27 CFR 478.126 Furnishing Transaction Information

Bureau of Alcohol, Tobacco, Firearms, and Explosives, Justice
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.

§ 478.126

(2) The licensee recorded in the bound
record prescribed by § 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 § 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:

(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]

§ 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 § 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,

DISPOSITION RECORD OF PERSONAL FIREARMS
Description of firearm
Manufacturer and/
or importer

Model

Serial No.

Disposition
Caliber or
gauge

Type

ehiers on DSK5VPTVN1PROD with CFR

(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

Date

Name and address (business
address if licensee)

Date of birth if nonlicensee

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]

§ 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,

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§ 478.126a

27 CFR Ch. II (4–1–16 Edition)

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.

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 1140–0032)

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[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]

(Approved by the Office of Management and
Budget under control number 1140–0003)

§ 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

[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]

§ 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-ofBusiness 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

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