27 Cfr 478.127

§ 478.126a

27 CFR Ch. II (4–1–16 Edition)

submit on Form 5300.5, Report of Firearms Transactions, for the periods and
at the times specified in the letter
issued by the Director of Industry Operations, all record information required by this subpart, or such lesser
record information as the Director of
Industry Operations in his letter may
specify.
(b) The Director of Industry Operations may authorize the information
to be submitted in a manner other than
that prescribed in paragraph (a) of this
section when it is shown by a licensee
that an alternate method of reporting
is reasonably necessary and will not
unduly hinder the effective administration of this part. A licensee who proposes to use an alternate method of reporting shall submit a letter application, in duplicate, to the Director of Industry Operations and shall describe
the proposed alternate method of reporting and the need therefor. An alternate method of reporting shall not
be employed by the licensee until approval in such regard is received from
the Director of Industry Operations.

specified thereon and one copy to the
State police or to the local law enforcement agency in which the sale or
other disposition took place. Where the
State or local law enforcement officials
have notified the licensee that a particular official has been designated to
receive Forms 3310.4, the licensee shall
forward such forms to that designated
official. The licensee shall retain one
copy of Form 3310.4 and attach it to the
firearms transaction record, Form 4473,
executed upon delivery of the pistols or
revolvers.
Example. 1. A licensee sells a pistol and revolver in a single transaction to an unlicensed person. This is a multiple sale and
must be reported not later than the close of
business on the date of the transaction.
Example. 2. A licensee sells a pistol on Monday and sells a revolver on the following Friday to the same unlicensed person. This is a
multiple sale and must be reported not later
than the close of business on Friday. If the
licensee sells the same unlicensed person another pistol or revolver on the following
Monday, this would constitute an additional
multiple sale and must also be reported.
Example 3. A licensee maintaining business
hours on Monday through Saturday sells a
revolver to an unlicensed person on Monday
and sells another revolver to the same person on the following Saturday. This does not
constitute a multiple sale and need not be
reported since the sales did not occur during
five consecutive business days.

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

ehiers on DSK5VPTVN1PROD with CFR

[33 FR 18555, Dec. 14, 1968. Redesignated at 40
FR 16835, Apr. 15, 1975, and amended by T.D.
ATF–172, 49 FR 14942, Apr. 16, 1984; T.D. ATF–
11F, 73 FR 57242, Oct. 2, 2008; T.D. ATF 2013R–
9F, 79 FR 46692, Aug. 11, 2014]

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

§ 478.126a Reporting multiple sales or
other disposition of pistols and revolvers.
Each licensee shall prepare a report
of multiple sales or other disposition
whenever the licensee sells or otherwise disposes of, at one time or during
any five consecutive business days, two
or more pistols, or revolvers, or any
combination of pistols and revolvers
totaling two or more, to an unlicensed
person: Provided, That a report need
not be made where pistols or revolvers,
or any combination thereof, are returned to the same person from whom
they were received. The report shall be
prepared on Form 3310.4, Report of
Multiple Sale or Other Disposition of
Pistols and Revolvers. Not later than
the close of business on the day that
the multiple sale or other disposition
occurs, the licensee shall forward two
copies of Form 3310.4 to the ATF office

[T.D. ATF–16, 40 FR 19202, May 2, 1975, as
amended by T.D. ATF–172, 49 FR 14942, Apr.
16, 1984; T.D. ATF–270, 53 FR 10505, Mar. 31,
1988; T.D. ATF–354, 59 FR 7113, Feb. 14, 1994;
T.D. ATF–361, 60 FR 10787, Feb. 27, 1995; T.D.
ATF–11F, 73 FR 57242, Oct. 2, 2008]

§ 478.127 Discontinuance of business.
Where a licensed business is discontinued and succeeded by a new licensee,
the records prescribed by this subpart
shall appropriately reflect such facts
and shall be delivered to the successor.
Where discontinuance of the business is
absolute, the records shall be delivered
within 30 days following the business
discontinuance to the ATF Out-ofBusiness Records Center, 244 Needy
Road, Martinsburg, West Virginia
25405, or to any ATF office in the division in which the business was located:
Provided, however, Where State law or
local ordinance requires the delivery of

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

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
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

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

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

ehiers on DSK5VPTVN1PROD with CFR

§ 478.129

§ 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

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