27 CFR 478.125 Record of Receipt and Disposition

§ 478.125

27 CFR Ch. II (4–1–19 Edition)

officer, shall be retained by the licensee as a part of the records required
to be kept under this subpart.
(g) A licensee who sells or otherwise
disposes of a firearm to a nonlicensee
who is other than an individual, shall
obtain from the transferee the information required by this section from an
individual authorized to act on behalf
of the transferee. In addition, the licensee shall obtain from the individual
acting on behalf of the transferee a
written statement, executed under the
penalties of perjury, that the firearm is
being acquired for the use of and will
be the property of the transferee, and
showing the name and address of that
transferee.
(h) The requirements of this section
shall be in addition to any other recordkeeping requirement contained in
this part.
(i) A licensee may obtain, upon request, an emergency supply of Forms
4473 from any Director of Industry Operations. For normal usage, a licensee
should request a year’s supply from the
ATF Distribution Center (See § 478.21).

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

(Paragraph (c) approved by the Office of
Management and Budget under control numbers 1140–0045, 1140–0020, and 1140–0060; paragraph (f) approved by the Office of Management and Budget under control number 1140–
0021; all other recordkeeping approved by the
Office of Management and Budget under control number 1140–0020)
[33 FR 18555, Dec. 14, 1968, as amended by
T.D. ATF–172, 49 FR 14942, Apr. 16, 1984; T.D.
ATF–241, 51 FR 39625, Oct. 29, 1986; T.D. ATF–
270, 53 FR 10502, Mar. 31, 1988; T.D. ATF–389,
62 FR 19444, Apr. 21, 1997; T.D. ATF–415, 63 FR
58279, Oct. 29, 1998; T.D. ATF–471, 67 FR 5426,
Feb. 5, 2002; ATF–11F, 73 FR 57241, Oct. 2,
2008; ATF–24F and 22I, 77 FR 33630, 33634,
June 7, 2012]

DISPOSITION RECORD OF ARMOR PIERCING AMMUNITION
Purchaser
Date

Manufacturer

Caliber or
gauge

Quantity of
projectiles

Name and
address

Date of
birth

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

kpayne on VMOFRWIN702 with $$_JOB

Known

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

Driver’s license

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

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

§ 478.125

(e) Firearms receipt and disposition 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 section, 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:

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
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.
(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.

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§ 478.125

27 CFR Ch. II (4–1–19 Edition)
FIREARMS ACQUISITION AND DISPOSITION RECORD
Description of firearm

Manufacturer
and importer
(if any)

Model

Serial No.

Receipt

Type

Caliber or
gauge

(f) Firearms receipt and disposition by
licensed collectors. (1) 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
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
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

Date

Disposition

Name and
address or
name and
license No.

Date

Name

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

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 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.
(2) 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

kpayne on VMOFRWIN702 with $$_JOB

Manufacturer and
importer
(if any)

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
exceeding 7 days following the date of
such acquisition, delay making the re-

Date

Name and
address or
name and license No.

Date of birth
if non-licensee

quired 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:
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,

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Driver’s license No.
or other
identification
if non-licensee

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

facturer, 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:

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.
(Approved by the Office of Management and
Budget under control number 1140–0032)
[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; ATF–22I,
77 FR 33634, June 7, 2012; ATF–19 F, 79 FR
45092, Aug. 4, 2014; ATF 2015R–26, 81 FR 38071,
June 13, 2016]

§ 478.125a
tion.

Personal

firearms

§ 478.125a

collec-

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(a) Notwithstanding any other provision of this subpart, a licensed manu-

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