27 Cfr 478.121-125

Pt. 478

27 CFR Ch. II (4–1–10 Edition)
478.40a Transfer and possession of large capacity ammunition feeding devices.

and the merchandise so imported, or
the value thereof shall be forfeited to
the United States.

Subpart D—Licenses

(18 U.S.C. 545)

478.41 General.
478.42 License fees.
478.43 License fee not refundable.
478.44 Original license.
478.45 Renewal of license.
478.46 Insufficient fee.
478.47 Issuance of license.
478.48 Correction of error on license.
478.49 Duration of license.
478.50 Locations covered by license.
478.51 License not transferable.
478.52 Change of address.
478.53 Change in trade name.
478.54 Change of control.
478.55 Continuing partnerships.
478.56 Right of succession by certain persons.
478.57 Discontinuance of business.
478.58 State or other law.
478.59 Abandoned application.
478.60 Certain continuances of business.

[T.D. ATF–8, 39 FR 3251, Jan. 25, 1974, as
amended by T.D. ATF–215, 50 FR 42162, Oct.
18, 1985]

PART 478—COMMERCE IN
FIREARMS AND AMMUNITION
Subpart A—Introduction
Sec.
478.1
478.2

Scope of regulations.
Relation to other provisions of law.

Subpart B—Definitions
478.11

Meaning of terms.

erowe on DSK5CLS3C1PROD with CFR

Subpart C—Administrative and
Miscellaneous Provisions
478.21 Forms prescribed.
478.22 Alternate methods or procedures;
emergency variations from requirements.
478.23 Right of entry and examination.
478.24 Compilation of State laws and published ordinances.
478.25 Disclosure of information.
478.25a Responses to requests for information.
478.26 Curio and relic determination.
478.27 Destructive device determination.
478.28 Transportation of destructive devices
and certain firearms.
478.29 Out-of-State acquisition of firearms
by nonlicenses.
478.29a Acquisition of firearms by nonresidents.
478.30 Out-of-State disposition of firearms
by nonlicensees.
478.31 Delivery by common or contract carrier.
478.32 Prohibited shipment, transportation,
possession, or receipt of firearms and ammunition by certain persons.
478.33 Stolen firearms and ammunition.
478.33a Theft of firearms.
478.34 Removed, obliterated, or altered serial number.
478.35 Skeet, trap, target, and similar
shooting activities.
478.36 Transfer or possession of machine
guns.
478.37 Manufacture, importation and sale of
armor piercing ammunition.
478.38 Transportation of firearms.
478.39 Assembly of semiautomatic rifles or
shotguns.
478.39a Reporting theft or loss of firearms.
478.40 Manufacture, transfer, and possession
of semiautomatic assault weapons.

Subpart E—License Proceedings
478.71 Denial of an application for license.
478.72 Hearing after application denial.
478.73 Notice of revocation, suspension, or
imposition of civil fine.
478.74 Request for hearing after notice of
suspension, revocation, or imposition of
civil fine.
478.75 Service on applicant or licensee.
478.76 Representation at a hearing.
478.77 Designated place of hearing.
478.78 Operations by licensee after notice.

Subpart F—Conduct of Business
478.91 Posting of license.
478.92 How must licensed manufacturers
and licensed importers identify firearms,
armor piercing ammunition, and large
capacity ammunition feeding devices?
478.93 Authorized operations by a licensed
collector.
478.94 Sales or deliveries between licensees.
478.95 Certified copy of license.
478.96 Out-of-State and mail order sales.
478.97 Loan or rental of firearms.
478.98 Sales or deliveries of destructive devices and certain firearms.
478.99 Certain prohibited sales or deliveries.
478.100 Conduct of business away from licensed premises.
478.101 Record of transactions.
478.102 Sales or deliveries of firearms on and
after November 30, 1998.
478.103 Posting of signs and written notification to purchasers of handguns.

Subpart G—Importation
478.111

General.

18

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00028

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

Bureau of Alcohol, Tobacco, Firearms, and Explosives, Justice
478.112 Importation by a licensed importer.
478.113 Importation by other licensees.
478.113a Importation of firearm barrels by
nonlicensees.
478.114 Importation by members of the U.S.
Armed Forces.
478.115 Exempt importation.
478.116 Conditional importation.
478.117 Function outside a customs territory.
478.118 Importation of certain firearms classified as curios and relics.
478.119 Importation of ammunition feeding
devices.
478.120 Firearms or ammunition imported
by or for a nonimmigrant alien.

478.150 Alternative to NICS in certain geographical locations.
478.151 Semiautomatic rifles or shotguns for
testing or experimentation.
478.152 Seizure and forfeiture.
478.153 Semiautomatic assault weapons and
large capacity ammunition feeding devices manufactured or imported for the
purposes of testing or experimentation.

Subpart J [Reserved]
Subpart K—Exportation
478.171

Exportation.

AUTHORITY: 5 U.S.C. 552(a); 18 U.S.C. 847,
921–930; 44 U.S.C. 3504(h).

Subpart H—Records

SOURCE: 33 FR 18555, Dec. 14, 1968, unless
otherwise noted. Redesignated at 40 FR 16835,
Apr. 15, 1975, and further redesignated by
T.D. ATF–487, 68 FR 3750, Jan. 24, 2003.

478.121 General.
478.122 Records maintained by importers.
478.123 Records maintained by manufacturers.
478.124 Firearms transaction record.
478.124a Firearms transaction record in lieu
of record of receipt and disposition.
478.125 Record of receipt and disposition.
478.125a Personal firearms collection.
478.126 Furnishing transaction information.
478.126a Reporting multiple sales or other
disposition of pistols and revolvers.
478.127 Discontinuance of business.
478.128 False statement or representation.
478.129 Record retention.
478.131 Firearms transactions not subject to
a NICS check.
478.132 Dispositions of semiautomatic assault weapons and large capacity ammunition feeding devices to law enforcement officers for official use and to employees or contractors of nuclear facilities.
478.133 Records of transactions in semiautomatic assault weapons.
478.134 Sale of firearms to law enforcement
officers.

EDITORIAL NOTE: Nomenclature changes to
part 478 appear by T.D. ATF–411, 64 FR 17291,
Apr. 9, 1999, and T.D. ATF–487, 68 FR 3750,
Jan. 24, 2003, and ATF–11F, 73 FR 57240–57242,
Oct. 2, 2008.

Subpart A—Introduction
§ 478.1 Scope of regulations.
(a) General. The regulations contained in this part relate to commerce
in firearms and ammunition and are
promulgated to implement Title I,
State Firearms Control Assistance (18
U.S.C. Chapter 44), of the Gun Control
Act of 1968 (82 Stat. 1213) as amended
by Pub. L. 99–308 (100 Stat. 449), Pub. L.
99–360 (100 Stat. 766), Pub. L. 99–408 (100
Stat. 920), Pub. L. 103–159 (107 Stat.
1536), Pub. L. 103–322 (108 Stat. 1796),
Pub. L. 104–208 (110 Stat. 3009), and Pub.
L. 105–277 (112 Stat. 2681).
(b) Procedural and substantive requirements. This part contains the procedural and substantive requirements
relative to:
(1) The interstate or foreign commerce in firearms and ammunition;
(2) The licensing of manufacturers
and importers of firearms and ammunition, collectors of firearms, and dealers
in firearms;
(3) The conduct of business or activity by licensees;
(4) The importation of firearms and
ammunition;
(5) The records and reports required
of licensees;
(6) Relief from disabilities under this
part;

Subpart I—Exemptions, Seizures, and
Forfeitures

erowe on DSK5CLS3C1PROD with CFR

§ 478.1

478.141 General.
478.142 Effect of pardons and expunctions of
convictions.
478.143 Relief from disabilities incurred by
indictment.
478.144 Relief from disabilities under the
Act.
478.145 Research organizations.
478.146 Deliveries by mail to certain persons.
478.147 Return of firearm.
478.148 Armor piercing ammunition intended for sporting or industrial purposes.
478.149 Armor piercing ammunition manufactured or imported for the purpose of
testing or experimentation.

19

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00029

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

§ 478.2

27 CFR Ch. II (4–1–10 Edition)

(7) Exempt interstate and foreign
commerce in firearms and ammunition; and
(8) Restrictions on armor piercing
ammunition.

(1) Is a danger to himself or to others; or
(2) Lacks the mental capacity to contract or manage his own affairs.
(b) The term shall include—
(1) A finding of insanity by a court in
a criminal case; and
(2) Those persons found incompetent
to stand trial or found not guilty by
reason of lack of mental responsibility
pursuant to articles 50a and 72b of the
Uniform Code of Military Justice, 10
U.S.C. 850a, 876b.
Admitted to the United States for lawful
hunting or sporting purposes. (a) Is entering the United States to participate
in a competitive target shooting event
sponsored by a national, State, or local
organization, devoted to the competitive use or other sporting use of firearms; or
(b) Is entering the United States to
display firearms at a sports or hunting
trade show sponsored by a national,
State, or local firearms trade organization, devoted to the competitive use or
other sporting use of firearms.
Alien. Any person not a citizen or national of the United States.
Alien illegally or unlawfully in the
United States. Aliens who are unlawfully in the United States are not in
valid immigrant, nonimmigrant or parole status. The term includes any
alien—
(a) Who unlawfully entered the
United States without inspection and
authorization by an immigration officer and who has not been paroled into
the United States under section
212(d)(5) of the Immigration and Nationality Act (INA);
(b) Who is a nonimmigrant and whose
authorized period of stay has expired or
who has violated the terms of the nonimmigrant category in which he or she
was admitted;
(c) Paroled under INA section
212(d)(5) whose authorized period of parole has expired or whose parole status
has been terminated; or
(d) Under an order of deportation, exclusion, or removal, or under an order
to depart the United States voluntarily, whether or not he or she has left
the United States.
Ammunition. Ammunition or cartridge cases, primers, bullets, or propellent powder designed for use in any

[T.D. ATF–270, 53 FR 10490, Mar. 31, 1988, as
amended by T.D. ATF–354, 59 FR 7112, Feb.
14, 1994; T.D. ATF–363, 60 FR 17450, Apr. 6,
1995; T.D. ATF–401, 63 FR 35522, June 30, 1998;
T.D. ATF–471, 67 FR 5425, Feb. 5, 2002]

§ 478.2 Relation to other provisions of
law.
The provisions in this part are in addition to, and are not in lieu of, any
other provision of law, or regulations,
respecting commerce in firearms or
ammunition. For regulations applicable to traffic in machine guns, destructive devices, and certain other firearms, see Part 479 of this chapter. For
statutes applicable to the registration
and licensing of persons engaged in the
business of manufacturing, importing
or exporting arms, ammunition, or implements of war, see section 38 of the
Arms Export Control Act (22 U.S.C.
2778) and regulations thereunder and
Part 447 of this chapter. For statutes
applicable to nonmailable firearms, see
18 U.S.C. 1715 and regulations thereunder.
[T.D. ATF–270, 53 FR 10490, Mar. 31, 1988]

Subpart B—Definitions

erowe on DSK5CLS3C1PROD with CFR

§ 478.11

Meaning of terms.

When used in this part and in forms
prescribed under this part, where not
otherwise distinctly expressed or manifestly incompatible with the intent
thereof, terms shall have the meanings
ascribed in this section. Words in the
plural form shall include the singular,
and vice versa, and words importing
the masculine gender shall include the
feminine. The terms ‘‘includes’’ and
‘‘including’’ do not exclude other
things not enumerated which are in the
same general class or are otherwise
within the scope thereof.
Act. 18 U.S.C. Chapter 44.
Adjudicated as a mental defective. (a) A
determination by a court, board, commission, or other lawful authority that
a person, as a result of marked subnormal intelligence, or mental illness,
incompetency, condition, or disease:

20

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00030

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

Bureau of Alcohol, Tobacco, Firearms, and Explosives, Justice
firearm other than an antique firearm.
The term shall not include (a) any
shotgun shot or pellet not designed for
use as the single, complete projectile
load for one shotgun hull or casing, nor
(b) any unloaded, non-metallic shotgun
hull or casing not having a primer.
Antique firearm. (a) Any firearm (including any firearm with a matchlock,
flintlock, percussion cap, or similar
type of ignition system) manufactured
in or before 1898; and (b) any replica of
any firearm described in paragraph (a)
of this definition if such replica (1) is
not designed or redesigned for using
rimfire or conventional centerfire fixed
ammunition, or (2) uses rimfire or conventional centerfire fixed ammunition
which is no longer manufactured in the
United States and which is not readily
available in the ordinary channels of
commercial trade.
Armor piercing ammunition. Projectiles or projectile cores which may be
used in a handgun and which are constructed entirely (excluding the presence of traces of other substances)
from one or a combination of tungsten
alloys, steel, iron, brass, bronze, beryllium copper, or depleted uranium; or
full jacketed projectiles larger than .22
caliber designed and intended for use in
a handgun and whose jacket has a
weight of more than 25 percent of the
total weight of the projectile. The term
does not include shotgun shot required
by Federal or State environmental or
game regulations for hunting purposes,
frangible projectiles designed for target shooting, projectiles which the Director finds are primarily intended to
be used for sporting purposes, or any
other projectiles or projectile cores
which the Director finds are intended
to be used for industrial purposes, including charges used in oil and gas well
perforating devices.
ATF officer. An officer or employee of
the Bureau of Alcohol, Tobacco and
Firearms (ATF) authorized to perform
any function relating to the administration or enforcement of this part.
Business premises. The property on
which the manufacturing or importing
of firearms or ammunition or the dealing in firearms is or will be conducted.
A private dwelling, no part of which is
open to the public, shall not be recog-

§ 478.11

nized as coming within the meaning of
the term.
Chief, Federal Firearms Licensing Center (FFLC). The ATF official responsible for the issuance and renewal of licenses under this part.
Collector. Any person who acquires,
holds, or disposes of firearms as curios
or relics.
Collection premises. The premises described on the license of a collector as
the location at which he maintains his
collection of curios and relics.
Commerce. Travel, trade, traffic, commerce, transportation, or communication among the several States, or between the District of Columbia and any
State, or between any foreign country
or any territory or possession and any
State or the District of Columbia, or
between points in the same State but
through any other State or the District
of Columbia or a foreign country.
Committed to a mental institution. A
formal commitment of a person to a
mental institution by a court, board,
commission, or other lawful authority.
The term includes a commitment to a
mental institution involuntarily. The
term includes commitment for mental
defectiveness or mental illness. It also
includes commitments for other reasons, such as for drug use. The term
does not include a person in a mental
institution for observation or a voluntary admission to a mental institution.
Controlled substance. A drug or other
substance, or immediate precursor, as
defined in section 102 of the Controlled
Substances Act, 21 U.S.C. 802. The term
includes, but is not limited to, marijuana, depressants, stimulants, and
narcotic drugs. The term does not include distilled spirits, wine, malt beverages, or tobacco, as those terms are
defined or used in Subtitle E of the Internal Revenue Code of 1986, as amended.
Crime punishable by imprisonment for a
term exceeding 1 year. Any Federal,
State or foreign offense for which the
maximum penalty, whether or not imposed, is capital punishment or imprisonment in excess of 1 year. The term
shall not include (a) any Federal or
State offenses pertaining to antitrust

21

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00031

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

§ 478.11

27 CFR Ch. II (4–1–10 Edition)

violations, unfair trade practices, restraints of trade, or other similar offenses relating to the regulation of
business practices or (b) any State offense classified by the laws of the State
as a misdemeanor and punishable by a
term of imprisonment of 2 years or
less. What constitutes a conviction of
such a crime shall be determined in accordance with the law of the jurisdiction in which the proceedings were
held. Any conviction which has been
expunged or set aside or for which a
person has been pardoned or has had
civil rights restored shall not be considered a conviction for the purposes of
the Act or this part, unless such pardon, expunction, or restoration of civil
rights expressly provides that the person may not ship, transport, possess, or
receive firearms, or unless the person
is prohibited by the law of the jurisdiction in which the proceedings were held
from receiving or possessing any firearms.
Curios or relics. Firearms which are of
special interest to collectors by reason
of some quality other than is associated with firearms intended for sporting use or as offensive or defensive
weapons. To be recognized as curios or
relics, firearms must fall within one of
the following categories:
(a) Firearms which were manufactured at least 50 years prior to the current date, but not including replicas
thereof;
(b) Firearms which are certified by
the curator of a municipal, State, or
Federal museum which exhibits firearms to be curios or relics of museum
interest; and
(c) Any other firearms which derive a
substantial part of their monetary
value from the fact that they are
novel, rare, bizarre, or because of their
association with some historical figure,
period, or event. Proof of qualification
of a particular firearm under this category may be established by evidence
of present value and evidence that like
firearms are not available except as
collector’s items, or that the value of
like firearms available in ordinary
commercial channels is substantially
less.
Customs officer. Any officer of the
Customs Service or any commissioned,
warrant, or petty officer of the Coast

Guard, or any agent or other person authorized by law or designated by the
Secretary of the Treasury to perform
any duties of an officer of the Customs
Service.
Dealer. Any person engaged in the
business of selling firearms at wholesale or retail; any person engaged in
the business of repairing firearms or of
making or fitting special barrels,
stocks, or trigger mechanisms to firearms; or any person who is a pawnbroker. The term shall include any person who engages in such business or occupation on a part-time basis.
Destructive device. (a) Any explosive,
incendiary, or poison gas (1) bomb, (2)
grenade, (3) rocket having a propellant
charge of more than 4 ounces, (4) missile having an explosive or incendiary
charge of more than one-quarter ounce,
(5) mine, or (6) device similar to any of
the devices described in the preceding
paragraphs of this definition; (b) any
type of weapon (other than a shotgun
or a shotgun shell which the Director
finds is generally recognized as particularly suitable for sporting purposes) by whatever name known which
will, or which may be readily converted
to, expel a projectile by the action of
an explosive or other propellant, and
which has any barrel with a bore of
more than one-half inch in diameter;
and (c) any combination of parts either
designed or intended for use in converting any device into any destructive
device described in paragraph (a) or (b)
of this section and from which a destructive device may be readily assembled. The term shall not include any
device which is neither designed nor redesigned for use as a weapon; any device, although originally designed for
use as a weapon, which is redesigned
for use as a signalling, pyrotechnic,
line throwing, safety, or similar device;
surplus ordnance sold, loaned, or given
by the Secretary of the Army pursuant
to the provisions of section 4684(2),
4685, or 4686 of title 10, United States
Code; or any other device which the Director finds is not likely to be used as
a weapon, is an antique, or is a rifle
which the owner intends to use solely
for sporting, recreational, or cultural
purposes.

22

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00032

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

Bureau of Alcohol, Tobacco, Firearms, and Explosives, Justice
Director. The Director, Bureau of Alcohol, Tobacco and Firearms, the Department of the Treasury, Washington,
DC.
Director of Industry Operations. The
principal ATF official in a Field Operations division responsible for administering regulations in this part.
Discharged under dishonorable conditions. Separation from the U.S. Armed
Forces resulting from a dishonorable
discharge or dismissal adjudged by a
general court-martial. The term does
not include any separation from the
Armed Forces resulting from any other
discharge, e.g., a bad conduct discharge.
Division. A Bureau of Alcohol, Tobacco and Firearms Division.
Engaged in the business—(a) Manufacturer of firearms. A person who devotes
time, attention, and labor to manufacturing firearms as a regular course of
trade or business with the principal objective of livelihood and profit through
the sale or distribution of the firearms
manufactured;
(b) Manufacturer of ammunition. A
person who devotes time, attention,
and labor to manufacturing ammunition as a regular course of trade or
business with the principal objective of
livelihood and profit through the sale
or distribution of the ammunition
manufactured;
(c) Dealer in firearms other than a gunsmith or a pawnbroker. A person who devotes time, attention, and labor to
dealing in firearms as a regular course
of trade or business with the principal
objective of livelihood and profit
through the repetitive purchase and resale of firearms, but such a term shall
not include a person who makes occasional sales, exchanges, or purchases of
firearms for the enhancement of a personal collection or for a hobby, or who
sells all or part of his personal collection of firearms;
(d) Gunsmith. A person who devotes
time, attention, and labor to engaging
in such activity as a regular course of
trade or business with the principal objective of livelihood and profit, but
such a term shall not include a person
who makes occasional repairs of firearms or who occasionally fits special
barrels, stocks, or trigger mechanisms
to firearms;

§ 478.11

(e) Importer of firearms. A person who
devotes time, attention, and labor to
importing firearms as a regular course
of trade or business with the principal
objective of livelihood and profit
through the sale or distribution of the
firearms imported; and,
(f) Importer of ammunition. A person
who devotes time, attention, and labor
to importing ammunition as a regular
course of trade or business with the
principal objective of livelihood and
profit through the sale or distribution
of the ammunition imported.
Executed under penalties of perjury.
Signed with the prescribed declaration
under the penalties of perjury as provided on or with respect to the return
form, or other document or, where no
form of declaration is prescribed, with
the declaration:
‘‘I declare under the penalties of perjury
that this—(insert type of document, such as,
statement, application, request, certificate),
including the documents submitted in support thereof, has been examined by me and,
to the best of my knowledge and belief, is
true, correct, and complete.’’

Federal Firearms Act. 15 U.S.C. Chapter 18.
Firearm. Any weapon, including a
starter gun, which will or is designed
to or may readily be converted to expel
a projectile by the action of an explosive; the frame or receiver of any such
weapon; any firearm muffler or firearm
silencer; or any destructive device; but
the term shall not include an antique
firearm. In the case of a licensed collector, the term shall mean only curios
and relics.
Firearm frame or receiver. That part of
a firearm which provides housing for
the hammer, bolt or breechblock, and
firing mechanism, and which is usually
threaded at its forward portion to receive the barrel.
Firearm muffler or firearm silencer. Any
device for silencing, muffling, or diminishing the report of a portable firearm, including any combination of
parts, designed or redesigned, and intended for use in assembling or fabricating a firearm silencer or firearm
muffler, and any part intended only for
use in such assembly or fabrication.
Friendly foreign government. Any government with whom the United States
has diplomatic relations and whom the

23

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00033

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

§ 478.11

27 CFR Ch. II (4–1–10 Edition)

United States has not identified as a
State sponsor of terrorism.
Fugitive from justice. Any person who
has fled from any State to avoid prosecution for a felony or a misdemeanor;
or any person who leaves the State to
avoid giving testimony in any criminal
proceeding. The term also includes any
person who knows that misdemeanor
or felony charges are pending against
such person and who leaves the State
of prosecution.
Handgun. (a) Any firearm which has
a short stock and is designed to be held
and fired by the use of a single hand;
and
(b) Any combination of parts from
which a firearm described in paragraph
(a) can be assembled.
Hunting license or permit lawfully
issued in the United States. A license or
permit issued by a State for hunting
which is valid and unexpired.
Identification document. A document
containing the name, residence address, date of birth, and photograph of
the holder and which was made or
issued by or under the authority of the
United States Government, a State, political subdivision of a State, a foreign
government, political subdivision of a
foreign government, an international
governmental or an international
quasigovernmental
organization
which, when completed with information concerning a particular individual, is of a type intended or commonly accepted for the purpose of identification of individuals.
Importation. The bringing of a firearm
or ammunition into the United States;
except that the bringing of a firearm or
ammunition from outside the United
States into a foreign-trade zone for
storage pending shipment to a foreign
country or subsequent importation
into this country, pursuant to this
part, shall not be deemed importation.
Importer. Any person engaged in the
business of importing or bringing firearms or ammunition into the United
States. The term shall include any person who engages in such business on a
part-time basis.
Indictment. Includes an indictment or
information in any court, under which
a crime punishable by imprisonment
for a term exceeding 1 year (as defined
in this section) may be prosecuted, or

in military cases to any offense punishable by imprisonment for a term exceeding 1 year which has been referred
to a general court-martial. An information is a formal accusation of a crime,
differing from an indictment in that it
is made by a prosecuting attorney and
not a grand jury.
Interstate or foreign commerce. Includes commerce between any place in
a State and any place outside of that
State, or within any possession of the
United States (not including the Canal
Zone) or the District of Columbia. The
term shall not include commerce between places within the same State but
through any place outside of that
State.
Intimate partner. With respect to a
person, the spouse of the person, a
former spouse of the person, an individual who is a parent of a child of the
person, and an individual who cohabitates or has cohabitated with the person.
Large capacity ammunition feeding device. A magazine, belt, drum, feed strip,
or similar device for a firearm manufactured after September 13, 1994, that
has a capacity of, or that can be readily restored or converted to accept,
more than 10 rounds of ammunition.
The term does not include an attached
tubular device designed to accept, and
capable of operating only with, .22 caliber rimfire ammunition, or a fixed device for a manually operated firearm,
or a fixed device for a firearm listed in
18 U.S.C. 922, Appendix A.
Licensed collector. A collector of curios and relics only and licensed under
the provisions of this part.
Licensed dealer. A dealer licensed
under the provisions of this part.
Licensed importer. An importer licensed under the provisions of this
part.
Licensed manufacturer. A manufacturer licensed under the provisions of
this part.
Machine gun. Any weapon which
shoots, is designed to shoot, or can be
readily restored to shoot, automatically more than one shot, without
manual reloading, by a single function
of the trigger. The term shall also include the frame or receiver of any such

24

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00034

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

Bureau of Alcohol, Tobacco, Firearms, and Explosives, Justice
weapon, any part designed and intended solely and exclusively, or combination of parts designed and intended, for use in converting a weapon
into a machine gun, and any combination of parts from which a machine gun
can be assembled if such parts are in
the possession or under the control of a
person.
Manufacturer. Any person engaged in
the business of manufacturing firearms
or ammunition. The term shall include
any person who engages in such business on a part-time basis.
Mental institution. Includes mental
health facilities, mental hospitals,
sanitariums, psychiatric facilities, and
other facilities that provide diagnoses
by licensed professionals of mental retardation or mental illness, including a
psychiatric ward in a general hospital.
Misdemeanor crime of domestic violence.
(a) Is a Federal, State or local offense
that:
(1) Is a misdemeanor under Federal
or State law or, in States which do not
classify offenses as misdemeanors, is
an offense punishable by imprisonment
for a term of one year or less, and includes offenses that are punishable
only by a fine. (This is true whether or
not the State statute specifically defines the offense as a ‘‘misdemeanor’’
or as a ‘‘misdemeanor crime of domestic violence.’’ The term includes all
such misdemeanor convictions in Indian Courts established pursuant to 25
CFR part 11.);
(2) Has, as an element, the use or attempted use of physical force (e.g., assault and battery), or the threatened
use of a deadly weapon; and
(3) Was committed by a current or
former spouse, parent, or guardian of
the victim, by a person with whom the
victim shares a child in common, by a
person who is cohabiting with or has
cohabited with the victim as a spouse,
parent, or guardian, (e.g., the equivalent of a ‘‘common law’’ marriage even
if such relationship is not recognized
under the law), or a person similarly
situated to a spouse, parent, or guardian of the victim (e.g., two persons who
are residing at the same location in an
intimate relationship with the intent
to make that place their home would
be similarly situated to a spouse).

§ 478.11

(b) A person shall not be considered
to have been convicted of such an offense for purposes of this part unless:
(1) The person is considered to have
been convicted by the jurisdiction in
which the proceedings were held.
(2) The person was represented by
counsel in the case, or knowingly and
intelligently waived the right to counsel in the case; and
(3) In the case of a prosecution for
which a person was entitled to a jury
trial in the jurisdiction in which the
case was tried, either
(i) The case was tried by a jury, or
(ii) The person knowingly and intelligently waived the right to have the
case tried by a jury, by guilty plea or
otherwise.
(c) A person shall not be considered
to have been convicted of such an offense for purposes of this part if the
conviction has been expunged or set
aside, or is an offense for which the
person has been pardoned or has had
civil rights restored (if the law of the
jurisdiction in which the proceedings
were held provides for the loss of civil
rights upon conviction for such an offense) unless the pardon, expunction,
or restoration of civil rights expressly
provides that the person may not ship,
transport, possess, or receive firearms,
and the person is not otherwise prohibited by the law of the jurisdiction in
which the proceedings were held from
receiving or possessing any firearms.
National Firearms Act. 26 U.S.C. Chapter 53.
NICS. The National Instant Criminal
Background Check System established
by the Attorney General pursuant to 18
U.S.C. 922(t).
Nonimmigrant alien. An alien in the
United States in a nonimmigrant classification as defined by section
101(a)(15) of the Immigration and Nationality Act (8 U.S.C. 1101(a)(15)).
Pawnbroker. Any person whose business or occupation includes the taking
or receiving, by way of pledge or pawn,
of any firearm as security for the payment or repayment of money. The term
shall include any person who engages
in such business on a part-time basis.
Permanently inoperable. A firearm
which is incapable of discharging a
shot by means of an explosive and incapable of being readily restored to a

25

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00035

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

§ 478.11

27 CFR Ch. II (4–1–10 Edition)

firing condition. An acceptable method
of rendering most firearms permanently inoperable is to fusion weld the
chamber closed and fusion weld the
barrel solidly to the frame. Certain unusual firearms require other methods
to render the firearm permanently inoperable. Contact ATF for instructions.
Person. Any individual, corporation,
company, association, firm, partnership, society, or joint stock company.
Pistol. A weapon originally designed,
made, and intended to fire a projectile
(bullet) from one or more barrels when
held in one hand, and having (a) a
chamber(s) as an integral part(s) of, or
permanently aligned with, the bore(s);
and (b) a short stock designed to be
gripped by one hand and at an angle to
and extending below the line of the
bore(s).
Principal objective of livelihood and
profit. The intent underlying the sale
or disposition of firearms is predominantly one of obtaining livelihood and
pecuniary gain, as opposed to other intents such as improving or liquidating
a personal firearms collection: Provided, That proof of profit shall not be
required as to a person who engages in
the regular and repetitive purchase and
disposition of firearms for criminal
purposes or terrorism. For purposes of
this part, the term ‘‘terrorism’’ means
activity,
directed
against
United
States persons, which—
(a) Is committed by an individual
who is not a national or permanent
resident alien of the United States;
(b) Involves violent acts or acts dangerous to human life which would be a
criminal violation if committed within
the jurisdiction of the United States;
and
(c) Is intended—
(1) To intimidate or coerce a civilian
population;
(2) To influence the policy of a government by intimidation or coercion;
or
(3) To affect the conduct of a government by assassination or kidnapping.
Published ordinance. A published law
of any political subdivision of a State
which the Director determines to be
relevant to the enforcement of this
part and which is contained on a list
compiled by the Director, which list is

incorporated by reference in the FEDERAL REGISTER, revised annually, and
furnished to licensees under this part.
Renounced U.S. citizenship. (a) A person has renounced his U.S. citizenship
if the person, having been a citizen of
the United States, has renounced citizenship either—
(1) Before a diplomatic or consular
officer of the United States in a foreign
state pursuant to 8 U.S.C. 1481(a)(5); or
(2) Before an officer designated by
the Attorney General when the United
States is in a state of war pursuant to
8 U.S.C. 1481(a)(6).
(b) The term shall not include any renunciation of citizenship that has been
reversed as a result of administrative
or judicial appeal.
Revolver. A projectile weapon, of the
pistol type, having a breechloading
chambered cylinder so arranged that
the cocking of the hammer or movement of the trigger rotates it and
brings the next cartridge in line with
the barrel for firing.
Rifle. A weapon designed or redesigned, made or remade, and intended
to be fired from the shoulder, and designed or redesigned and made or remade to use the energy of the explosive
in a fixed metallic cartridge to fire
only a single projectile through a rifled
bore for each single pull of the trigger.
Semiautomatic assault weapon. (a) Any
of the firearms, or copies or duplicates
of the firearms in any caliber, known
as:
(1) Norinco, Mitchell, and Poly Technologies Avtomat Kalashnikovs (all
models),
(2) Action Arms Israeli Military Industries UZI and Galil,
(3) Beretta Ar70 (SC–70),
(4) Colt AR–15,
(5) Fabrique National FN/FAL, FN/
LAR, and FNC,
(6) SWD M–10, M–11, M–11/9, and M–12,
(7) Steyr AUG,
(8) INTRATEC TEC–9, TEC-DC9 and
TEC-22, and
(9) Revolving cylinder shotguns, such
as (or similar to) the Street Sweeper
and Striker 12;
(b) A semiautomatic rifle that has an
ability to accept a detachable magazine and has at least 2 of—
(1) A folding or telescoping stock,

26

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00036

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

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

§ 478.11

Short-barreled rifle. A rifle having one
or more barrels less than 16 inches in
length, and any weapon made from a
rifle, whether by alteration, modification, or otherwise, if such weapon, as
modified, has an overall length of less
than 26 inches.
Short-barreled shotgun. A shotgun
having one or more barrels less than 18
inches in length, and any weapon made
from a shotgun, whether by alteration,
modification, or otherwise, if such
weapon as modified has an overall
length of less than 26 inches.
Shotgun. A weapon designed or redesigned, made or remade, and intended
to be fired from the shoulder, and designed or redesigned and made or remade to use the energy of the explosive
in a fixed shotgun shell to fire through
a smooth bore either a number of ball
shot or a single projectile for each single pull of the trigger.
State. A State of the United States.
The term shall include the District of
Columbia, the Commonwealth of Puerto Rico, and the possessions of the
United States (not including the Canal
Zone).
State of residence. The State in which
an individual resides. An individual resides in a State if he or she is present
in a State with the intention of making a home in that State. If an individual is on active duty as a member of
the Armed Forces, the individual’s
State of residence is the State in which
his or her permanent duty station is located. An alien who is legally in the
United States shall be considered to be
a resident of a State only if the alien is
residing in the State and has resided in
the State for a period of at least 90
days prior to the date of sale or delivery of a firearm. The following are examples that illustrate this definition:

(2) A pistol grip that protrudes conspicuously beneath the action of the
weapon,
(3) A bayonet mount,
(4) A flash suppressor or threaded
barrel designed to accommodate a flash
suppressor, and
(5) A grenade launcher;
(c) A semiautomatic pistol that has
an ability to accept a detachable magazine and has at least 2 of—
(1) An ammunition magazine that attaches to the pistol outside of the pistol grip,
(2) A threaded barrel capable of accepting a barrel extender, flash suppressor, forward handgrip, or silencer,
(3) A shroud that is attached to, or
partially or completely encircles, the
barrel and that permits the shooter to
hold the firearm with the nontrigger
hand without being burned,
(4) A manufactured weight of 50
ounces or more when the pistol is unloaded, and
(5) A semiautomatic version of an
automatic firearm; and
(d) A semiautomatic shotgun that
has at least 2 of—
(1) A folding or telescoping stock,
(2) A pistol grip that protrudes conspicuously beneath the action of the
weapon,
(3) A fixed magazine capacity in excess of 5 rounds, and
(4) An ability to accept a detachable
magazine.
Semiautomatic pistol. Any repeating
pistol which utilizes a portion of the
energy of a firing cartridge to extract
the fired cartridge case and chamber
the next round, and which requires a
separate pull of the trigger to fire each
cartridge.
Semiautomatic rifle. Any repeating
rifle which utilizes a portion of the energy of a firing cartridge to extract the
fired cartridge case and chamber the
next round, and which requires a separate pull of the trigger to fire each cartridge.
Semiautomatic shotgun. Any repeating
shotgun which utilizes a portion of the
energy of a firing cartridge to extract
the fired cartridge case and chamber
the next round, and which requires a
separate pull of the trigger to fire each
cartridge.

Example 1. A maintains a home in State X.
A travels to State Y on a hunting, fishing,
business, or other type of trip. A does not become a resident of State Y by reason of such
trip.
Example 2. A is a U.S. citizen and maintains a home in State X and a home in State
Y. A resides in State X except for weekends
or the summer months of the year and in
State Y for the weekends or the summer
months of the year. During the time that A
actually resides in State X, A is a resident of
State X, and during the time that A actually
resides in State Y, A is a resident of State Y.

27

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00037

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

§ 478.21

27 CFR Ch. II (4–1–10 Edition)

Example 3. A, an alien, travels on vacation
or on a business trip to State X. Regardless
of the length of time A spends in State X, A
does not have a State of residence in State
X. This is because A does not have a home in
State X at which he has resided for at least
90 days.

U.S.C. The United States Code.
(5 U.S.C. 552(a), 80 Stat. 383, as amended; 18
U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82 Stat.
1226))
[T.D. ATF–48, 43 FR 13536, Mar. 31 1978; 44 FR
55842, Sept. 28, 1979]

erowe on DSK5CLS3C1PROD with CFR

Unlawful user of or addicted to any
controlled substance. A person who uses
a controlled substance and has lost the
power of self-control with reference to
the use of controlled substance; and
any person who is a current user of a
controlled substance in a manner other
than as prescribed by a licensed physician. Such use is not limited to the use
of drugs on a particular day, or within
a matter of days or weeks before, but
rather that the unlawful use has occurred recently enough to indicate that
the individual is actively engaged in
such conduct. A person may be an unlawful current user of a controlled substance even though the substance is
not being used at the precise time the
person seeks to acquire a firearm or receives or possesses a firearm. An inference of current use may be drawn from
evidence of a recent use or possession
of a controlled substance or a pattern
of use or possession that reasonably
covers the present time, e.g., a conviction for use or possession of a controlled substance within the past year;
multiple arrests for such offenses within the past 5 years if the most recent
arrest occurred within the past year; or
persons found through a drug test to
use a controlled substance unlawfully,
provided that the test was administered within the past year. For a current or former member of the Armed
Forces, an inference of current use may
be drawn from recent disciplinary or
other administrative action based on
confirmed drug use, e.g., court-martial
conviction, nonjudicial punishment, or
an administrative discharge based on
drug use or drug rehabilitation failure.
Unserviceable firearm. A firearm which
is incapable of discharging a shot by
means of an explosive and is incapable
of being readily restored to a firing
condition.

EDITORIAL NOTE: For FEDERAL REGISTER citations affecting § 478.11, see the List of CFR
Sections Affected, which appears in the
Finding Aids section of the printed volume
and on GPO Access.

Subpart C—Administrative and
Miscellaneous Provisions
§ 478.21

Forms prescribed.

(a) The Director is authorized to prescribe all forms required by this part.
All of the information called for in
each form shall be furnished as indicated by the headings on the form and
the instructions on or pertaining to the
form. In addition, information called
for in each form shall be furnished as
required by this part.
(b) Requests for forms should be
mailed to the ATF Distribution Center,
7664 K Fullerton Road, Springfield, Virginia 22150.
(5 U.S.C. 552(a); 80 Stat. 383, as amended)
[T.D. ATF–92, 46 FR 46915, Sept. 23, 1981, as
amended by T.D. ATF–249, 52 FR 5962, Feb.
27, 1987; T.D. ATF–270, 53 FR 10492, Mar. 31,
1988; T.D. 372, 61 FR 20724, May 8, 1996; ATF–
11F, 73 FR 57240, Oct. 2, 2008]

§ 478.22 Alternate methods or procedures; emergency variations from
requirements.
(a) Alternate methods or procedures.
The licensee, on specific approval by
the Director as provided in this paragraph, may use an alternate method or
procedure in lieu of a method or procedure specifically prescribed in this
part. The Director may approve an alternate method or procedure, subject
to stated conditions, when it is found
that:
(1) Good cause is shown for the use of
the alternate method or procedure;
(2) The alternate method or procedure is within the purpose of, and consistent with the effect intended by, the
specifically prescribed method or procedure and that the alternate method

28

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00038

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

Bureau of Alcohol, Tobacco, Firearms, and Explosives, Justice
or procedure is substantially equivalent to that specifically prescribed
method or procedure; and
(3) The alternate method or procedure will not be contrary to any provision of law and will not result in an increase in cost to the Government or
hinder the effective administration of
this part. Where the licensee desires to
employ an alternate method or procedure, a written application shall be
submitted to the appropriate Director
of Industry Operations, for transmittal
to the Director. The application shall
specifically describe the proposed alternate method or procedure and shall
set forth the reasons for it. Alternate
methods or procedures may not be employed until the application is approved by the Director. The licensee
shall, during the period of authorization of an alternate method or procedure, comply with the terms of the approved application. Authorization of
any alternate method or procedure
may be withdrawn whenever, in the
judgment of the Director, the effective
administration of this part is hindered
by the continuation of the authorization.
(b) Emergency variations from requirements. The Director may approve a
method of operation other than as
specified in this part, where it is found
that an emergency exists and the proposed variation from the specified requirements are necessary and the proposed variations (1) will not hinder the
effective administration of this part,
and (2) will not be contrary to any provisions of law. Variations from requirements granted under this paragraph
are conditioned on compliance with the
procedures, conditions, and limitations
set forth in the approval of the application. Failure to comply in good faith
with the procedures, conditions, and
limitations shall automatically terminate the authority for the variations,
and the licensee shall fully comply
with the prescribed requirements of
regulations from which the variations
were authorized. Authority for any
variation may be withdrawn whenever,
in the judgment of the Director, the effective administration of this part is
hindered by the continuation of the
variation. Where the licensee desires to
employ an emergency variation, a writ-

§ 478.23

ten application shall be submitted to
the appropriate Director of Industry
Operations for transmittal to the Director. The application shall describe
the proposed variation and set forth
the reasons for it. Variations may not
be employed until the application is
approved.
(c) Retention of approved variations.
The licensee shall retain, as part of the
licensee’s records, available for examination by ATF officers, any application approved by the Director under
this section.
[T.D. ATF–270, 53 FR 10492, Mar. 31, 1988]

§ 478.23 Right of entry and examination.
(a) Except as provided in paragraph
(b), any ATF officer, when there is reasonable cause to believe a violation of
the Act has occurred and that evidence
of the violation may be found on the
premises of any licensed manufacturer,
licensed importer, licensed dealer, or
licensed collector, may, upon demonstrating such cause before a Federal
magistrate and obtaining from the
magistrate a warrant authorizing
entry, enter during business hours (or,
in the case of a licensed collector, the
hours of operation) the premises, including places of storage, of any such
licensee for the purpose of inspecting
or examining:
(1) Any records or documents required to be kept by such licensee
under this part and
(2) Any inventory of firearms or ammunition kept or stored by any licensed manufacturer, licensed importer, or licensed dealer at such premises or any firearms curios or relics or
ammunition kept or stored by any licensed collector at such premises.
(b) Any ATF officer, without having
reasonable cause to believe a violation
of the Act has occurred or that evidence of the violation may be found
and without demonstrating such cause
before a Federal magistrate or obtaining from the magistrate a warrant authorizing entry, may enter during business hours the premises, including

29

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00039

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

§ 478.24

27 CFR Ch. II (4–1–10 Edition)

places of storage, of any licensed manufacturer, licensed importer, or licensed dealer for the purpose of inspecting or examining the records, documents, ammunition and firearms referred to in paragraph (a) of this section:
(1) In the course of a reasonable inquiry during the course of a criminal
investigation of a person or persons
other than the licensee,
(2) For insuring compliance with the
recordkeeping requirements of this
part:
(i) Not more than once during any 12month period, or
(ii) At any time with respect to
records relating to a firearm involved
in a criminal investigation that is
traced to the licensee, or
(3) When such inspection or examination may be required for determining
the disposition of one or more particular firearms in the course of a bona
fide criminal investigation.
(c) Any ATF officer, without having
reasonable cause to believe a violation
of the Act has occurred or that evidence of the violation may be found
and without demonstrating such cause
before a Federal magistrate or obtaining from the magistrate a warrant authorizing entry, may enter during
hours of operation the premises, including places of storage, of any licensed collector for the purpose of inspecting or examining the records, documents, firearms, and ammunition referred to in paragraph (a) of this section (1) for ensuring compliance with
the recordkeeping requirements of this
part not more than once during any 12month period or (2) when such inspection or examination may be required
for determining the disposition of one
or more particular firearms in the
course of a bona fide criminal investigation. At the election of the licensed
collector, the annual inspection permitted by this paragraph shall be performed at the ATF office responsible
for conducting such inspection in closest proximity to the collectors premises.
(d) The inspections and examinations
provided by this section do not authorize an ATF officer to seize any records
or documents other than those records
or documents constituting material

evidence of a violation of law. If an
ATF officer seizes such records or documents, copies shall be provided the licensee within a reasonable time.
[T.D. ATF–270, 53 FR 10492, Mar. 31, 1988; as
amended by T.D. ATF–363, 60 FR 17450, Apr.
6, 1995]

§ 478.24 Compilation of State laws and
published ordinances.
(a) The Director shall annually revise
and furnish Federal firearms licensees
with a compilation of State laws and
published ordinances which are relevant to the enforcement of this part.
The Director annually revises the compilation and publishes it as ‘‘State
Laws and Published Ordinances—Firearms’’ which is furnished free of charge
to licensees under this part. Where the
compilation has previously been furnished to licensees, the Director need
only furnish amendments of the relevant laws and ordinances to such licensees.
(b) ‘‘State Laws and Published Ordinances—Firearms’’ is incorporated by
reference in this part. It is ATF Publication 5300.5, revised yearly. The current edition is available from the Superintendent of Documents, U.S. Government Printing Office, Washington,
DC 20402. It is also available for inspection at the National Archives and
Records Administration (NARA). For
information on the availability of this
material at NARA, call 202–741–6030, or
go
to:
http://www.archives.gov/
federallregister/
codeloflfederallregulations/
ibrllocations.html. This incorporation
by reference was approved by the Director of the Federal Register.
[T.D. ATF–270, 53 FR 10493, Mar. 31, 1988, as
amended at 69 FR 18803, Apr. 9, 2004]

§ 478.25 Disclosure of information.
The Director of Industry Operations
may make available to any Federal,
State or local law enforcement agency
any information which is obtained by
reason of the provisions of the Act with
respect to the identification of persons
prohibited from purchasing or receiving firearms or ammunition who have
purchased or received firearms or ammunition, together with a description
of such firearms or ammunition. Upon
the request of any Federal, State or

30

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00040

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

Bureau of Alcohol, Tobacco, Firearms, and Explosives, Justice
local law enforcement agency, the Director of Industry Operations may provide such agency any information contained in the records required to be
maintained by the Act or this part.

§ 478.27 Destructive device determination.
The Director shall determine in accordance with 18 U.S.C. 921(a)(4) whether a device is excluded from the definition of a destructive device. A person
who desires to obtain a determination
under that provision of law for any device which he believes is not likely to
be used as a weapon shall submit a
written request, in triplicate, for a ruling thereon to the Director. Each such
request shall be executed under the
penalties of perjury and contain a complete and accurate description of the
device, the name and address of the
manufacturer or importer thereof, the
purpose of and use for which it is intended, and such photographs, diagrams, or drawings as may be necessary to enable the Director to make
his determination. The Director may
require the submission to him, of a
sample of such device for examination
and evaluation. If the submission of
such device is impracticable, the person requesting the ruling shall so advise the Director and designate the
place where the device will be available
for examination and evaluation.

[T.D. ATF–270, 53 FR 10493, Mar. 31, 1988]

§ 478.25a Responses to requests for information.
Each licensee shall respond immediately to, and in no event later than
24 hours after the receipt of, a request
by an ATF officer at the National
Tracing Center for information contained in the records required to be
kept by this part for determining the
disposition of one or more firearms in
the course of a bona fide criminal investigation. The requested information
shall be provided orally to the ATF officer within the 24-hour period.
Verification of the identity and employment of National Tracing Center
personnel requesting information may
be established at the time the requested information is provided by
telephoning the toll-free number 1–800–
788–7132 or using the toll-free facsimile
(FAX) number 1–800–788–7133.
(Approved by the Office of Management and
Budget under control number 1140–0032)

§ 478.28 Transportation of destructive
devices and certain firearms.

[T.D. ATF–363, 60 FR 17451, Apr. 6, 1996, as
amended by T.D. ATF–396, 63 FR 12646, Mar.
16, 1998; ATF–11F, 73 FR 57240, Oct. 2, 2008]

erowe on DSK5CLS3C1PROD with CFR

§ 478.26

§ 478.28

(a) The Director may authorize a person to transport in interstate or foreign commerce any destructive device,
machine gun, short-barreled shotgun,
or short-barreled rifle, if he finds that
such transportation is reasonably necessary and is consistent with public
safety and applicable State and local
law. A person who desires to transport
in interstate or foreign commerce any
such device or weapon shall submit a
written request so to do, in duplicate,
to the Director. The request shall contain:
(1) A complete description and identification of the device or weapon to be
transported;
(2) A statement whether such transportation involves a transfer of title;
(3) The need for such transportation;
(4) The approximate date such transportation is to take place;
(5) The present location of such device or weapon and the place to which
it is to be transported;

Curio and relic determination.

Any person who desires to obtain a
determination whether a particular
firearm is a curio or relic shall submit
a written request, in duplicate, for a
ruling thereon to the Director. Each
such request shall be executed under
the penalties of perjury and shall contain a complete and accurate description of the firearm, and such photographs, diagrams, or drawings as may
be necessary to enable the Director to
make a determination. The Director
may require the submission of the firearm for examination and evaluation. If
the submission of the firearm is impractical, the person requesting the determination shall so advise the Director and designate the place where the
firearm will be available for examination and evaluation.
[T.D. ATF–270, 53 FR 10493, Mar. 31, 1988]

31

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00041

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

§ 478.29

27 CFR Ch. II (4–1–10 Edition)

(6) The mode of transportation to be
used (including, if by common or contract carrier, the name and address of
such carrier); and
(7) Evidence that the transportation
or possession of such device or weapon
is not inconsistent with the laws at the
place of destination.
(b) No person shall transport any destructive device, machine gun, shortbarreled shotgun, or short-barreled
rifle in interstate or foreign commerce
under the provisions of this section
until he has received specific authorization so to do from the Director. Authorization granted under this section
does not carry or import relief from
any other statutory or regulatory provision relating to firearms.
(c) This section shall not be construed as requiring licensees to obtain
authorization to transport destructive
devices, machine guns, short-barreled
shotguns, and short-barreled rifles in
interstate or foreign commerce: Provided, That in the case of a licensed importer, licensed manufacturer, or licensed dealer, such a licensee is qualified under the National Firearms Act
(see also Part 479 of this chapter) and
this part to engage in the business with
respect to the device or weapon to be
transported, and that in the case of a
licensed collector, the device or weapon to be transported is a curio or relic.

person to purchase or possess such firearm in that State,
(b) Shall not apply to the transportation or receipt of a rifle or shotgun
obtained from a licensed manufacturer,
licensed importer, licensed dealer, or
licensed collector in a State other than
the transferee’s State of residence in
an over-the-counter transaction at the
licensee’s premises obtained in conformity
with
the
provisions
of
§ 478.96(c) and
(c) Shall not apply to the transportation or receipt of a firearm obtained
in conformity with the provisions of
§§ 478.30 and 478.97.
[T.D. ATF–270, 53 FR 10493, Mar. 31, 1988]

§ 478.29a Acquisition of firearms by
nonresidents.
No person, other than a licensed importer, licensed manufacturer, licensed
dealer, or licensed collector, who does
not reside in any State shall receive
any firearms unless such receipt is for
lawful sporting purposes.
[T.D. ATF–363, 60 FR 17451, Apr. 6, 1995]

§ 478.30 Out-of-State
disposition
firearms by nonlicensees.

No nonlicensee shall transfer, sell,
trade, give, transport, or deliver any
firearm to any other nonlicensee, who
the transferor knows or has reasonable
cause to believe does not reside in (or if
the person is a corporation or other
business entity, does not maintain a
place of business in) the State in which
the transferor resides: Provided, That
the provisions of this section:
(a) shall not apply to the transfer,
transportation, or delivery of a firearm
made to carry out a bequest of a firearm to, or any acquisition by intestate
succession of a firearm by, a person
who is permitted to acquire or possess
a firearm under the laws of the State of
his residence; and
(b) shall not apply to the loan or
rental of a firearm to any person for
temporary use for lawful sporting purposes.

[33 FR 18555, Dec. 14, 1968. Redesignated at 40
FR 16385, Apr. 15, 1975, and amended by T.D.
ATF–138, 48 FR 35399, Aug. 4, 1983]

erowe on DSK5CLS3C1PROD with CFR

§ 478.29 Out-of-State
acquisition
firearms by nonlicensees.

of

No person, other than a licensed importer, licensed manufacturer, licensed
dealer, or licensed collector, shall
transport into or receive in the State
where the person resides (or if a corporation or other business entity,
where it maintains a place of business)
any firearm purchased or otherwise obtained by such person outside that
State: Provided, That the provisions of
this section:
(a) Shall not preclude any person who
lawfully acquires a firearm by bequest
or intestate succession in a State other
than his State of residence from transporting the firearm into or receiving it
in that State, if it is lawful for such

[T.D. ATF–313, 56 FR 32508, July 17, 1991; 57
FR 1205, Jan. 10, 1992]

32

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00042

of

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

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

§ 478.32

§ 478.31 Delivery by common or contract carrier.

who places firearms in the carrier’s
custody for the duration of the trip.

(a) No person shall knowingly deliver
or cause to be delivered to any common
or contract carrier for transportation
or shipment in interstate or foreign
commerce to any person other than a
licensed importer, licensed manufacturer, licensed dealer, or licensed collector, any package or other container
in which there is any firearm or ammunition without written notice to the
carrier that such firearm or ammunition is being transported or shipped:
Provided, That any passenger who owns
or legally possesses a firearm or ammunition being transported aboard any
common or contract carrier for movement with the passenger in interstate
or foreign commerce may deliver said
firearm or ammunition into the custody of the pilot, captain, conductor or
operator of such common or contract
carrier for the duration of that trip
without violating any provision of this
part.
(b) No common or contract carrier
shall require or cause any label, tag, or
other written notice to be placed on
the outside of any package, luggage, or
other container indicating that such
package, luggage, or other container
contains a firearm.
(c) No common or contract carrier
shall transport or deliver in interstate
or foreign commerce any firearm or
ammunition with knowledge or reasonable cause to believe that the shipment, transportation, or receipt thereof would be in violation of any provision of this part: Provided, however,
That the provisions of this paragraph
shall not apply in respect to the transportation of firearms or ammunition in
in-bond shipment under Customs laws
and regulations.
(d) No common or contract carrier
shall knowingly deliver in interstate or
foreign commerce any firearm without
obtaining written acknowledgement of
receipt from the recipient of the package or other container in which there
is a firearm: Provided, That this paragraph shall not apply with respect to
the return of a firearm to a passenger

[33 FR 18555, Dec. 14, 1968. Redesignated at 40
FR 16385, Apr. 15, 1975, and amended by T.D.
ATF–354, 59 FR 7112, Feb. 14, 1994; T.D. ATF–
361, 60 FR 10786, Feb. 27, 1995]

§ 478.32 Prohibited shipment, transportation, possession, or receipt of
firearms and ammunition by certain persons.
(a) No person may ship or transport
any firearm or ammunition in interstate or foreign commerce, or receive
any firearm or ammunition which has
been shipped or transported in interstate or foreign commerce, or possess
any firearm or ammunition in or affecting commerce, who:
(1) Has been convicted in any court of
a crime punishable by imprisonment
for a term exceeding 1 year,
(2) Is a fugitive from justice,
(3) Is an unlawful user of or addicted
to any controlled substance (as defined
in section 102 of the Controlled Substances Act, 21 U.S.C. 802),
(4) Has been adjudicated as a mental
defective or has been committed to a
mental institution,
(5) Being an alien—
(i) Is illegally or unlawfully in the
United States; or
(ii) Except as provided in paragraph
(f) of this section, is a nonimmigrant
alien: Provided, That the provisions of
this paragraph (a)(5)(ii) do not apply to
any nonimmigrant alien if that alien
is(A) Admitted to the United States for
lawful hunting or sporting purposes or
is in possession of a hunting license or
permit lawfully issued in the United
States;
(B) An official representative of a
foreign government who is either accredited to the United States Government or the Government’s mission to
an international organization having
its headquarters in the United States
or is en route to or from another country to which that alien is accredited.
This exception only applies if the firearm or ammunition is shipped, transported, possessed, or received in the
representative’s official capacity;
(C) An official of a foreign government or a distinguished foreign visitor

33

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00043

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

§ 478.32

27 CFR Ch. II (4–1–10 Edition)

who has been so designated by the Department of State. This exception only
applies if the firearm or ammunition is
shipped, transported, possessed, or received in the official’s or visitor’s official capacity, except if the visitor is a
private individual who does not have
an official capacity; or
(D) A foreign law enforcement officer
of a friendly foreign government entering the United States on official law
enforcement business,
(6) Has been discharged from the
Armed Forces under dishonorable conditions,
(7) Having been a citizen of the
United States, has renounced citizenship,
(8) Is subject to a court order that—
(i) Was issued after a hearing of
which such person received actual notice, and at which such person had an
opportunity to participate;
(ii) Restrains such person from
harassing, stalking, or threatening an
intimate partner of such person or
child of such intimate partner or person, or engaging in other conduct that
would place an intimate partner in reasonable fear of bodily injury to the
partner or child; and
(iii)(A) Includes a finding that such
person represents a credible threat to
the physical safety of such intimate
partner or child; or
(B) By its terms explicitly prohibits
the use, attempted use, or threatened
use of physical force against such intimate partner or child that would reasonably be expected to cause bodily injury, or
(9) Has been convicted of a misdemeanor crime of domestic violence.
(b) No person who is under indictment for a crime punishable by imprisonment for a term exceeding one year
may ship or transport any firearm or
ammunition in interstate or foreign
commerce or receive any firearm or
ammunition which has been shipped or
transported in interstate or foreign
commerce.
(c) Any individual, who to that individual’s knowledge and while being employed by any person described in paragraph (a) of this section, may not in
the course of such employment receive,
possess, or transport any firearm or
ammunition in commerce or affecting

commerce or receive any firearm or
ammunition which has been shipped or
transported in interstate or foreign
commerce.
(d) No person may sell or otherwise
dispose of any firearm or ammunition
to any person knowing or having reasonable cause to believe that such person:
(1) Is under indictment for, or has
been convicted in any court of, a crime
punishable by imprisonment for a term
exceeding 1 year,
(2) Is a fugitive from justice,
(3) Is an unlawful user of or addicted
to any controlled substance (as defined
in section 102 of the Controlled Substances Act, 21 U.S.C. 802),
(4) Has been adjudicated as a mental
defective or has been committed to a
mental institution,
(5) Being an alien—
(i) Is illegally or unlawfully in the
United States; or
(ii) Except as provided in paragraph
(f) of this section, is a nonimmigrant
alien: Provided, That the provisions of
this paragraph (d)(5)(ii) do not apply to
any nonimmigrant alien if that alien
is(A) Admitted to the United States for
lawful hunting or sporting purposes or
is in possession of a hunting license or
permit lawfully issued in the United
States;
(B) An official representative of a
foreign government who is either accredited to the United States Government or the Government’s mission to
an international organization having
its headquarters in the United States
or en route to or from another country
to which that alien is accredited. This
exception only applies if the firearm or
ammunition is shipped, transported,
possessed, or received in the representative’s official capacity;
(C) An official of a foreign government or a distinguished foreign visitor
who has been so designated by the Department of State. This exception only
applies if the firearm or ammunition is
shipped, transported, possessed, or received in the official’s or visitor’s official capacity, except if the visitor is a
private individual who does not have
an official capacity; or

34

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00044

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

Bureau of Alcohol, Tobacco, Firearms, and Explosives, Justice
(D) A foreign law enforcement officer
of a friendly foreign government entering the United States on official law
enforcement business,
(6) Has been discharged from the
Armed Forces under dishonorable conditions,
(7) Having been a citizen of the
United States, has renounced citizenship,
(8) Is subject to a court order that restrains such person from harassing,
stalking, or threatening an intimate
partner of such person or child of such
intimate partner or person, or engaging in other conduct that would place
an intimate partner in reasonable fear
of bodily injury to the partner or child:
Provided, That the provisions of this
paragraph shall only apply to a court
order that—
(i) Was issued after a hearing of
which such person received actual notice, and at which such person had the
opportunity to participate; and
(ii)(A) Includes a finding that such
person represents a credible threat to
the physical safety of such intimate
partner or child; or
(B) By its terms explicitly prohibits
the use, attempted use, or threatened
use of physical force against such intimate partner or child that would reasonably be expected to cause bodily injury, or
(9) Has been convicted of a misdemeanor crime of domestic violence.
(e) The actual notice required by
paragraphs (a)(8)(i) and (d)(8)(i) of this
section is notice expressly and actually
given, and brought home to the party
directly, including service of process
personally served on the party and
service by mail. Actual notice also includes proof of facts and circumstances
that raise the inference that the party
received notice including, but not limited to, proof that notice was left at
the party’s dwelling house or usual
place of abode with some person of
suitable age and discretion residing
therein; or proof that the party signed
a return receipt for a hearing notice
which had been mailed to the party. It
does not include notice published in a
newspaper.
(f) Pursuant to 18 U.S.C. 922(y)(3), any
nonimmigrant alien may receive a
waiver from the prohibition contained

§ 478.34

in paragraph (a)(5)(ii) of this section, if
the Attorney General approves a petition for the waiver.
[T.D. ATF–270, 53 FR 10493, Mar. 31, 1988, as
amended by T.D. ATF–363, 60 FR 17451, Apr.
6, 1995; T.D. ATF–391, 62 FR 34639, June 27,
1997; T.D. ATF–401, 63 FR 35522, June 30, 1998;
T.D. ATF–471, 67 FR 5425, Feb. 5, 2002]

§ 478.33 Stolen firearms and ammunition.
No person shall transport or ship in
interstate or foreign commerce any
stolen firearm or stolen ammunition
knowing or having reasonable cause to
believe that the firearm or ammunition was stolen, and no person shall receive, possess, conceal, store, barter,
sell, or dispose of any stolen firearm or
stolen ammunition, or pledge or accept
as security for a loan any stolen firearm or stolen ammunition, which is
moving as, which is a part of, which
constitutes, or which has been shipped
or transported in, interstate or foreign
commerce, either before or after it was
stolen, knowing or having reasonable
cause to believe that the firearm or
ammunition was stolen.
[T.D. ATF–363, 60 FR 17451, Apr. 6, 1995]

§ 478.33a

Theft of firearms.

No person shall steal or unlawfully
take or carry away from the person or
the premises of a person who is licensed to engage in the business of importing, manufacturing, or dealing in
firearms, any firearm in the licensee’s
business inventory that has been
shipped or transported in interstate or
foreign commerce.
[T.D. ATF–354, 59 FR 7112, Feb. 14, 1994]

§ 478.34 Removed, obliterated, or altered serial number.
No person shall knowingly transport,
ship, or receive in interstate or foreign
commerce any firearm which has had
the importer’s or manufacturer’s serial
number removed, obliterated, or altered, or possess or receive any firearm
which has had the importer’s or manufacturer’s serial number removed, obliterated, or altered and has, at any
time, been shipped or transported in
interstate or foreign commerce.
[T.D. ATF–313, 56 FR 32508, July 17, 1991]

35

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00045

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

§ 478.35

27 CFR Ch. II (4–1–10 Edition)
transporting, shipping, or receiving a
firearm shall be entitled to transport a
firearm for any lawful purpose from
any place where such person may lawfully possess and carry such firearm to
any other place where such person may
lawfully possess and carry such firearm
if, during such transportation the firearm is unloaded, and neither the firearm nor any ammunition being transported is readily accessible or is directly accessible from the passenger
compartment of such transporting vehicle: Provided, That in the case of a
vehicle without a compartment separate from the driver’s compartment the
firearm or ammunition shall be contained in a locked container other than
the glove compartment or console.

§ 478.35 Skeet, trap, target, and similar
shooting activities.
Licensing and recordkeeping requirements, including permissible alternate
records, for skeet, trap, target, and
similar organized activities shall be determined by the Director of Industry
Operations on a case by case basis.
§ 478.36 Transfer or possession of machine guns.
No person shall transfer or possess a
machine gun except:
(a) A transfer to or by, or possession
by or under the authority of, the
United States, or any department or
agency thereof, or a State, or a department, agency, or political subdivision
thereof. (See Part 479 of this chapter);
or
(b) Any lawful transfer or lawful possession of a machine gun that was lawfully possessed before May 19, 1986 (See
Part 479 of this chapter).

[T.D. ATF–270, 53 FR 10494, Mar. 31, 1988]

§ 478.39 Assembly of semiautomatic rifles or shotguns.
(a) No person shall assemble a semiautomatic rifle or any shotgun using
more than 10 of the imported parts listed in paragraph (c) of this section if the
assembled firearm is prohibited from
importation under section 925(d)(3) as
not being particularly suitable for or
readily adaptable to sporting purposes.
(b) The provisions of this section
shall not apply to:
(1) The assembly of such rifle or shotgun for sale or distribution by a licensed manufacturer to the United
States or any department or agency
thereof or to any State or any department, agency, or political subdivision
thereof; or
(2) The assembly of such rifle or shotgun for the purposes of testing or experimentation authorized by the Director under the provisions of § 478.151; or
(3) The repair of any rifle or shotgun
which had been imported into or assembled in the United States prior to
November 30, 1990, or the replacement
of any part of such firearm.
(c) For purposes of this section, the
term imported parts are:
(1) Frames, receivers, receiver castings,
forgings or stampings
(2) Barrels
(3) Barrel extensions
(4) Mounting blocks (trunions)
(5) Muzzle attachments
(6) Bolts
(7) Bolt carriers

[T.D. ATF–270, 53 FR 10494, Mar. 31, 1988]

§ 478.37 Manufacture, importation and
sale of armor piercing ammunition.
No person shall manufacture or import, and no manufacturer or importer
shall sell or deliver, armor piercing
ammunition, except:
(a) The manufacture or importation,
or the sale or delivery by any manufacturer or importer, of armor piercing
ammunition for the use of the United
States or any department or agency
thereof or any State or any department, agency or political subdivision
thereof;
(b) The manufacture, or the sale or
delivery by a manufacturer or importer, of armor piercing ammunition
for the purpose of exportation; or
(c) The sale or delivery by a manufacturer or importer of armor piercing
ammunition for the purposes of testing
or experimentation as authorized by
the Director under the provisions of
§ 478.149.

erowe on DSK5CLS3C1PROD with CFR

[T.D. ATF–270, 53 FR 10494, Mar. 31, 1988]

§ 478.38 Transportation of firearms.
Notwithstanding any other provision
of any law or any rule or regulation of
a State or any political subdivision
thereof, any person who is not otherwise prohibited by this chapter from

36

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00046

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

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

(2) Any of the firearms, or replicas or
duplicates of the firearms, specified in
18 U.S.C. 922, Appendix A, as such firearms existed on October 1, 1993;
(3) Any firearm that—
(i) Is manually operated by bolt,
pump, lever, or slide action;
(ii) Has been rendered permanently
inoperable; or
(iii) Is an antique firearm;
(4) Any semiautomatic rifle that cannot accept a detachable magazine that
holds more than 5 rounds of ammunition;
(5) Any semiautomatic shotgun that
cannot hold more than 5 rounds of ammunition in a fixed or detachable magazine;
(6) The manufacture for, transfer to,
or possession by the United States or a
department or agency of the United
States or a State or a department,
agency, or political subdivision of a
State, or a transfer to or possession by
a law enforcement officer employed by
such an entity for purposes of law enforcement;
(7) The transfer to a licensee under
title I of the Atomic Energy Act of 1954
(42 U.S.C. 2011 et seq.) for purposes of
establishing and maintaining an onsite physical protection system and security organization required by Federal law, or possession by an employee
or contractor of such licensee on-site
for such purposes or off-site for purposes of licensee-authorized training or
transportation of nuclear materials;
(8) The possession, by an individual
who is retired from service with a law
enforcement agency and is not otherwise prohibited from receiving a firearm, of a semiautomatic assault weapon transferred to the individual by the
agency upon such retirement;
(9) The manufacture, transfer, or possession of a semiautomatic assault
weapon by a licensed manufacturer or
licensed importer for the purposes of
testing or experimentation as authorized by the Director under the provisions of § 478.153; or
(10) The manufacture, transfer, or
possession of a semiautomatic assault
weapon by a licensed manufacturer, licensed importer, or licensed dealer for
the purpose of exportation in compliance with the Arms Export Control Act
(22 U.S.C. 2778).

(8) Operating rods
(9) Gas pistons
(10) Trigger housings
(11) Triggers
(12) Hammers
(13) Sears
(14) Disconnectors
(15) Buttstocks
(16) Pistol grips
(17) Forearms, handguards
(18) Magazine bodies
(19) Followers
(20) Floorplates
[T.D. ATF–346, 58 FR 40589, July 29, 1993]

§ 478.39a Reporting theft or loss of
firearms.
Each licensee shall report the theft
or loss of a firearm from the licensee’s
inventory (including any firearm which
has been transferred from the licensee’s inventory to a personal collection
and held as a personal firearm for at
least 1 year), or from the collection of
a licensed collector, within 48 hours
after the theft or loss is discovered. Licensees shall report thefts or losses by
telephoning 1–888–930–9275 (nationwide
toll free number) and by preparing ATF
Form 3310.11, Federal Firearms Licensee Theft/Loss Report, in accordance with the instructions on the form.
The original of the report shall be forwarded to the office specified thereon,
and Copy 1 shall be retained by the licensee as part of the licensee’s permanent records. Theft or loss of any firearm shall also be reported to the appropriate local authorities.
(Approved by the Office of Management and
Budget under control number 1140–0039)
[T.D. ATF–363, 60 FR 17451, Apr. 6, 1995, as
amended by ATF–11F, 73 FR 57240, Oct. 2,
2008]

erowe on DSK5CLS3C1PROD with CFR

§ 478.40

§ 478.40 Manufacture, transfer, and
possession of semiautomatic assault
weapons.
(a) Prohibition. No person shall manufacture, transfer, or possess a semiautomatic assault weapon.
(b) Exceptions. The provisions of paragraph (a) of this section shall not apply
to:
(1) The possession or transfer of any
semiautomatic assault weapon otherwise lawfully possessed in the United
States under Federal law on September
13, 1994;

37

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00047

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

§ 478.40a

27 CFR Ch. II (4–1–10 Edition)

(c) Manufacture and dealing in semiautomatic assault weapons. Subject to
compliance with the provisions of this
part, licensed manufacturers and licensed dealers in semiautomatic assault weapons may manufacture and
deal in such weapons manufactured
after September 13, 1994: Provided, The
licensee obtains evidence that the
weapons will be disposed of in accordance with paragraph (b) of this section.
Examples of acceptable evidence include the following:
(1) Contracts between the manufacturer and dealers stating that the
weapons may only be sold to law enforcement agencies, law enforcement
officers, or other purchasers specified
in paragraph (b) of this section;
(2) Copies of purchase orders submitted to the manufacturer or dealer
by law enforcement agencies or other
purchasers specified in paragraph (b) of
this section;
(3) Copies of letters submitted to the
manufacturer or dealer by government
agencies, law enforcement officers, or
other purchasers specified in paragraph
(b) of this section expressing an interest in purchasing the semiautomatic
assault weapons;
(4) Letters from dealers to the manufacturer stating that sales will only be
made to law enforcement agencies, law
enforcement officers, or other purchasers specified in paragraph (b) of
this section; and
(5) Letters from law enforcement officers purchasing in accordance with
paragraph (b)(6) of this section and
§ 478.132.

vice otherwise lawfully possessed on
September 13, 1994;
(2) The manufacture for, transfer to,
or possession by the United States or a
department or agency of the United
States or a State or a department,
agency, or political subdivision of a
State, or a transfer to or possession by
a law enforcement officer employed by
such an entity for purposes of law enforcement;
(3) The transfer to a licensee under
title I of the Atomic Energy Act of 1954
for purposes of establishing and maintaining an on-site physical protection
system and security organization required by Federal law, or possession by
an employee or contractor of such licensee on-site for such purposes or offsite for purposes of licensee-authorized
training or transportation of nuclear
materials;
(4) The possession, by an individual
who is retired from service with a law
enforcement agency and is not otherwise prohibited from receiving ammunition, of a large capacity ammunition
feeding device transferred to the individual by the agency upon such retirement;
(5) The manufacture, transfer, or possession of any large capacity ammunition feeding device by a manufacturer
or importer for the purposes of testing
or experimentation in accordance with
§ 478.153; or
(6) The manufacture, transfer, or possession of any large capacity ammunition feeding device by a manufacturer
or importer for the purpose of exportation in accordance with the Arms Export Control Act (22 U.S.C. 2778).
(c) Importation, manufacture, and dealing in large capacity ammunition feeding
devices. Possession and transfer of large
capacity ammunition feeding devices
by persons who manufacture, import,
or deal in such devices will be presumed to be lawful if such persons
maintain evidence establishing that
the devices are possessed and transferred for sale to purchasers specified
in paragraph (b) of this section. Examples of acceptable evidence include the
following:
(1) Contracts between persons who
import or manufacture such devices
and persons who deal in such devices
stating that the devices may only be

(Paragraph (c) approved by the Office of
Management and Budget under control number 1140–0041)

erowe on DSK5CLS3C1PROD with CFR

[T.D. ATF–363, 60 FR 17451, Apr. 6, 1995], as
amended by ATF–11F, 73 FR 57240, Oct. 2,
2008]

§ 478.40a Transfer and possession of
large capacity ammunition feeding
devices.
(a) Prohibition. No person shall transfer or possess a large capacity ammunition feeding device.
(b) Exceptions. The provisions of paragraph (a) of this section shall not apply
to:
(1) The possession or transfer of any
large capacity ammunition feeding de-

38

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00048

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

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

ness and each place at which the applicant is to do business. A license as an
importer or manufacturer of firearms
or ammunition, or a dealer in firearms
shall, subject to the provisions of the
Act and other applicable provisions of
law, entitle the licensee to transport,
ship, and receive firearms and ammunition covered by such license in interstate or foreign commerce and to engage in the business specified by the license, at the location described on the
license, and for the period stated on
the license. However, it shall not be
necessary for a licensed importer or a
licensed manufacturer to also obtain a
dealer’s license in order to engage in
business on the licensed premises as a
dealer in the same type of firearms authorized by the license to be imported
or manufactured. Payment of the license fee as an importer or manufacturer of destructive devices, ammunition for destructive devices or armor
piercing ammunition or as a dealer in
destructive devices includes the privilege of importing or manufacturing
firearms other than destructive devices
and ammunition for other than destructive devices or ammunition other
than armor piercing ammunition, or
dealing in firearms other than destructive devices, as the case may be, by
such a licensee at the licensed premises.
(c) Each person seeking the privileges of a collector licensed under this
part shall file an application, with the
required fee (see § 478.42), with ATF in
accordance with the instructions on
the form (see § 478.44), and pursuant to
§ 478.47, receive from the Chief, Federal
Firearms Licensing Center, the license
covering the collection of curios and
relics. A separate license may be obtained for each collection premises,
and such license shall, subject to the
provisions of the Act and other applicable provisions of law, entitle the licensee to transport, ship, receive, and
acquire curios and relics in interstate
or foreign commerce, and to make disposition of curios and relics in interstate or foreign commerce, to any
other person licensed under the provisions of this part, for the period stated
on the license.

sold to law enforcement agencies or
other purchasers specified in paragraph
(b) of this section;
(2) Copies of purchase orders submitted to persons who manufacture,
import, or deal in such devices by law
enforcement agencies or other purchasers specified in paragraph (b) of
this section;
(3) Copies of letters submitted to persons who manufacture, import, or deal
in such devices by government agencies
or other purchasers specified in paragraph (b) of this section expressing an
interest in purchasing the devices;
(4) Letters from persons who deal in
such devices to persons who import or
manufacture such devices stating that
sales will only be made to law enforcement agencies or other purchasers
specified in paragraph (b) of this section; and
(5) Letters from law enforcement officers purchasing in accordance with
paragraph (b)(2) of this section and
§ 478.132.
(Paragraph (c) approved by the Office of
Management and Budget under control number 1140–0041)
[T.D. ATF–363, 60 FR 17452, Apr. 6, 1995, as
amended by T.D. ATF–383, 61 FR 39321, July
29, 1996; ATF–11F, 73 FR 57240, Oct. 2, 2008]

Subpart D—Licenses

erowe on DSK5CLS3C1PROD with CFR

§ 478.41

§ 478.41 General.
(a) Each person intending to engage
in business as an importer or manufacturer of firearms or ammunition, or a
dealer in firearms shall, before commencing such business, obtain the license required by this subpart for the
business to be operated. Each person
who desires to obtain a license as a collector of curios or relics may obtain
such a license under the provisions of
this subpart.
(b) Each person intending to engage
in business as a firearms or ammunition importer or manufacturer, or dealer in firearms shall file an application,
with the required fee (see § 478.42), with
ATF in accordance with the instructions on the form (see § 478.44), and,
pursuant to § 478.47, receive the license
required for such business from the
Chief, Federal Firearms Licensing Center. Except as provided in § 478.50, a license must be obtained for each busi-

39

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00049

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

§ 478.42

27 CFR Ch. II (4–1–10 Edition)

(d) The collector license provided by
this part shall apply only to transactions related to a collector’s activity
in acquiring, holding or disposing of
curios and relics. A collector’s license
does not authorize the collector to engage in a business required to be licensed under the Act or this part.
Therefore, if the acquisitions and dispositions of curios and relics by a collector bring the collector within the
definition of a manufacturer, importer,
or dealer under this part, he shall qualify as such. (See also § 478.93 of this
part.)

(d) For a collector of curios and relics—$10 per year.
[T.D. ATF–270, 53 FR 10494, Mar. 31, 1988, as
amended by T.D. ATF–354, 59 FR 7112, Feb.
14, 1994]

§ 478.43

No refund of any part of the amount
paid as a license fee shall be made
where the operations of the licensee
are, for any reason, discontinued during the period of an issued license.
However, the license fee submitted
with an application for a license shall
be refunded if that application is denied or withdrawn by the applicant
prior to being acted upon.

(18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82
Stat. 1226))

[T.D. ATF–270, 53 FR 10494, Mar. 31, 1988]

[33 FR 18555, Dec. 14, 1968. Redesignated at 40
FR 16835, Apr. 15, 1975, and amended by T.D.
ATF–270, 53 FR 10494, Mar. 31, 1988; T.D.
ATF–290, 54 FR 53054, Dec. 27, 1989]

erowe on DSK5CLS3C1PROD with CFR

§ 478.42

License fee not refundable.

§ 478.44

Original license.

(a)(1) Any person who intends to engage in business as a firearms or ammunition importer or manufacturer, or
firearms dealer, or who has not previously been licensed under the provisions of this part to so engage in business, or who has not timely submitted
an application for renewal of the previous license issued under this part,
must file an application for license,
ATF Form 7 (Firearms), in duplicate,
with ATF in accordance with the instructions on the form. The application
must:
(i) Be executed under the penalties of
perjury and the penalties imposed by 18
U.S.C. 924;
(ii) Include a photograph and fingerprints as required in the instructions
on the form;
(iii) If the applicant (including, in
the case of a corporation, partnership,
or association, any individual possessing, directly or indirectly, the
power to direct or cause the direction
of the management and policies of the
corporation, partnership, or association) is a nonimmigrant alien, applicable documentation demonstrating that
the nonimmigrant alien falls within an
exception to or has obtained a waiver
from the nonimmigrant alien provision
(e.g., a hunting license or permit lawfully issued in the United States; waiver); and
(iv) Include the appropriate fee in the
form of money order or check made

License fees.

Each applicant shall pay a fee for obtaining a firearms license or ammunition license, a separate fee being required for each business or collecting
activity at each place of such business
or activity, as follows:
(a) For a manufacturer:
(1) Of destructive devices, ammunition for destructive devices or armor
piercing ammunition—$1,000 per year.
(2) Of firearms other than destructive
devices—$50 per year.
(3) Of ammunition for firearms other
than ammunition for destructive devices or armor piercing ammunition—
$10 per year.
(b) For an importer:
(1) Of destructive devices, ammunition for destructive devices or armor
piercing ammunition—$1,000 per year.
(2) Of firearms other than destructive
devices or ammunition for firearms
other than destructive devices or ammunition other than armor piercing
ammunition—$50 per year.
(c) For a dealer:
(1) In destructive devices—$1,000 per
year.
(2) Who is not a dealer in destructive
devices—$200 for 3 years, except that
the fee for renewal of a valid license
shall be $90 for 3 years.

40

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00050

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

Bureau of Alcohol, Tobacco, Firearms, and Explosives, Justice
payable to the ‘‘Bureau of Alcohol, Tobacco, Firearms, and Explosives’’.
(2) ATF Form 7 may be obtained by
contacting the ATF Distribution Center (See § 478.21).
(b) Any person who desires to obtain
a license as a collector under the Act
and this part, or who has not timely
submitted an application for renewal of
the previous license issued under this
part, shall file an application, ATF
Form 7CR (Curios and Relics), with
ATF in accordance with the instructions on the form. If the applicant (including, in the case of a corporation,
partnership, or association, any individual possessing, directly or indirectly, the power to direct or cause the
direction of the management and policies of the corporation, partnership, or
association) is a nonimmigrant alien,
the application must include applicable
documentation demonstrating that the
nonimmigrant alien falls within an exception to or has obtained a waiver
from the nonimmigrant alien provision
(e.g., a hunting license or permit lawfully issued in the United States; waiver). The application must be executed
under the penalties of perjury and the
penalties imposed by 18 U.S.C. 924. The
application shall include the appropriate fee in the form of a money order
or check made payable to the Bureau
of Alcohol, Tobacco, Firearms, and Explosives. ATF Form 7CR (Curios and
Relics) may be obtained by contacting
the ATF Distribution Center (See
§ 478.21).

a nonimmigrant alien, the application
must include applicable documentation
demonstrating that the nonimmigrant
alien falls within an exception to or
has obtained a waiver from the nonimmigrant alien provision (e.g., a hunting license or permit lawfully issued in
the United States; waiver). The Chief,
Federal Firearms Licensing Center
may, in writing, require the applicant
for license renewal to also file completed ATF Form 7 or ATF Form 7CR
in the manner required by § 478.44. In
the event the licensee does not timely
file an ATF Form 8 Part II, the licensee must file an ATF Form 7 or
ATF Form 7CR as required by § 478.44,
and obtain the required license before
continuing business or collecting activity. If an ATF Form 8 Part II is not
timely received through the mails, the
licensee should so notify the Chief,
Federal Firearms Licensing Center.

(Paragraphs (a) and (b) approved by the Office of Management and Budget under control number 1140–0060)

(a) Upon receipt of a properly executed application for a license on ATF
Form 7, ATF Form 7CR, or ATF Form
8 Part II, the Chief, Federal Firearms
Licensing Center, shall, upon finding
through further inquiry or investigation, or otherwise, that the applicant is
qualified, issue the appropriate license.
Each license shall bear a serial number
and such number may be assigned to
the licensee to whom issued for so long
as the licensee maintains continuity of
renewal in the same location (State).
(b) The Chief, Federal Firearms Licensing Center, shall approve a properly executed application for license on
ATF Form 7, ATF Form 7CR, or ATF
Form 8 Part II, if:
(1) The applicant is 21 years of age or
over;

(Approved by the Office of Management and
Budget under control number 1140–0060)
[ATF–11, 73 FR 57241, Oct. 2, 2008]

§ 478.46

Insufficient fee.

If an application is filed with an insufficient fee, the application and any
fee submitted will be returned to the
applicant.
(18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82
Stat. 1226))
[T.D. ATF–200, 50 FR 10498, Mar. 15, 1985]

§ 478.47

[T.D. ATF–363, 60 FR 17453, Apr. 6, 1995, as
amended by T.D. ATF–471, 67 FR 5425, Feb. 5,
2002; ATF–11F, 73 FR 57240, Oct. 2, 2008]

erowe on DSK5CLS3C1PROD with CFR

§ 478.47

§ 478.45 Renewal of license.
If a licensee intends to continue the
business or activity described on a license issued under this part during any
portion of the ensuing year, the licensee shall, unless otherwise notified
in writing by the Chief, Federal Firearms Licensing Center, execute and file
with ATF prior to the expiration of the
license an application for a license renewal, ATF Form 8 Part II, in accordance with the instructions on the form,
and the required fee. If the applicant is

Issuance of license.

41

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00051

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

§ 478.48

27 CFR Ch. II (4–1–10 Edition)

(2) The applicant (including, in the
case of a corporation, partnership, or
association, any individual possessing,
directly or indirectly, the power to direct or cause the direction of the management and policies of the corporation, partnership, or association) is not
prohibited under the provisions of the
Act from shipping or transporting in
interstate or foreign commerce, or possessing in or affecting commerce, any
firearm or ammunition, or from receiving any firearm or ammunition which
has been shipped or transported in
interstate or foreign commerce;
(3) The applicant has not willfully
violated any of the provisions of the
Act or this part;
(4) The applicant has not willfully
failed to disclose any material information required, or has not made any
false statement as to any material
fact, in connection with his application; and
(5) The applicant has in a State (i)
premises from which he conducts business subject to license under the Act or
from which he intends to conduct such
business within a reasonable period of
time, or (ii) in the case of a collector,
premises from which he conducts his
collecting subject to license under the
Act or from which he intends to conduct such collecting within a reasonable period of time.
(c) The Chief, Federal Firearms Licensing Center, shall approve or the Director of Industry Operations shall
deny an application for a license within
the 60-day period beginning on the date
the properly executed application was
received: Provided, That when an applicant for license renewal is a person
who is, pursuant to the provisions of
§ 478.78, § 478.143, or § 478.144, conducting
business or collecting activity under a
previously issued license, action regarding the application will be held in
abeyance pending the completion of
the proceedings against the applicant’s
existing license or license application,
final determination of the applicant’s
criminal case, or final action by the Director on an application for relief submitted pursuant to § 478.144, as the case
may be.
(d) When the Director of Industry Operations or the Chief, Federal Firearms
Licensing Center fails to act on an ap-

plication for a license within the 60-day
period prescribed by paragraph (c) of
this section, the applicant may file an
action under section 1361 of title 28,
United States Code, to compel ATF to
act upon the application.
(18 U.S.C. 847 (84 Stat. 959); 18 U.S.C. 926 (82
Stat. 1226))
[33 FR 18555, Dec. 14, 1968. Redesignated at 40
FR 16835, Apr. 15, 1975, and amended by T.D.
ATF–135, 48 FR 24068, May 31, 1983; T.D. ATF–
241, 51 FR 39619, Oct. 29, 1986; T.D. ATF–270,
53 FR 10495, Mar. 31, 1988; T.D. ATF–290, 54
FR 53054, Dec. 27, 1989; T.D. ATF–363, 60 FR
17453, Apr. 6, 1995; ATF–11F, 73 FR 57241, Oct.
2, 2008]

§ 478.48 Correction of error on license.
(a) Upon receipt of a license issued
under the provisions of this part, each
licensee shall examine same to ensure
that the information contained thereon
is accurate. If the license is incorrect,
the licensee shall return the license to
the Chief, Federal Firearms Licensing
Center, with a statement showing the
nature of the error. The Chief, Federal
Firearms Licensing Center, shall correct the error, if the error was made in
his office, and return the license. However, if the error resulted from information contained in the licensee’s application for the license, the Chief,
Federal Firearms Licensing Center,
shall require the licensee to file an
amended application setting forth the
correct information and a statement
explaining the error contained in the
application. Upon receipt of the
amended application and a satisfactory
explanation of the error, the Chief,
Federal Firearms Licensing Center,
shall make the correction on the license and return same to the licensee.
(b) When the Chief, Federal Firearms
Licensing Center, finds through any
means other than notice from the licensee that an incorrect license has
been issued, the Chief, Federal Firearms Licensing Center, may require
the holder of the incorrect license to
(1) return the license for correction,
and (2) if the error resulted from information contained in the licensee’s application for the license, the Chief,
Federal Firearms Licensing Center,
shall require the licensee to file an
amended application setting forth the
correct information, and a statement

42

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00052

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

Bureau of Alcohol, Tobacco, Firearms, and Explosives, Justice
explaining the error contained in the
application. The Chief, Federal Firearms Licensing Center, then shall
make the correction on the license and
return same to the licensee.

§ 478.51

License not transferable.

[33 FR 18555, Dec. 14, 1968, unless otherwise
noted. Redesignated at 40 FR 16835, Apr. 15,
1975, and amended by T.D. ATF–290, 54 FR
53054, Dec. 27, 1989]

Licenses issued under this part are
not transferable. In the event of the
lease, sale, or other transfer of the operations authorized by the license, the
successor must obtain the license required by this part prior to commencing such operations. However, for
rules on right of succession, see § 478.56.

§ 478.49

§ 478.52

Duration of license.

The license entitles the person to
whom issued to engage in the business
or activity specified on the license,
within the limitations of the Act and
the regulations contained in this part,
for a three year period, unless terminated sooner.

§ 478.50

Change of address.

(a) Licensees may during the term of
their current license remove their business or activity to a new location at
which they intend regularly to carry
on such business or activity by filing
an Application for an Amended Federal
Firearms License, ATF Form 5300.38, in
duplicate, not less than 30 days prior to
such removal with the Chief, Federal
Firearms Licensing Center. The ATF
Form 5300.38 shall be completed in accordance with the instructions on the
form. The application must be executed under the penalties of perjury
and penalties imposed by 18 U.S.C. 924.
The application shall be accompanied
by the licensee’s original license. The
Chief, Federal Firearms Licensing Center Center, may, in writing, require the
applicant for an amended license to
also file completed ATF Form 7 or ATF
Form 7CR, or portions thereof, in the
manner required by § 478.44.
(b) Upon receipt of a properly executed application for an amended license, the Chief, Federal Firearms Licensing Center, shall, upon finding
through further inquiry or investigation, or otherwise, that the applicant is
qualified at the new location, issue the
amended license, and return it to the
applicant. The license shall be valid for
the remainder of the term of the original license. The Chief, Federal Firearms Licensing Center, shall, if the applicant is not qualified, refer the application for amended license to the Director of Industry Operations for denial
in accordance with § 478.71.

[T.D. ATF–270, 53 FR 10495, Mar. 31, 1988]

Locations covered by license.

The license covers the class of business or the activity specified in the license at the address specified therein.
A separate license must be obtained for
each location at which a firearms or
ammunition business or activity requiring a license under this part is conducted except:
(a) No license is required to cover a
separate warehouse used by the licensee solely for storage of firearms or
ammunition if the records required by
this part are maintained at the licensed premises served by such warehouse;
(b) A licensed collector may acquire
curios and relics at any location, and
dispose of curios or relics to any licensee or to other persons who are residents of the State where the collector’s
license is held and the disposition is
made;
(c) A licensee may conduct business
at a gun show pursuant to the provision of § 478.100; or
(d) A licensed importer, manufacturer, or dealer may engage in the
business of dealing in curio or relic
firearms with another licensee at any
location pursuant to the provisions of
§ 478.100.
erowe on DSK5CLS3C1PROD with CFR

§ 478.52

(Approved by the Office of Management and
Budget under control number 1140–0040)
[T.D. ATF–363, 60 FR 17453, Apr. 6, 1995, as
amended by ATF–11F, 73 FR 57241, Oct. 2,
2008]

[T.D. ATF–191, 49 FR 46890, Nov. 29, 1984, as
amended by T.D. ATF–401, 63 FR 35523, June
30, 1998]

43

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00053

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

§ 478.53
§ 478.53

27 CFR Ch. II (4–1–10 Edition)
date of acquisition, as provided in
§ 478.44. The rule set forth in this section shall also apply where there is
more than one surviving partner.

Change in trade name.

A licensee continuing to conduct
business at the location shown on his
license is not required to obtain a new
license by reason of a mere change in
trade name under which he conducts
his business: Provided, That such licensee furnishes his license for endorsement of such change to the Chief,
Federal Firearms Licensing Center
within 30 days from the date the licensee begins his business under the
new trade name.

§ 478.56 Right of succession by certain
persons.
(a) Certain persons other than the licensee may secure the right to carry
on the same firearms or ammunition
business at the same address shown on,
and for the remainder of the term of, a
current license. Such persons are:
(1) The surviving spouse or child, or
executor, administrator, or other legal
representative of a deceased licensee;
and
(2) A receiver or trustee in bankruptcy, or an assignee for benefit of
creditors.
(b) In order to secure the right provided by this section, the person or persons continuing the business shall furnish the license for that business for
endorsement of such succession to the
Chief, Federal Firearms Licensing Center , within 30 days from the date on
which the successor begins to carry on
the business.

[33 FR 18555, Dec. 14, 1968. Redesignated at 40
FR 16835, Apr. 15, 1975, and amended by T.D.
ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF–
290, 54 FR 53055, Dec. 27, 1989]

§ 478.54

Change of control.

In the case of a corporation or association holding a license under this
part, if actual or legal control of the
corporation or association changes, directly or indirectly, whether by reason
of change in stock ownership or control
(in the licensed corporation or in any
other corporation), by operations of
law, or in any other manner, the licensee shall, within 30 days of such
change, give written notification thereof, executed under the penalties of perjury, to the Chief, Federal Firearms Licensing Center. Upon expiration of the
license, the corporation or association
must file a Form 7 (Firearms) as required by § 478.44.

[33 FR 18555, Dec. 14, 1968. Redesignated at 40
FR 16835, Apr. 15, 1975, and amended by T.D.
ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF–
290, 54 FR 53055, Dec. 27, 1989]

§ 478.57 Discontinuance of business.
(a) Where a firearm or ammunition
business is either discontinued or succeeded by a new owner, the owner of
the business discontinued or succeeded
shall within 30 days thereof furnish to
the Chief, Federal Firearms Licensing
Center notification of the discontinuance or succession. (See also § 478.127.)
(b) Since section 922(v), Title 18,
U.S.C., makes it unlawful to transfer
or possess a semiautomatic assault
weapon, except as provided in the law,
any licensed manufacturer, licensed
importer, or licensed dealer intending
to discontinue business shall, prior to
going out of business, transfer in compliance with the provisions of this part
any semiautomatic assault weapon
manufactured or imported after September 13, 1994, to a person specified in
§ 478.40(b), or, subject to the provisions
of §§ 478.40(c) and 478.132, a licensed
manufacturer, a licensed importer, or a
licensed dealer.

[33 FR 18555, Dec. 14, 1968, unless otherwise
noted. Redesignated at 40 FR 16835, Apr. 15,
1975, and amended by T.D. ATF–290, 54 FR
53054, Dec. 27, 1989]

erowe on DSK5CLS3C1PROD with CFR

§ 478.55

Continuing partnerships.

Where, under the laws of the particular State, the partnership is not
terminated on death or insolvency of a
partner, but continues until the winding up of the partnership affairs is
completed, and the surviving partner
has the exclusive right to the control
and possession of the partnership assets for the purpose of liquidation and
settlement, such surviving partner
may continue to operate the business
under the license of the partnership. If
such surviving partner acquires the
business on completion of the settlement of the partnership, he shall obtain a license in his own name from the

44

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00054

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

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

his operations while awaiting its return.

(c) Since section 922(w), Title 18,
U.S.C., makes it unlawful to transfer
or possess a large capacity ammunition
feeding device, except as provided in
the law, any person who manufactures,
imports, or deals in such devices and
who intends to discontinue business
shall, prior to going out of business,
transfer in compliance with the provisions of this part any large capacity
ammunition feeding device manufactured after September 13, 1994, to a person specified in § 478.40a(b), or, subject
to the provisions of §§ 478.40a(c) and
478.132, a person who manufactures, imports, or deals in such devices.

[33 FR 18555, Dec. 14, 1968, unless otherwise
noted. Redesignated at 40 FR 16835, Apr. 15,
1975, and amended by T.D. ATF–290, 54 FR
53054, Dec. 27, 1989]

Subpart E—License Proceedings
§ 478.71 Denial of an application for license.
Whenever the Director has reason to
believe that an applicant is not qualified to receive a license under the provisions of § 478.47, he may issue a notice
of denial, on Form 4498, to the applicant. The notice shall set forth the
matters of fact and law relied upon in
determining
that
the
application
should be denied, and shall afford the
applicant 15 days from the date of receipt of the notice in which to request
a hearing to review the denial. If no request for a hearing is filed within such
time, the application shall be disapproved and a copy, so marked, shall
be returned to the applicant.

[33 FR 18555, Dec. 14, 1968. Redesignated at 40
FR 16835, Apr. 15, 1975, and amended by T.D.
ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF–
290, 54 FR 53055, Dec. 27, 1989; T.D. ATF–363,
60 FR 17453, Apr. 6, 1995; T.D. ATF–383, 61 FR
39321, July 29, 1996]

§ 478.58

State or other law.

A license issued under this part confers no right or privilege to conduct
business or activity contrary to State
or other law. The holder of such a license is not by reason of the rights and
privileges granted by that license immune from punishment for operating a
firearm or ammunition business or activity in violation of the provisions of
any State or other law. Similarly, compliance with the provisions of any
State or other law affords no immunity
under Federal law or regulations.
§ 478.59

[33 FR 18555, Dec. 14, 1968. Redesignated at 40
FR 16835, Apr. 15, 1975, and amended by T.D.
ATF–270, 53 FR 10495, Mar. 31, 1988; ATF–27P,
74 FR 1878, Jan. 14, 2009]

§ 478.72 Hearing after application denial.
If the applicant for an original or renewal license desires a hearing to review the denial of his application, he
shall file a request therefor, in duplicate, with the Director of Industry Operations within 15 days after receipt of
the notice of denial.The request should
include a statement of the reasons
therefor. On receipt of the request, the
Director of Industry Operations shall,
as expeditiously as possible, make the
necessary arrangements for the hearing and advise the applicant of the
date, time, location, and the name of
the officer before whom the hearing
will be held.Such notification shall be
made not less than 10 days in advance
of the date set for the hearing. On conclusion of the hearing and consideration of all relevant facts and circumstances presented by the applicant
or his representative, the Director
shall render his decision confirming or
reversing the denial of the application.
If the decision is that the denial should

Abandoned application.

Upon receipt of an incomplete or improperly executed application on ATF
form 7 (5310.12), or ATF Form 8 (5310.11)
Part II, the applicant shall be notified
of the deficiency in the application. If
the application is not corrected and returned within 30 days following the
date of notification, the application
shall be considered as having been
abandoned and the license fee returned.
[T.D. ATF–135, 48 FR 24068, May 31, 1983]

§ 478.60 Certain continuances of business.

erowe on DSK5CLS3C1PROD with CFR

§ 478.72

A licensee who furnishes his license
to the Chief, Federal Firearms Licensing Center for correction or endorsement in compliance with the provisions
contained in this subpart may continue

45

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00055

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

§ 478.73

27 CFR Ch. II (4–1–10 Edition)

stand, a certified copy of the Director’s
findings and conclusions shall be furnished to the applicant with a final notice of denial, Form 4501.A copy of the
application, marked ‘‘Disapproved,’’
will be returned to the applicant. If the
decision is that the license applied for
should be issued, the applicant shall be
so notified, in writing, and the license
shall be issued as provided by § 478.47.

§ 478.74 Request for hearing after notice of suspension, revocation, or
imposition of civil fine.
If a licensee desires a hearing after
receipt of a notice of suspension or revocation of a license, or imposition of a
civil fine, the licensee shall file a request, in duplicate, with the Director
of Industry Operations within 15 days
after receipt of the notice of suspension
or revocation of a license, or imposition of a civil fine. On receipt of such
request, the Director of Industry Operations shall, as expeditiously as possible, make necessary arrangements for
the hearing and advise the licensee of
the date, time, location and the name
of the officer before whom the hearing
will be held. Such notification shall be
made no less than 10 days in advance of
the date set for the hearing. On conclusion of the hearing and consideration
of all the relevant presentations made
by the licensee or the licensee’s representative, the Director shall render a
decision and shall prepare a brief summary of the findings and conclusions
on which the decision is based. If the
decision is that the license should be
revoked, or, in actions under 18 U.S.C.
922(t)(5), that the license should be revoked or suspended, and/or that a civil
fine should be imposed, a certified copy
of the summary shall be furnished to
the licensee with the final notice of
revocation, suspension, or imposition
of a civil fine on ATF Form 4501. If the
decision is that the license should not
be revoked, or in actions under 18
U.S.C. 922(t)(5), that the license should
not be revoked or suspended, and a
civil fine should not be imposed, the licensee shall be notified in writing.

[33 FR 18555, Dec. 14, 1968, as amended by
ATF–27P, 74 FR 1878, Jan. 14, 2009]

§ 478.73 Notice of revocation, suspension, or imposition of civil fine.

erowe on DSK5CLS3C1PROD with CFR

(a) Basis for action. Whenever the Director has reason to believe that a licensee has willfully violated any provision of the Act or this part, a notice of
revocation of the license, ATF Form
4500, may be issued. In addition, a notice of revocation, suspension, or imposition of a civil fine may be issued on
ATF Form 4500 whenever the Director
has reason to believe that a licensee
has knowingly transferred a firearm to
an unlicensed person and knowingly
failed to comply with the requirements
of 18 U.S.C. 922(t)(1) with respect to the
transfer and, at the time that the
transferee most recently proposed the
transfer, the national instant criminal
background check system was operating and information was available to
the system demonstrating that the
transferee’s receipt of a firearm would
violate 18 U.S.C. 922(g) or 922(n) or
State law.
(b) Issuance of notice. The notice shall
set forth the matters of fact constituting the violations specified, dates,
places, and the sections of law and regulations violated. The Director shall
afford the licensee 15 days from the
date of receipt of the notice in which to
request a hearing prior to suspension
or revocation of the license, or imposition of a civil fine. If the licensee does
not file a timely request for a hearing,
the Director shall issue a final notice
of suspension or revocation and/or imposition of a civil fine on ATF Form
4501, as provided in § 478.74.

[T.D. ATF–415, 63 FR 58278, Oct. 29, 1998, as
amended by ATF–27P, 74 FR 1878, Jan. 14,
2009]

§ 478.75 Service on applicant or licensee.
All notices and other documents required to be served on an applicant or
licensee under this subpart shall be
served by certified mail or by personal
delivery. Where service is by certified
mail, a signed duplicate original copy
of the formal document shall be
mailed, with return receipt requested,

[T.D. ATF–415, 63 FR 58278, Oct. 29, 1998, as
amended by T.D. ATF–27P, 74 FR 1878, Jan.
14, 2009]

46

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00056

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

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

on the licensee and he has filed timely
request for a hearing, the license in the
possession of the licensee shall remain
in effect even though such license has
expired, or the suspension or revocation date specified in the notice of revocation on Form 4500 served on the licensee has passed: Provided, That with
respect to a license that has expired,
the licensee has timely filed an application for the renewal of his license. If
a licensee is dissatisfied with a
posthearing decision revoking or suspending the license or denying the application or imposing a civil fine, as
the case may be, he may, pursuant to
18 U.S.C. 923(f)(3), within 60 days after
receipt of the final notice denying the
application or revoking or suspending
the license or imposing a civil fine, file
a petition for judicial review of such
action. Such petition should be filed
with the U.S. district court for the district in which the applicant or licensee
resides or has his principal place of
business. In such case, when the Director finds that justice so requires, he
may postpone the effective date of suspension or revocation of a license or
authorize continued operations under
the expired license, as applicable, pending judicial review.

to the applicant or licensee at the address stated in his application or license, or at his last known address.
Where service is by personal delivery, a
signed duplicate original copy of the
formal document shall be delivered to
the applicant or licensee, or, in the
case of a corporation, partnership, or
association, by delivering it to an officer, manager, or general agent thereof,
or to its attorney of record.
[33 FR 18555, Dec. 14, 1968. Redesignated at 40
FR 16835, Apr. 15, 1975, and further redesignated by T.D. ATF–241, 51 FR 39619, Oct. 29,
1986; T.D. ATF–270, 53 FR 10496, Mar. 31, 1988]

§ 478.76 Representation at a hearing.
An applicant or licensee may be represented by an attorney, certified public accountant, or other person recognized to practice before the Bureau of
Alcohol, Tobacco and Firearms as provided in 31 CFR Part 8 (Practice Before
the Bureau of Alcohol, Tobacco and
Firearms), if he has otherwise complied
with the applicable requirements of 26
CFR 601.521 through 601.527 (conference
and practice requirements for alcohol,
tobacco, and firearms activities) of this
chapter. The Director may be represented in proceedings by an attorney
in the office of the Assistant Chief
Counsel or Division Counsel who is authorized to execute and file motions,
briefs and other papers in the proceeding, on behalf of the Director , in
his own name as ‘‘Attorney for the
Government.’’

[T.D. ATF–415, 63 FR 58278, Oct. 29, 1998, as
amended by ATF–27P, 74 FR 1878, Jan. 14,
2009]

Subpart F—Conduct of Business
§ 478.91 Posting of license.
Any license issued under this part
shall be kept posted and kept available
for inspection on the premises covered
by the license.

[33 FR 18555, Dec. 14, 1968. Redesignated at 40
FR 16835, Apr. 15, 1975, and amended by T.D.
ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF–
92, 46 FR 46916, Sept. 23, 1981. Further redesignated by T.D. ATF–241, 51 FR 39619, Oct. 29,
1986; T.D. ATF–270, 53 FR 10496, Mar. 31, 1988;
ATF–27P, 74 FR 1878, Jan. 14, 2009]

§ 478.92 How must licensed manufacturers and licensed importers identify firearms, armor piercing ammunition, and large capacity ammunition feeding devices?
(a)(1) Firearms. You, as a licensed
manufacturer or licensed importer of
firearms, must legibly identify each
firearm manufactured or imported as
follows:
(i) By engraving, casting, stamping
(impressing), or otherwise conspicuously placing or causing to be engraved, cast, stamped (impressed) or
placed on the frame or receiver thereof

§ 478.77 Designated place of hearing.
The designated place of the hearing
shall be a location convenient to the
aggrieved party.
[T.D. ATF–270, 53 FR 10496, Mar. 31, 1988]

erowe on DSK5CLS3C1PROD with CFR

§ 478.92

§ 478.78 Operations by licensee after
notice.
In any case where denial, suspension,
or revocation proceedings are pending
before the Bureau of Alcohol, Tobacco
and Firearms, or notice of denial, suspension, or revocation has been served

47

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00057

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

§ 478.92

27 CFR Ch. II (4–1–10 Edition)

an individual serial number. The serial
number must be placed in a manner
not susceptible of being readily obliterated, altered, or removed, and must not
duplicate any serial number placed by
you on any other firearm. For firearms
manufactured or imported on and after
January 30, 2002, the engraving, casting, or stamping (impressing) of the serial number must be to a minimum
depth of .003 inch and in a print size no
smaller than 1⁄16 inch; and
(ii) By engraving, casting, stamping
(impressing), or otherwise conspicuously placing or causing to be engraved, cast, stamped (impressed) or
placed on the frame, receiver, or barrel
thereof certain additional information.
This information must be placed in a
manner not susceptible of being readily
obliterated, altered, or removed. For
firearms manufactured or imported on
and after January 30, 2002, the engraving, casting, or stamping (impressing)
of this information must be to a minimum depth of .003 inch. The additional
information includes:
(A) The model, if such designation
has been made;
(B) The caliber or gauge;
(C) Your name (or recognized abbreviation) and also, when applicable, the
name of the foreign manufacturer;
(D) In the case of a domestically
made firearm, the city and State (or
recognized abbreviation thereof) where
you as the manufacturer maintain
your place of business; and
(E) In the case of an imported firearm, the name of the country in which
it was manufactured and the city and
State (or recognized abbreviation
thereof) where you as the importer
maintain your place of business. For
additional requirements relating to imported firearms, see Customs regulations at 19 CFR part 134.
(2) Firearm frames or receivers. A firearm frame or receiver that is not a
component part of a complete weapon
at the time it is sold, shipped, or otherwise disposed of by you must be identified as required by this section.
(3) Special markings for semiautomatic
assault weapons, effective July 5, 1995. In
the case of any semiautomatic assault
weapon manufactured after September
13, 1994, you must mark the frame or
receiver ‘‘RESTRICTED LAW EN-

FORCEMENT/GOVERNMENT
USE
ONLY’’ or, in the case of weapons manufactured for export, ‘‘FOR EXPORT
ONLY,’’ in a manner not susceptible of
being readily obliterated, altered, or
removed. For weapons manufactured or
imported on and after January 30, 2002,
the engraving, casting, or stamping
(impressing) of the special markings
prescribed in this paragraph (a)(3) must
be to a minimum depth of .003 inch.
(4) Exceptions. (i) Alternate means of
identification. The Director may authorize other means of identification
upon receipt of a letter application
from you, submitted in duplicate,
showing that such other identification
is reasonable and will not hinder the
effective administration of this part.
(ii) Destructive devices. In the case of
a destructive device, the Director may
authorize other means of identifying
that weapon upon receipt of a letter
application from you, submitted in duplicate, showing that engraving, casting, or stamping (impressing) such a
weapon would be dangerous or impracticable.
(iii) Machine guns, silencers, and parts.
Any part defined as a machine gun,
firearm muffler, or firearm silencer in
§ 478.11, that is not a component part of
a complete weapon at the time it is
sold, shipped, or otherwise disposed of
by you, must be identified as required
by this section. The Director may authorize other means of identification of
parts defined as machine guns other
than frames or receivers and parts defined as mufflers or silencers upon receipt of a letter application from you,
submitted in duplicate, showing that
such other identification is reasonable
and will not hinder the effective administration of this part.
(5) Measurement of height and depth of
markings. The depth of all markings required by this section will be measured
from the flat surface of the metal and
not the peaks or ridges. The height of
serial numbers required by paragraph
(a)(1)(i) of this section will be measured
as the distance between the latitudinal
ends of the character impression bottoms (bases).
(b) Armor piercing ammunition—(1)
Marking of ammunition. Each licensed
manufacturer or licensed importer of

48

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00058

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

Bureau of Alcohol, Tobacco, Firearms, and Explosives, Justice
armor piercing ammunition shall identify such ammunition by means of
painting, staining or dying the exterior
of the projectile with an opaque black
coloring. This coloring must completely cover the point of the projectile
and at least 50 percent of that portion
of the projectile which is visible when
the projectile is loaded into a cartridge
case.
(2) Labeling of packages. Each licensed
manufacturer or licensed importer of
armor piercing ammunition shall
clearly and conspicuously label each
package in which armor piercing ammunition is contained, e.g., each box,
carton, case, or other container. The
label shall include the words ‘‘ARMOR
PIERCING’’ in block letters at least 1⁄4
inch in height. The lettering shall be
located on the exterior surface of the
package which contains information
concerning the caliber or gauge of the
ammunition. There shall also be placed
on the same surface of the package in
block lettering at least 1⁄8 inch in
height the words ‘‘FOR GOVERNMENTAL ENTITIES OR EXPORTATION ONLY.’’ The statements required by this subparagraph shall be on
a contrasting background.
(c) Large capacity ammunition feeding
devices manufactured after September 13,
1994. (1) Each person who manufactures
or imports any large capacity ammunition feeding device manufactured after
September 13, 1994, shall legibly identify each such device with a serial
number. Such person may use the same
serial number for all large capacity
ammunition feeding devices produced.
(i) Additionally, in the case of a domestically made large capacity ammunition feeding device, such device shall
be marked with the name, city and
State (or recognized abbreviation
thereof) of the manufacturer;
(ii) And in the case of an imported
large capacity ammunition feeding device, such device shall be marked:
(A) With the name of the manufacturer, country of origin, and,
(B) Effective July 5, 1995, the name,
city and State (or recognized abbreviation thereof) of the importer.
(iii) Further, large capacity ammunition feeding devices manufactured
after September 13, 1994, shall be
marked ‘‘RESTRICTED LAW EN-

§ 478.93

FORCEMENT/GOVERNMENT
USE
ONLY’’ or, in the case of devices manufactured or imported for export, effective July 5, 1995, ‘‘FOR EXPORT
ONLY.’’
(2) All markings required by this
paragraph (c) shall be cast, stamped, or
engraved on the exterior of the device.
In the case of a magazine, the markings shall be placed on the magazine
body.
(3) Exceptions—(i) Metallic links. Persons who manufacture or import metallic links for use in the assembly of
belted ammunition are only required to
place the identification marks prescribed in paragraph (c)(1) of this section on the containers used for the
packaging of the links.
(ii) Alternate means of identification.
The Director may authorize other
means of identifying large capacity
ammunition feeding devices upon receipt of a letter application, in duplicate, from the manufacturer or importer showing that such other identification is reasonable and will not
hinder the effective administration of
this part.
(Approved by the Office of Management and
Budget under control number 1140–0050)
[T.D. ATF–270, 53 FR 10496, Mar. 31, 1988, as
amended by T.D. ATF–363, 60 FR 17454, Apr.
6, 1995; T.D. ATF–383, 61 FR 39321, July 29,
1996; T.D. ATF–396, 63 FR 12646, Mar. 16, 1998;
T.D. ATF–461, 66 FR 40600, Aug. 3, 2001; ATF–
11F, 73 FR 57241, Oct. 2, 2008]

§ 478.93 Authorized operations by a licensed collector.
The license issued to a collector of
curios or relics under the provisions of
this part shall cover only transactions
by the licensed collector in curios and
relics. The collector’s license is of no
force or effect and a licensed collector
is of the same status under the Act and
this part as a nonlicensee with respect
to (a) any acquisition or disposition of
firearms other than curios or relics, or
any transportation, shipment, or receipt of firearms other than curios or
relics in interstate or foreign commerce, and (b) any transaction with a
nonlicensee involving any firearm
other than a curio or relic. (See also
§ 478.50.) A collectors license is not necessary to receive or dispose of ammunition, and a licensed collector is not

49

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00059

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

§ 478.94

27 CFR Ch. II (4–1–10 Edition)

precluded by law from receiving or disposing of armor piercing ammunition.
However, a licensed collector may not
dispose of any ammunition to a person
prohibited from receiving or possessing
ammunition (see § 478.99(c)). Any licensed collector who disposes of armor
piercing ammunition must record the
disposition as required by § 478.125 (a)
and (b).

following the expiration date of the
transferee’s license.
(Approved by the Office of Management and
Budget under control number 1140–0032)
[T.D. ATF–270, 53 FR 10496, Mar. 31, 1988, as
amended by ATF–11F, 73 FR 57241, Oct. 2,
2008]

§ 478.95 Certified copy of license.
The license furnished to each person
licensed under the provisions of this
part contains a purchasing certification statement. This original license
may be reproduced and the reproduction then certified by the licensee for
use pursuant to § 178.94. If the licensee
desires an additional copy of the license for certification (instead of making a reproduction of the original license), the licensee may submit a request, in writing, for a certified copy or
copies of the license to the Chief, Federal Firearms Licensing Center. The
request must set forth the name, trade
name (if any) and address of the licensee, and the number of license copies desired. There is a charge of $1 for
each copy. The fee paid for copies of
the license must accompany the request for copies. The fee may be paid
by (a) cash, or (b) money order or
check made payable to the Bureau of
Alcohol, Tobacco, Firearms, and Explosives.

erowe on DSK5CLS3C1PROD with CFR

[T.D. ATF–270, 53 FR 10496, Mar. 31, 1988]

§ 478.94 Sales or deliveries between licensees.
A licensed importer, licensed manufacturer, or licensed dealer selling or
otherwise disposing of firearms, and a
licensed collector selling or otherwise
disposing of curios or relics, to another
licensee shall verify the identity and
licensed status of the transferee prior
to
making
the
transaction.
Verification shall be established by the
transferee furnishing to the transferor
a certified copy of the transferee’s license and by such other means as the
transferor deems necessary: Provided,
That it shall not be required (a) for a
transferee who has furnished a certified
copy of its license to a transferor to
again furnish such certified copy to
that transferor during the term of the
transferee’s current license, (b) for a licensee to furnish a certified copy of its
license to another licensee if a firearm
is being returned either directly or
through another licensee to such licensee and (c) for licensees of multilicensed business organizations to furnish certified copies of their licenses to
other licensed locations operated by
such organization: Provided further,
That a multilicensed business organization may furnish to a transferor, in
lieu of a certified copy of each license,
a list, certified to be true, correct and
complete, containing the name, address, license number, and the date of
license expiration of each licensed location operated by such organization,
and the transferor may sell or otherwise dispose of firearms as provided by
this section to any licensee appearing
on such list without requiring a certified copy of a license therefrom. A
transferor licensee who has the certified information required by this section may sell or dispose of firearms to
a licensee for not more than 45 days

(Approved by the Office of Management and
Budget under control number 1140–0032)
[T.D. ATF–270, 53 FR 10497, Mar. 31, 1988, as
amended by T.D. ATF–290, 54 FR 53055, Dec.
27, 1989; ATF–11F, 73 FR 57241, Oct. 2, 2008]

§ 478.96 Out-of-State and mail order
sales.
(a) The provisions of this section
shall apply when a firearm is purchased
by or delivered to a person not otherwise prohibited by the Act from purchasing or receiving it.
(b) A licensed importer, licensed
manufacturer, or licensed dealer may
sell a firearm that is not subject to the
provisions of § 478.102(a) to a nonlicensee who does not appear in person
at the licensee’s business premises if
the nonlicensee is a resident of the
same State in which the licensee’s
business premises are located, and the
nonlicensee furnishes to the licensee
the firearms transaction record, Form

50

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00060

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

Bureau of Alcohol, Tobacco, Firearms, and Explosives, Justice
4473, required by § 478.124. The nonlicensee shall attach to such record a
true copy of any permit or other information required pursuant to any statute of the State and published ordinance applicable to the locality in
which he resides. The licensee shall
prior to shipment or delivery of the
firearm, forward by registered or certified mail (return receipt requested) a
copy of the record, Form 4473, to the
chief law enforcement officer named on
such record, and delay shipment or delivery of the firearm for a period of at
least 7 days following receipt by the licensee of the return receipt evidencing
delivery of the copy of the record to
such chief law enforcement officer, or
the return of the copy of the record to
him due to the refusal of such chief 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 chief law enforcement officer shall be retained by the licensee as
a part of the records required of him to
be kept under the provisions of subpart
H of this part.
(c)(1) A licensed importer, licensed
manufacturer, or licensed dealer may
sell or deliver a rifle or shotgun, and a
licensed collector may sell or deliver a
rifle or shotgun that is a curio or relic
to a nonlicensed resident of a State
other than the State in which the licensee’s place of business is located if—
(i) The purchaser meets with the licensee in person at the licensee’s premises to accomplish the transfer, sale,
and delivery of the rifle or shotgun;
(ii) The licensed importer, licensed
manufacturer, or licensed dealer complies with the provisions of § 478.102;
(iii) The purchaser furnishes to the
licensed importer, licensed manufacturer, or licensed dealer the firearms
transaction record, Form 4473, required
by § 478.124; and
(iv) The sale, delivery, and receipt of
the rifle or shotgun fully comply with
the legal conditions of sale in both
such States.
(2) For purposes of paragraph (c) of
this section, any licensed manufacturer, licensed importer, or licensed
dealer is presumed, in the absence of
evidence to the contrary, to have had

§ 478.98

actual knowledge of the State laws and
published ordinances of both such
States.
(Approved by the Office of Management and
Budget under control number 1140–0021)
[33 FR 18555, Dec. 14, 1968. Redesignated at 40
FR 16835, Apr. 15, 1975, and amended by T.D.
ATF–48, 44 FR 55842, Sept. 28, 1979; T.D. ATF–
241, 51 FR 39620, Oct. 29, 1986; T.D. ATF–270,
53 FR 10497, Mar. 31, 1988; T.D. ATF–354, 59
FR 7112, Feb. 14, 1994; T.D. ATF–415, 63 FR
58278, Oct. 29, 1998; ATF–11F, 73 FR 57241, Oct.
2, 2008]

§ 478.97

Loan or rental of firearms.

(a) A licensee may lend or rent a firearm to any person for temporary use
off the premises of the licensee for lawful sporting purposes: Provided, That
the delivery of the firearm to such person is not prohibited by § 478.99(b) or
§ 478.99(c), the licensee complies with
the requirements of § 478.102, and the licensee records such loan or rental in
the records required to be kept by him
under Subpart H of this part.
(b) A club, association, or similar organization temporarily furnishing firearms (whether by loan, rental, or otherwise) to participants in a skeet, trap,
target, or similar shooting activity for
use at the time and place such activity
is held does not, unattended by other
circumstances, cause such club, association, or similar organization to be
engaged in the business of a dealer in
firearms or as engaging in firearms
transactions. Therefore, licensing and
recordkeeping requirements contained
in this part pertaining to firearms
transactions would not apply to this
temporary furnishing of firearms for
use on premises on which such an activity is conducted.
[T.D. ATF–415, 63 FR 58278, Oct. 29, 1998]

§ 478.98 Sales or deliveries of destructive devices and certain firearms.
The sale or delivery by a licensee of
any destructive device, machine gun,
short-barreled shotgun, or short-barreled rifle, to any person other than
another licensee who is licensed under
this part to deal in such device or firearm, is prohibited unless the person to
receive such device or firearm furnishes to the licensee a sworn statement setting forth

51

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00061

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

§ 478.99

27 CFR Ch. II (4–1–10 Edition)
cause to believe is less than 21 years of
age, or (2) any firearm to any person in
any State where the purchase or possession by such person of such firearm
would be in violation of any State law
or any published ordinance applicable
at the place of sale, delivery, or other
disposition, unless the importer, manufacturer, dealer, or collector knows or
has reasonable cause to believe that
the purchase or possession would not
be in violation of such State law or
such published ordinance.
(c) Sales or deliveries to prohibited categories of persons. A licensed manufacturer, licensed importer, licensed dealer, or licensed collector shall not sell
or otherwise dispose of any firearm or
ammunition to any person knowing or
having reasonable cause to believe that
such person:
(1) Is, except as provided by § 478.143,
under indictment for, or, except as provided by § 478.144, has been convicted in
any court of a crime punishable by imprisonment for a term exceeding 1
year;
(2) Is a fugitive from justice;
(3) Is an unlawful user of or addicted
to any controlled substance (as defined
in section 102 of the Controlled Substance Act, 21 U.S.C. 802);
(4) Has been adjudicated as a mental
defective or has been committed to any
mental institution;
(5) Is an alien illegally or unlawfully
in the United States or, except as provided in § 478.32(f), is a nonimmigrant
alien: Provided, That the provisions of
this paragraph (c)(5) do not apply to
any nonimmigrant alien if that alien
is—
(i) Admitted to the United States for
lawful hunting or sporting purposes or
is in possession of a hunting license or
permit lawfully issued in the United
States;
(ii) An official representative of a
foreign government who is either accredited to the United States Government or the Government’s mission to
an international organization having
its headquarters in the United States
or en route to or from another country
to which that alien is accredited. This
exception only applies if the firearm or
ammunition is shipped, transported,
possessed, or received in the representative’s official capacity;

(a) The reasons why there is a reasonable necessity for such person to
purchase or otherwise acquire the device or weapon; and
(b) That such person’s receipt or possession of the device or weapon would
be consistent with public safety. Such
sworn statement shall be made on the
application to transfer and register the
firearm required by Part 479 of this
chapter. The sale or delivery of the device or weapon shall not be made until
the application for transfer is approved
by the Director and returned to the licensee (transferor) as provided in Part
479 of this chapter.

erowe on DSK5CLS3C1PROD with CFR

[T.D. ATF–270, 53 FR 10497, Mar. 31, 1988]

§ 478.99 Certain prohibited sales or deliveries.
(a) Interstate sales or deliveries. A licensed importer, licensed manufacturer, licensed dealer, or licensed collector shall not sell or deliver any firearm to any person not licensed under
this part and who the licensee knows
or has reasonable cause to believe does
not reside in (or if a corporation or
other business entity, does not maintain a place of business in) the State in
which the licensee’s place of business
or activity is located: Provided, That
the foregoing provisions of this paragraph (1) shall not apply to the sale or
delivery of a rifle or shotgun (curio or
relic, in the case of a licensed collector) to a resident of a State other
than the State in which the licensee’s
place of business or collection premises
is located if the requirements of
§ 478.96(c) are fully met, and (2) shall
not apply to the loan or rental of a
firearm to any person for temporary
use for lawful sporting purposes (see
§ 478.97).
(b) Sales or deliveries to underaged persons. A licensed importer, licensed
manufacturer, licensed dealer, or licensed collector shall not sell or deliver (1) any firearm or ammunition to
any individual who the importer, manufacturer, dealer, or collector knows or
has reasonable cause to believe is less
than 18 years of age, and, if the firearm, or ammunition, is other than a
shotgun or rifle, or ammunition for a
shotgun or rifle, to any individual who
the importer, manufacturer, dealer, or
collector knows or has reasonable

52

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00062

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

Bureau of Alcohol, Tobacco, Firearms, and Explosives, Justice
(iii) An official of a foreign government or a distinguished foreign visitor
who has been so designated by the Department of State. This exception only
applies if the firearm or ammunition is
shipped, transported, possessed, or received in the official’s or visitor’s official capacity, except if the visitor is a
private individual who does not have
an official capacity; or
(iv) A foreign law enforcement officer
of a friendly foreign government entering the United States on official law
enforcement business;
(6) Has been discharged from the
Armed Forces under dishonorable conditions;
(7) Who, having been a citizen of the
United States, has renounced citizenship;
(8) Is subject to a court order that restrains such person from harassing,
stalking, or threatening an intimate
partner of such person or child of such
intimate partner or person, or engaging in other conduct that would place
an intimate partner in reasonable fear
of bodily injury to the partner or child,
except that this paragraph shall only
apply to a court order that—
(i) Was issued after a hearing of
which such person received actual notice, and at which such person had the
opportunity to participate; and
(ii)(A) Includes a finding that such
person represents a credible threat to
the physical safety of such intimate
partner or child; or
(B) By its terms explicitly prohibits
the use, attempted use, or threatened
use of physical force against such intimate partner or child that would reasonably be expected to cause bodily injury, or
(9) Has been convicted of a misdemeanor crime of domestic violence.
(d) Manufacture, importation, and sale
of armor piercing ammunition by licensed
importers and licensed manufacturers. A
licensed importer or licensed manufacturer shall not import or manufacture
armor piercing ammunition or sell or
deliver such ammunition, except:
(1) For use of the United States or
any department or agency thereof or
any State or any department, agency,
or political subdivision thereof;
(2) For the purpose of exportation; or

§ 478.100

(3) For the purpose of testing or experimentation authorized by the Director under the provisions of § 478.149.
(e) Transfer of armor piercing ammunition by licensed dealers. A licensed dealer shall not willfully transfer armor
piercing ammunition: Provided, That
armor piercing ammunition received
and maintained by the licensed dealer
as business inventory prior to August
28, 1986, may be transferred to any department or agency of the United
States or any State or political subdivision thereof if a record of such ammunition is maintained in the form
and manner prescribed by § 478.125(c).
Any licensed dealer who violates this
paragraph is subject to license revocation. See subpart E of this part. For
purposes of this paragraph, the Director shall furnish each licensed dealer
information defining which projectiles
are considered armor piercing. Such information may not be all-inclusive for
purposes of the prohibition on manufacture, importation, or sale or delivery by a manufacturer or importer of
such ammunition or 18 U.S.C. 929 relating to criminal misuse of such ammunition.
[T.D. ATF–270, 53 FR 10497, Mar. 31, 1988, as
amended by T.D. ATF–363, 60 FR 17454, Apr.
6, 1995; T.D. ATF–401, 63 FR 35523, June 30,
1998; T.D. ATF–471, 67 FR 5426, Feb. 5, 2002]

§ 478.100 Conduct of business
from licensed premises.

(a)(1) A licensee may conduct business temporarily at a gun show or
event as defined in paragraph (b) if the
gun show or event is located in the
same State specified on the license:
Provided, That such business shall not
be conducted from any motorized or
towed vehicle. The premises of the gun
show or event at which the licensee
conducts business shall be considered
part of the licensed premises. Accordingly, no separate fee or license is required for the gun show or event locations. However, licensees shall comply
with the provisions of § 478.91 relating
to posting of licenses (or a copy thereof) while conducting business at the
gun show or event.
(2) A licensed importer, manufacturer, or dealer may engage in the
business of dealing in curio or relic

53

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00063

away

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

§ 478.101

27 CFR Ch. II (4–1–10 Edition)
have elapsed from the date the licensee
contacted NICS and NICS has not notified the licensee that receipt of the
firearm by the transferee would be in
violation of law; and
(3) The licensee verifies the identity
of the transferee by examining the
identification document presented in
accordance with the provisions of
§ 478.124(c).

firearms with another licensee at any
location.
(b) A gun show or an event is a function sponsored by any national, State,
or local organization, devoted to the
collection, competitive use, or other
sporting use of firearms, or an organization or association that sponsors
functions devoted to the collection,
competitive use, or other sporting use
of firearms in the community.
(c) Licensees conducting business at
locations other than the premises specified on their license under the provisions of paragraph (a) of this section
shall maintain firearms records in the
form and manner prescribed by subpart
H of this part. In addition, records of
firearms transactions conducted at
such locations shall include the location of the sale or other disposition, be
entered in the acquisition and disposition records of the licensee, and retained on the premises specified on the
license.

Example for paragraph (a). A licensee contacts NICS on Thursday, and gets a ‘‘delayed’’ response. The licensee does not get a
further response from NICS. If State offices
are not open on Saturday and Sunday, 3 business days would have elapsed on the following Tuesday. The licensee may transfer
the firearm on the next day, Wednesday.

(b) Transaction number. In any transaction for which a licensee receives a
transaction number from NICS (which
shall include either a NICS transaction
number or, in States where the State is
recognized as a point of contact for
NICS checks, a State transaction number), such number shall be recorded on
a firearms transaction record, Form
4473, which shall be retained in the
records of the licensee in accordance
with the provisions of § 478.129. This applies regardless of whether the transaction is approved or denied by NICS,
and regardless of whether the firearm
is actually transferred.
(c) Time limitation on NICS checks. A
NICS check conducted in accordance
with paragraph (a) of this section may
be relied upon by the licensee only for
use in a single transaction, and for a
period not to exceed 30 calendar days
from the date that NICS was initially
contacted. If the transaction is not
completed within the 30-day period, the
licensee shall initiate a new NICS
check prior to completion of the transfer.

[T.D. ATF–270, 53 FR 10498, Mar. 31, 1988, as
amended by T.D. ATF–401, 63 FR 35523, June
30, 1998]

§ 478.101 Record of transactions.
Every licensee shall maintain firearms and armor piercing ammunition
records in such form and manner as is
prescribed by subpart H of this part.

erowe on DSK5CLS3C1PROD with CFR

[T.D. ATF–270, 53 FR 10498, Mar. 31, 1988]

§ 478.102 Sales or deliveries of firearms on and after November 30,
1998.
(a) Background check. Except as provided in paragraph (d) of this section, a
licensed importer, licensed manufacturer, or licensed dealer (the licensee)
shall not sell, deliver, or transfer a
firearm to any other person who is not
licensed under this part unless the licensee meets the following requirements:
(1) Before the completion of the
transfer, the licensee has contacted
NICS;
(2)(i) NICS informs the licensee that
it has no information that receipt of
the firearm by the transferee would be
in violation of Federal or State law and
provides the licensee with a unique
identification number; or
(ii) Three business days (meaning
days on which State offices are open)

Example 1 for paragraph (c). A purchaser
completes the Form 4473 on December 15,
1998, and a NICS check is initiated by the licensee on that date. The licensee is informed
by NICS that the information available to
the system does not indicate that receipt of
the firearm by the transferee would be in
violation of law, and a unique identification
number is provided. However, the State imposes a 7-day waiting period on all firearms
transactions, and the purchaser does not return to pick up the firearm until January 22,
1999. The licensee must conduct another

54

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00064

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

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

erowe on DSK5CLS3C1PROD with CFR

NICS check before transferring the firearm
to the purchaser.
Example 2 for paragraph (c). A purchaser
completes the Form 4473 on January 25, 1999,
and arranges for the purchase of a single
firearm. A NICS check is initiated by the licensee on that date. The licensee is informed
by NICS that the information available to
the system does not indicate that receipt of
the firearm by the transferee would be in
violation of law, and a unique identification
number is provided. The State imposes a 7day waiting period on all firearms transactions, and the purchaser returns to pick up
the firearm on February 15, 1999. Before the
licensee executes the Form 4473, and the firearm is transferred, the purchaser decides to
purchase an additional firearm. The transfer
of these two firearms is considered a single
transaction; accordingly, the licensee may
add the second firearm to the Form 4473, and
transfer that firearm without conducting another NICS check.
Example 3 for paragraph (c). A purchaser
completes a Form 4473 on February 15, 1999.
The licensee receives a unique identification
number from NICS on that date, the Form
4473 is executed by the licensee, and the firearm is transferred. On February 20, 1999, the
purchaser returns to the licensee’s premises
and wishes to purchase a second firearm. The
purchase of the second firearm is a separate
transaction; thus, a new NICS check must be
initiated by the licensee.

§ 478.103

compliance with paragraph (a)(1) of
this section is impracticable.
(e) The document referred to in paragraph (d)(1) of this section (or a copy
thereof) shall be retained or the required information from the document
shall be recorded on the firearms transaction record in accordance with the
provisions of § 478.131.
(Approved by the Office of Management and
Budget under control number 1140–0045)
[T.D. ATF–415, 63 FR 58279, Oct. 29, 1998, as
amended by ATF–11F, 73 FR 57241, Oct. 2,
2008]

§ 478.103 Posting of signs and written
notification to purchasers of handguns.
(a) Each licensed importer, manufacturer, dealer, or collector who delivers
a handgun to a nonlicensee shall provide such nonlicensee with written notification as described in paragraph (b)
of this section.
(b) The written notification (ATF I
5300.2) required by paragraph (a) of this
section shall state as follows:
(1) The misuse of handguns is a leading contributor to juvenile violence
and fatalities.
(2) Safely storing and securing firearms away from children will help prevent the unlawful possession of handguns by juveniles, stop accidents, and
save lives.
(3) Federal law prohibits, except in
certain limited circumstances, anyone
under 18 years of age from knowingly
possessing a handgun, or any person
from transferring a handgun to a person under 18.
(4) A knowing violation of the prohibition against selling, delivering, or
otherwise transferring a handgun to a
person under the age of 18 is, under certain circumstances, punishable by up
to 10 years in prison.

(d) Exceptions to NICS check. The provisions of paragraph (a) of this section
shall not apply if—
(1) The transferee has presented to
the licensee a valid permit or license
that—
(i) Allows the transferee to possess,
acquire, or carry a firearm;
(ii) Was issued not more than 5 years
earlier by the State in which the transfer is to take place; and
(iii) The law of the State provides
that such a permit or license is to be
issued only after an authorized government official has verified that the information available to such official
does not indicate that possession of a
firearm by the transferee would be in
violation of Federal, State, or local
law: Provided, That on and after November 30, 1998, the information available to such official includes the NICS;
(2) The firearm is subject to the provisions of the National Firearms Act
and has been approved for transfer
under 27 CFR part 479; or
(3) On application of the licensee, in
accordance with the provisions of
§ 478.150, the Director has certified that

FEDERAL LAW
The Gun Control Act of 1968, 18 U.S.C.
Chapter 44, provides in pertinent part as follows:
18 U.S.C. 922(x)
(x)(1) It shall be unlawful for a person to
sell, deliver, or otherwise transfer to a person who the transferor knows or has reasonable cause to believe is a juvenile—
(A) a handgun; or

55

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00065

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

§ 478.103

27 CFR Ch. II (4–1–10 Edition)

(B) ammunition that is suitable for use
only in a handgun.
(2) It shall be unlawful for any person who
is a juvenile to knowingly possess—
(A) a handgun; or
(B) ammunition that is suitable for use
only in a handgun.
(3) This subsection does not apply to—
(A) a temporary transfer of a handgun or
ammunition to a juvenile or to the possession or use of a handgun or ammunition by
a juvenile if the handgun and ammunition
are possessed and used by the juvenile—
(i) in the course of employment, in the
course of ranching or farming related to activities at the residence of the juvenile (or
on property used for ranching or farming at
which the juvenile, with the permission of
the property owner or lessee, is performing
activities related to the operation of the
farm or ranch), target practice, hunting, or a
course of instruction in the safe and lawful
use of a handgun;
(ii) with the prior written consent of the
juvenile’s parent or guardian who is not prohibited by Federal, State, or local law from
possessing a firearm, except—
(I) during transportation by the juvenile of
an unloaded handgun in a locked container
directly from the place of transfer to a place
at which an activity described in clause (i) is
to take place and transportation by the juvenile of that handgun, unloaded and in a
locked container, directly from the place at
which such an activity took place to the
transferor; or
(II) with respect to ranching or farming activities as described in clause (i) a juvenile
may possess and use a handgun or ammunition with the prior written approval of the
juvenile’s parent or legal guardian and at the
direction of an adult who is not prohibited
by Federal, State, or local law from possessing a firearm;
(iii) the juvenile has the prior written consent in the juvenile’s possession at all times
when a handgun is in the possession of the
juvenile; and
(iv) in accordance with State and local law;
(B) a juvenile who is a member of the
Armed Forces of the United States or the
National Guard who possesses or is armed
with a handgun in the line of duty;
(C) a transfer by inheritance of title (but
not possession) of a handgun or ammunition
to a juvenile; or
(D) the possession of a handgun or ammunition by a juvenile taken in defense of the
juvenile or other persons against an intruder
into the residence of the juvenile or a residence in which the juvenile is an invited
guest.
(4) A handgun or ammunition, the possession of which is transferred to a juvenile in
circumstances in which the transferor is not
in violation of this subsection shall not be
subject to permanent confiscation by the

Government if its possession by the juvenile
subsequently becomes unlawful because of
the conduct of the juvenile, but shall be returned to the lawful owner when such handgun or ammunition is no longer required by
the Government for the purposes of investigation or prosecution.
(5) For purposes of this subsection, the
term ‘‘juvenile’’ means a person who is less
than 18 years of age.
(6)(A) In a prosecution of a violation of this
subsection, the court shall require the presence of a juvenile defendant’s parent or legal
guardian at all proceedings.
(B) The court may use the contempt power
to enforce subparagraph (A).
(C) The court may excuse attendance of a
parent or legal guardian of a juvenile defendant at a proceeding in a prosecution of a violation of this subsection for good cause
shown.
18 U.S.C. 924(a)(6)
(6)(A)(i) A juvenile who violates section
922(x) shall be fined under this title, imprisoned not more than 1 year, or both, except
that a juvenile described in clause (ii) shall
be sentenced to probation on appropriate
conditions and shall not be incarcerated unless the juvenile fails to comply with a condition of probation.
(ii) A juvenile is described in this clause
if—
(I) the offense of which the juvenile is
charged is possession of a handgun or ammunition in violation of section 922(x)(2); and
(II) the juvenile has not been convicted in
any court of an offense (including an offense
under section 922(x) or a similar State law,
but not including any other offense consisting of conduct that if engaged in by an
adult would not constitute an offense) or adjudicated as a juvenile delinquent for conduct that if engaged in by an adult would
constitute an offense.
(B) A person other than a juvenile who
knowingly violates section 922(x)—
(i) shall be fined under this title, imprisoned not more than 1 year, or both; and
(ii) if the person sold, delivered, or otherwise transferred a handgun or ammunition
to a juvenile knowing or having reasonable
cause to know that the juvenile intended to
carry or otherwise possess or discharge or
otherwise use the handgun or ammunition in
the commission of a crime of violence, shall
be fined under this title, imprisoned not
more than 10 years, or both.

(c) This written notification shall be
delivered to the nonlicensee on ATF I
5300.2, or in the alternative, the same
written notification may be delivered
to the nonlicensee on another type of

56

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00066

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

Bureau of Alcohol, Tobacco, Firearms, and Explosives, Justice
written notification, such as a manufacturer’s or importer’s brochure accompanying the handgun; a manufacturer’s or importer’s operational manual accompanying the handgun; or a
sales receipt or invoice applied to the
handgun package or container delivered to a nonlicensee. Any written notification delivered to a nonlicensee
other than on ATF I 5300.2 shall include
the language set forth in paragraph (b)
of this section in its entirety. Any
written notification other than ATF I
5300.2 shall be legible, clear, and conspicuous, and the required language
shall appear in type size no smaller
than 10-point type.
(d) Except as provided in paragraph
(f) of this section, each licensed importer, manufacturer, or dealer who delivers a handgun to a nonlicensee shall
display at its licensed premises (including temporary business locations at
gun shows) a sign as described in paragraph (e) of this section. The sign shall
be displayed where customers can readily see it. Licensed importers, manufacturers, and dealers will be provided
with such signs by ATF. Replacement
signs may be requested from the ATF
Distribution Center.
(e) The sign (ATF I 5300.1) required
by paragraph (d) of this section shall
state as follows:

(f) The sign required by paragraph (d)
of this section need not be posted on
the premises of any licensed importer,
manufacturer, or dealer whose only
dispositions of handguns to nonlicensees are to nonlicensees who do
not appear at the licensed premises and
the dispositions otherwise comply with
the provisions of this part.
[T.D. ATF–402, 63 FR 37742, July 13, 1998]

Subpart G—Importation
§ 478.111

General.

(a) Section 922(a)(3) of the Act makes
it unlawful, with certain exceptions
not pertinent here, for any person
other than a licensee to transport into
or receive in the State where the person resides any firearm purchased or
otherwise obtained by the person outside of that State. However, section
925(a)(4) provides a limited exception
for the transportation, shipment, receipt or importation of certain firearms and ammunition by certain members of the United States Armed
Forces. Section 922(1) of the Act makes
it unlawful for any person knowingly
to import or bring into the United
States or any possession thereof any
firearm or ammunition except as provided by section 925(d) of the Act,
which section provides standards for
importing or bringing firearms or ammunition into the United States. Section 925(d) also provides standards for
importing or bringing firearm barrels
into the United States. Accordingly, no
firearm, firearm barrel, or ammunition
may be imported or brought into the
United States except as provided by
this part.
(b) Where a firearm, firearm barrel,
or ammunition is imported and the authorization for importation required by
this subpart has not been obtained by
the person importing same, such person shall:
(1) Store, at the person’s expense,
such firearm, firearm barrel, or ammunition at a facility designated by U.S
Customs or the Director of Industry
Operations to await the issuance of the
required authorization or other disposition; or

(1) The misuse of handguns is a leading
contributor to juvenile violence and fatalities.
(2) Safely storing and securing firearms
away from children will help prevent the unlawful possession of handguns by juveniles,
stop accidents, and save lives.
(3) Federal law prohibits, except in certain
limited circumstances, anyone under 18
years of age from knowingly possessing a
handgun, or any person from transferring a
handgun to a person under 18.
(4) A knowing violation of the prohibition
against selling, delivering, or otherwise
transferring a handgun to a person under the
age of 18 is, under certain circumstances,
punishable by up to 10 years in prison.

erowe on DSK5CLS3C1PROD with CFR

§ 478.111

NOTE: ATF I 5300.2 provides the complete
language of the statutory prohibitions and
exceptions provided in 18 U.S.C. 922(x) and
the penalty provisions of 18 U.S.C. 924(a)(6).
The Federal firearms licensee posting this
sign will provide you with a copy of this publication upon request. Requests for additional copies of ATF I 5300.2 should be mailed
to the ATF Distribution Center, P.O. Box
5950, Springfield, Virginia 22150–5950.

57

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00067

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

§ 478.112

27 CFR Ch. II (4–1–10 Edition)
(I) The quantity;
(J) The unit cost of the firearm, firearm barrel, or ammunition to be imported;
(v) The specific purpose of importation, including final recipient information if different from the importer;
(vi) Verification that if a firearm, it
will be identified as required by this
part; and
(vii)(A) If a firearm or ammunition
imported or brought in for scientific or
research purposes, a statement describing such purpose; or
(B) If a firearm or ammunition for
use in connection with competition or
training pursuant to Chapter 401 of
Title 10, U.S.C., a statement describing
such intended use; or
(C) If an unserviceable firearm (other
than a machine gun) being imported as
a curio or museum piece, a description
of how it was rendered unserviceable
and an explanation of why it is a curio
or museum piece; or
(D) If a firearm other than a surplus
military firearm, of a type that does
not fall within the definition of a firearm under section 5845(a) of the Internal Revenue Code of 1986, and is for
sporting purposes, an explanation of
why the firearm is generally recognized
as particularly suitable for or readily
adaptable to sporting purposes; or
(E) If ammunition being imported for
sporting purposes, a statement why the
ammunition is particularly suitable for
or readily adaptable to sporting purposes; or
(F) If a firearm barrel for a handgun,
an explanation why the handgun is
generally recognized as particularly
suitable for or readily adaptable to
sporting purposes.
(2)(i) If the Director approves the application, such approved application
will serve as the permit to import the
firearm, firearm barrel, or ammunition
described therein, and importation of
such firearms, firearm barrels, or ammunition may continue to be made by
the licensed importer under the approved application (permit) during the
period specified thereon. The Director
will furnish the approved application
(permit) to the applicant and retain
two copies thereof for administrative
use.

(2) Abandon such firearm, firearm
barrel, or ammunition to the U.S. Government; or
(3) Export such firearm, firearm barrel, or ammunition.
(c) Any inquiry relative to the provisions or procedures under this subpart,
other than that pertaining to the payment of customs duties or the release
from Customs custody of firearms, firearm barrels, or ammunition authorized
by the Director to be imported, shall be
directed to the Director of Industry Operations for reply.

erowe on DSK5CLS3C1PROD with CFR

[T.D. ATF–270, 53 FR 10498, Mar. 31, 1988]

§ 478.112 Importation by a licensed importer.
(a) No firearm, firearm barrel, or ammunition shall be imported or brought
into the United States by a licensed
importer (as defined in § 478.11) unless
the Director has authorized the importation of the firearm, firearm barrel, or
ammunition.
(b)(1) An application for a permit,
ATF Form 6—Part I, to import or bring
a firearm, firearm barrel, or ammunition into the United States or a possession thereof under this section must be
filed, in triplicate, with the Director.
The application must be signed and
dated and must contain the information requested on the form, including:
(i) The name, address, telephone
number, and license number (including
expiration date) of the importer;
(ii) The country from which the firearm, firearm barrel, or ammunition is
to be imported;
(iii) The name and address of the foreign seller and foreign shipper;
(iv) A description of the firearm, firearm barrel, or ammunition to be imported, including:
(A) The name and address of the
manufacturer;
(B) The type (e.g., rifle, shotgun, pistol, revolver and, in the case of ammunition only, ball, wadcutter, shot, etc.);
(C) The caliber, gauge, or size;
(D) The model;
(E) The barrel length, if a firearm or
firearm barrel (in inches);
(F) The overall length, if a firearm
(in inches);
(G) The serial number, if known;
(H) Whether the firearm is new or
used;

58

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00068

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

Bureau of Alcohol, Tobacco, Firearms, and Explosives, Justice
(ii) If the Director disapproves the
application, the licensed importer will
be notified of the basis for the disapproval.
(c) A firearm, firearm barrel, or ammunition imported or brought into the
United States or a possession thereof
under the provisions of this section by
a licensed importer may be released
from Customs custody to the licensed
importer upon showing that the importer has obtained a permit from the
Director for the importation of the
firearm, firearm barrel, or ammunition
to be released. The importer will also
submit to Customs a copy of the export
license authorizing the export of the
firearm, firearm barrel, or ammunition
from the exporting country. If the exporting country does not require
issuance of an export license, the importer must submit a certification,
under penalty of perjury, to that effect.
(1) In obtaining the release from Customs custody of a firearm, firearm barrel, or ammunition authorized by this
section to be imported through the use
of a permit, the licensed importer will
prepare ATF Form 6A, in duplicate,
and furnish the original ATF Form 6A
to the Customs officer releasing the
firearm, firearm barrel, or ammunition. The Customs officer will, after
certification, forward the ATF Form
6A to the address specified on the form.
(2) The ATF Form 6A must contain
the information requested on the form,
including:
(i) The name, address, and license
number of the importer;
(ii) The name of the manufacturer of
the firearm, firearm barrel, or ammunition;
(iii) The country of manufacture;
(iv) The type;
(v) The model;
(vi) The caliber, gauge, or size;
(vii) The serial number in the case of
firearms, if known; and
(viii) The number of firearms, firearm barrels, or rounds of ammunition
released.
(d) Within 15 days of the date of release from Customs custody, the licensed importer must:
(1) Forward to the address specified
on the form a copy of ATF Form 6A on
which must be reported any error or
discrepancy appearing on the ATF

§ 478.113

Form 6A certified by Customs and serial numbers if not previously provided
on ATF Form 6A;
(2) Pursuant to § 478.92, place all required identification data on each imported firearm if same did not bear
such identification data at the time of
its release from Customs custody; and
(3) Post in the records required to be
maintained by the importer under subpart H of this part all required information regarding the importation.
(Paragraph (b) approved by the Office of
Management and Budget under control number 1140–0005; paragraphs (c) and (d) approved
by the Office of Management and Budget
under control number 1140–0007)
[T.D. ATF–270, 53 FR 10498, Mar. 31, 1988, as
amended by T.D. ATF–426, 65 FR 38198, June
20, 2000; ATF–11F, 73 FR 57241, Oct. 2, 2008]

§ 478.113 Importation by other licensees.
(a) No person other than a licensed
importer (as defined in § 478.11) shall
engage in the business of importing
firearms or ammunition. Therefore, no
firearm or ammunition shall be imported or brought into the United
States or a possession thereof by any
licensee other than a licensed importer
unless the Director issues a permit authorizing the importation of the firearm or ammunition. No barrel for a
handgun not generally recognized as
particularly suitable for or readily
adaptable to sporting purposes shall be
imported or brought into the United
States or a possession thereof by any
person. Therefore, no firearm barrel
shall be imported or brought into the
United States or possession thereof by
any licensee other than a licensed importer unless the Director issues a permit authorizing the importation of the
firearm barrel.
(b)(1) An application for a permit,
ATF Form 6—Part I, to import or bring
a firearm, firearm barrel, or ammunition into the United States or a possession thereof by a licensee, other than a
licensed importer, must be filed, in
triplicate, with the Director. The application must be signed and dated and
must contain the information requested on the form, including:
(i) The name, address, telephone
number, and license number (including
expiration date) of the applicant;

59

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00069

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

§ 478.113

27 CFR Ch. II (4–1–10 Edition)

(ii) The country from which the firearm, firearm barrel, or ammunition is
to be imported;
(iii) The name and address of the foreign seller and foreign shipper;
(iv) A description of the firearm, firearm barrel, or ammunition to be imported, including:
(A) The name and address of the
manufacturer;
(B) The type (e.g., rifle, shotgun, pistol, revolver and, in the case of ammunition only, ball, wadcutter, shot, etc.);
(C) The caliber, gauge, or size;
(D) The model;
(E) The barrel length, if a firearm or
firearm barrel (in inches);
(F) The overall length, if a firearm
(in inches);
(G) The serial number, if known;
(H) Whether the firearm is new or
used;
(I) The quantity;
(J) The unit cost of the firearm, firearm barrel, or ammunition to be imported;
(v) The specific purpose of importation, including final recipient information if different from the applicant;
and
(vi)(A) If a firearm or ammunition
imported or brought in for scientific or
research purposes, a statement describing such purpose; or
(B) If a firearm or ammunition for
use in connection with competition or
training pursuant to Chapter 401 of
Title 10, U.S.C., a statement describing
such intended use; or
(C) If an unserviceable firearm (other
than a machine gun) being imported as
a curio or museum piece, a description
of how it was rendered unserviceable
and an explanation of why it is a curio
or museum piece; or
(D) If a firearm other than a surplus
military firearm, of a type that does
not fall within the definition of a firearm under section 5845(a) of the Internal Revenue Code of 1986, and is for
sporting purposes, an explanation of
why the firearm is generally recognized
as particularly suitable for or readily
adaptable to sporting purposes; or
(E) If ammunition being imported for
sporting purposes, a statement why the
ammunition is particularly suitable for
or readily adaptable to sporting purposes; or

(F) If a firearm barrel for a handgun,
an explanation why the handgun is
generally recognized as particularly
suitable for or readily adaptable to
sporting purposes.
(2)(i) If the Director approves the application, such approved application
will serve as the permit to import the
firearm, firearm barrel, or ammunition
described therein, and importation of
such firearms, firearm barrels, or ammunition may continue to be made by
the applicant under the approved application (permit) during the period specified thereon. The Director will furnish
the approved application (permit) to
the applicant and retain two copies
thereof for administrative use.
(ii) If the Director disapproves the
application, the applicant will be notified of the basis for the disapproval.
(c) A firearm, firearm barrel, or ammunition imported or brought into the
United States or a possession thereof
under the provisions of this section
may be released from Customs custody
to the licensee upon showing that the
licensee has obtained a permit from
the Director for the importation of the
firearm, firearm barrel, or ammunition
to be released.
(1) In obtaining the release from Customs custody of a firearm, firearm barrel, or ammunition authorized by this
section to be imported through the use
of a permit, the licensee will prepare
ATF Form 6A, in duplicate, and furnish
the original ATF Form 6A to the Customs officer releasing the firearm, firearm barrel, or ammunition. The Customs officer will, after certification,
forward the ATF Form 6A to the address specified on the form.
(2) The ATF Form 6A must contain
the information requested on the form,
including:
(i) The name, address, and license
number of the licensee;
(ii) The name of the manufacturer of
the firearm, firearm barrel, or ammunition;
(iii) The country of manufacture;
(iv) The type;
(v) The model;
(vi) The caliber, gauge, or size;
(vii) The serial number in the case of
firearms; and

60

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00070

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

Bureau of Alcohol, Tobacco, Firearms, and Explosives, Justice
(viii) The number of firearms, firearm barrels, or rounds of ammunition
released.

(2)(i) If the Director approves the application, such approved application
will serve as the permit to import the
firearm barrel, and importation of such
firearm barrels may continue to be
made by the applicant under the approved application (permit) during the
period specified thereon. The Director
will furnish the approved application
(permit) to the applicant and retain
two copies thereof for administrative
use.
(ii) If the Director disapproves the
application, the applicant will be notified of the basis for the disapproval.
(c) A firearm barrel imported or
brought into the United States or a
possession thereof under the provisions
of this section may be released from
Customs custody to the person importing the firearm barrel upon showing
that the person has obtained a permit
from the Director for the importation
of the firearm barrel to be released.
(1) In obtaining the release from Customs custody of a firearm barrel authorized by this section to be imported
through the use of a permit, the person
importing the firearm barrel will prepare ATF Form 6A, in duplicate, and
furnish the original ATF Form 6A to
the Customs officer releasing the firearm barrel. The Customs officer will,
after certification, forward the ATF
Form 6A to the address specified on the
form.
(2) The ATF Form 6A must contain
the information requested on the form,
including:
(i) The name and address of the person importing the firearm barrel;
(ii) The name of the manufacturer of
the firearm barrel;
(iii) The country of manufacture;
(iv) The type;
(v) The model;
(vi) The caliber or gauge of the firearm barrel so released; and
(vii) The number of firearm barrels
released.

(Paragraph (b) approved by the Office of
Management and Budget under control number 1140–0005; paragraph (c) approved by the
Office of Management and Budget under control number 1140–0007)
[T.D. ATF–270, 53 FR 10499, Mar. 31, 1988, as
amended by T.D. ATF–426, 65 FR 38199, June
20, 2000; ATF–11F, 73 FR 57241, Oct. 2, 2008]

erowe on DSK5CLS3C1PROD with CFR

§ 478.113a

§ 478.113a Importation of firearm barrels by nonlicensees.
(a) A permit will not be issued for a
firearm barrel for a handgun not generally recognized as particularly suitable for or readily adaptable to sporting purposes. No firearm barrel shall be
imported or brought into the United
States or possession thereof by any
nonlicensee unless the Director issues
a permit authorizing the importation
of the firearm barrel.
(b)(1) An application for a permit,
ATF Form 6—Part I, to import or bring
a firearm barrel into the United States
or a possession thereof under this section must be filed, in triplicate, with
the Director. The application must be
signed and dated and must contain the
information requested on the form, including:
(i) The name, address, and telephone
number of the applicant;
(ii) The country from which the firearm barrel is to be imported;
(iii) The name and address of the foreign seller and foreign shipper;
(iv) A description of the firearm barrel to be imported, including:
(A) The name and address of the
manufacturer;
(B) The type (e.g., rifle, shotgun, pistol, revolver);
(C) The caliber, gauge, or size;
(D) The model;
(E) The barrel length (in inches);
(F) The quantity;
(G) The unit cost of the firearm barrel;
(v) The specific purpose of importation, including final recipient information if different from the importer; and
(vi) If a handgun barrel, an explanation of why the barrel is for a handgun that is generally recognized as particularly suitable for or readily adaptable to sporting purposes.

(Paragraph (b) approved by the Office of
Management and Budget under control number 1140–0005; paragraph (c) approved by the
Office of Management and Budget under control number 1140–0007)
[T.D. ATF–270, 53 FR 10499, Mar. 31, 1988, as
amended by T.D. ATF–426, 65 FR 38200, June
20, 2000; ATF–11F, 73 FR 57241, Oct. 2, 2008]

61

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00071

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

§ 478.114

27 CFR Ch. II (4–1–10 Edition)
(vi) The specific purpose of importation, that is—
(A) That the firearm or ammunition
being imported is for the personal use
of the applicant; and
(B) If a firearm, a statement that it
is not a surplus military firearm, that
it does not fall within the definition of
a firearm under section 5845(a) of the
Internal Revenue Code of 1986, and an
explanation of why the firearm is generally recognized as particularly suitable for or readily adaptable to sporting purposes; or
(C) If ammunition, a statement why
it is generally recognized as particularly suitable for or readily adaptable
to sporting purposes; and
(vii) The applicant’s date of birth;
(viii) The applicant’s rank or grade;
(ix) The applicant’s place of residence;
(x) The applicant’s present foreign
duty station or last foreign duty station, as the case may be;
(xi) The date of the applicant’s reassignment to a duty station within the
United States, if applicable; and
(xii) The military branch of which
the applicant is a member.
(2)(i) If the Director approves the application, such approved application
will serve as the permit to import the
firearm or ammunition described
therein. The Director will furnish the
approved application (permit) to the
applicant and retain two copies thereof
for administrative use.
(ii) If the Director disapproves the
application, the applicant will be notified of the basis for the disapproval.
(b) Except as provided in paragraph
(b)(3) of this section, a firearm or ammunition imported into the United
States under the provisions of this section by the applicant may be released
from Customs custody to the applicant
upon showing that the applicant has
obtained a permit from the Director for
the importation of the firearm or ammunition to be released.
(1) In obtaining the release from Customs custody of a firearm or ammunition authorized by this section to be
imported through the use of a permit,
the military member of the U.S. Armed
Forces will prepare ATF Form 6A and
furnish the completed form to the Customs officer releasing the firearm or

erowe on DSK5CLS3C1PROD with CFR

§ 478.114 Importation by members of
the U.S. Armed Forces.
(a) The Director may issue a permit
authorizing the importation of a firearm or ammunition into the United
States to the place of residence of any
military member of the U.S. Armed
Forces who is on active duty outside
the United States, or who has been on
active duty outside the United States
within the 60-day period immediately
preceding the intended importation:
Provided, That such firearm or ammunition is generally recognized as particularly suitable for or readily adaptable to sporting purposes and is intended for the personal use of such
member.
(1) An application for a permit, ATF
Form 6—Part II, to import a firearm or
ammunition into the United States
under this section must be filed, in
triplicate, with the Director. The application must be signed and dated and
must contain the information requested on the form, including:
(i) The name, current address, and
telephone number of the applicant;
(ii) Certification that the transportation, receipt, or possession of the
firearm or ammunition to be imported
would not constitute a violation of any
provision of the Act or of any State
law or local ordinance at the place of
the applicant’s residence;
(iii) The country from which the firearm or ammunition is to be imported;
(iv) The name and address of the foreign seller and foreign shipper;
(v) A description of the firearm or
ammunition to be imported, including:
(A) The name and address of the
manufacturer;
(B) The type (e.g., rifle, shotgun, pistol, revolver and, in the case of ammunition only, ball, wadcutter, shot, etc.);
(C) The caliber, gauge, or size;
(D) The model;
(E) The barrel length, if a firearm (in
inches);
(F) The overall length, if a firearm
(in inches);
(G) The serial number;
(H) Whether the firearm is new or
used;
(I) The quantity;
(J) The unit cost of the firearm or
ammunition to imported;

62

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00072

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

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

may be completed before departure
from the United States at any U.S. customhouse or any office of an Director
of Industry Operations. A bill of sale or
other commercial document showing
transfer of the firearm or ammunition
in the United States to such person
also may be used to establish proof
that the firearm or ammunition was
taken out of the United States by such
person. Firearms and ammunition furnished under the provisions of section
925(a)(3) of the Act to military members of the U.S. Armed Forces on active duty outside of the United States
also may be imported into the United
States or any possession thereof by
such military members upon establishing to the satisfaction of Customs
that such firearms and ammunition
were so obtained.
(b) Firearms, firearm barrels, and
ammunition may be imported or
brought into the United States by or
for the United States or any department or agency thereof, or any State
or any department, agency, or political
subdivision thereof. A firearm, firearm
barrel or ammunition imported or
brought into the United States under
this paragraph may be released from
Customs custody upon a showing that
the firearm, firearm barrel or ammunition is being imported or brought into
the United States by or for such a governmental entity.
(c) The provisions of this subpart
shall not apply with respect to the importation into the United States of any
antique firearm.
(d) Firearms and ammunition are not
imported into the United States, and
the provisions of this subpart shall not
apply, when such firearms and ammunition are brought into the United
States by:
(1) A nonresident of the United
States for legitimate hunting or lawful
sporting purposes, and such firearms
and such ammunition as remains following such shooting activity are to be
taken back out of the territorial limits
of the United States by such person
upon conclusion of the shooting activity;
(2) Foreign military personnel on official assignment to the United States
who bring such firearms or ammunition into the United States for their

ammunition. The Customs officer will,
after certification, forward the ATF
Form 6A to the address specified on the
form.
(2) The ATF Form 6A must contain
the information requested on the form,
including:
(i) The name and address of the military member;
(ii) The name of the manufacturer of
the firearm or ammunition;
(iii) The country of manufacture;
(iv) The type;
(v) The model;
(vi) The caliber, gauge, or size;
(vii) The serial number in the case of
firearms; and
(viii) If applicable, the number of
firearms or rounds of ammunition released.
(3) When such military member is on
active duty outside the United States,
the military member may appoint, in
writing, an agent to obtain the release
of the firearm or ammunition from
Customs custody for such member.
Such agent will present sufficient identification of the agent and the written
authorization to act on behalf of such
military member to the Customs officer who is to release the firearm or ammunition.
(c) Firearms determined by the Department of Defense to be war souvenirs may be imported into the United
States by the military members of the
U.S. Armed Forces under such provisions and procedures as the Department of Defense may issue.
(Paragraph (a) approved by the Office of
Management and Budget under control number 1140–0006; paragraph (b) approved by the
Office of Management and Budget under control number 1140–0007)
[T.D. ATF–270, 53 FR 10500, Mar. 31, 1988, as
amended by T.D. ATF–426, 65 FR 38200, June
20, 2000; ATF–11F, 73 FR 57241, Oct. 2, 2008]

erowe on DSK5CLS3C1PROD with CFR

§ 478.115

§ 478.115 Exempt importation.
(a) Firearms and ammunition may be
brought into the United States or any
possession thereof by any person who
can establish to the satisfaction of Customs that such firearm or ammunition
was previously taken out of the United
States or any possession thereof by
such person. Registration on Customs
Form 4457 or on any other registration
document available for this purpose

63

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00073

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

§ 478.116

27 CFR Ch. II (4–1–10 Edition)

exclusive use while on official duty in
the United States, and such firearms
and unexpended ammunition are taken
back out of the territorial limits of the
United States by such foreign military
personnel when they leave the United
States;
(3) Official representatives of foreign
governments who are accredited to the
U.S. Government or are en route to or
from other countries to which accredited, and such firearms and unexpended
ammunition are taken back out of the
territorial limits of the United States
by such official representatives of foreign governments when they leave the
United States;
(4) Officials of foreign governments
and distinguished foreign visitors who
have been so designated by the Department of State, and such firearms and
unexpended ammunition are taken
back out of the territorial limits of the
United States by such officials of foreign governments and distinguished
foreign visitors when they leave the
United States; and
(5) Foreign law enforcement officers
of friendly foreign governments entering the United States on official law
enforcement business, and such firearms and unexpended ammunition are
taken back out of the territorial limits
of the United States by such foreign
law enforcement officers when they
leave the United States.
(e) Notwithstanding the provisions of
paragraphs (d) (1), (2), (3), (4) and (5) of
this section, the Secretary of the
Treasury or his delegate may in the interest of public safety and necessity require a permit for the importation or
bringing into the United States of any
firearms or ammunition.

nition feeding device in connection
with making a determination as to
whether the importation or bringing in
of such firearm, firearm barrel, ammunition, or ammunition feeding device
will be authorized under this part. An
application on ATF Form 6 for such
conditional importation shall be filed,
in duplicate, with the Director. The Director may impose conditions upon any
importation under this section including a requirement that the firearm,
firearm barrel, ammunition, or ammunition feeding device be shipped directly from Customs custody to the Director and that the person importing
or bringing in the firearm, firearm barrel, ammunition, or ammunition feeding device must agree to either export
the firearm, firearm barrel, ammunition, or ammunition feeding device or
destroy same if a determination is
made that the firearm, firearm barrel,
ammunition, or ammunition feeding
device may not be imported or brought
in under this part. A firearm, firearm
barrel, ammunition, or ammunition
feeding device imported or brought
into the United States or any possession thereof under the provisions of
this section shall be released from Customs custody upon the payment of customs duties, if applicable, and in the
manner prescribed in the conditional
authorization issued by the Director.
[T.D. ATF–383, 61 FR 39321, July 29, 1996]

§ 478.117 Function outside a customs
territory.
In the insular possessions of the
United States outside customs territory, the functions performed by U.S.
Customs officers under this subpart
within a customs territory may be performed by the appropriate authorities
of a territorial government or other officers of the United States who have
been designated to perform such functions. For the purpose of this subpart,
the term customs territory means the
United States, the District of Columbia, and the Commonwealth of Puerto
Rico.

erowe on DSK5CLS3C1PROD with CFR

[33 FR 18555, Dec. 14, 1968. Redesignated at 40
FR 16835, Apr. 15, 1975, and amended by T.D.
ATF–58, 44 FR 32367, June 6, 1979; T.D. ATF–
270, 53 FR 10500, Mar. 31, 1988; T.D. ATF–471,
67 FR 5426, Feb. 5, 2002]

§ 478.116 Conditional importation.
The Director shall permit the conditional importation or bringing into the
United States or any possession thereof
of any firearm, firearm barrel, ammunition, or ammunition feeding device
as defined in § 478.119(b) for the purpose
of examining and testing the firearm,
firearm barrel, ammunition, or ammu-

§ 478.118 Importation of certain firearms classified as curios or relics.
Notwithstanding any other provision
of this part, a licensed importer may

64

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00074

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

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

(5) The name and address of the foreign seller and the foreign shipper,
(6) Verification that such device will
be marked as required by this part, and
(7) A statement by the importer that
the device is being imported for sale to
purchasers specified in § 478.40a(b) or
physical or reasonable documentary
evidence establishing that the magazine was manufactured on or before
September 13, 1994. Any one of the following examples, which are not meant
to be exhaustive, may be sufficient to
establish the time of manufacture:
(i) Permanent markings or physical
characteristics which establish that
the magazine was manufactured on or
before September 13, 1994;
(ii) A certification from the importer, under penalty of perjury, that
the importer maintained continuous
custody beginning on a date prior to
September 14, 1994, and continuing
until the date of the certification. Such
certification shall also be supported by
reasonable documentary evidence, such
as commercial records;
(iii) A certification from the importer, under penalty of perjury, that
the magazines sought to be imported
were in the custody and control of a
foreign Government on or before September 13, 1994, along with reasonable
documentary evidence to support the
certification; or
(iv) A certification from the importer, under penalty of perjury, that
the magazine was in the possession of a
foreign arms supplier on or before September 13, 1994, along with reasonable
documentary evidence to support the
certification.
(d) The Director shall act upon applications to import ammunition feeding
devices as expeditiously as possible. If
the Director approves the application,
such approved application shall serve
as the permit to import the device described therein, and importation of
such devices may continue to be made
by the person importing such devices
under the approved application (permit) during the period specified thereon. The Director shall furnish the approved application (permit) to the applicant and retain two copies thereof
for administrative use. If the Director
disapproves the application, the person

import all rifles and shotguns classified by the Director as curios or relics,
and all handguns classified by the Director as curios or relics that are determined to be generally recognized as
particularly suitable for or readily
adaptable to sporting purposes. The
importation of such curio or relic firearms must be in accordance with the
applicable importation provisions of
this part and the importation provisions of 27 CFR part 447. Curios or relics which fall within the definition of
‘‘firearm’’ under 26 U.S.C. 5845(a) must
also meet the importation provisions of
27 CFR part 479 before they may be imported.
[T.D. ATF–202, 50 FR 14383, Apr. 12, 1985]

erowe on DSK5CLS3C1PROD with CFR

§ 478.119

§ 478.119 Importation of ammunition
feeding devices.
(a) No ammunition feeding device
shall be imported or brought into the
United States unless the Director has
authorized the importation of such device.
(b) For purposes of this section, an
‘‘ammunition feeding device’’ is a magazine, belt, drum, feed strip, or similar
device for a firearm that has a capacity
of, or that can be readily restored or
converted to accept, more than 10
rounds of ammunition. The term does
not include an attached tubular device
designed to accept, and capable of operating only with, .22 caliber rimfire ammunition, or a fixed device for a manually operated firearm, or a fixed device
for a firearm listed in 18 U.S.C. 922, Appendix A.
(c) An application for a permit, ATF
Form 6, to import or bring an ammunition feeding device into the United
States or a possession thereof under
this section shall be filed, in triplicate,
with the Director. The application
shall contain:
(1) The name and address of the person importing the device,
(2) A description of the device to be
imported, including type and cartridge
capacity, model and caliber of firearm
for which the device was made, country
of manufacture, and name of the manufacturer if known,
(3) The unit cost of the device to be
imported,
(4) The country from which to be imported,

65

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00075

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

§ 478.120

27 CFR Ch. II (4–1–10 Edition)

importing such devices shall be notified of the basis for the disapproval.
(e) An ammunition feeding device imported or brought into the United
States by a person importing such a device may be released from Customs
custody to the person importing such a
device upon showing that such person
has obtained a permit from the Director for the importation of the device to
be released. In obtaining the release
from Customs custody of such a device
authorized by this section to be imported through use of a permit, the
person importing such a device shall
prepare ATF Form 6A, in duplicate,
and furnish the original ATF Form 6A
to the Customs officer releasing the device. The Customs officer shall, after
certification, forward the ATF Form
6A to the address specified on the form.
The ATF Form 6A shall show the name
and address of the person importing
the device, the name of the manufacturer of the device, the country of
manufacture, the type, model, caliber,
size, and the number of devices released.
(f) Within 15 days of the date of release from Customs custody, the person
importing such a device shall:
(1) Forward to the address specified
on the form a copy of ATF Form 6A on
which shall be reported any error or
discrepancy appearing on the ATF
Form 6A certified by Customs, and
(2) Pursuant to § 478.92, place all required identification data on each imported device manufactured after September 13, 1994, if same did not bear
such identification data at the time of
its release from Customs custody.
(g) The Director may authorize the
conditional importation of an ammunition feeding device as provided in
§ 478.116.

§ 478.120 Firearms or ammunition imported by or for a nonimmigrant
alien.
(a) Any nonimmigrant alien who
completes an ATF Form 6 to import
firearms or ammunition into the
United States, or any licensee who
completes an ATF Form 6 to import
firearms or ammunition for a nonimmigrant alien, must attach applicable documentation to the Form 6 (e.g.,
a hunting license or permit lawfully
issued in the United States; waiver) establishing the nonimmigrant alien
falls within an exception to or has obtained a waiver from the nonimmigrant alien prohibition.
(b) Nonimmigrant aliens importing
or bringing firearms or ammunition
into the United States must provide
the United States Customs Service
with applicable documentation (e.g., a
hunting license or permit lawfully
issued in the United States; waiver) establishing the nonimmigrant alien
falls within an exception to or has obtained a waiver from the nonimmigrant alien prohibition before the
firearm or ammunition may be imported. This provision applies in all
cases, whether or not a 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)
[T.D. ATF–471, 67 FR 5426, Feb. 5, 2002, as
amended by ATF–11F, 73 FR 57241, Oct. 2,
2008]

Subpart H—Records
§ 478.121 General.
(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

erowe on DSK5CLS3C1PROD with CFR

(Paragraphs (a), (c), and (d) approved by the
Office of Management and Budget under control numbers 1140–0005 and 1140–0006; paragraphs (e) and (f) approved by the Office of
Management and Budget under control number 1140–0007)
[T.D. ATF–383, 61 FR 39322, July 29, 1996, as
amended by ATF–11F, 73 FR 57241, Oct. 2,
2008]

66

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00076

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

Bureau of Alcohol, Tobacco, Firearms, and Explosives, Justice
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.
(d) For recordkeeping requirements
for sales by licensees at gun shows see
§ 478.100(c).

§ 478.122

§ 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:

(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)
[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]

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

erowe on DSK5CLS3C1PROD with CFR

Date

Manufacturer

Calibur or gauge

Quantity of projectiles

(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

Purchaser—Name and address

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

67

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00077

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

§ 478.123

27 CFR Ch. II (4–1–10 Edition)
formation 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
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.

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)

erowe on DSK5CLS3C1PROD with CFR

[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.
(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
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 in-

(Approved by the Office of Management and
Budget under control number 1140–0067)
[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,

68

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00078

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

Bureau of Alcohol, Tobacco, Firearms, and Explosives, Justice
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
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) Shall, in the case of a transferee
who is an alien legally in the United

§ 478.124

States, cause the transferee to present
documentation establishing that the
transferee is a resident of the State (as
defined in § 478.11) in which the licensee’s business premises is located, and
shall note on the form the documentation used. Examples of acceptable documentation include utility bills or a
lease agreement which show that the
transferee has resided in the State continuously for at least 90 days prior to
the transfer of the firearm; and
(iii) Must, in the case of a transferee
who is a nonimmigrant alien who
states that he or she falls within an exception to, or has a waiver from, the
nonimmigrant alien prohibition, 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.
(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: Provided, 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

69

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00079

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

§ 478.124

27 CFR Ch. II (4–1–10 Edition)

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, except for the provisions of
paragraph (c)(3)(ii).
(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, and in
the case of a transferee who is an alien
legally in the United States, the transferee has resided in that State continuously for at least 90 days prior to the
transfer of the firearm; 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 com-

merce; 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

70

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00080

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

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

required acquisition information regarding the firearm on the Form
4473(LV) at the time such transfer or
disposition is made. The record on
Form 4473(LV) shall show the date of
receipt, the name and address or the
name and license number of the person
from whom received, the name of the
manufacturer and importer (if any),
the model, serial number, type, and
caliber or gauge of the firearm.
(c) Each licensed dealer maintaining
firearms acquisition and disposition
records pursuant to this section shall
retain Form 4473(LV), Part I or II, reflecting firearms possessed by such
business in chronological (by date of
receipt) or numerical (by transaction
serial number) order. Forms 4473(LV)
reflecting the licensee’s sale or disposition of firearms shall be retained in alphabetical (by name of purchaser),
chronological (by date of disposition)
or numerical (by transaction serial
number) order.
(d) A licensed dealer maintaining
records pursuant to this section shall
record the sale or other disposition of a
firearm to another licensee by entering
on the Form 4473(LV), Part I, associated with such firearm, the name and
license number of the person to whom
transferred and by signing and dating
the form.
(e) A licensed dealer shall obtain the
Form 4473(LV), Part I, associated with
the firearm in lieu of a Form 4473 and
comply with the requirements specified
in § 478.124(c) prior to making an overthe-counter transfer of a firearm to a
nonlicensee:
(1) Who is a resident of the State in
which the licensee’s business premises
is located,
(2) Who is not a resident of the State
in which the licensee’s business premises is located and the firearm is a
shotgun or rifle and the transfer is
under the provisions of § 478.96(c), or
(3) Who is not a resident of the State
in which the licensee’s business premises is located and who is acquiring the
firearm by loan or rental for temporary
use for lawful sporting purposes.
(f) A licensed dealer shall obtain the
Form 4473(LV), Part II, associated with
the firearm in lieu of a Form 4473 and
comply with the requirements specified

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]

erowe on DSK5CLS3C1PROD with CFR

§ 478.124a

§ 478.124a Firearms transaction record
in lieu of record of receipt and disposition.
(a) A licensed dealer acquiring firearms after August 1, 1988 and contemplating the disposition of not more
than 50 firearms within a succeeding
12-month period to licensees or nonlicensees may maintain a record of the
acquisition and disposition of such firearms on a firearms transaction record,
Form 4473(LV), Part I or II, in lieu of
the records prescribed by § 478.125. Such
12-month period shall commence from
the date the licensed dealer first
records the purchase or other acquisition of a firearm on Form 4473(LV) pursuant to this section. A licensed dealer
who maintains records pursuant to this
section, but whose firearms dispositions exceed 50 firearms within such 12month period, shall make and maintain
the acquisition and disposition records
required by § 478.125 with respect to
each firearm exceeding 50.
(b) Each licensed dealer maintaining
firearms acquisition and disposition
records pursuant to this section shall
record the purchase or other acquisition of a firearm on Form 4473(LV),
Part I or II, in accordance with the instructions on the form not later than
the close of the next business day following the date of such purchase or acquisition. However, when disposition is
made of a firearm before the close of
the next business day after the receipt
of that firearm, the licensed dealer
making such disposition shall enter all

71

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00081

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

§ 478.125

27 CFR Ch. II (4–1–10 Edition)
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:

in § 478.124(f) prior to making a disposition of a firearm to a nonlicensee who
is purchasing or otherwise acquiring a
firearm by other than an over-thecounter transaction and who is a resident of the State in which the licensee’s business premises is located. If the
licensee’s record of the acquisition of
the firearm is, at the time of the disposition, being maintained on a Form
4473(LV), Part I, for over-the-counter
transactions, the licensee shall transfer the information relative to the receipt of the firearm, as required by
paragraph (b) of this section, to Form
4473(LV), Part II. The corresponding
form 4473(LV), Part I, may then be destroyed.
[T.D. ATF–273, 53 FR 24687, June 30, 1988, as
amended by T.D. ATF–415, 63 FR 58280, Oct.
29, 1998]

§ 478.125 Record of receipt and disposition.
(a) Armor piercing ammunition sales by
licensed collectors to nonlicensees. The

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

erowe on DSK5CLS3C1PROD with CFR

Known

Driver’s license

and shall show the name of the manufacturer, the caliber or gauge, the
quantity, the name and address of the
entity to which the armor piercing ammunition was transferred, and the date
of the transaction. Such information
shall be recorded under the format prescribed by § 478.122(b). Each licensed
dealer disposing of armor piercing ammunition pursuant to § 478.99(e) shall
also maintain a record showing the
date of acquisition of such ammunition
which shall be filed in an orderly manner separate from other commercial
records maintained and be readily
available for inspection. The records
required by this paragraph 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.

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 provisions 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
ammunition from a licensed collector
to another licensee shall be recorded
and maintained in the manner prescribed in § 478.122(b) for importers: Provided, That the license number of the
transferee may be recorded in lieu of
the transferee’s address.
(c) Armor piercing ammunition sales by
licensed dealers to governmental entities.
A record of armor piercing ammunition
disposed of by a licensed dealer to a
governmental
entity
pursuant
to
§ 478.99(e) shall be maintained by the licensed dealer on the licensed premises

72

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00082

Other type
(specify)

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

Bureau of Alcohol, Tobacco, Firearms, and Explosives, Justice
(d) Commercial records of armor piercing ammunition transactions. When a
commercial record is made at the time
of sale or other disposition of armor
piercing ammunition, and such record
contains all information required by
the bound record prescribed by paragraph (a) of this section, the licensed
collector transferring the armor piercing ammunition may, for a period not
exceeding 7 days following the date of
such transfer, delay making the required entry into such bound record:
Provided, That the commercial record
pertaining to the transfer is:
(1) Maintained by the licensed collector separate from other commercial
documents maintained by such licensee, and
(2) Is readily available for inspection
on the licensed premises until such
time as the required entry into the
bound record is made.
(e) Firearms receipt and disposition by
dealers. Except as provided in § 478.124a
with respect to alternate records for
the receipt and disposition of firearms
by dealers, each licensed dealer shall
enter into a record each receipt and
disposition of firearms. In addition, before commencing or continuing a firearms business, each licensed dealer
shall inventory the firearms possessed
for such business and shall record same
in the record required by this paragraph. The record required by this
paragraph shall be maintained in
bound form under the format prescribed below. The purchase or other
acquisition of a firearm shall, except as
provided in paragraph (g) of this sec-

§ 478.125

tion, be recorded not later than the
close of the next business day following
the date of such purchase or acquisition. The record shall show the date of
receipt, the name and address or the
name and license number of the person
from whom received, the name of the
manufacturer and importer (if any),
the model, serial number, type, and the
caliber or gauge of the firearm. The
sale or other disposition of a firearm
shall be recorded by the licensed dealer
not later than 7 days following the date
of such transaction. When such disposition is made to a nonlicensee, the firearms transaction record, Form 4473, obtained by the licensed dealer shall be
retained, until the transaction is recorded, separate from the licensee’s
Form 4473 file and be readily available
for inspection. When such disposition is
made to a licensee, the commercial
record of the transaction shall be retained, until the transaction is recorded, separate from other commercial documents maintained by the licensed dealer, and be readily available
for inspection. The record shall show
the date of the sale or other disposition
of each firearm, the name and address
of the person to whom the firearm is
transferred, or the name and license
number of the person to whom transferred if such person is a licensee, or
the firearms transaction record, Form
4473, serial number if the licensed dealer transferring the firearm serially
numbers the Forms 4473 and files them
numerically. The format required for
the record of receipt and disposition of
firearms is as follows:

FIREARMS ACQUISITION AND DISPOSITION RECORD
Description of firearm

erowe on DSK5CLS3C1PROD with CFR

Manufacturer
and/or Importer

Model

Serial No.

Receipt

Type

Caliber or
gauge

Date

(f) Firearms receipt and disposition by
licensed collectors. Each licensed collector shall enter into a record each receipt and disposition of firearms curios
or relics. The record required by this
paragraph shall be maintained in
bound form under the format prescribed below. The purchase or other

Name and
address or
name and
license No.

Disposition

Date

Name

Address or license
No. if licensee, or
Form 4473 Serial
No. if Forms 4473
filed numerically

acquisition of a curio or relic shall, except as provided in paragraph (g) of
this section, be recorded not later than
the close of the next business day following the date of such purchase or
other acquisition. The record shall
show the date of receipt, the name and

73

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00083

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

§ 478.125

27 CFR Ch. II (4–1–10 Edition)

address or the name and license number of the person from whom received,
the name of the manufacturer and importer (if any), the model, serial number, type, and the caliber or gauge of
the firearm curio or relic. The sale or
other disposition of a curio or relic
shall be recorded by the licensed collector not later than 7 days following
the date of such transaction. When
such disposition is made to a licensee,
the commercial record of the transaction shall be retained, until the
transaction is recorded, separate from
other commercial documents maintained by the licensee, and be readily
available for inspection. The record
shall show the date of the sale or other
disposition of each firearm curio or
relic, the name and address of the person to whom the firearm curio or relic
is transferred, or the name and license
number of the person to whom transferred if such person is a licensee, and
the date of birth of the transferee if
other than a licensee. In addition, the
licensee shall—
(1) Cause the transferee, if other than
a licensee, to be identified in any manner customarily used in commercial
transactions (e.g., a driver’s license),

and note on the record the method
used, and
(2) In the case of a transferee who is
an alien legally in the United States
and who is other than a licensee—
(i) Verify the identity of the transferee by examining an identification
document (as defined in § 478.11), and
(ii) Cause the transferee to present
documentation establishing that the
transferee is a resident of the State (as
defined in § 478.11) in which the licensee’s business premises is located if the
firearm curio or relic is other than a
shotgun or rifle, and note on the record
the documentation used or 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 if
the firearm curio or relic is a shotgun
or rifle and shall note on the record the
documentation used. Examples of acceptable documentation include utility
bills or a lease agreement which show
that the transferee has resided in the
State continuously for at least 90 days
prior to the transfer of the firearm
curio or relic.
(3) The format required for the record
of receipt and disposition of firearms
by collectors is as follows:

FIREARMS COLLECTORS ACQUISITION AND DISPOSITION RECORD
Description of firearm

erowe on DSK5CLS3C1PROD with CFR

Manufacturer
and/or importer

Model

Serial
No.

Type

Receipt

Caliber
or
gauge

Date

Disposition

Name
and address or
name
and license
No.

(g) Commercial records of firearms received. When a commercial record is
held by a licensed dealer or licensed
collector showing the acquisition of a
firearm or firearm curio or relic, and
such record contains all acquisition information required by the bound record
prescribed by paragraphs (e) and (f) of
this section, the licensed dealer or licensed collector acquiring such firearm
or curio or relic, may, for a period not

Date

Name
and address or
name and
license
No.

Date of
birth if
nonlicensee

Driver’s license No.
or other
identification
if nonlicensee

exceeding 7 days following the date of
such acquisition, delay making the required entry into such bound record:
Provided, That the commercial record
is, until such time as the required
entry into the bound record is made, (1)
maintained by the licensed dealer or licensed collector separate from other
commercial documents maintained by
such licensee, and (2) readily available
for inspection on the licensed premises:

74

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00084

For transfers to
aliens, documentation
used to establish residency

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

Bureau of Alcohol, Tobacco, Firearms, and Explosives, Justice
Provided further, That when disposition
is made of a firearm or firearm curio or
relic not entered in the bound record
under the provisions of this paragraph,
the licensed dealer or licensed collector
making such disposition shall enter all
required acquisition information regarding the firearm or firearm curio or
relic in the bound record at the time
such transfer or disposition is made.
(h) Alternate records. Notwithstanding
the provisions of paragraphs (a), (e),
and (f) of this section, the Director of
Industry Operations may authorize alternate records to be maintained by a
licensed dealer or licensed collector to
record the acquisition and disposition
of firearms or curios or relics and the
disposition of armor piercing ammunition when it is shown by the licensed
dealer or the licensed collector that
such alternate records will accurately
and readily disclose the required information. A licensed dealer or licensed
collector 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
dealer or licensed collector until approval in such regard is received from
the Director of Industry Operations.
(i) Requirements for importers and manufacturers. Each licensed importer and
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.

§ 478.125a
tion.

firearms

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

75

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00085

collec-

(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,
(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)

erowe on DSK5CLS3C1PROD with CFR

Personal

§ 478.125a

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

§ 478.126

27 CFR Ch. II (4–1–10 Edition)
DISPOSITION RECORD OF PERSONAL FIREARMS
Description of firearm

Manufacturer and/
or importer

Model

Serial No.

Disposition
Caliber or
gauge

Type

Date of birth if nonlicensee

proval in such regard is received from
the Director of Industry Operations.

(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
licensed manufacturers, licensed importers, and licensed dealers.

(Approved by the Office of Management and
Budget under control number 1140–0032)
[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; ATF–11F,
73 FR 57242, Oct. 2, 2008]

§ 478.126a Reporting multiple sales or
other disposition of pistols and revolvers.

(Approved by the Office of Management and
Budget under control number 1140–0032)

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
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.

[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; ATF–11F, 73 FR 57242, Oct. 2, 2008]

§ 478.126 Furnishing transaction information.

erowe on DSK5CLS3C1PROD with CFR

Date

Name and address (business
address if licensee)

(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,
submit on Form 4483, 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 ap-

Example. 1. A licensee sells a pistol and revolver in a single transaction to an unlicensed person. This is a multiple sale and

76

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00086

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

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

§ 478.128 False statement or representation.
(a) Any person who knowingly makes
any false statement or representation
in applying for any license or exemption or relief from disability, under the
provisions of the Act, shall be fined not
more than $5,000 or imprisoned not
more than 5 years, or both.
(b) Any person other than a licensed
manufacturer, licensed importer, licensed dealer, or licensed collector who
knowingly makes any false statement
or representation with respect to any
information required by the provisions
of the Act or this part to be kept in the
records of a person licensed under the
Act or this part shall be fined not more
than $5,000 or imprisoned not more
than 5 years, or both.
(c) Any licensed manufacturer, licensed importer, licensed dealer, or licensed collector who knowingly makes
any false statement or representation
with respect to any information required by the provisions of the Act or
this part to be kept in the records of a
person licensed under the Act or this
part shall be fined not more than $1,000
or imprisoned not more than 1 year, or
both.

(Approved by the Office of Management and
Budget under control number 1140–0003)
[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; 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
records to other responsible authority,
the Chief, Federal Firearms Licensing
Center may arrange for the delivery of
the records required by this subpart to
such authority: Provided further, That
where a licensed business is discontinued and succeeded by a new licensee,
the records may be delivered within 30
days following the business discontinuance to the ATF Out-of-Business
Records Center or to any ATF office in
the division in which the business was
located.
erowe on DSK5CLS3C1PROD with CFR

§ 478.129

[T.D. ATF–270, 53 FR 10505, Mar. 31, 1988]

§ 478.129

Record retention.

(a) Records prior to Act. Licensed importers and licensed manufacturers
may dispose of records of sale or other
disposition of firearms prior to December 16, 1968. Licensed dealers and licensed collectors may dispose of all
records of firearms transactions that
occurred prior to December 16, 1968.
(b) Firearms transaction record. Licensees shall retain each Form 4473 and
Form 4473(LV) for a period of not less
than 20 years after the date of sale or
disposition. Where a licensee has initiated a NICS check for a proposed firearms transaction, but the sale, delivery, or transfer of the firearm is not
made, the licensee shall record any
transaction number on the Form 4473,
and retain the Form 4473 for a period of
not less than 5 years after the date of
the NICS inquiry. Forms 4473 shall be
retained in the licensee’s records as
provided in § 478.124(b): Provided, That
Forms 4473 with respect to which a

[T.D. ATF–290, 54 FR 53055, Dec. 27, 1989, as
amended by T.D. ATF–363, 60 FR 17455, Apr.
6, 1995; ATF–11F, 73 FR 57242, Oct. 2, 2008]

77

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00087

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

§ 478.131

27 CFR Ch. II (4–1–10 Edition)
of not less than 5 years after the date
of sale or other disposition.

sale, delivery or transfer did not take
place shall be separately retained in alphabetical (by name of transferee) or
chronological (by date of transferee’s
certification) order.
(c) Statement of intent to obtain a
handgun, reports of multiple sales or
other disposition of pistols and revolvers,
and reports of theft or loss of firearms. Licensees shall retain each Form 5300.35
(Statement of Intent to Obtain a Handgun(s)) for a period of not less than 5
years after notice of the intent to obtain the handgun was forwarded to the
chief law enforcement officer, as defined in § 478.150(c). Licensees shall retain each copy of Form 3310.4 (Report
of Multiple Sale or Other Disposition
of Pistols and Revolvers) for a period of
not less than 5 years after the date of
sale or other disposition. Licensees
shall retain each copy of Form 3310.11
(Federal Firearms Licensee Theft/Loss
Report) for a period of not less than 5
years after the date the theft or loss
was reported to ATF.
(d) Records of importation and manufacture. Licensees will maintain permanent records of the importation, manufacture, or other acquisition of firearms, including ATF Forms 6 and 6A as
required by subpart G of this part. Licensed importers’ records and licensed
manufacturers’ records of the sale or
other disposition of firearms after December 15, 1968, shall be retained
through December 15, 1988, after which
records of transactions over 20 years of
age may be discarded.
(e) Records of dealers and collectors
under the Act. The records prepared by
licensed dealers and licensed collectors
under the Act of the sale or other disposition of firearms and the corresponding record of receipt of such
firearms shall be retained through December 15, 1988, after which records of
transactions over 20 years of age may
be discarded.
(f) Retention of records of transactions
in semiautomatic assault weapons. The
documentation required by §§ 478.40(c)
and 478.132 shall be retained in the licensee’s permanent records for a period

(Paragraph (b) approved by the Office of
Management and Budget under control number 1512–0544; Paragraph (c) approved by the
Office of Management and Budget under control numbers 1512–0520, 1512–0006, and 1512–
0524; Paragraph (f) approved by the Office of
Management and Budget under control number 1512–0526; all other recordkeeping approved by the Office of Management and
Budget under control number 1512–0129)
[T.D. ATF–208, 50 FR 26704, June 28, 1985 and
correctly designated at 50 FR 35081, Aug. 29,
1985, as amended by T.D. ATF–273, 53 FR
24687, June 30, 1988; T.D. ATF–361, 60 FR
10787, Feb. 27, 1995; T.D. ATF–363, 60 FR 17455,
Apr. 6, 1995; T.D. ATF–415, 63 FR 58280, Oct.
29, 1998; T.D. ATF–426, 65 FR 38201, June 20,
2000]

§ 478.131 Firearms transactions not
subject to a NICS check.
(a)(1) A licensed importer, licensed
manufacturer, or licensed dealer whose
sale, delivery, or transfer of a firearm
is made pursuant to the alternative
provisions of § 478.102(d) and is not subject to the NICS check prescribed by
§ 478.102(a) shall maintain the records
required by paragraph (a) of this section.
(2) If the transfer is pursuant to a
permit or license in accordance with
§ 478.102(d)(1), the licensee shall either
retain a copy of the purchaser’s permit
or license and attach it to the firearms
transaction record, Form 4473, or
record on the firearms transaction
record, Form 4473, any identifying
number, the date of issuance, and the
expiration date (if provided) from the
permit or license.
(3) If the transfer is pursuant to a
certification by ATF in accordance
with §§ 478.102(d)(3) and 478.150, the licensee shall maintain the certification
as part of the records required to be
kept under this subpart and for the period prescribed for the retention of
Form 5300.35 in § 478.129(c).
(b) The requirements of this section
shall be in addition to any other recordkeeping requirements contained in
this part.
(Approved by the Office of Management and
Budget under control number 1140–0045)
[T.D. ATF–415, 63 FR 58280, Oct. 29, 1998, as
amended by ATF–11F, 73 FR 57242, Oct. 2,
2008]

78

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00088

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

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

acquired for personal use or for purposes of transfer or resale.

§ 478.132 Dispositions
of
semiautomatic assault weapons and large capacity ammunition feeding devices
to law enforcement officers for official use and to employees or contractors of nuclear facilities.

erowe on DSK5CLS3C1PROD with CFR

§ 478.134

(Approved by the Office of Management and
Budget under control number 1140–0041)
[T.D. ATF–396, 63 FR 12646, Mar. 16, 1998, as
amended by ATF–11F, 73 FR 57242, Oct. 2,
2008]

Licensed manufacturers, licensed importers, and licensed dealers in semiautomatic assault weapons, as well as
persons who manufacture, import, or
deal in large capacity ammunition
feeding devices, may transfer such
weapons and devices manufactured
after September 13, 1994, to law enforcement officers and to employees or
contractors of nuclear facilities with
the following documentation:
(a) Law enforcement officers. (1) A
written statement from the purchasing
officer, under penalty of perjury, stating that the weapon or device is being
purchased for use in performing official
duties and that the weapon or device is
not being acquired for personal use or
for purposes of transfer or resale; and
(2) A written statement from a supervisor of the purchasing officer, on
agency letterhead, under penalty of
perjury, stating that the purchasing officer is acquiring the weapon or device
for use in official duties, that the firearm is suitable for use in performing
official duties, and that the weapon or
device is not being acquired for personal use or for purposes of transfer or
resale.
(b) Employees or contractors of nuclear
facilities. (1) Evidence that the employee is employed by a nuclear facility licensed pursuant to 42 U.S.C. 2133
or evidence that the contractor has a
valid contract with such a facility.
(2) A written statement from the purchasing employee or contractor under
penalty of perjury, stating that the
weapon or device is being purchased for
one of the purposes authorized in
§§ 478.40(b)(7) and 478.40(b)(3), i.e., onsite physical protection, on-site or offsite training, or off-site transportation
of nuclear materials.
(3) A written statement from a supervisor of the purchasing employee or
contractor, on agency or company letterhead, under penalty of perjury, stating that the purchasing employee or
contractor is acquiring the weapon or
device for use in official duties, and
that the weapon or device is not being

§ 478.133 Records of transactions in
semiautomatic assault weapons.
The evidence specified in § 478.40(c),
relating to transactions in semiautomatic assault weapons, shall be retained in the permanent records of the
manufacturer or dealer and in the
records of the licensee to whom the
weapons are transferred.
(Approved by the Office of Management and
Budget under control number 1140–0041)
[T.D. ATF–363, 60 FR 17455, Apr. 6, 1995, as
amended by ATF–11F, 73 FR 57242, Oct. 2,
2008]

§ 478.134 Sale of firearms to law enforcement officers.
(a) Law enforcement officers purchasing firearms for official use who
provide the licensee with a certification on agency letterhead, signed by
a person in authority within the agency (other than the officer purchasing
the firearm), stating that the officer
will use the firearm in official duties
and that a records check reveals that
the purchasing officer has no convictions for misdemeanor crimes of domestic violence are not required to
complete Form 4473 or Form 5300.35.
The law enforcement officer purchasing the firearm may purchase a
firearm from a licensee in another
State, regardless of where the officer
resides or where the agency is located.
(b)(1) The following individuals are
considered to have sufficient authority
to certify that law enforcement officers purchasing firearms will use the
firearms in the performance of official
duties:
(i) In a city or county police department, the director of public safety or
the chief or commissioner of police.
(ii) In a sheriff’s office, the sheriff.
(iii) In a State police or highway patrol department, the superintendent or
the supervisor in charge of the office to
which the State officer or employee is
assigned.

79

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00089

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

§ 478.141

27 CFR Ch. II (4–1–10 Edition)

(iv) In Federal law enforcement offices, the supervisor in charge of the office to which the Federal officer or employee is assigned.
(2) An individual signing on behalf of
the person in authority is acceptable,
provided there is a proper delegation of
authority.
(c) Licensees are not required to prepare a Form 4473 or Form 5300.35 covering sales of firearm made in accordance with paragraph (a) of this section
to law enforcement officers for official
use. However, disposition to the officer
must be entered into the licensee’s permanent records, and the certification
letter must be retained in the licensee’s files.

firearm or ammunition determined by
the Director to be generally recognized
as particularly suitable for sporting
purposes and intended for the personal
use of such member or club. Before
making a shipment of firearms or ammunition under the provisions of this
paragraph, a licensed importer, licensed manufacturer, or licensed dealer may submit a written request, in duplicate, to the Director for a determination by the Director whether such
shipment would constitute a violation
of the Act or any other Federal law, or
whether the firearm or ammunition is
considered by the Director to be generally recognized as particularly suitable for sporting purposes.
(d) The transportation, shipment, receipt, possession, or importation of any
antique firearm.

[T.D. ATF–401, 63 FR 35523, June 30, 1998]

Subpart I—Exemptions, Seizures,
and Forfeitures

erowe on DSK5CLS3C1PROD with CFR

§ 478.141

[33 FR 18555, Dec. 14, 1968. Redesignated at 40
FR 10835, Apr. 15, 1975, and amended by T.D.
ATF–241, 51 FR 39628, Oct. 29, 1986; T.D. ATF–
270, 53 FR 10505, Mar. 31, 1988; T.D. ATF–313,
56 FR 32509, July 17, 1991; T.D. ATF–401, 63
FR 35523, June 30, 1998]

General.

With the exception of §§ 478.32(a)(9)
and (d)(9) and 478.99(c)(9), the provisions of this part shall not apply with
respect to:
(a) The transportation, shipment, receipt, possession, or importation of any
firearm or ammunition imported for,
sold or shipped to, or issued for the use
of, the United States or any department or agency thereof or any State or
any department, agency, or political
subdivision thereof.
(b) The shipment or receipt of firearms or ammunition when sold or
issued by the Secretary of the Army
pursuant to section 4308 of Title 10,
U.S.C., and the transportation of any
such firearm or ammunition carried
out to enable a person, who lawfully received such firearm or ammunition
from the Secretary of the Army, to engage in military training or in competitions.
(c) The shipment, unless otherwise
prohibited by the Act or any other Federal law, by a licensed importer, licensed manufacturer, or licensed dealer to a member of the U.S. Armed
Forces on active duty outside the
United States or to clubs, recognized
by the Department of Defense, whose
entire membership is composed of such
members of the U.S. Armed Forces, and
such members or clubs may receive a

§ 478.142 Effect
of
pardons
expunctions of convictions.

(a) A pardon granted by the President of the United States regarding a
Federal conviction for a crime punishable by imprisonment for a term exceeding 1 year shall remove any disability which otherwise would be imposed by the provisions of this part
with respect to that conviction.
(b) A pardon granted by the Governor
of a State or other State pardoning authority or by the pardoning authority
of a foreign jurisdiction with respect to
a conviction, or any expunction, reversal, setting aside of a conviction, or
other proceeding rendering a conviction nugatory, or a restoration of civil
rights shall remove any disability
which otherwise would be imposed by
the provisions of this part with respect
to the conviction, unless:
(1) The pardon, expunction, setting
aside, or other proceeding rendering a
conviction nugatory, or restoration of
civil rights expressly provides that the
person may not ship, transport, possess
or receive firearms; or
(2) The pardon, expunction, setting
aside, or other proceeding rendering a
conviction nugatory, or restoration of

80

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00090

and

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

Bureau of Alcohol, Tobacco, Firearms, and Explosives, Justice
civil rights did not fully restore the
rights of the person to possess or receive firearms under the law of the jurisdiction where the conviction occurred.

(2) Written consent to examine and
obtain copies of records and to receive
statements and information regarding
the applicant’s background, including
records, statements and other information concerning employment, medical
history, military service, and criminal
record;
(3) In the case of an applicant under
indictment, a copy of the indictment or
information;
(4) In the case of an applicant having
been convicted of a crime punishable
by imprisonment for a term exceeding
1 year, a copy of the indictment or information on which the applicant was
convicted, the judgment of conviction
or record of any plea of nolo
contendere or plea of guilty or finding
of guilt by the court, and any pardon,
expunction, setting aside or other
record purporting to show that the
conviction was rendered nugatory or
that civil rights were restored;
(5) In the case of an applicant who
has been adjudicated a mental defective or committed to a mental institution, a copy of the order of a court,
board, commission, or other lawful authority that made the adjudication or
ordered the commitment, any petition
that sought to have the applicant so
adjudicated or committed, any medical
records reflecting the reasons for commitment and diagnoses of the applicant, and any court order or finding of
a court, board, commission, or other
lawful authority showing the applicant’s discharge from commitment,
restoration of mental competency and
the restoration of rights;
(6) In the case of an applicant who
has been discharged from the Armed
Forces under dishonorable conditions,
a copy of the applicant’s summary of
service record (Department of Defense
Form 214), charge sheet (Department of
Defense Form 458), and final court martial order;
(7) In the case of an applicant who,
having been a citizen of the United
States, has renounced his or her citizenship, a copy of the formal renunciation of nationality before a diplomatic or consular officer of the United
States in a foreign state or before an
officer designated by the Attorney
General when the United States was in

[T.D. ATF–270, 53 FR 10505, Mar. 31, 1988]

§ 478.143 Relief from disabilities incurred by indictment.
A licensed importer, licensed manufacturer, licensed dealer, or licensed
collector who is indicted for a crime
punishable by imprisonment for a term
exceeding 1 year may, notwithstanding
any other provision of the Act, continue operations pursuant to his existing license during the term of such indictment and until any conviction pursuant to the indictment becomes final:
Provided, That if the term of the license expires during the period between the date of the indictment and
the date the conviction thereunder becomes final, such importer, manufacturer, dealer, or collector must file a
timely application for the renewal of
his license in order to continue operations. Such application shall show
that the applicant is under indictment
for a crime punishable by imprisonment for a term exceeding 1 year.

erowe on DSK5CLS3C1PROD with CFR

§ 478.144

§ 478.144 Relief from disabilities under
the Act.
(a) Any person may make application
for relief from the disabilities under
section 922 (g) and (n) of the Act (see
§ 478.32).
(b) An application for such relief
shall be filed, in triplicate, with the Director. It shall include the information
required by this section and such other
supporting data as the Director and the
applicant deem appropriate.
(c) Any record or document of a court
or other government entity or official
required by this paragraph to be furnished by an applicant in support of an
application for relief shall be certified
by the court or other government entity or official as a true copy. An application shall include:
(1) In the case of an applicant who is
an individual, a written statement
from each of 3 references, who are not
related to the applicant by blood or
marriage and have known the applicant for at least 3 years, recommending
the granting of relief;

81

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00091

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

§ 478.144

27 CFR Ch. II (4–1–10 Edition)

a state of war (see 8 U.S.C. 1481(a) (5)
and (6)); and
(8) In the case of an applicant who
has been convicted of a misdemeanor
crime of domestic violence, a copy of
the indictment or information on
which the applicant was convicted, the
judgment of conviction or record of
any plea of nolo contendere or plea of
guilty or finding of guilt by the court,
and any pardon, expunction, setting
aside or other record purporting to
show that the conviction was rendered
nugatory or that civil rights were restored.
(d) The Director may grant relief to
an applicant if it is established to the
satisfaction of the Director that the
circumstances regarding the disability,
and the applicant’s record and reputation, are such that the applicant will
not be likely to act in a manner dangerous to public safety, and that the
granting of the relief would not be contrary to the public interest. The Director will not ordinarily grant relief if
the applicant has not been discharged
from parole or probation for a period of
at least 2 years. Relief will not be
granted to an applicant who is prohibited from possessing all types of firearms by the law of the State where
such applicant resides.
(e) In addition to meeting the requirements of paragraph (d) of this section, an applicant who has been adjudicated a mental defective or committed to a mental institution will not
be granted relief unless the applicant
was subsequently determined by a
court, board, commission, or other lawful authority to have been restored to
mental competency, to be no longer
suffering from a mental disorder, and
to have had all rights restored.
(f) Upon receipt of an incomplete or
improperly executed application for relief, the applicant shall be notified of
the deficiency in the application. If the
application is not corrected and returned within 30 days following the
date of notification, the application
shall be considered as having been
abandoned.
(g) Whenever the Director grants relief to any person pursuant to this section, a notice of such action shall be
promptly published in the FEDERAL

REGISTER, together with the reasons
therefor.
(h) A person who has been granted relief under this section shall be relieved
of any disabilities imposed by the Act
with respect to the acquisition, receipt,
transfer, shipment, transportation, or
possession of firearms or ammunition
and incurred by reason of such disability.
(i)(1) A licensee who incurs disabilities under the Act (see § 478.32(a)) during the term of a current license or
while the licensee has pending a license
renewal application, and who files an
application for removal of such disabilities, shall not be barred from licensed
operations for 30 days following the
date on which the applicant was first
subject to such disabilities (or 30 days
after the date upon which the conviction for a crime punishable by imprisonment for a term exceeding 1 year becomes final), and if the licensee files
the application for relief as provided by
this section within such 30-day period,
the licensee may further continue licensed operations during the pendency
of the application. A licensee who does
not file such application within such
30-day period shall not continue licensed operations beyond 30 days following the date on which the licensee
was first subject to such disabilities (or
30 days from the date the conviction
for a crime punishable by imprisonment for a term exceeding 1 year becomes final).
(2) In the event the term of a license
of a person expires during the 30-day
period specified in paragraph (i)(1) of
this section, or during the pendency of
the application for relief, a timely application for renewal of the license
must be filed in order to continue licensed operations. Such license application shall show that the applicant is
subject to Federal firearms disabilities,
shall describe the event giving rise to
such disabilities, and shall state when
the disabilities were incurred.
(3) A licensee shall not continue licensed operations beyond 30 days following the date the Director issues notification that the licensee’s applications for removal of disabilities has
been denied.

82

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00092

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

Bureau of Alcohol, Tobacco, Firearms, and Explosives, Justice
(4) When as provided in this paragraph a licensee may no longer continue licensed operations, any application for renewal of license filed by the
licensee during the pendency of the application for removal of disabilities
shall be denied by the Director of Industry Operations.

manufacturer, or licensed dealer for
any lawful purpose, and, notwithstanding any other provision of this
part, the licensed manufacturer, licensed importer, or licensed dealer
may return in interstate or foreign
commerce to that person the firearm
or a replacement firearm of the same
kind and type. See § 478.124(a) for requirements of a Form 4473 prior to return. A person not otherwise prohibited by Federal, State or local law may
ship a firearm curio or relic to a licensed collector for any lawful purpose,
and, notwithstanding any other provision of this part, the licensed collector
may return in interstate or foreign
commerce to that person the firearm
curio or relic.

[T.D. ATF–270, 53 FR 10506, Mar. 31, 1988, as
amended by T.D. ATF–313, 56 FR 32509, July
17, 1991; 56 FR 43649, Sept. 3, 1991; T.D. ATF–
401, 63 FR 35523, June 30, 1998]

§ 478.145

Research organizations.

The provisions of § 478.98 with respect
to the sale or delivery of destructive
devices, machine guns, short-barreled
shotguns, and short-barreled rifles
shall not apply to the sale or delivery
of such devices and weapons to any research organization designated by the
Director to receive same. A research
organization desiring such designation
shall submit a letter application, in duplicate, to the Director. Such application shall contain the name and address of the research organization, the
names and addresses of the persons directing or controlling, directly or indirectly, the policies and management of
such organization, the nature and purpose of the research being conducted, a
description of the devices and weapons
to be received, and the identity of the
person or persons from whom such devices and weapons are to be received.

[T.D. ATF–270, 53 FR 10507, Mar. 31, 1988]

§ 478.148 Armor piercing ammunition
intended for sporting or industrial
purposes.
The Director may exempt certain
armor piercing ammunition from the
requirements of this part. A person
who desires to obtain an exemption
under this section for any such ammunition which is primarily intended for
sporting purposes or intended for industrial purposes, including charges
used in oil and gas well perforating devices, shall submit a written request to
the Director. Each request shall be executed under the penalties of perjury
and contain a complete and accurate
description of the ammunition, the
name and address of the manufacturer
or importer, the purpose of and use for
which it is designed and intended, and
any photographs, diagrams, or drawings as may be necessary to enable the
Director to make a determination. The
Director may require that a sample of
the ammunition be submitted for examination and evaluation.

[T.D. ATF–270, 53 FR 10507, Mar. 31, 1988]

§ 478.146 Deliveries by mail to certain
persons.
The provisions of this part shall not
be construed as prohibiting a licensed
importer, licensed manufacturer, or licensed dealer from depositing a firearm
for conveyance in the mails to any officer, employee, agent, or watchman
who, pursuant to the provisions of section 1715 of title 18, U.S.C., is eligible
to receive through the mails pistols,
revolvers, and other firearms capable
of being concealed on the person, for
use in connection with his official duties.

erowe on DSK5CLS3C1PROD with CFR

§ 478.147

§ 478.149

[T.D. ATF–270, 53 FR 10507, Mar. 31, 1988]

§ 478.149 Armor piercing ammunition
manufactured or imported for the
purpose of testing or experimentation.
The provisions of §§ 478.37 and
478.99(d) with respect to the manufacture or importation of armor piercing
ammunition and the sale or delivery of
armor piercing ammunition by manufacturers and importers shall not apply

Return of firearm.

A person not otherwise prohibited by
Federal, State or local law may ship a
firearm to a licensed importer, licensed

83

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00093

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

§ 478.150

27 CFR Ch. II (4–1–10 Edition)
utility companies regarding the absence of telecommunications facilities
in the geographical area in which the
licensee’s business premises are located.
(c) For purposes of this section and
§ 478.129(c), the ‘‘chief law enforcement
officer’’ means the chief of police, the
sheriff, or an equivalent officer or the
designee of any such individual.

to the manufacture, importation, sale
or delivery of armor piercing ammunition for the purpose of testing or experimentation as authorized by the Director. A person desiring such authorization to receive armor piercing ammunition shall submit a letter application, in duplicate, to the Director.
Such application shall contain the
name and addresses of the persons directing or controlling, directly or indirectly, the policies and management of
the applicant, the nature or purpose of
the testing or experimentation, a description of the armor piercing ammunition to be received, and the identity
of the manufacturer or importer from
whom such ammunition is to be received. The approved application shall
be submitted to the manufacturer or
importer who shall retain a copy as
part of the records required by subpart
H of this part.

(Approved by the Office of Management and
Budget under control number 1140–0045)
[T.D. ATF–415, 63 FR 58280, Oct. 29, 1998, as
amended by ATF–11F, 73 FR 57242, Oct. 2,
2008]

§ 478.151 Semiautomatic rifles or shotguns for testing or experimentation.
(a) The provisions of § 478.39 shall not
apply to the assembly of semiautomatic rifles or shotguns for the purpose
of testing or experimentation as authorized by the Director.
(b) A person desiring authorization to
assemble nonsporting semiautomatic
rifles or shotguns shall submit a written request, in duplicate, to the Director. Each such request shall be executed under the penalties of perjury
and shall contain a complete and accurate description of the firearm to be assembled, and such diagrams or drawings as may be necessary to enable the
Director to make a determination. The
Director may require the submission of
the firearm parts for examination and
evaluation. If the submission of the
firearm parts is impractical, the person
requesting the authorization shall so
advise the Director and designate the
place where the firearm parts will be
available for examination and evaluation.

erowe on DSK5CLS3C1PROD with CFR

[T.D. ATF–270, 53 FR 10507, Mar. 31, 1988]

§ 478.150 Alternative to NICS in certain geographical locations.
(a) The provisions of § 478.102(d)(3)
shall be applicable when the Director
has certified that compliance with the
provisions of § 478.102(a)(1) is impracticable because:
(1) The ratio of the number of law enforcement officers of the State in
which the transfer is to occur to the
number of square miles of land area of
the State does not exceed 0.0025;
(2) The business premises of the licensee at which the transfer is to occur
are extremely remote in relation to the
chief law enforcement officer; and
(3) There is an absence of telecommunications facilities in the geographical area in which the business
premises are located.
(b) A licensee who desires to obtain a
certification under this section shall
submit a written request to the Director. Each request shall be executed
under the penalties of perjury and contain information sufficient for the Director to make such certification. Such
information shall include statistical
data, official reports, or other statements of government agencies pertaining to the ratio of law enforcement
officers to the number of square miles
of land area of a State and statements
of government agencies and private

(Paragraph (b) approved by the Office of
Management and Budget under control number 1140–0037)
[T.D. ATF–346, 58 FR 40590, July 29, 1993, as
amended by ATF–11F, 73 FR 57242, Oct. 2,
2008]

§ 478.152

Seizure and forfeiture.

(a) Any firearm or ammunition involved in or used in any knowing violation of subsections (a)(4), (a)(6), (f), (g),
(h), (i), (j), or (k) of section 922 of the

84

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00094

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

erowe on DSK5CLS3C1PROD with CFR

Bureau of Alcohol, Tobacco, Firearms, and Explosives, Justice
Act, or knowing importation or bringing into the United States or any possession thereof any firearm or ammunition in violation of section 922(l) of the
Act, or knowing violation of section 924
of the Act, or willful violation of any
other provision of the Act or of this
part, or any violation of any other
criminal law of the United States, or
any firearm or ammunition intended to
be used in any offense referred to in
paragraph (c) of this section, where
such intent is demonstrated by clear
and convincing evidence, shall be subject to seizure and forfeiture, and all
provisions of the Internal Revenue
Code of 1986 relating to the seizure, forfeiture, and disposition of firearms, as
defined in section 5845(a) of that Code,
shall, so far as applicable, extend to
seizures and forfeitures under the provisions of the Act: Provided, That upon
acquittal of the owner or possessor, or
dismissal of the charges against such
person other than upon motion of the
Government prior to trial, or lapse of
or court termination of the restraining
order to which he is subject, the seized
or relinquished firearms or ammunition shall be returned forthwith to the
owner or possessor or to a person delegated by the owner or possessor unless
the return of the firearms or ammunition would place the owner or possessor
or the delegate of the owner or possessor in violation of law. Any action
or proceeding for the forfeiture of firearms or ammunition shall be commenced within 120 days of such seizure.
(b) Only those firearms or quantities
of ammunition particularly named and
individually identified as involved in or
used in any violation of the provisions
of the Act or this part, or any other
criminal law of the United States or as
intended to be used in any offense referred to in paragraph (c) of this section, where such intent is demonstrated by clear and convincing evidence, shall be subject to seizure, forfeiture and disposition.
(c) The offenses referred to in paragraphs (a) and (b) of this section for
which firearms and ammunition intended to be used in such offenses are
subject to seizure and forfeiture are:
(1) Any crime of violence, as that
term is defined in section 924(c)(3) of
the Act;

§ 478.153

(2) Any offense punishable under the
Controlled Substances Act (21 U.S.C.
801 et seq.) or the Controlled Substances
Import and Export Act (21 U.S.C. 951 et
seq.);
(3) Any offense described in section
922(a)(1), 922(a)(3), 922(a)(5), or 922(b)(3)
of the Act, where the firearm or ammunition intended to be used in such offense is involved in a pattern of activities which includes a violation of any
offense described in section 922(a)(1),
922(a)(3), 922(a)(5), or 922(b)(3) of the
Act;
(4) Any offense described in section
922(d) of the Act where the firearm or
ammunition is intended to be used in
such offense by the transferor of such
firearm or ammunition;
(5) Any offense described in section
922(i), 922(j), 922(l), 922(n), or 924(b) of
the Act; and
(6) Any offense which may be prosecuted in a court of the United States
which involves the exportation of firearms or ammunition.
[T.D. ATF–270, 53 FR 10507, Mar. 31, 1988; Redesignated by T.D. ATF–354, 59 FR 7114, Feb.
14, 1994, and further redesignated by T.D.
ATF–361, 60 FR 10788, Feb. 27, 1995; T.D. ATF–
363, 60 FR 17455, Apr. 6, 1995]

§ 478.153 Semiautomatic assault weapons and large capacity ammunition
feeding devices manufactured or
imported for the purposes of testing
or experimentation.
The provisions of § 478.40 with respect
to the manufacture, transfer, or possession of a semiautomatic assault weapon, and § 478.40a with respect to large
capacity ammunition feeding devices,
shall not apply to the manufacture,
transfer, or possession of such weapons
or devices by a manufacturer or importer for the purposes of testing or experimentation as authorized by the Director. A person desiring such authorization shall submit a letter application, in duplicate, to the Director.
Such application shall contain the
name and addresses of the persons directing or controlling, directly or indirectly, the policies and management of
the applicant, the nature or purpose of
the testing or experimentation, a description of the weapons or devices to
be manufactured or imported, and the
source of the weapons or devices. The
approved application shall be retained

85

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00095

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106

§ 478.171

27 CFR Ch. II (4–1–10 Edition)
Subpart D—Special (Occupational) Taxes

as part of the records required by subpart H of this part.

479.31 Liability for tax.
479.32 Special (occupational) tax rates.
479.32a Reduced rate of tax for small importers and manufacturers.
479.33 Special exemption.
479.34 Special tax registration and return.
479.35 Employer identification number.
479.36 The special tax stamp, receipt for
special (occupational) taxes.
479.37 Certificates in lieu of stamps lost or
destroyed.
479.38 Engaging in business at more than
one location.
479.39 Engaging in more than one business
at the same location.
479.40 Partnership liability.
479.41 Single sale.

[T.D. ATF–363, 60 FR 17456, Apr. 6, 1995]

Subpart J [Reserved]
Subpart K—Exportation
§ 478.171 Exportation.
Firearms and ammunition shall be
exported in accordance with the applicable provisions of section 38 of the
Arms Export Control Act (22 U.S.C.
2778) and regulations thereunder. However, licensed manufacturers, licensed
importers, and licensed dealers exporting firearms shall maintain records
showing the manufacture or acquisition of the firearms as required by this
part and records showing the name and
address of the foreign consignee of the
firearms and the date the firearms
were exported. Licensed manufacturers
and licensed importers exporting armor
piercing ammunition and semiautomatic assault weapons manufactured
after September 13, 1994, shall maintain
records showing the name and address
of the foreign consignee and the date
the armor piercing ammunition or
semiautomatic assault weapons were
exported.

CHANGE OF OWNERSHIP
479.42 Changes through death of owner.
479.43 Changes through bankruptcy of
owner.
479.44 Change in partnership or unincorporated association.
479.45 Changes in corporation.
CHANGE OF BUSINESS LOCATION

479.47

Notice by taxpayer.
PENALTIES AND INTEREST

479.48 Failure to pay special (occupational)
tax.
479.49 Failure to register change or removal.
479.50 Delinquency.
479.51 Fraudulent return.

PART 479—MACHINE GUNS, DESTRUCTIVE DEVICES, AND CERTAIN OTHER FIREARMS

APPLICATION OF STATE LAWS
479.52

479.61
General.

Rate of tax.
APPLICATION TO MAKE A FIREARM

Subpart B—Definitions
479.11

State regulations.

Subpart E—Tax on Making Firearms

Subpart A—Scope of Regulations

479.62 Application to make.
479.63 Identification of applicant.
479.64 Procedure for approval of application.
479.65 Denial of application.
479.66 Subsequent transfer of firearms.
479.67 Cancellation of stamp.

Meaning of terms.

Subpart C—Administrative and
Miscellaneous Provisions

erowe on DSK5CLS3C1PROD with CFR

Notice by taxpayer.
CHANGE OF TRADE NAME

[T.D. ATF–270, 53 FR 10507, Mar. 31, 1988; T.D.
ATF–363, 60 FR 17456, Apr. 6, 1995]

Sec.
479.1

479.46

479.21 Forms prescribed.
479.22 Right of entry and examination.
479.23 Restrictive use of required information.
479.24 Destructive device determination.
479.25 Collector’s items.
479.26 Alternate methods or procedures;
emergency variations from requirements.

EXCEPTIONS TO TAX ON MAKING FIREARMS
479.68 Qualified manufacturer.
479.69 Making a firearm for the United
States.
479.70 Certain government entities.
REGISTRATION
479.71

Proof of registration.

86

VerDate Nov<24>2008

08:41 Apr 27, 2010

Jkt 220106

PO 00000

Frm 00096

Fmt 8010

Sfmt 8010

Y:\SGML\220106.XXX

220106