Questions and Answers

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.

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.

No.

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.

No. The effective date of the final rule is August 24, 2022. No grace period will be given, thus affected licensees requiring a new license type should act as soon as possible to ensure their business activities may continue uninterrupted.

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.
 

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).

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.

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.

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.

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.

No. In cases where the acquiring FFL is contracting out marking services of PMFs to a licensed gunsmith (or unlicensed engraver), the gunsmith or engraver may only perform such engraving services on the spot under the direct supervision of the requesting FFL. The marking FFL need not record the PMF in his/her A&D records.

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).

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.
 

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.

Yes. Licensees who acquire PMFs into inventory for any reason, including private party transfers, are required to mark those PMFs, unless already marked by another licensee pursuant to 478.92(a)(2).

The final rule does not require licensees to notify ATF when a PMF has been marked. PMF marking and corresponding recordkeeping requirements ensure traceability of those PMFs should they be recovered.

Any cost associated with marking PMFs is to be determined by the licensee and the customer.

The final rule amends 27 CFR 478.92(a)(2) and explains that an acceptable method of identifying a polymer frame privately made firearm (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.

A marking variance can be applied for under 478.92(a)(4), as amended, which states:
Exceptions—(i) Alternate means of identification. 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.

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).

Yes. Except for a firearm received for adjustment or repair that is returned to the person from whom it was received on the same day, any federal firearms licensee (FFL) who takes an unmarked PMF into inventory must mark the PMF in accordance with 27 CFR 478.92(a)(2).

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.

Yes. Display fireworks include, but are not limited to, salutes containing more than 2 grains (130 mg) of flash powder, aerial shells containing more than 40 grams of pyrotechnic compositions (excluding the lift charge), and other display pieces which exceed the limits of explosive materials for classification as "consumer fireworks". These fireworks are classified as fireworks UN0333, UN0334, or UN0335 by regulations of the U.S. Department of Transportation at 49 CFR 172.101. Display fireworks also include fused set pieces containing components which together exceed 50 mg of salute powder. Any fireworks defined as “display fireworks” in 27 CFR 555.11 may be lawfully received or transported only by persons who hold a valid license or permit. No ATF license or permit is required to receive or transport “consumer fireworks” or “articles pyrotechnic”.

[18 U.S.C. 842(a)(3); 27 CFR 555.26, 555.141(a)(7); 27 CFR 555.11: definition of "display fireworks"]

Federal explosives regulations generally exempt the importation, distribution, and storage of items classified as UN0431 or UN0432 explosives―by the U.S. Department of Transportation (DOT) at 49 CFR 172.101―and generally known as “articles pyrotechnic.” However, not all items classified by DOT as articles pyrotechnic are exempt from ATF regulations. To be exempt, the items must meet all criteria found in the definition for “articles pyrotechnic” at 27 CFR 555.11, “Pyrotechnic devices for professional use similar to consumer fireworks in chemical composition and construction but not intended for consumer use. Such articles meeting the weight limits for consumer fireworks but not labeled as such and classified by U.S. Department of Transportation regulations in 49 CFR 172.101 as UN0431 or UN0432.” In evaluating whether a particular device is exempt under 27 CFR 555.141(a)(7), ATF considers, in part, the intended use and function of the device, net explosive weight, chemical composition, and construction.

Because they contain pyrotechnic compositions classed by ATF as explosive materials, the manufacture of items defined as “articles pyrotechnic” requires an ATF manufacturer’s license. In addition, pyrotechnic compositions used in the manufacture of articles pyrotechnic must be stored in accordance with regulations in 27 CFR Subpart K. The [27 CFR 555.11: definitions of “articles pyrotechnic” and “consumer fireworks”, 555.141(a)(7)]

Fireworks process buildings include any buildings in which pyrotechnic compositions or explosives materials are mixed, pressed, finished, or assembled. Outdoor pyrotechnic mixing areas (e.g., areas used for mixing flash or black powder) are included in the definition of fireworks mixing buildings and are therefore considered “fireworks process buildings” which are subject to the distance and weight limitations addressed at 27 CFR §§ 555.222 and 555.223. Fireworks process buildings do not include plant warehouses, office buildings, or other buildings and areas in which no fireworks, pyrotechnic compositions, or explosive materials are processed or stored. Further, ATF has determined that open outdoor areas used for assembly operations other than mixing would not fall within the definition of “fireworks process buildings” because the term “area” is only used for defining “fireworks mixing building”. Keep in mind that all pyrotechnic mixing and assembling operations in process buildings must meet the aforementioned distance and weight limitations in §§ 555.222 and 555.223. [27 CFR 555.11: definition of “fireworks process building”]