HomeMy WebLinkAboutA009 - National Rifle Association information submitted FFL compliance prerequisites for all 2105 IA FFLs:
• ATF application
■ Name,Position in Company,Country of Citizenship,Birthplace, Race,Sex,
Phone/email/mailing address,Social Security#, Location,Address,Employer
Identification Number,Complete Description of Business Activity, Hours of
Operation, Prior Military Service,Description of Business Premises,Zoning,
Possession of a Hunting License, Under indictment via court for crime or felony
carrying a possible sentence more than one year,fugitive status,Alien in U.S.,
Under 21,Unlawful use of—addicted to—illegal or legal drugs or controlled
substances,Subject to court orders, Been convicted of crime or felony carrying a
sentence longer than one year,Dishonorable discharge from Armed Forces,
Adjudicated as mental defective,including adjudication as incompetent to
manage one's own affairs or committed to mental institution,Conviction in any
court of misdemeanor crime of domestic violence,business conducted adhere's
to state regulation,copy of all FFL application information sent to Chief Law
Enforcement Officer of jurisdiction,full adherence to 18 U.S.C.923,color
passport photographs,complete fingerprint cards to be remitted to ATF and FBI
• Certification of 18 U.S.0 922
• Environmental Study and Application/EPA
• Supplemental Water Quality Consideration under 33 U.S.C. 1341(a)
• Adherence to ATF"Best Practices"Guidelines
• Adherence to ATF Disaster Preparedness Guidelines
• Adherence to ATF Safety and Security Guidelines
• Adherence to ATF National Tracing Center Guidelines
• Adherence to ATF Firearms Commerce Guidelines
• Adherence to ALL state laws and published ordinances
• Adherence to entire ATF Federal Firearms Regulations, Rulings,and National Firearms Act
Continuing Education
• Firearms Industry Meetings Firearms •
• Regulatory Meetings RefinishingCustom
• Monthly ATF Circulars
MICHAEL WARE
Summary CEO
• Law Abiding citizens with law abiding customers • • • •
• 2000+FFLs operating IA currently 8401Baxter, owa 50028
• No evidence anywhere of issues with home based FFIs
• Safe and Secure business practices subject to routine ATF inspection
c
U.S.Department of Justice OMB No_1140-0018
Bureau of Alcohol,Tobacco,Firearms and Explosives
Application for Federal Firearms License
For ATF Use Only
1. Name of Owner or Corporation(lfpartnership,include name of each partner)
2. Trade or Business Name,if any 3. Employer Identification Number(EIN#)or 4. Name of County in Which
Social Security Number(SSN is Voluntary) Business is Located
5. Business Address(RFD or street number,city,State,and ZIP 6. Mailing Address(If different from address in item#5)
code) (NOTE. The business address CANNOT be a P.O.Box.)
7. Contact Numbers(Include Area Code)
Business Phone Fax Number
Cell Phone 24 Hour Emergency#(If dierent)
8. Applicant's Business is(Select one)
Individually Owned 0 A Partnership 0 A Corporation Other(Specify)
9. Describe Specific Activity Applicant is Engaged in,or Intends to Engage in,Which Requires a Federal 10. Do You Intend to Engage in
Firearms License. (Sale of ammunition alone does not require a license.) Business as a Pawnbroker?
Yes 0 No
11. App ication is Made For a License Under 18 U.S.C.Chapter 44 as a: (Place an'W"in the appropriate box. Submit the fee noted next to the box with
the application. Licenses are issued for a 3 year period. See instruction#13 for payment information)
Type Description of License Type Fee
01/02 Dealer(01),Including Pawnbroker(02),in Firearms Other Than Destructive Devices(Includes:Ries,Shotguns,Pistols,
Revolvers,Gunsmith activities and National Firearms Act(NFA)Weapons) $200
06 Manufacturer of Ammunition for Firearms Other Than Ammunition for Destructive Devices or Armor Piercing Ammunition $30
07 Manufacturer of Firearms Other Than Destructive Devices $150
08 Importer of Firearms Other Than Destructive Devices or Ammunition for Firearms Other Than Destructive Devices,or
Ammunition Other Than Armor Piercing Ammunition(NOTE:Importer of handguns and rifles,see instruction#8.) $150
09 Dealer in Destructive Devices $3000
10 Manufacturer of Destructive Devices,Ammunition for Destructive Devices or Armor Piercing Ammunition $3000
11 Importer of Destructive Devices,Ammunition for Destructive Devices or Armor Piercing Ammunition(See instruction#8) $3000
Total Fees$
12. Method of Payment(Check one)
Check(Enclosed) FjCashier's Check or Visa Mastercard American
M Or � EXDMS � Discover � Diners Club
Credit/Debit Card Number(No dashes) Name as Printed on Your Credit/Debit Card Ex cation Date
p (Month&year)
Address:
Credit/Debit Card
Billing Address: City: State: Zip Code:
Please Complete to Ensure Payment is Credited to the Correct Application:
I am Paying the Application Fee for the Following Person,Corporation,or Partnership: Total Application Fees:
I Authorize ATF to Charge my Credit/Debit Card the Above Amount.
Signature of Cardholder Date
The charge will be reflected on your credit/debit card
Your credit/debit card will be charged the above stated amount upon receipt of your application.
statement. In the event alicense/permit is NOT issued,the above amount will be credited to the credit/debit card noted above.
Copy I-ATF Copy ATF&Form 7(5310.12)
Revised May 2005
13. Hours of Operation of Applicant's Business(Must be completed) 14. Is Applicant Presently Engaged in a Business
Time Sun Mon Tues Wed Thu Fri Sat Requiring a Federal Firearms License? (If"Yes,"
answer 14a)
Open Yes No
14a. Present Federal Firearms License Number
Close
15. If You Have Served in the Armed Forces,Provide Service Serial Number Military Branch
the Service Serial Number and Military Branch.
16. Applicant's Business Premises Are 17.Indicate Type of Business Premises
Owned El Leased/Rented Military Zoned Zoned
IF RENTED OR LEASED,PLEASE PROVIDE THE NAME,ADDRESS,AND Commercial: Residential:
TELEPHONE NUMBER OF THE PROPERTY OWNER. Store Front Single Family Dwelling
Name and Address of Property Owner(If applicable) n Office Condormmum/Apartment
❑ Rod&Gun Club Hotel/Motel
Military Base Public Housing
Other(Spec)
Telephone Number of Property Owner(If applicable)
IF THE PREMISES ARE LOCATED ON A MILITARY
INSTALLATION,ATTACH A COPY OF WRITTEN
18. Do You Intend To Make a Profit from Your Business? AUTHORIZATION FROM THE BASE COMMANDER TO
Yes No(If no,do not submit application) CONDUCT A FIREARMS BUSINESS ON THE MILITARY
INSTALLATION.
18a. Do You Intend To Sell Firearms Only at Gun Shows? 19. Do You Intend to Use Your License Only to Acquire Personal
Firearms?
Yes(If yes,do not submit application) No El Yes(Ifyes,do not submit application) No
If Business was Obtained From Someone Else,Provide the Following Information.
20. Name of Previous Business 21. Federal Firearms License Number
22. Provide the Information Required for Each Individual Owner,Partner,and Other Responsible Persons in the Business. See Instruction#10 for
Responsible Person Definition. If a Female,List Any Given,Married,and Maiden Names,e.g.,'Mary Alice(Smith)Jones,"Not'Mrs.John
Jones." (If additional space is needed,use a separate sheet.) Each Responsible Person Must Complete All Information in this Section.
Country of Place of
Position and Home Address Citizenship Birth
Social Security List more than one, Race and Ethnicity Residence
Full Name Number Please provide if applicable. (City, Date of Sex Telephone
(Social Security every address you Nonimmigrant State,or Birth (Please check one No.
Number is have had in the aliens must complete or more boxes)
Voluntary) last 5 years. all information in Foreign
Country)
item#23.
❑American Indian or Alaska Native
❑Asian
❑Black or African American
Hispanic or Latino
Native Hawaiian or Other Pacific
Islander
White
American Indian or Alaska Native
Asian
Black or African American
Hispanic or Latino
EjNative Hawaiian or Other Pacific
Islander
white
Co 1 ATF Co ATF E-Form 7(5310.12)
PY - PY Revised May 2005
Country of
Position and Home Address Citizenship Place of
Social Security List more than one, Birth Race and Ethnicity Residence
Full Name Number Please provide if applicable. Date of Sex Telephone
(Social Security every address you Nonimmigrant aliens(City,State, Birth (Please check one No.
Number is have had in the must complete all or Foreign or more boxes)
Voluntary) last S years. information in item Country)
#23.
American Indian or Alaska Native
Asian
Black or African American
Hispanic or Latino
Native Hawaiian or Other Pacific
Islander
White
American Indian or Alaska Native
❑Asian
❑Black or African American
Hispanic or Latino
Native Hawaiian or Other Pacific
Islander
❑White
23. Nonimmigrant Alien Certification of Compliance With 18 U.S.C.922(g)(5)(B). If additional space is needed,use a separate sheet.
18 U.S.C.922(g)(5)(B)generally makes it unlawful for any nonimmigrant alien to ship or transport in interstate or foreign commerce,or possess in or
affecting commerce,any firearms or ammunition;or to receive any firearms or ammunition which have been shipped or transported in interstate or foreign
commerce. All nonimmigrant aliens listed in item 22 must complete the following information certifying compliance with 18 U.S.C.922(g)(5)(B).
A. Name of Person Certifying Compliance Last: First: Middle Initial:
B. Immigration and Customs Enforcement(ICE)Issued Alien Number or Admission Number(Previously INS Number):
C. Are you in possession of a valid hunting license or permit lawfully issued in the United States? Yes ❑ No
1. If you answered"NO,"you likely cannot lawfully possess a firearm and therefore cannot be a Federal firearm licensee.
2. If you answered"YES,"complete the following information,and attach a copy of the license or permit to the application.
Hunting License or Permit Number,if any State of Issuance Expiration Date,if any
Give Full Details on a Separate Sheet for All"Yes"Answers in Items 24 and 25. Yes No
24. Has Applicant A. Held a Federal Firearms License?
or any Person B Been Denied a Federal Firearms License?
Referred to in
Item 22 Above: C. Been an Officer in a Corporation Holding a Federal Firearms License? El Q
D. Been an Employee of a Federal Firearms Licensee? ❑
E. Had a Federal Firearms License Revoked? ❑
25. Is Applicant or A. Charged by Information or Under Indictment in any Court for a Felony,or any Other Crime for Which the E] El
Person Judge Could Imprison You for More Than One YearT
Named in Item B. A Fugitive from Justice? El El
22 Above:
C. An Alien Who is Illegally or Unlawfully in the United States?
D. Under 21 Years of Age?
E. An Unlawful User of,or Addicted to,Marijuana,or any Depressant,Stimulant or Narcotic Drug,or any ❑ El
Controlled Substance?
F. Subject to a Court Order Restraining Him/Her from Harassing,Stalking,or Threatening his/her child or an ❑ ❑
Intimate Partner or Child or Such Partner?
CO 1-ATF CO ATF E-Form 7(5310.12)
PY PY Revised May 2005
Give Full Details on a Separate Sheet for All"Yes"Answers in Item 26. Yes No
26. Has Applicant A. Been Convicted in any Court of a Felony,or any other crime for which the Judge Could Have Imprisoned El ❑
or any Person You for More Than One Year,Even if You Received a Shorter Sentence,Including Probation?2
Named in Item B. Been Discharged from the Armed Forces Under Dishonorable Conditions? ❑
22 Ever:
C. Been Adjudicated as a Mental Defective,Which Includes Having Been Adjudicated Incompetent to El O
Manage Your Own Affairs,or Been Committed to any Mental Institution?
D. Renounced United States Citizenship? El ❑
E. Been Convicted in any Court of a Misdemeanor Crime of Domestic Violence?(See definition#3) ❑
' "Information"is a formal accusation of crime made by a prosecuting attorney,as distinguished from an indictment presented by a grand jury.
You may answer NO if(a)you have been pardoned for the crime or(b)the conviction has been expunged or set aside or(c)your civil rights have been
restored AND you are not prohibited from possessing or receiving any firearms under the law where the conviction occurred.
27. Applicant Certification(Please read and initial each boar)
❑ The business to be conducted under the Federal Firearms License is not prohibited by State or local law at the premises shown in
item 5. This includes compliance with zoning ordinances.
❑ Within 30 days after the application is approved,the business will comply with the requirements of State and local law applicable to
the conduct of business.
❑ Business will not be conducted under the license until the requirements of State and local law applicable to the business have been
met.
❑ A completed copy of this form has been sent(mailed or delivered)to the Chief Law Enforcement Officer of the locality in which the
premises is located. (See instruction#5.)
❑ As required by 18 U.S.C.923(d)(1)(G),I certify that secure gun storage or safety devices will be available at any place in which
firearms are sold under this Federal Firearms License to persons who are not licensees.
Name of Chief Law Enforcement Officer(CLEO)
CLEO's Address(Include no.,street,city,county,State,and ZIP Code)
28. Certification:Under the penalties imposed by 18 U.S.C.924,1 declare that I have
examined this application and the documents submitted in support thereof,and to the
best of my knowledge and belief,they are true,correct and complete. This signature,
when presented by a duly authorized representative of the Department of Justice,will
constitute consent and authority for the appropriate Department of Justice
representative to examine and obtain copies and abstracts of records and to receive
statements and information regarding the background of all responsible persons.
Specifically,I hereby authorize the release of the following data or records to ATF: Attach
Military information/records,medical information/records,police and criminal records. 2 X 2
Photograph(s)
Sign Here
Here
(See Instruction#70)
Title
Date
For ATF Use Only
29. Application is Reasons for Denial of Application
❑ Approved Denied
Signature of Licensing Official Date
Information for the Chief Law Enforcement Officer
This form provides notification of a person's intent to apply for a Federal firearms license. It requires no action on your part. However,should you have
information that may disqualify the person from obtaining a Federal firearms license,please contact the Federal Firearms Licensing Center at
1-866-662-2750. A"Yes"answer to items#24,#25,and#26 could disqualify a person for a license. Also,ATF may not issue a license if the business
would be in violation of State or local law.
Co 1-ATF Co ATF E-Form 7(5310.12)
PY Copy Revised May 2005
U.S.Department of Justice OMB No.1140-0018
Bureau of Alcohol,Tobacco,Firearms and Explosives
Application for Federal Firearms License
For ATF Use Only
1. Name of Owner or Corporation(Ifpartnership,include name of each partner)
2. Trade or Business Name,if any 3. Employer Identification Number(EIN#)or 4. Name of County in Which
Social Security Number(SSN is Voluntary) Business is Located
5. Business Address(RFD or street number,city,State,and ZIP 6. Mailing Address(If different from address in item#5)
code) (NOTE. The business address CANNOT be a P.O.Box.)
7. Contact Numbers(Include Area Code)
Business Phone Fax Number
Cell Phone 24 Hour Emergency#(If different)
8. Applicanfs Business is(Select one)
Individually Owned A Partnership A Corporation Other(Specify)
9. Describe Specific Activity Applicant is Engaged in,or Intends to Engage in,Which Requires a Federal 10. Do You Intend to Engage in
Firearms License. (Sale of ammunition alone does not require a license) Business as a Pawnbroker?
Yes No
11. Application is Made For a License Under 18 U.S.C.Chapter 44 as a: (Place an X"in the appropriate box. Submit the fee noted next to the box with
the application. Licenses are issued for a 3 year period. See instruction#13 for payment information)
Type Description of License Type Fee
01/02 Dealer(01),Including Pawnbroker(02),in Firearms Other Than Destructive Devices(Includes:Rifles,Shotguns,Pistols, $200 ❑
Revolvers,Gunsmith activities and National Firearms Act(NFA)Weapons)
06 Manufacturer of Ammunition for Firearms Other Than Ammunition for Destructive Devices or Armor Piercing Ammunition $30
07 Manufacturer of Firearms Other Than Destructive Devices $150 Lj
08 Importer of Firearms Other Than Destructive Devices or Ammunition for Firearms Other Than Destructive Devices,or $150
Ammunition Other Than Amcor Piercing Ammunition(NOTE:Importer of handguns and rifles,see instruction#8.)
09 Dealer in Destructive Devices $3000
10 Manufacturer of Destructive Devices,Ammunition for Destructive Devices or Armor Piercing Ammunition $3000
11 Importer of Destructive Devices,Ammunition for Destructive Devices or or Piercing Ammunition(See instruction#8) $3000
Total Fees$
Copy 2-ATF Copy ATF&Form 7(5310.12)
Revised May 2005
13. Hours of Operation of Applicant's Business(Must be completed) 14. Is Applicant Presently Engaged in a Business
Time Sun Mon Tues Wed Thu Fri Sat Requiring a Federal Firearms License?(If"Yes,"
answer 14a.)
Open ❑ Yes No
14a. Present Federal Firearms License Number
Close
15. If You Have Served in the Armed Forces,Provide Service Serial Number Military Branch
the Service Serial Number and Military Branch.
16. Applicant's Business Premises Are 17.Indicate Type of Business Premises
❑ Owned El Leased/Rented ❑ Military Zoned Zoned
IF RENTED OR LEASED,PLEASE PROVIDE THE NAME,ADDRESS,AND Commercial: Residential:
TELEPHONE NUMBER OF THE PROPERTY OWNER. ❑ Store Front Single Family Dwelling
Name and Address of Property Owner(If applicable) Office Condominium/Apartment
Rod&Gun Club 1-1 Hotel/Motel
Military Base Public Housing
Other(Specify)
Telephone Number of Property Owner(If applicable)
IF THE PREMISES ARE LOCATED ON A MILITARY
INSTALLATION,ATTACH A COPY OF WRITTEN
18. Do You Intend To Make a Profit from Your Business? AUTHORIZATION FROM THE BASE COMMANDER TO
Yes No(If no,do not submit application) CONDUCT A FIREARMS BUSINESS ON THE MILITARY
INSTALLATION.
18a. Do You Intend To Sell Firearms Only at Gun Shows? 19. Do You Intend to Use Your License Only to Acquire Personal
Firearms?
Yes(If yes,do not submit application) El No 11 Yes(If yes,do not submit application) No
If Business was Obtained From Someone Else,Provide the Following Information.
20. Name of Previous Business 7deral Firearms License Number
22. Provide the Information Required for Each Individual Owner,Partner,and Other Responsible Persons in the Business. See Instruction#10 for
Responsible Person Definition. If a Female,List Any Given,Married,and Maiden Names,e.g.,Mary Alice(Smith)Jones,"Not'Mrs.John
Jones." (If additional space is needed,use a separate sheet.) Each Responsible Person Must Complete All Information in this Section.
Country of Place of
Position and Home Address Citizenship
Birth
Social Security List more than one, Race and Ethnicity Residence
Full Name Number Please provide if applicable. (City, Date of Sea Telephone
(Social Security every address you Nonimmigrant State Birth (Please check one No.
Number is have had in the aliens must complete ,or or more boxes)
Voluntary) last 5 years. all information in Foreign
Country)
item#23.
American Indian or Alaska Native
Asian
Black or African American
Hispanic or Latino
EiNative Hawaiian or Other Pacific
Islander
Ej white
American Indian or Alaska Native
Asian
Black or African American
❑Hispanic or Latino
Native Hawaiian or Other Pacific
Islander
White
ATF Copy 2-ATF Copy Revised ht y 2010.12)
05
Country of Place of
Position and Home Address Citizenship Birth
Social Security List more than one, Race and Ethnicity
Full Name
Number Pleaseprovide ifapplicable. Date of Residence(Social Security every address you Nonimmigrant (City, Birth (Please check one Sex Telephone
Number is have had in the aliens must complete State,or or more boxes) No.
Voluntary) last S years. all information in Foreign
item#23. Country)
American Indian or Alaska Native
Asian
Black or African American
Hispanic or Latino
Native Hawaiian or Other Pacific
Islander
White
American Indian or Alaska Native
Asian
Black or African American
❑Hispanic or Latino
Native Hawaiian or Other Pacific
Islander
❑White
23. Nonimmigrant Alien Certification of Compliance With 18 U.S.C.922(g)(5)(B). If additional space is needed,use a separate sheet.
18 U.S.C.922(g)(5)(B)generally makes it unlawful for any nonimmigrant alien to ship or transport in interstate or foreign commerce,or possess in or
affecting commerce,any firearms or ammunition;or to receive any firearms or ammunition which have been shipped or transported in interstate or foreign
commerce. All nonimmigrant aliens listed in item 22 must complete the following information certifying compliance with 18 U.S.C.922(g)(5)(B).
A. Name of Person Certifying Compliance Last: First: Middle Initial:
B. Immigration and Customs Enforcement(ICE)Issued Alien Number or Admission Number(Previously INS Number):
C. Are you in possession of a valid hunting license or permit lawfully issued in the United States? El Yes No
1. If you answered"NO,"you likely cannot lawfully possess a firearm and therefore cannot be a Federal firearms licensee.
2. If you answered"YES,"complete the following information,and attach a copy of the license or permit to the application.
Hunting License or Permit Number,if any State of Issuance Expiration Date,if any
Give Full Details on a Separate Sheet for All"Yes"Answers in Items 24 and 25. Yes No
24. Has Applicant A. Held a Federal Firearms License? ❑
or any Person B. Been Denied a Federal Firearms License?
Referred to in El El
Item 22 Above: C. Been an Officer in a Corporation Holding a Federal Firearms License? ❑
D. Been an Employee of a Federal Firearms Licensee?
E. Had a Federal Firearms License Revoked? El Q
25. Is Applicant or A. Charged by Information or Under Indictment in any Court for a Felony,or any Other Crime for Which the El ❑
any Person Judge Could Imprison You for More Than One YearT
Named in Item B. A Fugitive from Justice?
22 Above: F-1 El
C. An Alien Who is Illegally or Unlawfully in the United States? ❑
D. Under 21 Years of Age? El ❑
E. An Unlawful User of,or Addicted to,Marijuana,or any Depressant,Stimulant or Narcotic Drug,or any El El
Controlled Substance?
F. Subject to a Court Order Restraining Him/Her from Harassing,Stalking,or Threatening his/her child or an El ❑
Intimate Partner or Child or Such Partner?
ATF IiForm 7(5310.12)
Copy 2-ATF Copy Revised May 2005
Give Full Details on a Separate Sheet for All"Yes"Answers in Item 26. Yes No
26. Has Applicant A. Been Convicted in any Court of a Felony,or any other crime for which the Judge Could Have Imprisoned ❑ El
any Person You for More Than One Year,Even if You Received a Shorter Sentence,Including Probation?2
Named in Item B. Been Discharged from the Armed Forces Under Dishonorable Conditions?
22 Ever: El El
C. Been Adjudicated as a Mental Defective,Which Includes Having Been Adjudicated Incompetent to El El
Your Own Affairs,or Been Committed to any Mental Institution?
D. Renounced United States Citizenship?
E. Been Convicted in any Court of a Misdemeanor Crime of Domestic Violence?(See definition#3)
' "Information"is a formal accusation of crime made by a prosecuting attorney,as distinguished from an indictment presented by a grand jury.
z You may answer NO if(a)you have been pardoned for the crime or(b)the conviction has been expunged or set aside or(c)your civil rights have been
restored AND you are not prohibited from possessing or receiving any firearms under the law where the conviction occurred.
27. Applicant Certification(Please read and initial each box)
The business to be conducted under the Federal Firearms License is not prohibited by State or local law at the premises shown in
item 5. This includes compliance with zoning ordinances.
Within 30 days after the application is approved,the business will comply with the requirements of State and local law applicable to
the conduct of business.
❑ Business will not be conducted under the license until the requirements of State and local law applicable to the business have been
met.
A completed copy of this form has been sent(mailed or delivered)to the Chief Law Enforcement Officer of the locality in which the
premises is located. (See instruction#5.)
❑ As required by 18 U.S.C.923(d)(1)(G),I certify that secure gun storage or safety devices will be available at any place in which
firearms are sold under this Federal Firearms License to persons who are not licensees.
Name of Chief Law Enforcement Officer(CLEO)
CLEO's Address(Include no.,street,city,county,State,and ZIP Code)
28. Certification:Under the penalties imposed by 18 U.S.C.924,1 declare that I have examined
this application and the documents submitted in support thereof,and to the best of my
knowledge and belief,they are true,correct and complete. This signature,when presented
by a duly authorized representative of the Department of Justice,will constitute consent
and authority for the appropriate Department of Justice representative to examine and
obtain copies and abstracts of records and to receive statements and information regarding
the background of all responsible persons. Specifically,I hereby authorize the release of Attach
the following data or records to ATF:Military information/records,medical 2 X 2
information/records,police and criminal records. Photograph(s)
Here
Sign
Here (See Instruction#10)
Title
Date
For ATF Use Only
29. Application is Reasons for Denial of Application
Approved Denied
Signature of Licensing Official Date
Information for the Chief Law Enforcement Officer
This form provides notification of a person's intent to apply for a Federal firearms license. It requires no action on your part. However,should you have
information that may disqualify the person from obtaining a Federal firearms license,please contact the Federal Firearms Licensing Center at
1-866-662-2750. A"Yes"answer to items#24,#25,and#26 could disqualify a person for a license. Also,ATF may not issue a license if the business
would be in violation of State or local law.
ATF E-Form 7(5310.12)
Copy 2-ATF Copy Revised May 2005
U.S.Department of Justice OMB No.1140-0018
Bureau of Alcohol,Tobacco,Firearms and Explosives
Application for Federal Firearms License
For ATF Use Only
1. Name of Owner or Corporation(If partnership,include name of each partner)
2. Trade or Business Name,if any 3. Employer Identification Number(EIN#)or 4. Name of County in Which
Social Security Number(SSN is Voluntary) Business is Located
5. Business Address(RFD or street number,city,State,and ZIP 6. Mailing Address(If differentfrom address in item#5)
code) (NOTE: The business address CANNOT be a P.O.Box)
7. Contact Numbers(Include Area Code)
Business Phone Fax Number
Cell Phone 24 Hour Emergency#(If different)
8. Applicant's Business is(Select one)
Individually Owned A Partnership A Corporation Other(Specify)
9. Describe Specific Activity Applicant is Engaged in,or Intends to Engage in,Which Requires a Federal 10. Do You Intend to Engage in
Firearms License. (Sale of ammunition alone does not require a license.) Business as a Pawnbroker?
Yes ❑ No
11. Application is Made For a License Under 18 U.S.C.Chapter 44 as a: (Place an X"in the appropriate box. Submit the fee noted next to the box with
the application. Licenses are issued for a 3 year period. See instruction#13 for payment information)
Type Description of License Type Fee
01/02 Dealer(01),Including Pawnbroker(02),in Firearms Other Than Destructive Devices(Includes:Rifles,Shotguns,Pistols, $200 ❑
Revolvers,Gunsmith activities and National Firearms Act(NFA)Weapons)
06 Manufacturer of Ammunition for Firearms Other Than Ammunition for Destructive Devices or Armor Piercing Ammunition $30
07 Manufacturer of Firearms Other Than Destructive Devices $150
08 Importer of Firearms Other Than Destructive Devices or Ammunition for Firearms Other Than Destructive Devices,or $150
Ammunition Other Than Armor Piercing Ammunition(NOTE:Importer of handguns and rifles,see instruction#8)
09 Dealer in Destructive Devices $3000
10 Manufacturer of Destructive Devices,Ammunition for Destructive Devices or Armor Piercing Ammunition $3000
11 Importer of Destructive Devices,Ammunition for Destructive Devices or Armor Piercing Ammunition(See instruction#8) $3000 El
Total Fees$
Copy 3-CLEO Copy ATF&Form 7(5310.12)
Revised May 2005
13. Hours of Operation of Applicant's Business(Must be completed) 14. Is Applicant Presently Engaged in a Business
Time Sun Mon Tues Wed Thu Fri Sat Requiring a Federal Firearms License? (If"Yes,"
answer 14a)
Open 1:1Yes No
14a. Present Federal Firearms License Number
Close
15. If You Have Served in the Armed Forces,Provide Service Serial Number Military Branch
the Service Serial Number and Military Branch.
16. Applicant's Business Premises Are 17.Indicate Type of Business Premises
Owned ❑ Leased/Rented Military Zoned Zoned
Commercial: Residential:
IF RENTED OR LEASED,PLEASE PROVIDE THE NAME,ADDRESS,AND
TELEPHONE NUMBER OF THE PROPERTY OWNER. ❑ Store Front Single Family Dwelling
Name and Address of Property Owner(If applicable) Office Condominium/Apartment
Rod&Gun Club Hotel/Motel
Military Base Public Housing
Other(Spec)
Telephone Number of Property Owner(If applicable)
IF THE PREMISES ARE LOCATED ON A MILITARY
INSTALLATION,ATTACH A COPY OF WRITTEN
18. Do You Intend To Make a Profit from Your Business? AUTHORIZATION FROM THE BASE COMMANDER TO
Yes No(If no,do not submit application) CONDUCT A FIREARMS BUSINESS ON THE MILITARY
INSTALLATION.
18a. Do You Intend To Sell Firearms Only at Gun Shows? 19. Do You Intend to Use Your License Only to Acquire Personal
Firearms?
Yes(If yes,do not submit application) El No 11 Yes(Ifyes,do not submit application) No
If Business was Obtained From Someone Else,Provide the Following Information.
20. Name of Previous Business 21. Federal Firearms License Number
22. Provide the Information Required for Each Individual Owner,Partner,and Other Responsible Persons in the Business. See Instruction#10 for
Responsible Person Definition. If a Female,List Any Given,Married,and Maiden Names,e.g.,'Mary Alice(Smith)Jones,"Not'Mrs.John
Jones." (If additional space is needed,use a separate sheet.) Each Responsible Person Must Complete All Information in this Section.
Country of Place of
Position and Home Address Citizenship Birth
Social Security List more than one, Race and Ethnicity
Residence
Number Please provide if applicable. Date of
Full Name (City, Sex Telephone
(Social Security every address you Nonimmigrant Birth (Please check one
Number is have had in the aliens must complete State,or or more boxes) No.
Voluntary) last 5 years. all information in Foreign
Country)
item#23.
American Indian or Alaska Native
Asian
Black or African American
Hispanic or Latino
Native Hawaiian or Other Pacific
Islander
White
American Indian or Alaska Native
❑Asian
Black or African American
Hispanic or Latino
Native Hawaiian or Other Pacific
Islander
White
ATF E-Form 7(5310.12)
Copy 3-CLEO Copy Revised May 2005
Country of Place of
Position and Home Address Citizenship Birth
Social Security List more than one, Race and Ethnicity
Number Please provide if applicable. Date of Residence
Full Name (City, Sex Telephone
(Social Security every address you Nonimmigrant Birth (Please check one
Number is have had in the aliens must complete State,or or more boxes) No.
Voluntary) last 5 years. all information in Foreign
item#23. Country)
American Indian or Alaska Native
Asian
Black or African American
Hispanic or Latino
Native Hawaiian or Other Pacific
Islander
White
American Indian or Alaska Native
Asian
Black or African American
Hispanic or Latino
Native Hawaiian or Other Pacific
Islander
White
23. Nonimmigrant Alien Certification of Compliance With 18 U.S.C.922(g)(5)(13). If additional space is needed,use a separate sheet.
18 U.S.C.922(g)(5)(B)generally makes it unlawful for any nonimmigrant alien to ship or transport in interstate or foreign commerce,or possess in or
affecting commerce,any firearms or ammunition;or to receive any firearms or ammunition which have been shipped or transported in interstate or foreign
commerce. All nonimmigrant aliens listed in item 22 must complete the following information certifying compliance with 18 U.S.C.922(g)(5)(13).
A. Name of Person Certifying Compliance Last: First: Middle Initial:
B. Immigration and Customs Enforcement(ICE)Issued Alien Number or Admission Number(Previously INS Number):
C. Are you in possession of a valid hunting license or permit lawfully issued in the United States? Yes No
1. If you answered"NO,"you likely cannot lawfully possess a firearm and therefore cannot be a Federal firearms licensee.
2. If you answered"YES,"complete the following information,and attach a copy of the license or permit to the application.
Hunting License or Permit Number,if any State of Issuance Expiration Date,if any
Give Full Details on a Separate Sheet for All"Yes"Answers in Items 24 and 25. Yes No
24. Has Applicant A. Held a Federal Firearms License? El F-1
or any Person B. Been Denied a Federal Firearms License?
Referred to in El El
Item 22 Above: C. Been an Officer in a Corporation Holding a Federal Firearms License?
D. Been an Employee of a Federal Firearms Licensee? El F-1
E. Had a Federal Firearms License Revoked? El
25. Is Applicant or A. Charged by Information or Under Indictment in any Court for a Felony,or any Other Crime for Which the El ❑
any Person Judge Could Imprison You for More Than One YearT
Named in Item B. A Fugitive from Justice?
22 Above: El El
C. An Alien Who is Illegally or Unlawfully in the United States?
D. Under 21 Years of Age? El n
E. An Unlawful User of,or Addicted to,Marijuana,or any Depressant,Stimulant or Narcotic Drug,or any El
Controlled Substance?
F. Subject to a Court Order Restraining Him/Her from Harassing,Stalking,or Threatening his/her child or an ❑ ❑
Intimate Partner or Child or Such Partner?
ATF F Form 7(5310.12)
Copy 3-CLEO Copy Revised May 2005
Give Full Details on a Separate Sheet for All"Yes"Answers in Item 26. Yes No
26. Has Applicant A. Been Convicted in any Court of a Felony,or any other crime for which the Judge Could Have Imprisoned ❑ ❑
or any Person You for More Than One Year,Even if You Received a Shorter Sentence,Including Probation?2
Named in Item B. Been Discharged from the Armed Forces Under Dishonorable Conditions? El El
22 Ever:
C. Been Adjudicated as a Mental Defective,Which Includes Having Been Adjudicated Incompetent to ❑ El
Your Own Affairs,or Been Committed to any Mental Institution?
D. Renounced United States Citizenship?
E. Been Convicted in any Court of a Misdemeanor Crime of Domestic Violence?(See definition#3) ❑ El
' "Information"is a formal accusation of crime made by a prosecuting attorney,as distinguished from an indictment presented by a grand jury.
2 You may answer NO if(a)you have been pardoned for the crime or(b)the conviction has been expunged or set aside or(c)your civil rights have been
restored AND you are not prohibited from possessing or receiving any firearms under the law where the conviction occurred.
27. Applicant Certification(Please read and initial each box)
❑ The business to be conducted under the Federal Firearms License is not prohibited by State or local law at the premises shown in
item 5. This includes compliance with zoning ordinances.
Within 30 days after the application is approved,the business will comply with the requirements of State and local law applicable to
the conduct of business.
❑ Business will not be conducted under the license until the requirements of State and local law applicable to the business have been
met.
A completed copy of this form has been sent(mailed or delivered)to the Chief Law Enforcement Officer of the locality in which the
premises is located. (See instruction#5.)
As required by 18 U.S.C.923(d)(1)(G),I certify that secure gun storage or safety devices will be available at any place in which
firearms are sold under this Federal Firearms License to persons who are not licensees.
Name of Chief Law Enforcement Officer(CLEO)
CLEO's Address(Include no.,street city,county,State,and ZIP Code)
28. Certification:Under the penalties imposed by 18 U.S.C.924,1 declare that I have examined
this application and the documents submitted in support thereof,and to the best of my
knowledge and belief,they are true,correct and complete. This signature,when presented
by a duly authorized representative of the Department of Justice,will constitute consent
and authority for the appropriate Department of Justice representative to examine and
obtain copies and abstracts of records and to receive statements and information regarding
the background of all responsible persons. Specifically,I hereby authorize the release of Attach
the following data or records to ATF:Military information/records,medical 2 X 2
information/records,police and criminal records. Photograph(s)
Here
Sign
Here (See Instruction#10)
Title
Date
For ATF Use Only
29. Application is Reasons for Denial of Application
❑ Approved Denied
Signature of Licensing Official Date
Information for the Chief Law Enforcement Officer
This form provides notification of a person's intent to apply for a Federal firearms license. It requires no action on your part. However,should you have
information that may disqualify the person from obtaining a Federal firearms license,please contact the Federal Firearms Licensing Center at
1-866-662-2750. A"Yes"answer to items#24,#25,and#26 could disqualify a person for a license. Also,ATF may not issue a license if the business
would be in violation of State or local law.
CO 3 CLEO Co ATF E-Form 7(5310.12)
PY - Copy Revised May 2005
U.S.Department of Justice OMB No.1140.0018
Bureau of Alcohol,Tobacco,Firearms and Explosives
Application for Federal Firearms License
For ATF Use Only
1. Name of Owner or Corporation(If partnership,include name of each partner)
2. Trade or Business Name,if any 3. Employer Identification Number(EIN#)or 4. Name of County in Which
Social Security Number(SEN is Voluntary) Business is Located
5. Business Address(RFD or street number,city,State,and ZIP 6. Mailing Address(If different from address in item#5)
code) (NOTE. The business address CANNOT be a P.O.Box.)
7. Contact Numbers(Include Area Code)
Business Phone Fax Number
Cell Phone 24 Hour Emergency#(Ifdifferent)
8. Applicant's Business is(Select one)
Individually Owned ❑ A Partnership A Corporation Other(Specify)
9. Describe Specific Activity Applicant is Engaged in,or Intends to Engage in,Which Requires a Federal 10. Do You Intend to Engage in
Firearms License. (Sale of ammunition alone does not require a license) Business as a Pawnbroker?
El Yes No
11. Application is Made For a License Under 18 U.S.C.Chapter 44 as a: (Place an'X"in the appropriate box. Submit the fee noted next to the box with
the application. Licenses are issued for a 3 year period. See instruction#13 for payment information)
Type Description of License Type Fee
01/02 Dealer(01),Including Pawnbroker(02),in Firearms Other Than Destructive Devices(Includes:Ries,Shotguns,Pistols, $200 ❑
Revolvers,Gunsmith activities and National Firearms Act(NFA)Weapons)
06 Manufacturer of Ammunition for Firearms Other Than Ammunition for Destructive Devices or Armor Piercing Ammunition $30
07 Manufacturer of Firearms Other Than Destructive Devices $150
08 Importer of Firearms Other Than Destructive Devices or Ammunition for Firearms Other Than Destructive Devices,or $150
Ammunition Other Than Armor Piercing Ammunition(NOTE:Importer of handguns and rifles,see instruction#8.)
09 Dealer in Destructive Devices $3000 ❑
10 Manufacturer of Destructive Devices,Ammunition for Destructive Devices or Armor Piercing Ammunition $3000
11 Importer of Destructive Devices,Ammunition for Destructive Devices or Armor Piercing Ammunition(See instruction#8) $3000
Total Fees$
ATF&Form 7(5310.12)
Copy 4-Applicant Copy
Revised May 2005
13. Hours of Operation of Applicant's Business(Must be completed) 14. Is Applicant Presently Engaged in a Business
Time Sun Mon Tues Wed Thu Fri Sat Requiring a Federal Firearms License? (If"Yes,"
answer 14a)
Open ❑ Yes No
14a. Present Federal Firearms License Number
Close
15. If You Have Served in the Armed Forces,Provide Service Serial Number Military Branch
the Service Serial Number and Military Branch.
16. Applicant's Business Premises Are 17.Indicate Type of Business Premises
Owned ❑ Leased/Rented El Military Zoned Zoned
IF RENTED OR LEASED,PLEASE PROVIDE THE NAME,ADDRESS,AND Commercial: Residential:
TELEPHONE NUMBER OF THE PROPERTY OWNER. El Store Front ❑ Single Family Dwelling
Name and Address of Property Owner(If applicable) ❑ Office Condominium/Apartment
Rod&Gun Club Hotel/Motel
Military Base ❑ Public Housing
Other(Specify)
Telephone Number of Property Owner(If applicable)
IF THE PREMISES ARE LOCATED ON A MILITARY
INSTALLATION,ATTACH A COPY OF WRITTEN
18. Do You Intend To Make a Profit from Your Business? AUTHORIZATION FROM THE BASE COMMANDER TO
❑ Yes ❑ No(If no,do not submit application) CONDUCT A FIREARMS BUSINESS ON THE MILITARY
INSTALLATION.
18a. Do You Intend To Sell Firearms Only at Gun Shows? 19. Do You Intend to Use Your License Only to Acquire Personal
Firearms?
Yes(If yes,do not submit application) No Yes(If yes,do not submit application) El No
If Business was Obtained From Someone Else,Provide the Following Information.
20. Name of Previous Business 21. Federal Firearms License Number
22. Provide the Information Required for Each Individual Owner,Partner,and Other Responsible Persons in the Business. See Instruction#10 for
Responsible Person Definition. If a Female,List Any Given,Married,and Maiden Names,e.g.,Mary Alice(Smith)Jones,"Not'Mrs.John
Jones." (If additional space is needed,use a separate sheet.) Each Responsible Person Must Complete All Information in this Section.
Country of Place of
Position and Home Address Citizenship Birth
Social Security List more than one, Race and Ethnicity Residence
Full Name Number Please provide if applicable. (City, Date of Sex Telephone
(Social Security every address you Nonimmigrant Birth (Please check one
Number is have had in the aliens must complete State,or or more boxes) No.
Voluntary) last 5 years. all information in Foreign
Country)
item#23.
F-jAmerican Indian or Alaska Native
Asian
Black or African American
Ej Hispanic or Latino
Native Hawaiian or Other Pacific
Islander
White
American Indian or Alaska Native
[:]Asian
Black or African American
Hispanic or Latino
EiNative Hawaiian or Other Pacific
Islander
Elwhitc
4-Applicant Co ATF E-Form 7(5310.12)
Copy PP Copy Revised May 2005
Country of Place of
Position and Home Address Citizenship Birth
Social Security List more than one, Race and Ethnicity Residence
Full Name Number Please provide if applicable. (City, Date of Sea Telephone
(Social Security every address you Nonimmigrant Birth (Please check one
Number is have had in the aliens must complete State,or or more boxes) No.
Voluntary) last 5 years. all information in Foreign
item#23. Country)
American Indian or Alaska Native
Asian
Black or African American
Hispanic or Latino
Native Hawaiian or Other Pacific
Islander
White
❑American Indian or Alaska Native
Asian
Black or African American
Hispanic or Latino
Native Hawaiian or Other Pacific
Islander
white
23. Nonimmigrant Alien Certification of Compliance With 18 U.S.C.922(g)(5)(B). If additional space is needed,use a separate sheet.
18 U.S.C.922(g)(5)(B)generally makes it unlawful for any nonimmigrant alien to ship or transport in interstate or foreign commerce,or possess in or
affecting commerce,any firearms or ammunition;or to receive any firearms or ammunition which have been shipped or transported in interstate or foreign
commerce. All nonimmigrant aliens listed in item 22 must complete the following information certifying compliance with 18 U.S.C.922(g)(5)(B).
A. Name of Person Certifying Compliance Last: First: Middle Initial:
B. Immigration and Customs Enforcement(ICE)Issued Alien Number or Admission Number(Previously INS Number):
C. Are you in possession of a valid hunting license or permit lawfully issued in the United States? ❑ Yes No
1. If you answered"NO,"you likely cannot lawfully possess a firearm and therefore cannot be a Federal firearms licensee.
2. If you answered"YES,"complete the following information,and attach a copy of the license or permit to the application.
Hunting License or Permit Number,if any State of Issuance Expiration Date,if any
Give Full Details on a Separate Sheet for All"Yes"Answers in Items 24 and 25. Yes No
24. Has Applicant A. Held a Federal Firearms License?
or any Person B. Been Denied a Federal Firearms License?
Referred to in
Item 22 Above: C. Been an Officer in a Corporation Holding a Federal Firearms License? n ❑
D. Been an Employee of a Federal Firearms Licensee?
E. Had a Federal Firearms License Revoked? El ❑
25. Is Applicant or A. Charged by Information or Under Indictment in any Court for a Felony,or any Other Crime for Which the El ❑
any Person Judge Could Imprison You for More Than One YearT
Named in Item B. A Fugitive from Justice?
22 Above: El
C. An Alien Who is Illegally or Unlawfully in the United States? ❑
El
D. Under 21 Years of Age?
E. An Unlawful User of,or Addicted to,Marijuana,or any Depressant,Stimulant or Narcotic Drug,or any El
Controlled Substance?
El F. Subject to a Court Order Restraining Him/Her from Harassing,Stalking,or Threatening his/her child or an El ❑
Intimate Partner or Child or Such Partner?
Copy 4-Applicant Copy ATF F Form 7(5310.12)
Revised May 2005
Give Full Details on a Separate Sheet for All"Yes"Answers in Item 26. Yes No
26. Has Applicant A. Been Convicted in any Court of a Felony,or any other crime for which the Judge Could Have Imprisoned ❑ El
any Person You for More Than One Year,Even if You Received a Shorter Sentence,Including Probation?z
Named in Item B. Been Discharged from the Armed Forces Under Dishonorable Conditions? ❑
22 Ever:
C. Been Adjudicated as a Mental Defective,Which Includes Having Been Adjudicated Incompetent to El El
Your Own Affairs,or Been Committed to any Mental Institution?
D. Renounced United States Citizenship?
E. Been Convicted in any Court of a Misdemeanor Crime of Domestic Violence?(See definition#3) El ❑
' "Information"is a formal accusation of crime made by a prosecuting attorney,as distinguished from an indictment presented by a grand jury.
2 You may answer NO if(a)you have been pardoned for the crime or(b)the conviction has been expunged or set aside or(c)your civil rights have been
restored AND you are not prohibited from possessing or receiving any firearms under the law where the conviction occurred.
27. Applicant Certification(Please read and initial each box)
❑ The business to be conducted under the Federal Firearms License is not prohibited by State or local law at the premises shown in
item 5. This includes compliance with zoning ordinances.
Within 30 days after the application is approved,the business will comply with the requirements of State and local law applicable to
the conduct of business.
❑ Business will not be conducted under the license until the requirements of State and local law applicable to the business have been
met.
❑ A completed copy of this form has been sent(mailed or delivered)to the Chief Law Enforcement Officer of the locality in which the
premises is located. (See instruction#5.)
❑ As required by 18 U.S.C.923(d)(1)(G),I certify that secure gun storage or safety devices will be available at any place in which
firearms are sold under this Federal Firearms License to persons who are not licensees.
Name of Chief Law Enforcement Officer(CLEO)
CLEO's Address(Include no.,street,city,county,State,and ZIP Code)
28. Certification:Under the penalties imposed by 18 U.S.C.924,I declare that I have examined
this application and the documents submitted in support thereof,and to the best of my
knowledge and belief,they are true,correct and complete. This signature,when presented
by a duly authorized representative of the Department of Justice,will constitute consent
and authority for the appropriate Department of Justice representative to examine and
obtain copies and abstracts of records and to receive statements and information regarding
the background of all responsible persons. Specifically,I hereby authorize the release of Attach
the following data or records to ATF:Military information/records,medical 2 X 2
information/records,police and criminal records. Photograph(s)
Here
Sign
Here (See Instruction#I0)
Title
Date
For ATF Use Only
29. Application is Reasons for Denial of Application
Approved ❑ Denied
Signature of Licensing Official Date
Information for the Chief Law Enforcement Officer
This form provides notification of a person's intent to apply for a Federal firearms license. It requires no action on your part. However,should you have
information that may disqualify the person from obtaining a Federal firearms license,please contact the Federal Firearms Licensing Center at
1-866-662-2750. A"Yes"answer to items#24,#25,and#26 could disqualify a person for a license. Also,ATF may not issue a license if the business
would be in violation of State or local law.
4-Applicant Co ATF E-Form 7(5310.12)
Copy PP Copy Revised May 2005
Instruction Sheet For ATF Form 7(5310.12)
(Detach this instruction sheet before submitting your application.)
1. TYPE or PRINT with ball-point pen,except for the signature in item 28. Any attached sheets must:
a.Be identified with your name,trade name,address,and Employer Identification Number or Social Security Number(Social Security Number is
Voluntary)at the top of each page.
b.Refer to the questions being answered.
2. Issuance of your license will be delayed if the fee is not included or incorrect,or if the form is incomplete or otherwise improperly prepared.
3. A license Under 18 U.S.C.Chapter 44:
a.Is NOT a license to carry,use,or possess a firearm.
b.Confers NO right or privilege to conduct business or activity contrary to State or other law.
c.Is a business license,and will NOT be issued to an applicant solely intending to enhance a personal firearms collection. Applicants for a collector of
curios and relics license must submit an ATF Form 7CR(5310.16).
d.Is NOT a license to sell ammunition only.
e.Is NOT a license to buy and sell firearms at gun shows only.
4. In most cases,ATF will contact you prior to issuance of a license. If you do not qualify for a license,you will be advised in writing of the reasons for
denial and your application fee will be returned. Please note ATF cannot place calls to blocked numbers.
5. Applicants must submit"copy 3"of this form to the Chief Law Enforcement Officer(CLEO)of the locality in which the premises sought to be
licensed are located. The CLEO is the Chief of Police,the Sheriff,or an equivalent officer,or the designee of such individual.
6. State laws or local ordinances may have requirements affecting your proposed firearms business. Contact your State and local authorities for specific
information on their requirements,see item#27.
7. The certification in item 28 must be signed by the owner,a partner,or in the case of a corporation,association,etc.,by an officer duly authorized to
sign for the applicant.
8. Applicants intending to import firearms and ammunition may need to register with ATF under the provisions of the Arms Export Control Act.Contact
the Firearms and Explosives Imports Branch at(304)616-4550 for further information on registration.
9. Applicants intending to deal in,import,or manufacture weapons subject to the National Firearms Act(e.g_,machineguns,short-barrel shotguns,and
destructive devices)are required to pay a Special(Occupational)Tax. Contact the National Firearms Act Branch at(304)616-4500,
10. IMPORTANT!! All responsible persons,to include sole proprietors,must submit a properly prepared FD-258(Fingerprint Card)with this
application. Fingerprints must be taken by appropriate law enforcement authorities on the enclosed pre-printed FD-258. The pre-printed FD-258
should reflect"WVATFI 100,ATF-FFLC,MARTINSBURG,WV"to preclude rejection of your fingerprints. A 2"x 2"frontal view photograph,
taken within the last 6 months,and clearly showing a full front view of the features of the applicant with head bare,must also accompany this
application. Please ensure that each photograph is clearly identified on the reverse with the full name of the responsible person to whom the
photograph applies,and attach to ATF Form 7(5310.12)in the space provided on copy 1. If there are multiple responsible persons,affix each
photograph(with tape)of each responsible person to a separate sheet of paper and attach to this form.
IN ADDITION TO A SOLE PROPRIETOR,A RESPONSIBLE PERSON IS:
In the case of a corporation,partnership,or association,any individual possessing,directly or indirectly,the power to direct or cause the direction of
the management,policies,and practices of the corporation,partnership,or association,insofar as they pertain to firearms.
11. MULTIPLE LICENSES-You can apply for more than one license if the business is to be conducted at the same location,by checking more than one
type of license in Item#11. If business is to be conducted at multiple locations,a separate application and license fee is required for each business
location.
12. This form requires you to authorize the release of certain information to ATF such as medical information/records. (See item 28). This information is
used to determine,for example,whether the applicant has ever been adjudicated as a mental defective or committed to any mental institution. This
information is protected by the Privacy Act of 1974 and cannot be disclosed without your written authorization.
13. PLEASE FORWARD THE APPLICATION WITH FEE,PHOTOGRAPH(S),AND FINGERPRINT CARD(S)TO:
BUREAU OF ALCOHOL,TOBACCO,FIREARMS AND EXPLOSIVES
P.O.BOX 409567
ATLANTA,GA 30384-9567
YOU CAN PAY BY CREDIT/DEBIT CARD(ifyou chose this option,complete item#12),OR CHECK OR MONEY ORDER MADE PAYABLE
TO ATF. PLEASE DO NOT SEND CASH.
IF YOU 14AVE ANY QUESTIONS RELATING TO THIS APPLICATION,PLEASE CONTACT THE ATF FEDERAL FIREARMS LICENSING
CENTER,244 NEEDY ROAD,MARTINSBURG,WEST VIRGINIA 25405,(304)616-4600 OR TOLL FREE 1-866-662-2750,OR YOUR LOCAL
ATF INDUSTRY OPERATIONS OFFICE. ATF&Form 7(5310.12)
Revised May 2005
Definitions
1. Restraining Order-Under 18 U.S.C.922(g)(8),firearms may not be possessed or received by persons subject to a court order that:(A)was issued
after a hearing of which the person received actual notice and had an opportunity to participate in;(B)restrains such person from harassing,stalking,or
threatening an intimate partner or child of such intimate partner or person,or engaging in other conduct that would place an intimate partner in
reasonable fear of bodily injury to the partner or child;and(C)(i)includes a finding that such person represents a credible threat to the physical safety
of such intimate partner or child;or(ii)by its terms explicitly prohibits the use,attempted use,or threatened use of physical force against such intimate
partner or child that would reasonably be expected to cause bodily injury.
2. Intimate Partner-With respect to a person,the spouse of the person,a former spouse of the person,an individual who is a parent of a child of the
person,or an individual who cohabitates or has cohabitated with the person.
3. Misdemeanor Crime of Domestic Violence-A Federal,State,or local offense that is a misdemeanor under Federal or State law and has,as an
element,the use or attempted use of physical force,or the threatened use of a deadly weapon,committed by a current or former spouse,parent,or
guardian of the victim,by a person with whom the victim shares a child in common,by a person who is cohabitating with or has cohabitated with the
victim as a spouse,parent,or guardian,or by a person similarly situated to a spouse,parent,or guardian of the victim. The term includes all
misdemeanors that have as an element the use or attempted use of physical force or the threatened use of a deadly weapon(e.g.,assault and battery),if
the offense is committed by one of the defined parties.
4. Secure Gun Storage or Safety Device-(A)a device that,when installed on a firearm,is designed to prevent the firearm from being operated without
first deactivating the device;(B)a device incorporated into the design of the firearm that is designed to prevent the operation of the firearm by anyone
not having access to the device;or(C)a safe,gun safe,gun case,lock box,or other device that is designed to be or can be used to store a firearm and
that is designed to be unlocked only by means of a key,a combination,or other similar means.
5. Nonimmigrant Alien-An alien in the United States in a nonimmigrant classification. The definition includes,in large part,persons traveling
temporarily in the United States for business or pleasure,persons studying in the United States who maintain a residence abroad,and certain foreign
workers. The definition does NOT include permanent resident aliens.
6. Hunting License or Permit Lawfully Issued in the United States-A license or permit issued by a State for hunting which is valid and unexpired.
Privacy Act Information
The following information is provided pursuant to Section 3 of the Privacy Act of 1974(5 U.S.C.§552 a(c)(3)):
1. Authority. Solicitation of this information is authorized pursuant to 18 U.S.C. §923(a)of the Gun Control Act of 1968. Disclosure of this
information is mandatory if the applicant wishes to obtain a Federal Firearms License.
2. Purpose. To determine the eligibility of the applicant to obtain a firearms license,and to determine the ownership of the business,the type of firearms
or ammunition to be dealt in,the business hours,the business history,and the identity of the responsible persons in the business.
3. Routine Uses. The information will be used by ATF to make determinations set forth in paragraph 2. In addition,information may be disclosed to
other Federal,State,foreign,and local law enforcement and regulatory agency personnel to verify information on the application and to aid in the
performance of their duties with respect to the enforcement and regulation of firearms and/or ammunition where such disclosure is not prohibited by
law. The information may further be disclosed to the Justice Department if it appears that the furnishing of false information may constitute a violation
of Federal law. Finally,the information may be disclosed to members of the public in order to verify the information on the application when such
disclosure is not prohibited by law.
4. Effects of Not Supplying Information Requested. Failure to supply complete information will delay processing and may result in denial of the
application.
5. Disclosure of Social Security Number. Disclosure of the individual's social security number is voluntary. Under 18 U.S.C.§923(a),ATF has the
authority to solicit this information. The number may be used to verify the individual's identity. See Section 7(b)of the Privacy Act.
Paperwork Reduction Act Notice
This request is in accordance with the Paperwork Reduction Act of 1995. The information collection is used to determine the eligibility of the applicant to
engage in certain operations,to determine location and extent of operations,and to determine whether the operations will be in conformity with Federal
laws and regulations. The information requested is required to obtain or retain a benefit and is mandatory by statute(18 U.S.C.§923).
The estimated average burden associated with this collection is 1 hour and 15 minutes per respondent or recordkeeper,depending on individual
circumstances. Comments concerning the accuracy of this burden estimate and suggestions for reducing this burden should be directed to Reports
Management Officer,Document Services Branch,Bureau of Alcohol,Tobacco,Firearms and Explosives,Washington,DC 20226.
An agency may not conduct or sponsor,and a person is not required to respond to,a collection of information unless it displays a currently valid OMB
control number.
ATF E-Form 7(5310.12)
Revised May 2005
0 LEAVE BUNK TYPE OR PRINT ALL INFORMATION IN BLACK LEAVE BLANK
r APPLICANT LAST NAME P YI FIRST NAME MIDDLE NAME
SIGNATURE OF PERSON FINGERPRINTED ALIASES O WVATF 1100
e ATF-FFLC
RESIDENCE OF PERSON FINGERPRINTED Martinsburg, WV DATAEoOF WITH a Day Year
CITIZENSHIP � �„X la ,� � � F� PUCE OF BIRTH
DATE SIGNATURE F I !A I M I
YOUR NO. QrA
LEAVE BLANK
EMPLOYER AND ADDRESS FRI NO
aj
ARMED FORCES NO, CLASS
REASON FINGERPRINTED SOCIAL SECURITY NO,
REF.
MISCELLANEOUS NO. MNU
1,R.TMLMAR 2. a mx itvm% A L F A irn R.
E S.R.LITTLE
hv I r
6,L.THUMB 7. L.INDEX P.1.RING 10.1.LITTLE
LEFT FOUR FINGERS TAKEN SIMUOANEOUSLY I.THUM6 R.THUMB RIGHT FOUR FINGERS TAKEN SIMULTANEOUSLY
FEDERAL BUREAU OF INVESTIGATION
UNITED STATES DEPARTMENT OF JUSTICE
CJIS DIVISIONICLARK38URG, WV 26306
s APPLICANT
CENTER
� OF LOOP 10 OBTAIN CLASSIFIABLE FINGERPRINTS:
I. USE BLACK PRINTER'S INK.
• 2. DISTRIBUTE INK EVENLY ON INKING SLAB.
•� ` �� 3. WASH AND DRY FINGERS THOROUGHLY.
_ A. ROIL FINGERS FROM NAIL TO NAIL,AND AVOID ALLOWING FINGERS TO SLIP.
5. BE SURE IMPRESSIONS ARE RECORDED IN CORRECT ORDER.
6. NOTATE IN THE APPROPRIATE FINGER BLOCKS IF APPLICANT IS MISSING ONE OR MORE FINGERS FOR ANY REASON.
IF NOT MISSING,ALL TEN IMPRESSIONS MUST BE PROVIDED WITH SCARS AND DEFORMITIES NOTATED.
3i .� DELTA 7, IF SOME PHYSICAL CONDITION MAKES IT IMPOSSIBLE TO OBTAIN PERFECT IMPRESSIONS,SUBMIT THE BEST THAT CAN BE
T' ►
• OBTAINED.
8. EXAMINE THE COMPLETED PRINTS TO SEE IF THEY CAN BE CLASSIFIED,BEARING IN MIND THAT MOST FINGERPRINTS
E LINES BETWEEN CENTER OF FALL INTO THE PATTERNS SHOWN ON THIS CARD(OTHER PATTERNS OCCUR INFREQUENTLY AND ARE NOT SHOWN HERE).
THE
AND DELTA MUST SHOW
2-WHOM TM CARD FOR USE BY: LEAVE TM SRpOE SLAIMC
I. LAW ENFORCEMENT AGENCIES IN FINGERPRINTING APPII-
CANTS FOR LAW ENFORCEMENT POSITIONS'
v•. 2. OFFICIALS OF STATE AND LOCAL GOVERNMENTS FOR PUR
DELTAS POSES OF EMPLOYMENT,LICENSING,AND PERMITS,AS AUTHOR-
IZED BY STATE STATUTES AND APPROVED BY THE ATTORNEY
GENERAL Of THE UNITED STATES. LOCAL AND COUNTY ORDI-
NANCE$, UNLESS SPECIFICALLY BASED ON APPLICABLE STATE
STATUTES DO NOT SATISFY THIS REQUIREMENT.'
'r ✓_/'--'�•� 3. U.S.GOVERNMENT AGENCIES AND OTHER ENTITIES REQUIRED
l
•�__ BY FEDERAL LAW."
4. OFFICIALS OF FEDERALLY CHARTERED OR INSURED BANK-
' +'-....� - ING INSTITUTIONS TO PROMOTE OR MAINTAIN THE SECURITY
... •' OF THOSE INSTITUTIONS.
THESE LINES RUNNING BETWEEN INSTRUC'THM:
PRINTS MUST FIRST BE CHECKED THROUGH THE APPRO
DELTAS MUST BE CLEAR I'
PRIATE STATE IDENTIFICATION BUREAU,AND ONLY THOSE FINGER
3 ARCH LOCALLY FOR WHICH NO DISQUALIFYING RECORD HAS BEEN FOUND
LOCALLY SHOULD BE SUBMITTED FOR FBI SEARCH.
2, PRIVACY ACT OF 1971(PL.93-5791 REQUIRES THAT FEDERAL
�'�- STATE,OR LOCAL AGENCIES INFORM INDIVIDUALS WHOSE SOCIAL
sv \ .
A
�� '�' •� SECURITY NUMBER 15 REQUESTED WHETHER SUCH DISCLOSURE IS
t \ MANDATORY OR VOLUNTARY, BASIS OF AUTHORITY FOR SUCH
` \
SOLICITATION AND USES WIHICH WILL BE MADE OF IT.
3. IDENTITY OF PRIVATE CONTRACTORS SHOULD BE SHOWN
IN SPACE 'EMPLOYER AND ADDRESS'. THE CONTRIBUTOR IS THE
NAME OF THE AGENCY SUBMITTING THE FINGERPRINT CARD TO
THE FBI.
c FBI NUMBER,IF KNOWN,SHOULD ALWAYS BE FURNISHED IN
THE APPROPRIATE SPACE-
MISCELLANEOUS NO. - RECORD: OTHER ARMED FORCES NO,
PASSPORT NO. (FPI, ALIEN REGISTRATION NO. JAR), PORT SE-
CURITY CARD NO IPS),SELECTIVE SERVICE NO. (SS)VETERANS'
ARCHES HAVE NO DELTAS ADMINISTRATION CLAIM NO.(VA).
FE>258(REV 5-11-99)
u -373/BQ035
U.S.GOVERNMENT PRINTING OFFICE:2004-304
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f OMB No.1140-0096 (10/31/2012)
U.S.Department of Justice
Bureau of Alcohol,Tobacco,Firearms and Explosives Environmental Information
Instructions
1. Completion. Answer all items in sufficient detail or as not applicable to your activity. The information on all items should relate to the activity in
which the Bureau has an interest. If additional space is required for any item,please attach a separate sheet identified by the item number of this
form. Your answers are evaluated by the Bureau to determine whether the activity will have a significant effect on the environment. If ATF Form
5000.30,Supplemental Information on Water Quality Considerations-Under 33 U.S.C.1341(a),is also being submitted for your activity,you may make
reference to any relevant information given on ATF Form 5000.30 for items 6 and 7 of this forth.
2. Filing. Submit an original and one copy of this form to the Bureau of Alcohol,Tobacco,Firearms and Explosives office processing the application,
notice,bond,or request for your activity.
3. Disposition. After final action taken on the related application or other document,the copy of this form will be returned to the applicant.
1. Name and Principal Business Address of Applicant 2. Description of Activity in which Bureau of Alcohol,Tobacco, 3. Number of
Firearms and Explosives has an interest Employees
4. Location Where Activity is to be Conducted (Be specific,Number,Street, City,State,ZIP Code;describe locations of buildings and outside
equipment and their situation relative to surrounding environment including other structutres,land use,lakes,streams,roads,railroad facilities,
etc. Maps,photos,or drawings maybe provided.)
5. Heat and Power:
A.Describe types of heat and power to be used and their sources. If they are to be produced in connection with the proposed activity,estimate type and
quantity of fuel to be used for each purpose. (Example: 40 tons/yr.anthracite coal for heat,20 million cu.ftfyr.natural for power generating.)
B. Describe any air pollution control equipment proposed for use in connection with fuel burning equipment,boilers,or smokestacks.
6. Solid Waste:
A.Describe amount and composition of all solid waste to be generated.
B. Discuss proposed methods of disposal(Incineration,open burning,landfill,government or commercial garbage collection,etc.)
Specify whether on-site or off-site.
C. Describe any air pollution control equipment proposed for use in connection with any incinerators.
ATF Forth 5000.29
Revised March 2010
t
7. Liquid Waste(Complete this item irrespective of any certification obtained as to compliance with any environmental quality standards of any
Federal,State,or local agency having responsibilty for environmental protection including any certification under the Federal Water Pollution
Control Act.)
A.Describe amount and content of any liquid waste to be generated.
B. Describe proposed method of disposal (Sewer,flaming,recycling,etc). Describe any proposed means to monitor quality and characteristics,
and any proposed equipment or facilities for treatment or control of liquid wastes.
8. Noise (Describe operational noise sources other than those normally associated with office operations,building maintenance,or utilities.)
Under Penalties of Perjury,I Declare That I Have Examined the Information Shown on This Form and,to the Best of My Knowledge and
Belief,it is True,Correct,and Complete. I Agree That Copies of This Form May Be Furnished to Concerned Federal,State,and Local
Agencies Having Responsibilities for Environmental Protection and That the Information Hereon May Be Used in the Preparation of an
Environmental Statement Pursuant to the Requirements of the National Environmental Policy Act,42 U.S.C.4332.
9. Date 10. Applicant 11. By (Signature and Title)
Bureau of Alcohol,Tobacco,Firearms and Explosives Determination of Effect. After consideration of all available environmental information
relevant to the proposed activity,it is determined that:
The conduct of the activity described in item 2,pursuant to issuance or approval of the
(Specify whether application,bond,formula,permit,license,etc)
❑ will ❑ will not significantly affect the environment.
Signature and Title of ATF Official Date
Paperwork Reduction Act Notice
This request is in accordance with Section 3507,Public Law 96-511,Paperwork Reduction Act of 1995. This information collection is used by ATF
to determine if any environmental impact statement or environmental permit is necessary for the proposed operation. The information is required to
obtain a benefit.
The estimated average burden associated with this collection of information is 30 minutes per respondent or recordkeeper,depending on individual
circumstances. Comments concerning the accuracy of this burden estimate and suggestions for reducing this burden should be addressed to Reports
Management Officer,Document Services,Bureau of Alcohol,Tobacco,Firearms and Explosives,Washington,DC 20226.
An agency may not conduct or sponsor,and a person is not required to respond to,a collection of information unless it displays a currently valid OMB
ATF Form 5000.29
control number. Revised March 2010
U.S.Department of Justice OMB No.1140-0097 (03/31/2014)
Bureau of Alcohol,Tobacco,Firearms and Explosives Supplemental Information on Water Quality
Considerations - Under 33 U.S.C. 1341(a)
Instructions
1. Completion. Answer all items insufficient detail if applicable to your activity. If necessary,continue on reverse side of this form or a separate
sheet. Your answers are evaluated to determine if a certification or waiver by the applicable State Water Quality Agency is required under Section
21 is of the Federal Water Pollution Control Act(33 U.S.C.1341(a)).
2. Filing. Submit two copies of this form with the related application or other document,to the Director of Industry Operations, Bureau of Alcohol,
Tobacco,Firearms and Explosives. This form may be scanned and e-mailed to FELC@atf.gov or faxed to 304-616-4401. It must be completed
and submitted even though three copies of the required certification or waiver has been sent to the Director of Industry Operations or is attached to
this form.
3. Disposition. After final action taken on the related application or other document,the copy of this form will be returned to the applicant.
Application Related to this Rider
1. Form Number 2. Application Date 3. Serial Number
4. Name and Principal Business Address or applicant(Number,street,city, 4. Plant Address(If different from address in item 4)
county,State,and Zip code)
6. Describe Activity to be Conducted in Which the Bureau of Alcohol,Tobacco,Firearms and Explosives Has an Interest.
7. Describe Any Direct or Indirect Discharge into Navigable Waters Which May Result from the Conduct of the Activity Described in Item 6,
Including the Biological,Chemical,Thermal,or Other Characteristic of the Discharge and the Locations at Which Such Discharge May Enter
Navigable Waters.
S. Give the Date or Dates on Which the Acticvity Will Begin and End,If Known,and on Which the Discharge Will Take Place.
9. Describe the Methods and Means Used or to be Used to Monitor the Quality and Characteristics of the Discharge and the Operation of Equipment
or Facilities Employed in the Treatment or Control of Wastes or Other Effluents.
10. I certify that I have examined this reder and to the best of my knowledge and belief,it is true,correct,and complete and that copies of this rider
may be furnished to the applicable State Water Quality Agency and the Regional Administrator,Environmental Protection Agency.
11. Applicant 12. By (Signature and title)
Paperwork Reduction Act Notice-This request is in accordance with Section 3507,Public Law 96-511,Paperwork Reduction Act of 1995. This
information collection is used by ATF to determine whether a certification from a State of multi-state authority is needed for discharge of effluent into
navigable water of the U.S. This information is required to obtain a benefit. The estimated average burden associated with this collection of informa-
tion is 30 minutes per respondent or recordkeeper,depending on individual circumstances. Comments concerning the accuracy of this burden estimate
and suggestions for reducing this burden should be addressed to Reports Management Officer,Document Services,Bureau of Alcohol,Tobacco,
Firearms and Explosives,Washington,DC 20226. An agency may not conduct or sponsor,and a person is not required to respond to,a collection of
information unless it displays a currently valid OMB control number. ATF E-Form 5000.30
Revised March 2012
Department
Tobacco,Bureau ofAlcohol, and Explosives
AT F
Federal Firearms Licensee
Quick Reference and Best
Practices Guide
The Importance of Compliance with
FederalLaws ♦ Regulations
Every day,ATF's Industry Operations Investigators Ten Violations Having an Impact on
(IOIs)assist FFLs and help them understand and Public Safety
follow the rules for conducting a firearms business. 1. Failure to Obtain a Form 4473—Firearms
Whether it is with the proper procedures for Transaction Record When Required.
recordkeeping or the laws for transferring a firearm,
2. Failure to Obtain a Complete and Correct
IOIs ensure that FFLs comply with the laws and Form 4473.
regulations.
3. Failure to Conduct a Background Check
IOIs inspect your business to ensure compliance When Required.
with the Federal law and regulations. It is vital 4. Sale or Transfer of a Firearm to Prohibited
that you comply with all laws and regulations, Person.
both to maintain your license and protect your
community from violent crime.We encourage you 5. Improper Sale to allon-Resident.
to contact ATF if you have any questions about your 6. Failure to Obtain Appropriate Identification
responsibilities as an FFL. Documents.
To learn more about the laws and regulations, 7• Failure to Record Complete and Accurate
safety and security recommendations,and training Acquisition and Disposition Information.
opportunities,we encourage you to read the 8. Failure to Report the Sale of Multiple
following publications found at www.atf.gov: Handguns.
9. Failure to Report Lost or Stolen Firearms.
Federal Firearms Regulations Reference Guide,
ATF Publication 5300.4 10.Providing False Information.
Safety and Security Information for Federal
Firearms Licensees,ATF Publication 3317.2
Don't Lie for the Other Guy Publications
Having conducted thousands of inspections over the
years,ATF has compiled a list of the more common
issues encountered by licensees.
1
Your License Ifyour mailing address changes:Because all ATF
For the purposes of this publication,a Federal firearms correspondence is mailed to the mailing address on your
licensee is referred to as`you,' `a licensee,'and an license,any changes require you to notify the Chief,
`FFL.'You should examine your license carefully to FFLC,as soon as possible by sending a letter advising of
make sure all of the information is correct.If you find an the new mailing address to:
error,return the license to the Chief,Federal Firearms 244 Needy Road
Licensing Center(FFLC),for correction. Martinsburg,WV 25405.
You must keep your license posted and readily available If You Intend to Change Your Business
for inspection by any ATF officer.Use a certified copy Structure
of your license(make a copy of the unsigned original and Because a license is not transferable,a successor buying,
sign it)to make firearms purchases.Mailed,faxed,or leasing,or otherwise acquiring the firearms operations of
scanned copies of certified copies are acceptable. an FFL must obtain a new license.For example,if a sole
proprietor forms a Limited Liability Corporation(LLC),
Expiration and Renewal of Your License the LLC must obtain a new license.The LLC cannot
Your Federal firearms license is in effect until the operate using the sole proprietor's license.
expiration date on the license,unless terminated sooner.
It covers business operations only at the location on the If there is a change of control of a FFL by stock purchase
license or at a qualifying gun show or event in the State or otherwise,the licensee must notify ATF in writing
where you are licensed. within 30 days of the change.Upon renewal,the
corporation must file a new Application for Firearms
ATF will send a renewal application to you about License(ATF F 5310.12,ATF Form 7)and provide
60 days before the expiration date on your license.If information on all new responsible persons.
you have not received your renewal application 30 days
before the license expiration date,please contact the FFLs may report new responsible persons by filing a
letter with
FFLC toll-free at 1-866-662-2750.You should also call the Chief,FFLC.The letter must provide all
if you no longer wish to be licensed. of the identifying information for the new responsible
person(s)as required on ATF Form 7.The letter must
To renew,you must complete and send the application, be accompanied by a current picture of the responsible
with the required fee attached,to the address specified person and fingerprints submitted on an FBI Fingerprint
on the form before the license expiration date.If you file Card(FD-258).
your renewal before the license expiration date,you may
continue to operate until you receive your new license. ATF Forms 4473
If the new license does not arrive by your expiration You must obtain a completed Firearms Transaction
date,ATF will issue a Letter of Continuing Authority to Record(Form 4473)for each and every sale or
Operate(LOA)to establish proof of your licensed status other transfer of a firearm to a non-licensee.It is
to other FFLs. your responsibility to ensure that each Form 4473 is
Changing Your Mailing Address or the completed correctly in accordance with the instructions
on the form.The correct completion of these forms
Address of Your Premises enhances traceability of firearms.
If you intend to change the location of your business
premises:Notify the Chief,FFLC,at least 30 days Correctly completing ATF Forms 4473 is one of the most
important things you can do to ensure that ATF can trace
before moving your business to a new address by
filing ATF Form 5300.38-Application for an Amended crime guns.
Federal Firearms License.Your original license must be This form must be completed when you:
submitted for changes to reflect the new address.
1. sell or trade a firearm;
You may not operate as an FFL at a new address until 2. return a consignment firearm;
you have received the amended license from ATF.
3. return a pawned firearm;
4. loan or rent a firearm for use off of your licensed
premises;or
2
5. otherwise transfer a firearm to a non-licensed person. representative must make any changes or corrections to
Note:You must transfer the firearm to the person who Sections B and D of the photocopy.Do NOT make the
completed the Form 4473 and NOT to a spouse,relative, changes on the original Form 4473.Attach the corrected
or other representative of that person. photocopy to the original Form 4473 and retain as part of
your records.
Exceptions to the ATF Form 4473 Requirement:
You are not required to obtain a Form 4473 for the ATF suggests that you consider implementing a
following sales and other transfers: secondary review procedure in which another employee
reviews Forms 4473 for errors and omissions prior to
1. Transfer of a firearm to another FFL(including transferring a firearm.
collectors when transferring a Curio&Relic
firearm); Background Checks
2. The return of a repaired firearm to the person from You must conduct a National Instant Criminal
whom it was received; Background Check System(NICS)check or appropriate
3. The sale of a firearm to a law enforcement agency State background check for each and every sale or other
or to a law enforcement officer for official duties transfer of a firearm to a non-licensee.The NICS or State
if the transaction meets the requirements of 27 CFR background check ensures that any person who purchases
§478.134,discussed on pages 7 and 8;or a firearm from you may lawfully possess firearms.A
4. Transfer of a replacement firearm of the same NICS or State background check MUST be conducted
kind and type to the person from whom a firearm was before:
received. 1. The sale or trade of a firearm;
Transferee's Sections of Form 4473: 2. The return of a consigned firearm;
It is YOUR responsibility to make sure that the buyer 3. The redemption of a pawned firearm;
or other transferee provides ALL information required
in Section A(Items 1 to 17),and Section C(Items 24 4. The loan or rental of a firearm for use off of your
and 25),if applicable,of the Form 4473 BEFORE you licensed premises;or
transfer the firearm.The buyer must personally complete 5. Any other non-exempt transfer of a firearm.
Sections A and C. Failure to conduct a background check has a significant
Licensee's Sections of Form 4473: impact on public safety.You could be fined,have your
You must fully and correctly provide ALL information license suspended or revoked,or be prosecuted.
required in Section B(Items 18 to 23)and Section D Note:You may only deliver the firearm to the person
(Items 26 to 36)of the Form 4473.This information on whom the NICS or State background check was
must be recorded on the Form 4473 and not merely be conducted and NOT a spouse,relative,or other
contained in attached or other available documents. representative of that person.
If information required on the Form 4473 is also Exceptions to the Background Check
contained on a State firearms transfer document or other Requirement:
record,you must still enter the information on the Form You are NOT required to conduct a NICS or State
4473,even if that means entering the same information background check with respect to the following:
on two or more forms.However,you may attach
photocopies of additional documentation provided by 1. The sale or transfer of a firearm where the transferee
legal aliens rather than record the type of documentation presents a valid State permit/license from the State
in which your licensed premises is located AND
in response to Items 20b and 20c.
the State permit or license is recognized by ATF as a
Errors and Omissions on the Form 4473: qualifying alternative to the background check
If,after the firearm has been transferred,you discover requirement;
that the Form 4473 is incomplete or was improperly 2. The transfer of a firearm to another FFL(including
completed,do not alter the original.Instead,you should collectors when transferring a Curio&Relic firearm);
make a photocopy of the inaccurate Form 4473.Only the
buyer or transferee may make changes or corrections to 3. The return of a repaired firearm to the person from
Sections A and C of the photocopy.You or an authorized whom it was received;
3
4. The sale of a firearm to a law enforcement agency 3. Person Convicted of a Crime Punishable by
or a law enforcement officer for official duties if the Imprisonment for a Term Exceeding 1 Year:
transaction meets the specific requirements of This prohibited person category includes any
27 CFR§478.134(discussed on page 13); person who has been convicted of a felony or other
5. The transfer of a replacement firearm of the same crime for which the person could have been sen-
kind and type to the person from whom a firearm was tenced to imprisonment for a term exceeding
received; 1 year—EVEN if the court actually placed the
person on probation or sentenced the person to a
6. The transfer of a firearm that is subject to the term of imprisonment for 1 year or less.
National Firearms Act if the transfer was
pre-approved in writing by ATE 4. Fugitive from Justice:A fugitive from justice is a
person who has fled from any State to avoid prose-
Prohibited Transfers cution for a crime(felony or misdemeanor)or to
You MAY NOT sell or transfer a firearm or ammunition avoid giving testimony in any criminal proceeding.
to any person you know or have reasonable cause to 5. Unlawful Drug User or Drug Addict:This
believe is prohibited from possessing or receiving a prohibited person category includes any person
firearm.Do not sell or otherwise transfer a firearm and who unlawfully uses--or is addicted to—marijuana,
do not contact NICS if you have reason to believe that depressants,stimulants,narcotic drugs,or other
a person seeking to obtain a firearm is prohibited from controlled substances.Alcohol is NOT considered a
receiving or possessing a firearm. controlled substance.
Note: If a person answers"No"to Item 1 La or 12 of 6. Adjudicated Mental Defective or Person
Form 4473,or answers"Yes"to one or more questions Involuntarily Committed to a Mental Institution:
in Items I Lb through 11.1 of Form 4473,that person has This prohibited person category includes any person
given you reason to believe he or she is prohibited and who has EVER been adjudicated by a court,board,
the transaction must be stopped. commission,or other lawful authority to be,as a
You MAY NOT sell or transfer a firearm or ammunition result of marked subnormal intelligence or mental
to any of the following prohibited persons or in the illness,incompetency,condition,or disease,a dan-
following circumstances: ger to himself or herself or to others or to lack the
mental capacity to contract or to manage his/or
1. Straw Purchaser:A"straw purchaser"is a person her own affairs.This category also includes any
who is not the"actual buyer"of the firearm;that is, person who has been subject to a finding of insanity
a person who obtains a firearm for another person. in a criminal case,including a finding that he or she
Straw purchases are a primary source of firearms is incompetent to stand trial.Also included is any
used in crime.If you suspect that a transaction is person who has EVER been formally committed to
a straw purchase or there are suspicious circum- a mental institution by a court or other lawful autho-
stances surrounding the potential sale—such as one rity.This category does NOT include a person com-
person picking out the firearm,handling the firearm, mitted to a mental institution solely for observation
and providing the payment for the firearm while or a person who was voluntarily admitted to a
another person completes the Form 4473—you mental institution.
should not sell the firearm. Similarly,if one person
attempts to purchase a firearm,NICS denies or 7. Person Dishonorably Discharged from the
delays the attempted purchase,and another person Military:A person is considered dishonorably
with him or her attempts to buy the same firearm, discharged only if he or she was separated from the
you must not complete this sale. Armed Forces of the United States as a result of a
dishonorable discharge or a dismissal adjudged by
2. Person Under Indictment:A person"under indict- a general court-martial. This prohibition does NOT
ment"includes any person who has been charged include persons with a bad conduct discharge or any
by indictment or information in any court with a other less than honorable discharge.
crime for which he or she may be sentenced to a
term of imprisonment exceeding 1 year. 8. Person Subject to a Restraining Order:This
prohibited person category includes any person
who is currently subject to a court order that
4
restrains the person from harassing,stalking,or 13. Sale of a Handgun or Handgun Ammunition to
threatening an intimate partner,child of the per- a Person Under Age 21:You may not sell or de-
son,or child of the intimate partner OR engaging in liver a firearm other than a rifle or a shotgun—or
other conduct that would place the intimate partner ammunition other than rifle or shotgun ammuni-
in reasonable fear of bodily injury to the intimate tion—to a person who you know or have reasonable
partner or child.The court order must meet the cause to believe is less than 21 years old.A firearm
specific requirements of 18 U.S.C. §922(g)(8)to frame or receiver is not a rifle or shotgun and may
be prohibiting. not be sold to a person under 21 years old.
9. Person Convicted of a Misdemeanor Crime of 14. Sale in Violation of State Law or Published
Domestic Violence:This prohibited person cate- Ordinance:You may not sell or deliver a firearm to
gory includes any person who has EVER been any person in any State where the purchase or pos-
convicted in any court of a misdemeanor crime session would be in violation of a State law or
of domestic violence regardless of the title of the published ordinance.
offense.The offense must meet the definition of
We recommend that you refer to the most recent
"misdemeanor crime of domestic violence"in
edition
18 U.S.C. §921(a)(33). Note:Unlike other prohi- ofATF State Laws and Published's
bited person categories,law enforcement officers Ordinances—Firearms.
purchasing firearms for official use are NOT exempt
from this prohibited person category. Age Restrictions
10. Person who has Renounced U.S.Citizenship: As noted above,under Federal law,the minimum age
A person has renounced his or her United States to purchase firearms and ammunition from an FFL is
citizenship if he or she takes formal steps to re- 18.If the firearm is other than a rifle or a shotgun—or
nounce her/his citizenship before a diplomatic or ammunition for other than a rifle or a shotgun—the
consular officer or before an officer designated by minimum age is 21 [18 U.S.C.922(b)(1)].However:
the Attorney General during a time of war. 1. You may sell ammunition that is interchangeable
11. Aliens Illegally or Unlawfully in the United between rifles and handguns to a buyer who is at least
States: This prohibited person category includes 18 years of age if you are satisfied that he or she
any person who unlawfully entered the United will use the ammunition in a rifle.
States or who illegally remains in the United States 2. Regardless of less restrictive State and local age
after his or her authorized period of stay has expired. requirements for firearms and ammunition purchases,
you must adhere to the above Federal mininum age
lla.Nonimmigrant Aliens:A nonimmigrant alien is an provisions.
alien who is lawfully in the United States on a tem-
porary basis for purposes of travel,business,study, Transfers Between Licensees
etc.The term does NOT include a permanent resi- Generally,FFLs may transfer firearms to other FFLs,
dent alien(someone who possesses a"green card.")
A including interstate transfers,without completing
nonimmigrant alien may only purchase or receive
a firearm if he or she:(a)was admitted to the United Form 4473 for these transactions.In these instances,the
States for lawful hunting or sporting purposes or following procedures must be followed:
presents a valid hunting license or permit issued 1. Transactions between licensees must be recorded in
by a State;(b)qualifies as a foreign diplomat,offi- the bound book(Acquisition and Disposition or
cial,or law enforcement officer as defined at A&D)records of both licensees.
18 U.S.C. §922(y)(2);or(c)has received a waiver 2. The FFL who is buying the firearm must furnish a
of the prohibition from the Attorney General. certified copy of their license to the selling FFL prior
12. Sale of a Firearm or Ammunition to a Person to the transfer of any firearm.This certified copy
Under Age 18:You may not sell or deliver a fire- may be emailed or faxed.
arm or ammunition to a person you know or have
reasonable cause to believe is less than 18 years old.
5
State Residency Requirements General Identification Requirements
Generally,you MAY NOT sell or transfer a firearm to You MUST verify the identity of each non-licensee
a non-licensee who resides outside the State in which buyer by examining the person's identification
your licensed premises is located.A person's State of document(s)prior to transferring a firearm.A proper
residence is the State in which the person resides and the "identification document"is:
person is present with the intent of making a home in that 1. A document containing the name,residence address,
State.
date of birth,and photograph of the person;
Military members on active duty and legal aliens 2. A document that was made or issued by or under
have special residency considerations. the authority of the U.S.Government,a State or local
A member of the Armed Forces on active duty is a government,or a foreign government;
resident of the State in which his or her permanent duty 3. A document that is of a type commonly accepted for
station is located.FFLs may accept electronic permanent the purpose of identification of individuals.
change of station(PCS)orders,accompanied by a valid
military identification card,to establish residency for an Common examples of acceptable identification
active duty military member of the Armed Forces. documents are a valid driver's license or a valid State
identification card issued in lieu of a driver's license.
A buyer who is not a citizen of the United States must Social security cards are not acceptable because they
provide additional documentation(beyond a valid do not contain a residence address,date of birth,or
Government-issued photo identification that contains photograph.However,a firearms buyer may be identified
the buyer's name,residence address,and date of by any combination of documents which together
birth)to establish that he or she has resided in a State contain all of the required information(as long as all the
continuously for at least 90 days immediately prior to the documents are Government issued):name,residence
date of the sale or delivery of the firearm.Examples of address,photograph,and date of birth.
acceptable documentation include,but are not limited to,
utility bills,bank statements,rent receipts,and mortgage Military members and legal aliens may have
payments.This original documentation must contain the special identification document considerations.
buyer's name(not the name of someone they are living No additional valid identification documentation
with)and home address. is required of an active-duty member of the Armed
Forces or a legal alien if he or she possesses a valid
Permitted Sales to Non-Residents of Your State identification document(e.g.,driver's license)that
You may sell a firearm to a person who does not reside contains his or her name,residence address,date of
in your State by shipping the firearm to a licensed birth,and photograph and is issued by the State in
dealer in the buyer's State of residence and having the which your business premises is located.If a member
buyer take possession of the firearm from that licensee. of the Armed Forces or a legal alien does not possess
The licensed dealer in the buyer's State of residence is a valid,State-issued identification document with the
responsible for the Form 4473 and NICS background necessary information,you may accept a combination
check.Your A&D records should reflect the transfer to of valid Government-issued documents to satisfy
the out-of-State FFL and not to the end purchaser. the identification document requirement.A member
You may make an over-the-counter sale of a rifle or of the Armed Forces on active duty may satisfy the
shotgun to a non-resident if the transaction complies with identification document requirement by presenting his or
all the laws of your State and the laws of the buyer's her military identification card along with official orders
State. showing his or her permanent duty station.
We recommend that you refer to the most recent edition
of ATF's State Laws and Published Ordinances—
Firearms,prior to consummating an over-the-counter
sale of a rifle or shotgun to an out-of-State resident.
6
Nonimmigrant Aliens Purchasing and If a nonimmigrant alien meets these criteria and
Renting Firearms from an FFL for residency requirements and a properly completed NICS
Possession in the United States check is conducted by the FFL,then the alien is eligible
Nonimmigrant aliens generally MAY NOT receive or to purchase a firearm from an FFL.
possess firearms or ammunition in the United States. Sales of Firearms to Law Enforcement
However,a nonimmigrant alien lawfully admitted to Officers
the United States may receive or possess firearms or
ammunition if he or she fits within one of the exceptions Section 925(a)(1)of the GCA generally exempts law
to the nonimmigrant alien prohibitions.These exceptions enforcement agencies from the transportation,shipment,
apply to an alien who has been lawfully admitted into the receipt,possession,or importation controls of the GCA
United States under a nonimmigrant visa,if that alien is: when firearms or ammunition are to be used for official
agency business.
1. Admitted to the United States for lawful hunting or
sporting purposes or is in possession of a hunting In this regard,law enforcement officers purchasing
license or permit lawfully issued in the United States; firearms for official duty need to provide certain
documentation.If a law enforcement officer is issued a
2. An official representative of a foreign government certification letter on official agency letterhead signed
who is(a)accredited to the U.S.Government or the by a person in authority within the agency(other than
Government's mission to an international organiza- the person purchasing the firearm)stating that the
tion having its headquarters in the United States;or officer will use the firearm in official duties and that
(b)en route to or from another country to which that a records check reveals that the purchasing officer has
alien is accredited if the firearm is being possessed not been convicted of a misdemeanor crime of domestic
or received in the representative's official capacity; violence,then the officer may purchase the firearm for
3. An official of a foreign government or a distin- official use.There are no restrictions as to the purchasing
guished foreign visitor who has been so designated officer's State of residence or agency location.You are
by the Department of State;or not required to prepare a Form 4473 for the transaction
4. A foreign law enforcement officer of a friendly or to conduct a NICS Check;however,the disposition to
foreign government entering the United States on the officer must be entered into your A&D records,and
official law enforcement business. the certification letter from the officer must be retained
Any individual who has been admitted to the as part of your required records.
United States under a nonimmigrant visa may receive ATF considers the following as persons having authority
a waiver after submitting a petition to and obtaining to certify the eligibility of law enforcement officers:
approval from ATF.
1. In a city or county police department,the director of
In addition to meeting at least one of the exceptions for public safety or the chief or commissioner of police.
nonimmigrant aliens,buyers must also satisfy the legal 2. In a sheriff's office,the sheriff.
residency requirements,as discussed below.
3. In a State police or highway patrol department,the
A nonimmigrant alien must provide the required superintendent or the supervisor in charge of the
Government-issued photo identification document(s)and office to which the State officer or employee is
documentation establishing residency in your State for assigned.
90 days immediately before the sale or transfer of the 4. In Federal law enforcement offices,the supervisor
firearm.He or she must also provide documentation of in charge of the office to which the Federal officer or
his or her hunting license or permit,Attorney General
waiver,or documentation for any other exception. employee is assigned.
Certification letters may be signed by persons other than
Note:You may attach a photocopy of the additional those listed above,provided there is a proper delegation
documents provided rather than record the type of of authority.Because individual circumstances vary,
documentation in Items 20c and 20d of the ATF Form FFLs with any questions are encouraged to check
4473. with their local ATF field office before accepting
certifications letters from other officials.
Sales to Members of the Armed Forces 2. The name and address of the non-licensee or the
A member of the Armed Forces on active duty is a name and FFL license number of the licensee from
resident of the State in which his or her permanent whom you received the firearm;
duty station is located.However,if a military member 3. The name of the manufacturer and importer(if any)
maintains a home in one State and has a permanent duty of the firearm;
station in a another State to which he or she commutes 4. The model of the firearm;
each day,the military member has two States of 5. The serial number of the firearm;
residence and may purchase a firearm in either State—
and must list both the residence address and permanent 6. The type of firearm(pistol,revolver,rifle,shotgun,
duty station in Item 2 on the Form 4473. receiver,frame,etc);and
A military member on active duty must present either a 7. The caliber or gauge of the firearm.
current driver's license or State identification card from Required Disposition Information
your State,or a copy of the official orders showing the For each firearm you sell or otherwise dispose of,you
military member's permanent duty station in your State must completely and accurately record the following
along with a military photo identification card,an out-of- information in your bound book:
State driver's license,or an out-of-State identification 1. The date of sale or other disposition of the firearm;
card.
2. The name and address of the non-licensee or the
ATF has determined that you may accept electronic name and FFL license number of the licensee to
Permanent Change of Station(PCS)orders.You are whom the firearm was transferred.
reminded to exercise due diligence to ensure that these Alternatively,if you file your Forms 4473 in numerical
electronic orders reflect a PCS,not a temporary move or order,you may record your internal Form 4473 number
deployment(TDY)and that the dates of the transfer are
in the A&D record in lieu of recording the name and
identified on the document and are inclusive of the date address of the non-licensee to whom you sold or
of the attempted firearm acquisition.You are required to transferred the firearm.
verify the identity of the transferee by examining a valid
identification document. Time Requirements for Recording
Acquisition Information
Acquisition and Disposition (A&D) Record The required acquisition information must be recorded
You MUST at all times maintain on your licensed in your A&D record no later than the close of the next
premises A&D records that document the acquisition and business day following the date of acquisition.However,
disposition of firearms.The A&D record must include if you maintain a commercial record of the acquisition,
information about the acquisition and disposition of and the commercial record meets the requirements of
ALL firearms for sale or trade,consignment firearms, 27 CFR§478.125(g),you may delay the recording of the
pawned firearms,repair firearms(if sent for repairs or acquisition information in your bound book for 7 days
kept overnight),replacement firearms,firearms loaned following the date of acquisition.Note: If the acquisition
or rented for use off your licensed premises,and all other information is not entered in the A&D record prior to the
acquisitions and dispositions of firearms.All firearms sale or other disposition of the firearm,you must enter
that you acquire must be documented in your A&D the acquisition information at the time of the sale or
record. disposition.
Note:You may maintain a computerized A&D record Time Requirements for Recording
if the record meets the criteria outlined in ATF Ruling Disposition Information
2008-2. The required disposition information must be recorded
in your A&D record no later than 7 days following the
Required Acquisition Information date of the sale or other disposition.When the disposition
For each firearm you acquire,you must completely and is made to a non-licensee,you must retain the Form
accurately record all of the following information in your 4473 separate from your other Forms 4473—and keep
A&D record: it readily available for inspection—until the disposition
1. The date of receipt of the firearm; information is entered in the A&D record.
8
Licensed Firearms Manufacturers ATF may only authorize an alternate method or
If you hold a Type 07 FFL,you are required to keep your procedure when it is substantially equivalent to the
acquisition and disposition records in accordance with procedure specified in the law and the alternate method
the regulatory requirements of 27 CFR 478.123(a),(b) does not hinder the effective administration and
and(d). enforcement of the law and regulations or increase costs
to the Government.Your request should be sent to:
Time Requirements for Recording Acquisition Chief,Firearms Industry Programs Branch
and Disposition Information in Manufacturer Bureau of Alcohol,Tobacco,Firearms and Explosives
Records 99 New York Avenue,NE.
Room 6N/672
The required acquisition information for each firearm Washington,DC 20226
manufactured or otherwise acquired and the date of such
manufacture or acquisition shall be recorded not later Reporting Multiple Sales
than the seventh day following such manufacture or other You MUST report to ATF on Form 3310.4(Report
acquisition.Firearms for which acquisition information of Multiple Sale or Other Disposition of Pistols and
must be recorded include both completed weapons that Revolvers)any sale or transfer of two or more pistols,
will or may readily be converted to expel a projectile revolvers,or any combination of pistols and revolvers
by the action of an explosive and frames or receivers totaling two or more to an unlicensed individual that
that may be sold,shipped,or otherwise disposed of
separately.The sale or other disposition shall be recorded takes place at one time or during any 5 consecutive
business days.The report must be made no later than
not later than the seventh day following the transaction. the close of business on the day that the multiple sale or
Note:Acquisition records of manufacturers and other disposition occurs.
importers must be retained as a permanent record.
Mail the original or fax a copy of the completed Form
Licensed Firearms Importers 3310.4 to ATF as directed on the Form 3310.4.You
must also forward a completed copy of the Form 3310.4
If you hold a Type 08 FFL,you are required to keep your to the official designated by the State or local authorities
acquisition and disposition records in accordance with to receive the form.In the absence of such a designation,
the regulatory requirements of 27 CFR 478.122(a),(b) forward a completed copy of the Form 3310.4 to the
and(d). department of State police or State law enforcement
Time Requirements for Recording Acquisition agency that has jurisdiction over the place where the
and Disposition Information in Importer Records transaction(s)occurred.
The required acquisition information for each firearm The ATF mailing address and fax number are:
imported or otherwise acquired and the date of such ATF,National Tracing Center
importation or acquisition shall be recorded within P.O.Box 0279
15 days of the date of importation or other acquisition. Kearneysville,West Virginia 25430-0279
The date of importation is the date the firearm was 1-877-283-0288(fax)
brought into the United States. The sale or other
disposition shall be recorded not later than the seventh Retain a copy of the completed Form 3310.4,attached to
day following the transaction. the back of the ATF Form 4473 for the transfer,as part
of your records.
Note: Acquisition records of manufacturers and
importers must be retained as permanent records. No Form 3310.4 is necessary for the return of multiple
handguns to the same person from whom they were
Alternate Methods or Procedures received—such as the return of multiple consignment,
(Variances) pawned,or repaired handguns.
In certain circumstances,you may apply to ATF for Accountability for Firearms
a variance in the event that you wish to operate your Violations related to firearms missing from inventory are
firearms business in a manner that differs from the among the most commonly cited GCA violations,and
requirements of the regulations.The regulations that have a direct impact on public safety.These violations
allow ATF to grant a variance can be found in 27 CFR
478.22 and 27 CFR 478.125(h).
9
occur when FFLs have"open entries"in their A&D Implementing these best practices in your daily business
records but are unable to physically locate the firearms in operations will better enable you to account for your
inventory. business assets,identify security issues,and provide
To reduce or eliminate violations resultant from quick reporting of firearms that have been lost or stolen
unaccounted for firearms,please consider the following from your business.
best practices to ensure accountability of your firearms Lost or Stolen Firearms
inventory:
You MUST report to ATF each missing,lost,or stolen
l. Consider setting aside in a centralized location all firearm within 48 hours of discovery of the loss or
completed Forms 4473 in a centralized location for theft by calling 1-800-930-9275 and by completing and
each day's sales.At the close of the business day, forwarding an original Form 3310.11 (Federal Firearms
document in the disposition record the disposition of Licensee Theft/Loss Report)to ATF as directed on the
each firearm recorded on the Forms 4473. Form 3310.11.
2. Consider setting aside in a centralized location each
days firearms taken into your business.We suggest A loss of a firearm occurs when you cannot determine
that you document in the acquisition record the the disposition of a firearm and cannot locate it.These
acquisition of each firearm at the end of each lost firearms are different from stolen firearms because
business day. there is no indication that they were stolen.You must
also report the theft or loss to the appropriate local
3. Some FFLs periodically conduct full inventory law enforcement agency.The"open entries"in your
reconciliations.A full inventory reconciliation will A&D record of lost or stolen firearms must be closed
enable you to balance each firearm in physical out by documenting in the disposition section that the
inventory with an open entry in your A&D record firearm was lost or stolen and the ATF issued incident
and identify any discrepancies between your records number.Retain a copy of the Form 3310.11 as part of
and physical inventory: your records. See ATF Publication 3317.2,Safety and
a. Consider taking a full count of all firearms in the Security Information for Federal Firearms Licensees,for
business inventory and taking a count of all open additional information.
entries in your A&D record;
b. Ensure that all sales receipts(FFL transactions, Providing False Information
repairs)and Forms 4473 have been entered as You must not provide information on required records
dispositions in the A&D record; (including Forms 4473,bound books,Forms 3310.4,
c. Be alert for discrepancies—if there are more Forms 3310.11,license renewal applications)that you
"open entries"than firearms in inventory,then know is false or that you have reason to believe is false.
there are firearms missing from inventory.If there You must not transfer a firearm to a buyer or
are more firearms in inventory than there are transferee—or any other person—who provides
"open entries,"then there are likely firearms that information on a Form 4473 or other required record that
have not been recorded as acquisitions; you know is false or have reason to believe is false.You
d. You can ensure the accuracy of your documenta- must terminate the transaction.
tion by using the A&D record information(in
particular,the make,model,caliber,serial number) Licensed Collectors
to compare each"open entry"to the appropriate Licensed collectors may buy curio or relic firearms
firearm in the business inventory; from any source and dispose of curio or relic firearms
e. You can also ensure that all firearms are recorded to another licensee anywhere.As a licensed collector,
in the A&D record by verifying each firearm to an you may dispose of and receive curio or relic firearms to
entry in the acquisition record where an open entry non-licensed residents of your State.
(disposition)exists.
10
You must maintain A&D records.Your collector's or any ATF office that serves the area where the business
license entitles you to conduct transactions in curios and was located.These records provide vital assistance to
relics only.A licensed collector has the same status as a law enforcement in tracing firearms used in crimes.
non-licensee in any transaction involving firearms other
than curios and relics.ATF Form 4473 is not required for Conclusion
curio and relic transactions. As a Federal firearms dealer,it is your responsibility to
A curio or relic license does not entitle the holder to make sure that you comply with all applicable firearms
engage in the business of dealing in firearms,including laws and regulations.The following resources may assist
dealing in curio or relic firearms. you:
• Federal Firearms Regulations Reference Guide;
Sale of Business or Going Out of Business • ATF Website at wwwatf.gov;
You must give written notice to the Chief,FFLC,within . FFL Newsletters;
30 days after you sell or discontinue your firearms or
• Instructions on ATF Forms 4473,3310.4,and 3310.11;
ammunition business.If you sell or discontinue your
firearms or ammunition business and are succeeded by • State Attorney General for questions concerning State
a new licensee,your firearms dealer records should be firearms laws and regulations.
marked to show this fact and must be delivered to the If you are unable to determine the appropriate course of
successor.If you do not have a successor,you must conduct,call your local ATF office for guidance.
deliver all of your firearms records within 30 days of
going completely out of the firearms business to:
ATF National Tracing Center
Out-of-Business Records Center
244 Needy Road
Martinsburg,WV 25405
11
For questions concerning unlawful activities,contact the ATF Criminal Enforcement Field Divisions below:
Atlanta Field Division Houston Field Division Philadelphia Field Division
2600 Century Parkway,Suite 300 15355 Vantage Pkwy West,Suite 200 601 Walnut Street,Suite 100E
Atlanta,GA 30345-3104 Houston,TX 77032-1965 Philadelphia,PA 19106
(404)417-2600 (281)372-2900 (215)446-7800
Baltimore Field Division Kansas City Field Division Phoenix Field Division
G.H.Fallon Building 2600 Grand Avenue,Suite 200 201 East Washington Street,Suite 940
31 Hopkins Plaza,51 Floor Kansas City,MO 64108 Phoenix,AZ 85004
Baltimore,MD 21201-2825 (816)559-0700 (602)776-5400
(443)965-2000
Los Angeles Field Division San Francisco Field Division
Boston Field Division 550 North Brand Avenue,8'"Floor 5601 Arnold Road,Suite 400
Federal Building Glendale,CA 921203 Dublin,CA 94568-7724
10 Causeway Street,Room 791 (818)265-2500 (925)479-7500
Boston,MA 02222-01047
(617)557-1200 Louisville Field Division Seattle Field Division
600 Dr.Martin Luther King,Jr.Place 915 2'Avenue,Room 790
Charlotte Field Division Suite 322 Seattle,WA 98174
6701 Carmel Road,Suite 200 Louisville,KY 40202 (206)389-5800
Charlotte,NC 28226 (502)753-3400
(704)716-1800 St.Paul Field Division
Miami Field Division 30 East Seventh Street,Room 1900
Chicago Field Division 11410 N.W.20m Street,Suite 201 St.Paul,MN 55101
525 West Van Buren Street,Suite 600 Miami,FL 33172 (651)726-0200
Chicago,IL 60607 (305)597-4800
(312)846-7200 Tampa Field Division
Nashville Field Division 400 North Tampa Street,Room 2100
Columbus Field Division 5300 Maryland Way,Suite 200 Tampa,FL 33602
230 West Street,Suite 400 Brentwood,TN 37027 (813)202-7300
Columbus,OH 43215 (615)565-1400
(614)827-8400 Washington Field Division
New Orleans Field Division 1401 H Street,NW,Suite 900
Dallas Field Division One Galleria Boulevard,Suite 1700 Washington,DC 20226
1114 Commerce Street,Suite 303 Metairie,LA 70001 (202)648-8010
Dallas,TX 75242 (504)841-7000
(469)227-4300
New York Field Division
Denver Field Division 241 37-Street,3-Floor
1961 Stout Street,Room 674 Brooklyn,NY 11232
Denver,CO 80294 (718)650-4000
(303)844-7450
Newark Field Division
Detroit Field Division 1 Garret Mountain Plaza,Suite 500
1155 Brewery Park Blvd,Suite 300 Woodland Park,NJ 07424
Detroit,MI 48207-2602 (973)413-1179
(313)202-3400
To Obtain Assistance Regarding To Receive ATF Forms and To Ship Out-of-Business Records
Your License Publications ATF National Tracing Center
ATF Firearms Licensing Center ATF Distribution Center 244 Needy Road
244 Needy Road 1519 Cabin Branch Drive Martinsburg,WV 25405
Martinsburg,WV 25405 Landover,MD 20785-3816 (304)260-1500 or 1-800-788-7133
1-866-662-2750 (301)583-4696
12
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e.�mno mnxnmal,�rn'F„n,n,,,,aer.,,,n Report of Multiple Sale or Other Firearms Tnnsactian Record Part I No III
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U.S.Department of Justice
Bureau of Alcohol,Tobacco,Firearms and Explosives
ATF Distribution Center
1519 Cabin Branch Drive
Landover,Maryland 20785
Official Business
Penalty for Private Use,$300
19
ATF Publication 5300.15
Revised August 2010
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18 U.S.0 922
(a) it shall be unlawful—
(1)for any person—
(A)except a licensed importer, licensed manufacturer,or licensed dealer,to engage in the business of
importing, manufacturing,or dealing in firearms,or in the course of such business to ship,transport,or
receive any firearm in interstate or foreign commerce;or
(B)except a licensed importer or licensed manufacturer,to engage in the business of importing or
manufacturing ammunition, or in the course of such business,to ship,transport,or receive any
ammunition in interstate or foreign commerce;
(2)for any importer, manufacturer,dealer,or collector licensed under the provisions of this chapter to
ship or transport in interstate or foreign commerce any firearm to any person other than a licensed
importer, licensed manufacturer, licensed dealer,or licensed collector,except that—
(A)this paragraph and subsection (b)(3)shall not be held to preclude a licensed importer, licensed
manufacturer, licensed dealer,or licensed collector from returning a firearm or replacement firearm of
the same kind and type to a person from whom it was received;and this paragraph shall not be held to
preclude an individual from mailing a firearm owned in compliance with Federal,State,and local law to
a licensed importer,licensed manufacturer, licensed dealer,or licensed collector;
(B)this paragraph shall not be held to preclude a licensed importer, licensed manufacturer,or licensed
dealer from depositing a firearm for conveyance in the mails to any officer,employee,agent,or
watchman who, pursuant to the provisions of section 1715 of this title, is eligible to receive through the
mails pistols,revolvers,and other firearms capable of being concealed on the person,for use in
connection with his official duty;and
(C) nothing in this paragraph shall be construed as applying in any manner in the District of Columbia,
the Commonwealth of Puerto Rico,or any possession of the United States differently than it would
apply if the District of Columbia,the Commonwealth of Puerto Rico,or the possession were in fact a
State of the United States;
(3)for any person,other than a licensed importer, licensed manufacturer, licensed dealer,or licensed
collector to transport into or receive in the State where he resides(or if the person is a corporation or
other business entity,the State where it maintains a place of business)any firearm purchased or
otherwise obtained by such person outside that State,except that this paragraph (A)shall not preclude
any person who lawfully acquires a firearm by bequest or intestate succession in a State other than his
State of residence from transporting the firearm into or receiving it in that State, if it is lawful for such
person to purchase or possess such firearm in that State, (B)shall not apply to the transportation or
receipt of a firearm obtained in conformity with subsection (b)(3)of this section,and (C)shall not apply
to the transportation of any firearm acquired in any State prior to the effective date of this chapter;
(4)for any person,other than a licensed importer, licensed manufacturer, licensed dealer,or licensed
collector,to transport in interstate or foreign commerce any destructive device,machinegun (as defined
in section 5845 of the Internal Revenue Code of 1986),short-barreled shotgun,or short-barreled rifle,
except as specifically authorized by the Attorney General consistent with public safety and necessity;
(5)for any person (other than a licensed importer, licensed manufacturer, licensed dealer,or licensed
collector)to transfer,sell,trade,give,transport,or deliver any firearm to any person (other than a
licensed importer, licensed manufacturer, licensed dealer,or licensed collector)who the transferor
knows or has reasonable cause to believe does not reside in(or if the person is a corporation or other
business entity,does not maintain a place of business in)the State in which the transferor resides;
except that this paragraph shall not apply to
(A)the transfer,transportation,or delivery of a firearm made to carry out a bequest of a firearm to,or
an acquisition by intestate succession of a firearm by,a person who is permitted to acquire or possess a
firearm under the laws of the State of his residence,and
(B)the loan or rental of a firearm to any person for temporary use for lawful sporting purposes;
(6)for any person in connection with the acquisition or attempted acquisition of any firearm or
ammunition from a licensed importer,licensed manufacturer, licensed dealer,or licensed collector,
knowingly to make any false or fictitious oral or written statement or to furnish or exhibit any false,
fictitious,or misrepresented identification, intended or likely to deceive such importer,manufacturer,
dealer,or collector with respect to any fact material to the lawfulness of the sale or other disposition of
such firearm or ammunition under the provisions of this chapter;
(7)for any person to manufacture or import armor piercing ammunition, unless—
(A)the manufacture of such ammunition is for the use of the United States,any department or agency
of the United States,any State,or any department,agency,or political subdivision of a State;
(B)the manufacture of such ammunition is for the purpose of exportation;or
(C)the manufacture or importation of such ammunition is for the purpose of testing or experimentation
and has been authorized by the Attorney General;
(8)for any manufacturer or importer to sell or deliver armor piercing ammunition, unless such sale or
delivery—
(A) is for the use of the United States, any department or agency of the United States,any State,or any
department,agency,or political subdivision of a State;
(B)is for the purpose of exportation;or
(C) is for the purpose of testing or experimentation and has been authorized by the Attorney General;
(1)
(9)for any person,other than a licensed importer, licensed manufacturer, licensed dealer,or licensed
collector,who does not reside in any State to receive any firearms unless such receipt is for lawful
sporting purposes.
(b) It shall be unlawful for any licensed importer, licensed manufacturer, licensed dealer,or licensed
collector to sell or deliver—
(1)any firearm or ammunition to any individual who the licensee knows or has reasonable cause to
believe is less than eighteen years of age, and, if the firearm,or ammunition is other than a shotgun or
rifle,or ammunition for a shotgun or rifle,to any individual who the licensee knows or has reasonable
cause to believe is less than twenty-one years of age;
(2)any firearm to any person in any State where the purchase or possession by such person of such
firearm would be in violation of any State law or any published ordinance applicable at the place of sale,
delivery or other disposition, unless the licensee knows or has reasonable cause to believe that the
purchase or possession would not be in violation of such State law or such published ordinance;
(3) any firearm to any person who the licensee knows or has reasonable cause to believe does not reside
in(or if the person is a corporation or other business entity,does not maintain a place of business in)
the State in which the licensee's place of business is located,except that this paragraph (A)shall not
apply to the sale or delivery of any rifle or shotgun to a resident of a State other than a State in which
the licensee's place of business is located if the transferee meets in person with the transferor to
accomplish the transfer,and the sale,delivery,and receipt fully comply with the legal conditions of sale
in both such States(and any licensed manufacturer,importer or dealer shall be presumed,for purposes
of this subparagraph, in the absence of evidence to the contrary,to have had actual knowledge of the
State laws and published ordinances of both States),and (B) shall not apply to the loan or rental of a
firearm to any person for temporary use for lawful sporting purposes;
(4)to any person any destructive device, machinegun(as defined in section 5845 of the Internal
Revenue Code of 1986),short-barreled shotgun,or short-barreled rifle,except as specifically authorized
by the Attorney General consistent with public safety and necessity;and
(5)any firearm or armor-piercing ammunition to any person unless the licensee notes in his records,
required to be kept pursuant to section 923 of this chapter,the name,age,and place of residence of
such person if the person is an individual,or the identity and principal and local places of business of
such person if the person is a corporation or other business entity.
Paragraphs(1), (2), (3),and (4)of this subsection shall not apply to transactions between licensed
importers,licensed manufacturers, licensed dealers,and licensed collectors. Paragraph (4)of this
subsection shall not apply to a sale or delivery to any research organization designated by the Attorney
General.
(c) In any case not otherwise prohibited by this chapter,a licensed importer, licensed manufacturer,or
licensed dealer may sell a firearm to a person who does not appear in person at the licensee's business
premises(other than another licensed importer, manufacturer,or dealer)only if—
(1)the transferee submits to the transferor a sworn statement in the following form:
"Subject to penalties provided by law, I swear that, in the case of any firearm other than a shotgun or a
rifle, I am twenty-one years or more of age, or that, in the case of a shotgun or a rifle, I am eighteen
years or more of age;that I am not prohibited by the provisions of chapter 44 of title 18, United States
Code,from receiving a firearm in interstate or foreign commerce;and that my receipt of this firearm will
not be in violation of any statute of the State and published ordinance applicable to the locality in which
I reside. Further,the true title, name,and address of the principal law enforcement officer of the locality
to which the firearm will be delivered are XXXXXXXXXXXX
XXXXXXXXXXXXXXXXXXXXXXX
Signature XXXXXXXXX Date XXXX."
and containing blank spaces for the attachment of a true copy of any permit or other information
required pursuant to such statute or published ordinance;
(2)the transferor has, prior to the shipment or delivery of the firearm,forwarded by registered or
certified mail (return receipt requested)a copy of the sworn statement,together with a description of
the firearm, in a form prescribed by the Attorney General,to the chief law enforcement officer of the
transferee's place of residence,and has received a return receipt evidencing delivery of the statement
or has had the statement returned due to the refusal of the named addressee to accept such letter in
accordance with United States Post Office Department regulations;and
(3)the transferor has delayed shipment or delivery for a period of at least seven days following receipt
of the notification of the acceptance or refusal of delivery of the statement.
A copy of the sworn statement and a copy of the notification to the local law enforcement officer,
together with evidence of receipt or rejection of that notification shall be retained by the licensee as a
part of the records required to be kept under section 923(g).
(d) It shall be unlawful for any person to sell or otherwise dispose of any firearm or ammunition to any
person knowing or having reasonable cause to believe that such person—
(1) is under indictment for,or has been convicted in any court of,a crime punishable by imprisonment
for a term exceeding one year;
(2) is a fugitive from justice;
(3) is an unlawful user of or addicted to any controlled substance (as defined in section 102 of the
Controlled Substances Act(21 U.S.C.802));
(4) has been adjudicated as a mental defective or has been committed to any mental institution;
(5)who, being an alien—
(A)is illegally or unlawfully in the United States;or
(B)except as provided in subsection (y)(2), has been admitted to the United States under a
nonimmigrant visa (as that term is defined in section 101(a)(26)of the Immigration and Nationality Act
(8 U.S.C. 1101(a)(26)));
(6)who [21 has been discharged from the Armed Forces under dishonorable conditions;
(7)who, having been a citizen of the United States, has renounced his citizenship;
(8) is subject to a court order that restrains such person from harassing,stalking,or threatening an
intimate partner of such person or child of such intimate partner or person,or engaging in other
conduct that would place an intimate partner in reasonable fear of bodily injury to the partner or child,
except that this paragraph shall only apply to a court order that—
(A)was issued after a hearing of which such person received actual notice,and at which such person
had the opportunity to participate; and
(B)
(i) includes a finding that such person represents a credible threat to the physical safety of such intimate
partner or child;or
(ii) by its terms explicitly prohibits the use,attempted use, or threatened use of physical force against
such intimate partner or child that would reasonably be expected to cause bodily injury;or
(9) has been convicted in any court of a misdemeanor crime of domestic violence.
This subsection shall not apply with respect to the sale or disposition of a firearm or ammunition to a
licensed importer, licensed manufacturer, licensed dealer,or licensed collector who pursuant to
subsection(b)ofsection 925 of this chapter is not precluded from dealing in firearms or ammunition,or
to a person who has been granted relief from disabilities pursuant to subsection(c)ofsection 925 of this
chapter.
(e) It shall be unlawful for any person knowingly to deliver or cause to be delivered to any common or
contract carrier for transportation or shipment in interstate or foreign commerce,to persons other than
licensed importers, licensed manufacturers, licensed dealers,or licensed collectors,any package or
other container in which there is any firearm or ammunition without written notice to the carrier that
such firearm or ammunition is being transported or shipped;except that any passenger who owns or
legally possesses a firearm or ammunition being transported aboard any common or contract carrier for
movement with the passenger in interstate or foreign commerce may deliver said firearm or
ammunition into the custody of the pilot,captain,conductor or operator of such common or contract
carrier for the duration of the trip without violating any of the provisions of this chapter. No common or
contract carrier shall require or cause any label,tag,or other written notice to be placed on the outside
of any package, luggage,or other container that such package, luggage,or other container contains a
firearm.
(f)
(1) It shall be unlawful for any common or contract carrier to transport or deliver in interstate or foreign
commerce any firearm or ammunition with knowledge or reasonable cause to believe that the
shipment,transportation,or receipt thereof would be in violation of the provisions of this chapter.
(2) It shall be unlawful for any common or contract carrier to deliver in interstate or foreign commerce
any firearm without obtaining written acknowledgement of receipt from the recipient of the package or
other container in which there is a firearm.
(g) It shall be unlawful for any person—
(1)who has been convicted in any court of,a crime punishable by imprisonment for a term exceeding
one year;
(2)who is a fugitive from justice;
(3)who is an unlawful user of or addicted to any controlled substance(as defined in section 102 of the
Controlled Substances Act(21 U.S.C.802));
(4)who has been adjudicated as a mental defective or who has been committed to a mental institution;
(5)who, being an alien—
(A)is illegally or unlawfully in the United States;or
(B)except as provided in subsection (y)(2), has been admitted to the United States under a
nonimmigrant visa (as that term is defined in section 101(a)(26)of the Immigration and Nationality Act
(8 U.S.C. 1101(a)(26)));
(6)who has been discharged from the Armed Forces under dishonorable conditions;
(7)who, having been a citizen of the United States, has renounced his citizenship;
(8)who is subject to a court order that—
(A)was issued after a hearing of which such person received actual notice,and at which such person
had an opportunity to participate;
(B) restrains such person from harassing,stalking,or threatening an intimate partner of such person or
child of such intimate partner or person,or engaging in other conduct that would place an intimate
partner in reasonable fear of bodily injury to the partner or child; and
(c)
(i) includes a finding that such person represents a credible threat to the physical safety of such intimate
partner or child;or
(ii) by its terms explicitly prohibits the use,attempted use,or threatened use of physical force against
such intimate partner or child that would reasonably be expected to cause bodily injury;or
(9)who has been convicted in any court of a misdemeanor crime of domestic violence,
to ship or transport in interstate or foreign commerce,or possess in or affecting commerce,any firearm
or ammunition;or to receive any firearm or ammunition which has been shipped or transported in
interstate or foreign commerce.
(h) It shall be unlawful for any individual,who to that individual's knowledge and while being employed
for any person described in any paragraph of subsection (g)of this section, in the course of such
employment—
(1)to receive, possess,or transport any firearm or ammunition in or affecting interstate or foreign
commerce;or
(2)to receive any firearm or ammunition which has been shipped or transported in interstate or foreign
commerce.
(i) It shall be unlawful for any person to transport or ship in interstate or foreign commerce,any stolen
firearm or stolen ammunition, knowing or having reasonable cause to believe that the firearm or
ammunition was stolen.
(j) It shall be unlawful for any person to receive, possess,conceal,store, barter,sell,or dispose of any
stolen firearm or stolen ammunition,or pledge or accept as security for a loan any stolen firearm or
stolen ammunition,which is moving as,which is a part of,which constitutes,or which has been shipped
or transported in, interstate or foreign commerce,either before or after it was stolen,knowing or having
reasonable cause to believe that the firearm or ammunition was stolen.
(k) It shall be unlawful for any person knowingly to transport,ship,or receive, in interstate or foreign
commerce,any firearm which has had the importer's or manufacturer's serial number removed,
obliterated,or altered or to possess or receive any firearm which has had the importer's or
manufacturer's serial number removed,obliterated,or altered and has,at any time, been shipped or
transported in interstate or foreign commerce.
(1) Except as provided in section 925 (d)of this chapter, it shall be unlawful for any person knowingly to
import or bring into the United States or any possession thereof any firearm or ammunition;and it shall
be unlawful for any person knowingly to receive any firearm or ammunition which has been imported or
brought into the United States or any possession thereof in violation of the provisions of this chapter.
(m) It shall be unlawful for any licensed importer, licensed manufacturer, licensed dealer,or licensed
collector knowingly to make any false entry in,to fail to make appropriate entry in,or to fail to properly
maintain,any record which he is required to keep pursuant to section 923 of this chapter or regulations
promulgated thereunder.
(n) It shall be unlawful for any person who is under indictment for a crime punishable by imprisonment
for a term exceeding one year to ship or transport in interstate or foreign commerce any firearm or
ammunition or receive any firearm or ammunition which has been shipped or transported in interstate
or foreign commerce.
(o)
(1) Except as provided in paragraph (2), it shall be unlawful for any person to transfer or possess a
machinegun.
(2)This subsection does not apply with respect to—
(A) a transfer to or by,or possession by or under the authority of,the United States or any department
or agency thereof or a State,or a department,agency,or political subdivision thereof;or
(B)any lawful transfer or lawful possession of a machinegun that was lawfully possessed before the date
this subsection takes effect.
(p)
(1) It shall be unlawful for any person to manufacture, import,sell,ship,deliver, possess,transfer,or
receive any firearm—
(A)that,after removal of grips,stocks,and magazines, is not as detectable as the Security Exemplar, by
walk-through metal detectors calibrated and operated to detect the Security Exemplar;or
(B) any major component of which,when subjected to inspection by the types of x-ray machines
commonly used at airports,does not generate an image that accurately depicts the shape of the
component. Barium sulfate or other compounds may be used in the fabrication of the component.
(2) For purposes of this subsection—
(A)the term "firearm"does not include the frame or receiver of any such weapon;
(B)the term "major component" means,with respect to a firearm,the barrel,the slide or cylinder,or
the frame or receiver of the firearm;and
(C)the term "Security Exemplar" means an object,to be fabricated at the direction of the Attorney
General,that is—
(i)constructed of, during the 12-month period beginning on the date of the enactment of this
subsection,3.7 ounces of material type 17-4 PH stainless steel in a shape resembling a handgun; and
(ii)suitable for testing and calibrating metal detectors:
Provided, however,That at the close of such 12-month period,and at appropriate times thereafter the
Attorney General shall promulgate regulations to permit the manufacture, importation,sale,shipment,
delivery, possession,transfer,or receipt of firearms previously prohibited under this subparagraph that
are as detectable as a "Security Exemplar"which contains 3.7 ounces of material type 17-4 PH stainless
steel, in a shape resembling a handgun,or such lesser amount as is detectable in view of advances in
state-of-the-art developments in weapons detection technology.
(3) Under such rules and regulations as the Attorney General shall prescribe,this subsection shall not
apply to the manufacture, possession,transfer, receipt,shipment,or delivery of a firearm by a licensed
manufacturer or any person acting pursuant to a contract with a licensed manufacturer,for the purpose
of examining and testing such firearm to determine whether paragraph(1)applies to such firearm.The
Attorney General shall ensure that rules and regulations adopted pursuant to this paragraph do not
impair the manufacture of prototype firearms or the development of new technology.
(4)The Attorney General shall permit the conditional importation of a firearm by a licensed importer or
licensed manufacturer,for examination and testing to determine whether or not the unconditional
importation of such firearm would violate this subsection.
(5)This subsection shall not apply to any firearm which—
(A) has been certified by the Secretary of Defense or the Director of Central Intelligence,after
consultation with the Attorney General and the Administrator of the Federal Aviation Administration,as
necessary for military or intelligence applications;and
(B) is manufactured for and sold exclusively to military or intelligence agencies of the United States.
(6)This subsection shall not apply with respect to any firearm manufactured in, imported into,or
possessed in the United States before the date of the enactment of the Undetectable Firearms Act of
1988.
(Q)
(1)The Congress finds and declares that—
(A)crime, particularly crime involving drugs and guns,is a pervasive, nationwide problem;
(B)crime at the local level is exacerbated by the interstate movement of drugs,guns,and criminal
gangs;
(C)firearms and ammunition move easily in interstate commerce and have been found in increasing
numbers in and around schools,as documented in numerous hearings in both the Committee on the
Judiciary [3]the House of Representatives and the Committee on the Judiciary of the Senate;
(D) in fact,even before the sale of a firearm,the gun, its component parts,ammunition,and the raw
materials from which they are made have considerably moved in interstate commerce;
(E)while criminals freely move from State to State,ordinary citizens and foreign visitors may fear to
travel to or through certain parts of the country due to concern about violent crime and gun violence,
and parents may decline to send their children to school for the same reason;
(F)the occurrence of violent crime in school zones has resulted in a decline in the quality of education in
our country;
(G)this decline in the quality of education has an adverse impact on interstate commerce and the
foreign commerce of the United States;
(H)States, localities,and school systems find it almost impossible to handle gun-related crime by
themselves—even States, localities,and school systems that have made strong efforts to prevent,
detect,and punish gun-related crime find their efforts unavailing due in part to the failure or inability of
other States or localities to take strong measures;and
(1)the Congress has the power, under the interstate commerce clause and other provisions of the
Constitution,to enact measures to ensure the integrity and safety of the Nation's schools by enactment
of this subsection.
(2)
(A) It shall be unlawful for any individual knowingly to possess a firearm that has moved in or that
otherwise affects interstate or foreign commerce at a place that the individual knows,or has reasonable
cause to believe, is a school zone.
(B)Subparagraph (A)does not apply to the possession of a firearm—
(i)on private property not part of school grounds;
(ii) if the individual possessing the firearm is licensed to do so by the State in which the school zone is
located or a political subdivision of the State,and the law of the State or political subdivision requires
that, before an individual obtains such a license,the law enforcement authorities of the State or political
subdivision verify that the individual is qualified under law to receive the license;
(iii)that is—
(1) not loaded;and
(11) in a locked container,or a locked firearms rack that is on a motor vehicle;
(iv) by an individual for use in a program approved by a school in the school zone;
(v) by an individual in accordance with a contract entered into between a school in the school zone and
the individual or an employer of the individual;
(vi) by a law enforcement officer acting in his or her official capacity;or
(vii)that is unloaded and is possessed by an individual while traversing school premises for the purpose
of gaining access to public or private lands open to hunting, if the entry on school premises is authorized
by school authorities.
(3)
(A) Except as provided in subparagraph (B), it shall be unlawful for any person, knowingly or with
reckless disregard for the safety of another,to discharge or attempt to discharge a firearm that has
moved in or that otherwise affects interstate or foreign commerce at a place that the person knows is a
school zone.
(B)Subparagraph(A)does not apply to the discharge of a firearm—
(i)on private property not part of school grounds;
(ii)as part of a program approved by a school in the school zone, by an individual who is participating in
the program;
(iii) by an individual in accordance with a contract entered into between a school in a school zone and
the individual or an employer of the individual;or
(iv) by a law enforcement officer acting in his or her official capacity.
(4) Nothing in this subsection shall be construed as preempting or preventing a State or local
government from enacting a statute establishing gun free school zones as provided in this subsection.
(r) It shall be unlawful for any person to assemble from imported parts any semiautomatic rifle or any
shotgun which is identical to any rifle or shotgun prohibited from importation under section 925 (d)(3)
of this chapter as not being particularly suitable for or readily adaptable to sporting purposes except
that this subsection shall not apply to—
(1)the assembly of any such rifle or shotgun for sale or distribution by a licensed manufacturer to the
United States or any department or agency thereof or to any State or any department,agency,or
political subdivision thereof;or
(2)the assembly of any such rifle or shotgun for the purposes of testing or experimentation authorized
by the Attorney General.
(s)
(1) Beginning on the date that is 90 days after the date of enactment of this subsection and ending on
the day before the date that is 60 months after such date of enactment, it shall be unlawful for any
licensed importer, licensed manufacturer,or licensed dealer to sell,deliver,or transfer a handgun (other
than the return of a handgun to the person from whom it was received)to an individual who is not
licensed under section 923, unless—
(A)after the most recent proposal of such transfer by the transferee—
(i)the transferor has—
(1) received from the transferee a statement of the transferee containing the information described in
paragraph (3);
(11)verified the identity of the transferee by examining the identification document presented;
(III)within 1 day after the transferee furnishes the statement, provided notice of the contents of the
statement to the chief law enforcement officer of the place of residence of the transferee; and
(IV)within 1 day after the transferee furnishes the statement,transmitted a copy of the statement to
the chief law enforcement officer of the place of residence of the transferee;and
(ii)
(1) 5 business days(meaning days on which State offices are open) have elapsed from the date the
transferor furnished notice of the contents of the statement to the chief law enforcement officer,during
which period the transferor has not received information from the chief law enforcement officer that
receipt or possession of the handgun by the transferee would be in violation of Federal,State,or local
law; or
(11)the transferor has received notice from the chief law enforcement officer that the officer has no
information indicating that receipt or possession of the handgun by the transferee would violate
Federal,State,or local law;
(B)the transferee has presented to the transferor a written statement, issued by the chief law
enforcement officer of the place of residence of the transferee during the 10-day period ending on the
date of the most recent proposal of such transfer by the transferee,stating that the transferee requires
access to a handgun because of a threat to the life of the transferee or of any member of the household
of the transferee;
(C)
(i)the transferee has presented to the transferor a permit that—
(1)allows the transferee to possess or acquire a handgun;and
(11)was issued not more than 5 years earlier by the State in which the transfer is to take place;and
(ii)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 possession of a
handgun by the transferee would be in violation of the law;
(D)the law of the State requires that, before any licensed importer, licensed manufacturer,or licensed
dealer completes the transfer of a handgun to an individual who is not licensed under section 923,an
authorized government official verify that the information available to such official does not indicate
that possession of a handgun by the transferee would be in violation of law;
(E)the Attorney General has approved the transfer under section 5812 of the Internal Revenue Code of
1986;or
(F) on application of the transferor,the Attorney General has certified that compliance with
subparagraph (A)(i)(III) is impracticable because—
(i)the ratio of the number of law enforcement officers of the State in which the transfer is to occur to
the number of square miles of land area of the State does not exceed 0.0025;
(ii)the business premises of the transferor at which the transfer is to occur are extremely remote in
relation to the chief law enforcement officer; and
(iii)there is an absence of telecommunications facilities in the geographical area in which the business
premises are located.
(2)A chief law enforcement officer to whom a transferor has provided notice pursuant to paragraph
(1)(A)(i)(III)shall make a reasonable effort to ascertain within 5 business days whether receipt or
possession would be in violation of the law, including research in whatever State and local
recordkeeping systems are available and in a national system designated by the Attorney General.
(3)The statement referred to in paragraph(1)(A)(i)(I)shall contain only—
(A)the name,address, and date of birth appearing on a valid identification document(as defined in
section 1028(d)(1) [4] )of the transferee containing a photograph of the transferee and a description of
the identification used;
(B)a statement that the transferee—
(i) is not under indictment for,and has not been convicted in any court of, a crime punishable by
imprisonment for a term exceeding 1 year,and has not been convicted in any court of a misdemeanor
crime of domestic violence;
(ii) is not a fugitive from justice;
(iii) is not an unlawful user of or addicted to any controlled substance(as defined in section 102 of the
Controlled Substances Act);
(iv) has not been adjudicated as a mental defective or been committed to a mental institution;
(v) is not an alien who—
([) is illegally or unlawfully in the United States;or
(11)subject to subsection (y)(2), has been admitted to the United States under a nonimmigrant visa (as
that term is defined in section 101(a)(26)of the Immigration and Nationality Act(8 U.S.C. 1101 (a)(26)));
(vi) has not been discharged from the Armed Forces under dishonorable conditions; and
(vii) is not a person who, having been a citizen of the United States, has renounced such citizenship;
(C)the date the statement is made;and
(D) notice that the transferee intends to obtain a handgun from the transferor.
(4)Any transferor of a handgun who,after such transfer, receives a report from a chief law enforcement
officer containing information that receipt or possession of the handgun by the transferee violates
Federal,State,or local law shall,within 1 business day after receipt of such request,communicate any
information related to the transfer that the transferor has about the transfer and the transferee to—
(A)the chief law enforcement officer of the place of business of the transferor;and
(B)the chief law enforcement officer of the place of residence of the transferee.
(5)Any transferor who receives information, not otherwise available to the public, in a report under this
subsection shall not disclose such information except to the transferee,to law enforcement authorities,
or pursuant to the direction of a court of law.
(6)
(A)Any transferor who sells,delivers,or otherwise transfers a handgun to a transferee shall retain the
copy of the statement of the transferee with respect to the handgun transaction,and shall retain
evidence that the transferor has complied with subclauses(III)and (IV)of paragraph (1)(A)(i)with
respect to the statement.
(B) Unless the chief law enforcement officer to whom a statement is transmitted under paragraph
(1)(A)(i)(IV)determines that a transaction would violate Federal,State,or local law—
(i)the officer shall,within 20 business days after the date the transferee made the statement on the
basis of which the notice was provided,destroy the statement,any record containing information
derived from the statement,and any record created as a result of the notice required by paragraph
(1)(A)(i)(111);
(ii)the information contained in the statement shall not be conveyed to any person except a person
who has a need to know in order to carry out this subsection;and
(iii)the information contained in the statement shall not be used for any purpose other than to carry out
this subsection.
(C) If a chief law enforcement officer determines that an individual is ineligible to receive a handgun and
the individual requests the officer to provide the reason for such determination,the officer shall provide
such reasons to the individual in writing within 20 business days after receipt of the request.
(7)A chief law enforcement officer or other person responsible for providing criminal history
background information pursuant to this subsection shall not be liable in an action at law for damages—
(A)for failure to prevent the sale or transfer of a handgun to a person whose receipt or possession of
the handgun is unlawful under this section;or
(B)for preventing such a sale or transfer to a person who may lawfully receive or possess a handgun.
(8) For purposes of this subsection,the term "chief law enforcement officer" means the chief of police,
the sheriff,or an equivalent officer or the designee of any such individual.
(9)The Attorney General shall take necessary actions to ensure that the provisions of this subsection are
published and disseminated to licensed dealers, law enforcement officials,and the public.
(t)
(1) Beginning on the date that is 30 days after the Attorney General notifies licensees under section
103(d)of the Brady Handgun Violence Prevention Act that the national instant criminal background
check system is established,a licensed importer, licensed manufacturer,or licensed dealer shall not
transfer a firearm to any other person who is not licensed under this chapter, unless—
(A) before the completion of the transfer,the licensee contacts the national instant criminal background
check system established under section 103 of that Act;
(B)
(i)the system provides the licensee with a unique identification number;or
(ii)3 business days(meaning a day on which State offices are open) have elapsed since the licensee
contacted the system,and the system has not notified the licensee that the receipt of a firearm by such
other person would violate subsection (g)or(n)of this section;and
(C)the transferor has verified the identity of the transferee by examining a valid identification document
(as defined in section 1028(d)of this title)of the transferee containing a photograph of the transferee.
(2) If receipt of a firearm would not violate subsection (g)or(n)or State law,the system shall—
(A)assign a unique identification number to the transfer;
(B) provide the licensee with the number; and
(C) destroy all records of the system with respect to the call (other than the identifying number and the
date the number was assigned)and all records of the system relating to the person or the transfer.
(3) Paragraph(1)shall not apply to a firearm transfer between a licensee and another person if—
(A)
(i)such other person has presented to the licensee a permit that—
(1)allows such other person to possess or acquire a firearm; and
(II)was issued not more than 5 years earlier by the State in which the transfer is to take place;and
(ii)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 possession of a
firearm by such other person would be in violation of law;
(B)the Attorney General has approved the transfer under section 5812 of the Internal Revenue Code of
1986;or
(C) on application of the transferor,the Attorney General has certified that compliance with paragraph
(1)(A) is impracticable because—
(i)the ratio of the number of law enforcement officers of the State in which the transfer is to occur to
the number of square miles of land area of the State does not exceed 0.0025;
(ii)the business premises of the licensee at which the transfer is to occur are extremely remote in
relation to the chief law enforcement officer(as defined in subsection (s)(8));and
(iii)there is an absence of telecommunications facilities in the geographical area in which the business
premises are located.
(4) If the national instant criminal background check system notifies the licensee that the information
available to the system does not demonstrate that the receipt of a firearm by such other person would
violate subsection (g)or(n)or State law, and the licensee transfers a firearm to such other person,the
licensee shall include in the record of the transfer the unique identification number provided by the
system with respect to the transfer.
(5) If the licensee knowingly transfers a firearm to such other person and knowingly fails to comply with
paragraph (1)of this subsection with respect to the transfer and,at the time such other person most
recently proposed the transfer,the national instant criminal background check system was operating
and information was available to the system demonstrating that receipt of a firearm by such other
person would violate subsection (g)or(n)of this section or State law,the Attorney General may,after
notice and opportunity for a hearing,suspend for not more than 6 months or revoke any license issued
to the licensee under section 923,and may impose on the licensee a civil fine of not more than$5,000.
(6) Neither a local government nor an employee of the Federal Government or of any State or local
government, responsible for providing information to the national instant criminal background check
system shall be liable in an action at law for damages—
(A)for failure to prevent the sale or transfer of a firearm to a person whose receipt or possession of the
firearm is unlawful under this section;or
(B)for preventing such a sale or transfer to a person who may lawfully receive or possess a firearm.
(u) It shall be unlawful for a person to steal or unlawfully take or carry away from the person or the
premises of a person who is licensed to engage in the business of importing, manufacturing,or dealing
in firearms, any firearm in the licensee's business inventory that has been shipped or transported in
interstate or foreign commerce.
[(v), (w) Repealed. Pub. L. 103-322,title XI, § 110105(2),Sept. 13, 1994, 108 Stat. 2000.]
(x)
(1) It shall be unlawful for a person to sell,deliver,or otherwise transfer to a person who the transferor
knows or has reasonable cause to believe is a juvenile—
(A) a handgun;or
(B)ammunition that is suitable for use only in a handgun.
(2) It shall be unlawful for any person who is a juvenile to knowingly possess—
(A)a handgun;or
(B)ammunition that is suitable for use only in a handgun.
(3)This subsection does not apply to—
(A)a temporary transfer of a handgun or ammunition to a juvenile or to the possession or use of a
handgun or ammunition by a juvenile if the handgun and ammunition are possessed and used by the
juvenile—
(i) in the course of employment, in the course of ranching or farming related to activities at the
residence of the juvenile(or on property used for ranching or farming at which the juvenile,with the
permission of the property owner or lessee, is performing activities related to the operation of the farm
or ranch),target practice, hunting, or a course of instruction in the safe and lawful use of a handgun;
(ii)with the prior written consent of the juvenile's parent or guardian who is not prohibited by Federal,
State,or local law from possessing a firearm, except—
(1)during transportation by the juvenile of an unloaded handgun in a locked container directly from the
place of transfer to a place at which an activity described in clause(i) is to take place and transportation
by the juvenile of that handgun, unloaded and in a locked container,directly from the place at which
such an activity took place to the transferor;or
(II)with respect to ranching or farming activities as described in clause(i),a juvenile may possess and
use a handgun or ammunition with the prior written approval of the juvenile's parent or legal guardian
and at the direction of an adult who is not prohibited by Federal,State or local law from possessing a
firearm;
(iii)the juvenile has the prior written consent in the juvenile's possession at all times when a handgun is
in the possession of the juvenile;and
(iv) in accordance with State and local law;
(B)a juvenile who is a member of the Armed Forces of the United States or the National Guard who
possesses or is armed with a handgun in the line of duty;
(C)a transfer by inheritance of title(but not possession)of a handgun or ammunition to a juvenile;or
(D)the possession of a handgun or ammunition by a juvenile taken in defense of the juvenile or other
persons against an intruder into the residence of the juvenile or a residence in which the juvenile is an
invited guest.
(4)A handgun or ammunition,the possession of which is transferred to a juvenile in circumstances in
which the transferor is not in violation of this subsection shall not be subject to permanent confiscation
by the Government if its possession by the juvenile subsequently becomes unlawful because of the
conduct of the juvenile, but shall be returned to the lawful owner when such handgun or ammunition is
no longer required by the Government for the purposes of investigation or prosecution.
(5) For purposes of this subsection,the term"juvenile" means a person who is less than 18 years of age.
(6)
(A) In a prosecution of a violation of this subsection,the court shall require the presence of a juvenile
defendant's parent or legal guardian at all proceedings.
(B)The court may use the contempt power to enforce subparagraph (A).
(C)The court may excuse attendance of a parent or legal guardian of a juvenile defendant at a
proceeding in a prosecution of a violation of this subsection for good cause shown.
(y) Provisions Relating to Aliens Admitted Under Nonimmigrant Visas.—
(1)Definitions.— In this subsection—
(A)the term "alien" has the same meaning as in section 101(a)(3)of the Immigration and Nationality Act
(8 U.S.C. 1101(a)(3));and
(B)the term "nonimmigrant visa" has the same meaning as in section 101(a)(26)of the Immigration and
Nationality Act(8 U.S.C. 1101 (a)(26)).
(2) Exceptions.—Subsections(d)(5)(B),(g)(5)(B),and (s)(3)(B)(v)(II)do not apply to any alien who has
been lawfully admitted to the United States under a nonimmigrant visa, if that alien is—
(A)admitted to the United States for lawful hunting or sporting purposes or is in possession of a hunting
license or permit lawfully issued in the United States;
(B)an official representative of a foreign government who is—
(i)accredited to the United States Government or the Government's mission to an international
organization having its headquarters in the United States;or
(ii)en route to or from another country to which that alien is accredited;
(C)an official of a foreign government or a distinguished foreign visitor who has been so designated by
the Department of State;or
(D)a foreign law enforcement officer of a friendly foreign government entering the United States on
official law enforcement business.
(3)Waiver.—
(A)Conditions for waiver.—Any individual who has been admitted to the United States under a
nonimmigrant visa may receive a waiver from the requirements of subsection(g)(5), if—
(i)the individual submits to the Attorney General a petition that meets the requirements of
subparagraph (C);and
(ii)the Attorney General approves the petition.
(B) Petition.— Each petition under subparagraph (B)shall—
(i)demonstrate that the petitioner has resided in the United States for a continuous period of not less
than 180 days before the date on which the petition is submitted under this paragraph;and
(ii) include a written statement from the embassy or consulate of the petitioner,authorizing the
petitioner to acquire a firearm or ammunition and certifying that the alien would not,absent the
application of subsection(g)(5)(B),otherwise be prohibited from such acquisition under subsection (g).
(C)Approval of petition.—The Attorney General shall approve a petition submitted in accordance with
this paragraph, if the Attorney General determines that waiving the requirements of subsection (g)(5)(B)
with respect to the petitioner—
(i)would be in the interests of justice;and
(ii)would not jeopardize the public safety.
(z)Secure Gun Storage or Safety Device.—
(1) In general.— Except as provided under paragraph(2), it shall be unlawful for any licensed importer,
licensed manufacturer,or licensed dealer to sell,deliver,or transfer any handgun to any person other
than any person licensed under this chapter, unless the transferee is provided with a secure gun storage
or safety device(as defined in section 921 (a)(34))for that handgun.
(2) Exceptions.— Paragraph (1)shall not apply to—
(A)
(i)the manufacture for,transfer to,or possession by,the United States,a department or agency of the
United States,a State,or a department,agency,or political subdivision of a State,of a handgun;or
(ii)the transfer to,or possession by,a law enforcement officer employed by an entity referred to in
clause (i)of a handgun for law enforcement purposes(whether on or off duty);or
(B)the transfer to,or possession by,a rail police officer employed by a rail carrier and certified or
commissioned as a police officer under the laws of a State of a handgun for purposes of law
enforcement(whether on or off duty);
(C)the transfer to any person of a handgun listed as a curio or relic by the Secretary pursuant to section
921 (a)(13);or
(D)the transfer to any person of a handgun for which a secure gun storage or safety device is
temporarily unavailable for the reasons described in the exceptions stated in section 923 (e), if the
licensed manufacturer, licensed importer,or licensed dealer delivers to the transferee within 10
calendar days from the date of the delivery of the handgun to the transferee a secure gun storage or
safety device for the handgun.
(3) Liability for use.—
(A) In general.— Notwithstanding any other provision of law,a person who has lawful possession and
control of a handgun,and who uses a secure gun storage or safety device with the handgun,shall be
entitled to immunity from a qualified civil liability action.
(B) Prospective actions.—A qualified civil liability action may not be brought in any Federal or State
court.
(C) Defined term.—As used in this paragraph,the term "qualified civil liability action"—
(i) means a civil action brought by any person against a person described in subparagraph (A)for
damages resulting from the criminal or unlawful misuse of the handgun by a third party, if—
(1)the handgun was accessed by another person who did not have the permission or authorization of
the person having lawful possession and control of the handgun to have access to it;and
(II)at the time access was gained by the person not so authorized,the handgun had been made
inoperable by use of a secure gun storage or safety device; and
(ii)shall not include an action brought against the person having lawful possession and control of the
handgun for negligent entrustment or negligence per se. [APPENDIX A Repealed. Pub. L. 103-322,title
XI, § 110105(2),Sept. 13, 1994, 108 Stat.2000]
18 U.S.0 923
(a) No person shall engage in the business of importing,
manufacturing,or dealing in firearms,or importing or
manufacturing ammunition, until he has filed an application with
and received a license to do so from the Attorney General.The
application shall be in such form and contain only that information
necessary to determine eligibility for licensing as the Attorney
General shall by regulation prescribe and shall include a
photograph and fingerprints of the applicant. Each applicant shall
pay a fee for obtaining such a license,a separate fee being
required for each place in which the applicant is to do business,
as follows:
(1) If the applicant is a manufacturer-
(A)of destructive devices,ammunition for destructive devices
or armor piercing ammunition,a fee of$1,000 per year;
(B)of firearms other than destructive devices,a fee of$50
per year;or
(C)of ammunition for firearms,other than ammunition for
destructive devices or armor piercing ammunition,a fee of$10
per year.
(2) If the applicant is an importer-
(A)of destructive devices,ammunition for destructive devices
or armor piercing ammunition,a fee of$1,000 per year;or
(B)of firearms other than destructive devices or ammunition
for firearms other than destructive devices,or ammunition other
4
than armor piercing ammunition,a fee of$50 per year.
(3) If the applicant is a dealer-
(A)in destructive devices or ammunition for destructive
devices,a fee of$1,000 per year;or
(B)who is not a dealer in destructive devices, a fee of$200
for 3 years,except that the fee for renewal of a valid license
shall be$90 for 3 years.
(b)Any person desiring to be licensed as a collector shall file
an application for such license with the Attorney General.The
application shall be in such form and contain only that information
necessary to determine eligibility as the Attorney General shall by
regulation prescribe.The fee for such license shall be$10 per
year.Any license granted under this subsection shall only apply to
transactions in curios and relics.
(c) Upon the filing of a proper application and payment of the
prescribed fee,the Attorney General shall issue to a qualified
applicant the appropriate license which, subject to the provisions
of this chapter and other applicable provisions of law,shall
entitle the licensee to transport,ship,and receive firearms and
ammunition covered by such license in interstate or foreign
commerce during the period stated in the license. Nothing in this
chapter shall be construed to prohibit a licensed manufacturer,
importer,or dealer from maintaining and disposing of a personal
collection of firearms,subject only to such restrictions as apply
in this chapter to dispositions by a person other than a licensed
. a
manufacturer, importer,or dealer. If any firearm is so disposed of
by a licensee within one year after its transfer from his business
inventory into such licensee's personal collection or if such
disposition or any other acquisition is made for the purpose of
willfully evading the restrictions placed upon licensees by this
chapter,then such firearm shall be deemed part of such licensee's
business inventory,except that any licensed manufacturer,
importer,or dealer who has maintained a firearm as part of a
personal collection for one year and who sells or otherwise
disposes of such firearm shall record the description of the
firearm in a bound volume,containing the name and place of
residence and date of birth of the transferee if the transferee is
an individual,or the identity and principal and local places of
business of the transferee if the transferee is a corporation or
other business entity: Provided,That no other recordkeeping shall
be required.
(d)(1)Any application submitted under subsection (a)or(b)of
this section shall be approved if-
(A)the applicant is twenty-one years of age or over;
(B)the applicant(including, in the case of a corporation,
partnership, or association,any individual possessing,directly
or indirectly,the power to direct or cause the direction of the
management and policies of the corporation, partnership, or
association)is not prohibited from transporting,shipping,or
receiving firearms or ammunition in interstate or foreign
commerce under section 922(g)and (n)of this chapter;
(C)the applicant has not willfully violated any of the
provisions of this chapter or regulations issued thereunder;
(D)the applicant has not willfully failed to disclose any
material information required,or has not made any false
statement as to any material fact, in connection with his
application;
(E)the applicant has in a State(i) premises from which he
conducts business subject to license under this chapter or from
which he intends to conduct such business within a reasonable
period of time,or(ii) in the case of a collector, premises from
which he conducts his collecting subject to license under this
chapter or from which he intends to conduct such collecting
within a reasonable period of time;
(F)the applicant certifies that-
(i)the business to be conducted under the license is not
prohibited by State or local law in the place where the
licensed premise is located;
(ii)(1)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;and
(II)the business will not be conducted under the license
until the requirements of State and local law applicable to the
business have been met;and
(iii)that the applicant has sent or delivered a form to be
prescribed by the Attorney General,to the chief law
enforcement officer of the locality in which the premises are
located,which indicates that the applicant intends to apply
for a Federal firearms license; and
(G) in the case of an application to be licensed as a dealer,
the applicant certifies that 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(subject to the
exception that in any case in which a secure gun storage or
safety device is temporarily unavailable because of theft,
casualty loss,consumer sales, backorders from a manufacturer, or
any other similar reason beyond the control of the licensee,the
dealer shall not be considered to be in violation of the
requirement under this subparagraph to make available such a
device).
(2)The Attorney General must approve or deny an application for
a license within the 60-day period beginning on the date it is
received. If the Attorney General fails to act within such period,
the applicant may file an action under section 1361 of title 28 to
compel the Attorney General to act. If the Attorney General
approves an applicant's application,such applicant shall be issued
a license upon the payment of the prescribed fee.
(e)The Attorney General may,after notice and opportunity for
hearing, revoke any license issued under this section if the holder
of such license has willfully violated any provision of this
chapter or any rule or regulation prescribed by the Attorney
General under this chapter or fails to have secure gun storage or
safety devices available at any place in which firearms are sold
under the license to persons who are not licensees(except that in
any case in which a secure gun storage or safety device is
temporarily unavailable because of theft,casualty loss,consumer
sales, backorders from a manufacturer,or any other similar reason
beyond the control of the licensee,the dealer shall not be
considered to be in violation of the requirement to make available
such a device).The Attorney General may,after notice and
opportunity for hearing, revoke the license of a dealer who
willfully transfers armor piercing ammunition.The Secretary's(!1)
action under this subsection may be reviewed only as provided in
subsection(f)of this section.
(f)(1)Any person whose application for a license is denied and
any holder of a license which is revoked shall receive a written
notice from the Attorney General stating specifically the grounds
upon which the application was denied or upon which the license was
revoked.Any notice of a revocation of a license shall be given to
the holder of such license before the effective date of the
revocation.
(2) If the Attorney General denies an application for,or
revokes,a license, he shall,upon request by the aggrieved party,
promptly hold a hearing to review his denial or revocation. In the
case of a revocation of a license,the Attorney General shall upon
the request of the holder of the license stay the effective date of
the revocation.A hearing held under this paragraph shall be held
at a location convenient to the aggrieved party.
(3) If after a hearing held under paragraph (2)the Attorney
General decides not to reverse his decision to deny an application
or revoke a license,the Attorney General shall give notice of his
decision to the aggrieved party.The aggrieved party may at any
time within sixty days after the date notice was given under this
paragraph file a petition with the United States district court for
the district in which he resides or has his principal place of
business for a de novo judicial review of such denial or
revocation. In a proceeding conducted under this subsection,the
court may consider any evidence submitted by the parties to the
proceeding whether or not such evidence was considered at the
hearing held under paragraph (2). If the court decides that the
Attorney General was not authorized to deny the application or to
revoke the license,the court shall order the Attorney General to
take such action as may be necessary to comply with the judgment of
the court.
(4) If criminal proceedings are instituted against a licensee
alleging any violation of this chapter or of rules or regulations
prescribed under this chapter, and the licensee is acquitted of
such charges,or such proceedings are terminated,other than upon
motion of the Government before trial upon such charges,the
Attorney General shall be absolutely barred from denying or
revoking any license granted under this chapter where such denial
or revocation is based in whole or in part on the facts which form
the basis of such criminal charges. No proceedings for the
revocation of a license shall be instituted by the Attorney General
more than one year after the filing of the indictment or
information.
(g)(1)(A) Each licensed importer, licensed manufacturer,and
licensed dealer shall maintain such records of importation,
production,shipment, receipt,sale,or other disposition of
firearms at his place of business for such period, and in such
form,as the Attorney General may by regulations prescribe.Such
importers, manufacturers,and dealers shall not be required to
submit to the Attorney General reports and information with respect
to such records and the contents thereof,except as expressly
required by this section.The Attorney General,when he has
reasonable cause to believe a violation of this chapter has
occurred and that evidence thereof may be found on such premises,
may, upon demonstrating such cause before a Federal magistrate
judge and securing from such magistrate judge a warrant authorizing
entry,enter during business hours the premises(including places
of storage)of any licensed firearms importer, licensed
manufacturer, licensed dealer, licensed collector,or any licensed
importer or manufacturer of ammunition,for the purpose of
inspecting or examining-
(i)any records or documents required to be kept by such
licensed importer, licensed manufacturer, licensed dealer,or
licensed collector under this chapter or rules or regulations
under this chapter, and
(ii)any firearms or ammunition kept or stored by such licensed
importer, licensed manufacturer, licensed dealer,or licensed
collector,at such premises.
(B)The Attorney General may inspect or examine the inventory and
records of a licensed importer, licensed manufacturer,or licensed
dealer without such reasonable cause or warrant-
(i) in the course of a reasonable inquiry during the course of
a criminal investigation of a person or persons other than the
licensee;
(ii)for ensuring compliance with the record keeping
requirements of this chapter-
(1) not more than once during any 12-month period;or
(11)at any time with respect to records relating to a
firearm involved in a criminal investigation that is traced to
the licensee;or
(iii) when such inspection or examination may be required for
determining the disposition of one or more particular firearms in
the course of a bona fide criminal investigation.
(C)The Attorney General may inspect the inventory and records of
a licensed collector without such reasonable cause or warrant-
(i)for ensuring compliance with the record keeping
requirements of this chapter not more than once during any twelve-
month period;or
(ii)when such inspection or examination may be required for
determining the disposition of one or more particular firearms in
the course of a bona fide criminal investigation.
(D)At the election of a licensed collector,the annual
inspection of records and inventory permitted under this paragraph
shall be performed at the office of the Attorney General designated
for such inspections which is located in closest proximity to the
premises where the inventory and records of such licensed collector
are maintained.The inspection and examination authorized by this
paragraph shall not be construed as authorizing the Attorney
General to seize any records or other documents other than those
records or documents constituting material evidence of a violation
of law. If the Attorney General seizes such records or documents,
copies shall be provided the licensee within a reasonable time.The
Attorney General may make available to any Federal,State,or local
law enforcement agency any information which he may obtain by
reason of this chapter with respect to the identification of
persons prohibited from purchasing or receiving firearms or
ammunition who have purchased or received firearms or ammunition,
together with a description of such firearms or ammunition,and he
may provide information to the extent such information may be
contained in the records required to be maintained by this chapter,
when so requested by any Federal,State,or local law enforcement
agency.
(2) Each licensed collector shall maintain in a bound volume the
nature of which the Attorney General may by regulations prescribe,
records of the receipt,sale,or other disposition of firearms.
Such records shall include the name and address of any person to
whom the collector sells or otherwise disposes of a firearm.Such
collector shall not be required to submit to the Attorney General
reports and information with respect to such records and the
contents thereof,except as expressly required by this section.
(3)(A) Each licensee shall prepare a report of multiple sales or
other dispositions whenever the licensee sells or otherwise
disposes of,at one time or during any five consecutive business
days,two or more pistols,or revolvers,or any combination of
Pistols and revolvers totalling two or more,to an unlicensed
person.The report shall be prepared on a form specified by the
Attorney General and forwarded to the office specified thereon and
to the department of State police or State law enforcement agency
of the State or local law enforcement agency of the local
jurisdiction in which the sale or other disposition took place, not
later than the close of business on the day that the multiple sale
or other disposition occurs.
(B) Except in the case of forms and contents thereof regarding a
purchaser who is prohibited by subsection (g)or(n)of section 922
of this title from receipt of a firearm,the department of State
police or State law enforcement agency or local law enforcement
agency of the local jurisdiction shall not disclose any such form
or the contents thereof to any person or entity,and shall destroy
each such form and any record of the contents thereof no more than
20 days from the date such form is received. No later than the date
that is 6 months after the effective date of this subparagraph,and
at the end of each 6-month period thereafter,the department of
State police or State law enforcement agency or local law
enforcement agency of the local jurisdiction shall certify to the
Attorney General of the United States that no disclosure contrary
to this subparagraph has been made and that all forms and any
record of the contents thereof have been destroyed as provided in
this subparagraph.
(4)Where a firearms or ammunition business is discontinued and
succeeded by a new licensee,the records required to be kept by
this chapter shall appropriately reflect such facts and shall be
delivered to the successor.Where discontinuance of the business is
absolute,such records shall be delivered within thirty days after
the business discontinuance to the Attorney General. However, where
State law or local ordinance requires the delivery of records to
other responsible authority,the Attorney General may arrange for
the delivery of such records to such other responsible authority.
(5)(A) Each licensee shall,when required by letter issued by the
Attorney General,and until notified to the contrary in writing by
the Attorney General,submit on a form specified by the Attorney
General,for periods and at the times specified in such letter,all
record information required to be kept by this chapter or such
lesser record information as the Attorney General in such letter
may specify.
(B)The Attorney General may authorize such record information to
be submitted in a manner other than that prescribed in subparagraph
(A)of this paragraph when it is shown by a licensee that an
alternate method of reporting is reasonably necessary and will not
unduly hinder the effective administration of this chapter.A
licensee may use an alternate method of reporting if the licensee
describes the proposed alternate method of reporting and the need
therefor in a letter application submitted to the Attorney General,
and the Attorney General approves such alternate method of
reporting.
(6) Each licensee shall report the theft or loss of a firearm
from the licensee's inventory or collection,within 48 hours after
the theft or loss is discovered,to the Attorney General and to the
appropriate local authorities.
(7) Each licensee shall respond immediately to,and in no event
later than 24 hours after the receipt of,a request by the Attorney
General for information contained in the records required to be
kept by this chapter as may be required for determining the
disposition of 1 or more firearms in the course of a bona fide
criminal investigation.The requested information shall be provided
orally or in writing,as the Attorney General may require. The
Attorney General shall implement a system whereby the licensee can
Positively identify and establish that an individual requesting
information via telephone is employed by and authorized by the
agency to request such information.
(h) Licenses issued under the provisions of subsection(c)of
this section shall be kept posted and kept available for inspection
on the premises covered by the license.
(i) Licensed importers and licensed manufacturers shall identify
by means of a serial number engraved or cast on the receiver or
frame of the weapon, in such manner as the Attorney General shall
by regulations prescribe,each firearm imported or manufactured by
such importer or manufacturer.
(j)A licensed importer, licensed manufacturer,or licensed
dealer may, under rules or regulations prescribed by the Attorney
General,conduct business temporarily at a location other than the
location specified on the license if such temporary location is the
location for a gun show or event sponsored by any national,State,
or local organization,or any affiliate of any such organization
devoted to the collection,competitive use,or other sporting use
of firearms in the community, and such location is in the State
which is specified on the license. Records of receipt and
disposition of firearms transactions conducted at such temporary
location shall include the location of the sale or other
disposition and shall be entered in the permanent records of the
licensee and retained on the location specified on the license.
Nothing in this subsection shall authorize any licensee to conduct
business in or from any motorized or towed vehicle. Notwithstanding
the provisions of subsection (a)of this section, a separate fee
shall not be required of a licensee with respect to business
conducted under this subsection.Any inspection or examination of
inventory or records under this chapter by the Attorney General at
such temporary location shall be limited to inventory consisting
of,or records relating to,firearms held or disposed at such
temporary location. Nothing in this subsection shall be construed
to authorize the Attorney General to inspect or examine the
inventory or records of a licensed importer, licensed manufacturer,
or licensed dealer at any location other than the location
specified on the license. Nothing in this subsection shall be
construed to diminish in any manner any right to display,sell,or
otherwise dispose of firearms or ammunition,which is in effect
before the date of the enactment of the Firearms Owners' Protection
Act, including the right of a licensee to conduct"curios or
relics"firearms transfers and business away from their business
premises with another licensee without regard as to whether the
location of where the business is conducted is located in the State
specified on the license of either licensee.
(k) Licensed importers and licensed manufacturers shall mark all
armor piercing projectiles and packages containing such projectiles
for distribution in the manner prescribed by the Attorney General
by regulation.The Attorney General shall furnish information to
each dealer licensed under this chapter defining which projectiles
are considered armor piercing ammunition as defined in section
921(a)(17)(B).
(1)The Attorney General shall notify the chief law enforcement
officer in the appropriate State and local jurisdictions of the
names and addresses of all persons in the State to whom a firearms
license is issued.
• U.S.Department of Justice
Bureau of Alcohol,Tobacco,Firearms and Explosives
Office of Enforcement Programs and Services
" F
Safety and Security Information
for Federal Firearms Licensees
For Theft/Loss Reporting Procedures,
See Back Cover
x�-
ATF Publication 3317.2
(Revised February 2010) i
Safety and Security Information for Federal Firearms Licensees
Safetyand Security Information
for Federal Firearms Licensees
Table of Contents
IMPORTANT: If a crime has occurred or if inventory cannot be located,
turn this booklet over and follow the directions on the back.
ATF OFFICE/HOTLINE TELEPHONE NUMBERS..............................................................ii
ATFOFFICE ADDRESSES........................................................................................................ii
ATFSTOLEN FIREARMS PROGRAM.....................................................................................1
History...................................................................................................................................l
Statutory and Regulatory Provisions....................................................................................I
TheThree Program Areas....................................................................................................2
THEFT:Firearms Stolen from Inventory......................................................................2
LOSS:Firearms Missing from Inventory......................................................................3
INTERSTATE THEFT/LOSS:Firearms Lost or Stolen from Interstate Shipments..........3
Licensee Responsibility ......•4
Trends..................................................................................................................................4
Definitions..............................................................................................................................6
FederalStolen Firearms Laws................................................................................................7
SAFETY AND SECURITY. Steps for Reducing Your Vulnerability
to Theft/Loss and Personal Injury..............................................8
StructuralSecurity.................................................................................................................8
InventorySecurity...................................................................................................................10
EmployeeScreening............................................................................................................I I
SafeBusiness Practices.......................................................................................................12
CustomerSafety...........................................................................................................•.....14
DisasterPreparedness.........................................................................................................15
YourLocal ATF Office........................................................................................................15
PROPERLY IDENTIFYING AND RECORDING FIREARMS.............................................16
FirearmsInventory Diagram...............................................................................................17
BasicFirearms Safety.........................................................................................................19
Non-Licensed Firearms Sales............................................................................................20
PersonalFirearms Record...................................................................................................21
FFLTheft Warning..............................................................................................................23
GUIDE TO RECORDING SUSPICIOUS PERSON DESCRIPTION...................................25
HOWTO REPORT A THEFT/LOSS........................................................................Back Cover
BurglaryLarceny or Robbery..........................................................................................Al
MissingInventory.............................................................................................................A2
Interstatement Shipment Theft.........................................................................................A3
ATF F 3310.11,Federal Firearms Licensee Theft/Loss Report.......................................A4
ATF F 3310.6,Interstate Firearms Shipment Theft/Loss Report.....................................A6
I
U.S.Department of Justice•Bureau of Alcohol,Tobacco,Firearms and Explosives•Office of Enforcement Programs and Services
ATF OFFICE/HOTLINE TELEPHONE NUMBERS
STOLEN FIREARMS HOTLINE.....................................................TOLL FREE 888-930-9275
STOLEN FIREARMS PROGRAM FAX..............................................................304-260-3676
ATF 24-HOUR HOTLINE...............................................................TOLL FREE 800-800-3855
LOCAL ATF OFFICE TELEPHONE NUMBER
ATF WEB SITE (FOR UPDATES AND TO DOWNLOAD FORMS):
www.atf.gov
ATF DISTRIBUTION CENTER (FOR FORMS AND PUBLICATIONS)...................301-583-4696
ATF DISTRIBUTION CENTER
1519 CABIN BRANCH DRIVE
LANDOVER,MD 20785
STOLEN FIREARMS PROGRAM MAILING ADDRESS:
ATF STOLEN FIREARMS PROGRAM MANAGER
244 NEEDY ROAD
MARTINSBURG,WEST VIRGINIA 25405
ATF HEADQUARTERS MAILING ADDRESS:
BUREAU OF ALCOHOL,TOBACCO,FIREARMS and EXPLOSIVES
99 NEW YORK AVENUE,NE
WASHINGTON,DC 20226
IMPORTANT TELEPHONE NUMBERS:
CONTACT TELEPHONE FAX
ii
• Safety and Security Information for Federal Firearms Licensees
ATF STOLEN FIREARMS PROGRAM
HISTORY
The Bureau of Alcohol,Tobacco,Firearms and Explosives' Stolen Firearms Program was formally
established on September 13, 1994,with the passage of the Violent Crime Control and Law Enforcement
Act of 1994. For more than 20 years before this Act,ATF had been accepting voluntary reports of
firearms lost/stolen from interstate shipments. This law created a statutory requirement for Federal
firearms licensees(FFLs)to report the theft/loss of firearms from their inventories or collections.
Pursuant to the 1994 legislation,federally-licensed firearms dealers are required to report the theft/loss
of a firearm(s)from inventory or collection within 48 hours of the discovery of the theft or loss. In
order to manage this new reporting,to support law enforcement efforts to recover these firearms, and to
develop strategies to prevent future thefts/losses,the Stolen Firearms Program was created. ATF staff,
utilizing innovative databases,manage thousands of reports of theft/loss containing the records of more
than 200,000 firearms reported lost/stolen since 1994.
Although the 1994 law did not address firearms lost/stolen from interstate shipments,ATF continues to
maintain a program for the voluntary reporting of these thefts/losses. Under the ATF Stolen Firearms
Program, a new database was also created specifically to manage the information from these incidents.
In the years following the Act,ATF has used the information generated by the program to identify,
apprehend,and convict hundreds of firearms thieves. Thousands of stolen firearms have been
taken from the hands of criminals and returned to their lawful owners. In addition,the program has
highlighted the vital role that dealer security and sound inventory practices play in protecting licensed
dealers and in keeping firearms out of the hands of criminals. Licensed firearms dealers are the first line
in maintaining the security and lawful transfer of firearms.
The ATF Stolen Firearms Program is one of the means that licensees and law enforcement agencies use
to protect our communities. ATF has developed individual programs to focus on three distinct problem
areas: the criminal taking of firearms from Federal firearms licensees(theft);firearms in the inventories
of Federal firearms licensees whose disposition cannot be determined(loss); and,firearms lost/stolen
from interstate shipments. The operations of each of these programs, and the unique issues they address,
are explained in detail in this document.
STATUTORY AND REGULATORY PROGRAM PROVISIONS
The statutory requirement for reporting theft or loss of a firearm from inventory or collection can be
found in 18 U.S.C. 923(g)(6)and states: "Each licensee shall report the theft or loss of a firearm from
the licensee's inventory or collection,within 48 hours after the theft or loss is discovered,to the Attorney
General and to the appropriate local authorities."
The procedures for reporting are set forth in ATF Regulations,Part 478-Commerce in Firearms and
Ammunition,478.39a,Reporting Theft or Loss of Firearms. An expansive source of information
on Federal firearms laws and regulations is the Federal Firearms Regulations Reference Guide,ATF
Publication No. 5300.4,which can be obtained from your local ATF office or by calling the ATF
Distribution Center at 301-583-4696. This publication and many ATF forms are also available on ATF's
web site www.atf:uov. 1
U.S.Department of Justice•Bureau of Alcohol,Tobacco,Firearms and Explosives•Office of Enforcement Programs and Services
The ATF Stolen Firearms Program is limited to firearms as defined by 18 U.S.C. 921(a)(3). Although
property other than firearms(i.e.,pellet and BB guns,black powder rifles,etc.)may be lost or stolen
from an FFL,the reporting requirements apply only to firearms as defined in the above-cited law.
THE THREE PROGRAM AREAS
The Violent Crime Control and Law Enforcement Act of 1994 did not provide specific definitions for
the terms"theft"and"loss"as applied to firearms in the inventories and collections of Federal firearms
licensees. In order to administer the law and regulations,ATF recognizes a clear distinction between
firearms taken in a crime and firearms whose dispositions are unknown due to administrative/record
keeping errors. The actions taken by ATF and by other law enforcement agencies are also distinctly
different when there is evidence or lack of evidence of a crime.
For this reason,ATF has recognized the Act's distinction between theft and loss as the distinction
between the presence or absence of criminal taking of firearms. In the following paragraphs,the
meanings of"theft"and"loss"under the Stolen Firearms Program are clearly set forth in two distinct
program areas.
The third program area has no enabling regulation. The interstate theft program addresses the many
difficulties faced when firearms that are being shipped fail to arrive at their intended destination.
Because the circumstances of their disappearance are so often unknown,it is not immediately clear
whether they were stolen or misplaced. For this reason,this program area addresses both theft and loss
under a uniform procedure,which is described in detail in the ensuing paragraphs.
THEFT (FROM A LICENSEE): Firearms Stolen from Inventory
Under the program, a"theft"of firearms occurs when one or more firearms are stolen from the inventory
of a Federal firearms licensee(FFL). The term"stolen firearm"is used to refer to a firearm,or firearms,
taken in a theft from a licensee. Under ATF's program,theft is divided into three distinct categories:
burglary,larceny,and robbery.
The legal definitions of these three categories of crime can vary from State to State. They do have a
common tie in that they all generally refer to the criminal taking of another's property. For program
purposes,ATF recognizes each State's respective legal definitions for these terms. Reporting licensees
should follow the State or local law enforcement authority's guidance in selecting which term applies.
The theft of firearms is a critical event and must be reported to the local enforcement authorities.
Although the law allows the FFL 48 hours to make the report,ATF recommends that FFLs contact ATF
and local law enforcement immediately upon the discovery that a crime has occurred. Expeditious
reporting can make the difference in law enforcement's ability to catch the criminals and recover the
firearms.
When submitting a report of stolen firearms to ATF,both the local police department that was notified
and the resulting police report number must be identified on the ATF report. Remember that it is
important to ensure individual safety and to preserve the crime scene for investigators.
(For reporting procedures turn to page Al)
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Safety and Security Information for Federal Firearms Licensees
LOSS (BY A LICENSEE): Firearms Missing from Inventory
A"loss"of a firearm occurs when a licensee cannot determine the disposition of a firearm and cannot
locate it. The licensee's records will generally reflect an acquisition but no disposition. These
"lost"firearms are distinctly different from stolen firearms because,although they are"missing from
inventory,"there is no indication that they were stolen. The Stolen Firearms Program includes the
statutory requirement that licensees must report any firearms missing from inventory to ATF.
Licensees must make the notification of firearms missing from inventory to ATF and to local law
enforcement within 48 hours of becoming reasonably certain that the firearms are missing. In many
instances,the licensee may be able to determine the disposition of firearms by conducting a thorough
inventory. If a complete inventory has been conducted,the FFL will be directed to conduct an
exhaustive review of all acquisition and disposition records, shipping records,and if applicable, all ATF
Forms 4473.
When all means available are exhausted,the licensee will be directed to submit a loss report to the
Stolen Firearms Program Manager.
(For reporting procedures turn to page A2)
INTERSTATE THEFT/LOSS: Firearms Lost or Stolen from Interstate Shipments
An interstate"theft/loss"occurs when a firearm that was shipped through a common carrier,including
shipping and moving companies and the U.S.Postal Service,is lost or stolen while in transit. The
reporting of these incidents is not required by regulation but is strongly recommended as a best business
practice. ATF accepts voluntary reporting of the theft or loss of firearms from interstate shipments
completed by a licensee or non-licensee. ATF provides ATF Form 3310.6,Interstate Firearms Shipment
Theft/Loss Report,to assist in reporting. Under the program,ATF receives reports on hundreds of
firearms"lost"or"stolen"from interstate shipments each year.
Licensees are reminded that when shipments of firearms are received,it is a best practice to review the
shipment to ensure that it contains all of the expected firearms documented. It is also a best practice,upon
receipt of firearms,that their acquisition be recorded immediately. The acquisition of firearm(s)must
be recorded not later than the close of the next business day following the date of acquisition. Limited
exceptions to this requirement can be found at 27 CFR,Part 478.125 Record of receipt and disposition.
ATF provides this program to protect the public and to assist law enforcement in locating and recovering
stolen firearms and in prosecuting thieves. Since its inception in 1975,the program has proven to be
effective and successful in helping to solve numerous crimes and recover thousands of firearms. ATF's
Interstate Theft Program fills a gap in law enforcement jurisdiction that is created by the interstate nature
of these shipments.
That gap is created because the movements of these shipments make the point of theft/loss difficult
to determine. State and local law enforcement agencies often lack the jurisdiction or authority to
investigate these interstate movements,particularly when the point of loss has not been determined.
Most commercial carriers have established procedures under which they conduct a search for missing
items,including firearms. These internal searches are often extensive,and in many instances the
firearms are located and delivered to their intended destinations. When a firearm cannot be located,it is
considered stolen.
3
U.S.Department of Justice.Bureau of Alcohol,Tobacco,Firearms and Explosives•Office of Enforcement Programs and Services
A smaller number of firearms fall into the"interstate loss"classification. If a cargo ship carrying
firearms sinks or a truck carrying firearms is destroyed,the firearms are considered"lost." Although
there is no indication of theft,an accident has occurred and as a result the firearms cannot be located.
Interstate Theft/Loss Reports may be filed by the shipper,by the carrier,and/or by the intended recipient
(consignee). It is not uncommon for an individual theft or loss to be reported by more than one party.
Reporting is not limited to licensed dealers. There are several scenarios under which non-licensed
persons may lawfully ship firearms in interstate commerce. A report may be filed by any person who
lawfully ships a firearm and experiences a theft or loss. For example,this would include the theft/loss of
a firearm during a change in residence wherein the firearm was being carried by a moving company.
The most active participants in the program are the carriers themselves. Commercial carriers do not
require a Federal firearms license to ship firearms,and many carriers actively participate in the program.
This close working relationship between ATF and the carriers has resulted in the recoveries of thousands
of firearms over the years.
Licensees who ship firearms are encouraged to amend their disposition record upon learning of a non-
receipt of a firearm by the receiving entity or consignee. (For reporting procedures turn to page A3)
LICENSEE RESPONSIBILITY
Lost or Stolen Firearms Pose a Threat to Public Safety
Report Theft/Loss within 48 Hours
Federal firearms licensees who discover the theft or loss of a firearm or firearms are required by law to
report the incident to the local law enforcement authority and to ATF within 48 hours. The distinction
between theft and loss is explained in depth in the preceding chapters,and the procedures to report a
theft or loss can be found by following the directions on the back of this brochure.
Protect Inventory
ATF recommends that Federal firearms licensees take every precaution available to protect their
firearms from theft or loss. This includes conducting periodic and thorough,physical inventories,then
reconciling the count to the book inventory. At a minimum,an annual inventory or its equivalent is
highly recommended. Physical security including alarm systems and safe business practices are also
highly recommended and in some cases may be required by State or local law. The following chapter
contains many tips and ideas that the licensee can utilize to enhance the safety of their inventory.
Report Firearms Violations
Federal firearms licensees may not knowingly transport, ship,or receive firearms with serial numbers
that have been altered,removed,or obliterated. Licensees also may not knowingly receive or sell stolen
firearms. Firearms taken on pawn or for resale that are determined to be stolen must also be surrendered
to the appropriate law enforcement authority. In all circumstances,licensees should immediately report
violations to the appropriate law enforcement agency.
TRENDS
Thefts of firearms from federally licensed firearms manufacturers,importers, dealers,and collectors
continue to be a significant concern for law enforcement and for the general public. The ATF Stolen
Firearms Program is at the center of efforts by licensees to protect their inventories and by law
enforcement to capture and prosecute firearms thieves. These initiatives are greatly assisted when
4
Safety and Security Information for Federal Firearms Licensees
licensees maintain accurate inventories and records and fulfill their legal responsibility to provide timely
and accurate notifications regarding any thefts or losses of firearms.
At the center of any effort to protect firearms from theft is the process of accurate and reliable
inventories. When a firearm theft occurs,the records maintained by the owner are pivotal to the
recovery of those firearms and the prosecution of the thieves. Failure to conduct periodic inventories
and maintain accurate records leads to confusion regarding the true dispositions of firearms and can
result in false arrests and/or seizures of firearms mistakenly reported stolen. Law enforcement is greatly
assisted when Federal firearms licensees maintain accurate records of firearms inventories.
However,an accurate determination of the full extent of all firearm thefts and losses in America is not
possible. One of the leading factors is that there is no requirement that non-licensees report stolen
firearms. A second is that among those non-licensees that want to report firearms thefts and losses,
there is frequently an inability to accurately identify the firearms. Because of factors like these,there is
no law enforcement database or statistical collection protocol that was designed to track,or which can
accurately track,the numbers and types of firearms stolen outside of the regulated firearms industry.
Without accurate identification of these firearms,law enforcement officials face considerable obstacles
in investigating these firearms thefts. In contrast,firearms that are under the control of federally
licensed firearms importers,manufacturers,dealers,and collectors must be carefully inventoried and
identified. In 1968,Congress established specific marking requirements for firearms,so that they could
be identified and distinguished by law enforcement(see Properly Identifying Firearms,page 15).
Specifically,firearms manufactured after 1968 must be identified by make,model,caliber,serial
number, and other features that generally allow each individual firearm to be definitively identified and
uniquely distinguished from all other firearms(more information on required markings is available in
ATF Publication 5300.4,Federal Firearms Regulations Guide). Because the firearms industry utilizes
and records these required markings,if they experience a theft or loss,it can be accurately reported to
law enforcement and the firearms readily identified when recovered. Firearms taken in residential and
industrial burglaries,stolen from shipments,and otherwise taken illegally or simply lost,frequently go
unreported or cannot be fully documented because the firearms'individual descriptions were not fully
documented by their owners.
ATF has reintroduced ATF Publication 3312.8,Personal Firearms Record(see page 21),to assist
firearms owners and law enforcement in correctly documenting and identifying lost or stolen firearms.
These pamphlets are available at no cost from the ATF Distribution Center(301-583-4696). Whenever
a firearm is sold to a non-licensee,we recommend that the FFL provide the buyer with a copy of
this publication. If a copy of the publication is not available,we recommend that the purchaser be
encouraged to keep a record in some form,including a full description of the firearm,separate from the
firearm's storage location.
ATF also works closely with the interstate carriers who ship and transport firearms,including the
U.S.Postal Service,to ensure that lost or stolen firearms can be identified and reported. A number of
these carriers have developed sophisticated protocols to ensure the safety of firearms shipments and to
accurately report any thefts or losses.
Although only Federal firearms licensees are required to report firearms thefts,the information being
received makes it clear that thefts are not declining. This trend underscores the need for licensees and
non-licensees to continue efforts to properly record firearm inventory and identification information,an 5
to safeguard firearms from theft or loss.
U.S.Department of Justice•Bureau of Alcohol,Tobacco,Firearms and Explosives•Office of Enforcement Programs and Services
DEFINITIONS USED IN THIS PUBLICATION
NOTE: Although the following terms may have many definitions,their
meanings within the Stolen Firearms Program are provided here.
Appropriate local authorities. These authorities are either the local police department, sheriff's office
or the State police agency having primary law enforcement responsibility for the licensee's business
premises.
Collection. Curio and relic firearms acquired by and in the inventory of a federally licensed collector
of firearms. For more information on curio and relic firearms, see ATF Publication 5300.11,Firearms
Curios and Relics List and ATF Regulation 27 CFR 478.93.
Common or contract carrier. The term"common or contract carrier"refers to any individual or
organization engaged in the business of transporting passengers or goods.
Consignee. The term"consignee"means the business or individual to whom the firearm(s)was
shipped, even if the firearm(s)is lost or stolen and never delivered to such business or individual.
Federal Firearms Licensee. A Federal firearms licensee(FFL)is any person,partnership,or business
entity holding a valid license issued under the authority of 18 U.S.C. 923,which allows them to"engage
in the business"of dealing(manufacturing,importing, selling retail or wholesale,repairing,or pawn
brokering)firearms. It also refers to collectors licensed under 18 U.S.C. 923. By law,all FFLs must
keep records of their firearms transactions. (See 18 U.S.C. 921(a)(21)for a definition of"engaged in the
business.")
Firearm. As defined under Federal law, 18 U.S.C. 921(a)(3),the term"firearm"refers to(A)any
weapon(including a starter gun)which will or is designed to or may readily be converted to expel a
projectile by the action of an explosive; (B)the frame or receiver of any such weapon; (C)any firearm
muffler or firearm silencer; or(D)any destructive device. Such term does not include an antique
firearm.
Licensee. The term"licensee"refers to a Federal firearms licensee,also abbreviated"FFL."
Loss. The term"loss"refers to firearms whose disposition is unknown but for which there is no
evidence of theft.
Shipper. The term"shipper"refers to the business or individual who delivers the firearm(s)to the
common or contract carrier.
Stolen firearm. A firearm that has been taken from its lawful owner by the act of burglary,larceny,or
robbery.
Theft. The term"theft"refers to a specific criminal act or event in which a firearm,or firearms,are
stolen.
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Safety and Security Information for Federal Firearms Licensees
FEDERAL STOLEN FIREARMS LAWS
Individual States,and localities,often have laws and ordinances that apply to the theft of firearms,
possession of stolen firearms,and the sale of stolen firearms. Be sure to familiarize yourself and your
employees with those laws that apply to your business.
Federal law also addresses stolen firearms and prescribes penalties for violations of those laws. The
following briefly sets forth some of the laws that apply specifically to federally licensed firearms dealers:
Unlawful to transport or ship stolen firearms. "It shall be unlawful for any person to transport or
ship in interstate or foreign commerce,any stolen firearm or stolen ammunition,knowing or having
reasonable cause to believe that the firearm or ammunition was stolen." 18 U.S.C. 922(i).
Unlawful to possess,store,sell or pawn stolen firearm. "It shall be unlawful for any person to
receive,possess,conceal, store,barter,sell,or dispose of any stolen firearm or stolen ammunition,or
pledge or accept as security for a loan any stolen firearm or stolen ammunition,which is moving as,
which is a part of,which constitutes,or which has been shipped or transported in,interstate or foreign
commerce,either before or after it was stolen,knowing or having reasonable cause to believe that the
firearm or ammunition was stolen." 18 U.S.C. 9220).
Unlawful to steal a firearm from a federally licensed firearms dealer. "It shall be unlawful for
a person to steal or unlawfully take or carry away from the person or premises of a person who is
licensed to engage in the business of importing,manufacturing or dealing in firearms, any firearm in the
licensee's business inventory that has been shipped or transported in interstate or foreign commerce."
18 U.S.C.922(u).
Fines and imprisonment up to 10 years for stealing a firearm. "A person who steals any firearm
which is moving as,or is a part of,or which has moved in,interstate or foreign commerce shall be
imprisoned for not more than 10 years,fined under this title, or both." 18 U.S.C. 924(l).
Fines and imprisonment for stealing a firearm from a licensed dealer. "A person who steals any
firearm from a licensed importer,licensed manufacturer,licensed dealer,or licensed collector shall be
fined under this title, imprisoned not more than 10 years,or both." 18 U.S.C.924(m).
Contact your local ATF Field Office for more information on these and other laws and regulations that
apply to the theft of firearms.
7
U.S.Department of Justice•Bureau of Alcohol,Tobacco,Firearms and Explosives•Office of Enforcement Programs and Services
SAFETY AND SECURITY
STEPS FOR REDUCING YOUR VULNERABLILITY
TO THEFT/LOSS AND PERSONAL INJURY
Each year ATF receives thousands of reports of theft/loss from federally licensed firearms dealers.
These reports document more than 25,000 firearms that are stolen or whose disposition is unknown to
these businesses. It is clear that criminals target businesses that sell firearms. Experience has shown
that in many instances,the thieves spend a considerable amount of time evaluating these businesses to
determine and capitalize on their vulnerabilities.
Although it may be impossible to balance an impenetrable security system with the requirements of
a business that receives and transfers property openly to the public,there are many steps that can be
taken to diminish risk. The following text sets forth six areas available to the licensed firearm dealer for
guidance and assistance in avoiding theft/loss and preventing personal injury. Some of these ideas can
be implemented at no cost while others may involve considerable investment. If circumstances warrant
it,obtaining sufficient security may cause you to consider moving to a more secure building or location.
Read through the following text,think about how each point may apply to your business,and determine
which steps are right for you.
STRUCTURAL SECURITY
o Structural security is a combination of the physical characteristics of your business facility and
its location. A thorough evaluation of your structural security should be done on a regular basis.
Look at the physical structure of your building and consider the position your business occupies
within the context of adjoining businesses. Can the roof of your establishment withstand
an attempted break in? Does poor or absent structural security make your establishment an
attractive target,and consequently,the most likely victim of criminals or criminal opportunity?
o Evaluate your business location. Have property crimes been recurring or increasing in your
area? Is your business in a rural area in which a crime is unlikely to be witnessed and in which
police response time may be slow? Have you already been a victim of theft/loss? If so,your
business location may require you to increase your security measures by following some of the
ideas below:
o Evaluate your door and window locks. Can any door or window be opened from the outside
without keys? Do any former or non-employees have access to keys? Are keys stored or kept
near the container or door for which they are used? Have any of your business keys been lost or
stolen? If so,it is time to replace,re-key,improve locks,and improve procedures for storing and
tracking keys.
o Evaluate your windows and doorjambs. Can any of these be opened or broken through from
the outside with minimal force? Is it time to reinforce or replace windows and/or doors? It
may be important to invest in burglar bars or roll-down security gates on windows,doors,and
vents. Barriers such as concrete filled posts or large cement planters may deter thieves who
would consider using a vehicle to smash into the building to gain access. Consider replacing any
exterior hollow core doors with solid metal or sheet metal faced solid wood doors. Also consider
8
Safety and Security Information for Federal Firearms Licensees
steel doorframes, long throw dead bolts,and welding or preening any hinge pins to prevent their
easy removal.
o Evaluate other unsecured openings. Does your premises have air conditioning units in open
windows or a hole in an exterior wall? These units are easily removed,and many theft entries
are made in this way. Are chimneys and other vents blocked or narrowed sufficiently to prevent
entry?
o Evaluate the walls and ceilings. In many instances of theft, criminals have ignored doors and
windows and cut through adjoining walls or the ceiling to gain access. In some cases,the wall
next to the doorway was simply pushed through. Poorly protected adjoining businesses also
provide an easy entry point for criminals who choose to go through unreinforced walls. This
form of entry may have a second unintended negative effect in that it may avoid triggering
the alarm system. A common precaution is the installation of floor to ceiling steel mesh in the
gun vault and in exterior walls. If circumstances warrant it,consider moving to a more secure
building.
o Evaluate exterior lighting and surrounding structures,shrubs,and trees. Is your business
and the surrounding area well lit at night? Are there areas in which criminals can conceal
themselves to monitor your business and by which they could enter/leave the building unseen or
under the cover of darkness? Are there structures or objects such as trash cans or dumpsters next
to the building that may provide cover or easy access to the roof or windows?
o Evaluate the front windows and entrance. Can employees see persons approaching the
store or vehicles parked outside? Can passersby see into the store or are persons inside the
store concealed from public view so that a robbery would be undetected while it was being
committed?
o Obtain an alarm system. There is no logical justification for a firearms business to be
unalarmed. Most alarm companies will evaluate your needs and make recommendations at no
cost. A simple system is far less expensive than the cost of replacing inventory. Many States
require an alarm system on specific types of businesses,particularly firearms dealers. Are you in
compliance with State and local law on your alarm system and other security requirements?
o Evaluate your existing alarm system. Is it sufficient for the nature and size of your business?
Are all points of entry protected? Do you have, or need, a panic button? Tamper alarm?
Cellular backup(cellular backup is considered an industry standard to protect during power
failures and/or if power/phone lines are cut)? Have you tested the system on a regular basis?
Who is on the call list and are the phone numbers correct and current? Have you met with the
local authorities to agree on protocols when the alarm is tripped? Have you had a series of
apparent false alarms? If so,is the problem in the system,or is your response procedure being
studied by a savvy criminal?
o Protect your alarm codes. Have you limited the number of people who know the codes?
Are your codes unrelated to family names,numbers, and other easily recognizable names and
number sequences? Do you change the codes on a regular basis and whenever there is employee
turnover? Have you written the codes where they are easily accessible to thieves or unauthorized
employees?
9
U.S.Department of Justice•Bureau of Alcohol,Tobacco,Firearms and Explosives•Office of Enforcement Programs and Services
o Evaluate the need for or condition of your video camera system. Having video cameras can
have a significant deterrent effect on crime. They can also be instrumental in solving thefts. Do
your cameras face in a direction that will capture people's faces and features? Are you recording
at all times? If your recorder is a VCR,do you have fresh videotapes,or have they been used
hundreds of times? VCR tapes lose their integrity with repeated recording. It may be time to
switch to a digital recorder whose picture quality is far superior and will not degrade over time.
In some instances,insurance savings may offset updating obsolete or inferior equipment. Is your
recording system in plain view or protected from view,tamper and/or theft?
o Evaluate the installation of a remotely activated electronic security entrance. Would there
be value in screening customers to prevent access to suspicious persons? Businesses in or near
high crime areas and those who have already been a victim of a crime may want to give this
some serious consideration.
o Evaluate the business-hours store layout. Are unsecured firearms displayed within reach of
customers? Does your business have blind spots in which customers can access inventory? Are
display cases kept locked unless an employee is displaying a firearm or other item from that
case? Are there times/situations wherein all employees have their backs to customers? Do any
business activities require that employees enter the rear of the store/storage locations, leaving
customers unattended?
o Evaluate after-hours business layout. Have firearms and ammunition been secured? If
thieves break into the store,are firearms readily accessible or are secondary measures in place
(i.e.firearms secured by locking cable, etc.)? The best business practice is to remove all
firearms from display cases and racks and place them in a gun vault at night. As an alternative,
some businesses utilize reinforced display cases with shatterproof glass.
o Evaluate the level of security provided by an answering machine. Avoid using the answering
machine to announce weekends and other times when you will be out of town. When the
message says you are closed so that you can attend a show,the underlying message is that your
business is unprotected.
INVENTORY SECURITY
Inventory security is the way in which business merchandise and equipment is accounted for from the
date it is received(acquired)by the business to the date of its disposition(sale,trade,etc.). At the core
of inventory security is the practice of complete and consistent documentation. For firearms inventory,
accurately completed ATF Form 4473 forms and an up-to-date and accurately completed Acquisition
and Disposition Record are required by law. The following additional steps are recommended practices
to help protect inventory:
o Conduct periodic physical inventories and reconcile to book inventory. Complete physical
inventory counts and reconciliation to book inventory enable an FFL to know which firearms
have been transferred legally and which firearms may have been lost/stolen. This includes
ensuring that all firearms in inventory are recorded in the Acquisition and Disposition book and
that for all open entries in the book,there is a firearm. The frequency of inventories may be
dictated by the nature of the business,but at a minimum, an annual"floor to ceiling"inventory
is recommended. Without reliable records, it is impossible to determine if firearms have been
10
transferred or are still in inventory. If this cannot be established and a crime occurs,the licensee
will not be able to provide ATF and/or the local law enforcement authorities with an accurate list
Safety and Security Information for Federal Firearms Licensees
of stolen firearms. An inaccurate report could result in the arrest of an honest citizen or freedom
from prosecution for a criminal. Without reliable records,you may not even become aware that
a crime has occurred.
o Accurately record your physical inventory in your records. Remove firearms from
containers/boxes when recording acquisition. An accurate inventory must include physical
comparison of firearms with the acquisition description. Many times firearms are shipped that
do not match firearms listed in shipping manifests. The markings on firearms boxes can bear
markings that are different than those which appear on the firearms. Do not rely on packaging
or labeling to record firearms acquisition.
o Require two-party inventories. Never allow one person to have singular oversight of any part
of your business,including sales transactions,handling monies and particularly the inventory
process. Many internal thefts stem from situations in which a single person was in control of
the physical firearms inventory and/or records. In addition to incorporating a second party in a
regular review of the acquisition and disposition records,physical inventories should always be
conducted by at least two persons.
o Protect your inventory records. Thefts of firearms often include the theft of records. Some
criminals are aware that the records may be the only way to determine which firearms were
stolen. Secure records after hours in a location separate from the firearms inventory.
o Keep timely acquisition and disposition records. Federal regulations generally require that
acquisitions be recorded by the close of the next business day,and that dispositions be recorded
within 7 days. However,it would be safer to record them at the time the firearms transaction
occurs. If you are a victim of theft,having current records is essential.
o Examine each shipment of firearms that you receive. Federal law requires that common and
contract carriers who deliver firearms in interstate commerce obtain written acknowledgement
of receipt from the actual recipient. Before you sign,examine the shipment. Determine, at a
minimum,that the number of firearms indicated on the carrier's documents is the number you
received. A best practice would be to open each package to verify that the shipment matches the
order exactly.
o Keep display cases locked at all times. This is a standard practice in the jewelry trade, another
industry that is prone to shoplifting and internal theft.
EMPLOYEE SCREENING
The same care that is given to the safe handling and storage of firearms should be given to the selection
of the people whom the licensee authorizes to do that work. Reluctance to embarrass or offend strangers
or acquaintances must be set aside to ensure the security of the business. It is neither lawful nor in
the licensee's interest to knowingly allow a prohibited person to possess firearms or engage in firearms
sales. The importance of conscientiousness and trustworthiness is underscored by the high level of
responsibility placed upon persons who are in a position to transfer firearms.
o Institute an employee screening process. ATF recommends conducting background checks on
all employees and applicants(even relatives). Many private companies are available to perform
these checks on a fee basis. Background checks should be repeated after an established period
of time has elapsed. Applicants/employees should also provide references. These references 11
U.S.Department of Justice•Bureau of Alcohol,Tobacco,Firearms and Explosives-Office of Enforcement Programs and Services
should be contacted,interviewed,and asked to provide the names of other potential references,
not listed by the applicant/employee.
o Require proof of identity. Require that each applicant/employee produce a government-issued
identification card—a driver's license, for example—and a social security card.
o Discuss questions with the local police or ATF. If it appears that an applicant or employee
may not be eligible to possess or transfer firearms,the local police or local ATF office should be
contacted for guidance. (For assistance in locating the nearest ATF office,visit the Web site at
http://www.atfgov/field)
SAFE BUSINESS PRACTICES
Safe business practices are the least expensive and perhaps the most immediately beneficial steps
that the licensee can take to limit the risks of becoming a victim of crime. As with all of the
recommendations in this pamphlet,the following methods and ideas have proven to be effective for
many licensees. A structured training program is also recommended to implement and encourage safe
business practices and procedures among employees.
o Familiarize yourself with State and local ordinances. Many jurisdictions have established
security requirements for businesses,some specifically for businesses that sell firearms. Many
jurisdictions require by law that a working alarm system be installed in your business.
o Show only one firearm at a time to a customer. If the customer requests to handle another
firearm,secure the first firearm before displaying another. If the firearms are kept in a locking
display case or other security device,ensure that only one firearm is unlocked or unsecured at a
time.
o Disable display firearms. Use trigger locks or plastic ties to ensure that the firearms cannot be
loaded or fired while being examined. In some situations,the best practice may be the removal
of the firing pin. Another best practice to consider is placing display firearms in a safe at night, a
protocol followed by most jewelry stores.
o Do not leave a customer who is handling a firearm unattended. If an employee leaves
a customer who is handling a firearm,control of that firearm has been relinquished to the
customer. To prevent this, instruct your staff to return a firearm to its storage location before
leaving the customer unattended.
o Keep ammunition stored separately from the firearms and out of the reach of customers.
This practice can help eliminate shoplifting of ammunition and help ensure that firearms remain
unloaded while on display.
o Do not meet with customers after hours or off site. This is particularly important if the
customer asks that some firearms be brought to the meeting. Advise your local ATF office of any
such requests and provide them with the identity of the requestor.
o Wipe down all countertops and doors each night. A clean surface makes it easier to capture
and preserve fingerprints. Those fingerprints could be the difference between an unsolved crime
and capturing the criminals.
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Safety and Security Information for Federal Firearms Licensees
o Do not keep large sums of cash on hand. Keeping large sums of cash during business hours or
at night creates an opportunity for your business to experience a substantial financial loss. Limit
the amount of cash on hand by making regular deposits. You may want to consider recording the
serial numbers on paper money left in the cash register at night. Store this record away from the
cash so that if the money is taken,it can be more easily tracked.
o Do not leave counter and safe keys in the cash register at night. Many burglaries have been
made worse by ready access to keys left in the cash register. The cash register is logically one of
the first targets in a burglary.
o Ship firearms in a way that requires signatures or recording of transfers. In many cases,the
most inexpensive means of shipping provide little accountability. Using a shipping method that
includes some form of tracking is strongly encouraged. Ask the carrier if and how each point of
transfer will be documented. Detailed documentation makes it easier to track a lost or damaged
shipment. When shipping a firearm,using a method that is most reliable is suggested.
o Provide safety and security training for your employees. Ensure that they know what to do
if a crime is committed or discovered. Prepare a specific procedure for them to follow. Post
important telephone numbers and keep procedures where they can be readily utilized(this
booklet,if opened from back to front, contains a recommended series of steps in the event of
a theft or loss). Explain the importance of protecting keys,combinations,codes, alarm system
features,and any other security plans or procedures you have. Advise your employees not to
reveal this information to non-employees, including family members.
o Familiarize your employees with firearms laws. Sales personnel must be shown,understand,
and be able to explain the firearms laws that apply to them and to your customers. Ensure that
they understand how to make a lawful transfer and what transactions to avoid. For assistance
with this type of training,you can request a"Don't Lie for the Other Guy"package from your
local ATF office and visit the Internet learning theatre on the ATF Web site mOD .atfgov. You
can also contact your local ATF field office to inquire about FFL seminars(http://www.atfgov/
field).
o Record the description of suspicious persons and their vehicles. If an individual,or
individuals,raise your suspicions or specifically ask you to assist them in subverting the law,
record their identification,their physical description and the vehicle description and license
plate, if you can safely do this(a suspicious person guide can be found on page 25). Criminals
frequently visit the stores they intend to victimize before the crime in an effort to assess their
target. Many crimes have been solved through physical and vehicle descriptions recorded by
employees and witnesses who grew suspicious of a person or a customer's actions, questions, or
activity.
o Post the Theft Warning Notice in a conspicuous location. This publication contains, on page
23, a theft warning notice that can be removed and placed in a window or other conspicuous
location. A lunchroom or other area frequented by business staff should also be considered as a
beneficial location for this warning.
o Request the assistance of the local law enforcement authorities. Contact your local police
department and request a visit for safety and security advice. Ask if there have been any thefts in
the area or patterns of theft to which you may be vulnerable. Develop a relationship with the law
13
U.S.Department of Justice•Bureau of Alcohol,Tobacco,Firearms and Explosives•Office of Enforcement Programs and Services
enforcement officers who work m the area that includes your business. Offer your parking lot to them
at night. Obtain the best telephone numbers to use in emergency and non-emergency situations.
o Strictly control firearms at gun shows. Prepare an inventory of all firearms removed from
the store for display or sale at a gun show and store the list separately. ATF recommends that
you not take your acquisition/disposition record to the gun show if you will be returning to
your premises in time to record your transactions as required by law. Thoroughly record all
transfers and make those entries as soon as you return from the show(see 27 CFR 478.125(e)for
guidance).
o Do Not advertise that your business is unprotected. Avoid leaving a sign in the window or
a message on your answering machine announcing that you will be closed or are out of town.
This only puts every friend and stranger who reads or hears it on notice that your store may be
unattended for several days.
CUSTOMER SAFETY
Purchasers of firearms inherit the significant responsibility of protecting themselves and the public from
theft or loss of their firearms. Federal firearms licensees have an opportunity to provide information and
products that can help purchasers with this responsibility. Please review the following suggestions:
o Insist on complete firearms safety. By demonstrating safe firearms handling, including clearing
and unloading procedures, customers have the opportunity to learn and repeat these firearms
safety procedures after they leave your store. This is the highest form of customer service.
Include a copy of the Disposition of Firearms flier shown on page 20 to assist purchasers in
complying with Federal laws relating to firearms ownership and transfer.
o Recommend safe storage methods. Federal law requires that firearms safety or locking devices
be available for purchase and provided to anyone purchasing a firearm. We recommend that
you advertise these to your customers for storing their firearms. Advise customers to take their
firearms directly home rather than leave the firearms in their vehicle while taking care of other
errands. Remind your customers that firearms should always be unloaded when being stored.
o Personal Firearms Record. Provide customers with a free copy ofATF Publication 3312.8,
Personal Firearms Record. This pamphlet was developed to provide firearms owners an easy
and complete way to maintain a record of their firearms. In the event of theft or loss,the
firearm(s)can be fully identified for law enforcement and for insurance purposes. (A sample of
this pamphlet can be found on page 21.)
14
Safety and Security Information for Federal Firearms Licensees
DISASTER PREPAREDNESS
Every business should have a disaster plan. Federal firearms licensees have a double interest in having a
plan in place because they need to safeguard their business to facilitate a quick recovery,and they need
to protect the public from the risk of theft/loss of firearms and ammunition in the event of a disaster.
The following suggestions can form a guide for developing a plan to follow in the event of impending
disaster:
o Create and maintain a current set of records(and consider a second set maintained at a second,
secure location)that includes: insurance policies; supplier and contact list; computer records
backup; and a second set of business records.
o Create a list of employee phone numbers and establish a plan under which, in the event of a
disaster,they have a phone number to call to report that they are OK.
o Secure your inventory. Utilize safes and cable locks that can retain and protect inventory.
o Perform a full inventory and take Acquisition and Disposition records to a safe location until the
threat has passed.
o Make your disaster plan"multi-hazard"by taking into account each possibility: fire; tornado;
hurricane;flooding; looting; etc.
o ATF can approve variances to move business operations(including NFA firearms)in special
circumstances,which can include impending natural disasters.
o For more information on disaster preparedness,request a copy of ATF Publication 3317.7,
Disaster Preparedness for Federal Firearms Licensees from the ATF Distribution Center by
calling 301-583-4696.
YOUR LOCAL ATF OFFICE
The local ATF office can be an invaluable resource for information and assistance in the safe and
compliant operation of your business. This office should be your first point of contact with questions
regarding anything associated with your Federal firearms license. The local office can also assist you in
the preparation of the theft/loss reports that must be submitted to the Stolen Firearms Program Manager.
(For assistance in locating the nearest ATF office,visit the Web site at
http://www.atf.gov/field).
15
U.S.Department of Justice•Bureau of Alcohol,Tobacco,Firearms and Explosives•Office of Enforcement Programs and Services
PROPERLY IDENTIFYING AND
RECORDING FIREARMS
In order to conduct business,the FFL relies on the accurate description of firearms and the timely
recording of acquisition and disposition. Without this,law enforcement agencies are forced to rely
on inaccurate information when they endeavor to investigate firearms thefts. Inaccurate and missing
records also impact the ability to determine ownership of recovered firearms and their return to the
lawful owners.
In 1968,Congress established unique marking requirements f)()ll firearms imported into or
manufactured within the United States (see 27 CFR 478.92 a 1 and 27 CFR 478.102). Unfortunately,
marking requirements that existed before 1968 did not apply to all firearms and,in particular,allowed
for duplication of serial numbers. Many thousands of firearms manufactured and imported prior to
1968 bear no serial numbers,product codes,patent numbers,or other markings that appear to be serial
numbers. Some of these pre-1968 firearms bear virtually no markings at all. Licensees who receive
these firearms should note in each descriptive column in the acquisition record the physical marking that
appear on the firearms. If no serial number was placed on the firearm,it should be specifically noted that
"Firearm has no serial number." Remember,however,it is illegal to remove a firearm's serial number,
and a licensee should report such a firearm to the nearest ATF office.
Under the 1968 law,manufacturers and importers may not duplicate serial numbers. Both must utilize
or place a serial number that they have not used before,and may not issue again,on the firearm's frame
or receiver. The serial numbers themselves are generated by the licensee,and many are so unique that
their appearance can readily identify the manufacturer or importer.
To accurately identify a firearm,FFLs receiving firearms must record the Serial Number in their A&D
book. Be careful to use the number on the frame or receiver. Parts of the firearm, such as the slide or
barrel,may be marked with a part or model number,different from the serial number.
The following additional information must be marked on the frame,receiver,or barrel of post-1968
firearms,and must be recorded in the A&D book: model(if such designation has been made);caliber
or gauge;name of the manufacturer(or recognized abbreviation); and importer(if applicable).
Although not required to be recorded in the A&D record,for domestically produced firearms,the
city and State(or recognized abbreviation)of the manufacturer's place of business,and for imported
firearms,the country of manufacture and the city and State(or recognized abbreviation)of the
importer's place of business must also be marked on the frame,receiver,or barrel.
This description of the marking requirements is brief and concise and may not guide you in the
identification of each firearm you examine. Refer to the diagram on the following page for more
guidance and contact your local ATF office for further assistance.
16
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Safety and Security Information for Federal Firearms Licensees
BASIC FIREARMS SAFETY
FIREARMS HANDLING AND STORAGE
1. Treat every firearm as if it were loaded.
2. Always keep the muzzle of the firearm pointed in a safe direction.
3. Always keep your finger off the trigger and outside the trigger guard unless you intend to fire the
weapon.
4. Wear appropriate ear and eye protection when discharging the firearm.
5. If you have children in your residence,use child safety locks or other commercially available
locking mechanisms on your firearms and/or keep your firearms locked in a secure location
accessible to adults only. Keep your ammunition locked in a secure location away from the
firearms.
6. Become familiar with,and obey,all Federal, State,and local laws regarding the purchase,
possession,carrying,use,storage,and disposition/sale of firearms.
CLEARING/UNLOADING A FIREARM
1. Always keep the muzzle pointed in a safe direction AND always keep your finger off the trigger
and outside the trigger guard while cleaning or unloading a firearm. (Consider obtaining a
commercially made firearm clearing barrel for safe clearing/unloading purposes.)
2. Remove the magazine or other source of ammunition.
3. Open the breech and visually as well as physically inspect the chamber to ensure the firearm is
completely unloaded. Repeat this step twice to be sure the firearm is completely unloaded.
19
U.S.Department of Justice•Bureau of Alcohol,Tobacco,Firearms and Explosives•Office of Enforcement Programs and Services
NON-LICENSED FIREARMS SALES
If you do not have a Federal firearms license and you later decide to sell, trade,transfer,or otherwise
dispose of the firearm(s)you have purchased,keep in mind the following basic guidelines contained
within the Gun Control Act(GCA)of 1968 that may apply to such dispositions:
1. The GCA prohibits persons from engaging in the business of dealing in firearms without a
license issued by ATF(18 U.S.C.92 1(a)(1 1)(A)). A sentence of up to 5 years imprisonment
and/or a fine of up to$250,000 may be imposed on anyone found guilty of dealing in firearms
without a license. The GCA defines the term"dealer"in firearms as"a person who devotes
time, attention and labor to dealing in firearms as a regular course of trade or business with the
principle objective of livelihood and profit through the repetitive purchase and resale of firearms"
(18 U.S.C. 921(a)(21)(C)). The term"dealer"in firearms does not include a person who
makes occasional sales,exchanges,or purchases of firearms for the enhancement of a personal
collection or for a hobby,or who sells all or part of a personal collection of firearms. In general,
the following applies to an unlicensed person:
❑ You may occasionally acquire or dispose of firearms to,and from,residents of your State
as long as this activity does not fall under the definition of"dealer"in firearms and as
long as the intended receiver of the firearm may legally possess the firearm.
❑ You may dispose of firearms to a licensed firearms dealer in any State.
❑ You may not acquire from or dispose of firearms to residents of any State other than your
own.
❑ You may not engage in the business of dealing in firearms without being licensed.
2. In addition,the GCA prohibits any person from:
❑ Selling or disposing a firearm to any person the transferee knows or has reasonable cause
to believe is under indictment for,or has been convicted of,a crime punishable by a term
of imprisonment exceeding one year;is a fugitive from justice;is an unlawful user of
or is addicted to any controlled substance;has been adjudicated as a mental defective or
committed to any mental institution; is an alien unlawfully or illegally in the U.S. or is a
nonimmigrant alien and no exception under 18 U.S.C. 922(y)applies;has a dishonorable
discharge from the Armed Forces;has renounced their U.S. citizenship; is subject to a
qualifying,court order for restraint;or has been convicted of a misdemeanor crime of
domestic violence(18 U.S.C. 922(d)).
❑ Transferring a firearm to any person who intends to use the firearm in a crime of violence
or serious drug trafficking offense(18 U.S.C. 924(h)).
❑ Transferring handguns or handgun ammunition to juveniles(persons under 18 years of
age)except for purposes of employment,military,hunting,or a safety course provided
the juvenile has a parent or guardian's prior written consent(18 U.S.C. 922(x)).
3. General Advice for non-licensed seller/purchaser:While it is not required by law,it is highly
recommended that the purchaser provide some form of identification and that this information,
along with the date,place of sale,and full firearms description be recorded. The purchaser
20 should keep this information in a location separate from the firearm(s).
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Safety and Security Information for Federal Firearms Licensees
GUIDE TO RECORDING SUSPICIOUS PERSON
DESCRIPTION
PLEASE RECORD AS MUCH INFORMATION AS POSSIBLE
SEX I RACE I AGE HEIGHT WEIGHT WEAPON TYPE
2
HAIR j HAT(color,type)
t
GLASSES TYPE / TIE
COMPLEXION i SHIRT
SCARS/MARKS* COAT
TATTOOS* TROUSERS
JEWELRY SHOES
AUTO LICENSE,MAKE, COLOR DIRECTION OF TRAVEL
ADDITIONAL INFORMATION
*Be sure to describe appearance as well as location.
Make additional copies of this page and keep them in areas that are readily available to employees. 25
U.S.Department of Justice•Bureau of Alcohol,Tobacco,Firearms and Explosives•Office of Enforcement Programs and Services
26
End of Text
For Theft/Loss Reporting Procedures,
See Back Cover of Publication
Paperwork Reduction Act Notice
This request is in accordance with the Paperwork Reduction Act of 1995. The information collection documents reports of theft or loss of firearms
experienced by common carriers in interstate shipment. ATF uses the information to investigate and perfect criminal cases. The information
requested is voluntary.
The estimated average burden associated with this collection of information is 20 minutes per respondent or recordkeeper,depending on individual
circumstances. Comments concerning the accuracy of this burden estimate and suggestions for reducing this burden should be addressed to
Reports Management Officer,Document Services Branch,Bureau of Alcohol,Tobacco,Firearms and Explosives,Washington,DC 20226.
An agency may not conduct or sponsor,and a person is not required to respond to,a collection of information unless it displays a currently valid
OMB control number.
ATF Form 3310.6
Revised April 2004
OMB No. 1140-0004 (04/30/2007)
U.S.Department of Justice
Bureau of Alcohol,Tobacco,Firearms and Explosives Interstate Firearms Shipment
Theft /Loss Report
Name Address Telephone Number
Shipper/Transferor
Consignee/Transferee
Carrier
Shipment Tracking Number Shipper/Carrier Claim Number Date Shipped
Name of Reporting Company Federal Firearms License Number(If applicable)
Name and Title of Person Making Report(Please print AND sign name)
Telephone Number Date
Firearm(s)Description(Use reverse side if additional space is needed)
Type Manufacturer Model Caliber Serial Number Date Acquired
Shipment Description
Individual Parcel Shrink Wrapped Pallet
Pallet ❑ Other(Describe):
Brief Summary of Incident:
MAIL THIS FORM TO: ATF,STOLEN FIREARMS PROGRAM MANAGER
244 NEEDY RD.
MARTINSBURG,WV 25405
FOR MORE INFORMATION YOU MAY CALL TOLL FREE 888-930-9275
ATF Form 3310.6
Revised April 2004
Important Notice
Section 923(g),Title 18 U.S.C., requires each Federal Firearms Licensee(FFL)to report the theft/loss of a firearm from the licensee's inven-
tory or from the collection of a licensed collector, within 48 hours of discovery to the Bureau of Alcohol, Tobacco, Firearms and
Explosives (ATF) by calling 1-888-930-9275 and to local law enforcement authorities.
FFLs who report a firearm as missing and later discover its whereabouts should advise ATF that the firearms have been located. Licensees
reporting theft/loss of firearms registered under the National Firearms Act must provide written notification to the National Firearms Act Branch,
pursuant to 27 C.F.R. § 179.141.
This form should not be used by common carriers for reporting the theft/loss of firearms. Thefts/losses from interstate shipments must continue
to be reported on ATF Form 3310.6, Interstate Firearms Shipment Report of Theft/Loss.
Instructions To Federal Firearms Licensees
1. FFLs must report the theft/loss of firearms to the ATF Stolen Firearms Program Manager within 48 hours of discovery
(toll free 888-930-9275).
2. This form is to be used to provide written notification of firearms thefts/losses in addition to reporting firearms thefts/losses by telephone
to the ATF Stolen Firearms Program Manager. Document in Section B the date that you reported the information by telephone. If the call
is after normal business hours, you will be directed to call the ATF Hotline where a representative will contact the ATF Field Office in your
area. During normal business hours, or on the following business day,the Stolen Firearms Program Manager will provide you with an ATF
Incident Number to record in this report. You will then be directed to forward a copy of this report to the address set forth in item 5 below.
3. A separate form is required for each theft/loss report. This form must be prepared in ink, signed, and dated. Please use ATF Form
3310.11A, Federal Firearms Licensee Theft/Loss Report Continuation Sheet, when the number of lost/stolen firearms exceeds the space
allowed in Section C.
4. The description of the lost or stolen firearms provided in Section B of this form should be identical to the information contained in the
Record of Acquisition and Disposition required by 27 CFR Part 178 Subpart H.
5. Upon completion,the original must be forwarded to the following address:
Bureau of Alcohol, Tobacco, Firearms and Explosives
National Tracing Center
Attn: Firearms Interstate Theft Program Manager
244 Needy Road
Martinsburg,WV 25405
6. Copy 1 should be removed and retained as part of the licensee's permanent records.
7. FFLs must reflect the theft/loss as a disposition entry in the Record of Acquisition and Disposition required by 27 CFR Part 178,Subpart H.
The disposition entry should indicate whether the incident is a theft or loss, the ATF Issued Incident Number, and the Incident Number
provided by the local law enforcement agency.
8. Should any of the firearms be located,they should be re-entered into the Record of Acquisition and Disposition as an acquisition entry.
9. Additional forms may be obtained through the ATF Distribution Center, P.O. Box 5950, Springfield,Virginia, 22150-5950, (703)455-7801.
Paperwork Reduction Act Notice
The information required on this form is in accordance with the Paperwork Reduction Act of 1995. The purpose of this information is to provide
notification to ATF of the theft or loss of firearms from the inventory of a Federal firearms licensee and from the collection of a licensed
collector. The information is subject to inspection by ATF offices. The information on this form is required by 18 U.S.C. 923(g)(6).
The estimate average burden associated with this collection is 24 minutes per respondent or recordkeeper, depending on individual circum-
stances. Comments concerning the accuracy of this burden estimate and suggestions for reducing this burden should be directed to Reports
Management Officer, Document Services Branch, Bureau of Alcohol, Tobacco, Firearms and Explosives, Washington, DC 20226.
An agency may not conduct or sponsor,and a person is not required to respond to,a collection of information unless it displays a currently
valid OMB control number.
ATF Fonn 3310.11
Revised May 2001
U.S. Department of Justice OMB No. 1140-0039 (05/31/2006)
Bureau of Alcohol,Tobacco,Firearms and Explosives Federal Firearms Licensee Firearms
Inventory Theft/Loss Report
All entries must be in ink. Please read notices and instructions on reverse carefully before completing this form.
Section A - Federal Firearms Licensee Information
Federal Firearms License Number Federal Firearms Licensee Telephone Number (Include area code)
Trade/Corporate Name and Address of Federal Firearms Licensee (Address should include the number, street address, city, State and zip
code)
Name, Address and Telephone Number of Person Making Report (Address should include the number, street address, city, State and zip
code. Include area code in the telephone number.)
Section B - Theft/Loss Information
Date Time Description of Incident
Date of Theft/Date Loss
Discovered Burglary Robbery
Police Notification n Larceny Missing Inventory
ATF Issued Incident Number
ATF Notification
Name and Address of Local Authority to Whom Reported (For burglary, larceny or robbery, include the police report number and officer/
detective name).
Name and Telephone Number of the ATF Representative Notified (If this report is the result of an ATF compliance inspection, provide the
name and telephone number of the ATF Inspector.)
Brief Description of Incident (e.g., How firearms were stolen, etc.):
Section C - Description of Firearms
Acquisition Manufacturer Caliber/
Date Type Model Gauge Serial Number
Certification
I hereby certify that the information contained in this report is true and correct. I also understand that failure to report the theft or
loss of a firearm from my inventory or collection within 48 hours of the discovery of the theft/loss is a violation of 1S U.S.C. §923(g)(6)
punishable as a felony.
Signature of Licensee Date
ATF Form 3310.11
Revised Mav 2003
U.S.Department of Justice•Bureau of Alcohol,Tobacco,Firearms and Explosives•Office of Enforcement Programs and Services
VOLUNTARY PROCEDURES TO FOLLOW WHEN FIREARMS
ARE
MISSING FROM AN INTERSTATE SHIPMENT
ALTHOUGH REPORTING THE INTERSTATE THEFT/
LOSS OF FIREARMS IS NOT REQUIRED BY LAW, IT IS
RECOMMENDED AS A BEST PRACTICE. However,ATF
maintains a program to investigate these thefts/losses and
to attempt to locate theses firearms.
❑ CONTACT THE CARRIER
ATF recommends that any shipment of firearms be done under a carrier's tracking num-
ber. Many carriers have web sites that allow you research your shipment and to verify if
your shipment is overdue. Often the carrier may not be aware that some or all of a ship-
ment is missing until they are contacted by the shipper,consignee or a law enforcement
agency.
a CONTACT ATF STOLEN FIREARMS PROGRAM
Local ATF Office Telephone Number.
The local ATF office will work with the local law enforcement authorities investigating
the theft. They can also assist in the preparation of the Theft/Loss Report for submission
to the ATF Stolen Firearms Manager.
❑ PREPARE ATF THEFT/LOSS REPORT
The ATF Form 3310.6, Interstate Firearms Shipment Theft/Loss Report form(see page
A5)was prepared to facilitate this voluntary reporting. The Stolen Firearms Program
Manager can be contacted for assistance with interstate theft/loss reporting. This can be
done by calling toll-free(888)930-9275.
❑ NOTIFY ATF OF ANY FIREARM RECOVERIES
It is not uncommon to find that a firearm initially thought to have been part of a group
that was stolen or missing,has arrived or been located. It is extremely important that
these be reported to the Stolen Firearms Program Manager. Stolen firearms are placed
into the National Crime Information Center(NCIC) system so that law enforcement all
over the country will know if a firearm they recover from someone is stolen. If a firearm
is inaccurately reported as stolen,a law enforcement officer may arrest someone, or seize
a firearm from someone based on the belief that the firearm he/she possesses is stolen,
when in fact that firearm may have been lawfully purchased.
❑ ENSURE ACCURACY OFACQUISITION AND DISPOSITION RECORDS
Ensure that Acquisitions and Disposition records accurately reflect the disposition of any
firearm not received by the person to whom shipped.
A3
Safety and Security Information for Federal Firearms Licensees
PROCEDURES TO FOLLOW WHEN FIREARMS ARE
MISSING FROM INVENTORY(E.G.,DISPOSITION UNRECORDED/UNKNOWN)
❑ PREPARE ATF THEFT/LOSS REPORT
An ATF Form 3310.11,Federal Firearms Licensee Firearms Inventory Theft
and Missing Inventory(Loss)Report(see page A4),must be prepared when it is
discovered that firearms are missing from inventory. Submit the original to the
Stolen Firearms Program Manager and keep a copy for your records.
The Stolen Firearms Program Manager must be notified within 48 hours of the
discovery,and should be notified as soon as possible. This can be done by calling
toll-free(888)930-9275. The Stolen Firearms Program Manager will issue an
incident number that is to be placed in the disposition section.
If not already done,a"floor to ceiling"inventory is highly recommended both
to locate missing firearms and to prevent inventory losses in the future. Poor
inventory procedures invite problems such as employee and customer thefts.
❑ NOTIFY THE LOCAL POLICE
Local Police Telephone Number.
Making this notification is a requirement for all federal firearms licensees.
However,it should be made clear to the authorities that there is no evidence of
a crime and that the disposition of these firearms is unknown/unrecorded. No
local police report number is required to be placed in the disposition records
because many departments will not issue a police report if no crime has occurred.
However,if the department does issue an incident or report number,this should
be placed in the disposition section along with the ATF issued incident number for
each firearm that is missing.
Firearms reported missing from inventory are not placed into the National Crime
Information Center(NCIC)system by ATF because there is no evidence that they
were taken in a crime(e.g.burglary, larceny or robbery). If these firearms were
to be reported as stolen, a law enforcement officer might arrest someone, or seize
a firearm from someone based on the belief that the firearm he/she possesses was
stolen,when in fact that firearm may have been lawfully purchased.
❑ NOTIFY ATF OF ANY FIREARM RECOVERIES
It is not uncommon to find a firearm that initially could not be accounted for or
located. It is extremely important that these discoveries be reported to the Stolen
Firearms Program Manager so that the list of firearms reported missing from
inventory can be corrected.
A2
U.S.Department of Justice•Bureau of Alcohol,Tobacco,Fireanns and Explosives•Office of Enforcement Programs and Services
PROCEDURES TO FOLLOW WHEN FIREARMS ARE
TAKEN IN A CRIME (E.G., BURGLARY, LARCENY OR ROBBERY)
❑ CONTACT POLICE
Local Police Telephone Number:
Swift notification may be the key in identifying and capturing thieves and in
preserving evidence. Making this notification is also a requirement for all Federal
firearms licensees.
❑ CONTACT LOCAL ATF OFFICE
Local ATF Office Telephone Number.
The local ATF office will work with the local law enforcement authorities
investigating the theft. They can also assist in the preparation of the Theft/Loss
Report for submission to the ATF Stolen Firearms Manager.
❑ ENSURE SAFETY AND PRESERVE EVIDENCE
If there is any possibility that criminals may be present, do not enter a crime scene
until law enforcement authorities indicate that it is safe. Do not disturb the crime
scene until law enforcement authorities have completed evidence gathering. Un-
less you are asked to assist,avoid the temptation to assess damage/losses until
they are finished.
❑ PREPARE ATF THEFT/LOSS REPORT
An ATF Form 3310.11,Federal Firearms Licensee Firearms Inventory Theft and
Missing Inventory(Loss)Report(see page A4),must be prepared when a theft
of firearms from a licensee's inventory occurs. This includes firearms stolen from
gun shows and in transit to and from those shows. Submit the original to the
Stolen Firearms Program Manager and keep a copy for your records.
The Stolen Firearms Program Manager must be notified within 48 hours of the
theft,and should be notified as soon as possible. This can be done by calling toll-
free(888)930-9275. The Program Manager will issue an incident number that is
to be placed in the disposition section(along with the police report number)of the
Acquisition/Disposition Records for every firearm that is stolen.
❑ NOTIFY ATF OF ANY FIREARM RECOVERIES
It is not uncommon to find that a firearm initially thought to have been part
of a group that was stolen,was in fact sold lawfully or is still in inventory. It
is extremely important that these be reported to the Stolen Firearms Program
Manager. Stolen firearms are placed into the National Crime Information Center
(NCIC)system so that law enforcement all over the country will know if a firearm
they recover from someone is stolen. If a firearm is inaccurately reported as
stolen,a law enforcement officer may arrest someone,or seize a firearm from
someone based on the belief that the firearm he/she possesses is stolen,when in
fact that firearm may have been lawfully purchased.
Al
U.S.Department of Justice
Bureau of Alcohol,Tobacco,Firearms and Explosives
Office of Enforcement Programs and Services
HOW TO REPORT
A HEFT OR LO
OF FIREARM
IF A CRIME HAS OCCURRED:
NOTIFY THE POLICE AND TURN
TO PA GE A I FOR REPOR TING
INSTRUCTIONS
IF INVENTORY IS MISSING:
TURN TO PAGE A AND FOLLOW
REPORTING INSTRUCTIONS
IF FIREARMS ARE MISSING
FROM A SHIPMENT:
TURN TO PA GE A FOR
REPORTING INSTRUCTIONS
Safety and Security Information for Federal Firearms Licensees
ATF Publication 3317.2(Revised February 2010)
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Calendar Exhibit 1. Firearms Manufactured (1986-2010)
Year Pistols Revolvers Rifles Shotguns Misc.Firearms' Total
Firearms
1986 662,973 761,414 970,507 641,482 4,558
3,040,934
1987 964,561 722,512 1,007,661 857,949 6,980 3,559,663
1988 1,101,011 754,744 1,144,707 928,070 35,345 3,963,877
1989 1,404,753 628,573 1,407,400 935,541 42,126 4,418,393
1990 1,371,427 470,495 1,211,664 848,948 57,434 3,959,968
1991 1,378,252 456,966 883,482 828,426 15,980 3,563,106
1992 1,669,537 469,413 1,001,833 1,018,204 16,849 4,175,836
1993 2,093,362 562,292 1,173,694 1,144,940 81,349 5,055,637
1994 2,004,298 586,450 1,316,607 1,254,926 10,936 5,173,217
1995 1,195,284 527,664 1,411,120 1,173,645 8,629 4,316,342
1996 987,528 498,944 1,424,315 925,732 17,920 3,854,439
1997 1,036,077 370,428 1,251,341 915,978 19,680 3,593,504
1998 960,365 324,390 1,535,690 868,639 24,506 3,713,590
1999 995,446 335,784 1,569,685 1,106,995 39,837 4,047,747
2000 962,901 318,960 1,583,042 898,442 30,196 3,793,541
2001 626,836 320,143 1,284,554 679,813 21,309 2,932,655
2002 741,514 347,070 1,515,286 741,325 21,700 3,366,895
2003 811,660 309,364 1,430,324 726,078 30,978 3,308,404
2004 728,511 294,099 1,325,138 731,769 19,508 3,099,025
2005 803,425 274,205 1,431,372 709,313 23,179 3,241,494
2006 1,021,260 385,069 1,496,505 714,618 35,872 3,653,324
2007 1,219,664 391,334 1,610,923 645,231 55,461 3,922,613
2008 1,609,381 431,753 1,734,536 630,710 92,564 4,498,944
2009 1,868,258 547,195 2,248,851 752,699 138,815 5,555,818
2010 2,258,450 558,927 1,830,556 743,378 67,929 5,459,240
Source:ATF's Annual Firearms Manufacturing and Exportation Report(AFMER).
'Miscellaneous firearms are any firearms not specifically categorized in any of the firearms categories defined on the ATF Form 5300.11
Annual Firearms Manufacturing and Exportation Report.(Examples of miscellaneous firearms would include pistol grip firearms,starter
guns,and firearm frames and receivers.)
The AFMER report excludes production for the U.S.military but includes firearms purchased by domestic law enforcement agencies. The
report also includes firearms manufactured for export.
AFMER data is not published until one year after the dose of the calendar year reporting period because the proprietary data fumished by
filers is protected from immediate disclosure by the Trade Secrets Act. For example,calendar year 2009 data was due to ATF by April 1,
2010,but not published until January 2011.
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Exhibit 2. Firearms Manufacturers' Exports (1986 - 2010)
Calendar
Year Pistols Revolvers Rifles Shotguns Misc.Firearms' Total
Firearms
1986 16,511 104,571 37,224 58,943 199
217,448
1987 24,941 134,611 42,161 76,337 9,995
288,045
1988 32,570 99,289 53,896 68,699 2,728
257,182
1989 41,970 76,494 73,247 67,559 2,012
261,282
1990 73,398 106,820 71,834 104,250 5,323
361,625
1991 79,275 110,058 91,067 117,801 2,964
401,165
1992 76,824 113,178 90,015 119,127 4,647
403,791
1993 59,234 91,460 94,272 171,475 14,763
431,204
1994 93,959 78,935 81,835 146,524 3,220
404,473
1995 97,969 131,634 90,834 101,301 2,483
424,221
1996 64,126 90,068 74,557 97,191 6,055
331,997
1997 44,182 63,656 76,626 86,263 4,354
275,081
1998 29,537 15,788 65,807 89,699 2,513
203,344
1999 34,663 48,616 65,669 67,342 4,028
220,318
2000 28,636 48,130 49,642 35,087 11,132
172,627
2001 32,151 32,662 50,685 46,174 10,939
172,611
2002 22,555 34,187 60,644 31,897 1,473
150,756
2003 16,340 26,524 62,522 29,537 6,989
141,912
2004 14,959 24,122 62,403 31,025 7,411
139,920
2005 19,196 29,271 92,098 46,129 7,988
194,682
2006 144,779 28,120 102,829 57,771 34,022
367,521
2007 45,053 34,662 80,594 26,949 17,524
204,782
2008 54,030 28,205 104,544 41,186 523
228,488
2009 56,402 32,377 61,072 36,455 8,438
194,744
2010 80,041 25,286 76,518 43,361 16,771
241,977
Source: ATF's Annual Firearms Manufacturing and Exportation Report(AFMER).
Miscellaneous firearms are any firearms not specifically categorized in any of the firearms categories defined on the ATF
Form 5300.11 Annual Firearms Manufacturing and Exportation Report.(Examples of miscellaneous firearms would include
pistol grip firearms,starter guns,and firearm frames and receivers.)
The AFMER report excludes production for the U.S.military but includes firearms purchased by domestic law enforcement
agencies. The report also includes firearms manufactured for export.
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Exhibit 3. Firearms Imports (1986 - 2011)
Calendar
Year Shotguns Rifles Handguns Total
1986 201,000 269,000 231,000 701,000
1987 307,620 413,780 342,113 1,063,513
1988 372,008 282,640 621,620 1,276,268
1989 274,497 293,152 440,132 1,007,781
1990 191,787 203,505 448,517 843,809
1991 116,141 311,285 293,231 720,657
1992 441,933 1,423,189 981,588 2,846,710
1993 246,114 1,592,522 1,204,685 3,043,321
1994 117,866 847,868 915,168 1,880,902
1995 136,126 261,185 706,093 1,103,404
1996 128,456 262,568 490,554 881,578
1997 106,296 358,937 474,182 939,415
1998 219,387 248,742 531,681 999,810
1999 385,556 198,191 308,052 891,799
2000 331,985 298,894 465,903 1,096,782
2001 428,330 227,608 710,958 1,366,896
2002 379,755 507,637 741,845 1,629,237
2003 407,402 428,837 630,263 1,466,502
2004 507,050 564,953 838,856 1,910,859
2005 546,403 682,100 878,172 2,106,675
2006 606,820 659,393 1,166,309 2,432,522
2007 725,762 631,781 1,386,460 2,743,993
2008 535,960 602,364 1,468,062 2,606,386
2009 558,679 864,010 2,184,417 3,607,106
2010 509,913 547,449 1,782,585 2,839,947
2011 529,056 998,072 1,725,276 3,252,404
Source:ATF and United States International Trade Commission.
Statistics prior to 1992 are for fiscal years;1992 is a transition year with five quarters.
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Exhibit 4. Importation Applications (1986 -2011)
Fiscal
Year Licensed Im orter Military
Other Total
1986 7,728 9,434
2,631 19,793
1987 7,833 8,059
2,130 18,022
1988 7,711 7,680
2,122 17,513
1989 7,950
8,293 2,194 18,437
1990 8,292 8,696
2,260 19,248
1991 8,098 10,973
2,412 21,483
1992 7,960 9,222
2,623 19,805
1993 7,591 6,282
2,585 16,458
1994 6,704
4,570 3,024 14,298
1995 5,267
2,834 2,548 10,649
1996 6,340 2,792
2,395 11,527
1997 8,288 2,069
1,395 11,752
1998 8,767 2,715
1,536 13,019
1999 9,505 2,235
1,036 12,776
2000 7,834 2,885
1,416 12,135
2001 9,639 3,984
1,569 15,192
2002 9,646 6,321
3,199 19,166
2003 8,160 2,264
2,081 12,505
2004 7,539
1,392 1,819 10,750
2005 7,539 1,320
1,746 10,605
2006 8,537 1,180
1,505 11,222
2007 8,004 1,081
1,236 10,321
2008 7,610 718
980 9,308
2009 7,967 r1
970 9,441
2010 7,367 823
1,088 9,278
2011 7,647 641
959 9,247
Source:ATF's Firearms and Explosives Import System(FEIS)
Import data excludes temporary permits issued to nonimmigrant aliens.
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Exhibit 5. Firearms Imported into the United States
by Country 2011
Hand uns Rifles Shotguns Total Firearms
Brazil 359,846 381,097 105,676 846,619
Austria 515,396 7,191 51 522,638
Germany 265,092 46,288
2,148 313,528
Italy 104,911 12,222 137,768 254,901
Russia 16,900 148,556 50,837 216,293
Croatia 211,001 0 0 211,001
Canada 2 194,995 13 195,010
Turkey 22,899 1,153 122,682 146,734
China' 0 1,450 90,952 92,402
Argentina 71,838 0 0 71,838
Japan 0 59,471 1,834 61,305
Philippines 54,247
1,430 950 56,627
Romania 13,775 38,048 1 51,824
Czech Republic 20,003 20,236 6 40,245
Belgium 9,769 16,317 114 26,200
Finland 0 23,417 6 23,423
Poland 20,895 1,081 11 21,987
Ukraine 0 20,600 0 20,600
Costa Rica 19,500 0 0 19,500
United Kingdom 4,376 4,046 8,254 16,676
Spain 322 10,015 1,328 11,665
Israel 9,995 157 0 10,152
Serbia 720 7,562 0 8,282
Mexico 0 0 4,284 4,284
Otherz 1,348 2,246 16 3,610
Portugal 0 0 2,115 2,115
Switzerland 991 494 10 1,495
Bulgaria 1,450 0 0 1,450
Totals 1,725,276 998,072 529,056 3,252,404
Source: United States International Trade Commission
'On May 26,1994,the United States instituted a firearms imports embargo against China.Shotguns,however,are
exempt from the embargo.
2Imports of fewer than 1,000 per country.
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Exhibit 6. National Firearms Act Tax Revenues and Related Activities
(1979 - 2011)
Fiscal
Enforcement Su ort°
Year'
Occu ational Tax PaidZ Transfer and Makin Tax 1979 Paid'
Certifications Records Checks
1980 $500,000 3,559
1981 ... $716,000 4,377
$268,000 $611,000 1,482
1982 $391,000 3,627
1983 $723,000 1,306 2,841
$591,000 $594,000
1984 $596,000 4,335
1985 $666,000 1,196 2,771
$606,000 $594,000
1986 $667,000 921 3,682
1987 $1,372,000 690 3,376
1988 $869,000 $1,576,000 575 4,135
198 $2,095,000 $1,481,000 701 3,738
9 $1,560,000 $1,527,000
19 1,196 6,128
1991 $1,442,000 $1,308,000 6 7,981
$1,210,000
$1,556,000 764 64
7,857
1993 $1,499,000 $1,237,000 1,257 8,582
1
1994 ,024$1,493,000 $1,264,000 586 7,230
199 $1,444,000 $1,596,000 6,283
5 $1,007,000 $1,311,000 882 5,677
199
1996 $1,143,000 $1,402,000 529 5,215
1998 $1,284,000 $1,630,000 488 4,395 353
199 $1,299,000 $1,969,000 3,824
$1,330,000 $2,422,000
345
994
2000 $1,399,000 $2,301,000 1 3,159
$2,800,000 4
2001 $1,456,000 02 5, 6
441
2002 $1,492,000 $1,510,000 ,15
381
2003 $1,758,000 $2,699,000 401 6,597
435
2004 $1,640,000 $3,052,000 6, 1
447
2005 $1,659,000 $2,810,000 6,19
2006 $1,709,000 $3,951,000 327 ,6,238
530
2007 $1,815,000 $4,890,000 7468
375
2008 $1,950,000 $5,742,000 5,872
418
2009 $2,125,000 $7,971,000 ,736
2010 $2,530,000 $7 184 267
000 5,
36
2011 $2,952,000 $9,576,000 , 3
287 6,31
3
Source: ATF's National Firearms Registration and Transfer Record(NFRTR).
'Data from 1997-2000 were based on calendar year data.
ZOccupational tax revenues for FY 1990-1996 include collections made during the fiscal year for prior tax years.
31Mporters,manufacturers,or dealers in NFA firearms are subject to a yearly occupational tax.
°ATF searches the NFRTR in support of criminal investigations and regulatory inspections in order to determine whether persons are legally in
Possession of NFA weapons and whether transfers are made lawfully.
Data from 2000-2010 for Certifications and Records Checks was corrected in the 2012 update.
11
Exhibit 7. National Firearms Act Firearms Processed by Form Type (1990 - 2011)
Application to Application for Tax
Exempt Transfer
Make NFA Manufactured Application for
Calendar
Between Application for Tax-Exempt
Firearms and Imported Licensees Taxpaid Transfer
Year ATF Form 1 ATF Form 2 ATF Form 3 ATF Form 4 Year Exported Total Firearms
1990 ATF Form 5 ATF Form 9 Processed
399 66,084 23,149 7,024
54,959 21,725 173,340
1991 524 80,619 19,507
5,395 44,146 40,387 190,578
1992 351 107,313 26,352
6,541 45,390 22,120 208,067
1993 310 70,342
22,071 7,388 60,193
24,041 184,345
1994 1,076 97,665
27,950 7,600 67,580
34,242 236,113
1995 1,226 95,061
18,593 8,263 60,055
1996 1,174 103,511 31,258 214,456
16,931 6,418 72,395
1997 855 110,423 18,371 7,873 40,439 240,868
1998 70,690 36,284 244,496
1,093 141,101 27,921
10,181 93,135 40,221
1999 1,071 137,373 313,652
28,288 11,768 95,554
2000 1,334 28,128 302,182
2001 145,112 25,745 10,799 101
141,763 23,335 11,246
96,234 28,672 302,5845,759
2,522
2002 162,321 ,955 2
1,173 311,892
25,042 10,686 92,986
47,597 339,805
2003 1,003
156,620 21,936 13,501
108
2004 980 154,675 43,668 343,836
83,483 20,026 14,635 54,675
2005 19,425 193,224
1,902 65,865 26,603
14,606 26,210
2006 2,610 188,134 20,961 156,137
51,290 20,534 100,458
2007 3,553 42.175 405,201
296,267 51,217 22,260
2008 194,794 76,4fi7 644,558
4,583 424,743 71,404
26,917 183,271
2009 5,345 371,920 206,411 917,329
56,947 31,551 201,267
2010 5,169 163,951 830,981
296,375 58,875 33,059 189,449
2011 136,335 719,262
5,477 530,953 107,066 33,816
147,341 311,214 1,135,867
Source: ATF's National Firearms Registration and Transfer Record(NFRTR).
'Data from 1990-1996 represent fiscal year.
2Firearms manufactured by,or on behalf of,the U.S.Government or any department,independent establishment,or agency thereof are exempt from the
making tax.
3Firearms may be transferred to the U.S.Government or its possessions,to State governments,or to official police organizations with the payment of a
transfer tax. Further,transfers of NFA firearms between licensees registered as importers,manufacturers,or dealers who have paid the special
occupational tax are likewise exempt from transfer tax.
°Totals do not include ATF Form 5320.20 or ATF Form 10 because these do not relate to commercial transactions.
12
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Exhibit 8. National Firearms Act Registered Weapons by State (March 2012)
Any Other Destructive Sarree
State Wea n' Device' Machin un3 Silencer' d
Rifles
Barreled Short Barreled
Alabama 1 133 47 421 Rifle Shotgun' Total
15,653 8,550
Alaska 311 3,317 1,617 2,085 1,508 2,101 78,959
Arkansas 591 41,962 4,827 7,218 091 1, 1 6,706
Arizona 1,080 67,185 1,091 1,017 56,706
347
California 1,080 16,879 15,860 5,492 1,851
Colorado 212,800 28,774 7,303 3,738 168,479
910 37,444 6,040 11,166 254,475
Connecticut 643 9,886 6,475 2,217 1,389 54,475
District of 22,023 5,170 1,068 960
Columbia 39,750
69 34,841 4,278
183 160 440 1,048 40,836
Delaware 32 2
569
Florida 3,113 101,418 29,128 28,312 125 3,528
Georgia 1,759 48,026 22,081 3,563 9,122 114,110
Hawaii � 29,259 3,563 9,422
5,503 429 116,1 5
Iowa 876 11,737 3,262 105 55 59 7,185
Idaho 588 14,049 301 343 936 17,455
319
Illinois 4,342 9,839 1,103
958 83,363 24,651 1,071 674 12,931
Indiana 1,430 34,628 1,214 1,674 112,931
17,019 16,735
Kansas 674 19,379 3,289 2,266 2'093 8,581 27,553
Kentucky 1,019 22,239 1,379 638 27,024
Louisiana 10,703 12,046 1,379
517 44,821 1,508 58,964
Massachusetts 6,182 4,359 1,577 1,508 837 12,878 6,555 3,679 26,151
Maryland 933 45,037 1,315 771 82,157
Maine 23,709 7,024 1,713
570 2,517 4,664 1,290 3,771 10,187
871
Michigan 1,420
1,061 21,221 9,090 2,887 121 10,080
Minnesota 700
2,633 36,066 6828 1,121 48,340
Missouri 1,330 24,986 619 1,183 1,011 48,340
589
Mississippi 8,230 4,913 1,864
410 6,776 3,886 3,368 2'212 15,724
Montana 404 2,852 497 345 18,293
North Carolina 1,892 2,303 497 345 820 69,005 11,234 8,060
North Dakota 8,609 2,850 2,542 95,060
199 1,605 1,480 1,826
Nebraska 717 260 211 5,581
5,068 2,049 2,273 895
New Hampshire 430 3,459 788 11,37
9 6
New Jerse25 ,863 965 2,782 1,457
y 425 37,700 6,895 316 18,989
New Mexico 277 688 2,3 48, 89 60,764 3,709 2,920 1,094 Nevada 679 30,778 6,843 6,671 ,621 767 69,359
New York 2,012 35,707 2,370 342 55,105
7,521 1,153 Ohio 1,776 71,814 18,013 10,407 2,842 3,822 08,105
Oklahoma 1,110 13,004 2,842 3,822 108,574
7,972 11,964
1,787
1,4 3 , 7Ore9on 1,487 17,492 6,442 9,841 2,346 1,309 38,917Pennsylvania 2,043
148,700 17,384 12,914
Rhode Island 42 3,106 12,112 197592 2,710 595 27 106
South Carolina 670 26,358 112 3,530
South Dakota 6,010 7,457 1,380 3,655 344 3,352 1,495 45,652
Tennessee 2,022 264 175 7,652
1,502 32,848 13,442 9,571
Texas 6,169 159,805 2,623 5,538 65,524
28,690 9,271
Utah 403 13,960 47,712 6,557 258,204
Virginia 6,076 5,857 1,927
2,514 161,841 30,220 15,736 1,160 23,303
Vermont 221 2,216 6,134 6,294 223,803
Washington 1,726 34,693 1070 68 134 94 3,803
550
Wisconsin 3,805 8,400 1,174
747 25,316 106 39,389
West Virginia 431 6,385 4,416 1,419
8,318 2,438 1,148 14,742
Wyoming 1,103 369 373 14,742
Other US 286 102,723 1,659 1,103
369 373 106,513
Territories 6 320
575
Total 175 16 11 47
54,649 2,064,091 488,065 360,534 93,486 124,079 3,184,804804
14
Source: ATF's National Firearms Registration and Transfer Record(NFRTR).
The term"any other weapon"means any weapon or device capable of being concealed on the person from which a shot can be
discharged through the energy of an explosive,a pistol or revolver having a barrel with a smooth bore designed or redesigned to
fire a fixed shotgun shell,weapons with combination shotgun and rifle barrels 12 inches or more,less than 18 inches in length,
from which only a single discharge can be made from either barrel
without manual reloading,and shall include any such weapon which may be readily restored to fire.Such term shall not include a
pistol or a revolver having a rifled bore,or rifled bores,or weapons designed,made,or intended to be fired from the shoulder and
not capable of firing fixed ammunition.
2 Destructive device generally is defined as(a)Any explosive,incendiary,or poison gas(1)bomb,(2)grenade,(3)rocket having a
propellant charge of more than 4 ounces,(4)missile having an explosive or incendiary charge of more than one-quarter ounce,(5)
mine,or(6)device similar to any of the devices described in the preceding paragraphs of this definition;(b)any type of weapon
(other than a shotgun or a shotgun shell which the Director finds is generally recognized as particularly suitable for sporting
purposes)by whatever name known which will,or which may be readily converted to,expel a projectile by the action of an
explosive or other propellant,and which has any barrel with a bore of more than one-half inch in diameter,and(c)any combination
of parts either designed or intended for use in converting any device into any destructive device described in paragraph(a)or(b)
of this section and from which a destructive device may be readily assembled.The term shall not include any device which is
neither designed nor redesigned for use as a weapon;any device,although originally designed for use as a weapon,which is
redesigned for use as a signaling,pyrotechnic,line throwing,safety,or similar device;surplus ordnance sold,loaned,or given by
the Secretary of the Army pursuant to the provisions of section 4684(2),4685,or 4686 of title 10,United States Code;or any other
device which the Director finds is not likely to be used as a weapon,is an antique,or is a rifle which the owner intends to use solely
for sporting,recreational,or cultural purposes.
3 Machinegun is defined as any weapon which shoots,is designed to shoot,or can be readily restored to shoot,automatically more
than one shot,without manual reloading,by a single function of the trigger.The term shall also include the frame or receiver of any
such weapon,any part designed and intended solely and exclusively,or combination of parts designed and intended,for use in
converting a weapon into a machine gun,and any combination of parts from which a machine gun can be assembled if such parts
are in the possession or under the control of a person.
°Silencer is defined as any device for silencing,muffling,or diminishing the report of a portable firearm,including any combination
of parts,designed or redesigned,and intended for the use in assembling or fabricating a firearm silencer or firearm muffler,and
any part intended only for use in such assembly or fabrication.
5 Short-barreled rifle is defined as a rifle having one or more barrels less than 16 inches in length,and any weapon made from a
rifle,whether by alteration,modification,or otherwise,if such weapon,as modified,has an overall length of less than 26 inches.
'Short-barreled shotgun Is defined as a shotgun having one or more barrels less than 18 inches in length,and any weapon made
from a shotgun,whether by alteration,modification,or otherwise,if such weapon as modified has an overall length of less than 26
inches.
15
Exhibit 9. National Firearms Act Special Occupational
Taxpayers by State-Tax Year 2011
State Importers Manufacturers
Alabama 12 Dealers Total
Alaska 0 28 43 83
Arizona 14 10 25 35
Arkansas 8 140 121 275
California 9 35 38 81
Colorado 45 68 122
1
Connecticut 1 33 52 86
Delaware 0 43 33 83
District of Columbia 1 2 3
Florida 0 0 1 1
Georgia 28 11 136 215 379
Hawaii 0 65 99 175
Idaho 0 0 2 2
Illinois 8 57 30 87
Indiana 2 36 41 85
Iowa 37 69 108
1
Kansas 3 13 11 25
Kentucky 16 47 66
Louisiana 2 30 54 92
Maine 1 22 65 89
Maryland 6 17 18 36
Massachusetts 33 41 80
Michigan 3 44 23 70
Minnesota 32 64 103
Mississippi 4 48 15 66
Missouri 4 19 31 54
Montana 1 58 67 129
Nebraska 0 16 28 45
Nevada 2 9 14 28
New Hampshire 39 43 84
New Jersey 6 29 31 66
New Mexico 4 4 17 22
New York 1 17 30 51
North Carolina 28 12 41
6 North Dakota 0 70 85 161
Ohio 2 3 6 9
Oklahoma 2 80 104 186
Oregon 37 61 100
2
Pennsylvania 71 65 138
Rhode Island 1 7 79 112 198
South Carolina 1 2 4
South Dakota 4 30 270 61
Tennessee 10 20 30
Texas 14 52 65 122
Utah 167 296 477
3
Vermont 4 35 20 58
Virginia 19 13 7 24
Washington 6 61 97 177
West Virginia 44 28 78
Wisconsin 2 18 26 47
W omin 1 45 40 87
Total 238 7 17 25
1,963 2,528 4,729
Source:ATF's National Firearms Act Special Occupational Tax Database(NSOT)
16
Exhibit 10. Federal Firearms Licensees Total (1975-2011)
Fiscal '
Pawn- u
Year Dealer broker Collector
Importer
1975 146,429 2,813 5,211 Total
403 `
1976 150,767 2,882 4,036
' 161,927
r 1
1977 157,463 403 � ; 185,697
2,943 4,446 776I " 4418. ;' 419
1978 152,681 3,113 4,629 7 1k` 173,484
,r ." . 417 �` `rx.., 169,052
1979 153,861 3,388 4,975 e 06 �r
' 426 a 1980 155,690 3,608 5,481 171,216� a
430ai! 174,619
1981 168,301 4,308 6,490 519
1982 184,840 5,002 8,602 190,296
* 676 40,
1983 200,342 5,388 9,859 211,918
j 795
1984 195,847 5,140
230,613
8,643 �� ? ���' 704
1985 219,366 6,207 9,599 " 222,443
1 "' ','. 881a
1986 235,393 6,998 10,639
248,794
1987R $+" 1,035
230,888 7,316 11,094 267,166
1,084 262,022
1988 239,637 8,261 12,638 r
1,123 # 4 E 272,953
1989 231,442 8,626 13,536 $� '. 989
1990 235,684 9,029 14,287 � = 264,063
946
1991 241,706 9,625 15,143 741 , 901269,079
1992 248,155 10,452 15,820 ' 276,116
��# i; ', 894 z s 284,117
1993 246,984 10,958 16,635
l, 5$:1994 213,734 924
283,925
10,872 17,690 x� -
' 1' :,' 963
1995 158,240 10,155 16,354 250,833
i z
�1ai 2 842 r � 191,495
1996 105,398 9,974 14,966 786 � a -• 135,794
1997 79,285 9,956 13,512 733
1998 75,619 10,176 14,875 107,554
I,t> r: 741 r.
1999 71,290 10,035 17,763 T g;` 755 105,536
2000 67,479 9,737 21,100 �' } � 103,942
2�$12 is 748
2001 63,845 9,199 25,145 103,157
1�849; 730 „ 102,913
2002 59,829 8,770 30,157 1.0f 735
2003 57,492 8,521 33,406 ' i >+ a 103,411
. r 7f#?#6.,; 719 f 2004 56,103 8,180 104,105
37,206 a 144
720
2005 53,833 7,809 40,073 696 h^ 106,214
t
2006 51,462 7,386 43,650 106,432
690 1 ' 107,316
2007 49,221 6,966 47,690 686 '
2008 48,261 6,687 52,597 ;420 108,933
2009 47,509 6,675 55,046 688 �`$$ 112,943
735 115,395
2010 47,664 6,895 56,680 768
2011 48,676 7,075 59,227 118,487
811 123,587
Source: ATF Federal Firearms Licensing Center,Federal Licensing System(FLS). Data is based on active firearms licenses and related
statistics as of the end of each fiscal year.
17