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e-CFR
Data is current as of September 13, 2012

Title 27:
Alcohol, Tobacco and Firearms
PART 478—COMMERCE IN FIREARMS AND AMMUNITION

Subpart H—Records

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§ 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 §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 §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 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 §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. 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.

(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
§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.

(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 §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; ATF–11F, 73 FR 57241, Oct. 2, 2008; T.D. ATF–24F, 77 FR 33630,
33634, Jun. 7, 2012]

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