27 CFR 478.123 Records Maintained by Manufacturers

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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§ 478.124

27 CFR Ch. II (4–1–20 Edition)
place of birth; height, weight and race
of the transferee; the transferee’s country of citizenship; the transferee’s INSissued 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

letter application, in duplicate, to the
Director of Industry Operations and
shall describe the proposed alternate
record and the need therefor. Such alternate records shall not be employed
by the licensed manufacturer until approval in such regard is received from
the Director of Industry Operations.
(d) Each licensed manufacturer 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 1140–0067)

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[T.D. ATF–270, 53 FR 10501, Mar. 31, 1988, as
amended by ATF–11F, 73 FR 57241, Oct. 2,
2008]

§ 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-thecounter 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

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