[RIN 1140-AA85]

§ 478.102 Sales or deliveries of firearms on and after November 30, 1998.Firearms sales or deliveries.

  1. a.(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. 1.(1) Before the completion of the transfer, the licensee has contacted NICS;

    2. 2.(2) The licensee has verified the identity of the transferee by examining the identification document presented in accordance with the provisions of § 478.124(c); and

    3. 3.(3) NICS has responded to the licensee with one of the following results, or has not responded to the licensee and the required investigatory period has elapsed:

      1. i.(i) Notification. NICS provides the licensee with a “Proceed” notification and a unique identification number, at which time the transfer may proceed.

      2. ii.(ii) Initial investigatory period. If NICS does not respond to the licensee as described in paragraph (a)(3)(i) of this section, the licensee must not proceed with the transfer for three business days (days on which State offices are open). If three business days have elapsed from the date the licensee contacted NICS, and NICS has not provided the licensee with a “Denied” notification, the licensee may proceed with the transfer unless the transferee is under 21 years old and paragraph (a)(3)(iii) of this section applies.

          1. Example 1 to paragraph (a)(3)(ii):

          2. A licensee contacts NICS on Thursday and gets a “Delayed” response. The licensee does not get a further response from NICS of any kind. If State offices are not open on Saturday and Sunday, three business days would have elapsed on the following Tuesday. The licensee may transfer the firearm on the next day, Wednesday.

      3. iii.(iii) Additional investigatory period in the case of a transferee who is under 21 years old (applies through September 30, 2032). In the case of a transferee under 21 years of age, if NICS notifies the licensee within three business days from the date the licensee contacted NICS that cause exists for further investigation, the licensee may not proceed with the transfer until they receive a follow-up “Proceed” response from NICS or until another seven business days have expired, exclusive of the day on which the query is made (up to ten business days in total), whichever occurs first. If ten business days have elapsed from the date the licensee contacted NICS, and NICS has not notified the licensee that transfer to, or receipt of the firearm by, the transferee is “Denied,” the transfer may proceed.

          1. Example 2 to paragraph (a)(3)(iii):

          2. A licensee contacts NICS on Thursday, the 10th and gets a “Delayed” response. If State offices are not open on Saturdays and Sundays, three business days would elapse on the following Tuesday, the 15th. If the transferee is a person 21 years of age or older, the FFL may transfer the firearm at 12:01 on Wednesday, the 16th. However, if the transferee is a person less than 21 years of age, and NICS notifies the licensee by Tuesday, the 15th, that cause exists for further investigation of a possibly disqualifying juvenile record, the licensee may not transfer the firearm the next day, the 16th. If the licensee does not get a further response from NICS by the end of the tenth business day denying the transfer, the licensee may transfer the firearm the next day. Ten business days would elapse on the Thursday of the following week, the 24th. The licensee may transfer the firearm on the next day, Friday, the 25th.

  2. b.(b) Transaction number. In any transaction for which a licensee receives a transaction number from NICS (which shall include either a NICS transaction number or, in States where the State is recognized as a point of contact for NICS checks, a State transaction number), such number shall be recorded on a firearms transaction record, Form 4473, which shall be retained in the records of the licensee in accordance with the provisions of § 478.129. This applies regardless of whether the transaction is approved or denied by NICS, and regardless of whether the firearm is actually transferred.

  3. [RIN 1140-AA82]

    c.(c) Time limitation on NICS checks. A NICS check conducted in accordance with paragraph (a) of this section may be relied upon by the licensee only for use in a single transaction, and for a period not to exceed 30 calendar days from the date that NICS was initially contacted. If the transaction is not completed within the 30-day period, the licensee shall initiate a new NICS check prior to completion of the transfer.

    Time limitation on NICS checks. When a NICS check is required, the licensee must initiate a NICS check once the transferee and licensee complete the initial portions of Form 4473, Firearm Transaction Record, in accordance with § 478.124 of this part and the instructions on the form. Form 4473 is valid for only a single transaction, and for a period of two calendar months from the date the parties complete these portions of Form 4473 and the licensee initiates the NICS check or until the form is used to complete a firearm transfer, whichever occurs earlier. As a result, the licensee may rely upon an accompanying NICS check conducted in accordance with paragraph (a) of this section only for use in the same single transaction, and for the same period, as the accompanying Form 4473. The two-month period ends on (and includes) the same date in that second month as the date the transferee certified Form 4473 and initiated the background check. For transactions that occur during the last three days of December, the two-month period concludes on the last day of February, either February 28 or 29. For transactions that occur on July 31, the two-month period concludes on September 30. If the transaction is not completed within the two-month period, the transferee and licensee must complete a new Form 4473 and the licensee must initiate a new NICS check prior to completing the transfer.

      1. Example 3 paragraph (c):

      2. 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.

        When a NICS check is required, the licensee must initiate a NICS check once the transferee and licensee complete the initial portions of Form 4473, Firearm Transaction Record, in accordance with § 478.124 of this part and the instructions on the form. Form 4473 is valid for only a single transaction, and for a period of two calendar months from the date the parties complete these portions of Form 4473 and the licensee initiates the NICS check or until the form is used to complete a firearm transfer, whichever occurs earlier. As a result, the licensee may rely upon an accompanying NICS check conducted in accordance with paragraph (a) of this section only for use in the same single transaction, and for the same period, as the accompanying Form 4473. The two-month period ends on (and includes) the same date in that second month as the date the transferee certified Form 4473 and initiated the background check. For transactions that occur during the last three days of December, the two-month period concludes on the last day of February, either February 28 or 29. For transactions that occur on July 31, the two-month period concludes on September 30. If the transaction is not completed within the two-month period, the transferee and licensee must complete a new Form 4473 and the licensee must initiate a new NICS check prior to completing the transfer.

      1. Example 4 to paragraph (c):

      2. 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.

        Purchaser 1 and the licensee initiate Form 4473 on December 29 prior to a leap year, and the licensee initiates a NICS check on that date. In addition, purchaser 2 and the licensee initiate Form 4473 on December 30, again with a NICS check initiated on that date, and purchaser 3 and the licensee initiate Form 4473 on December 31, again with a NICS check initiated on that date. NICS informs the licensee that the information available to the system does not indicate that it would violate law for any of these purchasers to receive the firearms, and NICS provides a unique identification number for each one. Purchaser 1 returns to purchase their firearm on February 29. The purchaser and licensee do not have to complete a new Form 4473 and the licensee does not have to conduct another NICS check before transferring the firearm to this purchaser because purchaser 1 returned on the last day of the two-month period as it applies to February in a leap year.

        Purchasers 2 and 3, however, return to purchase their firearms on March 1. They and the licensee must each initiate a new Form 4473 and the licensee must initiate another NICS check for each of them before transferring firearms to these purchasers because they returned after the last date in February, the second month, on which they could purchase the firearm. Similarly, purchaser 4 and the licensee initiate Form 4473 on July 31, and the licensee initiates a NICS check on that date. NICS informs the licensee that the information available to the system does not indicate it would violate law for this purchaser to receive the firearm, and NICS provides a unique identification number. The purchaser returns to purchase the firearm on October 1. The purchaser and licensee must initiate another Form 4473 and the licensee has to initiate another NICS check before transferring a firearm to this purchaser because the purchaser returned after the last date in September, the second month, on which the purchaser could purchase the firearm.

      1. Example 5 to paragraph (c):

      2. 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.

        A purchaser and licensee initiate Form 4473 on January 25, 2025, to purchase one firearm. The licensee initiates the NICS check on that date. NICS subsequently informs the licensee that the information available to the system does not indicate it would violate law for this purchaser to receive the firearm, and NICS provides a unique identification number. The state imposes a seven-day waiting period on all firearms transactions, and the purchaser returns to pick up the firearm on February 15, 2025. Before the licensee executes Form 4473 and the purchaser receives the firearm, the purchaser decides to purchase an additional firearm. The licensee may add the second firearm to Form 4473, and transfer that firearm without conducting another NICS check, because transferring these two firearms constitutes a single transaction under these circumstances and the two-month purchase period has not ended.

      3. Example 6 to paragraph (c):

      4. A purchaser and licensee initiate Form 4473 on February 15, 2025, and the licensee initiates a NICS check that same day. Within a few minutes, NICS informs the licensee that the information available to the system does not indicate it would violate law for this purchaser to receive the firearm, and NICS provides a unique identification number. A few minutes later, the licensee executes Form 4473, and the purchaser receives the firearm. On February 20, 2025, the purchaser returns to the licensee's premises and wishes to purchase a second firearm. Purchasing the second firearm in this case is a separate transaction; thus, the purchaser and licensee must complete a new Form 4473 and the licensee must initiate a new NICS check.

    4. [RIN 1140-AA85]

  4. d.(d) Exceptions to NICS check. The provisions of paragraph (a) of this section shall do not apply if—

    1. 1.(1) The transferee has presented to the licensee a valid permit (or license) that—

      1. i.(i) Allows the transferee to possess, acquire, or carry a firearm;

      2. ii.(ii) Was issued not more than 5 years earlier by the State in which the transfer is to take place; and

      3. iii.(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; The law of the state provides that such a permit is to be issued only after an authorized government official has verified that the information available to such official does not indicate that the transferee possessing the firearm would be in violation of any applicable law.

    2. 2.(2) The firearm is subject to the provisions of the National Firearms Act and has been approved for transfer under 27 CFR part 479; or

    3. 3.(3) On application of the licensee, in accordance with the provisions of § 478.150, the Director has certified that compliance with paragraph (a)(1) of this section is impracticable. The licensee has applied for certification, in accordance with the provisions of § 478.150, and the Director has certified that compliance with paragraph (a)(1) of this section is impracticable.

  5. e.(e) Documenting an exception to NICS check. The document referred to in paragraph (d)(1) of this section (or a copy thereof) shall be retained or the required information from the document shall be recorded on the firearms transaction record in accordance with the provisions of § 478.131.

    Documenting an exception to NICS check. A licensed importer, manufacturer, or dealer who sells, delivers, or transfers a firearm pursuant to the alternative provisions of § 478.102(d) that is not subject to a NICS check prescribed by § 478.102(a), must retain a copy of the document referred to in paragraphs (d)(1) or (3) of this section, or must record the required information from the document in accordance with the provisions of § 478.124(c)(4)(iv).

  6. f.(f) Clarifications on exceptions to NICS check. For purposes of paragraph (d) of this section:

    1. f.(f) A permit (including a nominally “lifetime” permit or a permit nominally issued for more than five years) is deemed issued within the previous five years if:

      1. i.(i) The law of the state requires that an authorized government official verify or reverify the information described in paragraph (d)(1)(iii) within the previous five years;

      2. ii.(ii) The authorized government official issuing the permit has complied with that legal requirement; and

      3. iii.(iii) The person possessing the qualifying permit presents documentation to a licensee prior to a firearm transfer that is from the authorized issuing government authority and establishes the permit’s verification or reverification date.

    2. 2.(2) The phrase in paragraph (d)(1)(iii) of this section, “only after an authorized government official has verified that the information available to such official,” means that the state law provides that an official reviews information they received as a part of a National Instant Criminal Background Check System (NICS) check, or equivalent check, and determines, based on the information received and any other information readily accessible to that official, that the transferee possessing firearms would not be a violation of law, except that —

      1. i.(i) If the Federal Bureau of Investigation does not make NICS available to the authorized government official who issues the license, the official verifies all the information that is otherwise available to the official; and

      2. ii.(ii) “Information available to such official” does not include information that can be obtained only through extraordinary effort, expense, or means.

    3. 3.(3) In assessing whether a state firearms permit qualifies under the exception codified at 18 U.S.C. 922(t)(3), ATF considers the law of the state, which includes state statutes and common law, state regulations having the force and effect of law, precedential judicial opinions, and any opinions of the executive branch that are binding and have the force and effect of law. The mere fact that permits may have been erroneously granted does not, by itself, establish the law of the state.

    4. 4.(4) Where a state has multiple procedures to issue a permit, only some of which qualify under 18 U.S.C. 922(t), a person may use a permit issued pursuant to a procedure qualifying under 18 U.S.C. 922(t), provided the qualifying permit has marks or labeling sufficient to distinguish it from other permits issued pursuant to non-qualifying procedures.