27 CFR 478.124 Firearms Transaction Record

§ 478.124

27 CFR Ch. II (4–1–19 Edition)
(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
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

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
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)

kpayne on VMOFRWIN702 with $$_JOB

[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.

66

VerDate Sep<11>2014

16:06 May 30, 2019

Jkt 247113

PO 00000

Frm 00076

Fmt 8010

Sfmt 8010

Q:\27\27V3.TXT

PC31

kpayne on VMOFRWIN702 with $$_JOB

Bureau of Alcohol, Tobacco, Firearms, and Explosives, Justice
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-thecounter 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.
(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

§ 478.124

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

67

VerDate Sep<11>2014

16:06 May 30, 2019

Jkt 247113

PO 00000

Frm 00077

Fmt 8010

Sfmt 8010

Q:\27\27V3.TXT

PC31

§ 478.125

27 CFR Ch. II (4–1–19 Edition)

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).

§ 478.125 Record of receipt and disposition.
(a) Armor piercing ammunition sales by
licensed collectors to nonlicensees. The
sale or other disposition of armor
piercing ammunition by licensed collectors shall be recorded in a bound
record at the time a transaction is
made. The bound record shall be maintained in chronological order by date of
sale or disposition of the armor piercing ammunition, and shall be retained
on the licensed premises of the licensee
for a period not less than two years following the date of the recorded sale or
disposition of the armor piercing ammunition. The bound record entry shall
show:
(1) The date of the transaction;
(2) The name of the manufacturer;
(3) The caliber or gauge;
(4) The quantity of projectiles;
(5) The name, address, and date of
birth of the nonlicensee; and
(6) The method used to establish the
identity of the armor piercing ammunition purchaser.
The format required for the bound
record is as follows:

(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; ATF–24F and 22I, 77 FR 33630, 33634,
June 7, 2012]

DISPOSITION RECORD OF ARMOR PIERCING AMMUNITION
Purchaser
Date

Manufacturer

Caliber or
gauge

Quantity of
projectiles

Name and
address

Date of
birth

Enter a (x) in the ‘‘known’’ column if purchaser is personally known to you. Otherwise, establish the purchaser’s identification

kpayne on VMOFRWIN702 with $$_JOB

Known

However, when a commercial record is
made at the time a transaction is
made, a licensee may delay making an
entry into the bound record if the pro-

Driver’s license

visions of paragraph (d) of this section
are complied with.
(b) Armor piercing ammunition sales by
licensed collectors to licensees. Sales or
other dispositions of armor piercing

68

VerDate Sep<11>2014

16:06 May 30, 2019

Jkt 247113

PO 00000

Frm 00078

Other type
(specify)

Fmt 8010

Sfmt 8010

Q:\27\27V3.TXT

PC31