Taken from the BATF Web Site. This is not complete but I took what I thought would be most interesting to INGO members. Being a FFL I often get asked "can I ship this gun to my brother-in-law in Ohio?" This answered that and other questions that I often see time and again on this site. Hope it helps.
Revised: 8/06/07
A. GENERAL QUESTIONS
(A1) Does the law regulate who can be in the business? [Back]
Yes. The Gun Control Act (GCA), administered by the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) of the Department of Justice, contains Federal licensing standards for various firearms businesses (manufacturers, importers, and dealers).
An example of these standards is that the applicant must have a business premises.
[18 U.S.C. 923(d), 27 CFR 478.47]
(A2) Does the Federal Government issue a license or permit to carry a concealed weapon? [Back]
No. Neither ATF nor any other Federal agency issues such a permit or license. Carrying permits may be issued by a State or local government.
(A3) Do antique firearms come within the purview of the GCA? [Back]
No.
[18 U.S.C. 921(a)(3) and (16), 27 CFR 478.11 and 478.141(d)]
(A4) What kinds of ammunition are covered by the GCA? [Back]
Ammunition includes cartridge cases, primers, bullets or propellant powder designed for use in any firearm other than an antique firearm.
Items NOT covered include blank ammunition, tear gas ammunition, pellets and nonmetallic shotgun hulls without primers.
Generally, no records are required for ammunition transactions. However, information about the disposition of armor piercing ammunition is required to be entered into a record by importers, manufacturers, and collectors.
A license is not required for dealers in ammunition only.
[18 U.S.C. 921(a)(17) and 922(b)(5), 27 CFR 478.11 and 478.125]
(A5) Does the GCA control the sale of firearms parts? [Back]
No, except that frames or receivers of firearms are "firearms" as defined in the law and subject to the same controls as complete firearms. Silencer parts are also firearms under the GCA, as well as under the National Firearms Act (NFA). Certain machine gun parts, such as conversion parts or kits, are also subject to the NFA.
[18 U.S.C. 921(a)(3) and (24), 26 U.S.C. 5845, 27 CFR 478.11 and 479.11]
(A6) Does the GCA prohibit anyone from making a handgun, shotgun or rifle? [Back]
With certain exceptions a firearm may be made by a non-licensee provided it is not for sale and the maker is not prohibited from possessing firearms. However, a person is prohibited from assembling a non-sporting semi-automatic rifle or non-sporting shotgun from imported parts. In addition, the making of an NFA firearm requires a tax payment and approval by ATF. An application to make a machine gun will not be approved unless documentation is submitted showing that the firearm is being made for a Federal or State agency.
[18 U.S.C. 922(o) and (r), 26 U.S.C. 5822, 27 CFR 478.39, 479.62 and 479.105]
(A7) How can a person apply for relief from Federal firearms disabilities? [Back]
Under the provisions of the Gun Control Act of 1968 (GCA), convicted felons and certain other persons are prohibited from possessing or receiving firearms. The GCA provides the Attorney General with the authority to grant relief from this disability where the Attorney General determines that the person is not likely to act in a manner dangerous to the public safety and granting relief would not be contrary to the public interest. The Attorney General delegated this authority to ATF.
Since October 1992, however, ATF's annual appropriation has prohibited the expending of any funds to investigate or act upon applications for relief from Federal firearms disabilities submitted by individuals. As long as this provision is included in current ATF appropriations, the Bureau cannot act upon applications for relief from Federal firearms disabilities submitted by individuals.
[18 U.S.C. 922(g), 922(n) and 925(c)]
(A8) Are there any alternatives for relief from firearms disabilities? [Back]
A person is not considered convicted for Gun Control Act purposes if he has been pardoned, had his civil rights restored, or the conviction was expunged or set aside, unless the pardon, expungement, or restoration expressly provides the person may not ship, transport, possess, or receive firearms.
Persons convicted of a Federal offense may apply for a Presidential pardon. 28 CFR 1.1-1.10 specify the rules governing petitions for obtaining Presidential pardons. You may contact the Pardon Attorney's Office at the U.S. Department of Justice, 500 First Street, N.W., Washington, DC 20530, to inquire about the procedures for obtaining a Presidential pardon.
Persons convicted of a State offense may contact the State Attorney General's Office within the State in which they reside and the State of their conviction for information concerning any alternatives that may be available, such as pardons and civil rights restoration.
[18 U.S.C. 921(a)(20) and (a)(33)]
B. UNLICENSED PERSONS
(B1) To whom may an unlicensed person transfer firearms under the GCA? [Back]
A person may sell a firearm to an unlicensed resident of his State, if he does not know or have reasonable cause to believe the person is prohibited from receiving or possessing firearms under Federal law. A person may loan or rent a firearm to a resident of any State for temporary use for lawful sporting purposes, if he does not know or have reasonable cause to believe the person is prohibited from receiving or possessing firearms under Federal law. A person may sell or transfer a firearm to a licensee in any State. However, a firearm other than a curio or relic may not be transferred interstate to a licensed collector.
[18 U.S.C. 922(a)(3) and (5), 922(d), 27 CFR 478.29 and 478.30]
(B2) From whom may an unlicensed person acquire a firearm under the GCA? [Back]
A person may only acquire a firearm within the person’s own State, except that he or she may purchase or otherwise acquire a rifle or shotgun, in person, at a licensee's premises in any State, provided the sale complies with State laws applicable in the State of sale and the State where the purchaser resides. A person may borrow or rent a firearm in any State for temporary use for lawful sporting purposes.
[18 U.S.C. 922(a)(3) and (5), 922(b)(3), 27 CFR 478.29 and 478.30]
(B3) May an unlicensed person obtain a firearm from an out-of-State source if the person arranges to obtain the firearm through a licensed dealer in the purchaser’s own State? [Back]
A person not licensed under the GCA and not prohibited from acquiring firearms may purchase a firearm from an out-of-State source and obtain the firearm if an arrangement is made with a licensed dealer in the purchaser's State of residence for the purchaser to obtain the firearm from the dealer.
[18 U.S.C. 922(a)(3) and 922(b)(3)]
(B4) May an unlicensed person obtain ammunition from an out-of-State source? [Back]
Yes, provided he or she is not a person prohibited from possessing or receiving ammunition.
[18 U.S.C. 922(g) and (n)]
(B5) Are there certain persons who cannot legally receive or possess firearms and/or ammunition? [Back]
Yes, a person who –
Such person may continue to lawfully possess firearms obtained prior to the indictment or information.
[18 U.S.C. 922(g) and (n), 27 CFR 478.32]
(B6) Do law enforcement officers who are subject to restraining orders and who receive and possess firearms for purposes of carrying out their official duties violate the law? [Back]
Not if the firearms are received and possessed for official use only.
The law prohibits persons subject to certain restraining orders from receiving, shipping, transporting or possessing firearms or ammunition. To be disabling, the restraining order must:
[18 U.S.C. 921(a)(32), 922(g)(8) and 925(a)(1)]
(B7) May a nonlicensee ship a firearm through the U.S. Postal Service?[Back]
A nonlicensee may not transfer a firearm to a non-licensed resident of another State. A nonlicensee may mail a shotgun or rifle to a resident of his or her own State or to a licensee in any State. The Postal Service recommends that long guns be sent by registered mail and that no marking of any kind which would indicate the nature of the contents be placed on the outside of any parcel containing firearms. Handguns are not mailable. A common or contract carrier must be used to ship a handgun.
[18 U.S.C. 1715, 922(a)(3), 922(a)(5) and 922 (a)(2)(A)]
(B8) May a nonlicensee ship a firearm by common or contract carrier? [Back]
A nonlicensee may ship a firearm by a common or contract carrier to a resident of his or her own State or to a licensee in any State. A common or contract carrier must be used to ship a handgun. In addition, Federal law requires that the carrier be notified that the shipment contains a firearm and prohibits common or contract carriers from requiring or causing any label to be placed on any package indicating that it contains a firearm.
[18 U.S.C. 922(a)(2)(A), 922(a) (3), 922(a)(5) and 922(e), 27 CFR 478.31 and 478.30]
(B9) May a nonlicensee ship firearms interstate for his or her use in hunting or other lawful activity? [Back]
Yes. A person may ship a firearm to himself or herself in care of another person in the State where he or she intends to hunt or engage in any other lawful activity. The package should be addressed to the owner. Persons other than the owner should not open the package and take possession of the firearm.
(B10) May a person who is relocating out of State move firearms with other household goods? [Back]
Yes. A person who lawfully possesses a firearm may transport or ship the firearm interstate when changing his or her State of residence.
Certain NFA firearms must have prior approval from the Bureau of ATF before they may be moved interstate. The person must notify the mover that firearms are being transported. He or she should also check State and local laws where relocating to ensure that movement of firearms into the new State does not violate any State law or local ordinance.
[18 U.S.C. 922(a)(4) and 922(e), 27 CFR 478.28 and 478.31]
(B11) What constitutes residency in a State? [Back]
The State of residence is the State in which an individual is present; the individual also must have an intention of making a home in that State. A member of the Armed Forces on active duty is a resident of the State in which his or her permanent duty station is located. If a member of the Armed Forces maintains a home in one State and the member’s permanent duty station is in a nearby State to which he or she commutes each day, then the member has two States of residence and may purchase a firearm in either the State where the duty station is located or the State where the home is maintained. An alien who is legally in the United States is considered to be a resident of a State only if the alien is residing in that State and has resided in that State continuously for a period of at least 90 days prior to the date of sale of the firearm. See also Item 5, “Sales to Aliens in the United States,” in the General Information section of this publication.
[18 U.S.C. 921(b), 922(a) (3), and 922(b)(3), 27 CFR 478.11]
(B12) May a person (who is not an alien) who resides in one State and owns property in another State purchase a handgun in either State? [Back]
If a person maintains a home in 2 States and resides in both States for certain periods of the year, he or she may, during the period of time the person actually resides in a particular State, purchase a handgun in that State. However, simply owning property in another State does not qualify the person to purchase a handgun in that State.
[27 CFR 478.11]
(B13) May aliens legally in the United States buy firearms?[Back]
An alien legally in the U.S. may acquire firearms if he has a State of residence. An alien has a State of residence only if he is residing in that State and has resided in a State continuously for at least 90 days prior to the purchase. An alien acquiring firearms from a licensee is required to prove both his identity, by presenting a government-issued photo identification, and his residency with substantiating documentation showing that he has resided in the State continuously for the 90-day period prior to the purchase. Examples of qualifying documentation to prove residency include: utility bills, lease agreements, credit card statements, and pay stubs from the purchaser’s place of employment, if such documents include residential addresses.
See also Item 5, “Sales to Aliens in the United States,” in the General Information section of this publication.
[18 U.S.C. 921, 922(b)(3), (d) and (g), 27 CFR 478.11 and 478.99(a)]
(B14) May a parent or guardian purchase firearms or ammunition as a gift for a juvenile (less than 18 years of age)? [Back]
Yes. However, possession of handguns by juveniles (less than 18 years of age) is generally unlawful. Juveniles generally may only receive and possess handguns with the written permission of a parent or guardian for limited purposes, e.g., employment, ranching, farming, target practice or hunting.
[18 U.S.C. 922(x)]
(B15) Are curio or relic firearms exempt from the provisions of the GCA? [Back]
No. Curios or relics are still firearms subject to the provisions of the GCA; however, curio or relic firearms may be transferred in interstate commerce to licensed collectors or other licensees.
(B16) What record-keeping procedures should be followed when two private individuals want to engage in a firearms transaction? [Back]
When a transaction takes place between private (unlicensed) persons who reside in the same State, the Gun Control Act (GCA) does not require any record keeping. A private person may sell a firearm to another private individual in his or her State of residence and, similarly, a private individual may buy a firearm from another private person who resides in the same State. It is not necessary under Federal law for a Federal firearms licensee (FFL) to assist in the sale or transfer when the buyer and seller are "same-State" residents. Of course, the transferor/seller may not knowingly transfer a firearm to someone who falls within any of the categories of prohibited persons contained in the GCA. See 18 U.S. C. §§ 922(g) and (n). However, as stated above, there are no GCA-required records to be completed by either party to the transfer.
There may be State or local laws or regulations that govern this type of transaction. Contact State Police units or the office of your State Attorney General for information on any such requirements.
Please note that if a private person wants to obtain a firearm from a private person who resides in another State, the firearm will have to be shipped to an FFL in the buyer's State. The FFL will be responsible for record keeping. See also Question B3.
(B17) How do I obtain a classification from ATF for my "potato gun?" [Back]
Any person desiring a classification of a “potato gun,” “spud gun” or similar device must submit a written request (not e-mail) to the Director and include a complete and accurate description of the device, the name and address of the manufacturer or importer, the purpose for which it is intended, and such photographs, diagrams, or drawings as may be necessary to make a classification. A final determination may require physical examination of the device. Such requests for classification should be submitted to: Bureau of ATF, Firearms Technology Branch.
C. LICENSING
(C1) Who can get a license? [Back]
ATF will approve the application if the applicant:
(C2) How does one get a license? [Back]
Submit ATF Form 7, Application for License, or ATF Form 7CR, Application for License (Collector of Curios or Relics), with the appropriate fee in accordance with the instructions on the form to ATF. These forms may be obtained from the Federal Firearms Licensing Center or your local ATF office.
[18 U.S.C. 923, 27 CFR 478.44 and 478.45]
(C3) May one license cover several locations? [Back]
No. A separate license must be obtained for each location. However, storage facilities are not required to be covered by a separate license, although the records maintained on licensed premises must reflect all firearms held in the separate storage facility. Firearms may be shipped directly to separate storage facilities as long as they are properly recorded as an acquisition in the licensee's records.
[27 CFR 478.50]
(C4) Does an importer or manufacturer of firearms also need a dealer's license? [Back]
No, as long as the importer or manufacturer is engaged in the business of dealing in firearms at the licensed premises in the same type of firearms authorized by the importer’s or manufacturer’s license.
[27 CFR 478.41(b)]
(C5) If a person timely files an application for renewal of a license and the present license expires prior to receipt of the new license, may the person continue to conduct the business covered by the expired license? [Back]
Yes. A person who timely files an application for renewal of a license may continue operations authorized by the expired license until the application is finally acted upon. An application is timely filed when it is received accurate and completed at the P.O. Box listed on the application form with the appropriate renewal fee.
If a person does not timely file a license renewal application and the license expires, the person must file ATF Form 7, Application for License, or an ATF Form 7CR, Application for License (Collector of Curios or Relics), as required by 27 CFR 478.44, submit the application fee applicable to a new business, and obtain the required license before continuing business activity.
[27 CFR 478.45]
(C6) Must a licensed importer’s, manufacturer’s, or dealer’s records be surrendered to ATF if the licensee discontinues business? [Back]
If the business is being discontinued completely, the licensed dealer, manufacturer or importer is required, within 30 days, to forward the business records to the following address:
If someone is taking over the business, the original licensee should underline the final entry in each bound book, note the date of transfer, and forward all records and forms to the successor (who must apply for and receive his or her own license before lawfully engaging in business) or forward the records and forms to the ATF Out-of-Business Records Center. If the successor licensee receives records and forms from the original licensee, the successor licensee may choose to forward these records and forms to the ATF Out-of-Business Record Center.
[18 U. S. C. 923(g)(4), 22 CFR 478.57, 27 CFR 478.127]
(C7) What records am I required to forward to ATF upon discontinuance of my business?[Back]
The records consist of the licensee's bound acquisition/disposition (A/D) records, ATF Forms 4473, ATF Forms 3310.4 (Report of Multiple Sale or Other Disposition of Pistols and Revolvers), ATF Forms 3310.11 (Federal Firearms Licensee Theft/Loss Report), records of transactions in semiautomatic assault weapons, records of importation (ATF Forms 6 and 6A), and law enforcement certification letters. If the licensee was granted a variance to use a computerized record-keeping system, the licensee is required to provide a complete printout of the entire A/D records.
[27 CFR 478.127]
(C8) May a successor owner of a business entity, other than one who is a successor under the provisions of 27 CFR 478.56 (for example, the surviving spouse or child, or a receiver or trustee in bankruptcy), commence a firearms business prior to receiving a Federal firearms license in the successor’s name?[Back]
No. Each person intending to engage in business as a firearms dealer, importer or manufacturer or an ammunition importer or manufacturer must obtain the required Federal firearms license prior to commencing business.
[27 CFR 478.41]
(C9) Does a Federal firearms license allow the licensee to carry a firearm in the course of business? [Back]
No. A Federal firearms license confers no right or privilege to carry a firearm, concealed or otherwise. Permits to carry are issued by State or local authorities.
(C10) May a person obtain a dealer's license to engage in business only at gun shows?[Back]
No. A license may only be issued for a permanent premises at which the license applicant intends to do business. A person having such license may conduct business at gun shows located in the State in which the licensed premises is located and sell and deliver curio or relic firearms to other licensees at any location.
[18 U.S.C. 923(a) and (j)]
(C11) May a licensee change the location of the licensed business or activity?
To change your location, you must file an application for an amended license, ATF Form 5300.38, not less than 30 days prior to the move. You must obtain the amended license before commencing business at the new location. The application for an amended license includes a certification of compliance with State and local laws and notification of local law enforcement officials.
[27 CFR 478.52]
(C12) Are black powder dealers required to be licensed as ammunition dealers under the GCA?
No. However, black powder dealers are subject to the provisions of 27 CFR Part 555, Commerce in Explosives, which requires that a dealer in any quantity of black powder must have a license as a dealer.
[18 U.S.C. 842]
D. ATF FORM 4473 FIREARMS TRANSACTION RECORD
(D1) Where can a dealer get ATF Forms 4473? [Back]
They are available free of charge from the ATF Distribution Center. The current address is P.O. Box 5950, Springfield, VA 22150-5950. Please order a quantity of forms estimated for 6 months use.
(D2) Does an unlicensed person need an ATF Form 4473 to transfer a firearm? [Back]
No. ATF Form 4473 is required only for transfers by a licensee.
[27 CFR 478.124]
(D3) Does a dealer have to execute ATF Form 4473 to take a weapon out of the dealer’s inventory for his or her own use? [Back]
No. However, the "bound book" must reflect the disposition of the firearm from business inventory to personal use.
However, if the business is a corporation, and the firearm is being transferred to a corporate officer or director for other than business purposes, then a Form 4473 must be executed.
[27 CFR 478.124 and 478.125a]
(D4) Who signs ATF Form 4473 for the seller? [Back]
ATF Form 4473 must be signed by the person who verified the identity of the buyer.
(D5) Is a Social Security card a proper means of identification for purchasing a firearm from an FFL? [Back]
No. A Social Security card, alien registration card, or military identification alone does not contain sufficient information to identify a firearms purchaser. However, a purchaser may be identified by any combination of government-issued documents which together establish all of the required information: Name, residence address, date of birth, and photograph of the holder.
[27 CFR 478.11 and 478.124(c)]
(D6) When must the ATF Form 4473 be signed? [Back]
Part I used for over-the-counter sales must be completed, signed and dated by the buyer prior to delivery of the firearm.
Part II (green form) used for intra-state non-over-the-counter sales must be completed, signed and dated in duplicate by the buyer at the time of sale.
[27 CFR 478.124(c) and 478.124(f)]
E. RECORDS REQUIRED – LICENSEES
(E1) What is a "bound book?" [Back]
A "bound book" is a permanently bound book or an orderly arrangement of loose-leaf pages which must be maintained on the business premises. The format must follow that prescribed in the regulations, and the pages must be numbered consecutively.
[27 CFR 478.121 and 478.125]
(E2) May a dealer keep more than one "bound book" at the same time? [Back]
Yes. A dealer in firearms is not limited to using only one "bound book." It may be convenient for a dealer to account for different brands or types of firearms in separate "bound books."
(E3) Does the Government sell a record book for licensees to use in recording their receipts and dispositions of firearms? [Back]
No. Certain trade associations have them available at nominal cost. Your supplier should be able to tell you about this.
(E4) What is the dealer's responsibility where a variance from normal regulatory practice has been authorized? [Back]
The ATF letter authorizing the variance must be kept at the licensed premises and available for inspection. For businesses with more than a single licensed outlet, each outlet covered by the variance must have a copy of the letter authorizing the change.
[27 CFR 478.22 and 478.125(h)]
(E5) How much time does a dealer have to record acquisitions and dispositions of firearms in his or her "bound book?" [Back]
Generally, licensees have to enter the acquisition or purchase of a firearm by the close of the next business day after the acquisition or purchase and shall record sales or other dispositions within 7 days.
However, if commercial records containing the required information are available for inspection and are separate from other commercial documents, dealers have 7 days from the time of receipt to record the receipt in the "bound book."
If a disposition is made before the acquisition has been entered in the "bound book," the acquisition entry must be made at the same time as the disposition entry.
[27 CFR 478.125]
(E6) Are the ammunition record-keeping requirements the same as for firearms? [Back]
No. No records are required for ammunition other than armor piercing ammunition. Disposition records must be kept by licensed manufacturers, importers, and collectors for transactions in armor piercing ammunition. [27 CFR 178.125]
(E7) Are rental firearms subject to record-keeping control? [Back]
Yes, if the firearms are taken off the premises of the licensee. However, the record-keeping is not imposed on the loan or rental of firearms for use only on the premises of the licensee.
[27 CFR 478.97]]
(E8) May a licensee who has firearms in his or her private collection sell any of these firearms without making firearms record entries? [Back]
A licensee may sell a firearm from his or her personal collection, subject only to the restrictions on firearm sales by unlicensed persons, provided the firearm was entered in the licensee’s bound book and then transferred to the licensee’s private collection at least 1 year prior to the sale. When the personal firearm is sold, the sale must be recorded in a "bound book" for dispositions of personal firearms, but no ATF Form 4473 is required.
[27 CFR 478.125a]
(E9) May a licensee maintain computer records in lieu of the "bound book?"[Back]
Yes. The Director of Industry Operations or other designated ATF official must approve a request for a record-keeping variance before the licensee may use a computer system in lieu of the "bound book" record required by the regulations.
[27 CFR 478.22 and 478.125(h)]
F. CONDUCT OF BUSINESS - LICENSEES
(F1) Does the Federal firearms law require licensees to comply with State laws and local published ordinances when selling firearms? [Back]
Yes. It is unlawful for any licensed importer, licensed manufacturer, licensed dealer, or licensed collector to sell or deliver any firearm or ammunition to any person if the person's purchase or possession would be in violation of any State law or local published ordinance applicable at the place of sale or delivery.
[18 U.S.C. 922(b)(2), 27 CFR 478.99(b)(2)]
(F2) May a licensed dealer sell a firearm to a non-licensee who is a resident of another State? [Back]
Generally, a firearm may not lawfully be sold by a licensed dealer to a non-licensee who resides in a State other than the State in which the seller’s licensed premises is located. However, the sale may be made if the firearm is shipped to a licensed dealer whose business is in the purchaser’s State of residence and the purchaser takes delivery of the firearm from the dealer in his or her State of residence. In addition, a licensee may sell a rifle or shotgun to a person who is not a resident of the State where the licensee’s business premises is located in an over-the-counter transaction, provided the transaction complies with State law in the State where the licensee is located and in the State where the purchaser resides.
[18 U.S.C. 922(b)(3)]
(F3) May a dealer sell firearms to law enforcement agencies and individual officers in another State? [Back]
Yes. Sales and deliveries of firearms to out-of-State police and sheriff departments are not prohibited by the GCA. A dealer may also sell or ship firearms, other than NFA firearms, to an individual law enforcement officer, regardless of age, if the dealer has a signed statement from the officer's agency, stating that the items are to be used in the buyer's official duties and that the officer has not been convicted of a misdemeanor crime of domestic violence. No ATF Form 4473 or NICS check is required; however, the bound book must be properly posted, and the signed statement included in the dealer's records. For further information on sales of firearms to law enforcement officers, see Item 4, “Sales to Law Enforcement Officers,” in the General Information section of this publication. You should contact your State’s Attorney General’s Office to ensure there is no State prohibition on such sales.
[18 U.S.C. 925(a) (1), 27 CFR 478.134 and 478.141]
(F4) May an employee of a licensed dealer, such as a manager or clerk, who is under 21 years of age, sell handguns and ammunition suitable for use in handguns for the licensee? [Back]
Yes, if the employee is not a prohibited person (e.g., a felon). However, to sell handguns, a person less than 18 years of age must have the prior written consent of a parent or guardian and the written consent must be in the person’s possession at all times. Also, the parent or guardian giving the written consent may not be prohibited by law from possessing a firearm. Moreover, State law must not prohibit the juvenile from possessing the handguns or ammunition.
[18 U.S.C. 922(x)]
(F5) As a licensed dealer, must I advise ATF if I sell more than one handgun to an individual? [Back]
If you sell or dispose of more than one handgun to any non-licensee during a period of 5 consecutive business days, the sale must be reported on ATF Form 3310.4, Report of Multiple Sale or Other Disposition of Pistols and Revolvers, not later than the close of the business day on which you sold or disposed of the second handgun. The licensee must forward a copy of the Form 3310.4 to the ATF office specified thereon, and another copy must be forwarded to the State police or local law enforcement agency where the sale occurred. A copy of the Form 3310.4 also must be attached to the firearms transaction record, ATF Form 4473, documenting the sale or disposition of the second handgun.
A business day for purposes of reporting multiple sales of pistols or revolvers is a day that a licensee conducts business pursuant to the license, regardless of whether State offices are open. The application of the term “business day” is, therefore, distinguishable from the term “business day” as used in the NICS context. Example: A licensee conducts business only on Saturdays and Sundays, days on which State offices are not open. The licensee sells a pistol to an unlicensed person on a Saturday. If that same unlicensed person acquires another handgun the next day (Sunday), the following Saturday or Sunday, or the Saturday after the reporting requirement would be triggered, the subsequent acquisition of a handgun would have to be reported on a Form 3310.4 by the close of the day upon which the second or subsequent handgun was sold.
[18 U.S.C. 923(g)(3), 27 CFR 478.126a]
(F6) Does a customer have to be a certain age to buy firearms or ammunition from a licensee? [Back]
Yes. Under the GCA, long guns and long gun ammunition may be sold only to persons 18 years of age or older. Sales of handguns and ammunition for handguns are limited to persons 21 years of age and older. Although some State and local ordinances have lower age requirements, dealers are bound by the minimum age requirements established by the GCA. If State law or local ordinances establish a higher minimum age, the dealer must observe the higher age requirement.
[18 U.S.C. 922(b)(1), 27 CFR 478.99(b)]
(F7) May a licensee sell interchangeable ammunition such as .22 cal. rimfire to a person less than 21 years old? [Back]
Yes, provided the buyer is 18 years of age or older, and the dealer is satisfied that it is for use in a rifle. If the ammunition is intended for use in a handgun, the 21-year-old minimum age requirement is applicable.
[18 U.S.C. 922(b)(1), 27 CFR 478.99(b)]
(F8) In transactions between licensees, how is the seller assured that a purchaser of a firearm is a licensed dealer? [Back]
Verification must be established by the transferee furnishing to the transferor a certified copy of the transferee's license and by any other means the transferor deems necessary (such as the FFL eZcheck).
[27 CFR 478.94]
(F9) Must a multi-licensed business submit a certified copy of each of its licenses when acquiring firearms? [Back]
No. It need only provide the seller a list, certified to be true, correct and complete, containing the name, address, and license number and expiration date for each location.
[27 CFR 478.94]
(F10) May a licensee continue to deliver to a business whose license has expired? [Back]
Yes, for a period of 45 days following the expiration date of the license. After the 45-day period, the transferor is required to verify the licensed status of the transferee with the Chief, Firearms Licensing Center. If the transferee's license renewal application is still pending, the transferor must obtain evidence from the Director of Industry Operations that a license renewal application has been timely filed by the transferee and is still pending.
[27 CFR 478.94]
(F11) Is a license required to engage in the business of selling small arms ammunition? [Back]
No. A license is not required for a dealer in ammunition only, but a manufacturer or an importer of ammunition must be licensed.
[18 U.S.C. 922 (a)(1)(B)]
(F12) May licensed dealers sell firearms at gun shows? [Back]
Generally, a licensee may sell firearms at a gun show located only in the same State as that specified on the seller’s license. However, a licensee may sell curio or relic firearms to another licensee at any location.
[18 U.S.C. 923(j), 27 CFR 478.100]
(F13) What may a licensed dealer do at an out-of-State gun show? [Back]
A licensed dealer may sell and deliver curio or relic firearms to another licensee at an out-of-State gun show. With respect to other firearms transactions, a licensed dealer may only display and take orders for firearms at an out-of-State gun show. In filling any orders for firearms, the dealer must return the firearms to his or her licensed premises and deliver them from that location. Any firearm ordered by a non-licensee must be delivered or shipped from the licensee's premises to a licensee in the purchaser's State of residence, and the purchaser must obtain the firearm from the licensee located in the purchaser’s State. Except for sales of curio or relic firearms to other licensees, sales of firearms and simultaneous deliveries at the gun show, whether to other licensees or to non-licensees, violate the law because the dealer would be unlawfully engaging in business at an unlicensed location.
[18 U.S.C. 922(a)(1), (b)(3), 923(a) and (j)]
(F14) Who may ship handguns through the U.S. Postal Service? [Back]
Federal firearm licensees may send an unloaded handgun in the mail to another FFL in customary trade shipments. Handguns also may be mailed to any officer, employee, agent, or watchman who is eligible under 18 U.S.C. 1715 to receive pistols, revolvers, and other firearms capable of being concealed on the person for use in connection with his or her official duties.
However, postal service regulations must be followed. Any person proposing to mail a handgun must file with the postmaster, at the time of mailing, an affidavit signed by the addressee stating that the addressee is qualified to receive the firearm, and the affidavit must bear a certificate stating that the firearm is for the official use of the addressee. See the current Postal Manual for details.
The Postal Service recommends that all firearms be sent by registered mail and that no marking of any kind which would indicate the nature of the contents be placed on the outside of any parcel containing firearms. (See also Questions B7 and B8.)
(F15) Must a dealer record firearms received on consignment? [Back]
Yes. Firearms received for sale on consignment must be entered in the dealer's "bound book."
Sales of the firearms are handled in the same manner as other firearm sales. Return of the remaining firearms by the licensee to the consignor is entered in the dealer's disposition record. An ATF Form 4473 and a NICS check must be completed.
(F16) To whom does an FFL report stolen or lost firearms? [Back]
A theft or loss of firearms must be reported to your local police as well as to ATF within 48 hours after the discovery. Licensees should notify ATF on the 24-hour, 7 days a week toll free line at 1-800-800-3855 and by preparing and submitting ATF Form 3310.11, Federal Firearms Licensee Theft/Loss Report.
Theft or loss of NFA firearms should also be reported to the NFA Branch immediately upon discovery.
[18 U.S.C. 923(g)(6), 27 CFR 478.39 and 479.141]
(F17) If my firearms are stolen or lost, what do I do about my records? [Back]
Take an inventory of stock on hand and enter "stolen" or “lost” and the date in the disposition section of the "bound book" for those stolen or lost firearms. In addition, at the time a licensee reports the theft or loss on the ATF toll free line, the licensee will be provided a control number that should be placed in the records as well as on ATF Form 3310.11, Federal Firearms Licensee Theft/Loss Report.
(F18) How many copies of the ATF Form 3310.4, Report of Multiple Sale or Other Disposition of Pistols and Revolvers, must be completed and what becomes of each copy? [Back]
ATF Form 3310.4 must be completed in triplicate (3 copies). The original is sent to ATF’s National Tracing Center by FAX at 1-877-283-0288 or by mail to Box 1061, Falling Waters, West Virginia 25419-1061. A copy is to be sent to the designated State police or the local law enforcement agency in the jurisdiction where the sale took place. The remaining copy is to be retained in the records of the dealer and held for not less than 5 years.
[27 CFR 478.126a and 478.129]
(F19) What is my responsibility to respond to a request to trace a firearm? [Back]
A licensee must provide the requested information immediately and in no event later than 24 hours after receipt of a request by ATF. Failure to respond to the request for trace information can result in monetary fines, imprisonment, and/or revocation of the licensee’s Federal firearms license.
[18 U.S.C. 923(g)(7), 27 CFR 478.25a]
(F20) Does the requirement to give written notification to handgun transferees about juvenile handgun possession apply to a licensed dealer who returns firearms to their owners, for example, handguns that the dealer repaired? [Back]
Yes. The requirement to give written notification to non-licensees applies to the return of handguns, as well as to their sale. It applies even if the licensee ships the repaired firearm to the customer.
[27 CFR 478.103]
(F21) Does the requirement to post a sign on the licensed premises about juvenile handgun possession apply to a licensed dealer who only disposes of handguns to nonlicensees who do not appear at the dealer’s premises? [Back]
No. The sign posting requirement does not apply where the licensee only disposes of handguns to non-licensees who do not appear at the licensed premises (for example, the licensee only ships repaired or replacement handguns to non-licensees).
[27 CFR 478.103]
Revised: 8/06/07
A. GENERAL QUESTIONS
(A1) Does the law regulate who can be in the business? [Back]
Yes. The Gun Control Act (GCA), administered by the Bureau of Alcohol, Tobacco, Firearms and Explosives (ATF) of the Department of Justice, contains Federal licensing standards for various firearms businesses (manufacturers, importers, and dealers).
An example of these standards is that the applicant must have a business premises.
[18 U.S.C. 923(d), 27 CFR 478.47]
(A2) Does the Federal Government issue a license or permit to carry a concealed weapon? [Back]
No. Neither ATF nor any other Federal agency issues such a permit or license. Carrying permits may be issued by a State or local government.
(A3) Do antique firearms come within the purview of the GCA? [Back]
No.
[18 U.S.C. 921(a)(3) and (16), 27 CFR 478.11 and 478.141(d)]
(A4) What kinds of ammunition are covered by the GCA? [Back]
Ammunition includes cartridge cases, primers, bullets or propellant powder designed for use in any firearm other than an antique firearm.
Items NOT covered include blank ammunition, tear gas ammunition, pellets and nonmetallic shotgun hulls without primers.
Generally, no records are required for ammunition transactions. However, information about the disposition of armor piercing ammunition is required to be entered into a record by importers, manufacturers, and collectors.
A license is not required for dealers in ammunition only.
[18 U.S.C. 921(a)(17) and 922(b)(5), 27 CFR 478.11 and 478.125]
(A5) Does the GCA control the sale of firearms parts? [Back]
No, except that frames or receivers of firearms are "firearms" as defined in the law and subject to the same controls as complete firearms. Silencer parts are also firearms under the GCA, as well as under the National Firearms Act (NFA). Certain machine gun parts, such as conversion parts or kits, are also subject to the NFA.
[18 U.S.C. 921(a)(3) and (24), 26 U.S.C. 5845, 27 CFR 478.11 and 479.11]
(A6) Does the GCA prohibit anyone from making a handgun, shotgun or rifle? [Back]
With certain exceptions a firearm may be made by a non-licensee provided it is not for sale and the maker is not prohibited from possessing firearms. However, a person is prohibited from assembling a non-sporting semi-automatic rifle or non-sporting shotgun from imported parts. In addition, the making of an NFA firearm requires a tax payment and approval by ATF. An application to make a machine gun will not be approved unless documentation is submitted showing that the firearm is being made for a Federal or State agency.
[18 U.S.C. 922(o) and (r), 26 U.S.C. 5822, 27 CFR 478.39, 479.62 and 479.105]
(A7) How can a person apply for relief from Federal firearms disabilities? [Back]
Under the provisions of the Gun Control Act of 1968 (GCA), convicted felons and certain other persons are prohibited from possessing or receiving firearms. The GCA provides the Attorney General with the authority to grant relief from this disability where the Attorney General determines that the person is not likely to act in a manner dangerous to the public safety and granting relief would not be contrary to the public interest. The Attorney General delegated this authority to ATF.
Since October 1992, however, ATF's annual appropriation has prohibited the expending of any funds to investigate or act upon applications for relief from Federal firearms disabilities submitted by individuals. As long as this provision is included in current ATF appropriations, the Bureau cannot act upon applications for relief from Federal firearms disabilities submitted by individuals.
[18 U.S.C. 922(g), 922(n) and 925(c)]
(A8) Are there any alternatives for relief from firearms disabilities? [Back]
A person is not considered convicted for Gun Control Act purposes if he has been pardoned, had his civil rights restored, or the conviction was expunged or set aside, unless the pardon, expungement, or restoration expressly provides the person may not ship, transport, possess, or receive firearms.
Persons convicted of a Federal offense may apply for a Presidential pardon. 28 CFR 1.1-1.10 specify the rules governing petitions for obtaining Presidential pardons. You may contact the Pardon Attorney's Office at the U.S. Department of Justice, 500 First Street, N.W., Washington, DC 20530, to inquire about the procedures for obtaining a Presidential pardon.
Persons convicted of a State offense may contact the State Attorney General's Office within the State in which they reside and the State of their conviction for information concerning any alternatives that may be available, such as pardons and civil rights restoration.
[18 U.S.C. 921(a)(20) and (a)(33)]
B. UNLICENSED PERSONS
(B1) To whom may an unlicensed person transfer firearms under the GCA? [Back]
A person may sell a firearm to an unlicensed resident of his State, if he does not know or have reasonable cause to believe the person is prohibited from receiving or possessing firearms under Federal law. A person may loan or rent a firearm to a resident of any State for temporary use for lawful sporting purposes, if he does not know or have reasonable cause to believe the person is prohibited from receiving or possessing firearms under Federal law. A person may sell or transfer a firearm to a licensee in any State. However, a firearm other than a curio or relic may not be transferred interstate to a licensed collector.
[18 U.S.C. 922(a)(3) and (5), 922(d), 27 CFR 478.29 and 478.30]
(B2) From whom may an unlicensed person acquire a firearm under the GCA? [Back]
A person may only acquire a firearm within the person’s own State, except that he or she may purchase or otherwise acquire a rifle or shotgun, in person, at a licensee's premises in any State, provided the sale complies with State laws applicable in the State of sale and the State where the purchaser resides. A person may borrow or rent a firearm in any State for temporary use for lawful sporting purposes.
[18 U.S.C. 922(a)(3) and (5), 922(b)(3), 27 CFR 478.29 and 478.30]
(B3) May an unlicensed person obtain a firearm from an out-of-State source if the person arranges to obtain the firearm through a licensed dealer in the purchaser’s own State? [Back]
A person not licensed under the GCA and not prohibited from acquiring firearms may purchase a firearm from an out-of-State source and obtain the firearm if an arrangement is made with a licensed dealer in the purchaser's State of residence for the purchaser to obtain the firearm from the dealer.
[18 U.S.C. 922(a)(3) and 922(b)(3)]
(B4) May an unlicensed person obtain ammunition from an out-of-State source? [Back]
Yes, provided he or she is not a person prohibited from possessing or receiving ammunition.
[18 U.S.C. 922(g) and (n)]
(B5) Are there certain persons who cannot legally receive or possess firearms and/or ammunition? [Back]
Yes, a person 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;
(4) Has been adjudicated as a mental defective or has been committed to a mental institution;
(5) Is an alien illegally or unlawfully in the United States or an alien admitted to the United States under a nonimmigrant visa;
(6) Has been discharged from the Armed Forces under dishonorable conditions;
(7) Having been a citizen of the United States, has renounced his or her citizenship;
(8) Is subject to a court order that restrains the person from harassing, stalking, or threatening an intimate partner or child of such intimate partner; or
(9) Has been convicted of a misdemeanor crime of domestic violence
(10) Cannot lawfully receive, possess, ship, or transport a firearm.
A person who is under indictment or information for a crime punishable by imprisonment for a term exceeding 1 year cannot lawfully receive a firearm.(2) Is a fugitive from justice;
(3) Is an unlawful user of or addicted to any controlled substance;
(4) Has been adjudicated as a mental defective or has been committed to a mental institution;
(5) Is an alien illegally or unlawfully in the United States or an alien admitted to the United States under a nonimmigrant visa;
(6) Has been discharged from the Armed Forces under dishonorable conditions;
(7) Having been a citizen of the United States, has renounced his or her citizenship;
(8) Is subject to a court order that restrains the person from harassing, stalking, or threatening an intimate partner or child of such intimate partner; or
(9) Has been convicted of a misdemeanor crime of domestic violence
(10) Cannot lawfully receive, possess, ship, or transport a firearm.
Such person may continue to lawfully possess firearms obtained prior to the indictment or information.
[18 U.S.C. 922(g) and (n), 27 CFR 478.32]
(B6) Do law enforcement officers who are subject to restraining orders and who receive and possess firearms for purposes of carrying out their official duties violate the law? [Back]
Not if the firearms are received and possessed for official use only.
The law prohibits persons subject to certain restraining orders from receiving, shipping, transporting or possessing firearms or ammunition. To be disabling, the restraining order must:
- specifically restrain the person from harassing, stalking, or threatening an "intimate partner" of the person (e.g., spouse);
- be issued after a hearing of which notice was given to the person and at which the person had an opportunity to participate; and
- include a finding that the person subject to the order represents a credible threat to the "intimate partner" or child of the "intimate partner" OR explicitly prohibits the use, attempted use, or threatened use of force against the partner.
[18 U.S.C. 921(a)(32), 922(g)(8) and 925(a)(1)]
(B7) May a nonlicensee ship a firearm through the U.S. Postal Service?[Back]
A nonlicensee may not transfer a firearm to a non-licensed resident of another State. A nonlicensee may mail a shotgun or rifle to a resident of his or her own State or to a licensee in any State. The Postal Service recommends that long guns be sent by registered mail and that no marking of any kind which would indicate the nature of the contents be placed on the outside of any parcel containing firearms. Handguns are not mailable. A common or contract carrier must be used to ship a handgun.
[18 U.S.C. 1715, 922(a)(3), 922(a)(5) and 922 (a)(2)(A)]
(B8) May a nonlicensee ship a firearm by common or contract carrier? [Back]
A nonlicensee may ship a firearm by a common or contract carrier to a resident of his or her own State or to a licensee in any State. A common or contract carrier must be used to ship a handgun. In addition, Federal law requires that the carrier be notified that the shipment contains a firearm and prohibits common or contract carriers from requiring or causing any label to be placed on any package indicating that it contains a firearm.
[18 U.S.C. 922(a)(2)(A), 922(a) (3), 922(a)(5) and 922(e), 27 CFR 478.31 and 478.30]
(B9) May a nonlicensee ship firearms interstate for his or her use in hunting or other lawful activity? [Back]
Yes. A person may ship a firearm to himself or herself in care of another person in the State where he or she intends to hunt or engage in any other lawful activity. The package should be addressed to the owner. Persons other than the owner should not open the package and take possession of the firearm.
(B10) May a person who is relocating out of State move firearms with other household goods? [Back]
Yes. A person who lawfully possesses a firearm may transport or ship the firearm interstate when changing his or her State of residence.
Certain NFA firearms must have prior approval from the Bureau of ATF before they may be moved interstate. The person must notify the mover that firearms are being transported. He or she should also check State and local laws where relocating to ensure that movement of firearms into the new State does not violate any State law or local ordinance.
[18 U.S.C. 922(a)(4) and 922(e), 27 CFR 478.28 and 478.31]
(B11) What constitutes residency in a State? [Back]
The State of residence is the State in which an individual is present; the individual also must have an intention of making a home in that State. A member of the Armed Forces on active duty is a resident of the State in which his or her permanent duty station is located. If a member of the Armed Forces maintains a home in one State and the member’s permanent duty station is in a nearby State to which he or she commutes each day, then the member has two States of residence and may purchase a firearm in either the State where the duty station is located or the State where the home is maintained. An alien who is legally in the United States is considered to be a resident of a State only if the alien is residing in that State and has resided in that State continuously for a period of at least 90 days prior to the date of sale of the firearm. See also Item 5, “Sales to Aliens in the United States,” in the General Information section of this publication.
[18 U.S.C. 921(b), 922(a) (3), and 922(b)(3), 27 CFR 478.11]
(B12) May a person (who is not an alien) who resides in one State and owns property in another State purchase a handgun in either State? [Back]
If a person maintains a home in 2 States and resides in both States for certain periods of the year, he or she may, during the period of time the person actually resides in a particular State, purchase a handgun in that State. However, simply owning property in another State does not qualify the person to purchase a handgun in that State.
[27 CFR 478.11]
(B13) May aliens legally in the United States buy firearms?[Back]
An alien legally in the U.S. may acquire firearms if he has a State of residence. An alien has a State of residence only if he is residing in that State and has resided in a State continuously for at least 90 days prior to the purchase. An alien acquiring firearms from a licensee is required to prove both his identity, by presenting a government-issued photo identification, and his residency with substantiating documentation showing that he has resided in the State continuously for the 90-day period prior to the purchase. Examples of qualifying documentation to prove residency include: utility bills, lease agreements, credit card statements, and pay stubs from the purchaser’s place of employment, if such documents include residential addresses.
See also Item 5, “Sales to Aliens in the United States,” in the General Information section of this publication.
[18 U.S.C. 921, 922(b)(3), (d) and (g), 27 CFR 478.11 and 478.99(a)]
(B14) May a parent or guardian purchase firearms or ammunition as a gift for a juvenile (less than 18 years of age)? [Back]
Yes. However, possession of handguns by juveniles (less than 18 years of age) is generally unlawful. Juveniles generally may only receive and possess handguns with the written permission of a parent or guardian for limited purposes, e.g., employment, ranching, farming, target practice or hunting.
[18 U.S.C. 922(x)]
(B15) Are curio or relic firearms exempt from the provisions of the GCA? [Back]
No. Curios or relics are still firearms subject to the provisions of the GCA; however, curio or relic firearms may be transferred in interstate commerce to licensed collectors or other licensees.
(B16) What record-keeping procedures should be followed when two private individuals want to engage in a firearms transaction? [Back]
When a transaction takes place between private (unlicensed) persons who reside in the same State, the Gun Control Act (GCA) does not require any record keeping. A private person may sell a firearm to another private individual in his or her State of residence and, similarly, a private individual may buy a firearm from another private person who resides in the same State. It is not necessary under Federal law for a Federal firearms licensee (FFL) to assist in the sale or transfer when the buyer and seller are "same-State" residents. Of course, the transferor/seller may not knowingly transfer a firearm to someone who falls within any of the categories of prohibited persons contained in the GCA. See 18 U.S. C. §§ 922(g) and (n). However, as stated above, there are no GCA-required records to be completed by either party to the transfer.
There may be State or local laws or regulations that govern this type of transaction. Contact State Police units or the office of your State Attorney General for information on any such requirements.
Please note that if a private person wants to obtain a firearm from a private person who resides in another State, the firearm will have to be shipped to an FFL in the buyer's State. The FFL will be responsible for record keeping. See also Question B3.
(B17) How do I obtain a classification from ATF for my "potato gun?" [Back]
Any person desiring a classification of a “potato gun,” “spud gun” or similar device must submit a written request (not e-mail) to the Director and include a complete and accurate description of the device, the name and address of the manufacturer or importer, the purpose for which it is intended, and such photographs, diagrams, or drawings as may be necessary to make a classification. A final determination may require physical examination of the device. Such requests for classification should be submitted to: Bureau of ATF, Firearms Technology Branch.
C. LICENSING
(C1) Who can get a license? [Back]
ATF will approve the application if the applicant:
- <LI class=style13 align="justify">Is 21 years of age or older;
<LI class=style13 align="justify">Is not prohibited from shipping, transporting, receiving or possessing firearms or ammunition;
<LI class=style13 align="justify">Has not willfully violated the GCA or its regulations;
<LI class=style13 align="justify">Has not willfully failed to disclose material information or willfully made false statements concerning material facts in connection with his application;
<LI class=style13 align="justify">Has premises for conducting business or collecting; and- <LI align="justify">The applicant certifies that:
- <LI class=style13>the business to be conducted under the license is not prohibited by State or local law in the place where the licensed premises is located;
<LI class=style13>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 the business;
- the business will not be conducted under the license until the requirements of State and local law applicable to the business have been met;
- the applicant has sent or delivered a form to the chief law enforcement officer where the premises is located notifying the officer that the applicant intends to apply for a license; and
- secure gun storage or safety devices will be available at any place in which firearms are sold under the license to persons who are not licensees (“secure gun storage or safety device” is defined in 18 U.S.C. 921(a)(34)).
- <LI class=style13>the business to be conducted under the license is not prohibited by State or local law in the place where the licensed premises is located;
- <LI align="justify">The applicant certifies that:
(C2) How does one get a license? [Back]
Submit ATF Form 7, Application for License, or ATF Form 7CR, Application for License (Collector of Curios or Relics), with the appropriate fee in accordance with the instructions on the form to ATF. These forms may be obtained from the Federal Firearms Licensing Center or your local ATF office.
[18 U.S.C. 923, 27 CFR 478.44 and 478.45]
(C3) May one license cover several locations? [Back]
No. A separate license must be obtained for each location. However, storage facilities are not required to be covered by a separate license, although the records maintained on licensed premises must reflect all firearms held in the separate storage facility. Firearms may be shipped directly to separate storage facilities as long as they are properly recorded as an acquisition in the licensee's records.
[27 CFR 478.50]
(C4) Does an importer or manufacturer of firearms also need a dealer's license? [Back]
No, as long as the importer or manufacturer is engaged in the business of dealing in firearms at the licensed premises in the same type of firearms authorized by the importer’s or manufacturer’s license.
[27 CFR 478.41(b)]
(C5) If a person timely files an application for renewal of a license and the present license expires prior to receipt of the new license, may the person continue to conduct the business covered by the expired license? [Back]
Yes. A person who timely files an application for renewal of a license may continue operations authorized by the expired license until the application is finally acted upon. An application is timely filed when it is received accurate and completed at the P.O. Box listed on the application form with the appropriate renewal fee.
If a person does not timely file a license renewal application and the license expires, the person must file ATF Form 7, Application for License, or an ATF Form 7CR, Application for License (Collector of Curios or Relics), as required by 27 CFR 478.44, submit the application fee applicable to a new business, and obtain the required license before continuing business activity.
[27 CFR 478.45]
(C6) Must a licensed importer’s, manufacturer’s, or dealer’s records be surrendered to ATF if the licensee discontinues business? [Back]
If the business is being discontinued completely, the licensed dealer, manufacturer or importer is required, within 30 days, to forward the business records to the following address:
BUREAU OF ATF
ATF OUT-OF-BUSINESS RECORDS CENTER
244 NEEDY ROAD
MARTINSBURG, WV 24501
Failure to surrender required records is a felony and could result in the licensee being fined up to $250,000, imprisoned up to 5 years, or both. A licensee discontinuing business also must notify the Federal Firearms Licensing Center within 30 days. ATF OUT-OF-BUSINESS RECORDS CENTER
244 NEEDY ROAD
MARTINSBURG, WV 24501
If someone is taking over the business, the original licensee should underline the final entry in each bound book, note the date of transfer, and forward all records and forms to the successor (who must apply for and receive his or her own license before lawfully engaging in business) or forward the records and forms to the ATF Out-of-Business Records Center. If the successor licensee receives records and forms from the original licensee, the successor licensee may choose to forward these records and forms to the ATF Out-of-Business Record Center.
[18 U. S. C. 923(g)(4), 22 CFR 478.57, 27 CFR 478.127]
(C7) What records am I required to forward to ATF upon discontinuance of my business?[Back]
The records consist of the licensee's bound acquisition/disposition (A/D) records, ATF Forms 4473, ATF Forms 3310.4 (Report of Multiple Sale or Other Disposition of Pistols and Revolvers), ATF Forms 3310.11 (Federal Firearms Licensee Theft/Loss Report), records of transactions in semiautomatic assault weapons, records of importation (ATF Forms 6 and 6A), and law enforcement certification letters. If the licensee was granted a variance to use a computerized record-keeping system, the licensee is required to provide a complete printout of the entire A/D records.
[27 CFR 478.127]
(C8) May a successor owner of a business entity, other than one who is a successor under the provisions of 27 CFR 478.56 (for example, the surviving spouse or child, or a receiver or trustee in bankruptcy), commence a firearms business prior to receiving a Federal firearms license in the successor’s name?[Back]
No. Each person intending to engage in business as a firearms dealer, importer or manufacturer or an ammunition importer or manufacturer must obtain the required Federal firearms license prior to commencing business.
[27 CFR 478.41]
(C9) Does a Federal firearms license allow the licensee to carry a firearm in the course of business? [Back]
No. A Federal firearms license confers no right or privilege to carry a firearm, concealed or otherwise. Permits to carry are issued by State or local authorities.
(C10) May a person obtain a dealer's license to engage in business only at gun shows?[Back]
No. A license may only be issued for a permanent premises at which the license applicant intends to do business. A person having such license may conduct business at gun shows located in the State in which the licensed premises is located and sell and deliver curio or relic firearms to other licensees at any location.
[18 U.S.C. 923(a) and (j)]
(C11) May a licensee change the location of the licensed business or activity?
To change your location, you must file an application for an amended license, ATF Form 5300.38, not less than 30 days prior to the move. You must obtain the amended license before commencing business at the new location. The application for an amended license includes a certification of compliance with State and local laws and notification of local law enforcement officials.
[27 CFR 478.52]
(C12) Are black powder dealers required to be licensed as ammunition dealers under the GCA?
No. However, black powder dealers are subject to the provisions of 27 CFR Part 555, Commerce in Explosives, which requires that a dealer in any quantity of black powder must have a license as a dealer.
[18 U.S.C. 842]
D. ATF FORM 4473 FIREARMS TRANSACTION RECORD
(D1) Where can a dealer get ATF Forms 4473? [Back]
They are available free of charge from the ATF Distribution Center. The current address is P.O. Box 5950, Springfield, VA 22150-5950. Please order a quantity of forms estimated for 6 months use.
(D2) Does an unlicensed person need an ATF Form 4473 to transfer a firearm? [Back]
No. ATF Form 4473 is required only for transfers by a licensee.
[27 CFR 478.124]
(D3) Does a dealer have to execute ATF Form 4473 to take a weapon out of the dealer’s inventory for his or her own use? [Back]
No. However, the "bound book" must reflect the disposition of the firearm from business inventory to personal use.
However, if the business is a corporation, and the firearm is being transferred to a corporate officer or director for other than business purposes, then a Form 4473 must be executed.
[27 CFR 478.124 and 478.125a]
(D4) Who signs ATF Form 4473 for the seller? [Back]
ATF Form 4473 must be signed by the person who verified the identity of the buyer.
(D5) Is a Social Security card a proper means of identification for purchasing a firearm from an FFL? [Back]
No. A Social Security card, alien registration card, or military identification alone does not contain sufficient information to identify a firearms purchaser. However, a purchaser may be identified by any combination of government-issued documents which together establish all of the required information: Name, residence address, date of birth, and photograph of the holder.
[27 CFR 478.11 and 478.124(c)]
(D6) When must the ATF Form 4473 be signed? [Back]
Part I used for over-the-counter sales must be completed, signed and dated by the buyer prior to delivery of the firearm.
Part II (green form) used for intra-state non-over-the-counter sales must be completed, signed and dated in duplicate by the buyer at the time of sale.
[27 CFR 478.124(c) and 478.124(f)]
E. RECORDS REQUIRED – LICENSEES
(E1) What is a "bound book?" [Back]
A "bound book" is a permanently bound book or an orderly arrangement of loose-leaf pages which must be maintained on the business premises. The format must follow that prescribed in the regulations, and the pages must be numbered consecutively.
[27 CFR 478.121 and 478.125]
(E2) May a dealer keep more than one "bound book" at the same time? [Back]
Yes. A dealer in firearms is not limited to using only one "bound book." It may be convenient for a dealer to account for different brands or types of firearms in separate "bound books."
(E3) Does the Government sell a record book for licensees to use in recording their receipts and dispositions of firearms? [Back]
No. Certain trade associations have them available at nominal cost. Your supplier should be able to tell you about this.
(E4) What is the dealer's responsibility where a variance from normal regulatory practice has been authorized? [Back]
The ATF letter authorizing the variance must be kept at the licensed premises and available for inspection. For businesses with more than a single licensed outlet, each outlet covered by the variance must have a copy of the letter authorizing the change.
[27 CFR 478.22 and 478.125(h)]
(E5) How much time does a dealer have to record acquisitions and dispositions of firearms in his or her "bound book?" [Back]
Generally, licensees have to enter the acquisition or purchase of a firearm by the close of the next business day after the acquisition or purchase and shall record sales or other dispositions within 7 days.
However, if commercial records containing the required information are available for inspection and are separate from other commercial documents, dealers have 7 days from the time of receipt to record the receipt in the "bound book."
If a disposition is made before the acquisition has been entered in the "bound book," the acquisition entry must be made at the same time as the disposition entry.
[27 CFR 478.125]
(E6) Are the ammunition record-keeping requirements the same as for firearms? [Back]
No. No records are required for ammunition other than armor piercing ammunition. Disposition records must be kept by licensed manufacturers, importers, and collectors for transactions in armor piercing ammunition. [27 CFR 178.125]
(E7) Are rental firearms subject to record-keeping control? [Back]
Yes, if the firearms are taken off the premises of the licensee. However, the record-keeping is not imposed on the loan or rental of firearms for use only on the premises of the licensee.
[27 CFR 478.97]]
(E8) May a licensee who has firearms in his or her private collection sell any of these firearms without making firearms record entries? [Back]
A licensee may sell a firearm from his or her personal collection, subject only to the restrictions on firearm sales by unlicensed persons, provided the firearm was entered in the licensee’s bound book and then transferred to the licensee’s private collection at least 1 year prior to the sale. When the personal firearm is sold, the sale must be recorded in a "bound book" for dispositions of personal firearms, but no ATF Form 4473 is required.
[27 CFR 478.125a]
(E9) May a licensee maintain computer records in lieu of the "bound book?"[Back]
Yes. The Director of Industry Operations or other designated ATF official must approve a request for a record-keeping variance before the licensee may use a computer system in lieu of the "bound book" record required by the regulations.
[27 CFR 478.22 and 478.125(h)]
F. CONDUCT OF BUSINESS - LICENSEES
(F1) Does the Federal firearms law require licensees to comply with State laws and local published ordinances when selling firearms? [Back]
Yes. It is unlawful for any licensed importer, licensed manufacturer, licensed dealer, or licensed collector to sell or deliver any firearm or ammunition to any person if the person's purchase or possession would be in violation of any State law or local published ordinance applicable at the place of sale or delivery.
[18 U.S.C. 922(b)(2), 27 CFR 478.99(b)(2)]
(F2) May a licensed dealer sell a firearm to a non-licensee who is a resident of another State? [Back]
Generally, a firearm may not lawfully be sold by a licensed dealer to a non-licensee who resides in a State other than the State in which the seller’s licensed premises is located. However, the sale may be made if the firearm is shipped to a licensed dealer whose business is in the purchaser’s State of residence and the purchaser takes delivery of the firearm from the dealer in his or her State of residence. In addition, a licensee may sell a rifle or shotgun to a person who is not a resident of the State where the licensee’s business premises is located in an over-the-counter transaction, provided the transaction complies with State law in the State where the licensee is located and in the State where the purchaser resides.
[18 U.S.C. 922(b)(3)]
(F3) May a dealer sell firearms to law enforcement agencies and individual officers in another State? [Back]
Yes. Sales and deliveries of firearms to out-of-State police and sheriff departments are not prohibited by the GCA. A dealer may also sell or ship firearms, other than NFA firearms, to an individual law enforcement officer, regardless of age, if the dealer has a signed statement from the officer's agency, stating that the items are to be used in the buyer's official duties and that the officer has not been convicted of a misdemeanor crime of domestic violence. No ATF Form 4473 or NICS check is required; however, the bound book must be properly posted, and the signed statement included in the dealer's records. For further information on sales of firearms to law enforcement officers, see Item 4, “Sales to Law Enforcement Officers,” in the General Information section of this publication. You should contact your State’s Attorney General’s Office to ensure there is no State prohibition on such sales.
[18 U.S.C. 925(a) (1), 27 CFR 478.134 and 478.141]
(F4) May an employee of a licensed dealer, such as a manager or clerk, who is under 21 years of age, sell handguns and ammunition suitable for use in handguns for the licensee? [Back]
Yes, if the employee is not a prohibited person (e.g., a felon). However, to sell handguns, a person less than 18 years of age must have the prior written consent of a parent or guardian and the written consent must be in the person’s possession at all times. Also, the parent or guardian giving the written consent may not be prohibited by law from possessing a firearm. Moreover, State law must not prohibit the juvenile from possessing the handguns or ammunition.
[18 U.S.C. 922(x)]
(F5) As a licensed dealer, must I advise ATF if I sell more than one handgun to an individual? [Back]
If you sell or dispose of more than one handgun to any non-licensee during a period of 5 consecutive business days, the sale must be reported on ATF Form 3310.4, Report of Multiple Sale or Other Disposition of Pistols and Revolvers, not later than the close of the business day on which you sold or disposed of the second handgun. The licensee must forward a copy of the Form 3310.4 to the ATF office specified thereon, and another copy must be forwarded to the State police or local law enforcement agency where the sale occurred. A copy of the Form 3310.4 also must be attached to the firearms transaction record, ATF Form 4473, documenting the sale or disposition of the second handgun.
A business day for purposes of reporting multiple sales of pistols or revolvers is a day that a licensee conducts business pursuant to the license, regardless of whether State offices are open. The application of the term “business day” is, therefore, distinguishable from the term “business day” as used in the NICS context. Example: A licensee conducts business only on Saturdays and Sundays, days on which State offices are not open. The licensee sells a pistol to an unlicensed person on a Saturday. If that same unlicensed person acquires another handgun the next day (Sunday), the following Saturday or Sunday, or the Saturday after the reporting requirement would be triggered, the subsequent acquisition of a handgun would have to be reported on a Form 3310.4 by the close of the day upon which the second or subsequent handgun was sold.
[18 U.S.C. 923(g)(3), 27 CFR 478.126a]
(F6) Does a customer have to be a certain age to buy firearms or ammunition from a licensee? [Back]
Yes. Under the GCA, long guns and long gun ammunition may be sold only to persons 18 years of age or older. Sales of handguns and ammunition for handguns are limited to persons 21 years of age and older. Although some State and local ordinances have lower age requirements, dealers are bound by the minimum age requirements established by the GCA. If State law or local ordinances establish a higher minimum age, the dealer must observe the higher age requirement.
[18 U.S.C. 922(b)(1), 27 CFR 478.99(b)]
(F7) May a licensee sell interchangeable ammunition such as .22 cal. rimfire to a person less than 21 years old? [Back]
Yes, provided the buyer is 18 years of age or older, and the dealer is satisfied that it is for use in a rifle. If the ammunition is intended for use in a handgun, the 21-year-old minimum age requirement is applicable.
[18 U.S.C. 922(b)(1), 27 CFR 478.99(b)]
(F8) In transactions between licensees, how is the seller assured that a purchaser of a firearm is a licensed dealer? [Back]
Verification must be established by the transferee furnishing to the transferor a certified copy of the transferee's license and by any other means the transferor deems necessary (such as the FFL eZcheck).
[27 CFR 478.94]
(F9) Must a multi-licensed business submit a certified copy of each of its licenses when acquiring firearms? [Back]
No. It need only provide the seller a list, certified to be true, correct and complete, containing the name, address, and license number and expiration date for each location.
[27 CFR 478.94]
(F10) May a licensee continue to deliver to a business whose license has expired? [Back]
Yes, for a period of 45 days following the expiration date of the license. After the 45-day period, the transferor is required to verify the licensed status of the transferee with the Chief, Firearms Licensing Center. If the transferee's license renewal application is still pending, the transferor must obtain evidence from the Director of Industry Operations that a license renewal application has been timely filed by the transferee and is still pending.
[27 CFR 478.94]
(F11) Is a license required to engage in the business of selling small arms ammunition? [Back]
No. A license is not required for a dealer in ammunition only, but a manufacturer or an importer of ammunition must be licensed.
[18 U.S.C. 922 (a)(1)(B)]
(F12) May licensed dealers sell firearms at gun shows? [Back]
Generally, a licensee may sell firearms at a gun show located only in the same State as that specified on the seller’s license. However, a licensee may sell curio or relic firearms to another licensee at any location.
[18 U.S.C. 923(j), 27 CFR 478.100]
(F13) What may a licensed dealer do at an out-of-State gun show? [Back]
A licensed dealer may sell and deliver curio or relic firearms to another licensee at an out-of-State gun show. With respect to other firearms transactions, a licensed dealer may only display and take orders for firearms at an out-of-State gun show. In filling any orders for firearms, the dealer must return the firearms to his or her licensed premises and deliver them from that location. Any firearm ordered by a non-licensee must be delivered or shipped from the licensee's premises to a licensee in the purchaser's State of residence, and the purchaser must obtain the firearm from the licensee located in the purchaser’s State. Except for sales of curio or relic firearms to other licensees, sales of firearms and simultaneous deliveries at the gun show, whether to other licensees or to non-licensees, violate the law because the dealer would be unlawfully engaging in business at an unlicensed location.
[18 U.S.C. 922(a)(1), (b)(3), 923(a) and (j)]
(F14) Who may ship handguns through the U.S. Postal Service? [Back]
Federal firearm licensees may send an unloaded handgun in the mail to another FFL in customary trade shipments. Handguns also may be mailed to any officer, employee, agent, or watchman who is eligible under 18 U.S.C. 1715 to receive pistols, revolvers, and other firearms capable of being concealed on the person for use in connection with his or her official duties.
However, postal service regulations must be followed. Any person proposing to mail a handgun must file with the postmaster, at the time of mailing, an affidavit signed by the addressee stating that the addressee is qualified to receive the firearm, and the affidavit must bear a certificate stating that the firearm is for the official use of the addressee. See the current Postal Manual for details.
The Postal Service recommends that all firearms be sent by registered mail and that no marking of any kind which would indicate the nature of the contents be placed on the outside of any parcel containing firearms. (See also Questions B7 and B8.)
(F15) Must a dealer record firearms received on consignment? [Back]
Yes. Firearms received for sale on consignment must be entered in the dealer's "bound book."
Sales of the firearms are handled in the same manner as other firearm sales. Return of the remaining firearms by the licensee to the consignor is entered in the dealer's disposition record. An ATF Form 4473 and a NICS check must be completed.
(F16) To whom does an FFL report stolen or lost firearms? [Back]
A theft or loss of firearms must be reported to your local police as well as to ATF within 48 hours after the discovery. Licensees should notify ATF on the 24-hour, 7 days a week toll free line at 1-800-800-3855 and by preparing and submitting ATF Form 3310.11, Federal Firearms Licensee Theft/Loss Report.
Theft or loss of NFA firearms should also be reported to the NFA Branch immediately upon discovery.
[18 U.S.C. 923(g)(6), 27 CFR 478.39 and 479.141]
(F17) If my firearms are stolen or lost, what do I do about my records? [Back]
Take an inventory of stock on hand and enter "stolen" or “lost” and the date in the disposition section of the "bound book" for those stolen or lost firearms. In addition, at the time a licensee reports the theft or loss on the ATF toll free line, the licensee will be provided a control number that should be placed in the records as well as on ATF Form 3310.11, Federal Firearms Licensee Theft/Loss Report.
(F18) How many copies of the ATF Form 3310.4, Report of Multiple Sale or Other Disposition of Pistols and Revolvers, must be completed and what becomes of each copy? [Back]
ATF Form 3310.4 must be completed in triplicate (3 copies). The original is sent to ATF’s National Tracing Center by FAX at 1-877-283-0288 or by mail to Box 1061, Falling Waters, West Virginia 25419-1061. A copy is to be sent to the designated State police or the local law enforcement agency in the jurisdiction where the sale took place. The remaining copy is to be retained in the records of the dealer and held for not less than 5 years.
[27 CFR 478.126a and 478.129]
(F19) What is my responsibility to respond to a request to trace a firearm? [Back]
A licensee must provide the requested information immediately and in no event later than 24 hours after receipt of a request by ATF. Failure to respond to the request for trace information can result in monetary fines, imprisonment, and/or revocation of the licensee’s Federal firearms license.
[18 U.S.C. 923(g)(7), 27 CFR 478.25a]
(F20) Does the requirement to give written notification to handgun transferees about juvenile handgun possession apply to a licensed dealer who returns firearms to their owners, for example, handguns that the dealer repaired? [Back]
Yes. The requirement to give written notification to non-licensees applies to the return of handguns, as well as to their sale. It applies even if the licensee ships the repaired firearm to the customer.
[27 CFR 478.103]
(F21) Does the requirement to post a sign on the licensed premises about juvenile handgun possession apply to a licensed dealer who only disposes of handguns to nonlicensees who do not appear at the dealer’s premises? [Back]
No. The sign posting requirement does not apply where the licensee only disposes of handguns to non-licensees who do not appear at the licensed premises (for example, the licensee only ships repaired or replacement handguns to non-licensees).
[27 CFR 478.103]
