27 Cfr 478.124

27CFR478.124.htm

Licensed Firearms Manufacturers Records of Production, Disposition, and Supporting Data

27 CFR 478.124

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[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]




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