27 CFR 478.122 Records Maintained by Importers

§ 478.121

27 CFR Ch. II (4–1–20 Edition)
(d) For recordkeeping requirements
for sales by licensees at gun shows see
§ 478.100(c).

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)

(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)

[ATF–24F, 77 FR 33629, June 7, 2012]

Subpart H—Records
§ 478.121

General.

kpayne on VMOFRWIN702 with $$_JOB

(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 § 478.129. The records pertaining to ammunition prescribed by
this part shall be retained on the licensed premises in the manner prescribed by § 478.125.
(b) ATF officers may, for the purposes and under the conditions prescribed in § 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 § 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.

[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; ATF–11F,
73 FR 57241, Oct. 2, 2008]

§ 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
§ 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:

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

§ 478.123

IMPORTER’S FIREARMS DISPOSITION RECORD
Quantity

Type

Manufacturer

Country of
manufacture

Caliber or
gauge

Model

Serial
No.

Name and license
No. of licensee to
whom transferred

Date of the
transaction

IMPORTER’S ARMOR PIERCING AMMUNITION DISPOSITION RECORD
Date

Manufacturer

Calibur or gauge

Quantity of projectiles

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 § 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
§ 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

(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 §§ 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 ATF–11F, 73 FR 57241, Oct. 2,
2008]

§ 478.123 Records maintained by manufacturers.

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Purchaser—Name and address

(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

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