel; in the case of a weapon
made from a rifle or shotgun, the overall length of the weapon and the
length of the barrel; and any other identifying marks on the firearm. In
the event the firearm does not bear a serial number, the applicant shall
obtain a serial number from ATF and shall stamp (impress) or otherwise
conspicuously place such serial number on the firearm in a manner not
susceptible of being readily obliterated, altered, or removed.
(9) If the transferee (including, if other than an individual, any
responsible person) is an alien admitted under a nonimmigrant visa,
applicable documentation demonstrating that the nonimmigrant alien falls
within an exception to 18 U.S.C. 922(g)(5)(B) under 18 U.S.C. 922(y)(2),
or has obtained a waiver of that provision under 18 U.S.C. 922(y)(3).
(c) Notification of chief law enforcement officer. Prior to the
submission of the application to the Director, all transferees and
responsible persons shall forward a completed copy of Form 4 or a
completed copy of Form 5320.23, respectively, to the chief law
enforcement officer of the locality in which the transferee or
responsible person is located. The chief law enforcement officer is the
local chief of police, county sheriff, head of the State police, State
or local district attorney or prosecutor. If the transferee is not a
licensed manufacturer, importer, or dealer qualified under this part and
is a partnership, company, association, or corporation, for purposes of
this section, it is considered located at its principal office or
principal place of business; if the transferee is not a licensed
manufacturer, importer, or dealer qualified under this part and is a
trust, for purposes of this section, it is considered located at the
[[Page 103]]
primary location at which the firearm will be maintained.
(d) Approval of Form 4. If the application is approved, the Director
will affix a National Firearms Act stamp to the original application in
the space provided therefor and properly cancel the stamp (see Sec.
479.87). The approved application will then be returned to the
transferor.
[ATF-41F, 81 FR 2722, Jan. 15, 2016]
Sec. 479.85 Identification of transferee.
(a) If the transferee is an individual, such person shall:
(1) Securely attach to each copy of the Form 4, in the space
provided on the form, a 2 x 2-inch photograph of the applicant, clearly
showing a full front view of the features of the applicant with head
bare, with the distance from the top of the head to the point of the
chin approximately 1\1/4\ inches, and which shall have been taken within
1 year prior to the date of the application; and
(2) Attach to the application two properly completed FBI Forms FD-
258 (Fingerprint Card). The fingerprints must be clear for accurate
classification and should be taken by someone properly equipped to take
them.
(b) If the transferee is not a licensed manufacturer, importer, or
dealer qualified under this part and is a partnership, company,
association, trust, or corporation, such person shall:
(1) Be identified on the Form 4 by the name and exact location of
the place of business, including the name and number of the building and
street, and the name of the county in which the business is located or,
in the case of a trust, the primary location at which the firearm will
be maintained. In the case of two or more locations, the address shown
shall be the principal place of business (or principal office, in the
case of a corporation) or, in the case of a trust, the primary location
at which the firearm will be maintained;
(2) Except as provided in paragraph (c) of this section, attach to
the application--
(i) Documentation evidencing the existence and validity of the
entity, which includes complete and unredacted copies of partnership
agreements, articles of incorporation, corporate registration, and
declarations of trust, with any trust schedules, attachments, exhibits,
and enclosures;
(ii) A completed ATF Form 5320.23 for each responsible person. Form
5320.23 requires certain identifying information, including the
responsible person's full name, position, home address, date of birth,
and country of citizenship if other than the United States;
(iii) In the space provided on Form 5320.23, a 2 x 2-inch photograph
of each responsible person, clearly showing a full front view of the
features of the responsible person with head bare, with the distance
from the top of the head to the point of the chin approximately 1\1/4\
inches, and which shall have been taken within 1 year prior to the date
of the application; and
(iv) Two properly completed FBI Forms FD-258 (Fingerprint Card) for
each responsible person. The fingerprints must be clear for accurate
classification and should be taken by someone properly equipped to take
them.
(c) If the applicant entity has had an application approved as a
maker or transferee within the preceding 24 months, and there has been
no change to the documentation previously provided, the entity may
provide a certification that the information has not been changed since
the prior approval and shall identify the application for which the
documentation had been submitted by form number, serial number, and date
approved.
[ATF-41F, 81 FR 2722, Jan. 15, 2016]
Sec. 479.86 Action on application.
The Director will consider a completed and properly executed
application, Form 4 (Firearms), to transfer a firearm. If the
application is approved, the Director will affix the appropriate
National Firearms Act stamp, cancel it, and return the original
application showing approval to the transferor who may then transfer the
firearm to the transferee along with the approved application. The
approval of an application, Form 4 (Firearms), by the Director will
effectuate registration of the firearm to the transferee. The transferee
shall not take possession of a firearm until the application, Form 4
(Firearms), for the transfer filed by the
[[Page 104]]
transferor has been approved by the Director and registration of the
firearm is effectuated to the transferee. The transferee shall retain
the approved application as proof that the firearm described therein is
registered to the transferee, and shall make the approved Form 4
(Firearms) available to any ATF officer on request. If the application,
Form 4 (Firearms), to transfer a firearm is disapproved by the Director,
the original application and the remittance for purchase of the stamp
will be returned to the transferor with reasons for the disapproval
stated on the application. An application, Form 4 (Firearms), to
transfer a firearm shall be denied if the transfer, receipt, or
possession of a firearm would place the transferee in violation of law.
In addition to any other records checks that may be conducted to
determine whether the transfer, receipt, or possession of a firearm
would place the transferee in violation of law, the Director shall
contact the National Instant Criminal Background Check System.
[T.D. ATF-270, 53 FR 10509, Mar. 31, 1988, as amended by T.D. ATF-415,
63 FR 58281, Oct. 29, 1998]
Sec. 479.87 Cancellation of stamp.
The method of cancellation of the stamp required by this subpart as
prescribed in Sec. 479.67 shall be used.
Exemptions Relating to Transfers of Firearms
Sec. 479.88 Special (occupational) taxpayers.
(a) A firearm registered to a person qualified under this part to
engage in business as an importer, manufacturer, or dealer may be
transferred by that person without payment of the transfer tax to any
other person qualified under this part to manufacture, import, or deal
in firearms.
(b) The exemption provided in paragraph (a) of this section shall be
obtained by the transferor of the firearm filing with the Director an
application, Form 3 (Firearms), Application for Tax-exempt Transfer of
Firearm and Registration to Special (Occupational) Taxpayer, in
duplicate, executed under the penalties of perjury. The application,
Form 3 (Firearms), shall (1) show the name and address of the transferor
and of the transferee, (2) identify the Federal firearms license and
special (occupational) tax stamp of the transferor and of the
transferee, (3) show the name and address of the manufacturer and the
importer of the firearm, if known, (4) show the type, model, overall
length (if applicable), length of barrel, caliber, gauge or size, serial
number, and other marks of identification of the firearm, and (5)
contain a statement by the transferor that he is entitled to the
exemption because the transferee is a person qualified under this part
to manufacture, import, or deal in firearms. If the Director approves an
application, Form 3 (Firearms), he shall return the original Form 3
(Firearms) to the transferor with the approval noted thereon. Approval
of an application, Form 3 (Firearms), by the Director shall remove
registration of the firearm reported thereon from the transferor and
shall effectuate the registration of that firearm to the transferee.
Upon receipt of the approved Form 3 (Firearms), the transferor shall
deliver same with the firearm to the transferee. The transferor shall
not transfer the firearm to the transferee until his application, Form 3
(Firearms), has been approved by the Director and the original thereof
has been returned to the transferor. If the Director disapproves the
application, Form 3 (Firearms), he shall return the original Form 3
(Firearms) to the transferor with the reasons for the disapproval stated
thereon.
(c) The transferor shall be responsible for establishing the exempt
status of the transferee before making a transfer under the provisions
of this section. Therefore, before engaging in transfer negotiations
with the transferee, the transferor should satisfy himself as to the
claimed exempt status of the transferee and the bona fides of the
transaction. If not fully satisfied, the transferor should communicate
with the Director, report all circumstances regarding the proposed
transfer, and await the Director's advice before making application for
the transfer. An unapproved transfer or a transfer to an unauthorized
person may subject the transferor to civil and
[[Page 105]]
criminal liabilities. (See 26 U.S.C. 5852, 5861, and 5871.)
[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979; T.D. ATF-271,
53 FR 17551, May 17, 1988]
Sec. 479.89 Transfers to the United States.
A firearm may be transferred to the United States or any department,
independent establishment or agency thereof without payment of the
transfer tax. However, the procedures for the transfer of a firearm as
provided in Sec. 479.90 shall be followed in a tax-exempt transfer of a
firearm under this section, unless the transferor is relieved of such
requirement under other provisions of this part.
Sec. 479.90 Certain government entities.
(a) A firearm may be transferred without payment of the transfer tax
to or from any State, possession of the United States, any political
subdivision thereof, or any official police organization of such a
governmental entity engaged in criminal investigations.
(b) The exemption provided in paragraph (a) of this section shall be
obtained by the transferor of the firearm filing with the Director an
application, Form 5 (Firearms), Application for Tax-exempt Transfer and
Registration of Firearm, in duplicate, executed under the penalties of
perjury. The application shall (1) show the name and address of the
transferor and of the transferee, (2) identify the Federal firearms
license and special (occupational) tax stamp, if any, of the transferor
and of the transferee, (3) show the name and address of the manufacturer
and the importer of the firearm, if known, (4) show the type, model,
overall length (if applicable), length of barrel, caliber, gauge or
size, serial number, and other marks of identification of the firearm,
and (5) contain a statement by the transferor that the transferor is
entitled to the exemption because either the transferor or the
transferee is a governmental entity coming within the purview of
paragraph (a) of this section. In the case of a transfer of a firearm by
a governmental entity to a transferee who is a person not qualified as a
manufacturer, importer, or dealer under this part, the transferee shall
be further identified in the manner prescribed in Sec. 479.85. If the
Director approves an application, Form 5 (Firearms), the original Form 5
(Firearms) shall be returned to the transferor with the approval noted
thereon. Approval of an application, Form 5 (Firearms), by the Director
shall effectuate the registration of that firearm to the transferee.
Upon receipt of the approved Form 5 (Firearms), the transferor shall
deliver same with the firearm to the transferee. The transferor shall
not transfer the firearm to the transferee until the application, Form 5
(Firearms), has been approved by the Director and the original thereof
has been returned to the transferor. If the Director disapproves the
application, Form 5 (Firearms), the original Form 5 (Firearms) shall be
returned to the transferor with the reasons for the disapproval stated
thereon. An application by a governmental entity to transfer a firearm
shall be denied if the transfer, receipt, or possession of a firearm
would place the transferee in violation of law.
(c) The transferor shall be responsible for establishing the exempt
status of the transferee before making a transfer under the provisions
of this section. Therefore, before engaging in transfer negotiations
with the transferee, the transferor should satisfy himself of the
claimed exempt status of the transferee and the bona fides of the
transaction. If not fully satisfied, the transferor should communicate
with the Director, report all circumstances regarding the proposed
transfer, and await the Director's advice before making application for
transfer. An unapproved transfer or a transfer to an unauthorized person
may subject the transferor to civil and criminal liabilities. (See 26
U.S.C. 5852, 5861, and 5871.)
[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55842, Sept. 28, 1979; T.D. ATF-241,
51 FR 39632, Oct. 29, 1986; T.D. ATF-270, 53 FR 10510, Mar. 31, 1988;
ATF-41F, 81 FR 2723, Jan. 15, 2016]
Sec. 479.90a Estates.
(a) The executor, administrator, personal representative, or other
person authorized under State law to dispose
[[Page 106]]
of property in an estate (collectively ``executor'') may possess a
firearm registered to a decedent during the term of probate without such
possession being treated as a ``transfer'' as defined in Sec. 479.11.
No later than the close of probate, the executor must submit an
application to transfer the firearm to beneficiaries or other
transferees in accordance with this section. If the transfer is to a
beneficiary, the executor shall file an ATF Form 5 (5320.5), Application
for Tax Exempt Transfer and Registration of Firearm, to register a
firearm to any beneficiary of an estate in accordance with Sec. 479.90.
The executor will identify the estate as the transferor, and will sign
the form on behalf of the decedent, showing the executor's title (e.g.,
executor, administrator, personal representative, etc.) and the date of
filing. The executor must also provide the documentation prescribed in
paragraph (c) of this section.
(b) If there are no beneficiaries of the estate or the beneficiaries
do not wish to possess the registered firearm, the executor will dispose
of the property outside the estate (i.e., to a non-beneficiary). The
executor shall file an ATF Form 4 (5320.4), Application for Tax Paid
Transfer and Registration of Firearm, in accordance with Sec. 479.84.
The executor, administrator, personal representative, or other
authorized person must also provide documentation prescribed in
paragraph (c) of this section.
(c) The executor, administrator, personal representative, or other
person authorized under State law to dispose of property in an estate
shall submit with the transfer application documentation of the person's
appointment as executor, administrator, personal representative, or as
an authorized person, a copy of the decedent's death certificate, a copy
of the will (if any), any other evidence of the person's authority to
dispose of property, and any other document relating to, or affecting
the disposition of firearms from the estate.
[ATF-41F, 81 FR 2723, Jan. 15, 2016]
Sec. 479.91 Unserviceable firearms.
An unserviceable firearm may be transferred as a curio or ornament
without payment of the transfer tax. However, the procedures for the
transfer of a firearm as provided in Sec. 479.90 shall be followed in a
tax-exempt transfer of a firearm under this section, except a statement
shall be entered on the transfer application, Form 5 (Firearms), by the
transferor that he is entitled to the exemption because the firearm to
be transferred is unservicable and is being transferred as a curio or
ornament. An unapproved transfer, the transfer of a firearm under the
provisions of this section which is in fact not an unserviceable
firearm, or the transfer of an unserviceable firearm as something other
than a curio or ornament, may subject the transferor to civil and
criminal liabilities. (See 26 U.S.C. 5811, 5852, 5861, and 5871.)
[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55843, Sept. 28, 1979]
Sec. 479.92 Transportation of firearms to effect transfer.
Notwithstanding any provision of Sec. 478.28 of this chapter, it
shall not be required that authorization be obtained from the Director
for the transportation in interstate or foreign commerce of a firearm in
order to effect the transfer of a firearm authorized under the
provisions of this subpart.
[T.D. ATF-270, 53 FR 10510, Mar. 31, 1988]
Other Provisions
Sec. 479.93 Transfers of firearms to certain persons.
Where the transfer of a destructive device, machine gun, short-
barreled shotgun, or short-barreled rifle is to be made by a person
licensed under the provisions of Title I of the Gun Control Act of 1968
(82 Stat. 1213) to a person not so licensed, the sworn statement
required by Sec. 478.98 of this chapter shall be attached to and
accompany the transfer application required by this subpart.
Subpart G_Registration and Identification of Firearms
Sec. 479.101 Registration of firearms.
(a) The Director shall maintain a central registry of all firearms
in the
[[Page 107]]
United States which are not in the possession of or under the control of
the United States. This registry shall be known as the National Firearms
Registration and Transfer Record and shall include:
(1) Identification of the firearm as required by this part;
(2) Date of registration; and
(3) Identification and address of person entitled to possession of
the firearm as required by this part.
(b) Each manufacturer, importer, and maker shall register each
firearm he manufactures, imports, or makes in the manner prescribed by
this part. Each firearm transferred shall be registered to the
transferee by the transferor in the manner prescribed by this part. No
firearm may be registered by a person unlawfully in possession of the
firearm except during an amnesty period established under section 207 of
the Gun Control Act of 1968 (82 Stat. 1235).
(c) A person shown as possessing firearms by the records maintained
by the Director pursuant to the National Firearms Act (26 U.S.C. Chapter
53) in force on October 31, 1968, shall be considered to have registered
the firearms in his possession which are disclosed by that record as
being in his possession on October 31, 1968.
(d) The National Firearms Registration and Transfer Record shall
include firearms registered to the possessors thereof under the
provisions of section 207 of the Gun Control Act of 1968.
(e) A person possessing a firearm registered to him shall retain
proof of registration which shall be made available to any ATF officer
upon request.
(f) A firearm not identified as required by this part shall not be
registered.
[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55843, Sept. 28, 1979]
Sec. 479.102 How must firearms be identified?
(a) You, as a manufacturer, importer, or maker of a firearm, must
legibly identify the firearm as follows:
(1) By engraving, casting, stamping (impressing), or otherwise
conspicuously placing or causing to be engraved, cast, stamped
(impressed) or placed on the frame or receiver thereof an individual
serial number. The serial number must be placed in a manner not
susceptible of being readily obliterated, altered, or removed, and must
not duplicate any serial number placed by you on any other firearm. For
firearms manufactured, imported, or made on and after January 30, 2002,
the engraving, casting, or stamping (impressing) of the serial number
must be to a minimum depth of .003 inch and in a print size no smaller
than \1/16\ inch; and
(2) By engraving, casting, stamping (impressing), or otherwise
conspicuously placing or causing to be engraved, cast, stamped
(impressed), or placed on the frame, receiver, or barrel thereof certain
additional information. This information must be placed in a manner not
susceptible of being readily obliterated, altered or removed. For
firearms manufactured, imported, or made on and after January 30, 2002,
the engraving, casting, or stamping (impressing) of this information
must be to a minimum depth of .003 inch. The additional information
includes:
(i) The model, if such designation has been made;
(ii) The caliber or gauge;
(iii) Your name (or recognized abbreviation) and also, when
applicable, the name of the foreign manufacturer or maker;
(iv) In the case of a domestically made firearm, the city and State
(or recognized abbreviation thereof) where you as the manufacturer
maintain your place of business, or where you, as the maker, made the
firearm; and
(v) In the case of an imported firearm, the name of the country in
which it was manufactured and the city and State (or recognized
abbreviation thereof) where you as the importer maintain your place of
business. For additional requirements relating to imported firearms, see
Customs regulations at 19 CFR part 134.
(b) The depth of all markings required by this section will be
measured from the flat surface of the metal and not the peaks or ridges.
The height of serial numbers required by paragraph (a)(1) of this
section will be measured as the distance between the latitudinal ends of
the character impression bottoms (bases).
[[Page 108]]
(c) The Director may authorize other means of identification upon
receipt of a letter application from you, submitted in duplicate,
showing that such other identification is reasonable and will not hinder
the effective administration of this part.
(d) In the case of a destructive device, the Director may authorize
other means of identifying that weapon upon receipt of a letter
application from you, submitted in duplicate, showing that engraving,
casting, or stamping (impressing) such a weapon would be dangerous or
impracticable.
(e) A firearm frame or receiver that is not a component part of a
complete weapon at the time it is sold, shipped, or otherwise disposed
of by you must be identified as required by this section.
(f)(1) Any part defined as a machine gun, muffler, or silencer for
the purposes of this part that is not a component part of a complete
firearm at the time it is sold, shipped, or otherwise disposed of by you
must be identified as required by this section.
(2) The Director may authorize other means of identification of
parts defined as machine guns other than frames or receivers and parts
defined as mufflers or silencers upon receipt of a letter application
from you, submitted in duplicate, showing that such other identification
is reasonable and will not hinder the effective administration of this
part.
(Approved by the Office of Management and Budget under control number
1140-0050)
[T.D. ATF-461, 66 FR 40601, Aug. 3, 2001, as amended by T.D. ATF-11F, 73
FR 57242, Oct. 2, 2008]
Sec. 479.103 Registration of firearms manufactured.
Each manufacturer qualified under this part shall file with the
Director an accurate notice on Form 2 (Firearms), Notice of Firearms
Manufactured or Imported, executed under the penalties of perjury, to
show his manufacture of firearms. The notice shall set forth the name
and address of the manufacturer, identify his special (occupational) tax
stamp and Federal firearms license, and show the date of manufacture,
the type, model, length of barrel, overall length, caliber, gauge or
size, serial numbers, and other marks of identification of the firearms
he manufactures, and the place where the manufactured firearms will be
kept. All firearms manufactured by him during a single day shall be
included on one notice, Form 2 (Firearms), filed by the manufacturer no
later than the close of the next business day. The manufacturer shall
prepare the notice, Form 2 (Firearms), in duplicate, file the original
notice as prescribed herein and keep the copy with the records required
by subpart I of this part at the premises covered by his special
(occupational) tax stamp. Receipt of the notice, Form 2 (Firearms), by
the Director shall effectuate the registration of the firearms listed on
that notice. The requirements of this part relating to the transfer of a
firearm are applicable to transfers by qualified manufacturers.
Sec. 479.104 Registration of firearms by certain governmental entities.
Any State, any political subdivision thereof, or any official police
organization of such a government entity engaged in criminal
investigations, which acquires for official use a firearm not registered
to it, such as by abandonment or by forfeiture, will register such
firearm with the Director by filing Form 10 (Firearms), Registration of
Firearms Acquired by Certain Governmental Entities, and such
registration shall become a part of the National Firearms Registration
and Transfer Record. The application shall identify the applicant,
describe each firearm covered by the application, show the location
where each firearm usually will be kept, and, if the firearm is
unserviceable, the application shall show how the firearm was made
unserviceable. This section shall not apply to a firearm merely being
held for use as evidence in a criminal proceeding. The Form 10
(Firearms) shall be executed in duplicate in accordance with the
instructions thereon. Upon registering the firearm, the Director shall
return the original Form 10 (Firearms) to the registrant with
notification thereon that registration of the firearm has been made. The
registration of any firearm under this section is for official use only
and a subsequent transfer
[[Page 109]]
will be approved only to other governmental entities for official use.
[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-241, 51 FR 39633, Oct. 29, 1986; T.D. ATF-270,
53 FR 10510, Mar. 31, 1988]
Machine Guns
Sec. 479.105 Transfer and possession of machine guns.
(a) General. As provided by 26 U.S.C. 5812 and 26 U.S.C. 5822, an
application to make or transfer a firearm shall be denied if the making,
transfer, receipt, or possession of the firearm would place the maker or
transferee in violation of law. Section 922(o), Title 18, U.S.C., makes
it unlawful for any person to transfer or possess a machine gun, except
a transfer to or by, or possession by or under the authority of, the
United States or any department or agency thereof or a State, or a
department, agency, or political subdivision thereof; or any lawful
transfer or lawful possession of a machine gun that was lawfully
possessed before May 19, 1986. Therefore, notwithstanding any other
provision of this part, no application to make, transfer, or import a
machine gun will be approved except as provided by this section.
(b) Machine guns lawfully possessed prior to May 19, 1986. A machine
gun possessed in compliance with the provisions of this part prior to
May 19, 1986, may continue to be lawfully possessed by the person to
whom the machine gun is registered and may, upon compliance with the
provisions of this part, be lawfully transferred to and possessed by the
transferee.
(c) Importation and manufacture. Subject to compliance with the
provisions of this part, importers and manufacturers qualified under
this part may import and manufacture machine guns on or after May 19,
1986, for sale or distribution to any department or agency of the United
States or any State or political subdivision thereof, or for use by
dealers qualified under this part as sales samples as provided in
paragraph (d) of this section. The registration of such machine guns
under this part and their subsequent transfer shall be conditioned upon
and restricted to the sale or distribution of such weapons for the
official use of Federal, State or local governmental entities. Subject
to compliance with the provisions of this part, manufacturers qualified
under this part may manufacture machine guns on or after May 19, 1986,
for exportation in compliance with the Arms Export Control Act (22
U.S.C. 2778) and regulations prescribed thereunder by the Department of
State.
(d) Dealer sales samples. Subject to compliance with the provisions
of this part, applications to transfer and register a machine gun
manufactured or imported on or after May 19, 1986, to dealers qualified
under this part will be approved if it is established by specific
information the expected governmental customers who would require a
demonstration of the weapon, information as to the availability of the
machine gun to fill subsequent orders, and letters from governmental
entities expressing a need for a particular model or interest in seeing
a demonstration of a particular weapon. Applications to transfer more
than one machine gun of a particular model to a dealer must also
establish the dealer's need for the quantity of samples sought to be
transferred.
(e) The making of machine guns on or after May 19, 1986. Subject to
compliance with the provisions of this part, applications to make and
register machine guns on or after May 19, 1986, for the benefit of a
Federal, State or local governmental entity (e.g., an invention for
possible future use of a governmental entity or the making of a weapon
in connection with research and development on behalf of such an entity)
will be approved if it is established by specific information that the
machine gun is particularly suitable for use by Federal, State or local
governmental entities and that the making of the weapon is at the
request and on behalf of such an entity.
(f) Discontinuance of business. Since section 922(o), Title 18,
U.S.C., makes it unlawful to transfer or possess a machine gun except as
provided in the law, any qualified manufacturer, importer, or dealer
intending to discontinue business shall, prior to going out of business,
transfer in compliance with the provisions of this part any
[[Page 110]]
machine gun manufactured or imported after May 19, 1986, to a Federal,
State or local governmental entity, qualified manufacturer, qualified
importer, or, subject to the provisions of paragraph (d) of this
section, dealer qualified to possess such, machine gun.
[T.D. ATF-270, 53 FR 10510, Mar. 31, 1988]
Subpart H_Importation and Exportation
Importation
Sec. 479.111 Procedure.
(a) No firearm shall be imported or brought into the United States
or any territory under its control or jurisdiction unless the person
importing or bringing in the firearm establishes to the satisfaction of
the Director that the firearm to be imported or brought in is being
imported or brought in for:
(1) The use of the United States or any department, independent
establishment, or agency thereof or any State or possession or any
political subdivision thereof; or
(2) Scientific or research purposes; or
(3) Testing or use as a model by a registered manufacturer or solely
for use as a sample by a registered importer or registered dealer.
The burden of proof is affirmatively on any person importing or bringing
the firearm into the United States or any territory under its control or
jurisdiction to show that the firearm is being imported or brought in
under one of the above paragraphs. Any person desiring to import or
bring a firearm into the United States under this paragraph shall file
with the Director an application on Form 6 (Firearms), Application and
Permit for Importation of Firearms, Ammunition and Implements of War, in
triplicate, executed under the penalties of perjury. The application
shall show the information required by subpart G of Part 478 of this
chapter. A detailed explanation of why the importation of the firearm
falls within the standards set out in this paragraph shall be attached
to the application. The person seeking to import or bring in the firearm
will be notified of the approval or disapproval of his application. If
the application is approved, the original Form 6 (Firearms) will be
returned to the applicant showing such approval and he will present the
approved application, Form 6 (Firearms), to the Customs officer at the
port of importation. The approval of an application to import a firearm
shall be automatically terminated at the expiration of two years from
the date of approval unless, upon request, it is further extended by the
Director. If the firearm described in the approved application is not
imported prior to the expiration of the approval, the Director shall be
so notified. Customs officers will not permit release of a firearm from
Customs custody, except for exportation, unless covered by an
application which has been approved by the Director and which is
currently effective. The importation or bringing in of a firearm not
covered by an approved application may subject the person responsible to
civil and criminal liabilities. (26 U.S.C. 5861, 5871, and 5872.)
(b) Part 478 of this chapter also contains requirements and
procedures for the importation of firearms into the United States. A
firearm may not be imported into the United States under this part
unless those requirements and procedures are also complied with by the
person importing the firearm.
(c) The provisions of this subpart shall not be construed as
prohibiting the return to the United States or any territory under its
control or jurisdiction of a firearm by a person who can establish to
the satisfaction of Customs that (1) the firearm was taken out of the
United States or any territory under its control or jurisdiction by such
person, (2) the firearm is registered to that person, and (3) if
appropriate, the authorization required by Part 478 of this chapter for
the transportation of such a firearm in interstate or foreign commerce
has been obtained by such person.
[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-48, 44 FR 55843, Sept. 28, 1979; ATF-325, 57 FR
29787, July 7, 1992; ATF-26F, 79 FR 7396, Feb. 7, 2014]
Sec. 479.112 Registration of imported firearms.
(a) Each importer shall file with the Director an accurate notice on
Form 2
[[Page 111]]
(Firearms), Notice of Firearms Manufactured or Imported, executed under
the penalties of perjury, showing the importation of a firearm. The
notice shall set forth the name and address of the importer, identify
the importer's special (occupational) tax stamp and Federal firearms
license, and show the import permit number, the date of release from
Customs custody, the type, model, length of barrel, overall length,
caliber, gauge or size, serial number, and other marks of identification
of the firearm imported, and the place where the imported firearm will
be kept. The Form 2 (Firearms) covering an imported firearm shall be
filed by the importer no later than fifteen (15) days from the date the
firearm was released from Customs custody. The importer shall prepare
the notice, Form 2 (Firearms), in duplicate, file the original return as
prescribed herein, and keep the copy with the records required by
subpart I of this part at the premises covered by the special
(occupational) tax stamp. The timely receipt by the Director of the
notice, Form 2 (Firearms), and the timely receipt by the Director of the
copy of Form 6A (Firearms), Release and Receipt of Imported Firearms,
Ammunition and Implements of War, required by Sec. 478.112 of this
chapter, covering the weapon reported on the Form 2 (Firearms) by the
qualified importer, shall effectuate the registration of the firearm to
the importer.
(b) The requirements of this part relating to the transfer of a
firearm are applicable to the transfer of imported firearms by a
qualified importer or any other person.
(c) Subject to compliance with the provisions of this part, an
application, Form 6 (Firearms), to import a firearm by an importer or
dealer qualified under this part, for use as a sample in connection with
sales of such firearms to Federal, State or local governmental entities,
will be approved if it is established by specific information attached
to the application that the firearm is suitable or potentially suitable
for use by such entities. Such information must show why a sales sample
of a particular firearm is suitable for such use and the expected
governmental customers who would require a demonstration of the firearm.
Information as to the availability of the firearm to fill subsequent
orders and letters from governmental entities expressing a need for a
particular model or interest in seeing a demonstration of a particular
firearm would establish suitability for governmental use. Applications
to import more than one firearm of a particular model for use as a
sample by an importer or dealer must also establish the importer's or
dealer's need for the quantity of samples sought to be imported.
(d) Subject to compliance with the provisions of this part, an
application, Form 6 (Firearms), to import a firearm by an importer or
dealer qualified under this part, for use as a sample in connection with
sales of such firearms to Federal, State or local governmental entities,
will be approved if it is established by specific information attached
to the application that the firearm is particularly suitable for use by
such entities. Such information must show why a sales sample of a
particular firearm is suitable for such use and the expected
governmental customers who would require a demonstration of the firearm.
Information as to the availability of the firearm to fill subsequent
orders and letters from governmental entities expressing a need for a
particular model or interest in seeing a demonstration of a particular
firearm would establish suitability for governmental use. Applications
to import more than one firearm of a particular model for use as a
sample by an importer or dealer must also establish the importer's or
dealer's need for the quantity of samples sought to be imported.
[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-241, 51 FR 39633, Oct. 29, 1986; T.D. ATF-270,
53 FR 10511, Mar. 31, 1988]
Sec. 479.113 Conditional importation.
The Director shall permit the conditional importation or bringing
into the United States of any firearm for the purpose of examining and
testing the firearm in connection with making a determination as to
whether the importation or bringing in of such firearm will be
authorized under this subpart. An application under this section
[[Page 112]]
shall be filed on Form 6 (Firearms), in triplicate, with the Director.
The Director may impose conditions upon any importation under this
section including a requirement that the firearm be shipped directly
from Customs custody to the Director and that the person importing or
bringing in the firearm must agree to either export the weapon or
destroy it if a final determination is made that it may not be imported
or brought in under this subpart. A firearm so imported or brought into
the United States may be released from Customs custody in the manner
prescribed by the conditional authorization of the Director.
[T.D. ATF-270, 53 FR 10511, Mar. 31, 1988]
Exportation
Sec. 479.114 Application and permit for exportation of firearms.
Any person desiring to export a firearm without payment of the
transfer tax must file with the Director an application on Form 9
(Firearms), Application and Permit for Exportation of Firearms, in
quadruplicate, for a permit providing for deferment of tax liability.
Part 1 of the application shall show the name and address of the foreign
consignee, number of firearms covered by the application, the intended
port of exportation, a complete description of each firearm to be
exported, the name, address, State Department license number (or date of
application if not issued), and identification of the special
(occupational) tax stamp of the transferor. Part 1 of the application
shall be executed under the penalties of perjury by the transferor and
shall be supported by a certified copy of a written order or contract of
sale or other evidence showing that the firearm is to be shipped to a
foreign designation. Where it is desired to make a transfer free of tax
to another person who in turn will export the firearm, the transferor
shall likewise file an application supported by evidence that the
transfer will start the firearm in course of exportation, except,
however, that where such transferor and exporter are registered special-
taxpayers the transferor will not be required to file an application on
Form 9 (Firearms).
Sec. 479.115 Action by Director.
If the application is acceptable, the Director will execute the
permit, Part 2 of Form 9 (Firearms), to export the firearm described on
the form and return three copies thereof to the applicant. Issuance of
the permit by the Director will suspend assertion of tax liability for a
period of six (6) months from the date of issuance. If the application
is disapproved, the Director will indicate thereon the reason for such
action and return the forms to the applicant.
Sec. 479.116 Procedure by exporter.
Shipment may not be made until the permit, Form 9 (Firearms), is
received from the Director. If exportation is to be made by means other
than by parcel post, two copies of the form must be addressed to the
District Director of Customs at the port of exportation, and must
precede or accompany the shipment in order to permit appropriate
inspection prior to lading. If exportation is to be made by parcel post,
one copy of the form must be presented to the postmaster at the office
receiving the parcel who will execute Part 4 of such form and return the
form to the exporter for transmittal to the Director. In the event
exportation is not effected, all copies of the form must be immediately
returned to the Director for cancellation.
Sec. 479.117 Action by Customs.
Upon receipt of a permit, Form 9 (Firearms), in duplicate,
authorizing the exportation of firearms, the District Director of
Customs may order such inspection as deemed necessary prior to lading of
the merchandise. If satisfied that the shipment is proper and the
information contained in the permit to export is in agreement with
information shown in the shipper's export declaration, the District
Director of Customs will, after the merchandise has been duly exported,
execute the certificate of exportation (Part 3 of Form 9 (Firearms)).
One copy of the form will be retained with the shipper's export
declaration and the remaining copy thereof will be transmitted to the
Director.
[[Page 113]]
Sec. 479.118 Proof of exportation.
Within a six-month's period from date of issuance of the permit to
export firearms, the exporter shall furnish or cause to be furnished to
the Director (a) the certificate of exportation (Part 3 of Form 9
(Firearms)) executed by the District Director of Customs as provided in
Sec. 479.117, or (b) the certificate of mailing by parcel post (Part 4
of Form 9 (Firearms)) executed by the postmaster of the post office
receiving the parcel containing the firearm, or (c) a certificate of
landing executed by a Customs officer of the foreign country to which
the firearm is exported, or (d) a sworn statement of the foreign
consignee covering the receipt of the firearm, or (e) the return
receipt, or a reproduced copy thereof, signed by the addressee or his
agent, where the shipment of a firearm was made by insured or registered
parcel post. Issuance of a permit to export a firearm and furnishing of
evidence establishing such exportation under this section will relieve
the actual exporter and the person selling to the exporter for
exportation from transfer tax liability. Where satisfactory evidence of
exportation of a firearm is not furnished within the stated period, the
transfer tax will be assessed.
Sec. 479.119 Transportation of firearms to effect exportation.
Notwithstanding any provision of Sec. 478.28 of this chapter, it
shall not be required that authorization be obtained from the Director
for the transportation in interstate or foreign commerce of a firearm in
order to effect the exportation of a firearm authorized under the
provisions of this subpart.
[T.D. ATF-270, 53 FR 10511, Mar. 31, 1988]
Sec. 479.120 Refunds.
Where, after payment of tax by the manufacturer, a firearm is
exported, and satisfactory proof of exportation (see Sec. 479.118) is
furnished, a claim for refund may be submitted on Form 843 (see Sec.
479.172). If the manufacturer waives all claim for the amount to be
refunded, the refund shall be made to the exporter. A claim for refund
by an exporter of tax paid by a manufacturer should be accompanied by
waiver of the manufacturer and proof of tax payment by the latter.
Sec. 479.121 Insular possessions.
Transfers of firearms to persons in the insular possessions of the
United States are exempt from transfer tax, provided title in cases
involving change of title (and custody or control, in cases not
involving change of title), does not pass to the transferee or his agent
in the United States. However, such exempt transactions must be covered
by approved permits and supporting documents corresponding to those
required in the case of firearms exported to foreign countries (see
Sec. Sec. 479.114 and 479.115), except that the Director may vary the
requirements herein set forth in accordance with the requirements of the
governing authority of the insular possession. Shipments to the insular
possessions will not be authorized without compliance with the
requirements of the governing authorities thereof. In the case of a
nontaxable transfer to a person in such insular possession, the
exemption extends only to such transfer and not to prior transfers.
Arms Export Control Act
Sec. 479.122 Requirements.
(a) Persons engaged in the business of importing firearms are
required by the Arms Export Control Act (22 U.S.C. 2778) to register
with the Director. (See Part 447 of this chapter.)
(b) Persons engaged in the business of exporting firearms caliber
.22 or larger are subject to the requirements of a license issued by the
Secretary of State. Application for such license should be made to the
Office of Munitions Control, Department of State, Washington, DC 20502,
prior to exporting firearms.
[36 FR 14256, Aug. 3, 1971. Redesignated at 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-241, 51 FR 39634, Oct. 29, 1986; T.D. ATF-270,
53 FR 10511, Mar. 31, 1988]
Subpart I_Records and Returns
Sec. 479.131 Records.
For the purposes of this part, each manufacturer, importer, and
dealer in firearms shall keep and maintain such
[[Page 114]]
records regarding the manufacture, importation, acquisition (whether by
making, transfer, or otherwise), receipt, and disposition of firearms as
are prescribed, and in the manner and place required, by part 478 of
this chapter. In addition, each manufacturer, importer, and dealer shall
maintain, in chronological order, at his place of business a separate
record consisting of the documents required by this part showing the
registration of any firearm to him. If firearms owned or possessed by a
manufacturer, importer, or dealer are stored or kept on premises other
than the place of business shown on his special (occupational) tax
stamp, the record establishing registration shall show where such
firearms are stored or kept. The records required by this part shall be
readily accessible for inspection at all reasonable times by ATF
officers.
(Approved by the Office of Management and Budget under control number
1140-0032)
[36 FR 14256, Aug. 3, 1971. Redesignated by 40 FR 16835, Apr. 15, 1975,
and amended by T.D. ATF-172, 49 FR 14942, Apr. 16, 1984; T.D. ATF-11F,
73 FR 57242, Oct. 2, 2008]