a. National Firearms Act (NFA). Title 26, United States Code, Chapter
53. The implementing regulations are found in Title 27, Code of Federal
Regulations, Part 479.
b. Gun Control Act (GCA). Title 18, United States Code, Chapter 44.
The implementing regulations are found in Title 27, Code of Federal
Regulations, Part 478.
c. Firearm. Theterm“rearm”means:(1)ashotgunhavingabarrelor
d. Person. A partnership, company, association, trust, corporation, including
e. Responsible Person. In the case of an unlicensed entity, including any trust, partnership,
association, company (including any Limited Liability Company (LLC)), or corporation, any
individual who possesses, directly or indirectly, the power or authority to direct the
management and policies of the trust or entity to receive, possess, ship, transport, deliver,
transfer or otherwise dispose of a firearm for, or on behalf of, the trust or legal entity.
Ttrust: Those persons with the power or authority to direct the management and
policies of the trust includes any person who has the capability to exercise such power
and possesses, directly or indirectly, the power or authority under any trust instrument, or
under State law, to receive, possess, ship, transport, deliver, transfer, or otherwise
dispose of a firearm for, or on behalf of the trust. Examples of who may be considered a
responsible person include settlors/grantors, trustees, partners, members, officers, directors,
board members, or owners. An example of who may be excluded from this definition of
responsible person is the beneficiary of a trust, if the beneficiary does not have the capability
to exercise the enumerated powers or authorities.
f. Employer Identication Number (EIN). Requiredoftaxpayerling
special (occupational) tax returns under 27 CFR § 479.35.
g. Special (Occupational) Tax. Required by the NFA to be paid by a
h. Federal Firearms License. A license issued under the provisions of
i. ATF Ocer. AnoceroremployeeoftheBureauofAlcohol,Tobacco,
Firearms and Explosives (ATF) authorized to perform any function
relating to the administration of the NFA.
j. Transfer. Selling, assigning, pledging, leasing, loaning, giving away, or
k. Transferor. Thepersonsellingorotherwisedisposingofarearm;
l. Transferee. Thepersonacquiringtherearm.
m. Unserviceable Firearm. One which is incapable of discharging a shot
unserviceable is to fusion weld the chamber closed and fusion weld the
barrel solidly to the frame.
n. Prohibited Person. Generally, 18 U.S.C. § 922 (g) prohibits the shipment,
been convicted of a felony, or any other crime, punishable by imprisonment for a term
exceeding one year (this does not include State misdemeanors punishable by
imprisonment of two years or less);isafugitivefromjustice;isanunlawfuluserof,or
addicted to, marijuana or any depressant, stimulant, or narcotic drug, or any other
in the United States or an alien admitted to the United States under a nonimmigrant
by one who is under indictment or information for a felony in any Federal, State or
local court, or any other crime, punishable by imprisonment for a term exceeding one year.
EXCEPTION: A person who has been convicted of a felony, or any other crime, for
which the judge could have imprisoned the person for more than one year, or who has been
convicted of a misdemeanor crime of domestic violence, is not prohibited from
the conviction occurred, the person has been pardoned, the conviction has been expunged
or set aside, or the person has had their civil rights (the right to vote, sit on a jury, and hold
public oce) taken away and later restored AND (2) the person is not prohibited by the law
Persons subject to this exception should mark “no” in the applicable box.
o. Adjudicated as a Mental Defective. A determination by a court, board,
commission, or other lawful authority that a person, as a result of marked subnormal
intelligence, or mental illness, incompetency, condition, or disease: (1) is a danger to
and (2) those persons found incompetent to stand trial or found not guilty by reason of
lack of mental responsibility.
p. Committed to a Mental Institution. A formal commitment of a person to a mental
institution by a court, board, commission, or other lawful authority. The term includes
a commitment to a mental institution involuntarily. The term includes commitment
for mental defectiveness or mental illness. It also includes commitments for other
reasons, such as for drug use. The term does not include a person in a mental
institution for observation or a voluntary admission to a mental institution.
EXCEPTION NICS Improvement Amendments Act of 2007: A person who has been
adjudicated as a mental defective or committed to a mental institution in a state proceeding
is not prohibited by the adjudication or commitment if the person has been granted relief
by the adjudicating/committing state pursuant to a qualifying mental health relief from
disabilities program. Also, a person who has been adjudicated as a mental defective or
committed to a mental institution by a department or agency of the Federal Government
is not prohibited by the adjudication or commitmemt if either (a) the person’s adjudica
(b) the person has been fully released or discharged from all mandatory treatment, supervi
commission, or other lawful authority, and the person has not been adjudicated as a mental
health relief from disabilities program. Persons who fall within one of the above
exceptions should mark “no” in the applicable box. This exception to an adjudication or
commitment by a Federal department or agency does not apply to any person who was
adjudicated to be not guilty by reason of insanity, or based on a lack of mental responsibil
ity, or found incompetent to stand trial, in any criminal case or under the Uniform Code of
q. Restraining Order. Under18U.S.C.§922,rearmsmaynotbesoldto
or received by persons subject to a court order that: (A) was issued after a hearing
(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
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. An “intimate
partner” of a person is: the spouse or former spouse of the person, the parent of a
child of the person, or an individual who cohabitates or has cohabitated with the
ATF Form 5 (5320.5)
Revised September 2019