ATF National Firearms Act Handbook (E-Publication 5320.8, 2009)
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ATF E-Publication 5320.8
Revised: April 2009
PREFACE
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This handbook is primarily for the use of persons in the business of importing, manufacturing, and
dealing in firearms defined by the National Firearms Act (NFA) or persons intending to go into an NFA
firearms business. It should also be helpful to collectors of NFA firearms and other persons having
questions about the application of the NFA.
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This publication is not a law book. Rather, it is intended as a “user friendly” reference book enabling
the user to quickly find answers to questions concerning the NFA. Nevertheless, it should also be useful
to attorneys seeking basic information about the NFA and how the law has been interpreted by ATF.
The book’s Table of Contents will be helpful to the user in locating needed information.
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Although the principal focus of the handbook is the NFA, the book necessarily covers provisions of the
Gun Control Act of 1968 and the Arms Export Control Act impacting NFA firearms businesses and
collectors.
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The book is the product of a joint effort between ATF and the National Firearms Act Trade and
Collectors Association. ATF takes this opportunity to express its appreciation to the Association for its
assistance in writing and making this publication possible.
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TABLE OF CONTENTS
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1
History of the National Firearms Act (NFA) …………………………….……………….1
The NFA of 1934
Title II of the Gun Control Act of 1968
Firearm Owners’ Protection Act
Meaning of terms ................................................................................................................2
“AECA”
“ATF”
“ATF Ruling”
“CFR”
“DIO”
“FFL”
“FTB”
“GCA”
“NFA”
“NFRTR”
“SOT”
“U.S.C.”
Administration and enforcement of Federal firearms laws ...............................................3
What are regulations and rulings? .....................................................................................3
Regulations
Rulings
Other ATF publications .....................................................................................................3
ATF’s internet website
ATF P 5300.4
ATF points of contact …………………………………………………...……………….4
ATF Forms ……………………………………………………………..……….………..4
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Sec. 1.1
1.1.1
1.1.2
1.1.3
Sec. 1.2
1.2.1
1.2.2
1.2.3
1.2.4
1.2.5
1.2.6
1.2.7
1.2.8
1.2.9
1.2.10
1.2.11
1.2.12
Sec. 1.3
Sec. 1.4
1.4.1
1.4.2
Sec. 1.5
1.5.1
1.5.2
Sec. 1.6
Sec. 1.7
6
CHAPTER 1. INTRODUCTION
CHAPTER 2. WHAT ARE “FIREARMS” UNDER THE NFA?
Types of NFA Firearms ....................................................................................................5
Shotgun
Weapon made from a shotgun
Rifle
Weapon made from a rifle
Any other weapon
Machinegun
Silencer
Destructive device
Explosive devices
Large caliber weapons
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Sec. 2.1
2.1.1
2.1.2
2.1.3
2.1.4
2.1.5
2.1.6
2.1.7
2.1.8
2.1.8.1
2.1.8.2
ii
Unserviceable firearm
Antique firearm .................................................................................................................21
Curios or relics ..................................................................................................................21
Applications to remove firearms from the scope of the NFA as collector’s
items ..................................................................................................................................22
Removal of firearms from the scope of the NFA by modification/elimination of
components ……...............................................................................................................23
Removal of machineguns and silencers from the scope of the NFA
Sec. 2.5
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2.5.1
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2.1.9
Sec. 2.2
Sec. 2.3
Sec. 2.4
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The National Firearm Registration and Transfer Record (NFRTR) ................................24
Who may register NFA firearms ......................................................................................24
Amnesty registration
Registration by State and local agencies
Registration by makers
Registration by importers
Registration by manufacturers
Registration to transferees
Transfers by persons other than FFLs/SOTs to other such persons
Transfers by FFLs/SOTs to persons other than FFLs/SOTs
Transfers by non-FFLs/SOTs to FFLs/SOTs
Transfers by FFLs/SOTs to other FFLs/SOTs
Transfers to State and local government agencies
Status of unregistered firearms ........................................................................................26
ATF disclosure of NFA registration information ............................................................26
Restrictive use of information
Prohibition on ATF’s disclosure of tax returns or tax return information
Determining the registration status of an NFA firearm
Lost or stolen registration documents ..............................................................................27
Correcting incorrect registration documents ...................................................................27
Maintaining registration documents ................................................................................27
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Sec. 3.1
Sec. 3.2
3.2.1
3.2.2
3.2.3
3.2.4
3.2.5
3.2.6
3.2.6.1
3.2.6.2
3.2.6.3
3.2.6.4
3.2.6.5
Sec. 3.3
Sec. 3.4
3.4.1
3.4.2
3.4.3
Sec. 3.5
Sec. 3.6
Sec. 3.7
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CHAPTER 3. REGISTRATION OF NFA FIREARMS
CHAPTER 4. TAXES IMPOSED BY THE NFA
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Sec. 4.1 Taxes .........................................................................................................................................28
4.1.1
Making tax
4.1.2
Transfer tax
4.1.3
Special (occupational) tax
Sec. 4.2
Exemptions from tax .......................................................................................................29
4.2.1
Making tax
4.2.2
Transfer tax
4.2.2.1 Unserviceable firearms
4.2.3
Special (occupational) tax
4.2.4
Exportation of firearms
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CHAPTER 5. QUALIFYING TO DO BUSINESS IN NFA FIREARMS
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5.2.1.1
5.2.2
5.2.3
5.2.3.1
5.2.3.2
5.2.4
5.2.4.1
5.2.4.2
5.2.5
5.2.6
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5.1.8
5.1.8.1
Sec. 5.2
5.2.1
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5.1.3.9
5.1.4
5.1.4.1
5.1.5
5.1.6
5.1.7
Licensing under the GCA ................................................................................................30
Application for GCA license
Definition of “person” for GCA purposes
License fees
Manufacturers
Importers
Dealers
Licensing standards under the GCA
Age
Prohibited persons
“Responsible persons”
Removing disabilities
Prior willful violations
False statements
Business premises
May a license be obtained to do business solely away from the licensed
premises at gun shows?
Gun storage and safety devices
Multiple business locations
Locations solely for storage
Establishing a common expiration date for licenses at multiple locations
Engaging in business as both an importer and a manufacturer
Do importers and manufacturers need a dealer’s license to deal in the
firearms they import or manufacture?
License renewal
Right to operate while renewal application is pending; “letters of continuing operation”
Payment of special (occupational) tax to do business in NFA firearms ………...............33
Every “person” who engages in the business of importing, manufacturing, or dealing in
firearms (including pawnbrokers) shall pay a special tax
Definition of “person” for NFA purposes
Tax must be paid for each business location
Rate of Tax
Importers and manufacturers
Dealers
How to pay special tax
Employer identification number (EIN)
Renewal of special tax
Exemption from special tax
Collectors acquiring NFA firearms for their personal collections by
acquiring dealers’ licenses and paying NFA special tax
Registration by firearms manufacturers and exporters with the U.S. Department of State
(DOS) ………...................................................................................................................34
How manufacturers should register
Registration by firearms importers with ATF ..................................................................35
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Sec. 5.1
5.1.1
5.1.1.1
5.1.2
5.1.2.1
5.1.2.2
5.1.2.3
5.1.3
5.1.3.1
5.1.3.2
5.1.3.3
5.1.3.4
5.1.3.5
5.1.3.6
5.1.3.7
5.1.3.8
Sec. 5.3
5.3.1
Sec. 5.4
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5.4.1
Sec. 5.5
How importers should register
Filing by facsimile transmission .......................................................................................35
CHAPTER 6. MAKING NFA FIREARMS BY NONLICENSEES
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Sec. 6.3
6.3.1
Sec. 6.4
Sec. 6.5
Sec. 6.6
Sec. 6.7
Sec. 6.8
Requirements for making NFA firearms ………………………………………………..36
Preparation of Form 1 ...…………………………………………………………………36
Description of firearm
Photograph of applicant
FBI Form FD-258, fingerprint card
Law enforcement certification
What if the proposed maker is unable to find any official in his or her
jurisdiction willing to sign the law enforcement certification?
Submission of Form 1 ………………………………………………………………..…37
State permit or license for possession of an NFA weapon
Approval of Form 1 …………………………………………………………………..…38
Disapproval of Form 1 ………………………………………………………………..…38
Reactivation of a registered unserviceable NFA firearm ………………….…………….38
Incorrect description of Firearm ………………………………………………………...38
Withdrawal or Cancellation of an ATF Form 1 and Refund if Making Tax …………....39
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Sec. 6.1
Sec. 6.2
6.2.1
6.2.2
6.2.3
6.2.4
6.2.4.1
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7.1.1.4
7.1.2
7.1.3
7.1.3.1
Sec. 7.2
7.2.1
7.2.2
7.2.3
7.2.4
7.2.4.1
Sec. 7.3
7.3.1
7.3.2
7.3.2.1
7.3.3
Qualifying to manufacture NFA firearms ........................................................................40
Licensing under the GCA
Engaging in business at multiple locations
Engaging in business as both an importer and a manufacturer
Do importers and manufacturers need a dealer’s license to deal in the firearms they
import or manufacture?
Manufacturers of destructive devices
Payment of special (occupational) tax to do business in NFA firearms
Registration by firearms manufacturers with the U.S. Department of State
Registration exemption for fabricating articles for “research and development.”
What is a “manufacturer”?; What is “manufacturing”? ..................................................41
“Manufacturer”
“Manufacturing”
What is the difference between manufacturing and gunsmithing?
Do you know how ATF would classify your product?
ATF classification letters
Registering the manufacture of NFA firearms ..................................................................43
Preparation of ATF Forms 2
Filing ATF Forms 2
Existing firearms modified into NFA firearms or reactivated
Reactivation of a registered unserviceable NFA firearm
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Sec. 7.1
7.1.1
7.1.1.1
7.1.1.2
7.1.1.3
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CHAPTER 7. MANUFACTURING NFA FIREARMS
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Sec. 7.6
7.6.1
7.6.2
Sec. 7.7
Sec. 7.8
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7.5.2
7.5.3
7.5.4
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7.4.6
Sec. 7.5
7.5.1
Incorrect description of firearm
Reactivation of a registered unserviceable NFA firearm
The identification of firearms ……………………………………..…………………….44
Serial numbers
What is an acceptable serial number?
Additional information
Measuring the depth of markings
Obtaining variances to the marking requirements
Variances in the name and location of the manufacturer
Variances for manufacturers’ contractors
Marking destructive devices
Marking parts, other than frames or receivers, defined as NFA firearms
Marking frames or receivers that are not complete weapons at the time of
disposition
Marking silencer parts
Manufacturing machineguns .............................................................................................47
Manufacture of machineguns for sale to government agencies or as “sales
samples”
Manufacture of machineguns for exportation
May machineguns be manufactured for distribution to U.S. Government contractors?
May machinegun receivers be manufactured and used as replacement parts
for machineguns lawfully registered and possessed prior to May 19, 1986?
Manufacture of NFA firearms by contractors ..................................................................48
Contractors’ manufacture of machineguns
Manufacture of machineguns solely for purposes of testing
Manufacturing NFA firearms exclusively for the United States .....................................48
Locations ..........................................................................................................................49
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7.3.3.1
7.3.3.2
Sec. 7.4
7.4.1
7.4.1.1
7.4.2
7.4.3
7.4.4
7.4.4.1
7.4.4.2
7.4.4.3
7.4.4.4
7.4.5
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Qualifying to import NFA firearms .................................................................................50
Licensing under the GCA
Engaging in business at multiple locations
Engaging in business as both an importer and a manufacturer
Do importers and manufacturers need a dealer’s license to deal in the
firearms they import or manufacture?
Importers of destructive devices
Payment of special (occupational) tax to do business in NFA firearms
Registration by importers of U.S. Munitions Import List articles with ATF
What is an “importer”?; What is “importation”? ............................................................51
“Importer”
“Importation”
Importation of NFA firearms ..........................................................................................51
Importation of machineguns
Importation for use of the United States, qualifying political subdivisions,
and law enforcement agencies
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Sec. 8.1
8.1.1
8.1.1.1
8.1.1.2
8.1.1.3
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CHAPTER 8. IMPORTING NFA FIREARMS
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8.1.1.4
8.1.2
8.1.3
Sec. 8.2
8.2.1
8.2.2
Sec. 8.3
8.3.1
8.3.2
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Importation for use by Nuclear Regulatory Commission (NRC) licensees
and authorized contractors
8.3.4
Importation for authorized scientific or research purposes
8.3.5
Importation for use as a model by a registered manufacturer
8.3.6
Importation for use as a “sales sample”
8.3.7
Importing multiple quantities of the same model firearm as sales samples
8.3.8
Importation of NFA weapons classified as curios or relics
8.3.9
Conditional importation
8.3.10
Temporary importation of NFA firearms
8.3.11
Re-importation of NFA firearms temporarily exported from the United
States by nonlicensees.
8.3.12
What is the difference between a Customs Bonded Warehouse (CBW) and
a Foreign Trade Zone (FTZ)?
8.3.12.1 Customs Bonded Warehouse
8.3.12.2 Foreign Trade Zone
8.3.13
Preparation of ATF Forms 6
8.3.14
“eForm6”
8.3.15
Preparation of ATF Forms 6A
Sec. 8.4
Registering the importation of NFA firearms....................................................................56
8.4.1
Preparation of ATF Forms 2
8.4.2
Filing ATF Forms 2
Sec. 8.5
The identification of firearms ...........................................................................................56
8.5.1
Serial numbers
8.5.1.1 What is an acceptable serial number?
8.5.2
Additional information
8.5.3
Measuring the depth of markings
8.5.4
Obtaining variances to the marking requirements
8.5.4.1 Variances in the name and location of the importer
8.5.4.2 Marking frames or receivers that are not complete weapons at the time of
disposition
8.5.4.3 Marking destructive devices
8.5.4.4 Marking parts, other than frames or receivers, defined as NFA firearms
8.5.5
When must markings be applied to imported NFA firearms?
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8.3.3
CHAPTER 9. TRANSFERS OF NFA FIREARMS
Definition of “transfer” .....................................................................................................59
Only previously registered firearms may be lawfully transferred ....................................59
Interstate transfers of NFA firearms .................................................................................59
ATF forms for use in transferring NFA firearms..............................................................59
ATF Form 3
ATF Form 4
Copies of transferees’ State or local licenses or permits
Transfers to entities other than individuals that are not FFLs/SOTs
ATF Form 5
Conveyances of NFA firearms not treated as “transfers” under the NFA.......................61
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Sec. 9.1
Sec. 9.2
Sec. 9.3
Sec. 9.4
9.4.1
9.4.2
9.4.2.1
9.4.2.2
9.4.3
Sec. 9.5
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Repair of firearm silencers
Possession of firearms by employees of FFLs/SOTs for employers’
business purposes
9.5.3
Distribution of estate firearms
9.5.3.1 Distributions to heirs
9.5.3.2 Distributions to persons outside the estate
9.5.3.3 Uncertainty about the registration status of decedents’ firearms
9.5.3.4 Unregistered estate firearms
9.5.3.5 Distribution of decedents’ “sales samples.”
Sec. 9.6
Manufacturers’ use of contractors to perform work on firearms.......................................63
Sec. 9.7
Transfers of unserviceable NFA firearms..........................................................................63
Sec. 9.8
Government-owned firearms ............................................................................................63
Sec. 9.9
Law enforcement certifications.........................................................................................63
9.9.1
Is a law enforcement officer required to sign the certification?
9.9.2
Is a law enforcement certification acceptable if signed by an official outside the
jurisdiction where the transferee resides?
Sec. 9.10
Transfers of imported NFA firearms ................................................................................64
9.10.1
Firearms imported for government agencies
9.10.2
“Sales samples”
9.10.3
Transferring multiple quantities of the same firearm model as “sales samples”
Sec. 9.11
Transfers of machineguns imported or manufactured on after May 19, 1986 .................65
9.11.1
Machinegun prohibition in 18 U.S.C. 922(o)
9.11.2
May machineguns subject to section 922(o) be transferred to government
contractors?
Sec. 9.12
Are FFLs/SOTs required to initiate a background check of the transferee
under the Brady Law in connection with the transfer of an NFA firearm? ......................65
Sec. 9.13
May an FFL/SOT transfer a personally owned destructive device without
qualifying to do business in destructive devices? .............................................................66
Section 9.14 Transferable Status and the Form 10 …………………………………………………...66
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9.5.1.1
9.5.2
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CHAPTER 10. COLLECTORS OF NFA FIREARMS
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Sec 10.1
Curios or relics .................................................................................................................67
10.1.1
Definition of curio or relic
10.1.2
Curio or relic classification
10.1.3
NFA firearms classified as curios or relics
10.1.4
The Firearms Curios or Relics List (ATF P 5300.11)
10.1.5
DEWATS
10.1.5.1 Reactivation of DEWATS
Sec. 10.2
Licensed collector ...........................................................................................................69
10.2.1 Collector of curios or relics license
10.2.2 Receipt of NFA curios or relics by a licensed collector
10.2.3 Transfer of NFA curios or relics by a licensed collector
Sec. 10.3
Recordkeeping requirements ..........................................................................................70
10.3.1
Acquisition and disposition records
10.3.2
Termination of a collector’s license.
viii
CHAPTER 11. EXPORTATION OF NFA FIREARMS
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Arms Export Control Act (AECA), 22 U.S.C. 2778 ......................................................71
State Department regulations implementing the AECA
Firearms and firearm component parts subject to the AECA
Category I
Category II
Registration of exporters and manufacturers under the AECA ......................................71
Submission of registration form, DSP-9
Transmittal letter must accompany Form DSP-9
Notification of changes in information furnished by registrants
License requirement for permanent export of a defense article......................................72
License requirement for temporary export of a defense article ......................................72
Prohibited exports and sales to certain countries............................................................ 72
ATF requirements relative to the exportation of firearms ...............................................72
Applying for an export permit on ATF Form 9
Transfers to another person for export
Proof of exportation
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Sec. 11.1
11.1.1
11.1.2
11.1.2.1
11.1.2.2
Sec. 11.2
11.2.1
11.2.2
11.2.3
Sec. 11.3
Sec. 11.4
Sec. 11.5
Sec. 11.6
11.6.1
11.6.2
11.6.3
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CHAPTER 12. RECORDKEEPING
Maintaining proof of registration....................................................................................74
Manner in which registration documents must be kept
Recordkeeping where registered firearms are kept on premises other than the registered
owner’s place of business
Sec. 12.2
Verifying the description of firearms on registration documents ...................................74
Sec. 12.3
Correcting an error in the description of a registered firearm ........................................74
Sec. 12.4
Custody of NFA firearms by employees of FFLs/SOTs ................................................75
12.4.1
Who is an “employee” of an FFL/SOT?
Sec. 12.5
Firearms acquisition and disposition records..................................................................75
12.5.1
Commercial records of firearms received
12.5.2
Variances in the recordkeeping requirements for the acquisition and
disposition of firearms
12.5.2.1 Computerized records.
Sec. 12.6
Forms 4473 .....................................................................................................................77
12.6.1
Firearms acquired from an FFL by an organization
12.6.2
Return of firearms delivered to an FFL for repair or customizing
12.6.3
Maintaining Forms 4473
Sec. 12.7
Record retention period...................................................................................................78
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Sec. 12.1
12.1.1
12.1.2
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CHAPTER 13. REQUIRED REPORTS AND NOTIFICATIONS TO ATF
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13.8.1
13.8.2
13.8.3
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Sec. 13.4
Sec. 13.5
13.5.1
13.5.2
Sec. 13.6
Sec. 13.7
Sec. 13.8
Change of business address ..............................................................................................80
GCA requirements
Application for amended license
NFA requirements
Change in trade name ........................................................................................................80
GCA requirements
NFA requirements
Change in control ..............................................................................................................81
Changes in an FFL’s “responsible persons”
A “change in control” is distinguishable from the sale or transfer of a
firearms business to another person or entity
Reporting firearms transaction information ......................................................................82
Reporting thefts or losses of firearms ...............................................................................82
GCA requirements
NFA requirements
Reporting theft or loss of NFA registration documents ....................................................83
Reporting information in response to ATF trace requests ................................................83
Requesting permission to transport certain firearms in interstate or foreign
commerce .. .......................................................................................................................83
A written (letter) request
Form 5320.20
One-year approval
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Sec. 13.1
13.1.1
13.1.1.1
13.1.2
Sec. 13.2
13.2.1
13.2.2
Sec. 13.3
13.3.1
13.3.2
Disposition of GCA records ..............................................................................................85
“Records” for purposes of this section
Transfer of the business to a new owner
Discontinuance of the business
Disposition of NFA firearms (other than “post-‘86 machineguns”) .................................85
Sole proprietors
Corporations, partnerships, and associations
Effect of dissolution of a corporation, partnership, or association
Avoiding NFA transfer tax
Disposition of “post-‘86 machineguns” ............................................................................86
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Sec. 14.1
14.1.1
14.1.2
14.1.3
Sec. 14.2
14.2.1
14.2.2
14.2.2.1
14.2.3
Sec. 14.3
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CHAPTER 14. GOING OUT OF BUSINESS
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CHAPTER 15. PENALTIES AND SANCTIONS
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NFA ..................................................................................................................................88
Criminal
Forfeiture
Assessment of NFA tax
GCA ..................................................................................................................................88
Criminal
Forfeiture
License denial or revocation
AECA ................................................................................................................................89
Criminal
Forfeiture
on
Sec. 15.1
15.1.1
15.1.2
15.1.3
Sec. 15.2
15.2.1
15.2.2
15.2.3
Sec. 15.3
15.3.1
15.3.2
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APPENDIX A (NFA, 26 U.S.C. Chapter 53) .......................................................................................90
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APPENDIX B (ATF Rulings and articles) ….....................................................................................141
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APPENDIX C (ATF Forms) .........................................................................................................................179
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APPENDIX D (Sample form letters) ..................................................................................................207
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CHAPTER 1. INTRODUCTION
Section 1.1 History of the National Firearms Act (NFA)
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1.1.1 The NFA of 1934. The NFA was originally enacted in 1934.1 Similar to the current NFA, the
original Act imposed a tax on the making and transfer of firearms defined by the Act, as well as a
special (occupational) tax on persons and entities engaged in the business of importing, manufacturing,
and dealing in NFA firearms. The law also required the registration of all NFA firearms with the
Secretary of the Treasury. Firearms subject to the 1934 Act included shotguns and rifles having barrels
less than 18 inches in length, certain firearms described as “any other weapons,” machineguns, and
firearm mufflers and silencers.
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While the NFA was enacted by Congress as an exercise of its authority to tax, the NFA had an
underlying purpose unrelated to revenue collection. As the legislative history of the law discloses, its
underlying purpose was to curtail, if not prohibit, transactions in NFA firearms. Congress found these
firearms to pose a significant crime problem because of their frequent use in crime, particularly the
gangland crimes of that era such as the St. Valentine’s Day Massacre. The $200 making and transfer
taxes on most NFA firearms were considered quite severe and adequate to carry out Congress’ purpose
to discourage or eliminate transactions in these firearms. The $200 tax has not changed since 1934.
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As structured in 1934, the NFA imposed a duty on persons transferring NFA firearms, as well as mere
possessors of unregistered firearms, to register them with the Secretary of the Treasury. If the possessor
of an unregistered firearm applied to register the firearm as required by the NFA, the Treasury
Department could supply information to State authorities about the registrant’s possession of the
firearm. State authorities could then use the information to prosecute the person whose possession
violated State laws. For these reasons, the Supreme Court in 1968 held in the Haynes case that a person
prosecuted for possessing an unregistered NFA firearm had a valid defense to the prosecution - the
registration requirement imposed on the possessor of an unregistered firearm violated the possessor’s
privilege from self-incrimination under the Fifth Amendment of the U.S. Constitution.2 The Haynes
decision made the 1934 Act virtually unenforceable.
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1.1.2 Title II of the Gun Control Act of 1968. Title II amended the NFA to cure the constitutional
flaw pointed out in Haynes.3 First, the requirement for possessors of unregistered firearms to register
was removed. Indeed, under the amended law, there is no mechanism for a possessor to register an
unregistered NFA firearm already possessed by the person. Second, a provision was added to the law
prohibiting the use of any information from an NFA application or registration as evidence against the
person in a criminal proceeding with respect to a violation of law occurring prior to or concurrently with
the filing of the application or registration.4 In 1971, the Supreme Court reexamined the NFA in the
Freed case and found that the 1968 amendments cured the constitutional defect in the original NFA.5
1
National Firearms Act, Public Law 474, approved June 26, 1934.
Haynes v. U.S., 390 U.S. 85 (1968).
3
Gun Control Act of 1968, Public Law 90-618, approved October 22, 1968.
4
26 U.S.C. 5848
5
U.S. v. Freed, 401 U.S. 601 (1971)
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Title II also amended the NFA definitions of “firearm” by adding “destructive devices” and expanding
the definition of “machinegun.”
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1.1.3 Firearm Owners’ Protection Act. In 1986, this Act amended the NFA definition of “silencer”
by adding combinations of parts for silencers and any part intended for use in the assembly or
fabrication of a silencer.6 The Act also amended the GCA to prohibit the transfer or possession of
machineguns.7 Exceptions were made for transfers of machineguns to, or possession of machineguns
by, government agencies, and those lawfully possessed before the effective date of the prohibition, May
19, 1986.
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Section 1.2 Meaning of terms. Certain terms and abbreviations used in this book are defined as
follows:
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1.2.1 “AECA” means the Arms Export Control Act, 22 U.S.C. 2778.
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1.2.2 “ATF” means the Bureau of Alcohol, Tobacco, Firearms and Explosives, U.S. Department of
Justice.
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1.2.3 “ATF Ruling” means a formal ruling published by ATF stating its interpretation of the law and
regulations as applied to a specific set of facts.
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1.2.4 “CFR” means the Code of Federal Regulations in which Federal firearms regulations are
published.
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1.2.5 “DIO” means an ATF Director of Industry Operations responsible for regulating the firearms
industry within an ATF field division.
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1.2.6 “FFL” means a Federal firearms licensee, person or entity having a license to import,
manufacture, or deal in firearms under the GCA.
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1.2.7 “FTB” means ATF’s Firearms Technology Branch.
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1.2.8 “GCA” means the Gun Control Act of 1968, 18 U.S.C. Chapter 44.
1.2.9 “NFA” means the National Firearms Act, 26 U.S.C. Chapter 53.
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1.2.10 “NFRTR” means the National Firearms Registration and Transfer Record containing the
registration of NFA firearms.
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1.2.11 “SOT” means a special occupational taxpayer, a person or entity qualified to import,
manufacture, or deal in NFA firearms by having paid the special (occupational) tax to do so under the
NFA.
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Firearm Owners’ Protection Act, Public Law 99-308, approved May 19, 1986.
18 U.S.C. 922(o)
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1.2.12 “U.S.C.” means the United States Code in which Federal firearms laws are codified.
Section 1.3 Administration and enforcement of Federal firearms laws
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Until January 24, 2003, authority to administer and enforce Federal firearms laws was the responsibility
of the Bureau of ATF within the U.S. Department of the Treasury. As a result of enactment of Section
1111 of the Homeland Security Act of 2002, ATF and its firearms authorities were transferred to the
U.S. Department of Justice, effective January 24, 2003. ATF’s name was also changed to the Bureau of
Alcohol, Tobacco, Firearms and Explosives. ATF continues to have the authority to administer and
enforce Federal firearms laws. The Department of State retained its authority over the enforcement of
the export provisions of the AECA that relate to firearms.
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Section 1.4 What are regulations and rulings?
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1.4.1 Regulations. Regulations interpret the statutes (the law) and explain the procedures for
compliance. The Administrative Procedure Act (APA) generally requires agencies to publish proposed
regulations in the Federal Register as a notice of proposed rulemaking, giving the public the opportunity
to comment on the proposals before they may be issued as final regulations. The APA provides no
specific comment period for proposed rules under the NFA.8 As specifically provided for in the GCA,
GCA regulations require a comment period of at least 90 days.9 An exception in the APA eliminates the
need to provide any notice or comment period with respect to AECA regulations. Regulations have the
force and effect of law. Courts will uphold a regulation if they find reasonable legal basis for it and if it
generally is within the scope of the statute.
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1.4.2 Rulings. ATF publishes rulings in its periodic bulletins and posts them on the ATF website.
These contain ATF’s interpretation of the law and regulations as they pertain to a particular fact
situation. Rulings do not have the force and effect of law but may be cited as precedent with respect to
substantially similar fact situations. Courts will recognize and apply such rulings if they are determined
to correctly interpret the law and regulations.
Section 1.5 Other ATF publications
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1.5.1 ATF’s internet website. This is the best source for up to date information on ATF’s firearms
administration and enforcement activities, including amendments to the law, rulings, regulations, and
open letters to firearms industry members. The website address is http://www.atf.gov.
1.5.2 ATF P 5300.4. This is ATF’s publication, “Federal Firearms Regulations Reference Guide.”
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ATF supplies the publication to all FFLs and SOTs. It contains all Federal firearms laws and regulations
(except those pertaining to the firearms and ammunition excise tax and State Department export
regulations), ATF firearms rulings, articles on various firearms issues, and questions and answers. The
publication can be found on ATF’s website, http://www.atf.gov, and downloaded.
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5 U.S.C. 552
18 U.S.C. 926(b)
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Section 1.6 ATF points of contact
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Chief, National Firearms Act Branch
Bureau of Alcohol, Tobacco, Firearms and Explosives
244 Needy Road
Martinsburg, WV 25405
Phone: (304) 616-4500
Fax: (304) 616-4501
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Chief, Federal Firearms Licensing Center
Bureau of Alcohol, Tobacco, Firearms and Explosives
244 Needy Road
Martinsburg, WV 25405
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Chief, Firearms & Explosives Imports Branch
Bureau of Alcohol, Tobacco, Firearms and Explosives
244 Needy Road
Martinsburg, WV 25405
Phone: (304) 616-4550
Fax: (304) 616-4551
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Phone: (304) 616-4600 or 1-866-662-2750
Fax: (304) 616-4501 or 1-866-257-2749
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Chief, Firearms Technology Branch
Bureau of Alcohol, Tobacco, Firearms and Explosives
244 Needy Road
Martinsburg, WV 25405
Phone: (304) 260-5476
Fax: (304) 260-1701
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Section 1.7 ATF Forms
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ATF forms may be ordered from ATF’s Distribution Center by use of the Center’s order form on ATF’s
website at http://www.atf.gov. After entering the website, click on “Forms.” They may also be obtained
by calling the Center at (301) 583-4696 or writing the ATF Distribution Center at 1519 Cabin Branch
Drive, Landover, MD 20785-3816.
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CHAPTER 2. WHAT ARE “FIREARMS” UNDER THE NFA?
Section 2.1 Types of NFA firearms
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The NFA defines the specific types of firearms subject to the provisions of the Act. These definitions
describe the function, design, configuration and/or dimensions that weapons must have to be NFA
firearms. In addition to describing the weapon, some definitions (machinegun, rifle, shotgun, any other
weapon) state that the firearm described also includes a weapon that can be readily restored to fire. A
firearm that can be readily restored to fire is a firearm that in its present condition is incapable of
expelling a projectile by the action of an explosive (or, in the case of a machinegun, will not in its
present condition shoot automatically) but which can be restored to a functional condition by the
replacement of missing or defective component parts. Please be aware that case law is not specific but
courts have held that the “readily restorable” test is satisfied where a firearm can be made capable of
renewed automatic operation, even if it requires some degree of skill and the use of tools and parts.
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2.1.1 Shotgun A shotgun is a firearm designed to be fired from the shoulder and designed to use the
energy of the explosive in a fixed shotgun shell to fire through a smooth bore either a number of
projectiles or a single projectile for each pull of the trigger.10 A shotgun subject to the NFA has a barrel
or barrels of less than 18 inches in length.
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The ATF procedure for measuring barrel length is to measure from the closed bolt (or breech-face) to
the furthermost end of the barrel or permanently attached muzzle device. Permanent methods of
attachment include full-fusion gas or electric steel-seam welding, high-temperature (1100°F) silver
soldering, or blind pinning with the pin head welded over. Barrels are measured by inserting a dowel rod
into the barrel until the rod stops against the bolt or breech-face. The rod is then marked at the
furthermost end of the barrel or permanently attached muzzle device, withdrawn from the barrel, and
measured.
10
26 U.S.C. 5845(d)
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2.1.2 Weapon made from a shotgun. A weapon made from a shotgun is a shotgun type weapon that
has an overall length of less than 26 inches or a barrel or barrels of less than 18 inches in length.
25 inches
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The overall length of a firearm is the distance between the muzzle of the barrel and the rearmost portion
of the weapon measured on a line parallel to the axis of the bore.
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2.1.3 Rifle. A rifle is a firearm designed to be fired from the shoulder and designed to use the energy of
an explosive in a fixed cartridge to fire only a single projectile through a rifled barrel for each single pull
of the trigger.11 A rifle subject to the NFA has a barrel or barrels of less than 16 inches in length.
12 inches ________|
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The ATF procedure for measuring barrel length is to measure from the closed bolt (or breech-face) to
the furthermost end of the barrel or permanently attached muzzle device. Permanent methods of
attachment include full-fusion gas or electric steel-seam welding, high-temperature (1100°F) silver
soldering, or blind pinning with the pin head welded over. Barrels are measured by inserting a dowel rod
into the barrel until the rod stops against the bolt or breech-face. The rod is then marked at the
furthermost end of the barrel or permanently attached muzzle device, withdrawn from the barrel, and
measured.
11
26 U.S.C. 5845(c)
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2.1.4 Weapon made from a rifle. A weapon made from a rifle is a rifle type weapon that has an
overall length of less than 26 inches or a barrel or barrels of less than 16 inches in length.
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The overall length of a firearm is the distance between the muzzle of the barrel and the rearmost portion
of the weapon measured on a line parallel to the axis of the bore.
pengun
knife gun
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