[Federal Register Volume 91, Number 87 (Wednesday, May 6, 2026)]
[Proposed Rules]
[Pages 24413-24424]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2026-08929]
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DEPARTMENT OF JUSTICE
Bureau of Alcohol, Tobacco, Firearms, and Explosives
27 CFR Part 478
[Docket No. ATF-2026-0003; ATF 2025R-08P]
RIN 1140-AA95
Firearm Records Retention Periods
AGENCY: Bureau of Alcohol, Tobacco, Firearms, and Explosives,
Department of Justice.
ACTION: Notice of proposed rulemaking.
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SUMMARY: The Bureau of Alcohol, Tobacco, Firearms, and Explosives
(``ATF'') proposes to amend Department of Justice (``Department'')
regulations establishing records retention periods for federal firearms
licensees' (``FFLs'' or ``licensees'') acquisition and disposition
(``A&D'') records, and the retention period for records the National
Tracing Center (``NTC'') receives. Specifically, ATF is proposing these
records be retained for a specific period rather than indefinitely, and
is considering either 20 or 30 years for the specified period. ATF is
also proposing a brief retention period for forms used to facilitate
private-party transfers or to conduct voluntary firearm handlers
checks.
DATES: Comments must be submitted in writing, and must be submitted on
or before (or, if mailed, must be postmarked on or before) August 4,
2026. Commenters should be aware that the federal e-rulemaking portal
comment system will not accept comments after midnight Eastern Time on
the last day of the comment period.
ADDRESSES: You may submit comments, identified by docket number RIN
1140-AA95, by either of the following methods--
Federal e-rulemaking portal: https://www.regulations.gov.
Follow the instructions for submitting comments.
Mail: ATF Rulemaking Comments; Mail Stop 6N-518, Office of
Regulatory Affairs; Enforcement Programs and Services; Bureau of
Alcohol, Tobacco, Firearms, and Explosives; 99 New York Ave. NE,
Washington, DC 20226; ATTN: RIN 1140-AA95.
Instructions: All submissions must include the agency name and
number (RIN 1140-AA95) for this notice of proposed rulemaking (``NPRM''
or ``proposed rule''). ATF may post all properly completed comments it
receives from either of the methods described above, without change, to
the federal e-rulemaking portal, https://www.regulations.gov. This
includes any personally identifying information (``PII'') or business
proprietary information (``PROPIN'') submitted in the body of the
comment or as part of a related attachment they want posted. Commenters
who submit through the federal e-rulemaking portal and do not want any
of their PII posted on the internet should omit it from the body of
their comment and any uploaded attachments that they want posted. If
online commenters wish to submit PII with their comment, they should
place it in a separate attachment and mark it at the top with the
marking ``CUI//PRVCY.'' Commenters who submit through mail should
likewise omit their PII or PROPIN from the body of the comment and
provide any such information on the cover sheet only, marking it at the
top as ``CUI//PRVCY'' for PII, or as ``CUI//PROPIN'' for PROPIN. For
detailed instructions on submitting comments and additional information
on the rulemaking process, see the ``Public Participation'' heading of
the SUPPLEMENTARY INFORMATION section of this document. In accordance
with 5 U.S.C. 553(b)(4), a summary of this rule may be found at https://www.regulations.gov. Commenters must submit comments by using one of
the methods described above, not by emailing the address set forth in
the following paragraph.
FOR FURTHER INFORMATION CONTACT: Office of Regulatory Affairs, by email
at [email protected], by mail at Office of Regulatory Affairs; Enforcement
Programs and Services; Bureau of Alcohol, Tobacco, Firearms, and
Explosives; 99 New York Ave. NE, Washington, DC 20226, or by telephone
at 202-648-7070 (this is not a toll-free number).
SUPPLEMENTARY INFORMATION:
I. Background
The Attorney General is responsible for enforcing the Gun Control
Act of 1968 (``GCA''), as amended. This responsibility includes the
authority to promulgate regulations necessary to enforce the provisions
of the GCA.\1\ See 18 U.S.C. 926(a). Congress and the Attorney General
have delegated the responsibility for administering and enforcing the
GCA to the Director of ATF (``Director''), subject to the
[[Page 24414]]
direction of the >Attorney General and the Deputy Attorney General. See
28 U.S.C. 599A(b)(1), (c)(1); 28 CFR 0.130(a)(1)-(2); Treas. Order No.
221(2)(a), (d), 37 FR 11696-97 (June 10, 1972).\2\ Accordingly, the
Department and ATF have promulgated regulations to implement the GCA in
27 CFR part 478.
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\1\ Some GCA provisions still refer to the ``Secretary of the
Treasury.'' However, the Homeland Security Act of 2002, Public Law
107-296, 116 Stat. 2135, transferred the functions of ATF from the
Department of the Treasury to the Department of Justice, under the
general authority of the Attorney General. 26 U.S.C. 7801(a)(2); 28
U.S.C. 599A(c)(1). Thus, for ease of reference, this proposed rule
refers to the Attorney General where relevant.
\2\ In Attorney General Order Number 6353-2025, the Attorney
General delegated authority to the Director to issue regulations
pertaining to matters within ATF's jurisdiction, including under the
GCA, National Firearms Act, and Title XI of the Organized Crime
Control Act. ATF's jurisdiction also includes those portions of sec.
38 of the Arms Export Control Act pertaining to permanently
importing defense articles and services and the Contraband Cigarette
Trafficking Act.
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Since its enactment, the GCA has required FFLs to maintain, at
their place of business, importing, producing, shipping, receiving,
selling, and other disposition records for firearms (``A&D records''),
in accordance with prescribed regulations. Section 923(g)(1)(A) of the
GCA requires licensed importers, manufacturers, and dealers to maintain
these records for ``such period'' and in such form as prescribed by
regulation. Licensed collectors, pursuant to 18 U.S.C. 923(g)(2), are
required to maintain the records in a bound volume, the nature of which
may be prescribed by regulation. Section 923(g)(4) of the GCA requires
licensees, upon absolutely discontinuing a business,\3\ to deliver
required records to the Attorney General within 30 days after
discontinuing business. Regulations implementing the record-keeping
requirements of sections 923(g)(1)(A), 923(g)(2), and 923(g)(4) are
contained primarily in 27 CFR part 478, subpart H. Requirements for
retaining records and for handling a discontinued business's records
are in 27 CFR 478.129 and 478.127, respectively.
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\3\ Section 923(g)(4) differentiates between licensed businesses
succeeded by a new licensee, and a licensed business that
discontinues absolutely--having no successor licensee. In the case
of a licensed business with a successor, the discontinuing licensee
must reflect that in the ATF-required A&D records and deliver them
to the successor.
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With certain exceptions, an FFL may not sell or otherwise dispose
of, temporarily or permanently, any firearm to any unlicensed person
unless the FFL records the transaction on ATF Form 5300.9, Firearms
Transaction Record (``Form 4473''). See 27 CFR 478.124. Forms 4473 are
therefore one of the records licensees are required to retain under 18
U.S.C. 923(g)(1). Specifically, Sec. 478.129(b) currently requires
licensees to retain each Form 4473 until they discontinue the business
or licensed activity.
Prior to July 29, 1985, the GCA's implementing regulations required
FFLs to permanently retain records of firearms transactions and deliver
those records, with limited exception, to ATF when they discontinued a
firearms business. See 26 CFR 178.121(a), 178.127 (1969). On June 28,
1985, ATF published a final rule,\4\ effective July 29, 1985, amending
the record retention requirements codified at 27 CFR 478.129 to
eliminate the permanent retention requirement for licensed dealers and
collectors and to reduce the retention period to not more than 20
years, dating back to December 16, 1968. The 1985 final rule also
authorized licensed manufacturers and importers to destroy their
disposition records after retaining such records for 20 years beginning
December 16, 1968. The final rule provided that ``[b]ecause of the
diminished frequency in utilizing records over 20 years of age in
tracing firearms used in crimes, the requirement to maintain permanent
records of all firearms transactions is not justifiable based on the
cost and administrative burden to both the firearms industry and the
Government.'' \5\
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\4\ ATF final rule, ``Commerce in Firearms and Ammunition,'' 50
FR 26702 (June 28, 1985).
\5\ Id.
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Manufacturers and importers, however, were required to retain, on a
permanent basis, their manufacturing, importing, and other firearms
acquisition records, including those from prior to 1968. These records
proved helpful for a variety of purposes. They were relevant for
criminal prosecutions because they helped prove that a firearm moved in
or affected interstate or foreign commerce. The records could also be
used to establish the age of a firearm and, thus, its classification as
an antique or curio and relic. The records also lacked the privacy
concerns raised by dealer records because they did not record the
ultimate owner of most manufactured or imported firearms.
In 2022, ATF published a final rule,\6\ effective on August 24,
2022, that amended the record retention requirements in 27 CFR 478.129.
Specifically, it amended Sec. 478.129(b) to require that licensees
retain each ATF Form 4473 until they discontinue the business or
licensed activity. Section 478.129(d) continued to require licensees to
retain manufacturing, importing, or other acquisition records for
firearms until they discontinue the business or licensed activity, but
it imposed the same records retention requirement on licensed
importers' and licensed manufacturers' sale or other disposition
records. Section 478.129(e) was also amended to require licensed
dealers and collectors to retain their sale or other disposition
records for firearms and the corresponding receipt record for such
firearm until they discontinue the business or licensed activity. These
amendments remain in effect today. When FFLs absolutely discontinue a
business, 18 U.S.C. 923(g)(4) and 27 CFR 478.127 continue to require
them to deliver the required records within 30 days after they
discontinue business to the ATF Out-of-Business Records Center. The GCA
and its regulations do not address how long ATF retains out-of-business
records (``OOB records''). Currently, ATF maintains all OOB records
indefinitely.
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\6\ ATF final rule, ``Definition of `Frame or Receiver' and
Identification of Firearms,'' 87 FR 24652 (April 26, 2022).
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Table 1 summarizes the records retention requirements for each type
of licensee over time.
Table 1--Summary of Records Retention Periods Over Time, by Licensee Type *
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Current (since
1969 1985 2022) Proposed
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Manufacturers Retain all records Retain Discard Retain all
Importers until business or acquisition records disposition records acquisition records
licensed activity is permanently. 1968 or older. permanently,
discontinued Retain Retain all including records
Forms 4473 for 20 A&D records 1969 on prior to 1968
years. until FFL Retain all
Retain discontinues other records for
other disposition business. 20 (or 30) years
records for 20 Can store Can store
years. closed records over closed records over
20 years old off 20 years old off
site. site
[[Page 24415]]
Dealers Discard all Discard all Retain all
Collectors records 1968 or records 1968 or records for 20 (or
older. older. 30) years
Retain Retain all Retain all
Forms 4473 from A&D records 1969 on records at business
1969 onward for 20 until FFL premises
years. discontinues
Retain business.
other transaction Can store
records for 20 closed records over
years. 20 years old off
site.
Manufacturers, ...................... .................... Retain Retain
importers, and Forms 3310.4 Forms 3310.4 and
dealers (multiple sales 3310.12 (multiple
reports, pistols/ sales reports,
revolvers) for five pistols/revolvers
years. and certain rifles)
Retain for five years
Forms 3310.11 Retain
(theft/loss Forms 3310.11
reports) for five (theft/loss
years. reports) for five
years
Retain
Forms 4473
initiated, but not
completed, for five
years
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* Acquisition records in this table include all methods of acquisition pertinent to the type of licensee,
including manufacturing and importing records. Similarly, disposition records include all methods of
disposition pertinent to the type of licensee, including sales. Acquisition records from 1985 onward also
include Forms 4473 unless specifically mentioned in a bullet point.
The record retention requirements imposed on most licensee records
have been based on two principles. For investigating criminal activity,
records retained by FFLs allow ATF to trace, by firearm serial number
and firearm identifying information, ownership of firearms recovered at
or used in crimes, a function particularly important in support of
federal, state, and local law enforcement. Retained records also help
enforce federal regulatory requirements. When prosecuting criminal
cases for violations of the GCA, the government may also rely on
licensee records to establish through record-keeping that the firearm
has moved between FFLs of different states or countries. More
importantly, licensed importer and manufacturer acquisition (``I&M
acquisition'') records identify the location from which the firearm was
manufactured or imported to demonstrate the firearm's introduction and
movement in commerce and the firearm's age.
Likewise, ATF uses OOB records submitted to ATF and maintained by
NTC to respond to crime gun trace requests. NTC converts OOB records
into digital images after it receives them and stores them in the
Enterprise Content Management (``ECM'') Image Repository for use in the
tracing process. All images that are electronically stored in the ECM
repository are retrievable in accordance with law, regulation, and
policy, but are not searchable by an individual's name or other
personal identifiers or through character recognition. For fiscal year
(``FY'') 2024, NTC conducted 614,995 traces and as of June 11, 2025
when this proposed rule was first drafted, had conducted 420,762 traces
for FY 2025. At that same time, NTC held approximately 1.3 billion
images of records and as of June 11, 2025, NTC received approximately
6.8 million OOB records per month in FY 2025. The NTC estimates that
500 million images in the OOB records are older than 20 years.
II. Proposed Rule
ATF is proposing revisions to Sec. Sec. 478.127 and 478.129 to
adjust the records retention periods for licensee A&D records, Forms
4473, other licensee records, and NTC's out-of-business records, as
discussed in detail below. In addition, ATF is proposing some
structural changes to the sections to better clarify the different
record provisions, and is proposing some minor technical edits to
conform with plain writing requirements and updates to ATF forms,
numbers, and titles.
A. Reducing Licensee A&D Records Retention Periods
As of FY 2024, there were 128,960 active FFLs faced with the costs
of retaining, on a permanent basis, A&D records for firearms.
Electronic record-keeping systems compliant with ATF's past
requirements often require a financial investment in computer hardware,
software, and training. The older the firearm, the more likely it has
been transferred on the secondary market. As a result, the ability to
trace crime guns to a purchaser or determine their movement in
interstate or foreign commerce decreases with time because licensee
records do not cover transfers on the secondary market. As a result,
the utility of older records for tracing firearms does not outweigh the
increased cost of permanently retaining electronic or paper records.
Statistical data maintained by NTC establishes that there has been
a steady increase since FY 2014 in the percentage of completed traces
to a purchaser using records up through 20 years old. In FY 2014,
approximately 73 percent (153,629 of 210,312) of completed traces
identified a purchaser using records up through 20 years old. Tables 2,
3, and 4 below show the remaining total number of traces completed
using records over 20 years old in FY 2014, FY 2019, and FY 2024 and
2025, respectively. Column two in each table contains the subset of
column 1's traces that use records over 25 years old, and column three
contains the subset of column 2's traces that use records over 30 years
old, illustrating the diminishing number of records used in traces as
firearms get older.
[[Page 24416]]
Table 2--FY 2014
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Over 25 years Over 30 years
Over 20 years FY 2014 FY 2014 FY 2014
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56,620.................................. 35,162 23,758
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In FY 2019, approximately 82 percent (253,239 of 308,660) of traces
identified a purchaser using records less than 20 years old.
Table 3--FY 2019
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Over 25 years Over 30 years
Over 20 years FY 2019 FY 2019 FY 2019
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55,421.................................. 40,871 25,710
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More recent data, for FY 2024 and FY 2025, shows a further decline
in records over 20 years old used in traces, as approximately 89
percent (414,405 of 464,325) of successful traces in FY 2024 identified
a purchaser using records less than 20 years old, and the same in FY
2025 (426,429 of 477,401).
Table 4--FY 2024 and FY 2025
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FY Over 20 years Over 25 years Over 30 years
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2024...................................................... 49,920 39,229 29,377
2025...................................................... 24,885 19,374 14,880
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Thus far, NTC's most recent data indicates that this trend has
continued in FY 2026, with approximately 89 percent (203,927 of
228,812) of successful traces in the first half of FY 2026, as of March
31, 2026, requiring records less than 20 years old.
Similarly, prior to implementing 2022's expanded permanent
retention period, the small percentage of traces that could not be
completed due to lack of records over 20-years old showed an overall
decline. ATF uses a specific closure designation for traces when a
licensee informs ATF that it does not have records for that firearm
because the records were more than 20 years old and had been destroyed.
In FY 2014, ATF conducted 350,063 traces. Of these, 0.34 percent, or
1,175, were closed for this reason. Of 469,842 total traces in FY 2020,
only 0.31 percent, or 1,463, traces were closed for the above reason,
and FY 2021 saw another decline in traces closed with this designation
to 0.26 percent, or 1,349, out of 528,058 traces.
The declines in both the percentage of traces using records over 20
years old and those closed because the dealer did not maintain records
beyond the 20-year requirement indicate a diminishing need to access
records older than 20 years. This is attributable, in part, to an
increase in the share of traced firearms with a time-to-crime interval
(``TTC'') less than 20 years. A firearm's TTC is the length of time
between the date of a firearm's last known purchase to the date law
enforcement recovers it as a crime gun. ATF calculated the TTC for
nearly all (1,479,046) of the 1,482,861 firearms traced to a purchaser
between 2017 and 2021. For the entire period, over 87 percent of the
traced crime guns had a TTC of 20 years or less. The median TTC for all
firearms was 1,293 days or slightly more than three years, meaning that
half of the traced crime guns were purchased within this time period.
And approximately 24 percent of all firearms were purchased within one
year of their recovery. Between 2017 and 2021, the percentage of
firearms with a TTC of less than one year and less than three years
steadily increased. In 2017, 19.3 percent of recovered firearms had a
TTC of less than one year and 40 percent had a TTC of less than three
years. By 2021, those percentages increased to 32.3 percent of
recovered firearms with a TTC of less than one year and 53.9 percent
with a TTC of less than three years.\7\
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\7\ ATF, National Firearms Commerce and Trafficking Assessment
(NFCTA): Crime Gun Intelligence and Analysis--Volume Two, part III
(March. 27, 2024), https://www.atf.gov/firearms/docs/report/nfcta-volume-ii-part-iii-crime-guns-recovered-and-traced-us/download
[https://perma.cc/5TJX-3P5W].
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The decreasing need to utilize records over 20 years old, and the
even greater decrease in utility of records more than 30 years old, to
trace a firearm to a purchaser--caused in part by shorter TTC periods
and lower median age of recovered firearms--demonstrate that a 20-year
or 30-year records retention period and reducing the volume of older
records maintained by NTC would not have a significant impact on ATF's
capability to trace crime guns. As a result of these facts and the
administrative burdens on the firearms industry and the government from
retaining records indefinitely, ATF is proposing to reduce the records
retention periods in Sec. 478.129 for all firearms acquisition and
disposition records except I&M acquisition records \8\ to 20 or 30
years. ATF is considering whether to establish the retention period at
20 years or 30 years as an appropriate balance between the cost of
maintaining records for longer periods and the public safety interest
in being able to trace more crime guns and to more quickly apprehend
perpetrators of crimes involving firearms. Although fewer records 26-30
years old or over 30 years old have been necessary to trace crime guns
in recent years, there are still
[[Page 24417]]
traces that involve these older records. For example, the data in Table
4 shows that in 2024, roughly 39,229 traces involved records over 25
years old and 29,377 traces involved records over 30 years old. This
means that, in 2024, the percentage of successful crime gun traces
increased from 89 to 94 percent when records up to 30 years old were
available, resulting in almost 10,000 additional successful traces.
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\8\ As noted above, because these records are needed for
prosecutions and collectible classifications, I&M acquisition
records have had a permanent retention period since the GCA was
passed in 1968, and FFLs were also required to retain such records
from before 1968. The need for these older records still exists, so
they would remain under a permanent retention period. These records
also do not identify the ultimate owner of the firearm in most
cases.
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ATF seeks comments on whether the costs of retaining these records
for an extra ten years (30 years instead of 20) would be sufficiently
offset by the public safety benefit of maintaining this traceability.
See further discussion in this section (above) and in section III.A of
this preamble for more information on the age distribution of records
used for firearms tracing over the past ten years.
1. Paragraph 478.129(b), Forms 4473
This rule proposes to remove the requirement in Sec. 478.129(b)
that FFLs must retain Forms 4473 permanently and replace it with a
requirement that FFLs retain Forms 4473 for either 20 or 30 years.
Currently, Sec. 478.129(b) states that ``Licensees shall retain each
Form 4473 until business or licensed activity is discontinued, either
on paper, or in an electronic alternate method approved by the
Director, at the business premises readily accessible for inspection
under this part.'' ATF proposes to replace this provision with ``FFLs
must retain each Firearms Transaction Record (ATF Form 4473) for no
less than 20 [or 30] years from the date on which they sell or
otherwise dispose of a firearm.''
Paragraph Sec. 478.129(b) also states that the records must be
maintained in either paper or an electronic alternate method approved
by the Director, at the business premises, and readily accessible for
inspection under this part. These requirements would remain but in
separate sentences that include some minor plain writing edits for
readability.
In addition, ATF is proposing to separate into two sub-paragraphs
the general requirements for retaining the Forms 4473 mentioned above
and the existing records provisions for retaining Forms 4473 associated
with non-completed transactions, including headings to help distinguish
them. The requirements for retaining forms associated with non-
completed transactions would remain the same but would have minor plain
writing edits to make them easier to read.
In another rulemaking, ATF is proposing to incorporate into its
regulations the ability for licensees to use Forms 4473 when they
conduct background checks for private parties transferring a firearm
between themselves, and when licensees conduct voluntary firearm
handler background checks (``FHCs'') of certain current or prospective
employees. Although licensees may use Forms 4473 when they facilitate
private-party transfers, that has not been in ATF's regulations, and
the FHC use is new. ATF proposes to clarify, as part of incorporating
these uses into the regulations, that these records are not part of a
licensee's required A&D records and are thus not subject to other
regulatory and enforcement requirements. This has been a source of
confusion for licensees using Forms 4473 for private-party transfers.
As a result, ATF also proposes adding two new sub-paragraphs that
would specify the minimum length of time FFLs must retain Forms 4473
used to facilitate a private-party transfer process or to conduct a
voluntary FHC. In both cases, ATF proposes that licensees would retain
those Forms 4473 for no less than 90 days (three months) from the date
on which they initiate the associated background check. Three months
corresponds with the time until the Federal Bureau of Investigation's
National Instant Criminal Background Check System (``NICS'') purges
transaction information. During that period, NICS can research a
``delayed'' response and has that period to research and resolve the
check, so retaining the forms for that period would be consistent with
the time to resolve open FHC or private party checks. ATF would also be
able to research issues in other contexts, for example, an FBI NICS
audit log that shows an extra background check the licensee conducted
but for which there is no Form 4473 in the licensee's records; ATF
would be able to use these temporary forms to clarify that the licensee
conducted the background check to facilitate a private-party transfer.
Similarly, ATF would be able to clarify that a transaction involving a
missing firearm from licensee inventory was incorrectly checked as a
private-party transfer on the form and verify that the licensee did
indeed complete the required form and background check for that
transaction. However, ATF would not inspect these forms as records in
their own right (unless they happen to be erroneously marked as
private-party transfers when they are not) because they do not involve
FFL transactions, and licensees therefore do not need to retain them
longer than three months.
ATF believes that allowing licensees to destroy these records after
90 days would best provide for public safety. A short retention period
would encourage more individuals to perform voluntary background checks
before transferring firearms on the secondary market. A longer, or
permanent, sales record retention period could raise privacy concerns
among private party sellers and purchasers. This privacy interest could
cause private parties to choose to sell their firearms without a
background check if licensees were required to retain them for longer
periods. These transactions have also not historically been subject to
any records retention period under federal law, so a short retention
period does not materially change the status quo when it comes to
tracing.
However, the paragraph on private-party transfers would also
include a five-year retention period for Forms 4473 associated with
NICS background checks that receive a ``denied'' response from NICS
because the prospective transferee would be a prohibited person under
law. This five-year retention period for transactions with a ``denied''
response is consistent with the relevant statute of limitations under
federal law, 18 U.S.C. 3282, and would facilitate investigations and
prosecutions for unlawful possession, disposition, or attempted
unlawful purchase or possession under applicable federal, state, and
local laws.
2. Paragraphs 478.129(d) and (e), Licensee A&D Records (Importers,
Manufacturers, Dealers, and Collectors)
Paragraph (d) of Sec. 478.129 addresses I&M acquisition records,
which, as discussed above, would continue to have an indefinite, or
permanent, retention period under this proposed rule for the legal
process reasons discussed in the preamble. ATF would retain this
paragraph essentially as is but would incorporate into it the
requirement implicit in Sec. 478.129(a) that such records include
those from prior to 1968, because ATF is proposing to remove Sec.
478.129(a). These sentences would include some minor plain writing
edits to make them easier to read, and to remove old language.
Similarly, to Forms 4473, ATF is proposing to remove the
requirement in Sec. 478.129(e) that licensees must retain firearms A&D
records permanently and is instead proposing that FFLs would retain all
such records (other than those covered under Sec. 478.129(d)) for
either 20 or 30 years. Currently, Sec. 478.129(e) requires licensed
dealers and collectors to retain firearm sales or disposition records
and corresponding acquisition records until the business or licensed
activity is discontinued. ATF proposes to replace this provision with
[[Page 24418]]
``Licensees must retain records required by this part for no less than
20 [or 30] years from the date on which they sell or otherwise dispose
of a firearm.'' ATF also proposes to add a second sentence with
language that helps better clarify the types of records covered by this
provision, but that does not substantively change the content currently
in this paragraph: ``For each firearm, retained records include the
firearm's acquisition records (purchase, receipt, or other
acquisition), and corresponding disposition records (sale or other
disposition).'' The paragraph would also continue to require that
``Licensees must maintain the records in either paper or an electronic
alternate method approved by the Director, at the business premises,
and readily accessible for inspection under this part.'' These
sentences also include some minor plain writing edits to make them
easier to read, and to remove old language.
Along with these changes, ATF also proposes removing the off-site
storage provision from Sec. 478.129(d) if ATF changes the records
retention period for these records to 20 years but would revise it if
ATF changes the records retention period to 30 years. The provision
currently allows FFLs to store paper records at a separate location
provided the records have no open dispositions and do not have a
disposition recorded within 20 years. If ATF changes the retention
period to 20 years, this provision would no longer be necessary because
FFLs would no longer retain these records longer than 20 years. If ATF
elects to establish a 30-year retention period instead, ATF would
revise the sentence to read, ``Licensees may store paper records that
do not contain any open entries and with no acquisitions recorded
within 20 years at a separate warehouse, which ATF will consider as
part of the business premises for this purpose and which will be
subject to inspection under this part.''
However, because licensees expressed confusion in the past--when
records were previously retained for 20 years--about how to determine
the 20-year point for a record containing multiple transactions, which
often span years, ATF is proposing a replacement provision to address
this subject, which would apply to either retention period. ATF
therefore proposes adding a sentence clarifying that the 20-year-point
[or 30-year-point] for such records would be 20 years [or 30 years]
after the most recent disposition date in the record.
B. Removing Obsolete Provisions and Adding an Existing Form in Sec.
478.129
1. Paragraph 478.129(c), Reports of Multiple Sales or Other Disposition
and Theft/Loss
Although Sec. 478.129(c) is not undergoing a change to the records
retention period for these reports, ATF is proposing to add ATF Form
3310.12, Report of Multiple Sale or Other Disposition of Certain
Rifles, and to remove references to ATF Form 5300.35, Statement of
Intent to Obtain a Handgun. Form 3310.12 already has a five-year
retention period, as do the other forms in this paragraph, but it has
not been specifically listed with the other multiple sale report for
pistols and handguns, ATF Form 3310.4, because it was not in place when
the regulatory provision was last drafted. ATF proposes rectifying this
for clarity. In Sec. 478.129(c), ATF therefore proposes to amend the
paragraph by adding ``and Form 3310.12 (Report of Multiple Sale or
Other Disposition of Certain Rifles)'' to the sentence ``Licensees must
retain each copy of Form 3310.4 (Report of Multiple Sale or Other
Disposition of Pistols and Revolvers) for no less than five years after
the date they sell or otherwise dispose of the firearms.'' In addition,
ATF proposes to amend the paragraph heading to remove the clause ``of
pistols and revolvers'' to reflect that it would include both kinds of
multi-sale reports.
With regard to removing references to Form 5300.35, ATF proposes to
further amend the heading of Sec. 478.129(c) by removing the clause
``Statement of intent to obtain a handgun'' and proposes to remove from
the paragraph the sentence, ``Licensees shall retain each Form 5300.35
(Statement of Intent to Obtain a Handgun(s)) for a period of not less
than 5 years after notice of the intent to obtain the handgun was
forwarded to the chief law enforcement officer, as defined in Sec.
478.150(c).'' ATF is proposing these changes because Form 5300.35 was a
predecessor form to Form 4473 and is obsolete.
2. Paragraphs 478.129(a) and (f), Records Prior to GCA and Records of
Semiautomatic Assault Weapon Transactions
ATF is also proposing to remove Sec. 478.129(a) and (f) because
they are obsolete. Paragraph (a) was included in the regulation to
clarify which A&D records generated prior to 1968 were subject to the
provisions of the GCA passed that year. It has been almost 60 years
since this paragraph was added, and this provision is no longer
necessary for most records, especially because ATF is also proposing to
reduce the retention period for most records to 20 [or 30] years. ATF
proposes to remove paragraph (a) and to move the portion of paragraph
(a) that pertains to I&M acquisition records to paragraph (c), which
covers such records. Along with removing Sec. 478.129(a), this
proposed change would include redesignating the subsequent paragraphs
from (b) through (e) to (a) through (d).
Paragraph (f), on semiautomatic assault weapon records, was added
in 1994, to reflect the assault weapons ban incorporated in subtitle A
of title XI of the Violent Crime Control and Law Enforcement Act of
1994 (Pub. L. 103-322, 110101, 108 Stat. 1796, 2011 (1994)). However,
the assault weapons ban expired ten years later, in 2004, at which time
the statutory requirements ceased. As a result, this corresponding
regulatory provision is obsolete, and ATF proposes removing it.
C. Reducing Retention Period for NTC's Out-of-Business Records in Sec.
478.127
The GCA's requirement that licensees provide their records to ATF
when they discontinue business has historically been subject to
considerable scrutiny and legislative activity. For 33 years, FY 1979
to FY 2011, ATF's annual appropriations included a proviso prohibiting
ATF to expend appropriated funds in connection with consolidating or
centralizing firearms records maintained by FFLs. In FY 2012, the
restriction was made permanent.\9\ In 1986, the Firearms Owners'
Protection Act amended the GCA to prohibit a registry of firearms,
firearms owners, or firearms traffic.\10\ Public Law 99-308, 100 Stat.
449, 459 (1986). A 2016 Government Accountability Office (``GAO'')
audit examined ATF's compliance with these, and other, registry
prohibitions. The audit was initiated due to perceptions that ATF's
Out-of-Business Record Imaging System (``OBRIS'') was not in compliance
with the laws and prohibitions, though GAO found otherwise.\11\ Despite
this finding, recent bills, such as the Shall Not Be Infringed Act of
2023 \12\ (preventing registry expansion through eTrace modernization
efforts) and the No Retaining Every Gun In a System That
[[Page 24419]]
Restricts Your Rights Act \13\ (requiring destruction of all OOB
records) highlight ongoing concerns with ATF retaining OOB records and
trace information. Changing the current retention period would
significantly reduce the volume of records retained by ATF and
alleviate concerns that ATF might have established or will establish a
registry of firearms, firearms owners, or firearms transactions.
---------------------------------------------------------------------------
\9\ Consolidated and Further Continuing Appropriations Act,
2012, Public Law 112-55 (November 18, 2011), 125 Stat. 552, 609.
\10\ Public Law 99-308 (May 19, 1986), 100 Stat. 449, 459.
\11\ U.S. Gov't Accountability Office, GAO-16-552, Firearms
Data: ATF Did Not Always Comply with the Appropriations Act
Restriction and Should Better Adhere to Its Policies (2016), https://www.gao.gov/assets/gao-16-552.pdf [https://perma.cc/XX3V-VAD4].
\12\ H.R. 3212, 118th Cong. (2023).
\13\ H.R. 563, 119th Cong. (2025).
---------------------------------------------------------------------------
ATF records indicate that the number of OOB traces that use OOB
records over 20 years old has decreased steadily since 2011. In 2011,
approximately 39 percent (41,652) of OOB traces used records over 20
years old. In 2024, approximately 21 percent (48,319) of OOB traces
used records over 20 years old, and approximately 12 percent (29,060)
of OOB traces used records over 30 years old. In 2025, approximately 20
percent (50,869) of OOB traces used records over 20 years old and
approximately 12 percent (30,934) of OOB traces used records over 30
years old. The trend since 2011 has been a decrease in the percentage
of OOB records used that are more than 20 or 30 years old.
ATF is therefore proposing to limit the period NTC retains OOB
records to no longer than 20 years [or 30 years] from the date it
receives the records. Specifically, ATF proposes revising Sec. 478.127
to include this retention period for OOB records and to update the
existing language to be more streamlined and in plain writing. This
proposed section would continue to state that licensees that
discontinue operations do not have to transfer records to ATF when a
successor assumes the business, but it would maintain the requirement
that FFLs that discontinue business absolutely must transfer their
records. It would also continue to include the location to which the
business must transfer the records and specify that the chief of ATF's
Federal Firearms Licensing Center may arrange for the records to
instead be delivered to another authority when required by state law or
local ordinance. This information is not changing in substance from
current requirements. However, the 20[or 30]- year retention period
would not apply to I&M acquisition records, for the legal reasons
described above. These records also lack the concerns raised by some
parts of the public about gun owner privacy and having a de facto sales
registry. This is because I&M acquisition records in general reflect
disposition to a wholesaler or retail dealer, but rarely to a consumer,
and I&M acquisition records in particular reflect acquisition from or
manufacture by another FFL or company, not a consumer. These records,
thus, have no utility for determining which citizens own particular
firearms. In addition, ATF would include the provision discussed above
on retaining such records at ATF: ``ATF will retain records delivered
to and maintained at ATF's Out-of-Business Records Center for no longer
than 20 [or 30] years from the date they receive the records.'' ATF
seeks comments on the length of the proposed records retention period,
whether 20 or 30 years, for licensee records.
III. Statutory and Executive Order Review
A. Executive Orders 12866 and 13563
Executive Order 12866 (Regulatory Planning and Review) directs
agencies to assess the costs and benefits of available regulatory
alternatives and, if regulation is necessary, to select regulatory
approaches that maximize net benefits.
Executive Order 13563 (Improving Regulation and Regulatory Review)
emphasizes the importance of agencies quantifying both costs and
benefits, reducing costs, harmonizing rules, and promoting public
flexibility.
This proposed rule amends 27 CFR 478 to reduce the current
requirement for licensees to retain firearms A&D records permanently
down to retaining such records for 20 [or 30] years. A similar 20-year
retention period existed before 2022, and this change represents a cost
savings to industry. The proposed rule also establishes a similar
retention period for out-of-business records transferred to ATF, which
does not have a cost on regulated industry but may have a cost impact
on the public in the form of marginally greater public safety risk.
The Office of Management and Budget (``OMB'') has determined that
this proposed rule would not be a ``significant regulatory action''
under Executive Order 12866. Therefore, it did not review this rule.
ATF provides the following analysis to comply with Executive Orders
12866 and 13563.
1. Need Statement
While existing federal regulations (Sec. 478.129(b), (c), and (d))
require licensees to retain manufacturing, importing, or other
acquisition records, and sale or other disposition records, for
firearms until they discontinue the business or licensed activity, the
requirements were term-limited to 20 years for all records--except
importer and manufacturer acquisition records, which were indefinite--
from 1985 until ATF's 2022 rulemaking that began requiring indefinite
periods for other A&D records as well.
Records retained by licensees allow ATF to trace ownership of
firearms recovered at or used in crimes, a function particularly
important in support of federal, state, and local law enforcement.
However, statistical data maintained by NTC establishes that there has
been a steady increase since FY 2014 in the percentage of completed
traces to a purchaser using records less than 20 years old, and a
corresponding decrease in the need to utilize records over 20 years old
to trace a firearm to a purchaser--caused in part by short TTC periods
and lower median age of recovered firearms. Since 2022, however,
approximately 128,960 active FFLs have been facing costs of retaining,
on a permanent basis, A&D records for firearms. The older the firearm,
the more likely it has entered the secondary market and may have been
transferred multiple times. As a result, the ability to trace crime
guns through licensee records decreases over time because licensee
records do not cover transfers on the secondary market. As a result,
the utility of older records does not outweigh the increased cost of
permanently retaining electronic or paper records.
2. Benefits
Reducing the records retention period for licensee A&D records and
Forms 4473 from permanent to 20 or 30 years would benefit FFLs. Based
on current ATF data on active FFLs, out of 79,378 licensees, only
13,729 had their license originally issued prior to December 31, 2005
(20 years ago). Accordingly, only 17 percent of all FFLs have been
licensed for 20 years or more. This minority of licensees were also
offered several accommodations when regulations were finalized in 2022
requiring a permanent records retention period, including an
accommodation for electronic storage of records older than 20 years,
and allowance for off-site storage to accommodate the printed records
that they would start to retain. These accommodations make it less
likely that this proposed rule would help licensees recover sunk costs,
such as those for expanding storage facilities or converting to
digitized retention or electronic records, of compliance with the
current rule. Further, ATF estimates only a de minimis number of FFLs
incurred these costs because it is likely that large dealers maintain
established record-keeping systems capable of complying with the
current or proposed regime equally. On the other hand,
[[Page 24420]]
smaller dealers--though having faced less than three years of new
records (which would not be impacted by the proposed rule because they
are still younger than 20 years)--would have facilitated their
compliance by using digital or off-site accommodations based on their
level of operations and storage needs. The cost savings are thus
difficult to quantify precisely as many costs associated with increased
storage would have been incurred going forward under the current rule
but may not have yet accrued. Therefore, ATF expects a qualitative
benefit to accrue to the industry, yet of unknown magnitude and number
of beneficiaries.
3. Costs
ATF expects that reducing the required record retention period from
permanent to the 20-year [or 30-year] limit that was in effect prior to
2022 would have a limited number of costs and potential risks to public
safety.
The primary source of any potential risk would be the possibility
that ATF is unable to complete a small portion of firearm trace
requests from federal, state, and local law enforcement if they pertain
to a firearm sold over 20 [or 30] years ago. These failed trace
requests may include high-profile urgent traces. However, firearms of
that age may be more commonly involved in inheritance transfers and
secondhand sales, for which ATF has no data, and thus a lesser ability
to trace.
To better determine this potential risk, ATF must first examine the
frequency of such traces that stem from firearms over 20 [or 30] years
old.
Based on data from ATF's National Tracing Center, Table 4 shows the
distribution of firearm tracing requests based on the age of the
firearm records utilized to identify a purchaser.
Table 4--Age of Firearm Records Required To Identify a Purchaser
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Fiscal year <5 Yrs 5-10 Yrs 10-15 Yrs 15-20 Yrs 20-25 Yrs 25-30 Yrs 30-35 Yrs 35-40 Yrs 40-45 Yrs 45-50 Yrs 50-55 Yrs 55+ Yrs
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
2015........................................................ 82,919 41,958 20,981 17,912 20,605 11,296 9,032 6,980 5,372 1,529 105 117
2016........................................................ 100,167 45,388 22,559 17,908 20,196 11,920 8,500 7,509 5,714 2,226 226 189
2017........................................................ 116,408 52,635 24,244 17,244 18,772 13,068 8,288 7,510 5,531 2,848 315 247
2018........................................................ 127,692 64,411 27,232 17,473 17,230 15,497 8,737 7,720 5,559 3,699 546 339
2019........................................................ 137,627 69,977 29,768 15,867 14,550 15,161 8,268 7,034 5,379 4,045 715 269
2020........................................................ 162,273 74,082 30,464 15,476 13,077 14,394 7,861 6,106 4,959 3,783 804 46
2021........................................................ 217,873 84,446 30,465 14,834 11,480 12,897 7,510 5,309 4,824 3,687 1,256 77
2022........................................................ 253,062 93,476 36,075 15,979 11,346 12,550 8,707 5,451 5,285 3,797 2,060 149
2023........................................................ 259,614 100,002 43,215 17,741 11,334 11,353 10,144 5,833 5,540 4,102 2,620 416
2024........................................................ 246,592 101,391 46,370 20,052 10,691 9,852 10,686 5,911 5,172 4,036 2,983 589
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Based on the above distribution, the age of the firearms being
traced is predominantly less than five years old, followed by those
aged between five and ten years, 10 to 15 years, and 15 to 20 years.
After 20 years, firearms are generally traced less frequently, but
inconsistently so, and the reduction is not always linear. For example,
in 2024 more traces involved firearms between 30 and 35 years old than
those aged 25 to 30 years, and in 2022 there were more traces for
firearms aged 25 to 30 years old than for those aged 20 to 25 years,
while in 2019 there were more aged 25 to 30 years old than aged 20 to
25 years. Generally, however, the older the gun, the fewer the traces
received for it. Presented as a percentage, Table 5 includes this
distribution in more aggregate terms.
Table 5--Age of Firearm Records Required To Identify a Purchaser by Aggregates
--------------------------------------------------------------------------------------------------------------------------------------------------------
Total traces 0-20 Y total Percentage 0-25 Y total Percentage 0-30 Y total Percentage
Fiscal year to purchaser traces using 0-20 Y traces using 0-25 Y traces using 0-30 Y
--------------------------------------------------------------------------------------------------------------------------------------------------------
2015.................................... 218,806 163,770 75 184,375 84 195,671 89
2016.................................... 242,502 186,022 77 206,218 85 218,138 90
2017.................................... 267,110 210,531 79 229,303 86 242,371 91
2018.................................... 296,135 236,808 80 254,038 86 269,535 91
2019.................................... 308,660 253,239 82 267,789 87 282,950 92
2020.................................... 333,325 282,295 85 295,372 89 309,766 93
2021.................................... 394,658 347,618 88 359,098 91 371,995 94
2022.................................... 447,937 398,592 89 409,938 92 422,488 94
2023.................................... 471,914 420,572 89 431,906 92 443,259 94
2024.................................... 464,325 414,405 89 425,096 92 434,948 94
--------------------------------------------------------------------------------------------------------------------------------------------------------
As shown in Table 5, the vast majority of traces requested used
records within the 20-year-old age group. In 2024, 89 percent of traces
requested used records under 20 years old, 92 percent used records
under 25 years old, and 94 percent used records under 30 years old. The
percentage of successful crime gun traces increased from 89 to 94
percent when records up to 29 years old were available, resulting in
almost 10,000 additional successful traces.
Table 6--Age of Firearm Records Required to Identify a Purchaser by Percentage
----------------------------------------------------------------------------------------------------------------
Percentage Percentage Percentage
Traces Traces Traces of traces of traces of traces
Fiscal year beyond 0- beyond 0- beyond 0- beyond 0- beyond 0- beyond 30
20 Y 25 Y 30 Y 20 Y 25 Y Y
----------------------------------------------------------------------------------------------------------------
2015.................................... 55,036 34,431 23,135 25 16 11
2016.................................... 56,480 36,284 24,364 23 15 10
2017.................................... 56,579 37,807 24,739 21 14 9
2018.................................... 59,327 42,097 26,600 20 14 9
2019.................................... 55,421 40,871 25,710 18 13 8
2020.................................... 51,030 37,953 23,559 15 11 7
[[Page 24421]]
2021.................................... 47,040 35,560 22,663 12 9 6
2022.................................... 49,345 37,999 25,449 11 8 6
2023.................................... 51,342 40,008 28,655 11 8 6
2024.................................... 49,920 39,229 29,377 11 8 6
----------------------------------------------------------------------------------------------------------------
Table 6 calculates the inverse, with the numbers and percentage of
firearm traces that were received that used records older than 20
years, 25 years, and 30 years, which in 2024 amounted to 11 percent, 8
percent, and 6 percent, respectively. Therefore, based on volume from
the most recent 2024 fiscal year, under a 20-year retention limit,
49,920 additional traces would be unsuccessful because they would need
records over 20 years old (Table 6). If there was a 25-year retention
period, then the additional unsuccessful traces would be reduced from
49,920 to 39,229. And finally, if there was a 30-year retention period,
the number would be 29,377 unsuccessful traces. While inference on
risks to public safety are difficult to make definitively, and most
traces occur within the first 20 years as shown above, the remaining
traces that would be unsuccessful as a result of the proposed rule
could delay or hinder federal, state, and local law enforcement efforts
to track and stop violent offenders.
4. Regulatory Alternatives
Alternatives 1 and 2: Guidance or No Action (Keeping Indefinite
Retention Period)
ATF considered issuing guidance on records retention periods, as
well as not issuing a rulemaking on the issue, also known as the no-
action alternative. The decreasing need to utilize records over 20
years old--caused in part by short TTC periods and lower median age of
recovered firearms--demonstrate that a 20-year or 30-year records
retention period and reducing the volume of older records maintained by
NTC would not have a significant impact on ATF's capability to trace
crime guns. Accordingly, the requirement to maintain permanent records
of all firearms transactions is not justifiable based on the cost and
administrative burden to both the firearms industry and the government.
ATF also considered the alternative of affecting the proposed change
through guidance instead of rulemaking. However, because the
requirement is already in a regulation, revising the requirement must
also be accomplished via rulemaking.
Alternative 3: 20-Year Retention Period Versus 30-Year Retention Period
ATF considered reducing the records retention period to 20 years,
as it was prior to 2022, or to 30 years. Considerations in favor of 20
years were predominantly based on the longstanding practice and
precedent that had been in place prior to 2022, except for I&M
acquisition records. Returning to this retention period would offer
familiarity and thus greater ease of compliance to industry.
Alternatively, proposing a 30-year retention requirement would
similarly reduce storage burdens compared to the current post-2022
baseline of indefinite records, but would secure an additional ten
years of records to facilitate possible traces for ATF and federal,
state, and local law enforcement. The difference in estimated benefits
and costs between the 20- and 30-year retention periods appears to be
marginal, according to ATF tracing data presented above. ATF invites
public comment on these two possible retention periods to further
inform ATF's decision between these options. ATF will decide on one of
these periods for the final rule.
B. Executive Order 14192
Executive Order 14192 (Unleashing Prosperity Through Deregulation)
requires an agency, unless prohibited by law, to identify at least ten
existing regulations to be repealed or revised when the agency publicly
proposes for notice and comment or otherwise promulgates a new
regulation that qualifies as an Executive Order 14192 regulatory action
(defined in OMB Memorandum M-25-20 as a final significant regulatory
action under section 3(f) of Executive Order 12866 that imposes total
costs greater than zero). In furtherance of this requirement, section
3(c) of Executive Order 14192 requires that any new incremental costs
associated with such new regulations must, to the extent permitted by
law, also be offset by eliminating existing costs associated with at
least ten prior regulations. However, this proposed rule would not be
an Executive Order 14192 regulatory action because it is not a
significant regulatory action as defined by Executive Order 12866 and
it would not impose total costs greater than zero. ATF therefore
expects this rule, if finalized as proposed, to qualify as an Executive
Order 14192 deregulatory action (defined by OMB Memorandum M-25-20 as a
final action that imposes total costs less than zero).
C. Executive Order 14294
Executive Order 14294 (Fighting Overcriminalization in Federal
Regulations) requires agencies promulgating regulations with criminal
regulatory offenses potentially subject to criminal enforcement to
explicitly describe the conduct subject to criminal enforcement, the
authorizing statutes, and the mens rea standard applicable to each
element of those offenses. This proposed rule would not create a
criminal regulatory offense and is thus exempt from Executive Order
14294 requirements.
D. Executive Order 13132
This proposed rule would not have substantial direct effects on the
states, the relationship between the federal government and the states,
or the distribution of power and responsibilities among the various
levels of government. Therefore, in accordance with section 6 of
Executive Order 13132 (Federalism), the Director has determined that
this proposed rule would not impose substantial direct compliance costs
on state and local governments, preempt state law, or meaningfully
implicate federalism. It thus does not warrant preparing a federalism
summary impact statement.
E. Executive Order 12988
This proposed rule meets the applicable standards set forth in
sections 3(a) and 3(b)(2) of Executive Order 12988 (Civil Justice
Reform).
F. Regulatory Flexibility Act
Under the Regulatory Flexibility Act (``RFA''), 5 U.S.C. 601-612,
agencies are required to conduct a regulatory flexibility analysis of
any proposed rule subject to notice-and-comment rulemaking requirements
unless the
[[Page 24422]]
agency head certifies, including a statement of the factual basis, that
the proposed rule would not have a significant economic impact on a
substantial number of small entities. Small entities include certain
small businesses, small not-for-profit organizations that are
independently owned and operated and are not dominant in their fields,
and governmental jurisdictions with populations of less than 50,000.
The Director certifies, after consideration, that this proposed
rule would not have a significant economic impact on a substantial
number of small entities. This proposed rule is deregulatory in nature
and would provide savings to the regulated industry. It reduces the
length of time persons would have to store records, which reduces costs
to small entities, and it imposes no additional burdens or costs.
G. Unfunded Mandates Reform Act of 1995
This proposed rule does not include a federal mandate that might
result in the expenditure by state, local, and tribal governments, in
the aggregate, or by the private sector, of $100 million or more in any
one year, and it would not significantly or uniquely affect small
governments. Therefore, ATF has determined that no actions are
necessary under the provisions of the Unfunded Mandates Reform Act of
1995.
H. Paperwork Reduction Act of 1995
Under the Paperwork Reduction Act of 1995 (``PRA''), 44 U.S.C.
3501-3521, agencies are required to submit to OMB, for review and
approval, any information collection requirements a rule creates or any
impacts it has on existing information collections. An information
collection includes any reporting, record-keeping, monitoring, posting,
labeling, or other similar actions an agency requires of the public.
See 5 CFR 1320.3(c). If this proposed rule is finalized, ATF would
create an information collection request associated with 27 CFR 478.127
because the requirement contained in Sec. 478.127 requires FFLs to
transfer acquisition and disposition records to ATF's Out-of-Business
Records Center when the FFL discontinues business absolutely, and would
constitute an information collection under the PRA.
In addition, if this rule is finalized as proposed, ATF would
revise four existing information collections. The information
collection requirements in Sec. 478.129 are the FFL record-keeping
retention requirements in current paragraphs (b) through (e) of that
section (which would be redesignated as paragraphs (a) through (d)
under this proposed rule). These record retention requirements are
subject to the PRA and would need to be updated to reflect the new
retention period. They were previously established as an information
collection under OMB control numbers 1512-0544, 1512-0520, 1512-0006,
1512-0524, and 1512-0129, from prior to when ATF transferred to the
Department of Justice from the Treasury Department. But it appears they
were not continued under a Department of Justice information collection
action after the transfer and remain cited in the regulation under the
old Treasury number. As a result, ATF would also update these
information collections to reflect ATF OMB control numbers as part of
the same process. ATF expects to combine these Sec. 478.129 records-
retention period requirements into existing information collection
requests for the corresponding records: 1140-0020, Firearms Transaction
Record (ATF Form 4473); 1140-0031, Records of Acquisition and
Disposition, Registered Importers of Arms, Ammunition, and Defense
Articles on the US Munitions Import List; 1140-0032, Records of
Acquisition and Disposition, Dealers of Type 01/02 Firearms, and
Collectors of Type 03 Firearms; and 1140-0067, Licensed Firearms
Manufacturers' Records of Production, Disposition, and Supporting Data.
Although this rule involves the existing ICRs, the proposed changes
would not add to the burdens imposed on the respondent beyond existing,
OMB-approved requirements because ATF is proposing to reduce the
retention periods.
I. Congressional Review Act
This proposed rule would not be a major rule as defined by the
Congressional Review Act, 5 U.S.C. 804.
IV. Public Participation
A. Comments Sought
ATF requests comments on the proposed rule from all interested
persons. ATF specifically requests comments on the clarity of this
proposed rule and how it may be made easier to understand. In addition,
ATF requests comments on the costs or benefits of the proposed rule and
on the appropriate methodology and data for calculating those costs and
benefits.
All comments must reference this document's RIN 1140-AA95 and, if
handwritten, must be legible. If submitting by mail, you must also
include your complete first and last name and contact information. If
submitting a comment through the federal e-rulemaking portal, as
described in section IV.C of this preamble, you should carefully review
and follow the website's instructions on submitting comments. Whether
you submit comments online or by mail, ATF will post them online. If
submitting online as an individual, any information you provide in the
online fields for city, state, zip code, and phone will not be publicly
viewable when ATF publishes the comment on https://www.regulations.gov.
However, if you include such personally identifiable information
(``PII'') in the body of your online comment, it may be posted and
viewable online. Similarly, if you submit a written comment with PII in
the body of the comment, it may be posted and viewable online.
Therefore, all commenters should review section IV.B of this preamble,
``Confidentiality,'' regarding how to submit PII if you do not want it
published online. ATF may not consider, or respond to, comments that do
not meet these requirements or comments containing excessive profanity.
ATF will retain comments containing excessive profanity as part of this
rulemaking's administrative record but will not publish such documents
on https://www.regulations.gov. ATF will treat all comments as
originals and will not acknowledge receipt of comments. In addition, if
ATF cannot read your comment due to handwriting or technical
difficulties and cannot contact you for clarification, ATF may not be
able to consider your comment.
ATF will carefully consider all comments, as appropriate, received
on or before the closing date.
B. Confidentiality
ATF will make all comments meeting the requirements of this
section, whether submitted electronically or on paper, and except as
provided below, available for public viewing on the internet through
the federal e-rulemaking portal, and subject to the Freedom of
Information Act (5 U.S.C. 552). Commenters who submit by mail and who
do not want their name or other PII posted on the internet should
submit their comments with a separate cover sheet containing their PII.
The separate cover sheet should be marked with ``CUI//PRVCY'' at the
top to identify it as protected PII under the Privacy Act. Both the
cover sheet and comment must reference this RIN 1140-AA95. For comments
submitted by mail, information contained on the cover sheet will not
appear when posted on the internet, but any PII that appears within the
body of a comment will not
[[Page 24423]]
be redacted by ATF and may appear on the internet. Similarly,
commenters who submit through the federal e-rulemaking portal and who
do not want any of their PII posted on the internet should omit such
PII from the body of their comment and any uploaded attachments.
However, PII entered into the online fields designated for name, email,
and other contact information will not be posted or viewable online.
A commenter may submit to ATF information identified as proprietary
or confidential business information by mail. To request that ATF
handle this information as controlled unclassified information
(``CUI''), the commenter must place any portion of a comment that is
proprietary or confidential business information under law or
regulation on pages separate from the balance of the comment, with each
page prominently marked ``CUI//PROPIN'' at the top of the page.
ATF will not make proprietary or confidential business information
submitted in compliance with these instructions available when
disclosing the comments that it receives but will disclose that the
commenter provided proprietary or confidential business information
that ATF is holding in a separate file to which the public does not
have access. If ATF receives a request to examine or copy this
information, it will treat it as any other request under the Freedom of
Information Act (5 U.S.C. 552). In addition, ATF will disclose such
proprietary or confidential business information to the extent required
by other legal process.
C. Submitting Comments
Submit comments using either of the two methods described below
(but do not submit the same comment multiple times or by more than one
method). Hand-delivered comments will not be accepted.
Federal e-rulemaking portal: ATF recommends that you
submit your comments to ATF via the federal e-rulemaking portal at
https://www.regulations.gov and follow the instructions. Comments will
be posted within a few days of being submitted. However, if large
volumes of comments are being processed simultaneously, your comment
may not be viewable for up to several weeks. Please keep the comment
tracking number that is provided after you have successfully uploaded
your comment.
Mail: Send written comments to the address listed in the
ADDRESSES section of this document. Written comments must appear in
minimum 12-point font size, include the commenter's first and last name
and full mailing address, and may be of any length. See also section
IV.B of this preamble, ``Confidentiality.''
D. Request for Hearing
Any interested person who desires an opportunity to comment orally
at a public hearing should submit his or her request, in writing, to
the Director within the 90-day comment period. The Director, however,
reserves the right to determine, in light of all circumstances, whether
a public hearing is necessary.
Disclosure
Copies of this proposed rule and the comments received in response
to it are available through the federal e-rulemaking portal, at https://www.regulations.gov (search for RIN 1140-AA95).
Severability
Consistent with the Administrative Procedure Act, the issues raised
in this proposed rule may be finalized, or not, independently of each
other, after consideration of comments received. ATF has determined
that this proposed rule implements and is fully consistent with
governing law. However, in the event this proposed rule is finalized,
if any provision of that final rule, an amendment or revision made by
that rule, or the application of such provision or amendment or
revision to any person or circumstance, is held to be invalid or
unenforceable by its terms, the remainder of that final rule, the
amendments or revisions made by that rule, and application of the
provisions of the rule to any person or circumstance shall not be
affected and shall be construed so as to give them the maximum effect
permitted by law.
List of Subjects in 27 CFR Part 478
Administrative practice and procedure, Arms and munitions, Exports,
Freight, Imports, Intergovernmental relations, Law enforcement
officers, Military personnel, Penalties, Reporting and record-keeping
requirements, Research, Seizures and forfeitures, Transportation.
For the reasons discussed in the preamble, ATF proposes to amend 27
CFR part 478 as follows:
PART 478--COMMERCE IN FIREARMS AND AMMUNITION
0
1. The authority citation for 27 CFR part 478 continues to read as
follows:
Authority: 5 U.S.C. 552(a); 18 U.S.C. 847, 921-931; 44 U.S.C.
3504(h).
0
2. Revise Sec. 478.127, including the section heading, to read as
follows:
Sec. 478.127 Discontinued business records.
(a) When a licensed business is discontinued but is succeeded by a
new licensee, the records prescribed by this subpart must appropriately
reflect these facts and be delivered to the successor. The successor
licensee may retain them or deliver them within 30 days following the
date the business was discontinued, to one of the locations described
in paragraph (b) of this section.
(b) When a licensed business is discontinued with no successor
licensee, the records must be delivered within 30 days after the date
the business is discontinued to the ATF Out-of-Business Records Center;
244 Needy Road; Martinsburg, West Virginia 25405, or to any ATF office
in the area in which the business was located. However, if state law or
local ordinance requires the licensee to deliver records to another
responsible authority, the Chief, Federal Firearms Licensing Center,
may permit records required by this subpart to be delivered to such
authority.
(c) ATF will retain records delivered to and maintained at its Out-
of-Business Records Center for no longer than 20 [or 30] years from the
date they receive the records.
(d) The retention periods in paragraph (c) of this section do not
apply to importer and manufacturer acquisition records, which ATF
retains indefinitely.
0
3. Amend Sec. 478.129 by:
0
a. Revising the section heading;
0
b. Removing paragraphs (a) and (f) and redesignating paragraphs (b)
through (e) as paragraphs (a) through (d);
0
c. Revising newly designated paragraphs (a) through (d); and
0
d. Revising the OMB approval statement at the end of the section.
The revisions read as follows:
Sec. 478.129 Records retention requirements.
(a) Firearms Transaction Record. Licensees must retain each
Firearms Transaction Record, ATF Form 5300.9 (``Form 4473''), for no
less than 20 [or 30] years from the date on which they sell or
otherwise dispose of a firearm. FFLs must maintain Forms 4473 as either
paper forms or e-Forms 4473, at the business premises, readily
accessible for inspection under this part, and as provided in Sec.
478.124(h) and (i), except:
(1) Not-completed transactions. If a Form 4473 is initiated but a
sale, delivery, or transfer does not take place, the FFL must retain
the associated Form 4473 separately in alphabetical (by name of
transferee) or chronological (by date of transferee's certification)
order for no less than five years after the
[[Page 24424]]
potential transferee initially signs the form to initiate the NICS
check.
(2) Private-party transfers. FFLs must retain Forms 4473 used for
private-party transfers for no less than 90 days from the date on which
they initiate the associated background check. They must retain them
alphabetically (by name of transferee) or chronologically (by date of
transferee's certification). However, licensees must retain Forms 4473
used for this purpose that receive a ``denied'' response from NICS for
no less than five years and may then dispose of them. These records do
not constitute licensee firearms records, and the licensee therefore
does not send them to ATF's Out-of-Business records center when the FFL
absolutely discontinues its business.
(3) Voluntary firearms handler checks. FFLs must retain Forms 4473
used for voluntary firearms handler checks for no less than 90 days
from the date on which they initiate the associated background check.
They must retain them alphabetically (by name of employee) or
chronologically (by date of employee's certification). These records do
not constitute licensee firearms records, and the licensee therefore
does not send them to ATF's Out-of-Business records center when the FFL
absolutely discontinues its business.
(b) Reports of multiple sales or other disposition and theft/loss
reports. Licensees must retain each copy of Form 3310.4 (Report of
Multiple Sale or Other Disposition of Pistols and Revolvers) and Form
3310.12 (Report of Multiple Sale or Other Disposition of Certain
Rifles) for no less than five years after the date they sell or
otherwise dispose of the firearms. Licensees must retain each copy of
Form 3310.11 (Federal Firearms Licensee Theft/Loss Report) for no less
than five years after the date they report the theft or loss to ATF.
(c) Importer and manufacturer acquisition records. Licensed
importers and manufacturers must retain acquisition records required by
this part until they discontinue business, including those from prior
to 1968. These acquisition records include documents on importing,
manufacturing, or other acquisition methods, including ATF Forms 6 and
any corresponding ATF Forms 6A as required by subpart G of this part.
These licensees must maintain the records in either paper or an
authorized electronic method, at the business premises, and readily
accessible for inspection under this part. Licensees may store paper
records that do not contain any open entries and with no acquisitions
recorded within 20 years at a separate warehouse, which ATF will
consider as part of the business premises for this purpose and which
will be subject to inspection under this part.
(d) All other acquisition and disposition records. Except for
records described in paragraph (c) of this section, licensees must
retain records required by this part for no less than 20 [or 30] years
from the date on which they sell or otherwise dispose of a firearm.
This includes importer and manufacturer disposition records. For each
firearm, licensees must retain the acquisition records (purchase, other
receipt, or other acquisition), and the corresponding disposition
records (sale or other disposition), for the firearm. Licensees must
maintain the records in either paper or an authorized electronic
method, at the business premises, and readily accessible for inspection
under this part. Licensees must retain a record containing multiple
sale or other disposition dates in its entirety for no less than 20 [or
30] years after the date of the most recent sale or other disposition
contained in that record.
* * * * *
(Paragraph (a) is approved by the Office of Management and Budget
under control number1140-0020; paragraph (c) is approved under
control numbers 1140-0031 and 1140-0067; 1140-0032, and paragraph
(d) is approved under control number 1140-0032.)
Robert Cekada,
Director.
[FR Doc. 2026-08929 Filed 5-5-26; 8:45 am]
BILLING CODE 4410-FY-P