§ 478.124 Firearms transaction record.

  1. a.(a)A licensed importer, licensed manufacturer, or licensed dealer shall not sell or otherwise dispose, temporarily or permanently, of any firearm to any person, other than another licensee, unless the licensee records the transaction on a firearm transaction record, Form 4473: Provided, that a firearms transaction record, Form 4473, shall not be required to record the disposition made of a firearm delivered to a licensee for the sole purpose of repair or customizing when such firearm or a replacement firearm is returned to the person from whom received; provided further, that a firearms transaction record, Form 4473, shall not be used if the sale or other disposition is being made to another licensed importer, licensed manufacturer, or licensed dealer, or a curio or relic to a licensed collector, including a sole proprietor who transfers a firearm to their personal collection or otherwise as a personal firearm in accordance with § 478.125a. When a licensee transfers a firearm to another licensee, the licensee shall comply with the verification and recordkeeping requirements in § 478.94 and this subpart.

    Overall requirement and exceptions. A licensed importer, manufacturer, or dealer may not sell or otherwise dispose of, temporarily or permanently, any firearm to any person, unless the licensee records the transaction on either an electronic or paper ATF Form 5300.9, Firearms Transaction Record (“Form 4473”). However, this requirement does not apply to:

    1. 1.(1) Returning a firearm (or replacement firearm) to the person from whom the licensee received it, when the firearm was delivered to the licensee for the sole purpose of repairing or customizing it;

    2. 2.(2) Selling or disposing of a firearm —

      1. i.(i) To another licensed importer, manufacturer, or dealer;

      2. ii.(ii) To a licensed collector, if the firearm is a curio or relic;

      3. iii.(iii) By a sole proprietor transferring a firearm to the proprietor’s personal collection or otherwise as a personal firearm in accordance with § 478.125a; or

      4. iv.(iv) To a governmental official, agent, or employee, or to a governmental agency, for official duty use. See § 478.134.

  2. b.(b) A licensed manufacturer, licensed importer, or licensed dealer shall retain in alphabetical (by name of purchaser), chronological (by date of disposition), or numerical (by transaction number) order, and as a part of the required records, each Form 4473 obtained in the course of transferring custody of the firearms.

    b.(b) Transfers to other licensees. When a licensee transfers a firearm to another licensee, the licensee must comply with the verification and record-keeping requirements in § 478.94 and this subpart.

  3. [RIN 1140-AA82]

    1. 1.(1) Prior to making an over-the-counter transfer of a firearm to a non-licensee who is a resident of the State in which the licensee's business premises is located, the licensed importer, licensed manufacturer, or licensed dealer so transferring the firearm shall obtain a Form 4473 from the transferee showing the transferee's name, sex, residence address (including county or similar political subdivision and whether they reside within city limits), and date and place of birth; the height, weight, and race of the transferee; the transferee's country of citizenship; the transferee's DHS-issued alien number or admission number; the transferee's State of residence; certification by the transferee that the transferee is not prohibited by the Act from transporting or shipping a firearm in interstate or foreign commerce or receiving a firearm which has been shipped or transported in interstate or foreign commerce or possessing a firearm in or affecting commerce; and certification that the transferee does not intend to purchase or acquire any firearm for sale or other disposition to a person so prohibited or in furtherance of any felony or other offense punishable by imprisonment for a term of more than one year, a Federal crime of terrorism, or a drug trafficking offense.

    2. 2.(2) In order to facilitate the transfer of a firearm and enable NICS to verify the identity of the person acquiring the firearm, ATF Form 4473 also requests certain optional information. This information includes the transferee's social security number. Such information may help avoid the possibility of the transferee being misidentified as a felon or other prohibited person.

    3. 3.(3) After the transferee has executed the Form 4473, the licensee:

      1. i.(i) Shall verify the identity of the transferee by examining the identification document (as defined in § 478.11) presented, and shall note on the Form 4473 the type of identification used;

      2. ii.(ii) [Reserved]

      3. iii.(iii) Must, in the case of a transferee who is an alien admitted to the United States under a nonimmigrant visa who states that he or she falls within an exception to, or has a waiver from, the prohibition in section 922(g)(5)(B) of the Act, have the transferee present applicable documentation establishing the exception or waiver, note on the Form 4473 the type of documentation provided, and attach a copy of the documentation to the Form 4473; and

      4. iv.(iv) Shall comply with the requirements of § 478.102 and record on the form the date on which the licensee contacted the NICS, as well as any response provided by the system, including any identification number provided by the system.

    4. 4.(4) The licensee shall identify the firearm to be transferred by listing on the Form 4473 the name of the manufacturer, the name of the importer (if any), the type, model, caliber or gauge, and the serial number (including any associated license number either as a prefix, or if remanufactured or imported, separated by a semicolon) of the firearm. Where no manufacturer name has been identified on a privately made firearm, the words “privately made firearm” (or abbreviation “PMF”) shall be recorded as the name of the manufacturer.

    5. 5.(5) The licensee shall sign and date the form if the licensee does not know or have reasonable cause to believe that the transferee is disqualified by law from receiving the firearm and transfer the firearm described on the Form 4473.

  4. c.(c) Transfers to in-state residents. Prior to transferring a firearm to a non-licensee who is a resident of the state in which the licensee’s business premises are located, the licensed importer, manufacturer, or dealer transferring the firearm must obtain Form 4473 from the transferee.

    1. 1.(1) Required information. Form 4473 must show the transferee’s:.

      1. i.(i) Name, sex, residence address;

      2. ii.(ii) Birthdate and birthplace;

      3. iii.(iii) Height, weight, and race;

      4. iv.(iv) Citizenship country;

      5. v.(v) DHS-issued alien number or admission number (if applicable);

      6. vi.(vi) Certification that the transferee is not prohibited by the Act from receiving a firearm which has been shipped or transported in interstate or foreign commerce, possessing a firearm in or affecting commerce, or transporting or shipping a firearm in interstate or foreign commerce; and

      7. vii.(vii) For non-over-the-counter transfers, the title, name, and address of the principal or chief law enforcement officer in the locality to which the firearm will be delivered (which the transferee may attach as a supplemental statement).

    2. 2.(2) Auto-populating information. When collecting data, licensees and their customers may enter data manually into Form 4473 or other record, or may have that data automatically populate (including by scanning documents or barcodes), subject to the following limitations:

      1. i.(i) Before automatically populating data, the terminal in which a person is inputting such data must:

        1. A.(A) Clearly display to the person executing the form (or recording the record) what information will be automatically populated;

        2. B.(B) Provide the person executing the form (or record) with the opportunity to amend the data, including by adding necessary data and changing incorrect data; and

        3. C.(C) Require the person executing the form (or record) to acknowledge that the information being auto-populated is complete and correct.

      2. ii.(ii) Persons may not auto-populate any signatures or certifications on the form or any part of the form (or other record). This includes certifying any fact (or answering any question) related to a person’s eligibility to possess or acquire a firearm.

      3. iii.(iii) Paragraph (c)(2)(ii) of this section does not apply to auto-populating a person’s name, address, and birthdate, including by scanning an identity document, provided the licensee and transferee auto-populated this information in compliance with paragraph (c)(2)(i).

      4. iv.(iv) Any information auto-populated from another document or an electronic file or system of any kind must be fully entered into Form 4473 (or other record) so that the form or record is complete on its own and does not have to connect back to the source to subsequently pull the information.

    3. 3.(3) Optional information. To facilitate transferring a firearm and enable NICS to verify the identity of the person acquiring the firearm, Form 4473 also requests certain optional information. This information includes the transferee's social security number.

    4. 4.(4) Information from entities. A licensee who sells or otherwise disposes of a firearm to a non-licensee who is other than an individual (i.e., an entity), must obtain from an individual authorized to act on behalf of the transferee the information required by this section. In addition, the licensee must obtain from the individual acting on behalf of the transferee a written statement, executed under the penalties of perjury, that the firearm is being acquired for the transferee’s use and will be its property, and showing the transferee’s name and address

    5. 5.(5) Licensee verifications. After the transferee has executed the transferee portion of Form 4473, the licensee must:

      1. i.(i) For over-the-counter transfers, verify the transferee’s identity by examining their photo identification document (as defined in § 478.11 of this part), even if the transferee’s identification document was used to auto-populate portions of the form;

      2. ii.(ii) For over-the-counter transfers, verify the transferee’s residence using the photo identification document, permanent change of station (“PCS”) orders, or two documents listed in paragraph (g) of this section if the photo identification document does not contain a residence address or does not contain the current residence address that is the basis of the firearms purchase;

      3. [RIN 1140-AB05]

        iii.(iii) For non-over-the-counter transfers subject to a NICS check, ensure that the transferee has included a true copy of the transferee’s photo identification document with Form 4473 and that the document’s information matches the information the transferee provided on the form. Then follow the procedures for remote identity verification in § 478.96(c).

      4. iv.(iv) For all transfers in which the transferee is an alien admitted to the United States under a non-immigrant visa who states that the alien falls within an exception to, or has a waiver from, the prohibition in section 922(g)(5)(B) of the Act, examine applicable documents establishing the exception or waiver;

      5. v.(v) For non-over-the-counter transfers that are NICS exempt, ensure that the transaction meets the requirements of 18 U.S.C. 922(t)(3) and 27 CFR 478.102(d). Licensees must, as applicable, include a true copy of the permit or license, certify on Form 4473 that the transaction involves only an approved transfer of NFA firearms, or include the Director’s certification under § 478.102(d)(3) of this part. Licensees must ensure they comply with all applicable requirements in § 478.96(b) and § 478.102(d) of this part; and

      6. vi.(vi) For over-the-counter transfers and non-over-the-counter transfers, comply with the requirements of § 478.102 and record on the form the information the form requires about the date on which the licensee contacted NICS, as well as any response provided by the system, including any identification number provided by the system.

    6. 6.(6) Documenting verifications. When a transferee must provide a photo identification document, residence verification, or other document establishing eligibility to acquire a firearm, the licensee must either:

      1. i.(i) Keep a legible copy of the document (whether in a paper or electronic form) together with Form 4473 in their records; or

      2. ii.(ii) Record on Form 4473 the type of document used, its identifying number, date it was issued, and expiration date, if included on the document.

      3. iii.(iii) In the case of a multiple-page document, such as a lease, the licensee may retain a copy only of the pages necessary to establish the transferee’s residence.

    7. 7.(7) Identifying firearms. The licensee must identify the firearm being transferred by listing on Form 4473 the manufacturer’s name, the importer’s name (if imported), and the firearm’s type, model, caliber or gauge, and serial number (including any associated license number either as a prefix, or if remanufactured or imported, separated by a semicolon). When a privately made firearm has no manufacturer name identified on it, the licensee must record the words "privately made firearm" (or abbreviation "PMF") instead of the manufacturer’s name.

    8. 8.(8) Transferee final steps. Transferee final steps. Prior to receiving the firearm, the transferee must:

      1. i.(i) Complete all applicable sections of Form 4473, including those that establish the transferee meets eligibility requirements to possess or receive a firearm under federal law;

      2. ii.(ii) Sign or initial responses and form where required; and

      3. iii.(iii) Certify that all responses and data on the form are complete and correct.

    9. 9.(9) Licensee signature and transfer. The licensee must then sign and date the form and then may transfer the firearm described on the form, if the licensee does not know or have reasonable cause to believe that the transferee is disqualified by law from receiving the firearm.

    10. 10.(10) Non-over-the-counter pre-notification. For non-over-the-counter transfers, before shipping or delivering the firearm to the transferee, the licensee must comply with additional requirements in § 478.96 for notifying law enforcement and handling Form 4473.

    11. 11.(11) Retaining records. In all cases, after the licensee transfers the firearm, the licensee must comply with Form 4473 records retention requirements in this section and in § 478.129.

  5. d.(d) Prior to making an over-the-counter transfer of a shotgun or rifle under the provisions contained in § 478.96(c) to a nonlicensee who is not a resident of the State in which the licensee's business premises is located, the licensee so transferring the shotgun or rifle, and such transferee, shall comply with the requirements of paragraph (c) of this section.

    d.(d) Transfers to out-of-state residents. The Act permits the following transfers to out-of-state residents, but the licensee and transferee must comply with the requirements of paragraph (c) of this section:

    1. 1.(1) Transferring shotguns and rifles over the counter under the provisions contained in § 478.96(d) 478.96(e) to a non-licensee who is not a resident of the state in which the licensee's business premises are located; or

    2. 2.(2) Loaning or renting a firearm to use temporarily for lawful sporting purposes under the provisions in § 478.97(a) to any non-licensee who is not a resident of the state in which the licensee's business premises are located.

  6. e.(e) Prior to making a transfer of a firearm to any nonlicensee who is not a resident of the State in which the licensee's business premises is located, and such nonlicensee is acquiring the firearm by loan or rental from the licensee for temporary use for lawful sporting purposes, the licensed importer, licensed manufacturer, or licensed dealer so furnishing the firearm, and such transferee, shall comply with the provisions of paragraph (c) of this section.

    e.(e) Private-party transfers. To the extent permitted by 28 CFR part 25, a licensee may facilitate a background check for private-party transfers.

    1. 1.(1) A private-party transfer is a transfer between two persons who are not licensed importers, manufacturers, or dealers under the Gun Control Act, and does not involve the licensee in the transfer. Under this provision, the licensee provides services solely to facilitate the background check, not the transfer.

    2. 2.(2) If facilitating a background check for a private-party transfer, the licensee must check the appropriate box at the top of Form 4473 to designate the form is for that purpose. The licensee must comply with paragraph (c) of this section to ensure the licensee collects all the appropriate information for a background check.

    3. 3.(3) A licensee facilitating a background check may not take the firearm into the licensee’s inventory, nor may the licensee sell, deliver, or otherwise transfer the firearm to the transferee or facilitate the transfer in any other way.

    4. 4(4) A licensee may not provide background check services for a private-party transfer if federal law requires that the firearm first be transferred to a licensee, such as for transfers between residents of different states.

    5. 5(5) Nothing in this subsection authorizes any licensee to facilitate a background check for a private-party transfer in violation of federal, state, or applicable local law.

  7. f.(f) Form 4473 shall be submitted, in duplicate, to a licensed importer, licensed manufacturer, or licensed dealer by a transferee who is purchasing or otherwise acquiring a firearm by other than an over-the-counter transaction, who is not subject to the provisions of § 478.102(a), and who is a resident of the State in which the licensee's business premises are located. The Form 4473 shall show the transferee's name, sex, residence address (including county or similar political subdivision and whether they reside within city limits), and date and place of birth; the height, weight, and race of the transferee; the transferee's country of citizenship; the transferee's DHS-issued alien number or admission number; the transferee's State of residence; and the title, name, and address of the principal law enforcement officer of the locality to which the firearm will be delivered. The transferee shall also certify on the Form 4473 that the transferee does not intend to purchase or acquire any firearm for sale or other disposition to a person so prohibited or in furtherance of any felony or other offense punishable by imprisonment for a term of more than one year, a Federal crime of terrorism, or a drug trafficking offense. The licensee shall identify the firearm to be transferred by listing in the Forms 4473 the name of the manufacturer, the name of the importer (if any), the type, model, caliber or gauge, and the serial number of the firearm to be transferred. Where no manufacturer name has been identified on a privately made firearm, the words “privately made firearm” (or abbreviation “PMF”) shall be recorded as the name of the manufacturer. The licensee shall prior to shipment or delivery of the firearm to such transferee, forward by registered or certified mail (return receipt requested) a copy of the Form 4473 to the principal law enforcement officer named in the Form 4473 by the transferee, and shall delay shipment or delivery of the firearm to the transferee for a period of at least 7 days following receipt by the licensee of the return receipt evidencing delivery of the copy of the Form 4473 to such principal law enforcement officer, or the return of the copy of the Form 4473 to the licensee due to the refusal of such principal law enforcement officer to accept same in accordance with U.S. Postal Service regulations. The original Form 4473, and evidence of receipt or rejection of delivery of the copy of the Form 4473 sent to the principal law enforcement officer, shall be retained by the licensee as a part of the records required to be kept under this subpart.

    f(f) Voluntary firearms handler checks (FHCs). The licensee may voluntarily engage in conducting NICS background checks on the licensee’s own employees. The employee must provide written informed consent on Form 4473 that the employee agrees to the background check before the licensee initiates it. The licensee and employees must comply with the requirements of paragraph (c) of this section (except changes necessary to enable FHCs, including that a licensee would not enter any firearm information on the form). If the licensee is conducting an FHC, the licensee must check the appropriate box at the top of Form 4473 to designate the form is for that purpose.

  8. g.(g) A licensee who sells or otherwise disposes of a firearm to a nonlicensee who is other than an individual, shall obtain from the transferee the information required by this section from an individual authorized to act on behalf of the transferee. In addition, the licensee shall obtain from the individual acting on behalf of the transferee a written statement, executed under the penalties of perjury, that the firearm is being acquired for the use of and will be the property of the transferee, and showing the name and address of that transferee.

    g(g) Proving residence.

    1. 1(1) When the photo identification document presented to the dealer does not include a residence address or does not contain the current residence address that is the basis of the firearm purchase, a transferee may demonstrate residence by providing the licensee with two of the following documents that have the person’s name and full residence address:

      1. i(i) Bank statement dated within 90 days

      2. ii(ii) Canceled check, dated within 90 days, with imprinted name and address

      3. iii(iii) Voter registration

      4. iv(iv) Vehicle registration card or title

      5. v(v) Vehicle insurance card or policy displaying the address

      6. vi(vi) Utility, telephone, cable, or satellite television bill dated within 90 days

      7. vii(vii) Checking, savings, or financial account statement

      8. viii(viii) Property tax bill or receipt

      9. ix(ix) Mortgage account statement, deed, or other proof of homeownership

      10. x(x) Residential rental contract with signatures, including a lease

      11. xi(xi) Mail from a federal, state, or local government agency dated within 90 days

      12. xii(xii) Sales tax or business license

      13. xiii(xiii) Credit card statement dated within 90 days

      14. xiv(xiv) Residential service contracts dated within 90 days

      15. xv(xv) Selective Service Card

      16. xvi(xvi) Copy of a federal or state income tax filing

      17. xvii(xvii) Valid state-issued professional license

    2. 2.(2) Members of the Armed Forces on active duty who claim residence in the state in which their permanent duty stations are located may prove residence by submitting a copy of their PCS orders. They are not required to provide any other residence verification document.

  9. h.(h) The requirements of this section shall be in addition to any other recordkeeping requirement contained in this part.

    h.(h) Electronic Forms 4473. A licensee may use and maintain electronic Forms 4473, known as e-Forms 4473, provided the licensee meets all of the following requirements:

    1. 1(1) The licensee uses the most current electronic version of e-Form 4473 from the ATF website or from a qualifying provider (published annually in the Federal Register and on ATF’s website), except that ATF may authorize licensees to use older forms temporarily when ATF is transitioning between versions of the form.

    2. 2(2) The licensee maintains e-Forms 4473 in a system and in a manner that complies with the requirements for electronic records in § 478.130 of this part, except that licensees must back up e-Forms 4473, including pending and incomplete forms, to a physical storage device (e.g., hard drive, DVD, server) at the licensee’s business premises at least daily and must retain the forms in the system when a transaction is completed or stopped for any reason. Licensees do not have to conduct the back-ups required under § 478.130(e)(1) for Forms 4473.

    3. 3(3) The licensee saves Form 4473 in an unalterable format and may not delete, amend, replace, or otherwise alter it. If a licensee or transferee subsequently finds errors on the form, they may: make corrections to a copy of the original form (electronic or paper), note the date, time, reason for the correction and name and signature of the person who made the correction on the copy, then include the change copy in the same electronic file as the original (as required for any supplemental document under § 478.130(a)(4)), and comply with the data integrity and audit trail requirements of § 478.130(c).

    4. 4(4) If the e-signature or any other part of e-Form 4473 is not available or fails to function, the licensee must print a Form 4473 to complete it and then either retain the form on paper or scan and load it to a storage device; and

    5. 5(5) If an ATF official requests access to required records pursuant to § 478.23 or other legal authority, the licensee must be able to provide e-Forms 4473 immediately and in the format requested by the official (e.g., in electronic form on a physical storage device, by email, or on paper).

    6. 6(6) The licensee complies with all laws and other regulations applicable to paper Forms 4473 (except changes necessary to enable electronic use).

  10. i.(i) A licensee may obtain, upon request, an emergency supply of Forms 4473 from any Director of Industry Operations. For normal usage, a licensee should request a year's supply from the ATF Distribution Center (See § 478.21).

    i.(i) Record-keeping requirements. A licensed manufacturer, importer, or dealer must retain in alphabetical (by name of purchaser), chronological (by date of disposition), or numerical (by transaction number) order, and as a part of their required records: each Form 4473; true copies of any permits or license; sworn statements; remote identity proofing verification and other required information; evidence of CLEO notification when required, along with evidence that the CLEO received or did not accept the Form 4473; and all other documents or copies obtained in the course of transferring the firearms. The licensee must retain these records for the period required in § 478.129 as part of the records subpart H of this part requires the licensee to keep. This section’s record-keeping requirements are in addition to any other record-keeping requirement contained in this part.