Final Rule - 2021R-05F
Licensees may mark PMFs themselves or they can take a PMF to any person, licensee or non-licensee, who has the ability to mark the PMF. However, such other person may only mark the PMF on-the-spot under the direct supervision of the original federal firearms licensee (FFL). This person shall mark the PMF with the original licensee’s abbreviated FFL number in accordance with 478.92(a)(2).
PMFs are marked “under the direct supervision” of the FFL who received or acquired the PMF when the FFL required to mark the PMF has not disposed of the PMF to the person doing the marking. In no case may the licensee who receives or acquires a PMF dispose of an unmarked PMF, whether to a licensee or non-licensee, until the firearm is properly marked, and the serial number is recorded in the record of the licensee who received or acquired the PMF.
All licensees are required to mark all PMFs they acquire. Licensees may mark PMFs themselves or they may have any person, licensee or non-licensee, mark PMFs on their behalf. However, such other person may only mark a PMF on-the-spot under the direct supervision of the original federal firearms licensee (FFL). In this scenario, the person physically marking the PMF for the FFL will mark the PMF with the acquiring licensee’s abbreviated FFL number in accordance with 478.92(a)(2). In addition, a licensee who marks a PMF for the FFL who acquires the PMF need not log the PMF into its records.
Licensees have seven days to properly mark a PMF it acquires into inventory.
ATF has long held that placing a serial number directly into polymer does not meet marking requirements since such serial number would be susceptible to being readily obliterated, altered or removed.
The final rule amends 27 CFR 478.92(a)(2) and explains that an acceptable method of identifying a polymer frame PMF is by placing a serial number on a metal plate that is permanently embedded into a polymer frame or receiver, or other method approved by the Director.
Licensees may not take into inventory PMFs they cannot mark pursuant to the requirements of 478.92(a)(2).
Final rule 2021R-05F amends the definition of the term “gunsmith” in 27 CFR 478.11 to include a person who places marks of identification on privately made firearms, as a regular course of trade or business with the principal objective of livelihood and profit.
The GCA provides no allowance for a mobile FFL business, and each location set forth on the issued ATF license must be where the intended activity will take place (with limited exceptions, such as conducting business at a qualifying gun show or event). A licensed gunsmith may not, therefore, travel to an individual customer’s location, even if that customer is another FFL, for the purpose of placing marks of identification on privately made firearms without violating the GCA and its implementing regulations.
If the PMF is already marked by a non-licensee with a unique identification number that otherwise meets the marking standards in 478.92 (e.g., depth and size requirements), FFLs may adopt the unique PMF serial number by marking their abbreviated license number (first three and last five digits of their FFL number) as a prefix to the number, immediately followed by a hyphen (i.e., “12345678-[unique identification number]”), provided the unique identification number is not duplicated on any other firearm of the licensee.
If the unique identification number marked on the PMF does not comply with 478.92, the licensee may not adopt the unique identification numbers and must mark the firearm as required by 478.92(a)(2).
Licensees must legibly and conspicuously identify each PMF received or otherwise acquired (including from a personal collection) not later than the seventh day following the date of receipt or other acquisition, or before the date of disposition (including to a personal collection), whichever is sooner. PMFs must be identified by placing or causing to be placed under the licensee’s direct supervision, an individual serial number on the frame or receiver, which must not duplicate any serial number placed by the licensee on any other firearm. The serial number must begin with the licensee’s abbreviated FFL number, which is the first three and last five digits, as a prefix to a unique identification number, followed by a hyphen, e.g., ‘‘12345678-[unique identification number]’’. The serial number must be placed in a manner otherwise in accordance with 478.92, including the requirements that the serial number be at the minimum size and depth, and not susceptible of being readily obliterated, altered, or removed.
Yes. A PMF acquired by a licensee, for any purpose, that is returned to a person other than the person from whom it was received requires the licensee to mark the PMF appropriately (if not already marked pursuant to 478.92(a)(2)), record the PMF as an acquisition and disposition in their A&D record, record the transaction on an ATF Form 4473, and conduct a NICS background check before transferring the firearm.
A licensee is not required to mark a PMF received for same day adjustment or repair that the licensee returns – on the same day as it was received – to the person from whom it was received. Furthermore, a licensee is not required to record an A&D entry, nor execute an ATF Form 4473, nor run a NICS background check when such firearm received under these conditions is returned to the customer from who received.
No. Marking serial numbers on PMFs is a “customization” and a licensee’s return of a firearm, received solely for repair or customization, to the person from whom it was received does not require an ATF Form 4473 pursuant to 478.124(a) nor a NICS background check. However, licensees must record the acquisition and disposition of the PMF in the licensee’s A&D record.
Federal Firearms Licensees (FFLs) must record “Privately Made Firearm” or “PMF” as the manufacturer in the A&D record and ATF Form 4473. If an FFL is remanufacturing a PMF, see question 33 for marking requirements.
A PMF is a firearm, including a frame or receiver, completed, assembled, or otherwise produced by a person other than a licensed manufacturer, and without a serial number placed by a licensed manufacturer at the time the firearm was produced. The term shall not include a firearm identified and registered in the National Firearms Registration and Transfer Record pursuant to chapter 53, title 26, United States Code, or any firearm manufactured or made before October 22, 1968 (unless remanufactured after that date).
The timeframe is dependent on the activity conducted:
Licensed manufacturers must mark non-NFA firearms it manufactures not later than the seventh day following the date the entire manufacturing process has ended for the weapon, or prior to disposition, whichever is sooner. See 478.92(a)(1)(vi)(A).
Licensed importers must mark imported firearms within 15 days of the date of release from Customs custody. Pursuant to §478.92, licensed importers must place all required identification data on each imported firearm if same did not bear such identification data at the time of its release from Customs custody. See 478.112(d)(2).
Licensees must mark privately made firearms (PMFs) acquired into inventory not later than seven (7) days of receipt or acquisition, or before date of disposition, whichever is sooner. 27 CFR 478.92(a)(2).
Licensed manufacturers must mark NFA firearms not later than close of the next business day following the date the entire manufacturing process has ended for the weapon or device, or prior to disposition, whichever is sooner. See 478.92(a)(1)(vi)(B).
No. Firearm muffler or silencer parts transferred between qualified manufacturers for further manufacture or to complete new devices, and firearm muffler or silencer replacement parts transferred to qualified manufacturers or dealers to repair existing devices, need not be marked at the time of transfer. Any new device completed with such a part must be registered by the manufacturer. See 478.12(b). A subpart of a firearm muffler or silencer that is not a component part of a complete weapon at the time sold must be identified by an individual serial number. See 478.92(a)(1)(iv).
Yes. Amended regulations 478.129(b), (d) and (e) require ALL licensees to retain ALL required records until the license is discontinued. Forms 4473 must be kept on paper or in an approved electronic format at the licensed business premises and accessible for inspection. A warehouse may be used to store paper records older than 20 years of age. That warehouse would be subject to inspection and cannot be used to conduct other firearms business activities without obtaining a separate license.
Licensees can no longer send their records older than 20 years to the Out of Business Records Center, National Tracing Center. They can only submit their records upon discontinuance of business under the license.
Yes, the final rule states:
“Frames or receivers designed before August 24, 2022. Licensed manufacturers and licensed importers may continue to identify the same component of a firearm (other than a PMF) defined as a frame or receiver as it existed before August 24, 2022 with the same information required to be marked by paragraphs (a)(1)(i) and (a)(1)(ii) of this section that were in effect prior to that date, and any rules necessary to ensure such identification shall remain effective for that purpose. Any frame or receiver with a new design manufactured after August 24, 2022 must be marked with the identifying information and within the period prescribed by this section. For purposes of this paragraph, the term “new design” means that the design of the existing frame or receiver has been functionally modified or altered, as distinguished from performing a cosmetic process that adds to or changes the decoration of the frame or receiver ( e.g., painting or engraving), or by adding or replacing stocks, barrels, or accessories to the frame or receiver.”
If a licensed manufacturer or importer is unsure if a new firearm design is considered “the same component of a firearm” as existed before August 24, 2022, then the licensee should request a determination by ATF’s Firearms Ammunition Technology Division (FATD).
27 CFR 478.92(a)(1)(i), as amended, states that manufacturers and importers must legibly identify each firearm they manufacture or import by placing on the frame or receiver the serial number and either name, city and State or name and abbreviated federal firearms licensee (FFL) number (i.e. first three and last five digits) as a prefix, followed by a hyphen and the unique identification number assigned to the firearm.
478.92(a)(2), as amended, states that privately made firearms (PMFs) not previously identified by another licensee must be identified by the licensee receiving or acquiring the PMF by placing, or causing to be placed under the licensee’s direct supervision, an individual serial number on the frame or receiver that must begin with the licensee’s abbreviated Federal firearms license number, which is the first three and last five digits, as a prefix to a unique identification number, followed by a hyphen, and the unique identification number.
478.92(a)(4)(iii)(B), as amended, allows licensed manufacturers and importers to adopt the serial number or other identifying markings previously placed on an imported or remanufactured firearm sold, shipped, or otherwise disposed of to a non-licensee that otherwise meets the requirements of 478.92; however, the licensee must place, or cause to be placed, on the frame or receiver either their name (or recognized abbreviation), and city and State (or recognized abbreviation) where they maintain their place of business; or their name (or recognized abbreviation) and abbreviated Federal firearms license number, which is the first three and last five digits, individually (i.e., not as a prefix to the serial number adopted) after the letters ‘‘FFL’’, in the following format: ‘‘FFL12345678’’.
478.92(a)(4)(i), as amended, provides an exception for the above marking requirements described as “Alternate means of identification” and states:
“The Director may authorize other means of identification to identify firearms upon receipt of a letter application or prescribed form from the licensee showing that such other identification is reasonable and will not hinder the effective administration of this part.”
No. The AR-15 platform has been specifically addressed in the final rule and the lower receiver will remain the regulated receiver requiring the appropriate markings. Pursuant to the final rule, 27 CFR 478.12(f)(1)(i) “[t]he receiver is the lower part of the weapon that provides housing for the trigger mechanism and hammer (i.e., lower receiver).” for the AR–15/M–16 variant firearms.
“Remanufacturing” occurs when a new and different firearm is produced from an existing firearm (i.e., frames or receivers or complete weapons) by completing, assembling, applying coatings, or otherwise making them suitable for use. Remanufacturing cannot occur if a firearm has never entered into commerce. An example is when a licensee purchases a used firearm from another licensee or a non-licensee, then performs a manufacturing process, such as cerakoting for the purposes of sales and distribution.
No. Records are never to be consolidated between distinct FFLs. Prior to the final rule’s effective date of August 24, 2022, licensed importers were required to maintain separate records of sale or other dispositions made of firearms to non-licensees pursuant to 478.122, and licensed manufacturers were required to maintain separate records of sales or other dispositions made of firearms to non-licensees pursuant to 478.123. Also prior to the final rule, licensed importers were permitted to consolidate their records pursuant to Ruling 2011-1, and licensed manufacturers were permitted to consolidate their records pursuant to Ruling 2016-3.
The final rule codified Ruling 2011-1 and Ruling 2016-3. However, unlike the optional rulings, the final rule amended the regulations requiring licensed importers to consolidate their records of acquisition and disposition into a single record, and licensed manufacturers to consolidate their records of acquisition and disposition into a single record.
Yes. Pursuant to 27 CFR 478.129(b), as amended, all ATF Forms 4473, to include those where a sale, delivery, or transfer did not take place, must be retained until business or licensed activity is discontinued.
Licenses are not transferrable. A new ATF Form 7 must be submitted to obtain a different license type or a new license. However, fingerprint cards and photographs are not required for any Responsible Person (RP) listed on the previous license.
Please contact ATF’s Federal Firearms Licensing Center (FFLC) if you have questions about this matter at (866) 662-2750 or FFLC@atf.gov.
Yes. Nothing in Final Rule 2021R-05F, requires licensees to use only one acquisition and disposition (A&D) record. If a licensee wishes to use more than one A&D record (e.g. manufacturing A&D record, NFA A&D record, sales A&D record, gunsmithing A&D record, etc.) they may do so, provided such information shall be recorded in formats provided in the final rule.
Fireworks
The transfer of display fireworks generally constitutes a distribution as defined in 27 CFR § 555.11. Therefore, you are permitted to receive display fireworks from the municipality but must maintain a record of the acquisition pursuant to 27 CFR, Part 555, Subpart G – Records and Reports. Additionally, you must maintain a daily summary of magazine transactions pursuant to 27 CFR § 555.127 for all explosives stored in your magazines.
Pursuant to 27 CFR § 555.141(a)(3), Federal explosives regulations generally do not apply to the “transportation, shipment, receipt, or importation of explosive materials for delivery to any agency of the United States or to any State or its political subdivision.” Although the city is required to properly store explosives, it is exempt from the Federal licensing requirements at 27 CFR, Part 555, and can receive display fireworks without possessing a Federal explosives license or permit. Therefore, you can return the display fireworks to the city prior to the show so long as you enter this disposition in your permanent records as required under 27 CFR, Part 555, Subpart G.
Display fireworks may be temporarily stored on trucks in type 3 magazines provided the magazine is attended at all times. Also, see ATF Ruling 2007–2.
Although you may lawfully receive and store the display fireworks, your return or distribution of explosive materials to a person who does not hold a federal license or permit would violate Federal law, 18 U.S.C. § 842(b).
