27 CFR 478.124 Firearms Transaction record

[Code of Federal Regulations]
[Title 27, Volume 2]
[Revised as of April 1, 2004]
From the U.S. Government Printing Office via GPO Access
[CITE: 27CFR478.124]

[Page 107-109]

TITLE 27--ALCOHOL, TOBACCO PRODUCTS AND FIREARMS

CHAPTER II--BUREAU OF ALCOHOL, TOBACCO, FIREARMS, AND EXPLOSIVES,
DEPARTMENT OF JUSTICE

PART 478_COMMERCE IN FIREARMS AND AMMUNITION--Table of Contents

Subpart H_Records

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) Shall, in the case of a transferee who is an alien legally in
the United States, cause the transferee to present documentation
establishing that the transferee is a resident of the State (as defined
in Sec. 478.11) in which the licensee's business premises is located,
and shall note on the form the documentation used. Examples of
acceptable documentation include utility bills or a lease agreement
which show that the transferee has resided in the State continuously for
at least 90 days prior to the transfer of the firearm; and
(iii) Must, in the case of a transferee who is a nonimmigrant alien
who states that he or she falls within an exception to, or has a waiver
from, the nonimmigrant alien prohibition, 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.
(iv) Shall comply with the requirements of Sec. 478.102 and record
on the form the date on which the licensee

[[Page 108]]

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 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: Provided, That in the case of a transferee who is an
alien legally in the United States, the documentation required by
paragraph (c)(3)(ii) of this section need only establish that the
transferee is a resident of any State and has resided in such State
continuously for at least 90 days prior to the transfer of the firearm.
Examples of acceptable documentation include utility bills or a lease
agreement. The licensee shall note on the form the documentation used.
(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, except for the provisions
of paragraph (c)(3)(ii).
(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,
and in the case of a transferee who is an alien legally in the United
States, the transferee has resided in that State continuously for at
least 90 days prior to the transfer of the firearm; 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

[[Page 109]]

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.
(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, 7943 Angus Court, Springfield, Virginia 22153.

(Paragraph (c) approved by the Office of Management and Budget under
control numbers 1512-0544, 1512-0129, and 1512-0570; paragraph (f)
approved by the Office of Management and Budget under control number
1512-0130; all other recordkeeping approved by the Office of Management
and Budget under control number 1512-0129)

[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]