[Code of Federal Regulations]
[Title 27, Volume 1]
[Revised as of April 1, 2002]
From the U.S. Government Printing Office via GPO Access
[CITE: 27CFR178]
[Page 1131-1199]
TITLE 27--ALCOHOL, TOBACCO PRODUCTS AND FIREARMS
CHAPTER I--BUREAU OF ALCOHOL, TOBACCO AND FIREARMS, DEPARTMENT OF THE
TREASURY
PART 178--COMMERCE IN FIREARMS AND AMMUNITION
Subpart A--Introduction
Sec.
178.1 Scope of regulations.
178.2 Relation to other provisions of law.
Subpart B--Definitions
178.11 Meaning of terms.
Subpart C--Administrative and Miscellaneous Provisions
178.21 Forms prescribed.
178.22 Alternate methods or procedures; emergency variations from
requirements.
178.23 Right of entry and examination.
178.24 Compilation of State laws and published ordinances.
178.25 Disclosure of information.
178.25a Responses to requests for information.
178.26 Curio and relic determination.
178.27 Destructive device determination.
178.28 Transportation of destructive devices and certain firearms.
178.29 Out-of-State acquisition of firearms by nonlicenses.
178.29a Acquisition of firearms by nonresidents.
178.30 Out-of-State disposition of firearms by nonlicensees.
178.31 Delivery by common or contract carrier.
178.32 Prohibited shipment, transportation, possession, or receipt of
firearms and ammunition by certain persons.
178.33 Stolen firearms and ammunition.
178.33a Theft of firearms.
178.34 Removed, obliterated, or altered serial number.
178.35 Skeet, trap, target, and similar shooting activities.
178.36 Transfer or possession of machine guns.
178.37 Manufacture, importation and sale of armor piercing ammunition.
178.38 Transportation of firearms.
178.39 Assembly of semiautomatic rifles or shotguns.
178.39a Reporting theft or loss of firearms.
178.40 Manufacture, transfer, and possession of semiautomatic assault
weapons.
178.40a Transfer and possession of large capacity ammunition feeding
devices.
Subpart D--Licenses
178.41 General.
178.42 License fees.
178.43 License fee not refundable.
178.44 Original license.
178.45 Renewal of license.
178.46 Insufficient fee.
178.47 Issuance of license.
178.48 Correction of error on license.
178.49 Duration of license.
178.50 Locations covered by license.
178.51 License not transferable.
178.52 Change of address.
178.53 Change in trade name.
178.54 Change of control.
178.55 Continuing partnerships.
178.56 Right of succession by certain persons.
178.57 Discontinuance of business.
178.58 State or other law.
178.59 Abandoned application.
178.60 Certain continuances of business.
Subpart E--License Proceedings
178.71 Denial of an application for license.
178.72 Hearing after application denial.
178.73 Notice of revocation, suspension, or imposition of civil fine.
178.74 Request for hearing after notice of suspension, revocation, or
imposition of civil fine.
178.75 Service on applicant or licensee.
178.76 Representation at a hearing.
178.77 Designated place of hearing.
178.78 Operations by licensee after notice.
Subpart F--Conduct of Business
178.91 Posting of license.
178.92 How must licensed manufacturers and licensed importers identify
firearms, armor piercing ammunition, and large capacity
ammunition feeding devices?
178.93 Authorized operations by a licensed collector.
178.94 Sales or deliveries between licensees.
178.95 Certified copy of license.
178.96 Out-of-State and mail order sales.
178.97 Loan or rental of firearms.
178.98 Sales or deliveries of destructive devices and certain firearms.
178.99 Certain prohibited sales or deliveries.
178.100 Conduct of business away from licensed premises.
178.101 Record of transactions.
178.102 Sales or deliveries of firearms on and after November 30, 1998.
178.103 Posting of signs and written notification to purchasers of
handguns.
[[Page 1132]]
Subpart G--Importation
178.111 General.
178.112 Importation by a licensed importer.
178.113 Importation by other licensees.
178.113a Importation of firearm barrels by nonlicensees.
178.114 Importation by members of the U.S. Armed Forces.
178.115 Exempt importation.
178.116 Conditional importation.
178.117 Function outside a customs territory.
178.118 Importation of certain firearms classified as curios and
relics.
178.119 Importation of ammunition feeding devices.
178.120 Firearms or ammunition imported by or for a nonimmigrant alien.
Subpart H--Records
178.121 General.
178.122 Records maintained by importers.
178.123 Records maintained by manufacturers.
178.124 Firearms transaction record.
178.124a Firearms transaction record in lieu of record of receipt and
disposition.
178.125 Record of receipt and disposition.
178.125a Personal firearms collection.
178.126 Furnishing transaction information.
178.126a Reporting multiple sales or other disposition of pistols and
revolvers.
178.127 Discontinuance of business.
178.128 False statement or representation.
178.129 Record retention.
178.131 Firearms transactions not subject to a NICS check.
178.132 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.
178.133 Records of transactions in semiautomatic assault weapons.
178.134 Sale of firearms to law enforcement officers.
Subpart I--Exemptions, Seizures, and Forfeitures
178.141 General.
178.142 Effect of pardons and expunctions of convictions.
178.143 Relief from disabilities incurred by indictment.
178.144 Relief from disabilities under the Act.
178.145 Research organizations.
178.146 Deliveries by mail to certain persons.
178.147 Return of firearm.
178.148 Armor piercing ammunition intended for sporting or industrial
purposes.
178.149 Armor piercing ammunition manufactured or imported for the
purpose of testing or experimentation.
178.150 Alternative to NICS in certain geographical locations.
178.151 Semiautomatic rifles or shotguns for testing or
experimentation.
178.152 Seizure and forfeiture.
178.153 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
178.171 Exportation.
Authority: 5 U.S.C. 552(a); 18 U.S.C. 847, 921-930; 44 U.S.C.
3504(h).
Source: 33 FR 18555, Dec. 14, 1968, unless otherwise noted.
Redesignated at 40 FR 16835, Apr. 15, 1975.
Editorial Note: Nomenclature changes to part 178 appear by T.D. ATF-
411, 64 FR 17291, Apr. 9, 1999.
Subpart A--Introduction
Sec. 178.1 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;
[[Page 1133]]
(7) Exempt interstate and foreign commerce in firearms and
ammunition; and
(8) Restrictions on armor piercing ammunition.
[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]
Sec. 178.2 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 179 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 47 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
Sec. 178.11 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:
(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
[[Page 1134]]
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 recognized as coming within the meaning of the
term.
Chief, National Licensing Center. 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
[[Page 1135]]
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.
[[Page 1136]]
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;
(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
[[Page 1137]]
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 quasi- governmental 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
[[Page 1138]]
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).
(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
[[Page 1139]]
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,
[[Page 1140]]
(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.
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:
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.
[[Page 1141]]
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.
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.
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]
Editorial Note: For Federal Register citations affecting
Sec. 178.11, 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
Sec. 178.21 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, 7943 Angus Court, Springfield, Virginia 22153.
(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]
Sec. 178.22 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 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
[[Page 1142]]
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 written 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]
Sec. 178.23 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 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,
[[Page 1143]]
(2) For insuring compliance with the recordkeeping requirements of
this part:
(i) Not more than once during any 12-month 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
12-month 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]
Sec. 178.24 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 Office of the Federal Register,
800 North Capitol Street, NW., suite 700, Washington, DC. This
incorporation by reference was approved by the Director of the Federal
Register.
[T.D. ATF-270, 53 FR 10493, Mar. 31, 1988]
Sec. 178.25 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 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.
[T.D. ATF-270, 53 FR 10493, Mar. 31, 1988]
Sec. 178.25a 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
[[Page 1144]]
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 1-800-578-7223.
(Approved by the Office of Management and Budget under control number
1512-0387)
[T.D. ATF-363, 60 FR 17451, Apr. 6, 1996, as amended by T.D. ATF-396, 63
FR 12646, Mar. 16, 1998]
Sec. 178.26 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]
Sec. 178.27 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.
Sec. 178.28 Transportation of destructive devices and certain firearms.
(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;
(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,
short-barreled shotgun, or short-barreled rifle in interstate or foreign
commerce under the provisions of this section
[[Page 1145]]
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 179 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.
[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]
Sec. 178.29 Out-of-State acquisition of firearms by nonlicensees.
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 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
Sec. 178.96(c) and
(c) Shall not apply to the transportation or receipt of a firearm
obtained in conformity with the provisions of Secs. 178.30 and 178.97.
[T.D. ATF-270, 53 FR 10493, Mar. 31, 1988]
Sec. 178.29a 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]
Sec. 178.30 Out-of-State disposition of 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.
[T.D. ATF-313, 56 FR 32508, July 17, 1991; 57 FR 1205, Jan. 10, 1992]
Sec. 178.31 Delivery by common or contract carrier.
(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
[[Page 1146]]
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
who places firearms in the carrier's custody for the duration of the
trip.
[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]
Sec. 178.32 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 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--
[[Page 1147]]
(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
(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
[[Page 1148]]
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 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]
Sec. 178.33 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]
Sec. 178.33a 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]
Sec. 178.34 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]
Sec. 178.35 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.
Sec. 178.36 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
[[Page 1149]]
thereof. (See Part 179 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 179 of this
chapter).
[T.D. ATF-270, 53 FR 10494, Mar. 31, 1988]
Sec. 178.37 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 Sec. 178.149.
[T.D. ATF-270, 53 FR 10494, Mar. 31, 1988]
Sec. 178.38 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 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.
[T.D. ATF-270, 53 FR 10494, Mar. 31, 1988]
Sec. 178.39 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 Sec. 178.151; 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
(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]
[[Page 1150]]
Sec. 178.39a 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-
800-800-3855 (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
1512-0524)
[T.D. ATF-363, 60 FR 17451, Apr. 6, 1995]
Sec. 178.40 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;
(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 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 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 Sec. 178.153; 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).
(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
[[Page 1151]]
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 Sec. 178.132.
(Paragraph (c) approved by the Office of Management and Budget under
control number 1512-0526)
[T.D. ATF-363, 60 FR 17451, Apr. 6, 1995]
Sec. 178.40a 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 device 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 off-site 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 Sec. 178.153; 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 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
[[Page 1152]]
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 Sec. 178.132.
(Paragraph (c) approved by the Office of Management and Budget under
control number 1512-0526)
[T.D. ATF-363, 60 FR 17452, Apr. 6, 1995, as amended by T.D. ATF-383, 61
FR 39321, July 29, 1996]
Subpart D--Licenses
Sec. 178.41 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 Sec. 178.42), with ATF in
accordance with the instructions on the form (see Sec. 178.44), and,
pursuant to Sec. 178.47, receive the license required for such business
from the Chief, National Licensing Center. Except as provided in
Sec. 178.50, a license must be obtained for each business 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
Sec. 178.42), with ATF in accordance with the instructions on the form
(see Sec. 178.44), and pursuant to Sec. 178.47, receive from the Chief,
National 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.
(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,
[[Page 1153]]
or dealer under this part, he shall qualify as such. (See also
Sec. 178.93 of this part.)
(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-270, 53 FR 10494, Mar. 31, 1988; T.D. ATF-290,
54 FR 53054, Dec. 27, 1989]
Sec. 178.42 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.
(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]
Sec. 178.43 License fee not refundable.
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.
[T.D. ATF-270, 53 FR 10494, Mar. 31, 1988]
Sec. 178.44 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);
(iv) Be accompanied by a completed ATF Form 5300.37 (Certification
of Compliance with State and Local Law) and ATF Form 5300.36
(Notification of Intent to Apply for a Federal Firearms License); and
(v) Include the appropriate fee in the form of money order or check
made payable to the Bureau of Alcohol, Tobacco and Firearms.
(2) ATF Forms 7 (Firearms), ATF Forms 5300.37, and ATF Forms 5300.36
may be obtained by contacting any ATF office.
(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
[[Page 1154]]
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 be accompanied by a completed ATF Form
5300.37 and ATF Form 5300.36 and shall include the appropriate fee in
the form of a money order or check made payable to the Bureau of
Alcohol, Tobacco and Firearms. ATF Forms 7CR (Curios and Relics), ATF
Forms 5300.37, and ATF Forms 5300.36 may be obtained by contacting any
ATF office.
(Paragraphs (a) and (b) approved by the Office of Management and Budget
under control number 1512-0570)
[T.D. ATF-363, 60 FR 17453, Apr. 6, 1995, as amended by T.D. ATF-471, 67
FR 5425, Feb. 5, 2002]
Sec. 178.45 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, National 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, accompanied by a completed ATF Form 5300.37 and ATF Form
5300.36, in accordance with the instructions on the forms, and the
required fee. If the applicant 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 Chief, National
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 Sec. 178.44. 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 Sec. 178.44, 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, National Licensing Center.
(Approved by the Office of Management and Budget under control number
1512-0570)
[T.D. ATF-363, 60 FR 17453, Apr. 6, 1995, as amended by T.D. ATF-471, 67
FR 5426, Feb. 5, 2002]
Sec. 178.46 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]
Sec. 178.47 Issuance of license.
(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, National
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, National 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;
(2) The applicant (including, in the case of a corporation,
partnership, or association, any individual possessing,
[[Page 1155]]
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;
(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; and
(6) The applicant has filed an ATF Form 5300.37 (Certification of
Compliance with State and Local Law) with ATF in accordance with the
instructions on the form certifying under the penalties of perjury that-
-
(i) The business to be conducted under the license is not prohibited
by State or local law in the place where the licensed premises are
located;
(ii) Within 30 days after the application is approved the business
will comply with the requirements of State and local law applicable to
the conduct of business;
(iii) The business will not be conducted under the license until the
requirements of State and local law applicable to the business have been
met; and
(iv) The applicant has completed and sent or delivered ATF F 5300.36
(Notification of Intent to Apply for a Federal Firearms License) to the
chief law enforcement officer of the locality in which the premises are
located, which indicates that the applicant intends to apply for a
Federal firearms license. For purposes of this paragraph, the ``chief
law enforcement officer'' is the chief of police, the sheriff, or an
equivalent officer.
(c) The Chief, National 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 Sec. 178.78,
Sec. 178.143, or Sec. 178.144, 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 Sec. 178.144, as the case may be.
(d) When the Director of Industry Operations or the Chief, National
Licensing Center fails to act on an application 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.
(Paragraph (b)(6) approved by the Office of Management and Budget under
control numbers 1512-0522 and 1512-0523)
(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]
Sec. 178.48 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, National Licensing Center, with a
statement showing the nature of the error. The Chief, National Licensing
Center, shall correct the error, if
[[Page 1156]]
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, National 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, National Licensing
Center, shall make the correction on the license and return same to the
licensee.
(b) When the Chief, National Licensing Center, finds through any
means other than notice from the licensee that an incorrect license has
been issued, the Chief, National 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, National
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. The Chief, National
Licensing Center, then shall make the correction on the license and
return same to the licensee.
[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]
Sec. 178.49 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.
[T.D. ATF-270, 53 FR 10495, Mar. 31, 1988]
Sec. 178.50 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 Sec. 178.100; 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 Sec. 178.100.
[T.D. ATF-191, 49 FR 46890, Nov. 29, 1984, as amended by T.D. ATF-401,
63 FR 35523, June 30, 1998]
Sec. 178.51 License not transferable.
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 Sec. 178.56.
Sec. 178.52 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, National
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, National Licensing Center, may, in writing, require the
applicant for an amended license to also file completed
[[Page 1157]]
ATF Form 7 or ATF Form 7CR, or portions thereof, in the manner required
by Sec. 178.44.
(b) Upon receipt of a properly executed application for an amended
license, the Chief, National 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, National
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 Sec. 178.71.
(Approved by the Office of Management and Budget under control number
1512-0525)
[T.D. ATF-363, 60 FR 17453, Apr. 6, 1995]
Sec. 178.53 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, National Licensing Center within 30 days from the date the
licensee begins his business under the new trade name.
[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]
Sec. 178.54 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, National
Licensing Center. Upon expiration of the license, the corporation or
association must file a Form 7 (Firearms) as required by Sec. 178.44.
[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]
Sec. 178.55 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 date of acquisition, as
provided in Sec. 178.44. The rule set forth in this section shall also
apply where there is more than one surviving partner.
Sec. 178.56 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, National
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]
[[Page 1158]]
Sec. 178.57 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, National
Licensing Center notification of the discontinuance or succession. (See
also Sec. 178.127.)
(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 Sec. 178.40(b), or, subject to the
provisions of Secs. 178.40(c) and 178.132, a licensed manufacturer, a
licensed importer, or a licensed dealer.
(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 Sec. 178.40a(b), or,
subject to the provisions of Secs. 178.40a(c) and 178.132, a person who
manufactures, imports, or deals in such devices.
[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]
Sec. 178.58 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.
Sec. 178.59 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]
Sec. 178.60 Certain continuances of business.
A licensee who furnishes his license to the Chief, National
Licensing Center for correction or endorsement in compliance with the
provisions contained in this subpart may continue his operations while
awaiting its return.
[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
Sec. 178.71 Denial of an application for license.
Whenever the Director of Industry Operations has reason to believe
that an applicant is not qualified to receive a license under the
provisions of Sec. 178.47, 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-270, 53 FR 10495, Mar. 31, 1988]
[[Page 1159]]
Sec. 178.72 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 of
Industry Operations shall render his decision confirming or reversing
the denial of the application. If the decision is that the denial should
stand, a certified copy of the Director of Industry Operations 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 Sec. 178.47.
Sec. 178.73 Notice of revocation, suspension, or imposition of civil
fine.
(a) Basis for action. Whenever the Director of Industry Operations
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 of Industry Operations 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 of Industry
Operations 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 of
Industry Operations shall issue a final notice of suspension or
revocation and/or imposition of a civil fine on ATF Form 4501, as
provided in Sec. 178.74.
[T.D. ATF-415, 63 FR 58278, Oct. 29, 1998]
Sec. 178.74 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 of Industry Operations 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
[[Page 1160]]
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.
[T.D. ATF-415, 63 FR 58278, Oct. 29, 1998]
Sec. 178.75 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, 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]]
Sec. 178.76 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
of Industry Operations 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 of Industry Operations, in his own
name as ``Attorney for the Government.''
[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]
Sec. 178.77 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]
Sec. 178.78 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 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 of Industry Operations 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.
[T.D. ATF-415, 63 FR 58278, Oct. 29, 1998]
[[Page 1161]]
Subpart F--Conduct of Business
Sec. 178.91 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.
Sec. 178.92 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 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 ENFORCEMENT/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 Sec. 178.11, 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
[[Page 1162]]
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 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
ENFORCEMENT/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
1512-0550)
[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]
[[Page 1163]]
Sec. 178.93 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
Sec. 178.50.) A collectors license is not necessary to receive or
dispose of ammunition, and a licensed collector is not 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 Sec. 178.99(c)).
Any licensed collector who disposes of armor piercing ammunition must
record the disposition as required by Sec. 178.125 (a) and (b).
[T.D. ATF-270, 53 FR 10496, Mar. 31, 1988]
Sec. 178.94 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 following the
expiration date of the transferee's license.
(Approved by the Office of Management and Budget under control number
1512-0387)
[T.D. ATF-270, 53 FR 10496, Mar. 31, 1988]
Sec. 178.95 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 Sec. 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, National 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 and Firearms.
(Approved by the Office of Management and Budget under control number
1512-0387)
[T.D. ATF-270, 53 FR 10497, Mar. 31, 1988, as amended by T.D. ATF-290,
54 FR 53055, Dec. 27, 1989]
[[Page 1164]]
Sec. 178.96 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
Sec. 178.102(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 4473, required by Sec. 178.124. 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 Sec. 178.102;
(iii) The purchaser furnishes to the licensed importer, licensed
manufacturer, or licensed dealer the firearms transaction record, Form
4473, required by Sec. 178.124; 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 actual knowledge of the
State laws and published ordinances of both such States.
(Approved by the Office of Management and Budget under control number
1512-0130)
[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]
Sec. 178.97 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 Sec. 178.99(b) or Sec. 178.99(c), the licensee
complies with the requirements of Sec. 178.102, 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
[[Page 1165]]
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]
Sec. 178.98 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
(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 179 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
179 of this chapter.
[T.D. ATF-270, 53 FR 10497, Mar. 31, 1988]
Sec. 178.99 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
Sec. 178.96(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 Sec. 178.97).
(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 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 Sec. 178.143, under indictment for,
or, except as provided by Sec. 178.144, 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 Sec. 178.32(f), is a nonimmigrant alien: Provided,
That the provisions of this paragraph (c)(5) do not apply to
[[Page 1166]]
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;
(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
(3) For the purpose of testing or experimentation authorized by the
Director under the provisions of Sec. 178.149.
(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 Sec. 178.125(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]
Sec. 178.100 Conduct of business away 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
[[Page 1167]]
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 Sec. 178.91 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 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.
[T.D. ATF-270, 53 FR 10498, Mar. 31, 1988, as amended by T.D. ATF-401,
63 FR 35523, June 30, 1998]
Sec. 178.101 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.
[T.D. ATF-270, 53 FR 10498, Mar. 31, 1988]
Sec. 178.102 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) 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 Sec. 178.124(c).
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 Sec. 178.129. 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
[[Page 1168]]
completed within the 30-day period, the licensee shall initiate a new
NICS check prior to completion of the transfer.
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
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 7-day 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.
(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 179;
or
(3) On application of the licensee, in accordance with the
provisions of Sec. 178.150, the Director has certified that 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 Sec. 178.131.
(Approved by the Office of Management and Budget under control number
1512-0544)
[T.D. ATF-415, 63 FR 58279, Oct. 29, 1998]
Sec. 178.103 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.
[[Page 1169]]
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
(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
[[Page 1170]]
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 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:
(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.
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.
(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
Sec. 178.111 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
[[Page 1171]]
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
(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.
[T.D. ATF-270, 53 FR 10498, Mar. 31, 1988]
Sec. 178.112 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
Sec. 178.11) 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;
(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
[[Page 1172]]
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.
(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 Form 6A certified by Customs and serial numbers if not previously
provided on ATF Form 6A;
(2) Pursuant to Sec. 178.92, 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 1512-0017; paragraphs (c) and (d) approved by the Office
of Management and Budget under control number 1512-0019)
[T.D. ATF-270, 53 FR 10498, Mar. 31, 1988, as amended by T.D. ATF-426,
65 FR 38198, June 20, 2000]
Sec. 178.113 Importation by other licensees.
(a) No person other than a licensed importer (as defined in
Sec. 178.11) 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
[[Page 1173]]
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;
(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;
[[Page 1174]]
(iv) The type;
(v) The model;
(vi) The caliber, gauge, or size;
(vii) The serial number in the case of firearms; and
(viii) The number of firearms, firearm barrels, or rounds of
ammunition released.
(Paragraph (b) approved by the Office of Management and Budget under
control number 1512-0017; paragraph (c) approved by the Office of
Management and Budget under control number 1512-0019)
[T.D. ATF-270, 53 FR 10499, Mar. 31, 1988, as amended by T.D. ATF-426,
65 FR 38199, June 20, 2000]
Sec. 178.113a 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.
(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
[[Page 1175]]
(vii) The number of firearm barrels released.
(Paragraph (b) approved by the Office of Management and Budget under
control number 1512-0017; paragraph (c) approved by the Office of
Management and Budget under control number 1512-0019)
[T.D. ATF-270, 53 FR 10499, Mar. 31, 1988, as amended by T.D. ATF-426,
65 FR 38200, June 20, 2000]
Sec. 178.114 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;
(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
[[Page 1176]]
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 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 1512-0018; paragraph (b) approved by the Office of
Management and Budget under control number 1512-0019)
[T.D. ATF-270, 53 FR 10500, Mar. 31, 1988, as amended by T.D. ATF-426,
65 FR 38200, June 20, 2000]
Sec. 178.115 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 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
[[Page 1177]]
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 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.
[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]
Sec. 178.116 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
Sec. 178.119(b) for the purpose of examining and testing the firearm,
firearm barrel, ammunition, or ammunition 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]
[[Page 1178]]
Sec. 178.117 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.
Sec. 178.118 Importation of certain firearms classified as curios or
relics.
Notwithstanding any other provision of this part, a licensed
importer may 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 47. 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 179 before they may be imported.
[T.D. ATF-202, 50 FR 14383, Apr. 12, 1985]
Sec. 178.119 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,
(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 Sec. 178.40a(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
[[Page 1179]]
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 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 Sec. 178.92, 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 Sec. 178.116.
(Paragraphs (a), (c), and (d) approved by the Office of Management and
Budget under control numbers 1512-0017 and 1512-0018; paragraphs (e) and
(f) approved by the Office of Management and Budget under control number
1512-0019)
[T.D. ATF-383, 61 FR 39322, July 29, 1996]
Sec. 178.120 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
1512-0570)
[T.D. ATF-471, 67 FR 5426, Feb. 5, 2002]
Subpart H--Records
Sec. 178.121 General.
(a) The records pertaining to firearms transactions prescribed by
this
[[Page 1180]]
part shall be retained on the licensed premises in the manner prescribed
by this subpart and for the length of time prescribed by Sec. 178.129.
The records pertaining to ammunition prescribed by this part shall be
retained on the licensed premises in the manner prescribed by
Sec. 178.125.
(b) ATF officers may, for the purposes and under the conditions
prescribed in Sec. 178.23, enter the premises of any licensed importer,
licensed manufacturer, licensed dealer, or licensed collector for the
purpose of examining 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 Sec. 178.23.
(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 Sec. 178.100(c).
(Information collection requirements in paragraph (a) approved by the
Office of Management and Budget under control number 1512-0129;
information collection requirements in paragraphs (b) and (c) approved
by the Office of Management and Budget under control number 1512-0387)
[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]
Sec. 178.122 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 Sec. 178.149 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:
[[Page 1181]]
Importer's Firearms Disposition Record
----------------------------------------------------------------------------------------------------------------
Name and
license No. of
Quantity Type Manufacturer Country of Caliber or Model Serial licensee to Date of the
manufacture gauge No. whom transaction
transferred
----------------------------------------------------------------------------------------------------------------
Importer's Armor Piercing Ammunition Disposition Record
------------------------------------------------------------------------
Calibur or Quantity of Purchaser--Name and
Date Manufacturer gauge projectiles address
------------------------------------------------------------------------
(c) Notwithstanding the provisions of paragraph (b) of this section,
the Director of Industry Operations may authorize alternate records to
be maintained by a licensed importer to record the disposal of firearms
and armor piercing ammunition when it is shown by the licensed importer
that such alternate records will accurately and readily disclose the
information required by paragraph (b) of this section. A licensed
importer who proposes to use alternate records shall submit a letter
application, in duplicate, to the Director of Industry Operations and
shall describe the proposed alternate records and the need therefor.
Such alternate records shall not be employed by the licensed importer
until approval in such regard is received from the Director of Industry
Operations.
(d) Each licensed importer shall maintain separate records of the
sales or other dispositions made of firearms to nonlicensees. Such
records shall be maintained in the form and manner as prescribed by
Secs. 178.124 and 178.125 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
1512-0387)
[T.D. ATF-270, 53 FR 10501, Mar. 31, 1988]
Sec. 178.123 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 Sec. 178.149 shall be
maintained by the licensed manufacturer on the licensed premises. For
firearms, the record shall show the quantity, type, model, manufacturer,
caliber, size or gauge, serial number of the firearms so transferred,
the name and license number of the licensee to whom the firearms were
transferred, and the date of the transaction. For armor piercing
ammunition, the record shall show the manufacturer, caliber or gauge,
quantity, the name and address of the transferee to whom the armor
piercing ammunition was transferred, and the date of the transaction.
The information required by this paragraph shall be entered in the
proper record book not later than the seventh day following the date of
the transaction, and such information shall be recorded under the format
prescribed by Sec. 178.122, 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
[[Page 1182]]
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
Secs. 178.124 and 178.125 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
1512-0369)
[T.D. ATF-270, 53 FR 10501, Mar. 31, 1988]
Sec. 178.124 Firearms transaction record.
(a) A licensed importer, licensed manufacturer, or licensed dealer
shall not sell or otherwise dispose, temporarily or permanently, of any
firearm to any person, other than another licensee, unless the licensee
records the transaction on a firearms transaction record, Form 4473:
Provided, That a firearms transaction record, Form 4473, shall not be
required to record the disposition made of a firearm delivered to a
licensee for the sole purpose of repair or customizing when such firearm
or a replacement firearm is returned to the person from whom received.
(b) A licensed manufacturer, licensed importer, or licensed dealer
shall retain in alphabetical (by name of purchaser), chronological (by
date of disposition), or numerical (by transaction serial number) order,
and as a part of the required records, each Form 4473 obtained in the
course of transferring custody of the firearms.
(c)(1) Prior to making an over-the-counter 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
INS-issued 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 Sec. 178.11) 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 States, cause the transferee to present documentation
establishing that the transferee is a resident of the State (as defined
in Sec. 178.11) 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 Sec. 178.102 and record
on the form the date on which the licensee
[[Page 1183]]
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-the-counter transfer of a shotgun or
rifle under the provisions contained in Sec. 178.96(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 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
Sec. 178.102(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 commerce; and the
transferee's receipt of the firearm would not be in violation of any
statute of the State or published ordinance applicable to the locality
in which the transferee resides. Upon receipt of such Forms 4473, the
licensee shall identify the firearm to be transferred by listing in the
Forms 4473 the name of the manufacturer, the name of the importer (if
any), the type, model, caliber or gauge, and the serial number of the
firearm to be transferred. The licensee shall prior to shipment or
delivery of the firearm to such transferee, forward by registered or
certified mail (return receipt requested) a copy of the Form 4473 to the
principal law enforcement officer named in the Form 4473 by the
transferee, and shall delay shipment or delivery of the firearm to the
transferee for a period of at least 7 days following receipt by the
licensee of the return receipt evidencing delivery of the copy of the
Form 4473 to such principal law enforcement officer, or the return of
the copy of the Form
[[Page 1184]]
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 4473 from any Director of Industry Operations. For normal usage, a
licensee should request a year's supply from the ATF Distribution
Center, 7943 Angus Court, Springfield, Virginia 22153.
(Paragraph (c) approved by the Office of Management and Budget under
control numbers 1512-0544, 1512-0129, and 1512-0570; paragraph (f)
approved by the Office of Management and Budget under control number
1512-0130; all other recordkeeping approved by the Office of Management
and Budget under control number 1512-0129)
[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]
Sec. 178.124a 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 Sec. 178.125. Such 12-month period shall commence from the
date the licensed dealer first records the purchase or other acuisition
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 12-month period,
shall make and maintain the acquisition and disposition records required
by Sec. 178.125 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 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.
[[Page 1185]]
(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 Sec. 178.124(c) prior to making an over-the-
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 Sec. 178.96(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 in Sec. 178.124(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-the-counter 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]
Sec. 178.125 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:
Disposition Record of Armor Piercing Ammunition
----------------------------------------------------------------------------------------------------------------
Purchaser Enter a (x) in the ``known''
---------------------- column if purchaser is personally
known to you. Otherwise, establish
Date Manufacturer Caliber or Quantity of the purchaser's identification
gauge projectiles Name and Date of -----------------------------------
address birth Driver's Other type
Known license (specify)
----------------------------------------------------------------------------------------------------------------
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
[[Page 1186]]
and maintained in the manner prescribed in Sec. 178.122(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 Sec. 178.99(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
Sec. 178.122(b). Each licensed dealer disposing of armor piercing
ammunition pursuant to Sec. 178.99(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.
(e) Firearms receipt and disposition by dealers. Except as provided
in Sec. 178.124a 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 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:
[[Page 1187]]
FIREARMS ACQUISITION AND DISPOSITION RECORD
--------------------------------------------------------------------------------------------------------------------------------------------------------
Description of firearm Receipt Disposition
--------------------------------------------------------------------------------------------------------------------------------------------------------
Address or
Name and license No. if
Serial Caliber address or licensee, or Form
Manufacturer and/or Importer Model No. Type or gauge Date name and Date Name 4473 Serial No.
license if Forms 4473
No. filed numerically
--------------------------------------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------------------------------------------
(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 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 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 shall note on
the record the method used. 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 Sec. 178.11), and
(ii) Cause the transferee to present documentation establishing that
the transferee is a resident of the State (as defined in Sec. 178.11) 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:
[[Page 1188]]
Firearms Collectors Acquisition and Disposition Record
--------------------------------------------------------------------------------------------------------------------------------------------------------
Description of firearm Receipt Disposition
--------------------------------------------------------------------------------------------------------------------------------------------------------
Name and Name and For transfers
address address Driver's to aliens,
Serial Caliber or name or name Date of license No. or documentation
Manufacturer and/or importer Model No. Type or Date and Date and birth if other used to
gauge license license nonlicensee identification establish
No. No. if nonlicensee residency
--------------------------------------------------------------------------------------------------------------------------------------------------------
--------------------------------------------------------------------------------------------------------------------------------------------------------
(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 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: 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.
(Approved by the Office of Management and Budget under control number
1512-0387)
[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]
Sec. 178.125a Personal firearms collection.
(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 Sec. 178.102 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
[[Page 1189]]
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
Sec. 178.125(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 Sec. 178.125(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:
Disposition Record of Personal Firearms
----------------------------------------------------------------------------------------------------------------
Description of firearm Disposition
----------------------------------------------------------------------------------------------------------------
Name and
address
Manufacturer and/ Model Serial No. Type Caliber or Date (business Date of birth if
or importer gauge address if nonlicensee
licensee)
----------------------------------------------------------------------------------------------------------------
(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
1512-0387)
[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]
Sec. 178.126 Furnishing transaction information.
(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 approval in such regard is received from the Director of
Industry Operations.
(Approved by the Office of Management and Budget under control number
1512-0387)
[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]
[[Page 1190]]
Sec. 178.126a 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
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
1512-0006)
[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]
Sec. 178.127 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-of-Business Records Center, Spring Mills Office Park, 2029
Stonewall Jackson Drive, Falling Waters, West Virginia 25419, 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, National 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.
[T.D. ATF-290, 54 FR 53055, Dec. 27, 1989, as amended by T.D. ATF-363,
60 FR 17455, Apr. 6, 1995]
Sec. 178.128 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
[[Page 1191]]
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]
Sec. 178.129 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 Sec. 178.124(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
Sec. 178.150(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 Secs. 178.40(c) and 178.132 shall
be retained in the licensee's permanent records for a period of not less
than 5 years after the date of sale or other disposition.
(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]
[[Page 1192]]
Sec. 178.131 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 Sec. 178.102(d) and is not subject to
the NICS check prescribed by Sec. 178.102(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 Sec. 178.102(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 Secs. 178.102(d)(3) and 178.150, 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 Sec. 178.129(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
1512-0544)
[T.D. ATF-415, 63 FR 58280, Oct. 29, 1998]
Sec. 178.132 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.
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 Sec. 178.40(b)(7) and
178.40(b)(3), i.e., on-site physical protection, on-site or off-site
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 acquired for personal use or for purposes of
transfer or resale.
(Approved by the Office of Management and Budget under control number
1512-0526)
[T.D. ATF-396, 63 FR 12646, Mar. 16, 1998]
Sec. 178.133 Records of transactions in semiautomatic assault weapons.
The evidence specified in Sec. 178.40(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
1512-0526)
[T.D. ATF-363, 60 FR 17455, Apr. 6, 1995]
[[Page 1193]]
Sec. 178.134 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.
(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.
[T.D. ATF-401, 63 FR 35523, June 30, 1998]
Subpart I--Exemptions, Seizures, and Forfeitures
Sec. 178.141 General.
With the exception of Secs. 178.32(a)(9) and (d)(9) and
178.99(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 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.
[[Page 1194]]
(d) The transportation, shipment, receipt, possession, or
importation of any antique firearm.
[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]
Sec. 178.142 Effect of pardons and 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 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.
[T.D. ATF-270, 53 FR 10505, Mar. 31, 1988]
Sec. 178.143 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.
Sec. 178.144 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 Sec. 178.32).
(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;
(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
[[Page 1195]]
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 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
Sec. 178.32(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
[[Page 1196]]
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.
(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.
[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]
Sec. 178.145 Research organizations.
The provisions of Sec. 178.98 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]
Sec. 178.146 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.
Sec. 178.147 Return of firearm.
A person not otherwise prohibited by Federal, State or local law may
ship a firearm to a licensed importer, licensed 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 Sec. 178.124(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 10507, Mar. 31, 1988]
[[Page 1197]]
Sec. 178.148 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]
Sec. 178.149 Armor piercing ammunition manufactured or imported for the
purpose of testing or experimentation.
The provisions of Secs. 178.37 and 178.99(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 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.
[T.D. ATF-270, 53 FR 10507, Mar. 31, 1988]
Sec. 178.150 Alternative to NICS in certain geographical locations.
(a) The provisions of Sec. 178.102(d)(3) shall be applicable when
the Director has certified that compliance with the provisions of
Sec. 178.102(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 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 Sec. 178.129(c), the ``chief
law enforcement officer'' means the chief of police, the sheriff, or an
equivalent officer or the designee of any such individual.
(Approved by the Office of Management and Budget under control number
1512-0544)
[T.D. ATF-415, 63 FR 58280, Oct. 29, 1998]
Sec. 178.151 Semiautomatic rifles or shotguns for testing or
experimentation.
(a) The provisions of Sec. 178.39 shall not apply to the assembly of
semiautomatic rifles or shotguns for the purpose
[[Page 1198]]
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.
[T.D. ATF-346, 58 FR 40590, July 29, 1993]
Sec. 178.152 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 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;
(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
[[Page 1199]]
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]
Sec. 178.153 Semiautomatic assault weapons and large capacity
ammunition feeding devices manufactured or imported for the
purposes of testing or experimentation.
The provisions of Sec. 178.40 with respect to the manufacture,
transfer, or possession of a semiautomatic assault weapon, and
Sec. 178.40a 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 as part of the
records required by subpart H of this part.
[T.D. ATF-363, 60 FR 17456, Apr. 6, 1995]
Subpart J [Reserved]
Subpart K--Exportation
Sec. 178.171 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.
[T.D. ATF-270, 53 FR 10507, Mar. 31, 1988; T.D. ATF-363, 60 FR 17456,
Apr. 6, 1995]