Pawnbrokers
Yes. Licensed pawnbrokers are required to comply with written notification to unlicensed individuals upon delivery of a handgun.
A pawnbroker who transfers handguns to nonlicensees must also comply with the sign posting requirement.
[27 CFR 478.103]
Yes. Like other licensees, a pawnbroker cannot lawfully return a firearm to a person who is, due to age or other disability, ineligible to receive or possess firearms.
[18 U.S.C. 922(d) and 922(b)(1); 27 CFR 478.99]
If the pawnbroker and nonlicensee are residents of the same state, the pawnbroker may return a handgun, long gun, or other firearm to either the person who pawned it or, where state and/or local law allows, a holder of the pawn ticket* who resides in the pawnbroker’s state.
If the pawnbroker and nonlicensee are not residents of the same state:
- The pawnbroker may return a firearm to the person who pawned it.
- The pawnbroker may transfer a rifle or shotgun to the holder of a pawn ticket* who did not pawn it, provided the transaction complies with the conditions of sale in both the state where the pawnbroker is licensed and the state where the pawn ticket holder resides.
* NOTE: The holder of the pawn ticket may acquire a firearm only if they are the actual “transferee/buyer” of the firearm. The holder of a pawn ticket may not acquire a firearm on behalf of another person.
[18 U.S.C. 922(a)(2), 922(a)(3) and 922(b)(3)]
Personal Collections-Licensees
Yes. A licensee may log business firearms out of the acquisition and disposition (A&D) record as a personal firearm.
If that firearm is sold within a year of having been transferred to the licensee’s personal collection, the licensee must re–enter the firearm in the business A&D record, and sell or transfer the firearm as business inventory, including completing an ATF Form 4473 and a NICS background check if required.
If, however, the firearm is held in the personal collection of the licensee for more than one year, the firearm may be sold as the licensee’s personal firearm. Although no ATF Form 4473 or NICS background check is required, the licensee must record the disposition of the personal firearm in a personal disposition record.
[18 U.S.C. 923(c); 27 CFR 478.125a]
Firearms acquired by a licensee prior to obtaining a license must be recorded as business inventory in the acquisition and disposition (A&D) record if the licensee intends to sell the firearm.
All firearms acquired after obtaining a firearms license must be recorded as an acquisition in the A&D record as business inventory.
[18 U.S.C. 923(c); 27 CFR 478.125a]
No. The law presumes that any firearm transferred to a personal collection for the purpose of willfully evading the restrictions placed upon licensees remains business inventory.
[18 U.S.C. 923(c)]
Yes; however, such firearms must be kept segregated from the licensee’s business inventory. A presumption exists that all firearms on a licensee’s business premises are for sale and must be entered in the licensee’s bound book. Licensees should appropriately identify or tag personal firearms as “not for sale.”
Record Required - Licensees
No. However, some private vendors may have them available for purchase.
A licensee must record the type of firearm as a “frame” or “receiver” (as applicable) in the acquisition and disposition (A&D) record and on the ATF Form 4473. The licensee must also include in any record the make, model, and serial number of the frame or receiver.
As a frame or receiver is neither a shotgun nor a rifle, a licensee is prohibited from selling or delivering a frame or receiver to any individual the licensee knows or has reasonable cause to believe is less than 21 years of age.
[18 U.S.C. 922(b)(5), 27 CFR 478.11]
Yes, if the firearm is taken off the premises of the licensee. However, no disposition entry is required for the loan or rental of a firearm for use only on the premises of the licensee.
Licensees are required to keep records for armor piercing ammunition.
[18 U.S.C. 922(b)(5); 27 CFR 478.122, 478.123, and 478.125]
Dealer Acquisitions
Generally, for licensed dealers the purchase or other acquisition of a firearm shall be recorded not later than the close of the next business day after the date of the acquisition or purchase.
However, if commercial records containing the required information are available for inspection and are separate from other commercial documents, dealers have 7 days from the time of receipt to record the receipt in the acquisition and disposition (A&D) record.
Manufacturer Acquisitions
Each licensed manufacturer shall record each firearm manufactured or otherwise acquired not later than the 7th day following the date of such manufacture or other acquisition.
Importer Acquisitions
Each licensed importer shall within 15 days of the date of importation or other acquisition record the required information of each firearm imported or otherwise acquired.
Dispositions
All licensees shall record sales or other dispositions not later than 7 days following date of the transaction. If a disposition is made before the acquisition has been entered in the A&D record, the acquisition entry must be made at the same time as the disposition entry.
[18 U.S.C. 923(g)(1)(A); 27 CFR 478.122, 123, and 125]
Yes. A licensee is not limited to using only one “bound book.” It may be convenient for a licensee to account for different brands or types of firearms, or business activities (e.g., retail, pawn, or gunsmith inventories), in separate “bound books.”
Yes. The licensee may request an alternate method to maintain records.
[27 CFR 478.22, 478.122(c), 478.123(c), and 478.125(h)]
The ATF letter authorizing the alternate method must be kept at the licensed premises and available for inspection. For businesses with more than a single licensed outlet, each outlet covered by the alternate method must have a copy of the letter authorizing the change.
[27 CFR 478.22, 478.122(c), 478.123(c), and 478.125(h)]
Theft/Loss in Transit
Yes. The report must be filed by the transferor/sender federal firearms licensee (FFL) regardless of whether a transferee/receiver FFL and/or the carrier indicate that they have filed a theft/loss report with ATF.
This requirement applies because only the transferor/sender specifically knows how and when the particular firearms were shipped. The transferee/receiver or the carrier most often does not have all of the information necessary to file a complete theft/loss report. The reporting requirement also applies because the disposition records of the transferor/sender FFL must be corrected to reflect the theft or loss.
This rule applies to all firearms shipments from federal firearms licensees (FFLs), including shipments through the USPS.
Licensees who report the theft or loss of a firearm and later discover its whereabouts shall advise ATF at 1-888-930-9275 (nationwide toll-free number) that the firearm has been located, and shall re-enter the firearm in the Record of Acquisition and Disposition as an acquisition or disposition entry as appropriate.
The transferor/sender federal firearms licensee (FFL) should draw a single line through the incorrect disposition information in their acquisition and disposition (A&D) record. If there is room in the disposition block, the FFL should record the date of the theft or loss, the ATF incident number, and the local authority incident number. The licensee should then initial and date the changes.
Alternatively, if there is no room in the disposition block to legibly record the required information, the FFL should line-out the disposition information and initial and date the change. The FFL should then make a new entry in the next available line in the current A&D record. In that case, the FFL must enter a reference to the new book, page, and line number in the disposition side of the updated record, and use the new entry to record the date of the theft or loss, the ATF incident number, and the local authority incident number. This entry must be recorded not later than 7 days following discovery of the theft or loss.
A licensee must complete and submit Form 3310.11 to the National Tracing Center (NTC) and the NTC will notify the NFA Branch. This will satisfy the licensee’s reporting requirements under 27 CFR 478.39a and 27 CFR 479.141; licensees will no longer have to submit additional notification to ATF.
The transferor/sender federal firearms licensee (FFL) will use the current ATF Form 3310.11 Firearms Inventory Theft/Loss Report.
The new rule does not require federal firearms licensees (FFLs) to implement any new business policies or take any additional actions related to tracking shipments or obtaining confirmation of receipt. The transferor/sender is only required to report a theft or loss upon receiving notification from either the transferee/receiver or another source, such as a shipper, that the shipment did not arrive.
The new rule does not place any additional recordkeeping requirements upon federal firearms licensees (FFLs). Shipping/sending FFLs need only update their existing records with firearm theft, loss, or recovery information.
The reporting requirement is not triggered until the transferor/sender federal firearms licensee (FFL) is aware that a firearm has been lost or stolen. The transferor/sender FFL may be placed on notice of a theft or loss by a communication from the transferee/receiver FFL that the firearm was not delivered, or through communication from other sources such as the common carrier that the firearm was not delivered due to theft or loss in transit.
If the location of the theft or loss is known, the local law enforcement agency at that location would be the appropriate local authority. Otherwise, the report would be made to the local law enforcement authorities at the licensee’s location or business premises.
