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JUN 2 T

99?

ErcEsFT:rcre[
3311

849 HlkE Sridge Road

Salea, l.lav .ftrseY 80?9

il:

n*uThie ref,ers t yur letter of t'ty 2g-, L997, ln.rblch

v-uL additioal questions abou the classification
t projectles you plan to produce.
vou inlcated that the proJeetl.les

( t5

X m n

18 t.5,C, Chaptsr 44' sectan 9?1!a) {1?} {Bl {1}

iin"= the tein armor piercing ansunltion as a in a
prjctfre or projectil core which nay^be -used
(excludlng
;;"n-nd which- is constructed entirely f,ron
one or a
the fresence of traces of ottrer al3nents)
brass,
lronr
stealr
alloys,
tungsten
ef
c<qrbinatlon
The
ionz", berytllun opper, or depleted,uranlun:
require
sbot
ehotgua
lnclue
doei-noi
ii-"inliin
bv Federal ar state environnanal or galle regulations
franglbl" plgj-".lle deslgned
ir-t""titg purpoe.t, aproJectila
uhlch the aecr*tary
ier target"siroollng, a usa fcr inustrlal
Purp5e=,
iinas 1 ir:tencled to be
fncfua:ng a charge used ln an oi1 and gas *e11
perfcrating device.
In addition to tradLtlonal plstol and revolver
haldguns are
cartridgss, conmersially rnanuf*cturedcaliber=:
pisenty vallable in the following

rltle

.1? Renington
.?2 llernet
,222 Eenlngton

.223 Renlngton

6
sIJ.

lAltl

X6 )

*E1fllttEs

EVIYIIE

avtwE

avtErrart

gltlEwEa

A?

t
1O,88

coEgpOl{EilCS A9FOVL AlilB CLESic

wlttcfl Eotst

$nE
it

243

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u oF lEOtlOL tOETCCStt F FlrH*

,i O.nb.tOr. 1t*. atil{t{

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-2-

?nn TCt
?-3O t{aters
.3O8 l{lnchester
?,62x39nm

.3s130 tfLnchester
.32120 tfinshester

.35 Rernlngton
.375 flnchester
-

*51?

.410 auge

of tbe
fherefore, projectites you manuf,acture from any
nay be
rnatrlars'ristd in tha-cied dcflnition that
usgd witb the above llsted calters r*ould be arnor
ddltlonally' tf
ei:"frig annunl.tLon as defined.
f,ar other
ctambere
avallable
become
lrancrunE
caliere, proJectiles
tiational rifle or sbotgun yuId
alsg become arnr
meetnq the above lefinitlon
piercig ammunition as defined.
1e trust that thE foragolng hae been rasponslve to your
ingr.try. ff *e cn be of ny f,urther *sslstnse'
please contact us.

SlncereLY Your'

Ed*ard {* O$nr .Ttr,

ChLef, Fireare Teehnology 8r$ch

illflToE

ftytEw=E

FVIEIYER

FTVEYTEF

ftEVllv\rtl

3VlwEF

clODE

8UR.

itrE
A1E

lf Ftnr^ 'ftl

coRnsotot{cE AFFROVLAN CLBANCE

spucs rog6 otrtot vnHtcH ls oSsoLETE

244

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rr{?

ol filg l*tsuY

xg rt
.l'.3.c$rFride{tr. 19s. {/ntagl

u8

r oF

LCOI{OL ?Ogeao

RIP

ilo -?

, Inc.
South 51 Honte, CalLfornia
1443 otrsro venue

lg

91?33

Th.s refers to your .ttr f uguet 24, L992, to the

Bureu of l.eohol, Tobacco and Firears {?F}, in which
ycu asked that U2 .3al6 caliber arlf piercing
rnr:a*ition be exenpted from the deflnition of arnor
piercng a:nnunitlon as contained ln 13 [t.s.c.
Chapter :14 S 921{a} (1?} (B} .

cited sectlon def,J.nes armr plarcing amnunition as:

The ter rrrmgr piercing annunltionrr ens a
proJectile or projectile care rhict ny be
used ln a handgun and rhich ls costructed
entirely (axcludtl:rg the presnse cf traces of
cther substances] fran *ne or cmbinatian
of tungsten aI}oys, eteel, lron. brass,
bronse'beryllluar ctpper or depleted uranin'
guch tr$ does not lnclude shotgun shot
requl.red by Federal or State environoental or
gane regrulaions for hentin purFoses'
frangibl.e proJectile r*heh the Secretary
finds is prlnarily lntended to be used for
sportng purposes, or any other proJectile or
ploJectif core whicl the ecretary flnds is
intended to be used for industrial purposas,
includlag a charqe used in ot1 and gas velL
perforatlng device.
Exanl.nation of, the M2 .30/06 callber rnor plercing
arnunition indicates that the project,ile is coRstructed
r*sfng a fu1l rnetal jacket and a projectle corE
cansructed fron steel. Based oa its cclstruction and
the f,act that a handgun chanbered for the .30/06
cartrLdge has reeently been nade cosmercially
availabLe, the amnunition in queetian neets the
defnltion of arnor plercin amxrunitian.

Tle

cooE
SUR.

rAt/rE

(b

Xffi
to*/(.

A1E
.a?

frffi

E[t

(b

X6

CORnESPO\r,C

Al\lf

lo.8t Elor $rlltcll IgOISTLTE

tsllru oi^LigHoL
v.gorrdrBlgn

245

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lf - *ru

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-2-

Holver, based on ur research and the background

lnfonnalcn provlded ?tith your letter' it-is uell
documented tat the $2 .30106 armor pierclng cartridge
has been recognlzed as bel-ng eultable f,or target
shootinE with rfles due to lts ccurey.

!erefore, T' feels that t{2 .30/06 caliber rmor

piercLng rcnunition 1s prinarily intended for srcrtingurpos* and le not subject to the reetrietiors imposed
n Le maufactur, inportation' or dlstribution af
armor piercin a*nnition'
Please be advise that shouLd unforeseen problens
evelop, thls classification is subject to revie.
t{e trust that th foregoing has been responslve to your
inguiry.
gLncerel.y yoursr

epty ireetor

ooE

IIITIATOH

*VIEITF

rEvwER

tvrwEn

FEVIEUIS

REVIEWER

uR.
tit

oAr

lf FtlttA {.'rD
netees rgd6

CO5PS'9NCE PPROV*L AiO CLEileE

DlTlonf{}llc{ lc

gsssllT

I{FU

taPr?rx 0F llrg fnlsuet

totCco
tl:^Mt

F tro|to|.

^tao

246

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EUtAt

OF

AteoHoL, Tocco Nl FlEARtlS

L AI.ID TLEABNCE

COHRESPONDENCE

FEB

{ Wg

F: FP:
331

Ut"ff

very

ner

j$on Parh Pos! 0ffice

on Park. Florda 33825
Feat

is ir reply to your Lett'er dated January 15,

19gg' in xhch you ask abcut r$or piercirrg ammunilion
as defined in 1 U.S.C., section 321{} i1?} {B ,
Ths

far your information !s a parnphlet conlaini-ng

the ciled definltion of armor piercing anmi:nitisn.
?iris pamphlet also contains infarmatio* on unlawful
asts ccrcerning the manufactur, lmportalion and sale
of arnor pi.ercing anmunlon and peaaS.ties t'hal nay be
mpcsed for the use of the aarmuailion n certain
crimes, this paraphlet also c+ntans a list of
speclfic anmunilion that has b*er classified as arnor
pierclng ammunition. Tlre KTt'l a*munition you asked
ab*ut i.s cantained on thi's lis "
Elclosed

lbe projecttle used i the t{T* a*munition !s

c+structed ent,irely fron bxonze. the project,ile is
ccaled r.ith a Tef lon type naterial. Tc lhe best of
our knor'ledge this ann:unitior is nc longer

r**nufaclured.

Ia ns*er t* your question concerai:g lhe passession

sf ar$r perclnq arnmunilion, exlst:rg federal lau
dtes rat prohibit th psession of arnor piercinq
ammuntion by an individua] ntt olhert"1se prohiblLlng
from pcssessing firearms or arasrunlt'ion. l{e would
recom*end tirat you also contct yur local law
enforcement auth<rilis to determi*e i.f there are y
State cr municipal laws that may regalate lbis type
a*muni.tion,

SUFNAME
DATS

rg
v

frEYt:Yts,ft

flEYIEI4ER

*EVIETIEF

REVIE!/ER

*EVrWER

,na

'U 3

247

6ffi.t

Prila Oiat tlg .

4f

BOlt{nr

RJP

r0o,{tr .!al;otx4 tcalrc s n.

3j.Yo
svrvNEf',S

tcoS
g3ir't3lr\3u

g:t3r3H

xlt;lteu -

a 3r,t3E

U3/lltlr\1H

HlVtl

As requested. i.le are alsc enclosing a capy of ATF P

53t0.4, f-ederaL Firearms Regulatir>ns Reference Guide.

l{e lrust that the foregoing has beea responsive to

your inquiry. If we can be of any furtber assistance,
please tonLact us.

$incerely yrs,

15\

Eduard M. Owen' '3r.

Chief, Firearms lechnology

Branch

Eclosures

3CrT1C oNY ]VOUddY

lr?HrJ ot*r olte.lHc*'$

Jo

ilgna

$.3ilVd3

248

RIP

TSPARTMENT OF TH TREASURY
AU OF ALCOHOL. TOACCO N FIRE'RMs
WASHINGTON. .C. ..]e6

\,

,;?

flI

DEC

2?

1990

F t

533o/KrS

5F rerils sPec a llt

*lhrfton Eriv
tlanar ceorgia 30336
KenE

fc.

8?5

ffirgl

ptllon flled Ju*e ?f :.998' for

fhls ref,ers t y6urgureau
exemptlon fr tie

an

f 1coho1. lobacc ad Firear[s

{fF.l reg$.atio*s regrding rnor Fiercing :tmniionr,
rlatlve ts the claeeiflcaeion of he Chlnese pS Eal1 st*e1
core ?.6?x39mm ar$munltlolr uhlch is i:ltpocled by Yotr f ir$.
tour firr} }'as prevlously advised telephoniclly t'ht TF
uutd rol conslder such an exenption unil slch t1e thal a
hndgust chambered for lhe ?,62x39mm crtrge lrs
colnnercially available, t tht llm Yo requst,d tbal rr

hold t.he petition

ltbough, rdriance tchnolgy, Ic. of SgeLon, iner h

produce a few noilel SSp*8 pisols rhich *ill chambt the
chlnese PS ball steel core ?.62x39mm am*uniionr lhey do rot
plan comnercial productlon of bhe handgun in ?.62x39nm
callber. ddiElonallyr llagnum Eeserch of lllnneapolist
t'tlnnest,a, who hs contracted to produce th rdnance
fechnology SSP-S6 s lle nodel SSP-9Ir hae aduised Tf, that
they hve nc plans lo prcduce the SSF-91 in the ?.62e39nm
c1iEr and thau if plars cbanger they $lI1 advlse us.

Slrce lhe Ordnance lechnology SSP-86 {SSP-91} hadgun lLl

not b co$aercially produced ln ?.62x39 c'llberr t*e cannot
co*sider your Fetitin ts exempt the chlse PS gall steel
core 7,6x39mn uftuilltin from lbe armol plercing anmuniin
classfictio$,
Should

thls

handgun

or any oher

handgan be produced

csnnercillyr rlhich rt1.1 chanber t.he ?,f ?x3S trB:lrielon, lhe

Chinese FS sll cteel core 7.62x39mn e$nuaition rauld neel
the definltion rf arnor plerclng nnsritio and *tuld be

249

RIF

-2Kengrs Firearms Speeialty. Inc. txFSl

subJecb to all restrietions inposed on thar ve of
ammunielon unless- n eemption- is grane". T Bureau ulll
nt consider uheher rhis-ammunitrn is i"rp-r-gron ite'imor
percing.category untir such ime as a
--'-u--- r{hich rrill
chanber lt ie ccmnercially available, handg;n
We are llrrl
cnnL give you posifive anssar et lhle
-$e
you need [o cotacr us iuii"i,-pr*ase
fllg:
_Fl!
cIl on
t22t 789-313r
Slncerely yours,

6
X
L,

( t
Chiefr Flr

lston
nd ExFloslves f$ports Btnch

Carmen

250

RIP

ffi

OEPARTMENT OF THE TFEAURY

gUREAU OF ALCOHCL. TECCO XO F'TERMs

wsHl NCrO. f'.C, 1$:26

LElFrrfr:ff[
3311.:.

I't, 2 :',.,

ear

tbX6)

reto

your l"atter cf fabnrarlt ?r 19911 , Ln

shls refers
rhich you aak bout ?.62x39re aatlber enunl"tLon having
gtsel core proJectlle belng clsel.flad ag arnor
plercln annunltl.o.
?i.tle 13 lt.8.C., Chpter t,[, Saetion 92L{a} (17} (8)
dsflnes rnor plerclng arnnltlo a:
sfha te:a rJaur pJ.erclng munitiE* n a proJactJ^l.*
or grcJsctLla core rhieh nay ba usad ln a lrandgun and
lhich ls csrlgtmcted entlrely {exc3ulnE the preaanca
of traceE of othe subtrrica) fron ,ne or a
conblnatlon of tungsten alloys, etel, Lrca, bras,
bronze, berylltqn opper or aalteted uranlu......r1
t}lqplg .os, olylpla, ttasbiagton, hE introuced the
l,todal g93 solautoatlc pletol chanbered for tbe
?.62439!!e oartrldge. 8octry t{cunlaln sB, Iac.,
l,crgnnor*t, Colorado, has lntroduced thE onrde
ael.autonatlc pistol chabered for tbe 7.52x39m
cartrldge.
$lnce handguns ! Eort!rclally avllable f,or tire
?.62x39ua cartrLdge ahy of that aqunltlon havlng a
eteel core proJectile neEts the deflnftion of arror

plerclng munl"tl.on.
$e trust that the f,oregolng hs en responslve to your
lnqulry. If e may be of *ny furthor aralstance,
pleasa corrlact ng,
Sineeraly tc$rs,

fiA*rr,f/]

-uard l{. Owen,

Chief , flrearng lfechnolcgy

251

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Vecor rns, Inc.

3747 S. 40 E.

Bountlful, Utah

.:1.:

;ii'F:tE:sff[

re

84010

Gentlren:

Thls refere to the arrunitlon that was recelved in this

office on JuIy 8, 1996, for evaluation as to lts
lrnportablllty lnto the United States. The amnunl,tlon
r"rae imported on ATF Forn 6 nulber 96-03551.
Exauinatlon of he subnitted samples, bearlng the head
atanp ?, 28 9a, indlcatee that 1t ie r.62x39nn and
?.62x54Rnm caller. Informatlon provided by your flrm
indlcat,es that the enrnunit,lon vas produced by Htrrpepetve
Englneering and Contractlng conpany, Ltd,, P.O. Box
850016, Kanona, SrenJe, Zambia.

fhe 7.62x39nfl cafiber arnunitlon has a full Jacketed

proJectite wlth a steel bullet core. Thls annunitlon
la armor plercing amurunition as defined in 18 U.S.C.,
CbapLer 44, Section 921(a) (17) (B). The 7.62t39nn
cal.iber annunltion as subBitted ny not be ruporbed for
comnarcial sale.

fhe ?.62x54Rmn caliber annunltion contains a full

Jacketed proJectlle having a steel bullet core. As
there are no known handguns chanbered for t'hie
cartrldge lt is not arnor piercing annunition aa
defined. lhe 7.62x54Rnm callber aonunltion ae
eubnltted is sultable for lnportatian under tbe
provlslons of l8 u.s.c., S e25{d} (3).
Please be advised that the above deternlnatlon applies
only to the saurples as subnitted. If ttre design,
conflqi'uration, naterials used in constructlon or the
orlgin of the aununition change, this classificatlon
is subject to revlew.

CODE

6UR.
I{AM

ffi

RS\flgWER

BEYIEYER

EVTEWEA

REVIlEll

nv I etYt

OAT

EOtItOXITHrCH

CORBEEPOTOI{C FPROVAL AID CLTFAIIC

18 OBSOLETE

253

OF

RIP

-2Vectar ras, Inc.

lhe ?.62xf,9nn callber eaatples uere

testlng . fhe 7.62:rsdRnn caliber
ou nay
K

durlng
bel

t6rgt

resE to arrang or
7.62x54Rnn cl Lber amnunltlon.

turo

eege

tle trust tlat he foragolng hae been responsiva to your

Lnqulry. If we nay be of any further aeslstanca,
please cantact us.
Slncerely youra,

Edward ll, Owen, Jr.

Chief, Flrearms Tehnology Branoh

IHTIATOF

NEYIEWE

nr*t
.

254

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3-05360

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:'-.-:'i

farker

t:octlre tr.cor
latLaral Crl"*ln,urtis{:
{l{ t{crth er'{gq'1 :!ret.
l,'rsll&:tn. t 20Sl
er .'tr.

Pa.;er

Ao

socLat{cr

i:i:., ultt }t5

t60
rt l th
l
lr,,
f
if f)
it o
to!'

fgJf lnttsr t ti ${qtCry (}f }a Eresury da.at

1,rll 5, l.8, re3a-rdlng er:r plcscln a"munltfon vaE
r$frlrreJ t te duru Cf lcho} , o.accc an Pfren-s
or re1.,ly.
Ithc to
f te
bn on

er(
tr Ft
&o
htf
t fj
Jn

oo
*o
,
tfit

stter

grther

;lercn3 r:rltlsn.

Ht-o
rro
tr- ts

r!,

llt

f3

t{

lle

cirrefl fed6r1 statrtea rfutin flrear:re srd

-a:r*nltl"tx d nrt problbll tho aarqf,trrq or arla ef
r{ili rlercln ;*talLln, 3uc}: asaunllsn le aubJnc ta
h s,.1 re*letLoas uhleh a;; ly te cnynttor:al crortlng
runltls, l srder f,er tho Feo"lersl *tr,rng*Et
furLhsr r,rulato ttrs eafesJ[r, or arle ef a|raor Jl6ter,n?
anlele, le lalatlon *eulil l*v bo be earste.l by t\e
c4arcoe. D\ te tte cencrn ever tho potentlal hta thla
tyD"s tarnl.elon cold ..o ta tatr enor*enL, govarat
loglolot,lve rro+aals vltch coul,'l b or rat.rc tt
vatttlllty have beea lntoduc ln tbe *rsr aE ere
currently urrlor contdcration,

g
h

Hs irrclae yeur rsvlt"r:t cc y of tlrn rcsclutlon rhlch

outltnoa ono Et))rareh shlel cc*ll l,e ur,l tO ctatal areor
plercla agsunltlon. If, ue can be of eny aeslct*ncs ln the
fTr sr f,treoras rolated a&tgcr , place conte ua.

elncar*lg !'r,
c3

l^
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ffi

tear
Thts refers ts your letter of Juae ?5, 1992 n hleh
y rguest additlonal infornaticn regarding the
elasstficatlon of glrrojet am'nunitLon.
mmunltlon capable cf, beinE used in a handgun and
hav.ng tbe proJectile or prcJectile core conposed of
plastic, alumintrn, o a coablnatSon tbereof, tould not
cansitute I'arnor plerclng ennunltLont' as defined in 18
U,s.c. Chapter
44 sectio 921(al(1?)(Br. It rould
constltute rramnuilltiorrr as Eflnad ln 18 g.s.c. chapter
44 ectl.on e21{a} (17 {}.
llandgun anmuhltion utillzlng EilatlnE netal
{predonlnantly copper wltb a enall anount of zinc,
henee brass) for the projectlle or proJectile csre
rauld be clasLf.led as arr piercng annunitian as
defined in the abave clted staute-

Annunition not capable of eing used ln a handgirtr d

travinq a proJectile core conpcsed of eteet, Euch as
your praposed 14r!l a$nrltion, would not ccnstltute
armor piereing aunuaition as deflned ln tbe above cited
st.atute*
le trust that the foregoing has been responsLve to your
inquiry" If ue can be of any furtbe assistrlce,
please conact us"
Sincerely yours,

Edfard t{, {nen

Chief, FiEears Technologr
CD

h.
ir

( t3

X6 I(

fYlEulEFl

ffEVIEWE

Sranch

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SUHEAU OF ALCOHOI. TOBCCO AND FREAfiH8

CORRES

JAll 2e ffi

eo3oso

&reu

33LL/2AA2-642

F!H US. f nc.

1364 Beverly Road, Suite

Mclean, VA 22LOI

oear

303

@[,

This refers bo your leEber of .,uguetr 5, 2002, in which

you aek abu classification of 5,?x28rrn arltmunlLlon
designed eolely for rhe Five-Seven and P-90 firearma
manufacEured by r,N S.A. HersE,1 , Belglum. You
enclosed speciflcatlone for four different t4>es of
amnruniE,ion.

e defined in Tllle 18, united staes code {Il.s.c.},

Chapter 44, eection 921(a) (17) tB), bhe term arrnor
piercing ansfiunition means -

(i!

a projecLile or proJectile core whlch rnay be

ueed 1n a handgun and whlch le constructed
entirely texcludlng the preaence of tsraceg of
other eubstances) from one or a comblnation of
tungten alloya, steel, iron, bre. bronze,
beryllium copper, or depleLed uranfum; or

(ii) a full jacker.ed proJeceile larger than '22

caliber deeigned and intended for use in a
handgrun and whose JackeE haE a weighc of more
than 25 percent of the total weJ.ght of the
projeculle.
Eaeed on the lnfornratj.on provided, 5.?x28mm
ammunltion deeignated SS190 and L191 amnunit'ion

havlng a steel core projctslle la armor-piercing

ammunitlon ae deecribed above.

coog
SUFNAT,lE

RVIEWEE

txIgr

REVIEWER

RVIWER

'9t. Fa F*iq

259

l*

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RIF

DEPARTUEIT OF THE THEASUHY

EURE^U OF LeOHOL, TOS^CCO

FRE

8[l8

ANI' CIF.ARANC-
co RRESPOilqENE APPROVAL^HD

-2-

i H
b Xl

re ng aunn t on aa
armor
,1
we are tnable co grant variance on this type of
we

amrmniL

ion.

( bt

Xm )

bt
Since ib not a fu1J.y
projectiLe,
not rmor pierclng
1t
ia
Jackeced
ammunit,ion as defined.

plerclng amrnunltion can only be i.mporLed for

dietributlon to th Unitsed S|ates Governmenl or
qualifying law enforcement agenciea. Anyone deeirng
eo imporc armor pteroing anununition rus! be liceneed
aa an Imporber of Armor Pierclng .arnunition and have
an approved TF Frm 6 to inpgre Ehe amrnunitlon.

rnror

ammuni-t,ion Lhat ie suitable for sprling

pur[roses may be irporEed and sold commercially.
nyone deeirlng to import. eporElng ammunition for eale
and dletrlbut.ion muet be properly llcensed a an
importer and eubmiE an A?F Form 6 to imporE

Other

ammunit

ion.

trusL that lhe foregoi ng ha s been responelve to

your inguiry. If we may be of any further asaieEance,
please conlacE uB.
We

Sineerely yours,

Chlef

Curtl,s ll . . BarLlelt
, Fiream.s Technology Branch

'
RYIWER

SUR{AIE
OATE

't ! O{Ptl*rEd

260

&-Itl,hit:

RIF

b'Sl.)
MAY

I s&

ECE:f ;fE
3311

Intrac corporatLon
5005 Chpman Xlghvay
I(noxville. Tennesee

'W

3792A

Gentlemen:

fhis refera to tlre samples of .3? CP callber

antunltion tlrat, you submltted to this off,ice for
classifisaiEn. The anmunitlon was recelved on
!{ay 6, 1996.
fitle 1t. .s.c., sectlon 931{a} {1?} (3} {1} defineE tlre
tern armor pierelng annunltion as a projectile
or
projecile core vhich nay be used in r handgun and
r*hich is constructEd entirely {excludlng the presnce
of traces of other substancesl ftom one or a
eonbinaion of tungsten al}oys, steel, iron, bras*,
bronze, berylliuru copper, or depleted uranium.
Exarninatlon of the subnitted mples indicates that it
ie ,:z CP callber ammunition manufactured by Seller e
Bello in Czechoslovaia. the annunitlon is
constructed utlllzing a steel Jacheted full netal ease
projectl.le. The cor of the proJectlle
iE constructed
from iran or gteel.
Bse on the abov* eranLnation. he sanpl"es as
subnltted are rnor plercing anrunition as defined.
Secion ge{a} of the elted tltle makes lt. unlawful for
any Ferson to nanufacture or inport arnor piarclng
anmunLtLan exccpt for specifically authariaed uces.
Ar$r pletcing anNunition my not be imported fcr
connercial sale-

trust that the fcregoing has been responslve to

inquiry. Xf nay be of aay further assLstance,

$e

yaur

please contaet us,

SincereLy yur,

Edrrar l. Srren, ifr.

Tachnology ranctr

hief, Firearms
cot

(b

NEVIEWER

X6 )

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Lg:F:18
JUL 3

flrg]
2?? Santa na Valley
Post Offlce Bo{ 1097

Road

H11i5ter, Cal,ifornia
oear

lffi'

3311.

95024

SS[:

rhis refers to your letter of ruly Zit, L992, rith rhict

yau subnitted lnfornation on tligh Safty mnunltlon
(lf .S.. ! as manufactured 1n Engl*nd,
n exanLnaton of the subnitted i*forration lndicates
that the anneniton in quetlan ls deslgned to dafaat,
saft bady r$or. The project,Ies ara deslgned to be
fred in bandguns and sontain ? steel pins in the
proJect.lls cre.

Xt U.S,C, Chaptsr {l S 921{a} tg} dEfnes he teru arrror

plercing anrrunilian as.
ttrh ter rmor piercin an*unltian nens a
projectil or proJectL cre uhiclr nay be used
in a handgun and hich is onstrueted entirely
{excludinE the }resence of traees of other
substances) fronr one or a co:qbinaton of tungsten
allcys. eteel, iron, brass, bronze, berylLiunr
ccpprr ar depLeed uranium. Such tern daes :ot
lnclude shctgun shot required by Federal or stat
environmental or game regulations for huntln
purpees, a frangible prcJectile dasigned for
target shco?ng, a projectlle uhlch the secretary
fJ.nds s primarlly intended to be used for
sporting purposes, or any ather prajactile or
projectil c{re hic}r the Secretary finde ie
irtended to be used for industril purposes,
includl* a charge used Ln an oil or qas rrell
perforatlng davice.fl

coqs
3UE.

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(ilfl
a description of the amnunltisn in guestion,
It is rnor piercing amrunition as defined.

Based cn

To produce r$or piercing anrunltion yu nust be

llcesed as a rnanufasturer of, rnor piarcing
aamunl.tlon. ?le fee for this llcense is $100o per
yer.

Arnor piercng arnnunition lny only be nEufctured or

delivered for use by the United Statee r ny
delartnent or agency thareof, any State or departrnent
or agency thereof or fr exportatlen. rnor pierclng
aa*unitlon ny aLso be nanufactured for experlnentatLon
as autharired by the $ecretary,
2? c,F.R, part 1?8, S 1?s.92{b}, eo}y of thich ls
enessed for yaur information. crntains nfarnatl.or on
the r*rlcrr and labeling requirer*ents for armor
plerclng a:n*unition, 5 1?8.99{d} and {e} contain
addlticnal infornatisn on the manufacture, importation,
and eale of arnor piercing anmuniton, g 1?8,ltl
cont*ins infornation n the record keaping regulrements
f,or arncr pierclng anrnunitiEn.
le trut that the foregsing haE been responsive to your
inquiry. If r,e nay be of any frthr assistance,
pXease ontaet $s,

Silcerely

y$r,

{sl
Edward 14' r*en, ,Jr.

Chief, Flrearms Technology Sranch

Enclosure-

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ORRESPNE'ICS APPROVL CLEIEANC

PIACS 1{6 EOrlrO$ Wr{rCH t3 oOLET

263

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BUFEAU OF ALO}IOL TOAACCO ARB RREARSS

CoFRESPONDENCE APPROVL Ar{D CLEABANCE,

,l

t5

X6

Dear
l

i.".:,1

eo3oso

l6F6t

33tL/2002-s94

Thie refere to yur leLter of ,anuary 3, 2AO2, in whi.ch you

ask rheLher a nen t.pe of bullee wEh a powdred t,ungsten
core rrould be cLaeeified ae arror piercing ammunition.

.,

in Section 92L(a) tr?) (B) of Tlt1e 19, United

states code (u,s.c. ), he tern .,rntor piercing nutuniEior"

Ae defined
meana - -

(i)

a projecbile or projectile core which r&ay be

used in handgun and whi.ch ie conaructed
ent.irely (excluding t,he preaence of E.racee sf
other gubetancea) from one or a combinalion of
turgat,en alloye steeI, 1ron, braea, bronze,
berylliurn copper, or depl_eted uranium; or

{ii}

a full Jackared projecti}e larger b},an .22

caliber deoigned and in,ended for uge fn a
handgun and whose jacket has a vreight of nlore
than ZS percen of he total weighb of Lhe
projeciIe.

The Lerm *rmr piercing anununition, doeg not include

ehoLgir.rn ehoE regulred by Federal r stale environment,al or
gme regulat,ions for hunt.ing Furpoaes, a frngible
proJectiLe deigmed for trget ohooting, a proJectile which
t,he SecreEary finde ie primarlly intendea e uaed for
sporting purpoes, or any ot,her proJecEile or proJectile
core which the Secretary flnda ia ingended to be used for
lndustrlal purposa, intuaing a charge ueed in an oi1 and
gaa well perforat.ing deviee.

eo
8ur{uE

HIg

( t5

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UiT

Ii oo#*f

264

ae

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!.
:

URE U OF ALEOI|OI- 108AO90 l!

RRt Hs

CORR
:

fiilr

You deEcrlbe chat theee bullete have a cpper Jacket, with a

rowdered tungauen core and a lead bage. ince-th bullet,s
have a Lungsten core, ehey would meet he definition of
arnror plercing ammnition ln EecElon 921 (a) 1? () , It ia
unlarrrful f,or any pereon Eo nanufaclure anor pierclng
amnnit.ion except ae provlded ln 1B U,S.C. aectlon
s22 {a) (?) .
We

regrel thaE our response in lhia mab.cer has noE been

favorable. If you have further gueeLione, pleaee

nore

conLc, us.

Slncerely

Chief,

- ttt{8rB

265

RIP

' '|t- ,:r*

ffi

T]EPARTMENT OF THE TREASURY

SURg*U OF ALCOHOL, TOEACCO O FIREARMS
WASHtf{6T0N, ,C. 0226

0cT t0

tg8g

cc-3?,869

FE

( tl Et
lce of Civilian Marks$aashlp
eprlm6nt of the rmy
Hastrlngtcr, C 20314*0100

"=u.G

Thls is in respanse to your Letter concsrnlng the legality

of he Office af the iractor of Civilian Marksnansblp tOC!{}
ssuing ?.62mn l159 anil M80 ar$quntion to civllian clubs
enrclled in the Civillan llarksmanshg Proram. ccording to
your Setter, the nmuntton rortl be use only for
narhsmanship tralnlng by tha elubs.
The Gun Control et of 1968, as arnenedi {13 U..C. Chapter
{4}, rc*es 1t unlar+ful for ay prson t ranufseture or
mpcrt armor giercng annunltion and for ary manufacturer cr
importer to se1l or de.lyer suclr asmu*lticn. 18 [t,S.C.
S s:2t){?} sn {3}. fn aditio*, the }lcense of any
feerally license firarms dealer is *ubject to revosatqn
tf the dealer trlllfull.y transfrs r$t jiercng ammrmltlon.
18 Ir.s.c. $ 923te),
For purpcses of the tct, the term "armor giercing arununitln"
means a projeeile or proJeclil cre rbich nay be used"n
a handgun ead Trbich is eoastructad entirely {excluiling the
preence of trrces ef othr sutances) fron oe or a
combinaton of tungsten alloys, steel. iron, brss, bronze,
bryt11u* coFp*r, cr deplete uraniTm. IB it,S.C,
$ Saf(f?l{S}, Because ?.62mm 13 andl 1.t80 arununltion snay
be used n a bangun and contains a ?roJectile core of,
ste3., it ls ermr piercing ammunitlcn for purpgses of
Federal la.

Fro* the above i.scusscn, you will ncte that the ct rou],
no preclue the isorition of r$or riarcing Emmunltio* ta
the clubs as :iou prr!oe. Nor oul it prolrlblt the clus

?6

RIP

-2-

flilq

or its nembers from receiving or using the ammunitlon for

marksaaship talnlng or other lawful Furpgses. lfHever'
shouLcl a feilerally licensetl firearms ealer acgulre and
lra*efer the ammunltlon, the dlealer's licenee coul be
to revocation.
We trust that thls is responsive to your inguly. If
bs of f,urther aslstance, ?lease adqise'
su1ect

rre

Gn

Slncerely yourst

etlag

X6

fl blea
,

267

Branch

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t'bli rof:c t lrur lettoE af f*bruary , 1457, ln u*lclr golt

aii abou & Re {ou:d ef, a,:,:runttipn bel nE prcCucc<i by FiC.
as*d cn

ts nfornsllon p

(m
bt )
flrstlon 9?1ta) (?l {}, ch}txs 4. ritlc 1, l!'$.c, dcflneg
trfJt terelng $u;an{i*n s*r
nib brT:: r:ior plorcln, ar'::unltlri !:.rl$ a proJcrotf la
*r BtaJoctle f{ uhlch st u;e 1a a handun an'l
JhIct t* con:jru';t** ertiraty {eaalud in'] Lhe }rl*r
of trazer ()t t't .rtt)J!nqe5) frtilJn'l (: {l
co:binafon of tung$t,n atlo';, ctoel , tronr brs's,
. brcne, berTllu.-.r srilcrr cr i*r't&I ur*nlun:. eh
tern rlep nt lir ktgur ah+ rerulre b Fdgtl
r $atc: eilrli:entl er frsaa r*iulaonc f+i unelnl
E:*ros6r a f,ran?ible projo*lll. asl:jned fos tatet
h*qttilg, a :roJecttt* t*trlch irs Secrctery fln'J* li;
ir{i;nl1y lnten4nr be uss<l f,or $FtrIn:} }$r:ro:!rl , r
,inr/ Otb,*r ..lr+jC:t.: l{. A, }f5eJf ie C,'sc uilch th.r
ii.:*r$t&r flncl i; irteid*.J [* l,s se fr lnJactra]
Btfpctr, tnqllln3 a eharge usel ln an clt l: *,.:
xril parforaeln3 d0vlcc.i
Xelo$ on thn aove dot inltl<r tt *Fs&!5t thtt kl:e ll"
ltra-l-lag rJettlle* urtul lo easeif tact es &r='rr plercin;
aun lt lon.

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EPARTMEI\T OF THE TREASURY

EUREAU F ALCOHOL. TOBACCO 1'TT FIREMS
WASHIHGTOI{, D.C. O2Z

I,EIF!fE fE[@
3311.

ogc I 3 pe6

b X6 )

Dear

?hie ref,rs to your rcent letter ulth *hlch you

subnltted s*npls of .30 caliber proJectils htlng
steE1 cors-

Exaul-naion of the snbnltted sanples lndicate tha tey

re .3o8 dan*ter. 18 grain steel cored nllltary tlpe
rnor plercing butlets. ProJectiles of this-t1e are
lntendd fer use in .30lo6 and ?'62x31nn cal'l'ber
anmunitian.

If the above proJectlLes r for use tn .3lOG caliber

arouunLtian ty naaL not be consiered,arnor plarclng
arnnunition as lhat tem is deflned ln riEle 18 [t.s.. '
chaper {4, s 921ta} {1?l t3}.
if these projectlls ar to be loade Ln
7.6.51fi $t<r cLber arnnunltion thay uould be r:ner
pierclng sruunlton a dflned. Thl's cLaeslficatLon is
ased on the fct tht hangtrns re cnnerclally
produced that are chambered to accept the 7.62x51!s
Ho$ever,

cartrldge.
9fe trust tlrat tle foregoJ.ng has been responsive to your
l,nqgirlt. If, tte nay be of any furher asslst*ncet
please contEst ug.
HTO

SJ.ncerely Yours'

Chl.ef

e*P

r Flraarms

llechnologY

27

RTP

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DEFARTMNT (}F THE TREASURY

BURU ('F ALCOHOL, TCEACCO AN FIRERMg

WAStitNGTl', tc 2A2?6

0[c 2tgg5

E;CE: F:TE
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Peloe Researeh nd Dev!pent

237LL sun$it rive
Calabasas, Californla 913t2
ear

rg:

Your letter dated ugust 3t, :.995 uaE fecelved ln thig

offlce o eceber 14, 1995, along lth a cover letter
fron feagher Industrlee, fnc., dated December 5, 1g95.
Subulttad vith he refereneed letters nas a sarnple of a
devlce you plan to produce.

ffi

Exaninat,lon of the

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foreEerlng

e mey be of
please contact uE.

losy

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LE: F;TE

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tm

Thls referg to your rlecent letter wlth which you

subnitted samplea of projectiles deeigned for use ln
the 9nn lilkrov plstol cartrldge. Tbe proJectlles uere
subnitted for classification.
Exanination of the subnitted sanplee incllcates that
they ar .365 dlaneber Jacketed piatol bullets. The
proJectils have a steE1 BB inbdded into the nose,
18 U.S.C. Chater 44 S 92r.() (1?) (B) deflnee the tern
arnor piereing annunltion a:
ItThe term rlror plercing annunition neans a
proJectlle or proJectile core whleh nay be
used in a handgun and which ls constructed
entlrely (excludlng tha preeence of traces of
other substances) fron one or a conination
of tungsen alloys, steel, iron, brass,
bronze, berylLiun cpper, or depleted
uranium. Such tern doee not lnclude shotgun
shot required by Federal or State
envtronnental or qane regulations for hunting
purposes, a frangible project,lle designed for
target shootinE, a projectile rhich the
Sacretary flnds is pri:aarily intended to e
sued for sporting purposes, or ny other
proJectile or projectile core hlch the
Secretary flnds is lntended to be used for
induetrlal purposes, including a charge uEed
ln an oil and gaa wel1. perferating device.rt
Therefore, the subnitted proJectiles havlng a ael BB
core re classlfled as aror piercing anmunition.
coo
6U

flilI

fEvtEflltfr

REl,IEWE

EVLITE}I

NEVIEIIEA

NEVILYIE

DATE

AlrF&6^
RE

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CtO{t EOrrtoWHrffi

il CLEARNCE
tc8P{ts{Ogrice
18 0850L818
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Sectlon 922(a) (7) of the clted chapber oahee it

unlar,ful for any peraon to nanufacture or inport aruotr
plerclng aununition except for uae by govarnnental
nttties, for th purpose of, exportatlon or f,or taeting
or experinentation authorlzed by the Secretary.

sctln 922(al (81 oakes lt unlavful for any

rnanufacturer or lnporter to sel1 or dellver arnor
pLerclng aatunltLon except for tha authorlzed Ees aB

listed

above.

To Lawf,ully uanufacture aror plerclng am:tunJ.ion you

nust bE llcensed as a Eanufacturer of destructive
devlceg, amunltion for deetructlve devicee, or arnor
plercing arnnunition. The fee for this Licenee ie
Slooo pgr yar.
Tba sub!ltted sanple are balng retained in thle office.
If you becorne llsenaed at nanufacturer of aror
plerclng aununltLon, the proJectiles could be reurned
upon the issuance of the llcenae.

truat that the foregolng has been responslve to your

inquiry, If r.rE nay be of any further assLstance,

We

Bleaee contact us.

SLncerely yours,
:1.

lst

Ed$ard tf , orn, Jr.

Cbief, Flrearus TechnologY Eranch

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,ad

Offic 86. t09?

Holllster, Cal.f.f,ornla 95ot4
Post,

oe.=ffifi:

Sbls refere to your letter af Jly ?4, 1992, rlth r.rhlch

yo:r subui.tted Lnforation on lligh Safaty rnnunition
{H.S.*.} as nanufactured in Eng}and,
An exani*ation of the subltted lnfornatl.on lndl.cates
hat the arounition in question 1s deslgned to defeat
soft body armor. The proJectiles are deslgnsd to be
fired in handgiuns and eontain ? teel plns-ln the
projecltIe core.

l8 u.s.c. chapter 44 5 92r(al (s) defleg the tern arnor

piercing an'runltion s:
amnunltion nng

le c<re *hich rnay be used

Ls constructed. antlrely
sf traces of other

a combi*tion of tungsten
alLoys, stee!, iron, brasc, brenza, bartl.liun
ceppar, or depleed ura*iun, such teril does not
include shotgun shot reEllred by Fdera1 or state
Enviranrental or gne regulations for huntlng
psrp6es, a frangibla praJectlle deslgned for
taret elroollng, a proJectil"e rhich te Secretary
finds ls *rnrily ntened to be used for
eporting Frposes, or any othcr rrojectile or
proJeetile core rhich ths Secretary flnds is
iatended to be usd f,or j.ndlstrial purroses,
inctudin a charge usEd in a aij. or gas well
perforatng davice.rt
1,t

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SEVIIYE

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280

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v-2description of the anounitien in question,

it ls Er$or perc.ng amnunitLon as defined.
To rod;se rntor plercing anmunltitn you tust bE
llceneed s mnufacturr cf arnor ptercagr
annunltion, lte fee for this llcene is StoOO per
Based on a

yr.

f
1

1,

I
1

rtor piercing anunition nay crrly be nanufactursd or

delivered for use by the lJnted States sr any
depatrtnent er ageney thareof, any tats or departrnent
ar egcy thereof cr for exportation, rnor piercinE
annutLo nay also be nanufacture for experlnentatlon
as euthcrzed by the Secretary.
27 C.F,R. part 1?8f $ 178.9?{b}. a ecpy of uhich is
enclosed for your lnfannatisn, contains lnfcrnatlon or
thE narklng and labeling requirements for rrr
rlercing annualtion. S 1?S,99tdl and {e} contal.n
addl,t,isral lnf,onnation cn the rnanufacture, inportat.io::,
and sale of, arnor piercing anrnunibion. S 1?8-. lor
contains Lnforuatfon on the recsrd keaping requl.rements
for armor plerclng annunltlon.
fe trust, that the foregoing has been responeive to your
inquiry. ff v nay be of any further assJ.stance,
please contact us.

Sinceraty ysurs,

fsl

8drard M. o$et, tr,

teehnclaEy Franch

chief, Firearils
rclssure

aNftt^Tot

REVEWER

$rfllctl

t!vllrlr

evtstYE

CORESPOiiOGIC: 'PROVL
18

0880l.gr

'IY'EIYE

lItCltRt{CG

281

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intA6.caLrctrcorstr.t
,teftrf tr{lt ftr- tfitdt6a6t

RIP

U.S.

Dtprnncat

of *rlcc

Bcau of ,tlcohol, Torcco,

Firearms rrd Exploti*rs

!'lrIrtct,, at $.AnIo tj4t

$wrlfov

@
Muk
l3l0

e03osf{Ire
33t ll20t t{4t

f[t?31011
Barner & Asscits
Eyc Srrt,N$1., Suitr 1255

Ifhington. .C.

:tg0t

*GKL,
This i lr lsp*s te ycrcomrunlcdan drd Fcbnrery 1,201 I, ta the Flrcnnr Technology
Brrnch {F? Bu* of lcl!. Tcbs, Firrmr and Explosives (ATF}. in which you
inquire on ehelf cf your client, Sitvcr Sltc trmory, concerniag the *arufcturc of durarnyrctlon proyirtg reunds for dirylay. Your clicnt hrs cxprrssed conccs tht *rsc dlmny raunds
could bc classiticd c ror picrclng projectil.

Al backgrou*, xc should goint aut lha1 ar dcfincd in thc ended Sua eonksl
(C'{}, l$ U.S.C.g?tirfil?XB}, the rm rmar piercin amnunitlo! a$*

,et

tf

l98

a projcctilc or pra.jcctk core whlc* ny be *cd In a ladgun and*hleh l

cnstrutred entlrdy {exeludlng tht prescnce aftraces ofothu substantes}

ot or
cmblnton ofungsten Ilays, steel, troa, ras& branze,
beryl{iam epper, or deptated wanlun; or

fram

(tl

efell!*cltcdprJcclllc lrgr thn.22 ellber ie$gnedand lntcndefor t*c

ln d hangn an vhoscJackct has a welght f morc than 13 perc*t af the
totat wclg*t ef the praJeailc"

Furlhcr, thc CC*, l8 U.S.C. 921{X7), strts Et i shall bc unlwful for ody pe?or la
man4litclure or mporl arator plt*rg tt,t urtfafi, xctp lhal hls paragnph all rct appiy

le-

4)

lhe

aawtfuelure st

at

Itrytalittaf

sucfu

ommwltodr lhe use olthe {htitcd

at $gr'ny therofar n Etate

g*ac r potftlttrt *aidvison thereof,.,-

Sraes

aay dcparfmeal

$ *n eprtmeas,

ln addition, Scction 922{a}S} rpeciticslhe t,tshall e unlmuj,r any manufuctwerer

mprter sell r eiver smor plercg amuntlan, eacpl thar this puragraph shll wl apply
le{Al t&e sate ordeltwry y anufacturer erlmpofier of sueh ammunitlontar thc *se oftle
UlEd Stle aay tkyttme nt or agenqr lhercof r ny State ar ary &partneat, grtcy,

or ytltteal eaelfuisiaa rercaj

282

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l

a a*nbcr of pdsr rstnecs, FTS b clilicd dummy a*ioa prcving roude ar aorarnmunltlotl,. C$nsnt, brd on thc informrrion you ard $ilvcr $lttc hrrc pravidcd, rrc olso
find *lt lhcc dm$y.ton pmving raundr rcmblcd ia thE manncr dcreribcd qat
annnition. r#c cution that ifromcsnc wcr to rcmwc trc prjretilcs, that pcmn xould bc
makia rnnor piercing xmunition rs dcllned.

ln

Wc crat t tlc fogclng lras bcra *tponrivc to yoer i:rquiry. If wc may bc ofuy ralrer
ssistgpc to you ar your cllcnt, plasc contct us.

3ircrttly Youn,

ranch

283

RIP

No.12-1493

llne uprcme [,surt of te @nite Ststr

Bnuce Jlps ASnAMSKI, JR., eETITIoNER
a.

UNIron Srarns op Amrnrce

ONWNIT OF CERTIORARI
TO THE UNITED STATES COURT OF APPEALS
FOR THE FOURTH CIRCUIT

BRIEF FORTHE UNITED STATES

Douer,o B. Vnnnu,i,r, Jn.

Solicitor General

Counsel of Record,

Myrnrr,t Ruaw
Actin g A s si stant Att o rn e g
General

Mrcnepr, R. Dnnner\r
Deputg S olic.tor General
JOspprr R. PALMORE
Assistant to the Solicitor

General

Boorn
Attorney
Department of Justi,ce

THorvms E.

Wash;ington, D. C. 20 5 g0 -000 1
SupremeCtB rie @u s doj. g oa
(202) 514-2217

284

RIF

QUESTIONS PRESENTED

1. Whether petitioner's statement that he was the

actual buyer of a firearm on a Bureau of Alcohol, Tobacco, Firearms and Explosives Form 4473was a false
statement "material to the lawfulness of the sale"
under 18 U.S.C. 922(a)(6) where petitioner purchased
the firearm on behalf of his uncle and both he and his
unble \7'ere eligible to purchase a firearm.
2. Whether the identity of the actual buyer of a
firearm is information that is required to be kept in
the records of a federal firearms licensed dealer under
18 U.S.C. eza(aXlXA).

(r)

28s

RIF

TABLE OF CONTENTS
Page

Opinion

below.........

.................................1

Jurisdiction
Statutoryprovisions

involved
Statement.
Summary of argument

...............1

........2
...........................8

Argument:
I. Petitionerviolated 18 U.S.C. 922(a)(6) byfalsely
stating he was the actual buyer of the handgun.........11
A. The true ident of a firearm purchaser is
material to the lawfulness of the sale...................72
B. Petitioner's contention that his false statement about the firearm's actual buyerwas
not material lacks merit
......................15
1. Petitioner was not the actual buyer of
the firearm under federal law
15
2. The legal etigibility of the actual buyer
to acquire a firearm is irrelevant to the
materiality question.....
..................23
3. The dealer could not have lawfully sold
petitioner the handgun if petitioner had
truthfully disclosed that he was not the
actual buyer
................30
II. Petitioner violated 18 U.S.C. 92 @)$)(a) by
making a false statement with respect to
information required to be kept in the records
of a licensed dealer.....
.............36

Conclusion

......41

TABLE OFAUTHORITIES
Cases:
10

Ring Precision, Inc. v, Janes,7zzF.3d7LL

(5th Cir.

2013)..........

Alen aniler v. S and,oaa, 532 U.S.

......................28
27 5

(2001) ........................ 39

(ru)

286

RIF

IV
Cases-Continued:

Page

Min. Cong. v. Mine Safety & HeIth

Admin,995 F.zd 1106 (D.C. Cir. 1993)

Ameri,can

36

Bry s on v. Uniteil State s, 396 U.S. 64 (1969) ........................ 34

Clarltv. Artzona,548 U.S. 735
.............33
(1993)
Darby v. Cisneros, 509 U.S. 137
2T
Globq,l Cros sing T elecomms., Inc. v. M etrophones
Telecomms., 1nc.,550 U.S. 45 (2007)
39

(2006)..

Hudd,Iestottv. Uni.ted, Stntes,4l5 U.S. 814

(7974)

........18,20,23,24
Impro Prods., Inc. v. Block,722F.2d 845 (D.C. Cir.
1983), cert. denied,469 U.S.931
.........33
JEM Broad,. Co., Inc. v. FCC,22F.3d 320 (D.C. Cir.

(1984)

oo
.)

1994)

Kangysv. Utuited, States,485 U.S. 759

(1988)

....9,L2,15,23,31

Lincoln v. Vigi.I, 508 U.S. 182 (1993)

.35

Nati,onal Shooting Sports Found,., Inc. v. Jones,

716 F.3d 200 (D.C. Cir.2013)
......28
Sbeli,usv. Cloer,133 S. Ct. 1886 (2013)...............................36
Shu,wano Gun & Lon, LLCv. Hughes,650 F.3d
1070 (?th Cir.2011)...
....................31
United, States v. Abra,m,slci, 778 F . Supp. 2d 678

(W.D.

Va.2011)

.......6,7

Uni.ted, Sta,tesv.Ailel,nbi,675 F.3d 178 (2d Cir.

2072)
Uni.ted,
1985)

Stotesv.Anaga,6lS F. Supp.

..........

823 (N.D.

..26

Ill.
...........74,26

Uni.teil Sttes v. B atchelil,er, 442 U.S. 1 14 (1979)......... .......22

Uni.teiL Sta,tesv. Bowen,207 Fed. App*. 727 (7ihCir.
2006)

United,

16

States v. Crandnll, 459 F .2d 72L6 (lst Cir

t972)

..26

287

RIF

V
Cases-Continued:

Page

Uni.ted, Statesv. Frazier,605 F.3d 1271

(l1th Cir.

2010)

..8
(1995)
...............L2,2I
United, Statesv. Gaud,in, 515 U.S. 506
U ni.te

d,

States v. Gud,g er,

47 2 F

.2d 566 (5th Ctr. L97 2) .......26

United, Statesv. Johnson,680 F.3d 1140 (9th Cir.

2072)

38

Uni,ted, Statesv. Jurez, 626 F.3d 246 (5th Cir.

.27,29

2010)

United, Statesv. Kno,396 U.S. 77 (L969)

.......34

United, States v. Lautrence,680 F.2d tL26 (6th Cir.

1e82)

20

Uni,ted, Statesv. Luurry, 512 F.3d 1194 (gth Cir. 2008) ......33
U ni.ted, States v. M and,uj ano, 425 U. S. 564

(1

976).............. 34

United, Statesv. Moore, 109 F.3d 1456 (gth Cir.),

cert. denied, 522 U.S.836
...................16

(1997)..

Uni.teil Statesv. Nelson,221F.3d 1206 (11th Cir.),

cert. denied, 531 U.S. 951 (2000).................................6, 7, 38
Uni.ted, Stotesv. One 1936 Model Fwd,V-? De Lue
C och, C omm. Cred;t C o., Clumant, 307 U.S. 219
(1939)
......2t
United, Statesv. Orti.z-Loya,777 F.zd 973 (5th Cir.
1985)

.35

Uni.teil Stq,tesv. Parten, 462F.2d 430 (5th Cir.),

cert. denied,409 U.S.983 (1972)..
...................26
United, Statesv. Pa,ge,129 Fed. Appx. 567 (l1th Cir.
2005)

16

Uni.ted, Sttesv. Polle,118 F.3d 286 (5th Cir.),

cert. denied,522U.S.988 (1997)..

...................35
(8th
Cir. 1987)........26
Uniteil States v. Popow,82L F.2d 483
Uniteil Statesv. Queen, 408 F.3d 337 (?th Cir.
2005)

..........

...........26,28

288

RIF

VI
Cases-Continued:

Page

Uni.ted, Statesv. Soto,539 F.3d 191 (3d Cir. 2008),

cert. denied,555 U.S. 1116 (2009)

Uni,ted, States v. Wells, 519 U.S. 482 (7997)

...38
...36

Uniteil Statesv.Whi.te,451 F.3d 696 (5th Cir. 19?1),

Yakusv. Uniteil States,SZL U.S. 414 (L944)

oo
.)

Constitution, statutes and regulations:

5 U.S.C.553(bXA)

.35

Federal Firearms Act, ch. 850, 52 Stat. 1,250

..20
Firearm Owners ProtectionAct, Pub. L. No.99-308
....................22
$ 102(5XA), 100 Stat. 45I-452......
Gun Control Act of 1968, Pub. L. No. 90-618, $ 102,
82 Stat. 72L4-L226..
.......................20
Omnibus Crime Control and Safe Streets Act of
1968, Tit.IV, Pub. L. No.90-351,82 Stat. 197..................20
23,30
$ 901(aX3), 8251at.225
$ 901(aX4),82Stat.225
30
20
$ 902,82 Stat. 226-234

289

RIF

VII
Statutes and regulations-Continued:

Page

18 U.S.C. 922(c)(1)

19

18 U.S.C.922(c)(2)

19

18

U.S.C.922(d)

L8

u.s.c. e22(d)(r)

13

18 U.S.C. e22(d)(2)

13

18 U.S.C. e22(dx3)

13

18 U.S.C. e22(d)(4)

13

18 U.S.C. e22(dx5)

13

18 U.S.C. e22(d)(6)

13

18 U.S.C. e22(d)(7)

13

u.s.c. e22(dx8)

13

18 U.S.C. e22(d)(e)

13

r.8

.......14,19,21,22,25

18 U.S.C.922(m)
18
18

.32

U.S.C.922(tX1XB)...i................

U.S.C.922(tX1XC)

......9, 13, 14,L7

9,13,14,17,82

18 U.S.C. 923(a)

......24

U.S.C.923(g)
18 U.S.C. ez3(sxlx
18 U.S.C. e23(gX5X
18 U.S.C.923(gX7)....

......24

18

......37,38, 39, 40
..28
..?.8

..39

..37
18 U.S.C. s26(a)

..

..26
28 U.S.C. 240L(a)

..33

290

RIF

VIII

Regulations-Continued:

Page

27 C.F.R.:

478.96
478.I24(a)..
478.724(b)
..................
418.L24(f)

Seetion
Section
Section
Section 478.124(c)(l)
Section

........18
....................37
.....................40
...................40
......................18

Miscellaneous:

ATF, Federal Firearm Regulation 63 (1984-1985) ............. 35

Black's Law Dicti,onary (6thed. 1990)
2t
4 William Blackstone, C ommentaris ............................ 13, 15
114 Cong. Rec. (1968):

p.16,951

..................24

p.22,771
.....24
p.26,777
.....24
(U.S.
L FFL Newsletter,ATF
Dep't of Treasury,
D.C.),1992
..35
(1968)...........17,24
H.R. Rep. No. 1577, 90th Cong.,2d Sess.
Restatement (Second) Agency (1958):
Vol. L
16

Vol.2

L7

2 Restatement (Third) Agency (2006)

L7

S. Rep. No. 1501, 90th Cong., 2d Sess. (1968)......................20

W eb ster's T hird, N ew International

(1e66)

D i,cti,narg

18

291

RIF

llne Supreine @ourt of tc @nite tutes

No. 12-1493

Bnucr Jlups AsnAMsxr,

JR., pETrrroNER

a.

Ulrrpo SrRrns o' Anrpnrca

ONWRIT OF CENTIORARI
TO THE UNITED STATES COURT OF PPETS

FORTHE FOURTH CIRCUIT

BRIEF FORTHE UNITED STATES

OPINION BELOW

The opinion of the court of appeals (Pet. App.

la-

24a) is reported at706 F.3d 307.

JURISDICTION

The judgment of the eourt of appeals was entered

on January 23, 2013. On April 4, 2013, the Chief Justice extended the time to file a petition for a writ of
certiorari to June 2L, 2013, and the petition was filed
on that date. The petition for a writ of certiorari was
granted on October 15, 2013. The jurisdiction of this
Court rests on28 U.S.C. f254(L).
STATUTORY PROVISIONS INYOLVEI)

Section 922(a)(6) of Title 18 of the United States

Code states:

It shall be unlawful * {< {< for any person in

connection with the acquisition or attempted acqui(1)

292

RIF

sition of any firearm or ammunition from a licensed

importer, lieensed manufaeturer, licensed dealer,
or licensed collector, knowingly to make any false
or fictitious oral or written statement or to furnish
or exhibit any false, fictitious, or misrepresented
identification, intended or likely to deceive sueh
importer, manufacturer, dealer, or collector with
respect to any fact material to the lawfulness of the
sale or other disposition of such firearm or ammunition under the provisions of this chapter[.]
Section 92a(aX1XA) of Title 18 of the United States
Code states:

(aXl) Except as otherwise provided in this subseetion, subsection (b), (c), (f), or (p) of this section, or
in section 929, whoever-(A) knowingly makes any
false statement or representation with respect to
the information required by this chapter to be kept
in the records of a person licensed under this chapter or in applying for any license or exemption or
relief from disability under the provisions of this
chapter * * * shall be fined under this title, imprisoned not more than five years, or both.
STATEMENT

Following a conditional guilty plea in the United

States District Court for the Western District of Virginia, petitioner was convicted on one count of making
a false statement material to the lawfulness of a firearm sale, in violation of 18 U.S.C. 922(a)(6), and one
eount of making a false statement with respeet to
information required to be kept in the records of a
Iicensed firearm dealer, in violation of 18 U.S.C.
92a(aX1XA). He was sentenced to concurrent sen-

293

RIF

tences of five years of probation. The court of appeals

affirmed.
1. Petitioner is a resident of Virginia and a former
Roanoke police officer. Pet. App. 3a. In 2009, petitioner spoke to his uncle, Angel ,Llvarez, a resident of
Pennsylvania, about Alvarez's desire to purchase a
Glock 19 handgun. Ibi,d,.; J.A. 23a-24a,26a. Petitioner
offered to purchase the gun for .Llvarez from Town
Police Supply, a federal firearms licensed dealer in
Collinsville, Virginia that offered discounts to police
officers. Pet. App. 3a; J.A. 24a. On November 15,
2009, .Llvarez sent petitioner a check for $400 with
"Glock L9 handgun" written in the memo line. Pet.
App.3a; J.A.2la.
On November 17, 2009, petitioner purchased a
Glock 19 handgun and other items with $2000 in cash
from Town Police Supply, using his expired police
identification credential to obtain the discount. Pet.
App. 3a; see J.A. 30a-31a (government's observation
during plea colloquy that at the time of purchase petitioner "had no relationship with the Roanoke Police
force, and was not authorized to use that * * *(
identification card for any purpose").
During the transaction, petitioner completed a Bureau of Alcohol, Tobacco, Firearms and Explosives
("ATF") Form 4473, which included several questions
requiring a "Yes" or "No" response. Pet. App. 3a-4a;
J.A. 27a-30a; Supp. J.A. 1-6. Question 11.a. on the
ATF Form 4473 asked:

Are you the actual transferee/buyer of the firearm(s) listed on this form? \{'arning: You are not
the actual buyer if you are acquiring the firearm(s)
on behalf of another person. Ifyou are not the aetu-

294

RIF

al buyer, the dealer cannot transfer the firearm(s) to

you.
Supp. J.A.
vided:

1.

The instruetions for this question pro-

Question 11.a. Actual Transferee/Buyer: For purposes of this form, you are the actual transfer-

eelbuyer if you are purchasing the firearm for

yourself or otherwise acquiring the firearm for
yourself * *
You are also the actual transferee/buyer if you are legitimately purchasing the

firearm as a gift for a third party. ACTUAL

TRANSFEREE/BUYER EXAMPLES: Mr. Smith
asks Mr. Jones to purchase a firearm for Mr.
Smith. Mr. Smith gives Mr. Jones the money for
the firearm. Mr. Jones is NOT THE ACTUAL
TRANSFEREE/BUYER of the firearm and must
ansrer

"NO" to question 11.a.

Id,. at 4.

Petitioner checked "Yes" in response to question

11.a, thus identifying himself as the "aetual buyer" of
the handgun. Supp. J.A. 1. He then signed a certification stating, among other things, that he "underst[ood] that answering 'yes' to question 11.a if [he
wasl not the actual buyer is a crime punishable as a
felony under Federal la\y." Id,. at2.
Form 4473's instructions separately instructed the
dealer that it "should stop the transaction if t * *
the buyer answers'no'to question 11.a" (Supp. J.A. 6)
and that it "may not transfer the firearm" to an individual who answers "no" to that question (id,. at 4).
Employees of Town Police Supply vere prepared to
testify that "had there been any hint or indication"
that petitioner "may have been purchasing the gun for

295

RIF

another, that the gun transaction would not or could

not have gone forward, either as a matter of law or as
a matter of their store's policy." J.A. 29a-30a.
On November 20, 2009, the $400 cheek from Alvarez was deposited in petitioner's bank account. Pet.
App. 4a. The next day, petitioner transferred the
firearm to Alvarez at a federally licensed firearm
dealer in Easton, Pennsylvania. Ibid,. Lateq.Llvarez
gave petitioner a receipt confirming that Alvarez had
purchased the Glock 19 handgun for $400. Ibid,.; J.A.
27a-28a. Federal agents found and seized the reeeipt
while executing a search warrant at petitioner's home
after petitioner became a suspect in a bank robbery.
Pet. App. 5a.
2. A federal grand jury in the'Western District of
Virginia returned a superseding indictment eharging
petitioner with one count of making a false statement
material to the lawfulness of a firearm sale, in violation of 18 U.S.C. 922(a)(6) (making it unlawful "for any
person in eonnection with the acquisition or attempted
aequisition of any firearm {< t * from a * *
licensed dealer * t * knowingly to make any false
or fictitious oral or written statement * * x intended or likely to deeeive such * t x dealer
{< * t with respect to any fact material to the lawfulness of the sale * t< * under the provisions of
this chapter"); and one count of making a false statement with respect to information required to be kept
in the records of a licensed firearms dealer, in violation of 18 U.S.C. 92a(aX1XA) (making it unlawful to
"knowingly make[] any false statement or representation with respect to the information required by this
chapter to be kept in the records of a person licensed
{<

296

RIF

under this chapter"). See Pet. App. 5a-7a; J.A. l7a19a.

Petitioner filed a pretrial motion to dismiss the

charges on the ground that his *Yes" response to
Question 11.a on the ATF Form 4473 was not a material misrepresentation because his uncle was legally
eligible to purchase a firearm. Pet. App. 8a. The
district court denied the motion in an oral ruling.
Ibid,.; see id,. at26a.
Petitioner then filed a second motion to dismiss on
the ground that the "actual buyer" information requested by Question 11.a. on ATF Form 4473 is not
information that is required to be kept in the records
of a federal firearms dealer and that the ATF's decision to ask for that information was made without
proper notice and comment rulemaking. Pet. App. 8a9a. In a published opinion, the district court rejected
those arguments. 778 F. Supp. 2d 678 (2011). It noted
that several statutory provisions "require licensed
firearms dealers to keep reeords containing information about the identity of individuals who buy firearms." Id,. at 680 (quoting Uni,ted, States v. Nelson,
221 F.3d L206,1209 (11th Cir.), cert. denied, 531 U.S.
951 (2000), and citing 18 U.S.C.922(b)(5), 923(sXB)).
The district court explained that the "information
required" under those provisions "is information
about the identity of the actual buyer, who supplies
money and intends to possess the firearm, as opposed
to that individual's 'strav man' or agent." 778 F.
Supp. 2d at 681 (quoting Nelson, 221 F.3d at 1209).
The court said that a eontrary reading, under which
the identity of the actual buyer behind a straw purchase were not relevant to federal record-keeping
requirements, would permit "easy evasion of a com-

297

RIF

prehensive scheme," contrary to Congress's intent.

Ibid,. (qlloting Uni,ted, Sttes v. Whi,te, 45L F.zd 696,
699-700 (5th Cir. l97L), cert. denied, 405 U.S: 998
(re72)).
The district court also rejected petitioner's noticeand-comment claim. 778 F. Supp. 2d at 682. The
court explained that Section 924(a)(1XA) itself "clearly contemplates liability for * * * 'straw purchases"' and that liability for false statements about such
purchases was therefore not based on "an unpublished
agency interpretation of that statute." Ibid,. (qtoting
Nelson,221 F.8d at 1210).
Petitioner entered a conditional plea of guilty to
both'counts of the superseding indietment. Pet. App.
10a. The distriet court sentenced petitioner to five
years of probation on each courit, to run concurrently.
Ibid.
3. The court of appeals affirmed. Pet. App. la-24a.
In doing so, the court noted that petitioner had appealed only the district court's denial of his first motion to dismiss. Id,. at 9a & n.6; see Pet. C.A. Br. 3
(noting that petitionerwas not challenging the alleged
"administrative deficiencies" in ATF Form 4473 asserted in his second motion to dismiss).
The court of appeals rejected petitioner's argument
that the "actual buyer" information required by Question ll-.a. on ATF Form 4473 is only "material to the

lawfulness of the sale" of a firearm, 18 U.S.C.

922(a)(6), if the person for whom the firearm is purchased is ineligible to purchase a firearm. Pet. App.
LBa-L7a. The court held that the "identity of the purchaser of a firearm is a constant that is always material to the lawfulness of the purchase of a firearm

298

RIF

under [Section] 922(a)(6);' Id,. at 16a (quoting Uni,ted

Stotesv. Frazier,605 F.8d 1271,1280 (llth Cir.2010))
(emphasis omitted). Because the record established
that the "sole reason" petitioner purchased the firearm was to transfer it to .Llvarez, the court concluded
that petitioner's statement on Form 4473 that he was
the actual buyer ras a false statement material to the
lawfulness of the sale under Section 922(a)(6). Ibid,.
The court of appeals also upheld petitioner's conviction under Section 92a(aX1XA). Pet. App. 17a-18a.
The court explained that the statute, which criminalizes making "any false statement or representation with
respect to the information required by this chapter to
be kept in the records of a person licensed under this
chapter," 18 U.S.C. 92a(aX1XA), "does not require
that the falsehood on the ATF Form 4473 relate to the
lawfulness of the firearm acquisition itself." Pet. App.
l7a. "[T]he identity of the actual purchaser of the
Glock 19 handgun vas a fact required to be maintained by the Virginia firearms dealer that sold the
firearm," so petitioner's false statement on that question violated Section 92a(aX1XA). Id. at 18a.
SUMMARY OF A.RGUMENT

Petitioner's knowingly false statement that he was

the actual purchaser of the handgun violated both 18
U.S.C. 922(a)(6) and 924(a)(1XA).
'When
petitioner misrepresented himself as the
1.
buyer
of the Glock 19 handgun, he "knowingly"
actual

statement * * * likelyto
deceive" the firearm dealer "with respect to [a] fact
material to the lawfulness of the sale." 18 U.S.C.
922(a)(6). A firearm purehaser's true identity is aIways material because it has "a natural tendeney to
influence, or [is] capable of influencing" the lawfulness

madea"false {<

* *

299

RIF

I
of the sale. Kungys v. United, States,485 U.S. 759,
770 (1988). Federal law requires the name of a firearm purchaser to be recorded in a dealer's records, 18
U.S.C. 922(b)(5), his identity to be verified, 18 U.S.C.
922(t)(l)(C), and his baekground to be examined
through use of federal databases, 18 U.S.C.
922(tX1XB). Those provisions effeetuate federal law's
twin objectives of keeping firearms a\ay from ineligible individuals and allowing for the tracing of firearms
involved in crimes. All of them depend on accurate
identity information to achieve those goals.
Petitioner's contention that he was in fact the actual buyer of the Glock 19 handgun (because he filled
out the required paperwork, handed money to the
cashier, and walked out of the store with it) lacks

merit. Section 922's provisions focus on the substance

of firearm transactions and the actual recipient of the
\Meapons. This understanding of the statute is confirmed by agency law principles, which make an undiselosed principal a party to a contract entered into
by his agent. It is also confirmed by the statute's
detailed provision limiting a dealer's ability to sell a
firearm to a physically absent buyer, 18 U.S.C. 922(c),
a provision that would serve no purpose if the absent
buyer could simply obtain a firearm through an agent.
Seetion 922's other record-keeping and identityconfirming provisions would also be largely ineffectual
if recording and confirming the identity of a straw
purchaser-who has only ephemeral control over the
firearm-were deemed to satisfy them.
Petitioner's alternative contention that his false
statement was not material because his uncle was
legally eligible to obtain a firearm also fails. The
statute prohibits false statements material to the

300

RIF

10

lawfulness of "the sale," i.e., the one between the buyer and the dealer, not some other hypothetical sale
involving an absent party. 18 U.S.C. 922(aX6) (em-

phasis added). And the true identity of a firearm

purchaser is always material to a sale by a dealer.
Congress placed significant regulatory obligations on
firearm dealers because they were in the best position
to ensure that the various requirements of federal
firearms law were satisfied. Petitioner's construction
of the statute, in which a firearm purchaser can effectively take that responsibility away from the dealer
when he is buying a r/eapon on behalf of someone he
believes is eligible to own it, would subvert the statutory scheme.
Petitioner reasons that the only purpose of the
sales restrictions in Section 922 is to keep firearms
out of the hands of ineligible buyers and that the statute should not apply where that purpose is not implicated. Petitioner's premise is mistaken. While the
goal of preventing felons and other ineligible individuals from obtaining firearms was plainly an important
purpose of the statute, it was not the only one. In
partieular, Congress regulated firearm transactions in
order to permit the tracing of weapons found at crime
scenes. That purpose is implicated even when a straw
purchase is made on behalf of an individual eligible to
obtain a firearm himself.
Petitioner's contention that the firearm dealer
could have lawfully sold him the Glock 19 handgun
even if he had truthfully disclosed he was not the
actual buyer is not correct. Such a sale in the acknowledged absenee of the aetual purchaser would have
violated several provisions, including Section 922(c),

301

RIF

Lt

which strictly regulates sales to physically absent

buyers.

2. Petitioner's false statement also violated the

separate prohibition on misrepresentations with respect to "information required by this chapter to be
kept in the records" of federally licensed firearm
dealer. 18 U.S.C. 92a(aX1XA). Petitioner falsely said
he was the firearm's actual purchaser, resulting in the
recording of incorrect information the dealer was
Iegally required to maintain. Petitioner's effort to
carve out from this provision information required to
be maintained by regulations, as opposed to the statute itself, misconstrues the statutory scheme. In any
event, that argument is beside the point because the

identity information at issue here was required by

Section 922 itself to be kept in the dealer's records.
See, e.9.,18 U.S.C. 922(b)(5).

ARGUMENT

I. PETITIONER

VIOLATED 18 U.S.C. 922(aX6) BY

FALSELY STATING HE WAS THE ACTUAL BUYER
OF THE HANDGUN
Section 922(a)(6) of Title 18 of the United States
Code makes it unlawful "for any person in connection
with the acquisition * * * of any firearm x * *
froma {< * * licenseddealer t * t knowingly
to make any false or fictitious oral or written statement * * *, intended or likely to deceive such
* ''< * dealer t( * t with respeet to any fact
material to the lawfulness of the sale * * x under
the provisions of this chapter." 18 U.S.C. 922(a)(6).
Petitioner's conduct yas covered by this prohibition.
He knowingly made a false statement-that he was
not purchasing the handgun on behalf of another-to a
licensed firearm dealer. That false statement was

302

RIF

L2

"likely to deceive" the dealer "'ith respect to" "fa,ct

material to the lawfulness of the sale," namely the
identity of the firearm's actual purchaser.
A. The True ldentity Of A Firearm Purchaser Is Material
To The Lawfulness Of The Sale

The "faet" of a firearm purchaser's identity is al"material to the lawfulness of the sale" to him.
18 U.S.C. 922(a)(6). Accordingly, the fact that an
individual is formally completing the sale on behalf of
another, who is the actual purehaser because he is
paying for the firearm and will take possession of it, is
material to the lawfulness of the sale.
A statement is "material" when it has "a natural
tendency to influence, or [is] capable of influencing,
the decision of the decisionmaking body to which it
was addressed." Kungys v. Uni,ted, States,485 U.S.
759,770 (1988) (internal quotation marks omitted); see
Uni,ted, Stotes v. Ga,ud,i,n, 515 U.S. 506, 509 (1995)
(same). The Court has emphasized that the determination of whether a falsehood is material "does not
lend itself to mechanical resolution." Kungys, 485
U.S. at 771. In particular, "[i]t has never been the test
of materiality that the misrepresentation or concealment would nxore li,kelg than not have produced an
erroneous decision." .Ibid.
Instead, the question in a materiality inquiry is
"whether the misrepresentation or eoncealment was
predictably capable of affecting, 'i.e., had a natural
tendency to affect, the offieial decision." Kungys, 485
U.S. at 771. This approach reflects the materiality
requirement's roots in the common-law perjury offense, which did not cover false statements regarding
"trifling collateral circumstances, to which no regard
rays

303

RIF

13

is paid." Id,. al 769 (quoting 4 William Blackstone,

Commentaries xL37).
The "lawfulness of the sale" of a firearm by a federally licensed dealer-to which the false statement

must be "material" under 18 U.S.C. 922(aX6)-is

governed by various provisions in 18 U.S.C. 922. In
particular, before "sell[ing] or deliver[ing]" "any firearm * * * to any personr" the dealer must note

that person's "name , ge, and place of residence" in its

records. 18 U.S.C. 922(b)(5). In addition, the dealer
must "verif[y] the identity of the transferee by examining a valid identification doeument" with a photograph. 18 U.S.C. 922(tX1XC). The dealer must also
submit the purchaser's identity information to the
National Instant Criminal Background Check System
and complete the sale only if that system provides a
"unique identification number" approving it, or if
three business days have passed and that system has
not disapproved the sale. 18 U.S.C. 922(tX1XB).
Section 922 also makes it unlawful to sell a firearm
to any person when the seller "know[s] or ha[s] reasonable eause to believe that such person" falls into
one of a variety of prohibited categories. See 18
U.S.C. 922(dX1) (under indictment for, or convicted of,
a felony); (d)(2) (fugitive from justice); (dXB) ("an
unlawful user of or addicted to any controlled substance"); (dX4) ("adjudicated as a mental defective" or
having been "committed to any mental institution");
(dX5) (an alien not lawfully present in the United
States); (dX6) (dishonorably discharged from the
Armed Forces); (dX7) (a person who has renounced
his United States citizenship); (dX8) (individual subject to a qualifying protective order); (dXg) (person
convicted of a misdemeanor crime of domestie vio-

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lence).

It is also generally unlawful for a licensed

firearm dealer to sell or delver a firearm to a juvenile

(and a handgun to a purchaser under 2I), 18 U.S.C.
922(b)(l), and a handgun to a resident of a State other
than the one where the dealer's business is located, 18

u.s.c. e22(bx3).
Against the backdrop of the highly regulated nature of firearms sales by federally licensed dealers,
petitioner's false statement that he was the "aetual
buyer" of the Glock 19 handgun \Mas "material to the
lawfulness of the sale." 18 U.S.C. 922(a)(6). Indeed,
few facts, if any, are more "material to the lawfulness
of [a firearm] sale" (i,bid,.) than the identity of the
buyer because knowledge of purchaser identity is
necessary to the application of all of the statute's
requirements and prohibitions. See United, States v.
Anag,615 F. Supp. 823,825 (N.n. ill. 1985) ("Congress made identity per se material within the terms
of Section 922(a) (6).").
By concealing the name of the actual buyer of the
handgun, petitioner prevented the licensed dealer
from accurately recording that buyer's name in its
records, 18 U.S.C. 922(b)(5), and from verifying that
buyer's identity, 18 U.S.C. 922(tX1XC). The false
statement also prevented the dealer from submitting
the actual buyer's identity information to the National
Instant Criminal Background Cheek System for approval of the purchase. 18 U.S.C. 922(tX1XB). The

false statement further prevented the dealer from

determining whether the actual buyer was prohibited
from receiving a firearm. 18 U.S.C. 922(b) and (d). In
sum, the various provisions of 18 U.S.C. 922 make
clear that a firearm purchaser's true identity is critical information that is anything but a "trifling collat-

30s

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eral circumstance[], to which no regard is paid."

Kunggs, 485 U.S. at 769 (quoting 4 William Blackstone, Commentaries *137). It is therefore material.
B. Petitioner's Contention That His False Statement
About The Firearm's Actual Buyer Was Not Material
Laeks Merit
Petitioner advances two distinct arguments for the
proposition that his false statement on Form 4473 was
not material to the lawfulness of the purchase. First,
petitioner contends (Br. 30-31) that le was the handgun's actual buyer for purposes of federal law and that
the fact that he was purchasing the firearm on behalf
of another individual was legally irrelevant no matter
who that individual was. Second, petitioner eontends
(Br. 28-30) in the alternative that even if a firearm
purchaser's false statement that he was the actual
buyer is sometimes material, it would be material only
when the absent actual buyer was himself ineligible to
make the purchase. Both contentions lack merit.

1. Pettoner

ws not the etual buyer of the fr.rearm

under federal lw

a. Petitioner's broadest contention (Br. 24, 30-31")

is that he was in faet the "actual buyer" of the handgun for purposes of Section 922. Petitioner observes
(id. at 31) that he, not his uncle, "was the person who
filled out the form, underwent a background check,
paid for the gun, and physically took possession of it."
Based on those eircumstances, petitioner contends
(ibid.) that his "false statement that he was the 'aetual
buyer,' as that term is uniquely identified in Question
11-.a, was not material to the laufulness of the sale
because, as a legal

matter

x t * , he was the actual

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buyer regardless of which box he ehecked on Question

LI.a."
Under this reading of Section 922, an individual
wishing to purehase a firearm from a federally licensed dealer could enter the premises with a straw
purchaser, instruct him which firearm to buy, hand
him the money to pay for it, and then take possession
of the firearm from the straw purchaser immediately
after the sale is completed-without ever having his
name recorded, his identity cheeked, or his eligibility
to receive a firearm confirmed.l And the straw purchaser could falsely state on Form 4473 that he was
the "actual buyer" (as the true actual buyer looked
over his shoulder), without violating Section 922(a)(6).
This contention fails for several reasons.
i. The provisions of Section 922,when read in light
of each other and the purpose of the statute as a
whole, address substanee, not empty formalities.
Indeed, agency law, against whose backdrop Section
922was enacted, has long provided that "[h]e who acts
through another acts himself." Uni,ted, States v.
Moore,109 F.3d L456,1461 (gth Cir.) (en banc), cert.
denied, 522 U.S. 836 (1997). For that reason, "[a]n
undisclosed principal is bound by contracts and conveyances made on his account by an agent acting vithin his authority" (unless the contract expressly excludes him). 1 Restatement (Second) Agency $ 186
1 The scenario in which the actual buyer accompanies the straw
purchaser to a licensed firearm dealer's store and directs the straw
purchaser to buy a firearm for the actual buyer while causing the
straw purchaser to complete the ATF Form 4473 is not unusual.
8.9., United, States v. Bowen,207 Fed. fuppx.727,729 (7th Cfu.
2006); Uni,ted, Sta.tes v. Paye,129 Fed. Appx. 567, 570 (l1th Cir.
2005) (per curiam).

307

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(1958); see 2 Restatement (Second) Agency $ 322

(1958) (noting that the agent is also a party to the
transaction); see also 2 Restatement (Third) Agency
$ 6.03 (2006). As a result, when a principal provides
the funds for a firearm purchase and sends an agent
to act on his behalf, the absent individual is the actual
buyer under standard principles of agency law.
Accordingly, the "name, age, and place of residence" that Section 922(bX5) requires the licensed
dealer to record are those of the principal, 'i,.e., the

actual buyer of the firearm. 18 U.S.C. 922(b)(5).

Congress explained that it viewed this record-keeping
requirement as "implementfing] each of the controls
imposed by" the statute. H.R. Rep. No. 1577, 90lh
Cong., 2d Sess. 14 (1968) (House Report). That implementation would be dramatically undermined if it
could be satisfied by recording the name of only a
straw purchaser.
Likewise, the "identity" the dealer must "verif[y]"

by

examining photo identification,

it

18

U.S.C.

is required to submit to
the National Instant Criminal Background Check
System for approval of the purchase, 18 U.S.C.
922(t)(l)(B), are those of the individual who will actually receive the firearm. Petitioner's contrary reading, under which these provisions would be eompletely
satisfied by the identity of a straw purchaser with only
ephemeral control of the firearm, would render them
utterly ineffectual in carrying out Congress's obvious
purpose in enacting them, i.e., to ensure that those
coming into possession of firearms from licensed dealers are eligible to do so and that their identities are
known.
922(t)(l)(C), and the name

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ii. This commonsense understanding of Section

922's requirements is confirmed by the language Congress used in Section 922(a)(6).
applies to false
statements made "in connection with the acqu'i,sition

It

or attempted aequisition of any firearm," rather than

just a sale or a purchase. 18 U.S.C. 922(a)(6) (emphasis added). The Court has explained that the word
"acquisition" in this provision is not limited by concepts of "legal title" or formal "ownership." Hudd,leston v. Uni,ted, Sttes,415 U.S. 814, 820 (L974). Instead, it has a practical, physieal meaning; the "word
'acquire' is defined to mean simply'to come into possession, control, or power of disposal of."' Ibid,. (qaotingWebster's Th'i,rd, New International Dictionry 18
(1966)); see id,. at 823. The Court has further explained that this substance-over-form reading of Section922(aX6) is reinforced by its separate reference to
"the lawfulness of the sale or other d,isposition" of
firearm. 18 U.S.C. 922(a)(6) (emphasis added); see
Hud,leston, 4I5 U.S. at 826. That language "was
aimed at providing maximum coverage." Id,. at 826827. In this ease, the "sale or other disposition" 'were
to petitioner's uncle: he was "acquifring]" the firearm
(and was the recipient of its "disposition") becausefrom payment to outcome-the entire point of the
transaction was to deliver it into his hands. 18 U.S.C.
e22(a)(6).

iii. Section922's focus on the identity of the actual

purchaser of the firearm is reinforced by the provision's tight restrictions on sales to physically absent
buyers. See L8 U.S.C. 922(e); see also 27 C.F.R.
478.96, 478.L24(f). The statute provides that a federalIy licensed dealer "may sell a firearm to a person who
does not appear in person at the licensee's business

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premises * {< * only if" a seties of conditions are

satisfied. 18 U.S.C. 922(c) (emphasis added). In particular, the absent buyer must submit a "s\Morn statement" that he meets the relevant age minimum and
that he is not statutorily prohibited from receiving the
firearm under federal, State, or local law, and providing the name of the "principal law enforcement officer
of the locality to which the firearm will be delivered."
18 U.S.C. 922(e)(l). The dealer must then mail the
sworn statement and a description of the firearm to
that law enforcement officer, receive a return reeeipt,
and wait a week before shipping the firearm to the
absent buyer. 18 U.S.C. 922(c)(2)-(3).
Section 922(c) provides the statutory scheme's exclusive mechanism for a physieally absent person to
purchase a firearm from a federally licensed dealer.
Those carefully detailed restrictions would be rendered largely superfluous if such absent buyers could
easily circumvent them by simply obtaining a firearm
through a straw purchaser instead.
iv. Finally, petitioner's broad contention that federal law does not prohibit straw purchases of any kind
would mean that an individual could purchase a firearm on behalf of a convicted felon (or otherwise statutorily ineligible individual), falsely deny he was doing
so, and not violate Section 922(a)(6).2 That would fly
in the face of the "principal purpose" of the Gun Con-

2 In

Lhat case, the later transfer between the straw purchaser

and the actual buyer would itself still violate federal law. See 18
U.S.C. 922(d). As petitioner recognizes (Br. 8), however, that
would not have been true at the time of Section 922(a)(6)'s enactment, given that the prohibition on sales to ineligible purchasers
applied only to dealers until 1986. See p. 22, ina.

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trol Act of 1968,3 which was "to curb crime by keeping

'firearms out of the hands of those not legally entitled
to possess them beeause of age, criminal background,
or incompetency."' Hudd,leston,4LS U.S. at 824 (quoting S. Rep. No. 1501, 90th Cong., 2d Sess. 22 (1968)).
If straw purchases for ineligible buyers vere "insulated from the law's registration provisions, the effect
would be tantamount to a repeal of those provisions."
Uni,ted, States v. Lawrence, 680 F.zd, 1126, 1128 (6th
Cir. 1982) (per curiam). It is therefore not surprising
that, as petitioner himself has emphasized, none of the
lower courts has adopted this reading of the statute.
Pet. Br. i ("The lower courts uniformly agfee thal a
buyer's intent to resell a gun to someone who cannot
lawfully buy it is a fact 'material to the lawfulness of
the sale."') (quoting 18 U.S.C. 922(a)(6)).4
3 Sections 92I-928 of Title 18 of the United States Code were
originally enacted as part of Title fV of the Omnibus Crime Control and Safe Streets Act of 1968, Pub. L. No. 90-351, $ 902, 82
Stat.226-234. Those provisions were superseded later in 1968 by
the Gun Control Act of 1968, Pub. L. No. 90-618, $ 102, 82 Stat.
1274-1226, which was almost identical except for extending coverage to certain transactions involving long guns as well as handguns. The 1968 statutes replaced the Federal Firearms Act, ch.
850, 52 Stat. 1250.

a Petitioner suggests that the ban on straw purchases is arbitrary because an individual can purehase a firearm as a gift for
another without violating the statute. Br.26 n.3; see W. Va. Amicus Br. 3, 13; NRA Amicus Br. 14-15. Even if correct, that contention would not entitle petitioner to make a false statement when
purchasing a firearm, see p. 34, infra, and petitioner does not
claim the Glock 19 was a gift for his uncle. In any event, the distinction the ATF draws (Supp. J.A. 4 ('TIlf Mr. Brown goes to buy
a firearm with his oriln money to give to Mr. Black as a present,
Mr. Brown is the actual transferee/buyer of the firearm and should
answer 'YES" to question 11.1.")) is reasonable. A person who

3n

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2L

b. Petitioner makes an elaborate argument based

on legislative history (Br. 4-ll, 26-27, 29) that courts
inappropriately created the "straw purchaser doctrine" to fill gaps they perceived in federal gun regulation. Petitioner is incorrect. As discussed above,
the liability of an individual for falsely stating he is
the actual buyer of a firearm flows directly from the
text of Section 922(a)(6) and related provisions, not
from any judge-made doctrine. Use of Section
922(a)(6) to prosecute straw purchases is thus not an
"expansion of the Aet's plain text through a courtcreated legal doctrine" (Pet. Br. 26) but instead a
straightforward application of the provision to a common scheme for violating it.
Indeed, the concept of a straw purchaser is not
unique to firearm transactions; it describes any scenario in which "a third party * * * is put up in
name only to take part in a transaction." B\aclt's La,w
Di,cti.onary l42l (6th ed. 1990). Such schemes can
result in the violation of various statutory prohibitions. 8.9., Gaud,i.n, 515 U.S. at 508 (straw purchasers
used to buy real property as part of mortgage
scheme); Darby v. Ci,sneros, 509 U.S. 137, 139-140
(1993) (straw purchasers used to circumvent mortgage
insurance restrictions); United, States v. One 1936
Mod,el Ford, V-8 De Lune Coa,ch, Comm. Cred,it Co.,
Cli,mant, 307 U.S. 219, 224 (1939) (bootlegger used

purchases a firearm as a gift for another person using the gift

giver's o\ryn money is not acting as the recipient's agent, and the
gift recipient is in no \May a party to the transaction. And, as a

practical matter, a prohibited person is more likely to obtain a

firearm through a planned straw purchase than an unanticipated
or unrequested gift.

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stra\/ purchaser to buy vehicle used to transport liquor).

Petitioner notes (Br. 8) that Congress in 1986

amended Section 922(d) to make it unlawful for an
unlicensed individual to sell a firearm to an ineligible
person. See Firearm Owners Protection Act, Pub. L.
No. 99-308, $ 102(5XA), 100 Stat.45L-452. In making
that amendment, however, Congress did not amend
Section 922(a)(6), thus undercutting petitioner's suggestion that the amendment was intended to eliminate
Iiability for those who purchase firearms for others
while falsely denying they are doing so. In amending
Section 922(d), Congress closed a loophole that allowed any unlicensed individual to transfer a firearm
to an ineligible person regard,less of how he acquired
it. Speeifically, the loophole applied both to transactions between a straw purchaser and an ineligible
individual and to transactions between an individual
who acquired the firearm for himself and later decided
to transfer it to the ineligible person. By closing that
loophole, amended Section 922(d) therefore applies in
some circumstances (i.e., those not involving straw
purchases) where Section 922(a)(6) would not-just as
Section 922(a)(6) will apply in some circumstances
('i.., those where the actual buyer is not ineligible)
where Section 922(d) would be inapplicable. And the

possibility that some conduct may fall within both

prohibitions does not provide cause for reading either
of them other than aecording to their plain terms. See
Uni.ted, States v. Batchelder, 442 U.S. 114, 118-126
(1e?e).

JIJ

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2.

The lega.l eligbiltg of the actual buyer to cqure a.

firearm s rrelevant to the materialty queston
"Even if this Court believes the straw purchaser

doctrine is valid as a general principle," petitioner

contends, "the Court should hold that it does not apply
in a case like this one, where an individual purchases a
gun on behalf of another lawful purchaser." Pet. Br.
28; see id,. at 28-30. Petitioner's fallbaek argument
fares no better than his broader submission.
a. As petitioner elsewhere recognizes (Br. 2l),
"Section 922(a)(6) criminalizes false statements 'material to the lawfulness of the sa,Ie,"' 'i.e., "the firearm
sale in this case." See 18 U.S.C. 922(a)(6). Accordingly, the relevant question is whether petitioner's false
statement was material to the transaction that actually occurred, not to petitioner's later transfer of the
handgun to his uncle or to a hypothetical transaction
between his uncle and Town Police Supply. For the
reasons diseussed above (pp. L2-22, supra,), the identity of the prineipal behind the purchase'as material to
the only transaction that mattered here because federal law required that identity to be corroborated,
recorded, and screened for eligibility. Under this
scheme, the identity of the purchaser has a "natural
tendency" to influence the lawfulness of the sale,
Kungys,485 U.S. at770, and is therefore material.
i. Petitioner's contrary reading of the statute
would subvert it. Congress placed the obligation to
conduct identity- and eligibility-related inquiries on
firearm dealers for a reason. The Gun Control Act
makes the dealer "the principal agent of federal enforcement." Hudd,leston, 415 U.S. at 824; see Pub. L.
No. 90-351, $ 901(aXB), 82 Stat. 225 (eongressional
finding that "adequate Federal control * {< * over

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all persons engaging in the business[]

of * *

{r

dealing in" firearms is necessary to address illegal use

of weapons). The dealer must be licensed and maintain adequate records, and it is subject to criminal and
regulatory liability if it "dispos[es] of a weapon contrary to the provisions of the Aet." Hudd,leston, 4I5
U.S. at 824 (citing 18 U.S.C. 922(a)(l),923(a) and (g),
924). Congress channeled retail and wholesale firearm sales through dealers so that those highly regulated entities, which are expected to be familiar with
firearm regulation, could "insure that, in the course of
sales or other dispositions * * * , \eapons could
not be obtained by individuals whose possession of
them would be contrary to the public interest." Id,. at
925.5

6 The legislative history emphasizes the importance members of

Congress placed on the requirement that most firearm purchases
take place in person so that the dealer could ensure compliance
with legal requirements. 8.9., House Report 13 ("The requirement
that one [who] obtains a firearm or ammunition from a Federal
licensee must properly identify himself is inherent in" Section
922(a)(6).);114 Cong. Ree.22,777 (1968) (Remarks of Rep. Railsback) ('We are saying that we want some dealer to see the purchaser, to see if he is a capable and competent person. * x * I
simply want to ban the interstate mail-order sales because I am
convinced from testimony that I have heard and from statements
made to me by the Treasury Department that approximately 40

percent of the people give false and fictitious names."); id,. at

l-6,951 (Remarks of Sen. Ribicof ('Weapons of this nature must
be purchased in person. That is fundamental."); id,. at 26,7L7
(Remarks of Sen. Dodd) (discussing requirement "that those who
buy and keep guns in their possession appear personally before a
licensed dealer, so that the law-enforcement authorities may be
fully informed as to whether the buyer is eligible to buy and keep a
gun").

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Petitioner's position is that this entire dealer-based

regulatory seheme can be bypassed-and that a straw
purchaser can legally make a false statement purporting to be the actual buyer-whenever it turns out that
the actual buyer of the firearm was legally eligible to
reeeive it. On his view, sueh a false statement would
be immaterial. But that approach would frustrate
important record-keeping and screening obligations
that Congress imposed on d,ealers for every retail and
wholesale firearm transaction. It would instead place
the responsibility of ensuring that a firearm does not
end up in the hands of an ineligible person exclusively
in the hands of the unlicensed straw purchaser, who is
unlikely to be familiar with the speeifics of federal and
state firearm eligibility law, who does not have access
to screening databases, and who may not "know[] or
hav[e] reasonable cause to believe" (18 U.S.C.922(d))
that the transferee is ineligible-even if he is. That
position cannot be reconciled with the statutory
scheme making the licensed dealer the eentral figure
in preventing ineligible buyers from acquiring firearms.
ii. Petitioner's position would significantly erode
the restrictions in Section 922 on an even more fundamental level beeause, by logical extension, it would
seemingly extend to other false statements on a Form
4473. For example, it is not clear why, under petitioner's view', a firearm buyer could not write an alias on
Form 4473 and likewise provide the dealer with a
forged photo identification but escape all liability
under Section 922(a)(6) on materiality grounds so long
as he was in faet legally eligible to make the purchase.
The lower courts have consistently rejected that eounter-intuitive reading of Section 922's identity re-

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quirements. See, e.g., United, Sta,tes v. Crnd,all, 453

F.2d I2L6,l2L7 (lst Cir. L972) (rejecting that contention on the ground that 18 U.S.C. 922(b)(5) requires
the dealer to "correctly record[]" the "'name, age, and
place of residence' of the purehaser"); Anaga,615 F.
Supp. at 824-826 (rejecting argument that false identity of firearm purchaser "becomes material only if and
when [the] misrepresentation effectively conceals a
prior felony convietion, nonresidency in the state or
some other condition the firearms law seeks to regulate"); see also Uni,ted, States v. Queen,408 F.3d 337,
338 (7ih Cir. 2005) (rejecting contention that "gun
buyers may lie about a street address so long as they
live within the state where the gun is sold," meaning
that the sale would have been legal if they had disclosed their eorrect address); Uni,ted, Statesv. Gud,ger,
472 F.2d 566, 567 -568 (5th Cir. 1972) (same).6
iii. Petitioner's interpretation of the statute would
undermine Section 922's protections in another fundamental way. Because materiality is an element of
6 In prosecutions for making a materially false statement under
18 U.S.C. 1001, the courts of appeals have consistently held that a
person's false statement as to his identity is material. 8.9., United,
States v. Adelnnbi, 675 F.3d 178, 183 (2d Cir. 2012) (holding that
defendant's use of false name during proffer session with govern-

ment was material because "[g]iving a false identity can impede

the government's ability to develop information about the subject
crime, and to inform itself about the defendant and any relevant
criminal history"); Uni.teil States v. Popow,821 F.zd 483, 487-488
(8th Cir. l-987) ("It cannot be seriously asserted that the use of a
fictitious identification did not have the capability of influencing
the inspector's decision as to whether to grant ldefendant the]
privilege" of entering the United States.); Uni,ted, States v. Parten,
462 F.zd 430, 432 (5th Cir.) (rejecting contention that false name
used to enter country was not material), cert. denied, 409 U.S. 983
(re72).

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the Section 922(a)(6) offense, the government bears

the burden of establishing it. Under petitioner's view

of the statute (Br. 28-30), that would apparently mean
that the government would have to prove the actual
purchaser's ineligibility to possess the firearm. Yet in
some straw purchaser cases, neither the government
nor the straw purchaser knows who the actual buyer
was. See, e.9., Uni,ted, Stotes v. Juarez, 626 F.3d 246,
249 (5th Cir. 2010) (aetual buyer in Section
92a(aX1XA) case was known to straw purchaser "only
as 'EI Mano"'). Under those circumstances, it would
likely be diffieult, if not impossible, for the government to establish the ineligibility of the unknown
actual purchaser to receive a firearm, thus effectively
taking Section 922(a)(6) liability off the table in a particularly dangerous category of straw purchase cases.
iv. Petitioner's argument also rests on the flawed
premise that the Gun Control Act was intended only
to prevent firearms from falling into the hands of
ineligible persons. That was certainly a key objective
of the statute, but not its only one. See Anaga,615 F.
Supp. at 825. Congress also wanted federally licensed
dealers to maintain accurate records about firearm
sales so that law enforcement could use those records
to trace firearms used in crimes, regardless of whether an eligible buyer purchased the firearm from the
dealer.T Congress accordingly authorized the Attor? The D.C. Circuit recently provided this explanation of firearm
tracing:
Law enforcement agencies use tracing to link a suspect to a
firearm in a criminal investigation; to identify potential traffickers; and to detect patterns in the sources and kinds of firearms used in crime. In other words, tracing serves as a valuable tool for investigating drug crimes. Tracing begins when a

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ney General to obtain any records required to be kept

by licensed dealers, 18 U.S.C. 923(SX5XA), and required dealers to "respond immediately" to a request

from the Attorney General for such record information "as may be required for determining the dis-

position of 1 or more firearms in the course of a bona

fide criminal investigation," 18 U.S.C. 923(gX7). See
10 Ri.ng Precis'i,on, Inc. v. Jones, 722 F.3d 7LL, 715
(5th Cir. 2013) (discussing ATF tracing of firearms);
Na,ti,onal Shooti,ng Sports Found,., Inc. v. Jones,716
F.3d 200, 204 (D.C. Cir. 2013) (same).
The government's interest in traeing a firearm to
the person who purchased it from a licensed dealer
exists regardless of whether that person was eligible
to buy a firearm; eligible persons may acquire firearms that are later used in erimes. 8.g., Queen, 408
F.3d at 388 (during a six-month period, defendant
purchased 39 guns, "and at least eleven of them later
law enforcement, officer recovers a firearm used in a crime and
makes atraee request by entering the firearm's identifying information-e.9., setial number, caliber, make and model-into
a database called the ATF Firearms Tracing System. ATF
eompares the identifying information

to other firearms trans-

actions records to determine[] the firearm's entry point into

U.S. commerce and its path through the distribution chain.
Because lfederal law] limits ATF's ability to collect and maintain firearms transactions records, however, most of the records are kept by individual flicensed frearm dealers] and not

routinely provided to ATF. Therefore, ATF often relies upon

[dealer] records when it seeks to trace a firearm. Specifically,
ATF must contact the manufacturer(s) or importer, then the
wholesaler, and then the [dealer], who then provides lwithin
twenty-four hours, see 18 U.S.C. $ 923(gX7)l information about
to whom the firearm was sold.
Nati,onal Shooti,ng Sports Found,, Inc. v. Jones,7L6 F.3d 200,204
(2013) (internal quotation marks and citations omitted).

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lvere recovered at crime seenes"). And in a case

where the actual buyer and the straw purchaser are
not well acquainted and the gun is later used in a
crime, the government's effort to trace the firearm
would be substantially hindered because the trace
would likely end with the discovery of the identity of
the straw purchaser. 8.9., Juarez,626 F.3d at 249
(actual buyer whom straw purchaser knew "only as 'El
Mano"' hired straw purchaser to buy numerous military-style assault rifles, some of which were found in
the possession of gang members in Mexico).
v. Finally, contrary to the contentions of petitioner
and his amici, affirmance of petitioner's conviction
would not mean that ATF has "add[ed] a new prohibition into the [Gun Control Act] that does not exist,"
i.e., a prohibition on "transferls] of firearms between
two non-prohibited persons." NRA Amicus Br. 17; see
W'. Va. Amieus Fr.2. Petitioner's offense is based on
his lmowi,ngly having made a material false statement
at the time he purchased the handgun, not on the later
transfer to his uncle. Nothing in the statute prevent-

ed petitioner from selling his uncle a firearm-

assuming the uncle was legally eligible and that they

complied with the requirements for interstate transfers-so long as petitioner did not make a knowing
false statement to the dealer at the time he purchased
ir.
b. In all events, petitioner's uncle would not have
been a "lawful purchaser" (Pet. Br. 28) of the Glock 19
at the Virginia gun shop. Dealers are prohibited from
selling handguns to "any person who the licensee
knows or has reasonable cause to believe does not
reside in t * * the State in which the licensee's
plaee of business is located." 18 U.S.C. 922(bXB). The

320

RIF

30

dealer here is located in Virginia (Supp. J.A. 3), and

petitioner's uncle is a resident of Pennsylvania (J.4.
26a).8

3. The deler could not haae lawfully

sold pettoner
the handgun f petitioner had truthfully disclosed.
that he was not the actual buyer

Petitioner contends (Br. 23) that "the gun dealer

lar,vfully could have sold the gun to petitioner regardless of his answer to Question 11.a." That is incorrect.
8 Amieus'West Virginia's contention (Br. 14-17) that the federal
prohibition on straw purchases impinges on state authority is
incorrect. To the contrar Section 922ingeneral, and the prohibition on straw purchases in general, protect state prerogatives. In
enacting those provisions, Congress found that out-of-state sales of
firearms "haldl materially tended to thwart the effectiveness of
State laws and regulations, and local ordinances." S 901(aX4), 82
Stat. 225. As a result, Congress found that "only through" federal

regulation of firearm dealers could "effective State and local

regulation of [firearm] traffic" be made possible." $ 901(a)(3), 82
StaL.225. Federal law thus prohibits a dealer from selling "any
firearm to any person in any State where the purchase or possession by such person of such firearm would be in violation of any
State law," 18 U.S.C. 922(b)(2) (emphasis added), and it also prohibits sales of handguns to out-of-state residents, 18 U.S.C.
922(bxg). West Virginia correctly observes (Br. L4-15) that States
have made different choices regarding firearm regulation, but
those choices would be significantly undermined if a state resident
could easily eircumvent them by obtaining a firearm through a
straw purchase in a State with different rules.
'West
Virginia's further contention (Br. 18) that the Court cannot
affirm in this case without "resolv[ing] the debate" over whether
the federal prohibition on licensed firearm dealer sales of handguns to 18- to 20-year-olds, 18 U.S.C. 922(b)(I), is consistent with
the Second Amendment is incorrect. Petitioner's uncle was not in
that age rnge, so that constitutional question is not implicated
here.

321

RIF

31

a. As an initial matter, petitioner premises this argument on an incorrect legal standard. "It has never
been the test of materiality that the misrepresentation
or concealment would nlore lilly tha,n not have produced an erroneous decision." Kungys,485 U.S. at
77L. Instead, a misrepresentation is material if it
"was predictably capable of affecting, i.., had a natural tendency to affect, the official decision." Ibid,. For
the reasons discussed previously-i.e., that the entire
dealer-based regulatory seheme depends on recording
and tracking the identity of a firearm's actual buyer
and prevents absentee-buyer transactions that do not
comply with federal law-that standard is satisfied
here.

In any event, petitioner's false statement was material even under petitioner's overly demanding test.
If petitioner had answered Question 11.a truthfully by
stating that he was not the aetual buyer, the dealer
could not have lar,vfully sold him the firearm. See
generally Shawano Gun & Loa,n, LLC v. Hughes,650
F.3d 1070, t075 (?th Cir. 20Ll) (affirming revocation
of firearm dealer license based in part on "willful
transfer of firearms on three occasions to persons who
indicated on ATF Forms 4473 that they were not the
actual buyer of the firearms").
As noted above (pp. 18-19, supra), Section 922
permits a dealer to "sell a firearm to a person who
does not appear in person at the licensee's business
premises * {< * only 'i,f" certain striet conditions
are satisfied. 18 U.S.C. 922(e). If an individual on a
dealer's premises told the dealer that an absent party
was the actual buyer and the dealer proceeded with
the sale any vay, the dealer would have violated Section 922(e) because it would have sold a firearm to the

322

RIF

32

absent party without satisfying that provisions' requirements. The dealer likewise would have violated
the requirements that it verify and record the name of
the actual purehaser of the firearm. See 18 U.S.C.
922(b)(5) and (tXlXc); see p. 13, supra^ Finally, if a
dealer completed a sale under those circumstances
and signed the required certification that it was his

"belief" that the transferwas "not unlawful" (Supp.

J.A. 3), the dealer would have knowingly made a "false
entry" on a required form in violation of 18 U.S.C.
922(m).
The unlawfulness of a sale to an individual who
stated on Form 4473 that he was not the "actual buyer" of the firearm would not come as a surprise to that
individual or the dealer. The Form itself repeatedly
states that a transfer cannot be made under those
circumstances. See Supp. J.A. 1 ("If you are not the
actual buyer, the dealer cannot transfer the firearm(s)
to you."); id,. at 4 (dealer "may not transfer the firerm" to an individual who answers "no" to question
t 1.a); id,. at 6 (dealer "should stop the transaetion if
* * * the buyer answers 'no' to question 11.a").
Indeed, the employees of the dealer where petitioner
purchased the firearm in this case were prepared to
testify that they would not have completed the sale
(both "as a matter of law" and "their store's policy") if
they had known petitioner was not the actual buyer.
J.A.29a-30a.
b. Petitioner suggests that the instruction on Form
4473 (Supp. J.A. 1) that "[ilf you are not the actual
buyer, the dealer cannot transfer the firearm(s) to you"
is invalid because it was not promulgated pursuant to
the notice-and-comment requirement of the Administrative Procedure Act (APA), 5 U.S.C. 553. Pet. Br. 9,

323

RIF

33

23; see NRA Amicus Fr.22-32. For a variety of reasons, this case does not afford any occasion to decide
that question.
First, petitioner's APA claim is not properly before
the Court. As noted above (pp. 6-7, supra), the district court rejected this claim in denying petitioner's
second, motion to dismiss, and petitioner did not appeal that decision. Pet. App. 9a & n.6. In fact, petitioner went further and expressly told the court of
appeals that he was not pressing his "administrative
deficiencies" claim based on Form 4473. Ibid,.; see
Pet. C.A. Br. 3. The court of appeals thus did not
address the contention. This Court does not ordinarily deeide questions "neither pressed nor passed upon"
below, Clark v. Ari,ona, 548 U.S. 735, 765 (2006),
especially where they were expressly abandoned.
Second, any claim that ATF violated the notice and
comment requirements of the APA in promulgating
the current version of Question 11.a in the mid-1990s
is time-barred. See 28 U.S.C. 240L(a) (generally applicable six-year statute of limitation); Impro Prod,s.,
Inc. v. Bloclc, 722 F.zd 845, 850 n.8 (D.C. Cir. 1983)
(Section 240L(a) applies to APA elaims), cert. denied,
469 U.S. 931 (1984); see also Uni.ted, Sttes v. Lowry,
512 F.8d II94,1202-1203 (9th Cir. 2008) (finding criminal defendant's attempted defense based on APA
challenge to regulatory aetion time-barred).e
e Under certain circumstances, lower courts have permitted
substantiue challenges to administrative actions to be asserted in
the context of party-specifc adjudicatory proceedings even when
such claims would otherwise be untimely. See JEM Broad,. Co. v.
FCC,22 F.3d 320, 325 (D.C. Cir. 1994); cf. Yakus v. United, States,
321 U.S. 414, 431-446 (7944). But that rule does not apply to
prcedural challenges, such as notice-and-comment claims. JEM

324

RIF

34

Third, even assuming arguendo that the question

on Form 4473 was promulgated in a procedurally
defective manner, that would not provide a defense in
a prosecution for lying in an answer to that question.
"[O]ne who furnishes false information to the Government in feigned compliance with a statutory requirement cannot defend against prosecution for his
fraud by challenging the validity of the requirement
itself." Uni,ted, States v. Knon,396 U.S. 77,79 (1969).
As this Court has explained, "it eannot be thought that
as a general principle of our law a citizen has a privilege to answer fraudulently a question that the Government should not have asked." Bryson v. Uni,ted,
States,396 U.S. 64, 72 (1969). "Our legal system provides methods for challenging the Government's right
to ask questions-lying is not one of them. A citizen
may decline to ansver the question, or answer it honestly, but he cannot with impunity knowingly and
willfully ansrer with a falsehood." Ibid,.; see United,
States v. Mand,ujano, 425 U.S. 564, 577 (1976) (plurality op.).
In any event, ATF was not required to use noticeand-eomment procedures to change the "actual buyer"
instructions on Form 4473. As petitioner notes (Br. 8)
a previous version of the form stated that "[t]he sale
or delivery of a firearm who is acting as an agent,
intermediary, or'straw purehaser' for someone whom
the licensee knows or has reasonable cause to believe
is ineligible to purchase a firearm directly, may result
Broad,. Co.,22 F.3d at 325 ("lC]hallenges Lo the proceilural li,neage
of agency regulat;ions, whether raised by direct appeal, by petition
for amendment or rescission of the regulation or as a defense to an

agency enforcement proceeding,

of limitations].").

will not be entertained

outside

the lstatute

325

RIF

35

in a violation of the Federal firearm laws."

Uni,ted,

States v. Orti,z-Loya,777 F.zd 973, 986 (5th Cir. 1985)

(reprinting 1984 version of Form 4473). Likewise, an
ATF "industry circular" from 1979 stated that the

statute "does not necessarily prohibit a dealer from

making a sale to a person who is actually purchasing
the firearm for another person * * * so long as the
ultimate recipient is not prohibited from receiving or
possessing a firearm." ATF, Federal Firearm Regulation 63 (1984-1985) (reprinting Industry Circular 7910).

Notwithstanding those statements, the Fifth Circuit in 1985 upheld a Section 922(a)(6) conviction
where individuals falsely stated they were the firearm
purchasers when in fact they were working as agents
for the real purchaser, without any suggestion that
the real purchaser was legally ineligible. Orti,z-Loya,
777 F.zd at 979. The court held that "fsluch misstatements were clearly misrepresentations of material facts." Ibid. In 1994, ATF updated Form 4473 to
reflect that same understanding and to ineorporate
the substance of the "actual buyer" instruction at
issue here. See Uni,ted, Sttes v. Pollt, 118 F.3d 286,
295 n.7 (5th Cir.), cert. denied, 522 U.S. 988 (1997).
ATF has likewise made consistently elear for at least
20 years that all straw purchases are prohibited, regardless of the eligibility of the firearm's ultimate
recipient. 8.9., L FFL Newsletter, ATF (U.S. Dep't of
Treasury, D.C.), 1992, at l.
The APA's notice-and-comment requirement applies to legislative or substantive rules, but not to
"interpretive" ones. 5 U.S.C. 3(bXA); see Li,ncolnv.
Vigi,l,508 U.S. L82,196 (1993). While alegislativerule
has "legal effeet," an interpretive rule merely repre-

326

RIF

36

sents the ageney's view of applicable legal requirements. See Am,erican Min. Cong. v. M,ine Safetg &
Health Ad,min.,995 F.2d 1106, 1112 (D.C. Cir. 1993).
The ATF statements at issue here are, at most, interpretive rules. The "actual buyer" question on Form
4473 expresses ATF's view that straw purchases are
prohibited. But, for the reasons given above, it is the
statute itself, not the Form 4473 instructions (or ATF
statements in industry circulars), that makes such
purchases unlawful.

II.

PETITIONER VIOLATED 18 U.S.C. 92a(aXlXA) BY

MAKING A FALSE STATEMENT WITH RESPECT TO
INFORMATION REQUIRED TO BE KEPT IN THE
RECORDS OF A LICENSED DEALER
Section 92a(aX1XA) of Title 18 prohibits "knowingly mak[ing] any false statement" with respect to "information required by this chapter to be kept in the
records" of federally licensed dealer. Petitioner's
false statement violated that prohibition.
Section 924(aX1XA) is broader than Section
922(a)(6) in one respect because it reaches "any false
statement," nol merely a false statement that is "material to the lawfulness of the sale." Congress' decision to include a materiality requirement in Section
922(a)(6), but to omit one in Section 92a(aX1XA) is
presumed to have been deliberate and intentional.
8.9., Sebeli,us v. Cloer, 133 S. Ct. 1886, 1894 (2013).
Further, the statutory phrase "any false statement"
by itself does not have an implicit materiality element.
See United, States v. Wells,519 U.S. 482, 490 (1997).
At the same time, Seetion 92a(aX1XA) includes an
element absent from Section 922(a)(6): the false
statement must relate to "information required by this

327

RIF

37

chapter to be kept in the records" of a licensed dealer.

18 U.S.C.92a(aX1XA).
Petitioner's conduct violated Section 92a(aX1)(A)
beeause he made a false statement (that he was the
actual buyer of the firearm) with respect to "information required by this chapter to be kept in the records" of a dealer. The term "this chapter" in Section
92a(aX1XA) refers to all of the statutory provisions of
Chapter 44. Three provisions are particularly relevant to the issue. As noted above, Section 922(b)(5)
requires a licensed firearm dealer to note in his records the "name, age, and place of residence" of every
person who buys a firearm from him. Section
923(gX1XA) requires a dealer to "maintain such records of * * * sale, or other disposition of firearms
at his place of business for such period, and in such
form, as the Attorney General may by regulations
prescribe." Third, Section 926 directs the Attorney
General to preseribe necessary rules and regulations

to "earry out the provisions of this chapter."

18

U.S.C.926(a).
Because Sections 923(gX1XA) and 926 specifically
authorize the Attorney General to issue regulations to
implement Chapter 44, the Attorney General's regulations governing information that a licensed dealer
must acquire from prospective gun buyer is information "required by this chapter" to be maintained by
the dealer. In turn, under 27 C.F.R. 478.124(a), the
Attorney General requires a licensed dealer to record
every firearm transaction to an unlicensed individual
"on a firearm transaction record, Form 4473." Thus,
all the information required by the ATF Form 4473 is
information required to be kept for purposes of Section 924(aX1XA). Further, the "actual buyer" ques-

328

RIF

38

tion is required information because it directly implements the directive in Section 922(b)(5) that a dealer
note the "name" of the gun buyer in his records. See
p.17, supra.
Accordingly, when an individual purchases a firearm at the direction of, and for the use, of another
person, but he states that he is the actual buyer of the
firearm on the ATF Form 4473, he has made a false
statement with respect to the information that is required to be kept in the records of a licensed firearm
dealer in violation of Section 924(aX1XA). Every
court of appeals that has considered the issue agrees.
See Pet. App. 17a-l8a; Uni,ted, Sttes v. Johnson,680
F.3d 1140, tL46-L147 (gth Cir.20t2); Uni.ted, States v.
Soto, 539 F.3d 191, 198-199 (3d Cir. 2008), cert. denied, 555 U.S. 1116 (2009); Nelson,22lF.3d at1209.
Petitioner contends (Br. 34) that any information
ATF's regulations require licensed dealers to maintain is not information required "by th,s cltapter to be
kept," 18 U.S.C. 92a(aX1XA) (emphasis added), positing that the provision extends only to statutory requirements, not those that come from implementing
regulations. Even if petitioner's crabbed reading of
this provision were correct, his argument would fail
because, as noted above, the statute itself requires a
dealer to record "in his records, required to be kept
pursuant to section 923 of ths chapter, the name, age,
and place of residence" of each firearm purchaser. 18
U.S.C. 922(b)(5). Petitioner made a false statement
"with respect to" thot "information required by this
chapter to be kept." 18 U.S.C. 92a(aX1)(A).
In any event, petitioner's reading of Section
9za(aXlXA) as allowing false statements in records
that ATF regulations require to be maintained is

329

RIF

39

unfounded. Chapter 44 does not itself impose detailed

record-keeping requirements but instead requires
licensed firearm dealer to "maintain such records
* * * as the Attorney General may by regulations
presibe." 18 U.S.C. 923(gX1XA). Accordingly, the
information covered by those regulations is required
"by this chapter," 'i.e., Section 923(g)(1XA), "to be
kept," 18 U.S.C. 92a(aX1XA).
That interpretation is consistent with the rule that
"regulations, if valid and reasonable, authoritatively
construe the statute itself." Alexand,er v. Sand,oual,
532 U.S. 275, 284 (2001); see Global Crossi,ng TeIecorrnlls., Inc. v. Metrophones Telecon'Lnls., Inc., 550
U.S. 45, 54, 58 (2007) (rejecting argument that private-right-of-action provision "authorize[d] only actions 'seeking damages for statutory violations' and
not for 'violations merely of regulati,ons promulgated
to carry out statutory objectives"' on the ground that
"to violate a regulation that lar,vfully implements lthe
statute'sl requirements is to violate the statute").
Petitioner offers no explanation why Congress would
have broadly delegated record-maintenance responsibilities to the Attorney General, while at the same
time exempting the resulting record-keeping requirements from the protection of the statute's generally applieable false statement provision.
Petitioner observes (Br. 34) that, unlike Section

92a@))(Iv), a different provision (involving forfei

tures) expressly refers to violations of regulations.
See 18 U.S.C. 924(d)(L). Regardless of whether that
express reference to regulations was actually necessary in Section 924(dxl), it was plainly not in Section
92a(aX1XA), which expressly references "this chapter's" record-keeping requirements-rvhich, in turn,

330

RIF

40

consist of requirements to keep such information as

"the Attorney General may by regulations prescribe,"
18 U.S.C. e23(gXlXA).
Petitioner's alternative argument (Br. 35-36) that
ATF regulations do not require the licensed firearm
dealer to maintain a record of the "actual buyer" of a
firearm is incorrect. ATF regulations require the
dealer to maintain a record of the buyer's "name, sex,
residence address, [and] date and place of birth." 27
C.F.R. 478.124(c)(1). For the reasons discussed above
involving 18 U.S.C. 922(bX5)'s parallel elements, those
requirements call for information on the actual purchaser, not just a straw. See p. L7, supra. In addition,
ATF regulations require the dealer to "retain
* * x as a part of the required records, each Form
4473 obtained in the course of transferring custody of
the firearms." 2'l C.F.R. 478.124(b). Aceordingly, any
false statement on Form 4473 is a false statement
"with respect to the information required by this
chapter to be kept in the records" of a federally licensed firearm dealer. 18 U.S.C. 92a(aX1XA).

331

RIF

4l
CONCLUSION

The judgment of the court of appeals should be affirmed.

Respectfully submitted.
Dorr,n B. Vnnnrr,lt, Jn.
Solici.tor General

Myrnrr,t Reuew
Acbi,ng As si stant

Attorneg

General

Mrcnaor, R. DnnsnnN
D eputg S olicitor General
Josopn R. Pr-uonn
Assi,stant to the Solicitor
General

Tnouas E. Boors
Attomeg
DECEMBER 2013

332

RIF

If EPAFITMENT ()F THT TREASURY

sURE,U F LCOHgL T(}ecc ANr] FtR/\RMg
\,l/ASl{|YON. C 0226

$Y

ls

ol

cc-65,581

F.E

rEifgir

t r-Fur tulfitt.ers
6t6 Rt.. #25CI asl
AetrLand, Ohic 4485
Dear

ttx

irrquiry daLed tlarch 19, ZAi-,

to
As seciaLe Chief Counsel,
Firearms, Explosives and Arson, concerning straw purchases.
Specifically. you asked about a ccenrlo concerning a
husband r-ho receives a delay staLus from NIeS and rrhether
the wife's subsequenl purchase of the firearm is a straw
purchase. Your let,ber has been referred Lo Lhe Fire*rms
Programs visian for response.
Th

As you kRor*, a rrst.rw purchaser, ccurs wtren the actual

buyer of a firearm uses aaoLher perscln. he ',gLr!r
purcber, " lo execute the paperrrk necessary eo purchase
a frearrn from a federal.ly licensed f irearms dea3er {rr.L) .
Prohibited persons and vialent garlg members aften uee sLraw
purchasers Lo acquire guns from FFts. In our view, this
scenario you describe involving che husbard and wife is a
stras purchase and uould resuLt in a vio].atien of rederal

firearms 1aw. Specifically,

Ehe

actual buyer

{husband}

uses Ehe sLraw purchaser {wife} Lo execute the Form 4{?3

purporting La show hab the straw purchaser {wie} s the
ctual. purchaser of the firearsr, rhe srai^r purchaser has
violat.ed Federal Lar+ by making false sEate$ents n Form
4473 Lo the lieensee r,iLh respect Lo Lhe denLiCy af the
ctua1 purchaser of he firearms. fhis analysis also
applies t.o the qrther relationships you describe in yur
letter, specifically, broCher/sister and father/son,

lVWIY,ATF.T F EAS.GOV

J5J

RIP

fiil
There ar several stauee Lhat may be violated r+hen a
straw purchase Lakes place. They include 1S U.S.C.
S 9?4 {a) and, depending upon whecher the licensee was
deceived by ehe falce satemenLs, L8 U.s.C. g 922ta) {61.
Section 924 {a} makes it un}arful for a person o knowingLy
make any false slaternent r*ilh respecl ta the informai<n
required to be kepE. in an FFL's records. $ectan SZ2{a) {6)
makes iL unlawfui for a person to knor,gly make any false
or fictiti*us oral or vrriten stt,ements or furni.sh
irlenti.f ieaeioa Lhat ie likely to deceive a FFL. The wife
in ycur scenario ould violaLe this provisiqn by cornpleling
bhe 14?3 purporLing Lo be the actual purchaser, The actual
purchaser r,ho utilizes the sLraw purehaser Lo cquire
firearrns on bhe purclraser's behalf hs unlewfully aided and
abelled elr caused She making of the false stalerrerte in
viol.ation of 3.* U"S"C. S 2. The act.ual purchaser and the
sbrar. purchaser :*ay also be prosecLed for conspiracy in
violarion of 18 U.S.C. S 3?1, fhe licensee may be
prosecut,*d for violat.icrs of 18 U.g,C. S 922 {b} (5} ad (m),
whch prohibir recordkeeping violarions l:y FFLs, f the
lcensee ws wre of the false slalernents n Lhe Form
4473. TL is jmmaLerial hat Lhe aclual purchaser and bhe
stra purchaser re residenLs of Lhe SlLe in wirich Lhe
dealer's licensed premises is lccat*d, re nt prohibited
from receiving or psses*i*g fireerrns, and ceuld have
1awfulLy purchased firearrcs from the deaLer,
The r^ife

ia your scenario

makes

a false or ficlitious

Slatment on Lhe Farm {4?3 tahen ehe claims to be the actual

buyer, :t does nrt mater ghaL either the husband ar the
r.tife may be eligible ttl purchase a firearm, tra$
purchaee results in the falsifcalion of the llcensee,s
records uith respece o Lhe identity of the actual buyer.
Il is cLear from the facts yu presen ha$ the wife never
had any nt,erLion f being lhe act.ual buyer, she is only
doing s because her husband has been delayed. Filling out
the For 44?3 as the actual buyer and immediately giving
Lhe gun to her husband evdences her lack of ingenL orn
the firearm herself . This pr.lrchase alsc) d<>ee not faIl into

334

RIP

*3*

ff

tl

the caLegory of a gifl becuse, again, she has na intenE t<>

give her husband a gif, she j,s onLy purchasing the firearm
because her husbaad has a delayed et,alus f rr:m ICS. The
deJ.ay in the scenario is irrelevnt because it does not
change the fact lhat the uife sti3.1 nay not purchase a
firearm for scmeone otber than herself.
t{e LrsU thie has been responsive to yaur inquiry.
leL us know if r.e can be of further assistance.

(
u6\i-' Chief

fl

Please

6H

Firearms PrograrRs Division

335

RIP

PAGE(S) WTTHHELD rN FULL

11

(\vI

OR REF'ERRED TO AI\OTHER AGENCY

f,wr
REFERRED TO:
Page

Number

336-346

Exemption (b)(1)
Exemption (bX2)
Exemption (bX3)

Applicable Statute

(b)(a)

I
Exemption (b)(s)
Exemption

Applicable Privilege:

Deliberative Process Privilege

Attorney Client Privilege

Attorney Work Product
Exemption

(b)(6)

Exemption (bX7X
Exemption (b)(7)@)

Exemption (b)(7)(C)
Exemption (b)(7)@)
Exemption (b)(7)@)
Exemption (b)(7)(F)

Duplicate

Non-Responsive

Of Pages

l_l

Outside of Scope of Request

String E-Mail
T

ccsted in Dseurrent

347

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i$.l,

for locrl rrquircmcnB pcrtsllrn

CoMr[rn]s Nry
Er:mcave Jrru*r' 2, I98d, ?tE po$rnH or EGIOT{L RSCIIL.AIORY I}MINISTIIOA
rtr SEGINAL PIECOR {CCIMPLIAilCA}.

crrNc

Dntiln Inforartlo
1r corEllcr of rhb rtlbetlon r ,1f3 *cfu|lt Gry d of ttl flm rnd f,rlorI*r pntlonr Brrel &nlhcc rrrtlot,
ro h raollllc lor ttc rIo otc lltd rtu c.r&l lrral.
Mlttlb,

rtd ri! hforurtlr

lor fttrt cdltlor

l ddrccl fa,

rld rlll tc frrlcfully r*rhci

by;

Bonr rf rfhoho! T{trcEa rd Flcras

Fltlrn llil tuirr*

Opcrtloru

trb

{f}FS}

1{iblntlon, DC 2{t
{10} r?t91

i.,.rfl
348

rur

FEDERAL FIRSARIVTS LAWS A.DMINISTERE

BY THE BUREAU OF ,LCOHOL, TOBACCO .N FIREARMS

or

Gux &rr*o. cr

l!)68

PueI.rc Lrw 90-613

fotr{

f$8

{leia'bct 12,

tt st lt

Tltc L Srr F.rrln Controt glrtncc:

Tttlc t.

ilffEl)

ST,tTS CSE, CAI'IEB |., Slctlorr 9-r8

Control td Srfc Strcu Act of 196e, a mcdcd,l

ffitle lV of thc Smnibe ric

lltlc ll.

frlach&c

6n llc$ltrctv Drvhcs. rd Ccrtin Ohcr Fircr

tltlt tf, llNtt

SfE AOtEt clltruE* t3.

cr^t':* St, rvrnNL

ryENUE ooE

Scclom

sl&l-tf?t

F 9ia

{N,tttot*rt- F*rta3 AcT oF l9l1, *s raxgtp,}

Trt

lll.

bltrtD*{?s

ro ?rlrE Vll

"HE

u,rst s CnrM Co{Tp"

F sFe $csTt cr

Orxrus CaMs Corvr*o AND SIFE $r*snts c?

Pusrrc Lrv 90-$51

,+FPrv t${s

TfrL tv. {rnsfr y Ttr

{}F TgE

u Co!TFoL 1

$.

*f

{rr

}968.

1968

f9t

51". ::5

sr

t958}

lrrr Tfl.

lJr.t*FgL *ossso oa l'ccatrr oF FrEARts:

l, U!{IT TA?E g}SE, PPgt*Dl, Sq=ror IA,f-11}
(r r{os ry Tffir II rrF Tss CUN CoNTrou ,4 F 4t68,}

TfTI

.*us Sxponr CorcrRgl *ct er 19?6, ,rs AMENDE

Prrc Lrw 94-239, s IITENDED
rtftf}vE &rr{ f}, tg6

Scc' 3. C$r*oL gF drxs Exsonrs np lrrro*s:

TrrL :1, FafED STATES 4TIDE, SEcrlorr
tsxco* l{ {rF Tri MUrrr,rL Scunrrt ,{{ F

ttf{, 1 USC t9d, ts iTEALE.}

THEN LAWS
26 USC

{'.or mtc

tl USg l?$ {Posr* Snvt(}

lllt rD ,fi8t {l'{1$!*r lwrrus

SErvc?}

bt thr strrlttndnt l !$mrtt. lt.S. gorcrstrt frtEtlOfrce 1frhlfton.

C"

0t02

:r
349

RIF

In&alry Clreutr ?&1

NIFCAIION OF I}ET{ITIT ND
CENSED S1TI'S OF $INETNMS
ITANSFERggS

I.

lt

u.S,C. Crp,

t4, nd Subprrt F ol lhc rcguluionr

rurtdcr t:? CFR l?E) pc*rlnlng to dcr sr
:llvcricr of ficrrrrt or uruaunitk bcwcca
:rltcca

8rhromd. **sltorin :? CFR

'

176.9r.

tfu:nscd lmpdn*,
srscd mnufcure, or le.d dcrtcr clh

ovidc

follou:

or hrr$'rc dirprln of fircrrr

tmutton. rtd

or

liecard sollcctcr:clling or

rrvi$ dbpoti*g of crior or rllcs, lo

hcr lic.rc lhrlt vcrify thc dcntity tnd
:rcd ru of thc nqf:c prior ro nral"
: tt tnnsieto$,..$rc vciftio hould
grrblihcd by t* tnnrtcr:c {buyer} fur.
hin {o lh: tranfctr {rcllcr} r crrld
ry of thc arfcrcck licerc rd by uch

!f

t'lrlt

fr ?lfylq td6tf od I

r.t 1$* of ?rlfcr. liccne rrhc

crrr in pcr:on rt rnothar icsrsac'* brnc*

sicr for thc prpoce of rcq*irirr lircrrmg
mmonitio* rhoub bc r4uircd t furh.
:ic tramfcror, ?oitirc lanficion in
rb lo * ccrtifcd cogy of lri* licenrc, Such
tilictiar $ould pmvr {a tltc irti}hcti{rn
re tsnfro rirt thc prro rccciving ltrc
rn or maul s, ir fe. th re
lt to *hor tt ic{nc frnihcd i bccn
d.

firh rcspcct ts mil ordsr :lcs bcwcc

mr llccnrcc, rvh*c {lx rhigmcm l: to bc
lo n iddra. ntir ir thc fltrff'
s ltrd on hi lir:rc, i b tlEtd
c ttfcro vcrify tl rddrsr
bcn

'

lse

thc t:trfrc

*l

$rnc liecnsct to

wi:i rcsol

ir stdc te vcrily thc

rc Burcau

rc*

narcltr lformrtor tlrct dcnr nc.

'ld

llc*atcd rlror frlnfcrrc icsitl *hem *bcy do bis.

y and

Irdsrrt Ckcbr 7l-I

LrclION C' SER!L FrtlMtERS
AN IMPOE:E FNER'Iil$

Flr:rnn rd Dcrtrctlrc Dc,

rlcr:
F h otd e*s whr rorrt: lmpoit.
c doptrd thc $rfl rcrlrl numbcr lor
hrn onc lrcantr. thcsc intnccs of
llo vc gencrqlly occtrrcd *b;n
*c tccdvcd fra norc tftrn onc

Tcrr

thls ullquc rrlrt

wcr, thc rnlnuficturcr' irLl nsmbcr murt bc
llircd in thc mncr !t aoh ir 27 CFR
l?t.92 rd mur t dplictc. n$nber prtvi-

CF& t?8.93 quir thl thc scril

tou fli* tc * fircrm ftu? aol dtpl: nrtnbcr fId to I oth lrrm

2?

irta rhe Unitrd tcr, Tlosc

{tha inpon dsrucfivc 6vicr rc

t inrpor!

L: ou

for rrittlr lmt.

ll you tcccivc t1flo ot rnr fircrrnr rvitlt
thc rrc crht numbcr, it lr yotr rgpotbilty
fo fllr rddrs mrtlhr ro mltc ecl crlrl
nuncr ort.
ATF Rulia ?Jn8 rbo rcmid you of tlrc
uher ldcalfti rnrrkr rcqli{ by 2? fFR
l?t.fl I rddilion ro r Brkr ctld mb*,
crch frcrm nrst bc fitd ta lcr hc
sndcl (if yI tl* crlibrc or grutq th nrm
of ttc mfsctrrcr rnd importtr. or rccognir.
ouly dcptcd

of mrnqfrcr

sblc rbrvltoori rhe contry

turc; rod lh? cily nd Sl8tc {or rccogai:cd

rbbrcvirtbnr) in whlch your liccored pr.rfi.r
rrc locrttd.

!r tfu tttrtrt dtc ncsl;

Crdclrt!

tf

ry be adcptcd to lulllll
umbc reqlrcmerrr, How.

foign mrnuhcturer

Prrgorc. Thr purpocc of tib cirerlrr i to

mind lrctrrs dclcrS rtnufcturcrl md
rp'{rtr. of lhc Frcvlioot of

undcf rc nmc rcqrir*rcn duc tc thr iclu.

io of dotnrlyc dcvcer in lhc dcfinirion ol
lirarrr r ulcd in 2? CFR !?8.1t. ATF *.rlin
?5-18 rtt?d lbit irl numcr rflircd y thc

IndrltY Ctrqlr .1$

CLRCTION OF

.SrS$ I!f^H

ruroa lo bcllrrc L I Fo lo itt r rt r

rrt mt c lold (qt" r rorrlt or a llonlor

l r

pcno

lrclign whcr: it ir rpprrcrt hrl th purchscr of rctord ir ncrcty bcl8 r{ to

dul iha.ctrrl rlc to rothcr pcron, r+o
could ol Frtolly nrlc tlc purchrc or l
lrohbircd from rcccivin or ogc$lng r f*+

ftll

r'Vhcc thc derr looyk{ly tilirg t c.

niquc to dl r llrcrrm to r prohibit6d pcro,

d thc thrd pcrlonh or "Srnw

Mr" rrc phccd itr I plltor of unlrwfullg
boh hc

riling tha grohibltcd pcno*'r otyn

l{lxr cccut!

tlc Fa {4?3 i* bclog ttd rs conduit lo

rn*c n illerl
l s ?e'd prcftiblcd by
lhc Gun Cona;ol'lc
Aet tom pwchrrlag r lirc.
.n, Fr lrtr$c., r dcrlcr ly bc lpFrsehd
by r potcnthl gurchrrrr *ln, rv*cn rs..d to
idcntify lim*lf, grod r {f.StE Ucrtll.
.alor r. idcnlilcs hirscll rs fclsr, Whn
bc dcrlcr inforns h: *rdlvldru trr t c.n.
aot rall to ltia iccrrr c h r ottof"Stt
rcildcnt or r lllo, th. individt p?ducc r
fiied *,c h ctigitlle tn prebxc, Thc frcnd
f'Str*s, Mn* i*tbtr Iscd$thc Aurchsrof
ceord *'llcn l i obyiqus ttt rctul
rccipient lr r groibitrd p*rr.
Thc cccnd lyp of *Strrrp M Trntclio"
is rimitrr lc the li*. ltwrvr, in lhls lrulrce.

it i thc dcd hiclf

lotrrlil purchrcr th

volaion.

lift

rclirc tht tii clrculrr lr 4uitc cnard in

tonc. Tlc elt ddrG r. c.* l L tlrt th.
trler odd bc lc rc Forl l{?5
tlhtrd tl rhc Acor to rror ttc drlr lr
*ltr l.llhf itc rr[ tt ttc d!r!r rl

.it

t+.ro lo bclht fbc tran l tlol

qdrrd for r jrolllllrd arror, b. rrld
r{d tl lcrl.

$rrhr l3-l

Irdt?y

i'Stnw Mn Tactmr" r: of 1ro bie

rypc each of rvhiclt nvslvcr r "thl* ?rty"
Jd. tn thc linr gypc, thc drlcr $rt trvc

til

flrcrm llccncs run lhc irt of tirktng

c hw whc h cctrct involvcd in r

T*lstcTlos

rsr lo bclcvt ahl lr gefron

llc llrc ka;r lll rf

llrernr lo r tctro prollbltd &oo ncrlvlqor

ro|.coc l

Y!k fln!RMS r.tCErSES

fURf$E: ?lc purporc of tlrleircuhr h

1rnEE

to lafonn you

ofr

Trcrsury dccblo clfcclivl

l. ItSl. T.. ?F-135 flE R

2il06t), inplcocntiI r llqc ycrr lircrrar
liccnsc.
Ilndcr 2? CFA t?t.19 * rmcndcd, rll
glt

orllll licclrs

irucd or s rftcr ulrrlt I,

rrill c for r ttr t pcro llowrvrl.
orfuhrl rpplicetoat ?F Forlrr ?, rccclvcd r
ttr IRS Srrvice entr ror ro Octobtr I,
l9t3 uing *itlng rypllefhn formr rd witlr
gr yr fc will bc.crptcd urd proccsrd
rr rr! yrrr licrr. ?lcsflc. rll rfpllc"
1983,

lon rnt3t b procssad fof

rhr

yr tr

rnd thc rpproprlotc f.c altst br ubnhtcd ro

rvod rncclr!ry dchl'
TRNSION PERIgt Si*c tlcrc rre

morc n t00,06llccnrc!, tbc **

rhc :nertr to thr cri.tld'
ycrr ticanrc tcrrn vil| bc Alr*cd in evr I
I hlrd trfaf k urcd lhrcc
orrc ycr pcriod srening qd

to.{liet thc lc rd ructr E rale is ccmphted.

{in Control Aca of 196l doct nt nGst.
xril3 yohiblt e derlcr fror* nrling dc to
Thc

ptr*t *bo b rurlly purchlsing

ta lirrrrm
for lno*rcr pccoa. It natc o dilfccc rhrt

rh dclr lno$ tlut t+ lusscr rrlll lr

lrnfar l lircrrn 1 sJla!h.r ,arttn, r long
r th bitc scclplcnt ir lot probibiqd ftosl

rccrivia or psciilg r llrcrnr. dalcr

rny hrrfullt rdl r llrr* lg * lrrct r
gurrdirn rrtro ir purcharhg h fol l nlnot
cllld, Tle rrlnor'r ubccqucn! t citr o. porcsion oflhc frc*r rrorld roi violrlc Fedcr1 L*r, *vcn tlrouh thc ht* do profiiblt r
dclcr' dinet dc te l* undctrcd pcnon,
frybra tG tcr fortg * tr llt r dtlttxy al s
llrr ls I cr!n lic llr laotrr * tr

thc arnctrsl fo
{$h re llcr. *rGrr
fornr rl prgcd cch form *'ilf bc rn"
donly rscincd r liccnsc t$t f tG, trra or
thicc yclts Followln thr onc ycrr gcriod all
llrcanm liccnc wil! bc rccw{ for r thrcc

ttgril l,

113, Eh

ytrr

pcrlod,
Ecb licenrc ralclv!!. ,tTF Foln Prn lt,
r'fl irdicrtc in itcnr * c chctcd rcwl
pcriod lnd thc rpprogrLtc fcc ro bc prid" Thc
f horyn i ilcr 3h6,rld b. dbrcg*ded.
Tlroc llccnccc *lrh nultiple than* praa.
*,h lrve plird for rnd rcccivcd
commo$ erpinrion drte on rl thcir lb.cnc
will continuc to rcccivc I comftoo crlrrtion
dlc nd thc rcnn ofr: otti.ir lfocn* rvill c
rirhf on, t!!a or ttrac yirr,

i*r

350

PAGE(S) \TrTHHELD rN FULL (WrF)

19

OR REF'ERRED TO ANOTHER AGENCY

fwr
REFERRED TO:
Page

Number

351-369

(bxl)

Exemption

Exemption (bX2)
Exemption (bX3)

Applicable Statute
Exemption

(b)(a)

f
Exemption (b)(s)
Applicable Privilege:

Deliberative Process Privilege

Attorney Client Privilege

Attorney \ilork Product
Exemption

(b)(6)

tr

Exemption (b)(7)(A)
Exemption (bX7XB)
Exemption (b)(7)(C)
Exemption (b)(7)@)
Exemption (b)(7)@)
Exemption

(b)(fff')

Duplicate

Non-Responsive

Of Pages

l_l

Outside of Scope of Request

String E-Mail
T rr.qfad in fnr.rrrnonf

-14.

1? C 300.s

.l tt

fribit

'3

}EPRTMENT F
THE TREASURY
Suresu ol Alcohol, Tobrcco and Flreffmr

Worhlngton, D. g, O22t

f{umbrr:

t6-i5

rtlr :tlil86

RltoR PIERCIU Ar,ltlJHtT4

Federsl Fir?r[s Llcetrsees aBd ther$ corcerned:

gurt 8, 198, the Presidene signad ?ublic L* 99*48

{100 5rat. 9l0J xhtch regu}ares hc nanufact,ure,

On

:. -::a

lnportatlon nd ale cf arsor lerclng ancunltlon,

thc ct amendl chaptr 4{ af tire 19 lrnird Sratca {!gc
to dsflne ttre tcrn arnor plerclng anaunltic ar
p?+jc{tile or projcctilc core ehich aay bc uscd 'ra
in *
handgun and ehich is congtructod ontirely (cxclu.Iing tho
presence of trace of othr substances) from one or a
corbinion o$ tungsten r1lo.s, steel, lfon, brqtst
bsof, berylliun coppf, or rlepleted utanlur. Such tern
laes $! includs shctgr:a rht lsqu?d by Federal r StEts
sviroentl r g{ rgglstias frr htIng purps$, t
frrngible proietle.lerlsned for t.rgt lhootin!,
proiecrile uhlch l.be Secrot!T flnds ts prterilf 1rrnded
ta be ilted for sportlng pufpos?sr ot ny rher
or projtl1 core {hich tie Scretrry fin.l\ fjctllr
lntenlcd
t lr rsed frr indutrirl pcrtlosrB, tnct{1g cherg*
sd in n o11 Erd gar r1l rrfset!g {dvlce,"
Prvirir's af Publlc Lav 99-4i pravlde thall
l. ?{s pera$n nay lanufacturr cr impart aror plerclf
ffnuniiion al no marufatrr r imprtr ny
sell ar il+llver 5s* a!f,urirgn rcept:
. fo the csc of th {Jritcd Sttes or ny
tlepartxeat cr ag?rcy thereof r a*y Stale or
ary departrerr rgency or bollrlcl subjlrisicn ttrefi
b. 9o the Frrposcs of crgortaloni or
., for the purpoge3 af tr:tIng 9r rprirdcntloo
asthoricC by the *irrctsr.
F.rr_,e

370

RTF

-15-

ilF 0 5ltti.B{
i/srs8

Z. I'lanufsctuers and lmporters of arnor piercing

anunition oust be licensed by the Bureau. Suth
licss hve a fe f $1,000 per year.
5. Licensed importers and licensed naufactu16rs
u3t $ark a11 arrr pierciag projectiles nd
packages ctsiriog such projertiles for istri-

bt ion.

1.

The irector nay, after rotice and opportunity for

lrearing, revoke he licege of licensed deal*r
irho il lfully trnifrs a!!tor picrcing au*unitlor.
The Bureau i issung terporry regulations uhlch i l1 bs
rfetire n the dt of publicatlon in th Feder.l
Register, ercept for the iicensing provisioo-lh-G ultl

I, 1986.
Regulatoy pro?igions Hill sgtablish record*eepinf,
requir*erti for all ernor plerciag anuunitlol
diposltions and procedures for approval to recelge armr
piercing ammunitln for testiog or experiarentatlon.
ReBultloR3 rrill e$tsblisi tte rting requireftents fr
ir pierfg projcctiles *ad packages contlni$g such
p roj ee t I ler.
lg1ati!9 proEl8ated under tle ct $ill 1lou for tor
pierclag anqnitoil receivei and eintaned by licenscd
de1rs as business irventory prior to uu9t ?8, 1986, ts
be trngfeFred to any dcpartmeftt or gncy of the [rnitsd
saL3 or any $tat r Fslltise sbdivisln thereof if a
r+ccrd cf such arn$ition i$ ilaintiEed in th foa ard
Ite sCfective Deceqber

mrn*r frescribed by rgultior.

s requlred by th c, tha Director

is

hereunder

foraistrg ach licensed dealer infornatlon defining

prjectils considered aruor piercing. Such infort 1
is n6t If inclusiee for the prpoers o the prohlbit 0l
on mnufacturer inportation, or sale or deI ivory by a
uanrfacturer or lporter of such nuntlon or l t .S .c.
9?9 relatlng to crolna1 FiSus of rdor pirclnS
1

aanun i

t ion.

List c{ rftr Prrclng 4gEuLitian

Te

folloving ic a lnitial listlng of prJectil5

ccn$idered 160r prring.

l.

[Ttl adnunitior all clibrr. (Itentified by a green

coa!ing or th projectlle).
ltf.e

37t

tu

'"-.t

RIF

-16-

liff CfE8!ltl'8.rr
5 4tr
lklibit 1

.
?.

4D

8.
9.

anultio, all caLibrs. (Identified by a

pointed brone or brass proJectile).
THV ammunitlon, all ca1lbers, (Identifid by a brass
r bronze projectil and having a hea<l stamp
containing the letters SFM and THV),
ARCNE

Ceehoslovakian rnanufactufed gnn Parabellurn (Lugar)

nnun[tn havlng an iron r steel bullet core.

{Identifted by a cupro richel jacket and r head slanp
cntairiing trian*le, st.ar and dates of 49, 5, 51 or
52. Thls bullet ir acrcted to rngnet).
German mrufcurerl 9rnn Prabellun (Luger ) nflxni f cn
havlng an lron or steel bullet csre. {r is lla I
packaging is narked Pistolenpetronen 08 n , , This
brltet s attracted to rtagnet).
l'r$c.3C? celiber ammunltlon. (klentified by a
hol1ou polnt bronae bul1et).
Blach Stesl Armor Piercing rnrnunltion as produced by
National Cartridge, Atlnt.' Georgia.
Black Steel iletal Piercing mmunltion ar produced by
National Criridge, tlnta, Georgia.
?.lm NAT0 P. (tdenified by black colorlng on the
but lct t lp, Thts aBruni t lon is prcduced in varirs
l{1{: cotrles. The .S, mlliLary deslgaation ls fll
AF).

?.Zrn $10 SL,?. (tdenttfted by projectlle haring

* plssic sbot around_ a hard pen-etrator. The
peiretrator protru.ies abcve the 98bot nd l5 slrl1ar
in appearanle to a Renrington accelrator cartridgeJ.
Inquiries regarding thls .ircu1r should refer t6 its
nuuber and be addresscd ts tle ssocite Direttor
(Corpliance Operations) Bure*u of Alcohol, Tobacco aad
Flrearns, P.. 8o 189, {ashlngtan, DC 2004{-0189'.

10-

-JE{r"#r
,.

Pege 3

372

RIF

100

srAT.920

PUBLIC LAry 99-408-AUG. 28, 1986

Public Law 99-408

99th Congress
Aue.28,. 1989

ELR.8r8l
Armo and
muniione,

An Act

To amend chapr 44, of title 18, Unitd Stats Codq to regulate the menufacturE,
importtion, and aale of armor piercing ammunition, and for other purpoaee.

Be it enated, by the Sette and, House of Repvsenttoes of the

Unitd Sttes of Ameri,ca fu &ngless assemblpd, that eestion
921(aX17) of title 18 of the United States Code is redesignated as

ection 92f (aX1?XA), and s new subparagraph

921(aXl?) to read as follows:

) is added to section

-"(B) Ttre term 'armor percing ammunition' men a projectile or

piojeetile core which may be ussd ir a hanfuun and which is
conetrustd entirely (excluding the presence oftraceg of other subetance6) from one or a combination of tunggten alloys, steel, iron,
brass, bronze, beryllium copper, or depleted uranium, Such tenr
does not include shotgun shot required by Federl or State environmental or game regulations for hunting purposes, a frangible projec-

tile designed for target shooting, a projectile which the Secretary

finds ie primarily intnded to be used for sporting purposes, or any
other projectile or projectile core which the Secretary finds ig intended to be used for industrial purposes, including a charge usd in
an oil and gas well perforating device.".
Src. 2. Sbction 922(a) of tltle 18 of

amended*

the Unitd Statee Code is

(a) by rtrikng out "and" at the end ofparagraph (6);

(b) by striking out the period at the end of paragraph (6) and
inserting in lieu thereof a semicolon; and

by adding after paragraph (6) the following:

"(7) for any person to manufacture or import armor piereing

(c)

ammuntion, except that thie paragraph shall not apply

Export,
Resaanch and
development.

to-

"(A) the manufacture or importation of euch ammuntion

for the uge of the Unitd Sttes or any department or
agency thereof or any State or any deparment, agency, or
political suMivision thereof;
"(B) the manufaeture of euch ammuntion for the purpose
ofexportation; and
"(C) any manufacture or irhportation for the purposee of
testing or experimentation authorized by the Secretary;

ad

'18) for any manufacturrer or imporer to sell or deliver armor

piercing ammunition, except hat this paragaph shall not

apply

to-

"(A) the sale or delivery by a manufacturer or importer of

euch ammunition for use of the United Stats or any

department or agency thereof or any State or any depart-

Erporte.

ment" agency, or political subdivision thereof;

"(B) the sle or delivery by a manufacturer or importer of
euch ammunition for the purpoe of exportation;

373

RIF

PLBLIC LAW 99-408-A.UG.28,

1986

100 StrAT.921

of

Reeech ad
"(C) the sale or delivery by a manufacturer or imporer
sugir
for tdprposes of testing or efriment' dewlopment-

"--urition
ing authorized
bv the Secretarv.".

Ssc. 8. Subparacraph-G)
of eec'tio 923(aX1) of
-Codis

Unitd Stats

title 18 of the

amentled to read as follows:

"(A) of degtructive devices, ammunition for destructive devices or armor piercing ammirnition, a fee of S1,000 per year;".

Src. 4. Subparasraph (C) of section 928(aXl) of title 18 of the

United State Code is menited to read as followg:
"(C) of ammunition for fiealms, oher than ammuniion for
destructive devicee or armor piercing ammunition, a fee of $10
per year.".
Src. 5. Subpaa$aphs (A) an (8) of sectiou 928(aX2) of title 18 of
the Unitd States Code are amended to read as follows:
"(A) of deetructive devicee, amntmition for deetructive de
vices or armor piercing ammunition, a fee of S1,000 per year; or
"(B) of firearms other than degtructive devices or ammunition

for firems other than destructive devices, or ammunition

other than aruor piercing ommunition, a fee of $50 per year.".
SEc. 6. Sectiou 928(e)bf title 18, Unitd States Code, is ameuded by AnE e.4.
insertng after the first eentence the following: 'The Secretary may,
after notice and opportunity for hearing, revoke the license of a
dealer who wiltfutti transfer armor piercing rmmrrnition.".
Ssc. ?. Section 9-23 of tite 18, Unied Sta:tes Code, is amended by
ad,ling at the end thereof the following:

"(k) Licesed iuporters and Iicnsed manufacturers ehall

mark all armor piercing projectiles and packages containi.g

such proiectiles for digtributio in the manner prescribed by the

Secreiari by regulation. The Secretry shatl Turnish information to each dealer licensed under this chapter defining which
Droiectiler are conidered armor oiercine qmrnunition as d

fint in secion 921(aX1?XB).". '

Ssc. 8. Section 929 of title 18 of the United Statee Code

amended(1)

in subsection

ts enb,p.ao.

(a)-

(A) by striking out "violence isludint'' and inserting

"violene (including" in lieu thereof;
(B) by

strikig out "device for" and inserting "device) for"

in lieu thereof;
(C) by striking out "uges or carries aay handgun" and all
that follows tbrough "subsection (b)" and ineertig in lieu
thereof "use or crries a firearm ad is in poesession
of
-fred
in that
armor piercing mmunitie capable of being
rearm";
() by striking out "nor more tha ten"; and

(E) by stliking out the last twosentencea;

(2) so that subsec'tion $) read as follows:

and

"(b) Not'ithstanding any other provision of law, the court shall Law
not suspend the sentence of any prson convicted of a violation sf enforceaeut
this-etlo;, noi pice the prsbn on probation, nrha li andcrirn'
terms of imprisonment run cncurrently with any other terms of
impriaolmef, slding.that impoe-d for the crime in which the
armor pierting nmmunition wag used or possessed. No person gen
tenced under this section shall be eligible for parole during the term
of imorisonment imosed herein.".

SEc. 9. The amenilrents made by this Act ghall take effect on the Effriv dst.
date of enactment of this Act, except that sectioris B, 4, and shsll 18USC921 note'

374

RIF

100

STAT.922

PUBLTC LA'l 99-408-4UG.28, 1986

take effect on tle fist day of the firet calendar month which begine
more than ninety ilar after the date of the enactneat of this AsL
Ant-v.fiu.
Snc. 10. For purpoeee of section 92l(aXfTXB) of title 18, Unitd
18USC921 ote. Sates Code, as-aded by te fst section of this Ac, ,,handgun"
meang any firearm incluiling a pistol or revolver designed to be red
by the use of a single hand. The term also includs any combination
of parte from which a handgtun can be aesembled.

Appmved Auguet 28, 1986.

IEC$'LATTVD

HSIOBy-rr'n'

3r8z (S. 101):

SggE
CONGRE$SIONALREOORD:
REPORTST lr{o.

@360 (Comm. on he Judiciary}.

Vol. 1Bl (198r Dec. 1?, considered ad passed Houe,

Vol. 1t2 (1966): Ilfa. 6, eoneidered andaered Senate, meuded, ln tieu ofS.
104.
Ang. 11, Hous conqred in Senat ameudmen itl an
a.uead.nat

wexr.vcour"anffi ol$'#i"trti$'#"ts&ffi
Aug. 28, Presidental statomen.

375

rfi

ffi "$f, l',rnu,,

RIF

ssl

.Aroory Spot
l.lnllenn lx

StoP

Frns4l{si $,*l"es
Questfons re ffrearrns af,s tensactlons

I' Iilhether Ldentif. docunente fEeuei! by $taBe, County, Ciry to

zufflclent dofinenttlon for dealers to tdntl"f,y tren,$fsres.
?. l{hat is the propr sequence for conpletfng

Sece. ,{ and B

cf

ct. 21, L99l

?4tt

gneral. publtc are

Forrr 4473"

S. lfhat tE the cotrct effnftion of a traneferee and transfeor uner tCA?

'.+

.-q;-.,-

4.

Whethe

the GC. l{rtts a lisensed dealer to a quantlty of fficeas that ean be

a ransferee (buyer)"

purchased by

5. If a buyer can putchase f!.teanrs for frenils pr relatfv*s, trho ct?lfLe thst
the thtrd party fe not a prohf.btted peroan?
6. I.lhether e f*rancfal, sitenent "f"s requf.red fron a transfere* in order for
ilealer ta ccnum*te a flrearme eal"e,
7. Vhat fs Compllane Ope*t*rnsr fnterpretat of'nto rhe extent posslblerl
as Lt relates to deal"er requtTene[tsi

It

See LICS8 nAALnS

F0XltlSr Forn 4473

PACF{or D{sgussro*

PTREAT,HSI SA1ES

376

RP

Subject:
RuJ.ingr:

Date:

uttr:
Keylords:

Quesions

oo02{,16
2,463. O

19911021
BSr

re fireams sal-es transactions

L,aw-Regs:

Firear:ue Sal.es, Iricensed Deal.ers, 9ransferees

Fr.s 4473
ReJ-ated Orinions:

Surua=y:

I'lcJ.l.en, Texas.
Iretter to
, ancry $pcrt 3hcp,
10 questions re firear&s sal.es: 1. ltretler identifieation
docrrnents issue by State, Corrnty, City to genera1 prrb}ic are
sufficeat docrsrentation for deaLers to entify trarsertes.
2. Trtat is tle
proper seFrence for coq>Ietag Secs. and 3 of, Fonr 'i1+?3?

3. I{hat is ttre correct defiuitio of a transferee an*

transferor rnder GCll?
+. Ifletlre tbe GC l.im,its
Iicensed dealer to a qrrantity of firear'*s tat car be prrrcl:ased
5. If
by a trarsferee (buyerl .
wlta
or
re3.atiwes,
friendg
for
ptrrctase
firearns
t:alrr
buyer
certifes that the third party is not a pro?ri3ied Pe:rson?

6. fletlrer a finaneia1 statenrest s requir= from rarrsfesee

in order for a dea.I.er tc cttsumrtte a. firea:ms saf-e.
, Iat is Colpliance Oreratrr t interpretatirrn af rrto ttre
extent possiJcl.e" s it relates to deal-er requitentents 7

I't

PGES GF

DTSCUSST!,

377

RIP

DEPRTFINT TF THE TREASURY

BuREAu r -coxat., TBAcco AN FIFERMS
BLLg. TEXAS 75.48

?4$t3

88T.1 gg1

CCr17

itxitl

t{xill

rtncrg Sport
605 sstb ltalr
l{ct1enr Tsxas ?851
r

{hs s in replf to thre lsttt3 yu nt ta qfficisls qf tbe Bureau

of 1co$o{, llobacco and I'irearms {AtF}. ttla of your letter* lret to
orr aeq Suparvlsor Ln san *rtoaio *nd the ther r3 t 6E csitt
Chief cunsel in allas. Sinc the three tettrs ak glmllar
quesl.oner our ponce ill atagt, t cc1er the three combinad
lsttr.
1. yu :tprese *n underst*n{ng that, n &TF rcry._33!3. Sirearns
Transacticn Ecoidr ls desLgned as e rans*tlo'';t o whieh a
non*lLcnsed purchaser cf s flraarm certlf,ies tht h or she ls not
en f, t rhted gersons apecif,ied in 18 g.s-c. 5 922{9}. T1r
furtl*r expreased an tnderst*ndag tfit the cbtrl*l*g of, srclr a
certifatloa and verifyi:rg tTte identity of th tranf,eree tbuyer) tn
the extent pcasible ar tle only legal requirenents of he li.cened
dealer.
lI' Fctn 44?3 ie e*gncd to provide the lnf,crnato* reguired by
tbe Fedaral flrearaa lara' {1S }.s.C. Chaper 44} and reulatlons {?
c.F-$. gart 1?81 tv!enerler a J*_"_egfj sa1ls or detivere a
f,l,rers t rton-lleensed prsrn. Hore sgec:lflcally, thege are
basic*ly tfte age reguirements in 18 .S.c. S 922tbl{1}r he
resid*ncy reguire*reets l$ :^g {t,s.c" $ 923{b1{3}r tte idel,fsaton
provi*on* i 18 t-s.c. $ 922(bl{5}, and tbs rertlflcetLan grovLa:lcns
as tc the no*-prchited stat3 cf tle ctgr of persons tn 18
E.S"c. S S:?{d, l*he regul:tloas rnplementn: tle*e $ttstes re
csvee t* 27 e.l+.E. f 178.99 a6 to such prchtsd g1g ar
,ilellerJec nd 2? c-F.R. S 17S.124 s o tbe requirerrents lar
qbtaining tlre i:rforglatian spacifJed on n rF Fom 44?3.

wl1l tot tht sene1 f th abcve statutory and regnrlatory

seetions eoataJ.:r tha plrase tp*e the liceeee hno$e cr hag ressonable
ce to beLive," {hle tbg }icesed dealer s required to obtj.a

You

378

RTP

246t3

-2filIID

speclf,l.c lnforrntlor tn he tde*tLty an6 non-prohibtted etts of ?re

traRsf,eree (buyerl of a flrearm, his r*spcnsibility oes *ot
neegsaril"y end ther* es it may depend cn the partLcul*r
clrcuraEtnces Xrtvol?ed 3n regard to uhether te llcensse klrnots or
has reasonable c*aee to beliere" tht the lno::tatlon entered orr the
Forxr 44?3 is incsrrst. The terr ireasenable curet l,a aornally
defined iu comectien wittt a crime cr crLminal cffEase. Eor*ever' J.t
does glve *mre Lnsfght nt the present l*qulry as it e ilef,lnadl to
be r' euepicl.aa faunded epon circumeta*ses suffciently straag to
$arrc a retsnele il ia belEf' and a gtte of, f*cts as ?roulil
leed a maii.of ordnary are ard prueace to belleve *nd
conscLentlously ntertf.tt an honest and etrong susplclon. laek'e
,au DLctonay {Flftlr ltn},

xt i tmpoasibl* s stt xith certa.lnty that f,acts *: circu:etfcgg

glve rise t ireagonbl eause t.l bellrs or1 tlre p!:t of t
Llcensed dealet. rch a detersrinaten probably canrrot be nada untiJ.
ftr a cexnplete lnve*tl,gatian of, the factsr an po*sibly nct r.
untll after the $ater hag been ptesented t grad Jary. lfde
norfit eLscuEtance' the licenEa daal+r fs regulre to ot*l an
EP Forsr 44?3 fron the transferea {buyer}. ln thlch euch getscn
identlfl-es hlrself an certlf,e tht he ls rct prhlblte uader
Feeral law fro purchaeng the freanr. owvr. clrcumetr:cs ltty
cur tht r.'ruld gi? th f.icenaad dealcr resoaal ctuse to baliEve
tlrt ttr 6.nsr!t andlor ldent{f,ication prcvid*d by the person
attemptl*g to urchass t fS.rear:* ar not crltrect, fhle belief ca
th prt of the ea1er uray be fron st*tameatg raile by the proposed
transferee (b*3er} cr Eress a*companytrg hi, l.d.entl-flcatian
docuenta tbt nt ppe4r to be legltmate oc athentl.c,
cltcunatanc* tht ocsurred at revlous gleg, etc, Xn other wotdg
there rnay ba lreusttt*nc*s slch ceuld ibpo*e Ctrty $rr the license
dealer to fnqulre furthe lnto the enity ar:d certlficatlons
flrosldd by tle trnferee tbuyer rsher th urel:. *cc3t the
inf,osratlarr rEvlded a* beLng the ttal trutr.
rnay

2, foe lndigatd that Ln order tc dlocunent a fLrer$ eale

transctlonr t$trr stre relies an l cpleted f,cal1y accurat For
4473, aeeurately tra*spos*il nformstlcn frr the acqulsLtLon/
diepostion crdg, nil accEr*te busa* ln$trrnrt 1sd ir: the
normal cours of, <rperations. fou inquired a3 ttr whetlrer yaur

379

RIP

2483

trct)

undrstding irr <agards to the Aotm 4{?3 transaqtan docurnent le

correst aad i! there *re adltlonal ccunents svaflabJ.e f,rom tfte
Buru Tat could gessiblg assist yor stole in frther documenting
firearm 3 traasctions.
Tour u*erstatllng af the trensactiona relating t the acqulsltloa of
a f,lreem by your sttre aad its subsequent illegoeiia ysur
storers acqlf.sl.tion/dlspositfan recsrds baJ.lJ.y pers to s
correct. - Th Speelf l:tfcnaten regulred to be entered i cuch
recordg y a ltcensed dealer ig set f,orth ln ?? c.F.R. S 1?8'125. fn
addlltio il tne dlspo*ttion f, the firear* le to anT Persor other
thaci anotber llcenEee the n Atf f,rlx* 44?3 ls reguired ta be
conpleted a* epec.f.fed n ? c.F,*. 1?S.12{' s you r ptbably
lrrf forms 44?3 ars availabls frse af charge f,ror the F
tsrluf,ln Cte. gteserr lf? does tret *strtute n
Acquti"tlO::/dlsgoaLtlnr: reccrd, or tbrrnd btok# as lt s connonlY
lown, ut J,neteait only requ,lres tirat the infersatlon apecl'fled !n
gct1n 1?S.125 be obtaled and rnintaine. CoranercSal teeords
reflestifg the acqusitin or lepostion sf * flrear:* ate acceptable
for speclfied pericd efore the sgaciffc lnformatiol nuet be
entered 1 the acquietienldiepocltlort rscorilr f,ufth*rnor. ltsrnat
recorde raay be authorlzed. gee 2? e.f.8. SS :.?8.t25tttl and {tr}.
there re $c additoaal publilhed cements availabXe f,ron T tht
pogsibly ouid acslet st ctuIly docunentlng fllearTc sales
transaeticns. lftrtrr tF des publish and {listrib't nunber of,
infarnatloal doeume*ts designe o advise of h reeordkeeping
requiroltens"
Torr ngu.lred $hether bsEd.ness instru*enta used in the rllmal"
curg cf condustlnqr salea cferationsr sn be used by obJectve
fact-finders *cti*g on behaLf, of F i* crer tt dtef,rine the
Ildty of doeumented fa:-'na.tiaa cn conpleted Forms 44?3 an
acquisit.on/ds$ositlon Ledgere. If so. 1'ou aske if 18 t'S.C. $
9221b].{5} s sxcludEd'

3,

l{e believe tht ry trilable rtfomntien pcaessdl by a llce*se

deler or aty other perot: c:r e used by fI' employees 1n ordr to
deteri::e t sX,Xlif of !e itf,goation G Sctrts 44?3 nd t*
acquieitloaldteposit:Lon reccrd, $ectlon 92{b}{5} uraheE lt u*14fu1
for s$y ticeec ealEr to gel} or ellvEr any fJ.rear* or
ffior-plerc:in amtunltion to ny perssn nnless the llceneee astes 1n
his recods, regured to be kept Pr6nt to 18 U.S"C. S 923r tha

380

RIP

246 3

*4-

age, nd ple of resl,dgn of sucb rern tf, th pErn E er

lndlvldual, {rr th fetttty anil prncLpal and local places af
husines of, such frrson 1f the grssR ie r ccrgoxatiqr or *ter
bueinEss Eatty. Fte tent 'per$onf, e eilned tn secticn 931{:}(1}
to lnclue eny ln{vldual, sorprtiorr' sottpa$y aa*ocirtionr ff.rm'
prttrgp. saciety, tr Jo'nt stck cor$t'ny. lfhereforcr because
Sectlr 922(blt5! reqllss tht the lLcensed dealer obtal* speeific
lnf,rrnatlon f,ran rnsfsee {buyer} cf a f,irear$r such Eecti<n ean
nane.

Dever be concidered aa belng exslsde.

L

" .
lf ldetlf*atlcn Eceqrelrts tEsuedl by the ta!e.
4, vou nuired
County and Clty tc the general plble are suf,flcLent docqsenttln
ior ealers t$ lntify transf*les,
such LentlfLctlan daeuments ou1 be suffici.ent dscumentation far
the lilentiff.catlor of, a trsnsferee {buyer} af a tlrearn if, the
specifle do$rrrt? baetcally establ,tgh three thlnge: {1 th
denttty of the transf,eree lbuyerlr i.q.,. the pereon Ls who he eays
tre ls; {2} the ag f the pereoa $o aE to ter$se eli.gbiltf o
acguire th parttular ftrean an {3} te es.lance address of the
prson t Is etetnine eltglbl,l.ity to acg*lre the partl,cular
?irearm. lgilate exas drLuers leese ruld noruully satsfy
each of thse f,actcrs, a lt cantJ"nc the I}*tscnts gLcturer ltrs, nd
sl,gnature for conparlso* purgaresr s e31 aa thc date cf, brth *nd
resience dar*. xf the lentilieaticn doeumt Frserted lo he
dealer {ces not satisfactorJ.ly establl.h these factcrs' then a
conbination of Ldentlf,l"cation documents may be reguired. If, the
docurnets graserrted ral.se fR cncrn in the *ln of the ealer ag
to their euther:tclty er suffLciencyr thn the eaXer Ehauld reguire
tat dLtsral dcu$elrtati.on ae to tdentlty rr a,14 rsidence
be furnLrhed befsre nakirg the sale or del.lvery.
Ycu inquLred as t tb ptoper ssquncs f*r corrpletiag Eectons
and uf, fF Fers 44?3.- lrearns tr*nsactl.on *ecard.

5.

nitlrlXyr the r$ferse {buyer} of, freargr should conrplete

sctlcr of *TF For$r d4?3 in hte onn haad*r!.tir*9. e should ftll ln
t?e dtf,aatipn l,nfonnaion i: xta I - ?r rrrr th
certlf,ieaton questl,one in ften I' an then sign aad ilate the fsrn
4473 hee ndeated n SeeLon . Qn of the regonE fcr havLng

38t

RIP

24St3
-3-

the transf,erea {buyer} co*rlete SectLon tn hiE s$n hard}ritlng is

f,or poesl.ble hanr+ritlng co*rparEcn purpses i tle eve$t of futur
eourL prasentatlon in cflnll proeaeutlon, gh ptron actually
nalting the sale on be!alf of the llcevrse ealer shoul then conplee
Secticn g of Fcrn 4473 as ts the iantflcatl.on of, th* transferee
{buyer}, the description of he fJrearste}, nd the inf,oruton as t
th !tE$ of the dealer rd ll,ceng* rnrber. lhs persan making he
actual sale af, the fir*asn ebould hn cn.te erse 1 - Zt
concaring hls sd.gnaturer title, ard the dEte. this laet sFest
foeej.ly ray becone fungartarrt .for futrre c$urt ldertifcatioa of the
trauEfere,{buyer} by the sell or to estalLs th el1r's ncil
ptoceures'l^n harling slarllar frearm tansatimt.

. You nquire* *s ts tle etrrect def,Lqitlx of a tratgfere* and a

transferor undt the Gun Cntrl t. Tou furthe ask* wlrether it
is f,slr to rr tbat a tranferee uaually is the cne chc peys f,ar he
gu nd receves pceeeesLon f,or hls ile*ded asE.
Elackrs Eelr Dlctioaf,y {Ftftb stln} dfln*g a rtxfrcr ag the
one who nkeg a trsaefar an'd a iltransfereet 5 ; perstn o glrorn a
trnef,er is ade, *lhouEh these lr terms r $<)t specifleally
defined in the Peera fl.reaas lts nd reulatLonsr the ransfersr
traditionalty is the geller of a f,l,rean aed th trnsf,eee is he
refera to these rc tetms as
buyer. !n faEt, 3r Fr 447
ttransferor {se3}ar}n and *tr:ef,sree {buyar}*" I{e}revetrr theae terns
aetually eaqorsFa trnat$$* other thar thasa norsnlly at*cclated
te Feeral firaarns lae use the
with a *eel}er* il rbsyr,*r*cquiri.tln
or ttenptd aeguisiton. e
tcrms 'sell r delivero a*
here a* indlvldual I's
eeler
the
is
*eller
For example, a licensedl
aetually B*rchesing a f,irear*, ut s on3y a transf*:or nhere *
pelso$ l"s edeem:Lag a firearar fron pawa . xr ltrlted Statee v,
uddlE}{}r, 415 U'S. 814 (19?4lr tTre srFrem court tte tht the
rord acquieltlor* as uE {n }8 lt.s.c. I92?{a}{6} l*cludes ariy

ecntrol. t:r pcetef, of diarosal. af, a

that the terms "acquisltln" d "gla or oibr
dtspoa{tio*t rre crrelatles.

persor cho cores fu:to paa*eso+,

fLrean .

andl

e agree f{lt} your osenaLon tht traaeferee uxually i3 he on

reho pays f,or the qun aad reeves raasese.ton f,ar hls i*"eaed us+.
no?revr, r ars$e by this *bgervtion thet yu ctually are
ref,erriag to ha! is kncrn lg a etraw purch*se' transactLatt.
Encl*sed f,or y+ur inforruation LE a copy of &Tf l$dltry Cf.rcular

38?

RIP

34

Bt3

-6flI

79*10r rlich orer certaln rstras mil transactLons *ith reapect to

the usa ef, etra purchasers as a eonuit of, f,lre*rms for ptohibl,ted
pelssas. Thle rndustrlr Clrcular cocludad rlth tha reallzatlon that
It as qute general i$ toner but tht the begt avise that could ba
glven o a dealer was to be sua to have tft for 44?3 conpleted by
he Elerson t rrho$r the dealer is actully seSltng the flreara' ndl
tht th deIer qhoul avoid the transactl.sn if h hs ny reaon to
believe the flreann Ls betng' acqulre for a prolri.blted B:rson.

Inutry Circular ?9-10 id not lacus on r+hEthsr rioSatlcas cf the

Federal firearne lavs sccur when both the strar purchaser and tha
ctul puhaser are elgble o acqure f,irerns fras t?* daier'
.e., net?rer are prchJ"bited persons. n such a EituatLon it a thc
actual Burcb*=ar uho provldas the metlsy te the trar pttcbaser f,or
hlm to buy a fl.rearn frm a lcensed dealer- tAe ctul purchaaer
u1tnrately *111 acquire poEseslon of, tha f,iresr$. In s!ct a
sl.tutlrrr the +trar purcha*ar has rtllted Faaral larr b1 nakng
false tateent an he For 44?3 rc1!h respeet to the idctitg af, th*
aetuaX purcbaser f t!e firearn, fh stlrrtea tol'ted lnclr:e L
U,,C. S 92a{a} andr eInlng upon r}rether the llcetsedl dealer tras
deceved by lre fal*e gtatenentg, 18 .s.. $ 9?2{alf6}, fhe actual
putchaser wha ut112e the Ftra$ purchasar to acqul=e frer!i on hls
behalf has ualafully a{dad nd ettd or csge6 th rraking sf the
f,alse Ettents ln vlolatlon of 18 lt,S.C. S 2. lso' both may be
prosecut*d for consplraey la voltLon of 18 s,s.c' S 3?1.

aase o:t polat ls t,ll++ed gtti ?, gttir-Lpv", 7?7 F.2 9?3 {stb
Ctr. 1985), in t'lish an aXLea residing ia fexag ulLfsed her lF3.as
resdent* as tlst purclrasers to eomptete FormF 44?3 n acguf.re
fireams fram a Federally lleenaed deaier Ln l[elcas. The evidence
showed tht th tss!t le wae the "nstl.gatlg f,lgure" betnd
the satlr transectian' that he prorrided the any tc $rurcbae the
firearma, tht h aekad th stta! rurchasets to cco*ny hln to the
ealer'e rrem:lse* to *ln the formsr rld tlrt he orered that the
guns be ptcJre up t the preuiaes, Sased lpor: tls evidencer the
ppEllate court affrned ecnvetf"ona cf thE trr purchaaers f,or
nahLng false ttenents c th dealer relatlve t th ldentlty of, the
trtr 5lurchr f thg firearns ln vlolatc o Secti.an 922tal{6} an
th aonr:lctlsn cf the rerlent allen far aiilag rnd abelttng the
makng of, the flse stat$nts in viclaticrc cf Sectione 2 an
922{a}{61"

383

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246t3

Othar reFsrtd declsl-os, naneXy tlnted Stateg v' &qt'gg' ?59 F-2l 351
{4h Clr. 195)f nd llrLted Stetes v. Iarreace' 680 f.2d tX26 t6th
Clr. 198?, also support this osltlil. rn Sgg" th ort tfirn
the canvfctione c! a $ew ilereey residarrt f,ar a*.*g and abetting
star purehasees ffho nade f,alce statrEsts in conclectio$ *l'h th
cqulsitin cf, a frearu ftom a Vlriata ilealer ln qiolatltn f
gecttons 9?2{a} {6} and 2 an fcr canspirLng *rittr the etra'* purch*sers
to decetve the dear in violatior of Sectlan 3?1. Tha court faund
eubstantsl *vLdence rpporing !e sonvictioas i. . . Seyes uas
tte man rl1i tte *tny, e is the otle 1*ho dd nast af tb talkng
and lcoklni. *ftr belng told that he coul aat purchase guns n
Virginia beeause lt+ uas a lfew ereey resident' ler Falnonr an Clark
vent te t$ ar grun tore befcre gucceafu13y rurchaslng tree
handguno. It t{s $eyet *he ha tte f,insl say s to trl.ch gur:* ere
tc be purchase aud rrho reeeved the cbange vhen the sle clcs*d'
Reyes ls the oae *ho ha paese*slon of tbe gune the entirt tioe he
nd Faloor lrer t Clarkrg housE after th prr*b. . ' 'o 14. et
354.

fll l,a$rre8cr str?l purchaeers !fuo acqu:lred feants fro: an Gh1

de*ler on behalf, f, cd{ar cl.tl.an laeli,gble to l.egally purchase
firearns rere cnrrictg for tats!.fylng th* d41rf s rec<rs rith
resgec to th narna Ef tb ctal buyer. The defense cctte:ed hat'
because th str purchesers actually nterle th gu stor *'nd paid
far the firearns, they sade :o f,a.le sta&st a to t 4ntity of,
the acuel buyer, :&. they rere nidlemea whc purehased the guns
f,or reeaSe and. uere, i f,eer the cual bu'ers f, the wetnt' The
court found, horrevsr, that thls defergt dl rot sonforn to the facts
of the eaer tbe efendts actd under the cnttcl and directlon of
he Caaadlar cLtzen purchaeed gu*r esignated b3 ?:trn end with bls
moeIr aud received a commLsglon f,or their rola as agnts f,o tlre
Canadlan citlzen.
Flnally, tha lcsrsed deal*r al*c nay b ujst t prt3cution far
violatl,ans of 8 {.8.C. SS 9??{}{5} and t} tf }r so1 the firearn
knor+ing or havlag reasorable saBs t belleve tht th Statnents on
the Fcre 44?3 *rere f*lse. fn euch a stuatlon' lre believe it can be
concluded that licensed ea1er ka*w *r had reasonble cu t
belevq tht tha ndlvldual o rrlom lc sal and delivered a flsearn
rrs strt archaeet Lf, for xa$le' he eitb*r actuallg hne or

384

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24603
*8-

should hve knorn that the tansfarse {buyer} t+s ns the person who
tF actualy purebasing the fJ"ra$. : this conneeticnr the ealer
rshould have krc*rfit tht the trn*feree (buyerl {as stra$ purchaser
f th facts and cLrcumtances sarraundiq hir deallns t*th tha
transferee tbsyerl rorld have led Fersctlr w?s was exercisLng
ordnry cars eltd prudencer to bell*ve an co:gcntlously tntrtin
an honest and strong susplecn tht, the transf,eree {buyer} lias not
te parson actuatr.Iy purch*slng the f,reatn, @,
611 F.d 614 tSth ctr. I9tl

7. tau {.riuired ae to heth*r tke un garr ct linl-ts a ll.ce$ced

ilealer ta a quanttty of firearn that can be puxchase by a
trasfe:rEe {bulerl. If, not' you inguire{ tlr what pont a
traasferee {buyer} Lg cr:nsidered tc be a dealer by the 6un {cntrol
ct r by Ir,
rhsre i* no lnit udr the ut Ccrir] c a5 tt th rume gf
frearrs t?t can be purchaeed by an eligible tTanefare* {buyerl. In
f,aetr the only passible il{tlonaL requr*rent an ths par!, of a
licersed dealer is sovered ln l8 {,S.c- $ 923tS}{3}r *hich gr*vides
tht ec lteenae sha1l Frflar a repart af rnuStLple salas ar thr
dlspcsitlans irhe$aver the ltrcengee sells str otler!$ise dieposes cf' at
one tlr:e or ilurl-ng any f lve coasecutLve bsl*es *aya r tgro cf, roa
plstals, r reolversr cr aay coarbtnen af pJ.stols nd revolvers
totlln to rr trors, to an untlcense Fersn.
xt is the spoltion of f,i.rear.ns by a Ferso, rather th thelr
acguialtionr that ls the determlnnE ftr as to rhether the person
csnEidered to be engage in the buainese af .eall.n J.n firearrns.
Ae apglied t eler {n firear$g' tha ter& 'engaed in the
busineser is d*f,ined i$ 18 u.s.c. S 921 fa){21 I t me }erson t{hs
dvote tl.rne, ttrtLr, nd l*bct to dalJ.n ln firEasrs as
regular rurse <f, trsde or usiness rrlth the pr{ncipal obJectl,va of,
liveli.hao nd ptofit thf,olEh the repetitl,ve purchqse nd r+cale ef
firearxs. tosrevcrr Eeh eectlon furth*r prcves that scb trm
shall nat nrrtude e?Bn uho aa*Es occ*sicral salss' exchne' <tr
purcharee of, f,reagtg fcr the enh*nceuent, af, a personal collactsn or
for hcbby, or r*hc se1ls all or prt of hls peraonal solsctl.on of
f,irearrs. ine3ly Sectisn 9?L{a}{22} defi.nee ttre term isLth the
prlncigaJ. objectve of ll:alilsod nd prafit' to a$ tha tle intrrt
underlyiog the sale or dlsBoritkr: of f,rr$f Ls predaninartly one
of, obtainlng lv*Ilhsod a*d pecunart gain, aa op:ased ta atlrr

385

RIP

243

-9-

lntentsr guch aa lnproving or llquiilatinE a peraon*l firerms

gollection. gch sectian eonsludes by pravidi$g tht Frsaf, of proflt
shll nat be req*l,red aE to a Fesan who engiagee {c the regular and
rpltlr purc?rasa and sposLtlon of flrears f,o crj.nfnal urposs
or te*orlsrn.
le cr has unlarfr:lly engaged ln th busl.ness of
deatln n fireama ilepends c the factc a circu stans i.nvolveil,
.*F lrvEtlgtE these facts efare uakiag -econrenatLcn ts the
Onlted gtates ttarny a tc rshether tr proEscrte under tg xt.g,g. $
922lal{1}.'":.fi{:!,fvr, experience has indl*t that n ny Eccasl.ons
unleeneed peseonc ho have purchased lare nrgerg of, frearus f,rort
a l:lcense desler l o in orEr to ultlnetely se11 *ueh firearts
undler cl.rcumstances in hich they woulil be sonei.dered as u*lawf,uIly
engegng ln the business of dealing ls flrearse ritltrut a lLcense.
I!hethr rson

8. fsu inguired as to *hether the un Cantrsl c <r TF prohibits

dealers from sEllng firearm to trensfrea {brryess} rho ara
acconpened r frl"endE or re1*tives. You further lr:qutrel tht f
ttneferEc {buy*r} can purchaee flrearms f$r frends or re3-stives,
wlro cerlflea that the thlrd ptty is not a prohibie person.
trhere is nothlng that prabiblts a ealer from selll.ng e flrea to a
rlnsf,erae tbuyerl rho ie aeconpaciad by f,riende cr rslatj.ves sa J,ong
as the trnsferee {huyer} ls the true purchsr. fhe dLf,ference here
from a prohbited Etraw Burchase e that the transferee {buyer} ls
the peraon $hs atully paye for an providea the mcnay {nr the
purehase of the fLrEn. rhlch b tea lntends to glve t Eom ther
prsn ae a legitimate ift,
fn this same cotr?rctJ.*r' a parent or
guardian nay purchase a flrsacr or a$nurrltisn f,ron llcengd dealer
f.ot a lacr cbtl or Juven3la. S ttic and Arlsrer {815} on page
84 of lr3 SEblsation 530.4 {6-88}, {aour ld ta} fdr*1 Fraarms
Regulatl.on.

In tte bov eituatlor' tbe actul purchaaer l3 bryng the flreanr

and i* tha person qho ic ragured to complete Sectlen of he For.n
4473 aa certlfy that be l.s not grokiblted frora purcasLng tbe
f,lrearn, f} faet that tls trasfees {buyer} intendg to rive tha
flrearm as a Eft ts sertone else L of no cansqsce tn tb
llcense dealeg as f,*r aE thE Federal firearne iars are cc*cerned, so

386

RIP

2{r3
-10tlailGtl

long ar hc deater dos $t knrr or have reascnable cuse to betive

that the trsnsf,eree {buyer} l"e not th etual purchaser or that the
pron to hsm t!+ f,irearrn ul11 be gl"ven l.e a person wla Ls
prohlbite cr lnellglble to rsceLve tle ftrear:a. Ist' lt ls the
purehaser {buyer} r*ho aay be ccncered with pos*3ble violatiana of
lw. s provd b3 18 I.S.C. S 92titl. Lt l"e *ntarful for an?
person {not Juet a lLcenseal dealer} to *e11 or thnse illaBcse cf
any firearn or auluitlo tc ny perscn knowing or havlng reso$ble
aus t bellevs that. euch pro$ ie ithia are of tbe lLsted
categoriee,of prohbited Berson*. &ls' $ecton 9t2lalf5l makee it
unlwf,ul fr any noa-llcens to transfer' sell, trder givet
trnsportr sr elver any f,l,rearra to a*other uon-S.Lsengee rhs the
trangfaror knowg or hag reasonable cun to bell.eve does rat reeiale
in the gtat* ia whtah the tt*nsf,rct fesides.

9. You tnguired ae o rhet?rcr s fnsncial ttment ia required from

a trsfrre {uyer} Ln ordgr for * derl.r to rosu$att a fxear*s
sals trrnsactlor.
There ls ro ragrrrement under the Gun Cortrcl trct for traueferee
{buyer} ta furnlsh e ffu:ncial ttnt to a lcenead ealer fur
arder t0 consuate r f,lreame sale.

10, lou inquir6* as to the f,rrnctlon of, AlrF Corapliaace srato?3 3

it ralates ta firean$s dlsaLers. Tou f,urther asked hat i.s
Conplia*cers llterpret{on of 'o tTr+ xtnt possileo *s t relt
to dealer requirements;
t< flrssr:rs dealere the reapo:rsbl,Sittes af fF
Conpllance Speratons i*ctude the detcrmi*atan af vhetlres a firearsts
llcenee should be dEsaed after tbe eubslan af an appll.cat{on
coarluctlngi nsx*tlons to Bc*ttt alealt cmtplianc* vith tbe
eecordkeep.ng requrrelrts, ad intiat*: actions dera nec*83rsy
ivhersssr volatlsns re found. llhir uy nslude adninLstratLva
actirr to deny a reneal appldcatlen or revoke llcng' tg ell as
referrlng th trttt to tF La$ :tforennt f,or pcesible crl*Lnl
prosecutLcn, lr*pet1orr authcrity l.* cove:ed $ 1S tl.S.C- S 923{El,

fr rel.alcn

Ie ar ftat ertn hat you mEatrt

poeeLble" ae i r}tts o ealec
expecte to congly fd.ly tth a.l
firearmr 1a$s ad regulationr. A

b? the rhr*ae *ta the e1lter

reguranente. licensed dealer ie
requLreuers of, ths fcdrrl
ea1er s?taul becone knowledgeable

387

RP

94603

-11-

with regardl ts such la$s and tegutatl,ons. deale alse shoul nake
hls employeg a$f of sush lsg n -regulatlons E a lLcettse
dealer Ls responsible for the cts of his e*ployees. Sgtsrgere v.
Itnited stg freaatr? gprtrnertr 31? f.Supp. 1O?? {l,. la. 1970},
l{e reaStae that lLcensed eaLess nay *ake istake$ on occaglan in the
oparaton of thsr fLrrns busness. Ecrver, reeated nlstltes
after baconlng alre of the regulremeats cnnot be excuaed, and nay
rve ae a basls for adrLnistrative act:lcn to revoke Errch license.
lfe hole hat thts has been reagonsJ.ve t<r :ur inquire*.
11.

tI
pl

m
t I

Enelcsure

f
388

RIP

+ lrr/

a',:".:,,

q03

oso,ffifi

33 r

ri20-649

CX3 lnnovations,Inc.
l9?53 Via llserela f)rivc
Saralngn, Californir 57fi

Dcmfl[!i!::
'l"his rers

tr y*ur crrespondence datr:d pril , 2l , to the Firearns TcchnologS'Branch

ilfB). llureau of lcalrol, I'obacrc. Fircarrrs and tixplcsivcs {'l'1'}, in *fuich you inclusJecl two
butlcis in .308 and .138 calibers thal your ctmpany is designing
. In I'cur cover letter, you ask FTB to evaluate the

for the

these

lwo proltype bullets roul<l be *onsidered "*rr

piercing."
As you n'ray be ar'arc, ihe Gu* Clortrol lct rf 1968 {GCA},
defines the term "rn1r piercing anrlrunition" s.*'

{i)

l8

U.S,C. Seetion 9?l(aXITXB),

* prajectle or projectile core v'hich t!]:he .!tl in q hcndst]r cntl v'hich s

crnslnl*l enlirely {excluding he prcsence c{*'*s o}'ofhar subsicncts)

lrutn one str a camlsination of lungslen r:Il*;'d sl:tl, irun, hruss, brnze,
hery{li*n rpper, ar elepleted uratutn: r

{ii)

aJi$l jatlcetrd prajedit |ctrger lhcrc .22 cnr[i]er ttesgned and intendedr xse
i* c hendgun anl x'hse jacket h*s t *e igkt f Scre-tan-25_pCfgg]!aJ rhe
t*tai x,eg,h af tke proieuile.

-ith respecl to tle .38 caliber trullet depicted in l"igure I, sincc thcrs are handguns chambcred

fbrtlriscaIiber,thcprojectile'dcscribeclasbeingmadeprin*rily@."u|d
be considercd ars*r piercing s dsfned irr Sectinn 9? l {aX I ?XA).

bullct portrayed in ltigurc 2, silcr. tlerc arc

projectile would nol be corsidercd ar::lrr

thr'"338

dclinition.

WD

fbr thc solc

and sell rrr piercing

l,icense { Llamf itcurer rsf

I):stntive llerri'es. mtunit*u"frir Destruetite llevices or ;lrnxsr Piercing:lmnumitiott].

389

RIP

-2-

trcD
For filrther infsnnaion sn how to obtain a Type

l0 license, you

nay visit the ATF website at

-rvw.T.SrE or s$ct:
Federal Firearms Licensing Center
Sureau cf Alcohol. Tobaceo. Firearms and Exptorives
244 Needy ftaad
il,lartinsburg lVest Virginia 254S3

We {hank ycu

frr your inquiry

and

rust the foregoing las been respsnsive {o yoltr reqest.

Sincerely ytrlrs,

Jchrt R. Spencer

Chief, Firearms Technclogy Braneh

390

RTP

t;'i
OE?ARIME}I OF lHE TFA3URY

out^u of ALcoxoL. Too^cco rxo rrtAFr.i

r^xtrlgtora. ?.c. tGta

aaftol

|fX'2 R

rtICI)

trDc.

1{43 }otr.r *v.nu

gout l *ntr calltorBl 9l?!
r

frre

1l r*f3rg Eo lur lttcr f u{:t 2{, 992, t tte

Slrrr! f Icohol, Tobcco nd firrt {?f}, ln thlch
ycu a*lld tht ll2 ,10/6 clbor arr*or glereing
{,i}rltlorl be arerptad fro* th tf lnttion f rgr
ir 16 tr,5.c.
liorclag *nitlo qntrd
thptr {. 5 ?lt {r} fl?} (El .
fha cltc sce:tiEn dcflncc rrrer F!relng ra*unltlon B:
tlh trn rrror plcrclng sp*unitlor oru]
prolectllf or prorcctllt core uhlc *y bs
rrd ln I hgitr rd rlieh l ettrcGd
.antlr
{axcludlng tha rr*a*c of trat of
eher usttn.t lrts rr.r co*blntlsn
of trngtsn.llolrf rtccl, ror, rts.
bronc rylca copper or daplot*{ uraniun,
3sc tarn docc nol lnclul shctgnrr shot
requlrad by fsd.rrl or tt envtrxrentl r
g*rc ra$rtrtloft for huntlnq purp8es,
franglblc protsllts rhlch tlle secrtry
flnde la prlaarlly tntsd{rd bs ussd for
fportlf purpoo6, r nnf cthr prolestle or
proJectllo ccrc lJheh t.ttc s$ertry flrdg l
Itrted ts br red for lrdu*trlal purpc*r;,
lneluding chrgG utd ln all d qac *ol1
partortng dovls.
3t-lnt l{r of th ll? ,rol86 calibor or plorelng
.rntt1 on
t go3lnEled
r'r rt
l *ore
using
rst1
Cas
trrt loa nd
crtra

tlrt f

.:o la6

tlt r

nn{n

391

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ri
I

.?

.l

@
tvar 'r3t on {4r tfrch d tl bc*rctn
tatrrrilc pravlded rlttr your l.tt.r' t ti vrtl
drrsted thit th9 lc .X0r0 trror krclng eartrl4gr
l. bran rtaglt. u brlnt rltrbll fr g.t
rlpottl lh rLtl du. to itr accuracr
lrrrfoco, ,l?t ftrlr thlt, tt ,30106 caller rn+r
prorclnE rcunltl,on lr prtrerily lnLondod for cportlng
purporcr nd l no rubtcaB to tha rartrtctlon. lrord
on t. rnuf.cturc, hportrtlon, or dlrrlhtfon of
!t

arror plcrcfuq rnualtton.

t
b
t X!r )

392

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o"t lo/r5l94
lnltlt

TO flJratr. ol?rr ryof. ruon avnr.

t lH af.,.{ grrr,Porf }

t.;!r.

Ptccraft, Chicf Lounscl .Irrn 61*'!

0tr

rc l';- 4 *.2
I

$/

l+

lti
;L:: ili-rurfcrfr

:..',-r;:lic *t15.
0

,t

l{o{r fiurn

cllon

Frb

Apprl

For

acutad
Clrulrlr
Cmrtrrt

Fo{ Co.rictaon
For Yotr lttlbn

Clrulace

FrrCorcnrtor
IT

nvrfi!la
Jurti

CoordinrtO

REHAR[S

ilie

}et.ter is re(lesL Lo *ri{xrr.:L Gffi*li-ber

:icrci:r; .r:t.euril,ia* frrir: LJn: ctrrrfiieion of arrur

aLtrc:ir*i

rl':rtlr

;:iercilr

n:T,;ni

tio '

'fhc lctlcr lras bccn i-ircfurctl for sig:Llttlrc by

:ix,t)' i)i'cctor,

Ule

l}*:s.: rrjLurn to Firearms !1clu}<y

ft"J<r

for rrilirKJ or r+ith any ccnr'unts.

DO l{OT

$r,:rlcl'i,

64:0

er thtr bril rr r ECO d Werrl. ccrto* .p6.l,

ctrraoaer l,ld reilh acttod

;
I

nagr

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:

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395

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o

5.56mm
SS109

-t

396

RIF

PAGE(S) WITIIHELD IN FULL (WIF')

OR REFERRED TO ANOTHER AGENCY

fwm
REFERRED TO:
Page

Number

397-400

Exemption (b)(1)
Exemption (b)(2)
Exemption (b)(3)

Applicable Statute
Exemption

(b)(a)

I
Exemption (b)(s)
Applicable Privilege:

Deliberative Process Privilege

Attorney Client Privilege

Attorney \ilork Product
Exemption

(b)(6) I

Exemption (b)(7)(A)
Exemption (b)(7)@)
Exemption (b)(7)(C)
Exemption (b)(7)@)
Exemption (b)(7)@)
Exemption (b)(7)(F)

Duplicate

Non-Responsive

Of Pages

l-l

Outside of Scope of Request

String E-Mail

Loclted in Dcc:r*rent

5.56mm
SS109

ffi

sE-r

M
I
401

RIP

,---. .,.".:4,,?'..t.-;:44

#
1. (19S6)
7

"it

:*:1:,:::.::i6.-:;;-:iJ:*i.*r*-,';x"--!.":

=:

l2 Old FTB Letters-Mention Handgun

ffi[-

SS109/l\d855 + second copy with

.62x39 notation.

Gives reasoning on exempting M855 from AP restriction.

"It was also noted that of the few handuns which are
Produced for the 5.56 cartridge, the major are
specialized long range competition weapons."

Also notes "primarily intended for sporting purposes

and are not subject to the restrictions ..."

ffi[(NRA)- A-square solid ammunition.

2. (10/1986)

""The few handguns which will accept the 7x57mm and .308
Winchester A-Square ammunition are primarily specialized long
range competition weapons."

"... 'rimarily intended for sporting

restrictions. . "

purposes and not subject the

ffi[

3. (19S9)
Solid Core Rifle Bullets (HG not
mentioned but applicable)
"...we have previously determined that large caliber solid, or multi
piece projectiles intended only for use in sporting rifles against
dangerous game are primarily intended to be used for sporting
purposes and are not subject to AP ammo restrictions."

402

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xhrch a;$r f !r fll$? rr i.ct uf a o: ur ui dririls
?tO .
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g:)1!.ct i

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409

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410

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a':

i,,,&

DEPARTMENT OF THE TREASURY

BUREAU OF ALCOHOL, TOBACCO AND FIREARMS
WASHtNGTON, D.C. 2A226

-I

MAR

lg95

E: CE: F:

3310

TE:ffi

.O

(lxt
P.o. Box

21.5

318 South 860 East

American Fork, Utah 84003
Dear

IOTGD]

This refers to your letter dated October 12, L994, with

hich you submitted eamples of handgun projectiles for
classif icat,ion.
Section 92L(a) (1.7) (B), Chapter 44' Title l-8, U.s.C.
defines the term armor pierclng ammunition as a
projectile or projectile core shch may be used in a
handgun and hich s constructed ent.rely (excluding
the presence of traces of other substances) frorn one or
a conbination of tungsten alloys, steel, iron, brass.
bronze, beryllium copper, or depleted uranum; or a
full jacketed projectle larger than .22 caliber
designed and intended for use in a handgun and whose
jacket has a weight of more than 25 percent of the
total weight of the projectile. The term armor
piercing amnunition does not incl-ude shotqun shot
required by Federal or State environmental or game
regulations for hunting purposes, a frangible
projectile designed for target strooting, a proJectile
whlch the Secretary finds is prrnaril-y intended to be
used for sporting purposes, or any other projectile or
projectile core which the Secretary finds is intended
to be used for industrial purposes, ncluding a charge
used n an oil and gas well perforating device.
Examination of the subnitted samples, and the
ided indicates that the
nfornation
rom

les are

x@)

r@

weght

proJect,i lei s for use

of approximately
b
cons ructed fron one of the
in a handgun and
aterials listed in the aove defnltion. llherefore,
the solid brass projectiles as submitted neet the
definition of arnor piercfng ammunition.
Snce the projectiles in question are designed
prirnarily for use n a handgun and are constructed frorn

411

RIP

-2,-

(b

X6)

the same materials as other arnor piercing handgun

amnunition we cannot consider tlrese projectiles to be
prinarily intended for sporing purposes.
Therefore, the samples as submitted are armor piercing
anmunition as defined.

trust that the foregong has been responsive to your

inqury. If re can be of any further assstance,
please contact us.
Sincerely Yours,

We

,/rr

!!. Oeen, Jr.

Chief, Firearms Technology

4t2

RIP

]:

'5

|ltq

t4

IJ

October 12, L994

il

Ehreau

Attn:

IOIGD)

Tobacco

c Firearms

Room #5450

550 Mass Avenue

Washington, D.C.

20226

o"".W[
conversation of October L1 I have subndtted

As per our
sanples of
They consi

ications.

ag

as well. It has inherent

id uraterial and affords less

s as it will not penetrate steel due to

the

In consideration of this infornation, we would lke to request at

this time that this tlpe of bullet, lhich Barnes Bullets, Inc.
manufactrrres, be consiilered exert tu'rder the current bullet ban
Iaws.

Tf vou have anv cruestons or need to contact ne, please feel free
to o so. I hopd to be hearing from you soon rryrding this

ma

tter,

and appreciate your assisance.

Ildrof,
eric.

sanples A catalog
P,O. gOX 215
318 SOUTH 8O EAST
AMERICAN FORK, UTAH 84003
PHONE: 8A1r756-4222
FAX: 801 -75-245

413

RIP

flrc ricrn s T4 -

IrCItr

Dear

I.

this

which

-rf ,rr rd)", &r

araf{
.994, wth

Ies for

classi
Secti<

definr
projer

.'.

(b

handgn

the p
a coml
bronzr
ful1
desigt
jacke'

X6)

u;rtr
(b

total

pierc

tut ,{*
t( S^4 fc*r tt

t. s c.

rr

lna

:luding
rom one or
i, brass,

"r{'f {

i OrA
er

whose

f the

X6 )

or

shot

requi:

qame

regrul,
proJe.

ojectile
ed to be
eetIe or
intended
: a charge

which
used
proJe

to be
used

re.

Examnation of the subnitted samples, and the

t the projectiles

are

old bullets
having a weight
of approxiuately
le ls for use
n a handgrun and
from one of the
naterials listed in the above definition. Therefore,
projectiles as subnitted meet t'he
!h1.L of arnor
piercing armunition.
defiltion
cogE
SUR-

NAME

-rr-?

DATE
r r . r4Jre^

PLACES

r'

-',

l08 EOrTtot!

vvr

tf

417

Ir

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bl'
-;^; ;:.i;.; ;i

rs vte

;, ,;

ii;li.i,

BUREAU OF ALCOHOL TOEACCO AND F'FEARMS

'U.S. GPO: 1 9gL301 .52U1 1115

WHICH lS OBSOLETE

414

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MAR

f,SFtsE
331I .

- 3 psa

,WE

(re

r
F
n
Psst Of,f,Ee Box ll85
ltayaguerr Puerto Rlco
car

9879

cre

Thts ref,ers to your lett er of Februa 2? 19 92r ltb htch

you subralted sanples of
arnrauntlon for
tor@l
prov isfonE of the
on
t
exaninatlon and cl"asslf{
Gun ControL Aet of 1968.
Examinaton of the eubnitte sauples indicateE that th
amnunltlon is nanufactured by 'ioecl ln ltly. fhe
proJectlS.e contains a aoppr t1re furl tl Jaeke and a
lead blit qotr.
ection 92I(a) {17} {l} def,ines tba tern araor piercing
amntunition asr

tlhe tern rsrnor picrclng anauntiont meane a projctI

or proJecttle core rhleh nay e ueed in a handgun and
whicb ie sonstructad entirely (excludfng the preeence of
traees of, other substanees) fron onE 9r a comblnatfon of
tungeen a!'loysr eteel lronr brse, bronga berylliuncopperr or deletd uranium. uch term does not include
shgun ahot lcguired by Feder} or stte envlronmentaL
franglble
or gane regtriatione for hunting Purposssr aprojectlle
a
rroiectile-deslgned for tarEet shootingrntended
to be
frff the Secreary finds i rrinarly
orot,her
purpoacs,
grrojectlle
or
cny
aporting
for
used
core rbleh- the Scietry finds le intended to be used for
lndustrtal prpos, lntudtng a_charge used ln an oil
and gas rclJ. perforatlng devee.'

o
suFNAM

EVlWR

REVIEWER

RVIEWER

REVEWER

RVIEWEN

REVIEI,YER

b X6

DATE
GORRESPONER
AfF F t3s.6 (2-751
MAY EE USE
REPLACs ATF FORM 92 (9.73I WHICH

OF

AFTV'L

*
415

u.tioPor'1991-29t1-554

RIP

l
--.
IIGDI

=?;-t_'.+r?"'

oU

The subnitted !Eunition does no uet

the above definrtion
and ts r,heref,ore_1o arngi plererns-i*,;;irli
The cartridoce are mnunrtrn-ie
"" derrned.
;-il"deflned
in
sccrion ezt (a) trz i tlj--"-"oiretltat
chaprer.

O l'
..
o'
o

vr

E{

, I
(l
l,
..@

n
ur
U
HF
t{t
<
HF3
to
H
o tft
x

trust bhat he_foregoing t"q

T3n reaioneive to your
llil.r*lr o. may ue-i--nv urtrre, is[r,"., pleasc
We

z=o

Sincerely yoo16r

l,'

ffirr4t #rr

ffil

hr

Edrard 1, OHen, Jr,

Chefr Firearme nechnology

'

I
a
l\'
I

lrto.
Branch

,\..,!/
,:t

co

il{11ATOF

iEvrEwEn

REVIEWER

REVIElvR

REVEWER

REVEIVER

nvrEwn

SUR.
NAMI,

ATE
F t325,6 (2-731
REPICEs ATF FORM 92 (9.73I WHCH iitAY EE USED

AIF

APPROVALAND CLEARNCE

uiaau oF aloror. lolA@ o fritatxt

$r.-

416

RIP

I
BARRETO'S GUN STORE
P.O.BOX 14A5
MAYAGUEZ, PUERTO RICO OO7O9
(809) 832-26 r 5

February 27,

19g2

Bureau of Alcohol Tobacco and

Firearms
Chief, Firearms Technology Branch
Room 6400-Washington, D.C: 20226

subject: Armor Piercing Annunition Deternination

Dear sir:
r an an active firearns and amnunition dealer
- under the
provision of dearler r s License
no.
66-0005g.
I
---s- -rro,
type of ammunirion which could be clssif ied ,r--,rrirrg
piercing. -_The ammunition in question is t;1ib;;sli
Fiocchi rfPaLla Blindata" FtJ BurLet-142 grs-centerMgrrurn
hi"u
Cartridge. Ref. II C04FLB76.
T, would like to have this ammunition
tested to d.etermine
if the same is _ armor piercing
oi -"o. - rf it ii--iro"
pigtiqg- ann!nirion r wul-d be- in viition of zTCFR parr
L78.99(e) and therefore subject to license revakation
I am including six sampLes
to be tested.
It is of the nosf inportanie too fmeamnunition
that
this
determination
be nade as a violatibn of this type could result
in the
revokation of ny license and the lost of my onLy source
of
income.
Waiting for your pronpt attention of this request,

(
arreto

)
s

tore

II 18 Santa Rosa St.

Urb. Alemay
Mayaguez, Puerto
P.S

Rico

00680

If you have any question

please caLl - 809 -832-26Ls

417

RIP

'-l
:

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I

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I

MAR 8 |ffig

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i
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EtFEE
I

I
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i.
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t.
I

I
I
I

I
I

I
i
I
!

i
I

I
I

.rorCIi|

@
Federal Cartri.dgc

900 Ehlen rive

noka, inncsota 95301-?909

m
fhls rafrs

to your }etEer of pabruarv

ash aout tb e--ssifirarton of i @
o be usod i" @||
flraras.

t- tgFo- fa rhieh

you

dcsigned

rhe m?t:liurglc*t analyeie cf the natril sub1td *ith

your let,r lndlcts th tho nterlcl
n guraton is

jti:j
i*:'
JI:ii..i::i;*i"..
gzrtal
glglcll! amnunit{on in Eccrion
irilisi, etepii-e*,

tltlc lt

tlnlred $tats code, The un'codri Aeb-of 1t68.

.l
I
I

?hcrefore,

thE

oy

anmunils ag deflnad.

bullats cnErucad fro

d not br crnar piercing

trust that' the forcgoi:ng hrs been rcsponsivc your

inqutry. rf we can e of any further asrietencc, o
pLiaae

'l

Ha

epntact ue,

(II

aboye

.t

$lncerol.y loura,

',1

!
I

.':

i,

.:

dyard !1. Owen ,Xr.

Chief,, Firerns lfachnology Brnch

i
I

'I
i
I

FVIEWER

9Ui.

NAfitE

DATE

REVIEWER

REVIEWEF

REVIEWEN

REVIEWER

FEVIEWR

NIG
-

P-R5
BUnAU OF AL9HOL, OCACO rO trBqArg

FC,RM 92 10.73 WHTCH MAY AE USED

, *.u.a
418

GPGri

r9_r!t>9n9

RIP

FEEIIAI:

EO

CARTRIDGE
900 Ehten Drive.Anoka, Minnesora 55303.7503

February 1,

1989

@
Bureau AlcohoL,

Tobacco, Ffrearms / Firearms Technology

FederaL Building - Room 823
1200 Pennsylvana Avenue Northwest

I{ashingt,on, D.C.
Dear

2OZ26

ffi[

l,le are considertng importat.ion of

a
made ir Germany
rc
by lletalLrerk ELisenhutte GmbH (MEN). This so called ttMBNtt
bullet hae no lead core - ralher it is a covered hollos poLnt
desf gn made of copper. rt ls designed to expand on inpat rsh.il_e
the cover over the hollors point alds feedJ.ng.
At your suggestfon, I have obtalned a metaLurgical a nalys is of
the copper whlch lfEN proposes to use n producing th l-s bul1 et.
As you can 6eer the materJ.al is @
with traees f other materials.
loul-d.you pLease evaluate thls proposed materlal wth respect
to the armor plereing handgun bul-let J-egal- sLt.uation? I{e do
not wish to lmport a handgun bullet vhich vould be classified
asr armor plercing.
Therefore, rre need your expert opinion a6
to whether thls fs or s not eonsfdered armor pfercfng
once agafn let me thenk you and yorr. a.tr for pasi courteses
and assstance. I{e appreciate it.
rf we can be of any asslstance
to you or your staf f , J.ust let me know.
Lookf ng f orward to your rep'ly.

Best regards,
I'EDERAL CARTRIDGE COI{PANY

bt )

Enelosure

t2'422-28
NO. r2.42t.0646
29.24

d FEDER/qL.HOFF|I|A|V

419

@ngy

RIP

ptallwerh llrnnSlr

ombt{

Jtru

"I

Frrirrr Arrrrr

a.a,{,

htatl

r. }a. .

l.0r Ftt0a{

?tr,Ftorttatr

lftrEr^x
i

fO:

ilrsssE

TELEET

Ferleral Crtr tdEe, At{OK/r,

DTE 3l.st ,Janurr, lgilg

Mi nn,

flICI

ATTII:

oTL l{0. 0F PIES

QU

re

.filISoilt -2-

ul let

re

rtllz

Pernissib

le tmpurltles:

m
it

pp:niix rei"ers.
Hope

iils anal,ysls Gses the war.

5 X6 )

It

Gertrfulhrr

(llrnegir

Hndtrrrgislrr

fildr

freric+rtaau nd pudrdic{ert). l,lntbtur

H' trrrtr 7l:+ h,-d - 4^ a

*l

DircclorEl: yolhsr lhrl, # .1r,9 Frtei lrrolrr

sgirrrr): funrrorictrt f,lonidur S HFE t0lt!

\,
420

RIP

PAGE(S) WTTHHELD rN FULL (WrF')

OR REF'ERRED TO Ai\OTHER AGENCY

fwm
REF'ERRED TO:
Page

Number 421

Exemption (bxl)
Exemption (b)(2)
Exemption (bX3)

Applicable Statute
Exemption

(b)(a)

Exemption (b)(s) I
Applicable Privilege:

Deliberative Process Privilege

Attorney Client Privilege

Attorney Work Product
Exemption

(b)(6) I

Exemption (b)(7)(A)
Exemption (bX7XB)
Exemption (b)(7)(C)
Exemption (bX7XD)
Exemption (b)(7)(E)
Exemption

(b)(f(f')

Duplicate

Non-Responsive

Of Pages

[_l

Outside of Scope of Request

String E-MaiI

r oclted in Dccument

tr

.s{ l99l

,.r.,i[;h,

-iiitrffi
lEFrfE

1*

so s.

Street
Northboro, }Essachueetts
Srrmsr

Dear

6153A

flICI

refers to lur letger of, Oe?cbr A, Xgg0, n which you

"his
ask, abouE the uEe of steel core ?.62x39us caLiber ar*u"ii"
in ttre rdnancc Tashnology ssp-96 Bietol. stbmitted *lth
your leEer was a samr)le gf the errrgrunllion
arrd e eanle of
h 8SF-86 plsot bearing aertal nunber f
secion 921{a} {17 } (B} dcf inee Ehe er armor-pierclng
ammunilon

ast

!
I

nThe era aror*plerclng arnnualtJ-on utans

a projecElle s:r :,roJecblle core which nray

be used in a handgun and rshlch 1 conErueEed
ent,irLy {excludng Lhe presenea of races rf
oEher sube,ancesl from cae or a oblnalon of
Lungtn alioya. sE,eel , Lrcn, brage, brase,
berylLium coppr, or depleted urerLum. Such
term does not inelude shatgfun abo required by
Federal r gtaEe rnlronmenal or gBe resLations
for" huntlngr pu:oge, fraagble proJectile
deeignad for. barg Ehootngr, a proJeeelLe bich
Ehe $ecretary flnd,s fe rrinnrlly fntended bo be
used for sportl.ng purlxlses, or anl' tber projecEil"e
or proJec,i.le core rhleh he SeercEary ftnds i.s
1nande t h uered for lndiisrlal purpoee,
Lncludlirg a charge usod Ln an o11 and gas well
perf,orating devlee,r

Sfe hve een

advtsed y rdnense festnotrsfrT and, anotber

![odlel. ggP-86 pietol w111 not be produeed
ln ealiber 7.6?r39ram. glnee eonercally produced bandgrun
chambr* for he 7.62x39m euwniblon 1e not tvallable, tb
asutruniton havng stel csre proJeet,ile is not subject to
tshe ebqe defini6n.
cof}Eraeof

( tat

X6 )

r rgzs.cf-zl

tht the

NEVIEWER

FEVEWER

coft RsloNDENGE AppRoVAL AlD LEARANC

ATF FORM 92I9.73I W}IICH MAY BE UsD

REVIElivER

t:\

REV]EWER

oriliel

9.

r l5u{t

* U.S.eO:l 989-(226-536

422

RIP

G.

sP-llg
LE: F rnllIGII

(b
n

1730 K

X6

Street,

N.IrI.

{ashington, DC 20006

re

Dar

This refers to your retter of August zL, \997, in which you

asked about the cLassificaton ot s.s6nn ,r8s5 (ss109) at-

t.

'I

,i
rl
i:

l
l

i'.
i.

r,l

t.
,1

i'

Ball amnunition as manufactured uy oril cipor,tion.'

Tbe amnunition in question meets the definition of armor
piercing ammuniton as that tersr fs defined n section
921(a)(17)(B) Chapter 44, Title 18r Unted States Code, the
Gun Control Act of L968.
Eoweverr the Bureau of Alcohor, Tobacco and Frearms has
previously removed 5.56r M855 (SSI09) NAIIO BaLl anmunition
from the provisions of the cited ctefinlton. This deernination was based on the fact that donestic nanufacturers
of firearms are producing sportng rifles having barrel_s
riflecl specficalry for the M855 cartridge. nhrefore, the
anmuniton was felt to be particurarry suitabLe for sportng
purposes.
rhe ammunition in question is not subject to the restrictions
imposed_on.armor piercing anmuntion.- The ug55 BaLI nay be
sold and distributed as sportfng ammunition.
We trust that the foregoing has been responsive to your
inquiry. If we can be of any further assistance, pleas,
contact us.

Sincerely,
II

,
7

li

Edward 14. Owen, Jr.

TechnoLogy Branch

Chief, Flrearms

.t

Disk

hp

*L4

8-31-87

cc: SAC RRA Firearms Dv.

ii.J

'l

..t

9Un-

HATE

REVIES'ER

REVIWER

CODE

REVIElt'ER

REVIEWER

REVIEWER

NEVIEWER

RT@

DAfE
a^a<NNE

REP-ACEs ATF,FOFM 92 19.73' WHICH I'AY

!E

o^wt

USED

t at r rE

auau

oF EorcL

rog^@

fa^su

Ao {af

.It.8. cFO 1tt5-467-430

423

RIP

iN0

Olin

r?ao

K sTnEET. N.w'., li.sENcToN,

D.C. 0('06 (80l 8ar".roo

August 21,

1987

Bureau of Alcohol., Tobacco

end Fireerms
Firearus Technology Branch
Roon 8230
1200 Pennsylvana Avenue, N.W.
I{ash

on

Dear

Attn

D.C.

20226

This letter is a request for clarificaton of specific

ar"-unition itens covered by Public Lar 99'l+08.
The Defense Systems Group of Olin Corporation manufactures
M855 NATO Ball an"nunition for nlitary applications under
Department of Defenee co!tracts. Ths attt-unition also referred
to as the Bel ierr SS-109, uses I
hav
a
beteen the
ce the corea of these
ets are not
constructed entirelyrr from .steel, we would like clarfcation as
to whether this product falls under the manufacture and sale
regulations spelled our by public Law 99-408 (100 Stat. g2O)
covering armor piercing atn-untion.

5.56m

roll

.s

I{e have been keepng the distribution of M855 type

attttnunition restriced to Government end lar-enforceuen agenciee,
but would like to know f this linitaion is required by law or
regulaione.

Please let me know f you night need any further

or technical infornation relating to this matter.

backgrouad

b) ( 6)

Aseistent Director

OtN

CORFOFITON

424

RIP

PAGE(S) WTTHHELD rN FrrLL (Wrr)

OR REFERRED TO ANOTHER AGENCY

fwm
REF'ERRED TO:
Page

Number

425-427

Exemption (b)(1)
Exemption (bX2)
Exemption (b)(3)

Applicable Statute

(b)(a)

I
Exemption (b)(s)
Exemption

Applicable Privilege:

Deliberative Process Privilege

Attorney Client Privilege

Attorney Work Product
Exemption

(b)(6)

Exemption (bX7X
Exemption (b)(7)@)
Exemption (b)(7)(C)
Exemption (b)(7)(D)
Exemption (b)(7)(E)
Exemption (b)(f@')

Dupticate

Non-Responsive

Of Pages

l_l

Outside of Scope of Request

String E-Mail
T nnofad in fnr.rrmonf

f]

.,u, I 6 19

LE: F: TE

3311.4

flre
Box 919
Shepardstown, flest Virginia
Dear

25443

Tis refers to your recent letter with whch you

subrnitted samples of projectiles designed for use in
the 9nm Makarov pistol cartridge. The projectiles !,rere
submitted for classification.
Examination of the submitted
les ndisates that
they are
. The
rc
proj ect.i vea
(I
18 U.S.c. Chapter 44 S 921(a) (r7) (e) defnes the term
armor piercing anmunition as:
rrThe term armor piercing arnrnunition means a
projectile or projectile core which may be
used in a handgun and which is constructed
entirely (excludng the presence of traces of
other substances) from one or a combination
of tungsten alloys, steel, iron, brass,
bronze, berylliurn copper, or depl-eted
uraniurn. Such term does not include shotgun
shot required by Federal or State
environmental or game regulations for hunting
purposes, a frangibLe projectile designed for
target shooting, a projectile which the
Secretary finds is primarity intended to be
sued for sporting purposes, or any other
projectile or projectile core which the
Secretary finds is intended to be used for
industrial purposes, ncluding a charge used
in an oil and gas welt perforating device. rl

Therefore,thesubmittedprojectileshavi'.g.@
ffiflare rassifed as ariror-piercing arnrnuitiffiCODE
SUR.
NAME

(b

X6

REVIEWEF

REVIEWEN

REVIEWER

REVIEWER

REVEWEFI

DATE

t 'r,
OflttESP(JNUCNUts API'l{uvAL ANU ULtArAl\t
REPLACES IO8 EDITION YUHICH !S OESOLETE

ATF Fl35.A

428

BI'REAU OF ALEHOL TOBACCO AilO FEARMS

'ut.cfrfiriPr5ae qlc trt - 2c1@ttrt

RIP

-2Section 922(al (7) of the cited chapt,er makes t

unlawful for any,person to manufacture or import armor
piercng ammunition except for use by governlnental
entites, for the purpose of exportaLin or for test,ing
or experimentation authorized by the Secretary.
Section 922(a, (B) makes it unlawful for any
manufacturer or irnporter to seII or deliver armor
piercing ammunit,ion except for the authorized uses as
listed above.
To lawfully manufacture armor piercing ammunition you
must be licensed as a manufacturer of destructive
devices, ammunition for destructive d.evices, or armor
piercing ammunition. The fee for this tcense is
$1000 per year.
The submitted sample are being retained in this office.
If you become licensed as a manufacturer of armor
piercing ammunition, the projectiles could be returned
upon the issuance of the license.

trust that the foregoing has been responsive to your

inquiry. If we may be of any further assistance,

Ile

please cont,act us.

Sincerely yours,

Ist
Edward M. Owen, Jr.
Chief, Firearns Technology Branch

INITIATOR

FIEVIEWEFI

REVIEWE

FIEVIEWEff

HEVEWER

FEVIEWEN

CODE

suR.
NAME
ATE

ATF F1325,6A (.-./'

cof-ll.lbsPoNuNc API'f{uvAL ANU LAtlAl\u
REPLACES 106 EDITON WHICH IS OBSOLETE

OEPAHf MhNI Ots IT IX4SUI

BUREAU OF ALCOHOI. TOBACCO AND FIREAFMS

't3,

429

Orrnt

Pil0e

('c 1l e?e$ata
-

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II

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4<--j "/*r---T 1rr *n/ , tt/ { I

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owv

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'-:<:-

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t 26 l9BB
ICII

l,E8rtE,IIGII

r tion

4t9 g.
a Street
Verngn Calfc'rnla 9005fi
DAT

(re

fhs rafera to your let er of January

you eubmiterl eanr!.es o
amurlton conli*ng a
per orance of
concfi
submited were leet r
thls dirmunltion agaJ.nst soft boy rar. 'fbe aranunftlot n
subreicted to dct,ermine lto clasalficatlon under {:te
provislonE of the Sectlon g2l(a) {17} {B} Chaptec 4[ Sltle

18' Bnltod gt Code.

?ro* an exarsination of, the subnitteci aamples md the
infocnation providt{ ln your letter it appeare tlat .he
proJeetiles conteln tbe fsll.oufng nateraler
(

ii )
b Xm

the abve the nnunition ln questiru is cltssfled

as not lrelng armrr piercng as that terra is deflned ln the

Based on

eite eectlon. The atmuntn

sale, If the
contaln
WproJecLilee
saraples of blle
cosnersial

for

rlra

rEject,ilee
regulrec. dditlonel.ly he
anunition ohiei $ae rcen
inpartation into the Unlted $tat,es,
Plaase be advlsed that if {:he ntgrlls conLelned in the
projecitoe of the subject ammunfLlon are ehangcd' thls
classification ls subject ts rovfew.

-Lc

5UiIIAE

[rc

REV|rl'n

aEvrwn

v?we

EVlEWe

RVrW

REVIEWEf

OAIE
9UFe^U OF 60OL

REPICESATF FORfr 92 l9-73t WHICH llAY BE UsD

O5Cq

^d

r8AA5

'u.s. cPo: l,t5-t67-830

431

RIP

=r-'-

-2tIICI

that the foregoing has ben responsls to lrour

lnqtriry. If re can be of, any furthor slstqnce, pleasc

He tsue

conlaet r.

SlncerclYt
Errd 1. rgn, Jf .
Chief,r Flrarr tehnology Braneh
rEC?-16-88 DfL9
w
ccr SACr RRlr Itsorts' Firearrs lvlslon'

Et{O

:.;ll

432

RIP

PAN
METAL
CORPORATION
4890 S. Alomedo Sheet

Telephone: (2.f 3) Sg7-7,t00

Ielex:215742 pMC UR
Focslm i le: (21 3l Sg7-97 rl4

Vernon, CA 900SS

January 29, I988

Chief, Firearms Technology Branch

AreI Rios BIdg., Room 8230

1200 Pennsylvania venue, N.l{.

Itlashington D.C. 20226

Pursuant to my conversation with

divsion nport license 87-1573
of the follcning two items:

re

1
2

ICI)

was approve

n the Iicensing
with the exception

f understancl that you wish to receive samples of these two items

i:i:

31,

"iffi"rcins

properties.

Lo

Enclosed ptease f ir,,1 i,0 ounds

I-am attaching photocopes and photographs of the test re.sult cf tre

W-ol-body armor for your reference. itre ffi uurle'c ccnpcsition is

as follows:

(
r will be able to

ii )
b Xm

send you samples

veeks.

of tt

" Wl

in approximately

two

donrt hesitate to contact me.if you have any furthFr questons

Sincerely,
Pl-ease

bt

X6

Encl osures :

)
Test results
50 rounds

ry

433

RIP

.,::

SEGclNtr' CHANCE
t

p.0.

Btx

g78, cENTRAL r,AX, Mr

4s22

s0o.25s.7090 .616-544-5?2r

SOFT-CORE" ARMOR SERIES

"ilfl$r ,Lf\f

SIZE:
SEFIAL

:-.:- : -{d-:

t' : slrrr

r:'#-*':-

L-

: Fr-?'

_::i:1"-t:

THIS UNIT IS NOT WATTRPHOOTED. EXTEPT FOR IT NOT BEING WATEB.

PR00FED, THIS ARMOR FULLY C0lilPLlES WITH ALL RE0UIREMNTS SFr
BY NIJ TTANI)ARD 01O1.O2 FOR THREAT LEVEL IIA ARMOB.

CALIBER WEIGHT

BARHEL
ZI
( bt
ii )

VLOCITY

1. Cfean by s*a

. Rinse thoroughly
before replacing in carrier
DO NOT MACH INE WASH OT MACHINE DR
DO NOT BLEACH.
DO NCT DRY CLEAN.
DO NOT IRON.

2. Lay ffat-..Let dry

3.
4.
5.
6,

Balliltc penl tnalsisl

i;.4L'l

it
'.i;!
iJ ' .

'l*.!-

i_,

IOO% Ksv,at

i4rffid. Pad c\rsr 60.

Oacron/40c,6

Aor lt.

wARt{mG
TIIIS ARTIIOR IS HOT GNffTffD TO PilfTEfi
THE WEARER FROTII RIFLEFIRE, SHARP f;DGEIT
0R PilrrEB lll$Rutrr Errs
Mdr b

.t
t
I

u.^

:.#w

434

RIP

'''.*..2;*t
;:...:,*:-

435

:#:z.=,jlfe.,*;

RIF

436

RIF

LE:F:TN:ffi
JUL 3I IW

MK

Batlistic

3311.4

Systems

2707 Santa Ana Valley Road

Post Offce Box 1097

Hollister, Catifornia 7SOZ4

DearLt
This refers to your letter of July 24, Lggz, with which
you submitted information on High Safety Annunition
(H.S.A.) as nanufactured in England.
An examination of the subnitted infornation indicates
that the anmuntion n question is desgned to defeat
soft body armor. The projectiles are designed to be
fired in handguns and contain 7 steel pins in the
projectile core.
18 U.S.C. Chapter 44 S 921(a) (B) defines the term armor
piercing annrunition as:
rrThe term armor piercing ammuniton means a
projectile or a projectile core which may be used
in a handgun and which is constructed entirely
(excluding the presence of traces of other
substances) from one or a combination of tungsten
alloys, steel, iron, brass, brcnze, beryllium
copper, or depleted uranium. Such term does not
include shotgun shot required by Federal or State
environmental or game regulations for huntng
purposes, a frangible projectIe designed for
target shooting, a projectile nrhich the Secretary
finds is primarily intended to be used for
sporting purposes, or any other projectIe or
projectile core which the Secretary finds is
ntended to be used for ndustrial purposes,
including a charge used in an oil or gas well
perforating device. tr

CODE
SUR-

(b

NAME

X6 )

REVIEWEF

REVIEWER

REVIEWEH

REVIEWEF

REVIEWEH

DATE

ATF Fr32.64
REPLACES

(4-r

I06 EDITION WHICH

coRRESPoNDENcE APPRovAL AND cLEARANcE

IS OBSOLEE

PA8MNT OF THE TEASURY

BUE U OFA|OHOLTOB CCOANO F|nEARMS

'Ut. golrrrnl fttdt ql* lt !!!!!!

..

437

21.7@tatg
::::::=::

RIP

-2-

(IGD
Based on a descrintion of the ammunition in guestion,
it is armor piercing amnunition as defined.

To produce armor percing anmunition you must be

licensed as a manufacturer of armor piercing
ammunition. The fee for this license is groo per
year.

Arngr piercng anununit,ion may only be manufactured or

delivered for use by the Unied States or any
department or agency thereof, any State or dpartment

or agency thereof or for exportation. Armor iercing

arnmunition may also be manufactured for experinentat,on
as authorized by the Secretary.
27 C.F.R. part 17s, S US.92(b), a copy of which is
enclosed for your nformation, contains infornation on
the marking and labeling requirements for armor
piercing ammunition. S 178.99(d) and (e) eontain
additional information on the manufacture, importation,
and sale of arrnor piercing ammunition. S 178.1o1
contains informaton on the record keeping requirements
for armor piercing ammunition.
We trust that the foregoing has been responsive to your
inquiry. If we may be of any further assistance,
please contact us.
Sincerely yours,

ls/
Edward !I. Owen, Jr.
Chief, Firearms Technology Branch

Enclosure

INITIATOR

FIEVIEWEFI

FEVIEWEF

FIEVEWEH

REVIEWER

FEVIEWEF

CODE

SUR.
NAME
OATE

LVGTVIIUTIT9E ArrW iL ii;

REPLACES

I06 EDITION WHCI{

LEiC;

IS OBSOLETE

uElAnlMCtr r 9r nB qgvnt
BUHEAU OF ALCOHOL TOBACCO AND FIHEARMS

lr.L Oofinrnl Pdlr| Cllct lor @4f$f

-

438

RIP

MK BALLISTIG SYSTEMS
2707 SantaAna Valley Road
P.O. Box 1097
Hollister, CA 95024
(408) 636-f 504
(408)636-86s7 FAX

-2-443

JuLy 24, 1992

DEPARTI{ENT OF TREASURY
BUREAU OF ALCOHOL TOBACCO AND FIREARMS
,!S
.x!

I{ASHINGTON, DC

.',
ll

.g+

i{{

ATTN:

#1

i;t^
lF.$

20226

@l
CIIEIF, FIREARMS

TECHNOLOGY BRANCH

:==:--Gr=
wfll find a fl-yer on a bullet, manufactured in England. The company
ls nterested in llcenslng its manufacture fn the United States. le have taLked
to others about thle.

Enclosed you

classify thls buLLet, re determined it to be armour peircing (1,e.)

contains seven (7) steel pins.

Please

Please advise vha llcenslng and controls wi1l be required for manufacure
and export. The nrket ls strictly nlltary and police domestlc and forelgn.
Thank you

in

advance

for classifying thfs round of

anrmunitlon.

Enclosure

l.'

439

RIP

iql

HIGH SAFETY AMMUNITION

lEE

UI.JITMATE AMMI'NTIION FOR T.AW ENFORCEMENT

AND PERSONAL PROTESITON

H.S.

is a new breed ofammuirion specifically dcsigned for pistol calibres,

providing levels ofperformance not previously thought acbicvabte. H.S.A
virtually eliminates shoot through, making ths ammunirion thc ideal choice
for operations in crowded stuations, This rformance is complemented by
H.S.A,'s ability to pnetratc woven typcs of body armour and to creatc the
highest levels of trauma and lissue damage, thu exiuing a rapid incapacitation ofthc target.

E.S" DF,SICNED I'OR SIJPMBLY CONSISTENT

PERFORMANCE

Thc performance levels offered by H,S..d are designed in and assurcd by the
utiliston oJ the most modern production tccbniques. This produces the
highest levels of consistency and reliability.

H.S.A. is lhs csult of inlcnsc research, dcvcopment rnd design in both

ballisties and mtcrials technology, The principle ofoperalion is thc delivery
of sevcn semi-stablised flcchettes to the point of impact. The flechetres
themselves ars optimised to minimise the likelihood of shoot through and
hcncc thc pontial dang* to bystandcrs in crowded situations whilc providing
thc ability to penctrate hard media and body armours.

E.S.A. UNPARLLELED IN ITS CI,ASS.

The picture on tbe ighl shows a block ofgelti flesh simulant which has ben
bit by a singlc 9mm H.S. round, fired from I stndard utomtic pistol,
Dimcnsions across the botlom ac ln inches. The 9nm ammunition in this casc

genersted I wound depth of 8.5 inches with an ovcrall damaged srea of 5

iaches diamer, although some wourd Eacls cxtcnd beyond this, The lracks
crgatsd by the flechcttcs slabliss to sbout 1 itrch scoss and trkc ths fofm of
at cuts. Duc to'its uuique Dethod of opcrtio thc usc of hcsvy clotbitrg or
body armour produccs thc mlnimum rcduction in performancc,

IIS.A. is cunently available in 9mn .38" spccial and.357* magnum calibrc

althougb lhc systcm is suitablc for rnost types of cortridge. The 9mm x 19
ammuDtoD providcs
eutomatc pstol,

muzzlc vclocty of 490 n/sec.

frod I $landrd

COBRAGUNCOMPANY
t

TEIJORDT'IC

dgh bdt rbslttt pdqwmir&

wilout 9rt wi.

Hsi.

440

Trufwffirc

i8lrdrt

RIF

*o+ *

f,nrf

-fi|

:a

#
44

Dear

'a

20

rfn,ff!

ls

b X6 )

IlrGIl

This refers to your recent letter in which you asked about

the 7.62mn AP and 7.62nm SLAP ammunition being subject to
the provisons of Public Law 99-408 which regul_ate the
manufacture importation, and sale of armor piercing
ammuntion.

citetl Law defines armor piercing ammunition to incLude

projectiles and projectile cores which nray be used in a
handgun and whch are constructed from certain natera}s
Iisted in the law. The 7-62mm NATO AP and SLAp cartrdges
use projectile cores which are lsted n the 1aw.
Handguns chambered for the 7.62mm btATO (.308 l{inchester)
cartridge are commercially produced. Handguns chambered
for this cartrdge manufactured by fhonpson Center,
Wichitarand several custom manufacturers of bolt acton
pistols. Therefore, we have no choce but to include the
above ammunition as armor piercng as tha tern s defned
n Public LAIf 99-408.
lile trust that he foregoing has been responsive to your
inqury. If we can be of any further assistance, please
The

contact us.

Sineerely,

ffi
cc:

coE
suRNA

Edward M. Owenr Jr.

Chief, Firearms Technology Branch
:

hp: L-I6-87

SAC RRA

b X6 )

Firearms

REVrn En

Div.

FEVIlWER

F&E

Operationsr Compliance
REVIlyER,

REVIEWEF

iEvrEwR

REVIEWER

DAIE
REP|-ACE5 ATF FORU 92

BUFaU OF

l9-t3l WHICH UAY l USEO

^XCL.

lQaAC@ a9 FlS8

'9.4. oFO: r985-46?-8t0

441

RIP

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f*.r,

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5(

ID

,W[

LE: F:TE

t
.t

Nov 2 0

1986

(re

of America
Division Sportinq Arms & Ammuntion
105 Stronehurst Court
Northvale, Neh Jersey 07647
Dynamit Nobel

o".'L,

This refers to your letter of Se ptember 22, 198 6. in

which
asked about the classi fcation of the W,
cartridges which are manufact ured by
ur quest ion concerns the recent ammendments
to the Gun Control Act which restrict armor piercing
ammunition.

Section 921(a)(17)(B) defines armor piereng ammuniton as:

The term armor piercing ammuniton means
projectile or projectile core which rnay bea
used in a handgun and which s construteo
entirely (excludinq the presence of traces
of other subsances) from one or a combinaton
of tungsten alloys, steel, iron, brass, bronze,
beryllium copper, or depleted uraniurn. Such
term does not include shotqun shot required
by federal or state environmental or gme
regulations for huntinq purposes, a franqible
projectile designed for target shootnq, a
projectile which the secretary finds is primarily
intended to be used for sportinq purposes,
. or any other projectile or projectIe core
which the secret,ary finds is intended to be
used in an oil and gas well erforating device.
Based on the information provided, the
(rc
is not constructed f rom one o the

re

in the above definition. Therefore

(re
, as submitted, is
rmor p erc ng anmun t on as def ned.
ft mus be pointed out that if the design or conslructon
'of the projectile is changed, this classif icat,ion is
subject to review.
s

the
not

CODE

suRNAIIE

b X6

REVIEWER

REVTEW

RVIWEF

nvlwE

FVIEWER

RVIEWER

ATE
ATF F T 32'.6 (E.75I
icPlcs ATF FOiM t

|tiTt

STHTCH HAY

lE

COFRESPONONSE APPROVALANO CLEARANCE

USED

443

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RIP

-?.-

(re

;I

l)o

7
o

n
xo

of thla correspondenca ls belnq frrovir3ed to

Check-l{ate nre eorrrny, tnc. llll Torei Square, ventur,
Californla 93003.
Je trust that the foregolng has baen resrionslve to your
inqulry. rf we can e of ny furher ssistncer niease
-.copy

eontaet ug.

Slneerely,

'o

P.

,f

r.{

H. \
Fl

OP
0, F.
Ff5

Elo

(,

U
l.
;<

Erlward ll. Ovren r Jr .

Chlef,, Fl.rearms lechnolocy Branch

iek ? llne 34
L.no
cc s Se PF Flrearrns Dlv.

444

RIP

7rl

/$0
DYNAMIT NOBEL OF AMERICA

Dtvtstoi spoRtilc ARlts & AHMUiilTtot{

I(l5 STONEHURST COURT
NoRTHVATE t{J.07617

Septedber

22,

L986

BTF

Federal Building
Washington, DC 20226
Att. Firearms Technology Branch
Basement 230

Gentlemen:

which
This nformation is n regard to the
t{ilo
is made by our colllpany, Dynanit Nobel .AG, !est cermany. It is distributed
to the civilian narket n the Unied Staes by Check Mae rms of

Ventura.

CA.

of Check llate rms spoke on the phone to special agent'

, regarding the classification of the cartrdge as beng or
arrpr piercing. This cartr idge was not designed to be armor
not be
piercing and, in fact, was designed to be a high exnnsion, low penetration
IOIGD)

IOICI)

round.
Some

of the

many

sporttng applications for this round are as folLows:

Target shooting where it is important. not to have.a feeding problem

as is often the case with conventional hollow polnt asnunition. This
tlpe of shootng is becoming much more popular. Target shooters also
prefer this round as 'in man! 9{M Pistols, it is one of the most
accurate rounds avalable. It has low recoil and cuts a very clean
sioilar
hole in the
targets
s makes
mueh easier.
Indoor tatget shooters prefer this rourd as there is less exrosed
lead to cause the discomfort and long-term, undesireable effects due
to aerial lead poisoning.
Sportsman ahd hunters have fOund this round to be highJ-y effective for
hunting snall and medirn-sizecl game with 9!lM pistole. nimals such as
coyote, javelira, jackrabbitr rrcoglrr opossum and feral dogs are usually
anchored with one shot, hits. We have heard from people litho have used
a Marlin carbine wth our 9!!! Action,/Safety round taking. deer at ranges
we flo not, recomend this cartrdge for what is
of 50 yards, although
llarge
gaErr usuaLly considered

445

RIP

To qlassify
performance
hunters and

this round as arr piercing, in light of its hghly desireabre

characteristics, lvoutd be to deny an excellent r"" to sportsmen,
target shooters.

It would.also be very negative when it j-s found out that various federal
agencies use what is classified as an aruor piercing round when the federal
agencies have worked for a long tine to establish high standards,in regard
to the protectj-on of innocent bystanders by using armnunition with contiolled
expansion features.
The Tresury Detrartment, especially the BTF, has set the standard for rnany
state, county and city rclice agencies to reduce the use of high-penetration
rounds. The highly effective 110 grain hollow point load which yur agents
use has become the defacto standard for many agrencies even as far away as
the California highway patrol.

is sending you by Federal- Er$)rss a sarnple box of ths

arununltlon. please let us knorp the status of our @
cartridge as soon as you finsh your testing. rf you need any additonal
technlcal infornaton, I have contacted the factory in west Germany and
they are sending the exact cornposit.ion of the bulret to me as soon as

check Mate rms

possible.

Thank you

for your cooperation

and we remain,

re

Yours

Sporting Arms and Annunition

PJ,/Ss

446

RIP

I
-

MATE ARMS CO.,lnc.

Hn Tower Sg. Ventura,Calif.gSooS odo-zggo

Special Agent Ed Owen

22 Sept 86

BATF

Firearms Technology Branch

Dea Sir:

This is to follow up my telecom of

the classification of the
armor piercing.

,L9

86, in regards to
cartridge as being

The design of the bullet is such that it is not armor piercing. This has
been confirmed by tests by us, various gun magazines and by
of the New Jersey State Police. One of the tests
@
for ammo for the NJSP was that the round must not be able to
penetrate the vests usually yorn by troopers on normal patrol. The
bullet did not pierce the vest. The ammo vas not selected due to the
price structure and the erratic delivery from Germany. A similar test
was repeated by
of the Ventura,
California
Dept, with the same results.

(re

In

regards to the sporting applications of the bullet, there are many.

Some of the more common are target shooting, especially raid fire
events where jams can not be tolerated. The hole the bullet cuts in
target paper is like that of a 38 wadcutter and that makes it easier to
score. With the Govt going to a 9mm for the Armed Forces, there is
increasing interest in target shooting with this caliber. This ound is
probably the least penetrating of any 9mm cartridge available on the
market, imported or domestic.

Hunters use this round for small and medium size game. The results
rre very good as one shot stops are more the rule than the exception.

Law Enforcement use of this round will dry up if the ammo is classed
as armor piercing. What Sheriff or Police Chief would want to be in a
position of confronting a lawyer in court when asked if the ammo
that he allows his officers to carry is considered to be armor piercing
by the US Govts BATF? I am afraid that the legal depts will opt for a
full metal case bullet and we will see an increase of injuries and

,,,l.v.tvt tl vtt,tE ., v1 t... Ytu, r, ,L:'lt.

vvvtt
^..Frlv:!,nn!r,L'!tfl;gf{H!s{!F2#t^^

utlt tlt r,ta tlvygll

447

RIP

fa? ei a..
MATE ARMS CO.rlnc.

1421 Tower Sg. Ventura, calif.g3003

possible death to innocent bystanders!

intent of the law was in this direction.

(aoo-289o

can not believe that the

is a sample box of ammo for your tests. please call me

have any questions.

Enclosed

b X6 )

if

you

[re

Check Mate

ttVMEtT tlrglrt
vs.tE att e.traraVga .'ftllfer
^.,F:!y,tly:^ylr'.!^2t7lt:,?^2i,"!*!!gr^{,!AF#*-^
^v.tv.tf

Yrtrgrtttra

448

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JAN 8 Iffi

(
Dear

(re

LE: F:TE:

3311.4

bX6)

This refers to your letter of November 13, Lgg2, in

which you chaltenge the language of the term rarmor
piercing anmuntionrr as defined in 18 U.S.C., chapter
44 S e21(a) (17) (B) .

In particular, you feel that the word rrentirelyil where

it exists within the definition should be supptanted by
the word rrsolidrr. Your suggestion is inf luenced by the
design of the 12mm cyrojet ammunition and your desire
to remove such anmunition from the purview of the armor
piercing classificaton. Although the Gyrojet
ammunition casing doubles as the projectile and is
hollow to acconmodate the propellant, it is constructed
entirely from steel. Therefore, the Gyrojet ammuntion
neets the definition of rrarmor piercing ammunitonrr as
defined in the above cited statute. The statutory
definition $ras dictated by congress and can only be
amended by further legislat,ion.
Irle trust the foregoing has been responsive to your
inquiry. If we can be of any further assstance, please
contact us.
Sincerely yours,

l5/
Edward M. Owen, Jr.
Chief, Firearms Technology

CODE
SUR-

NAME

flffio X 6

HEVIEWER

REVIEWEFI

Branch

REVIEWER

REVIEWER

DATE

ATF F1325.8A
REPLACES

('.T7)

106 EDITION WHICH

CORRESPONDENCE APPROVAL AND CLEARANCE

IS OESOLETE

BUREAU O

DEPARMENl OF H TFEASUFY
ALCOHOI TAbAGCO ANU FIHEAHMS

'U.g.OoY3lflnl Pilrhe

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t

LE:F:TE
FEB

(
Dear

22pS

311. 4

:W

b X6 )

This refers to your Letter of January 25, 1993, in

which you nquire about the classification of a
submitted sample of
et
that you propose
to nanufacture in

i:i:lil;':i
;i"";::jg$:":':"i:EiH"n:: fu
The nose of the projectiLe remained open

lapproximately

durins the fornins proces whih was latei

I|1!|I,)
closed by
.
The configuration of your projectile and the materials
used in the submitted sample do not constitute armor
piercng ammunition as that term is defned in
18 U.S.C., Chapter 44, S 921(a)(rz)(s). Please be
advised that this determination is based on the sarnple
as submitted. If the materials used are changed, this
cLassificaton is subject to review.
The submitted sample will be returned to you under
separate cover.

tle trust the foregoing has been responsive to your

inqury. If $re may be of any further assistance,
please contact us.
Sincerely yours,

/>l

lf. Oren, ilr.

Chief, Firearns Technology Branch
Edvard

CODE

SUR.
NAME
DATE

(b

m X6

REVlEWER

REVIEWER

TIEVIEWEFI

REVIEWEB

\
I

ATF F1325,6A -I4

CORHESPONDENCE APPROVALAND CLEARANCE
REPLACES 106 DITION WHlCH IS OBSOLETE

454

DEPAFTMENT OF THE TREASURY

BUREAU OF ALCOHOI. TOBACCO AND FIFEARMS
Cottrrr
Pdrilr
2-t@/18BAt
'u,S.

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PAGE(S) WTTHHELD rN FULL (WrF)

OR REFERRED TO ANOTHER AGENCY

f,wm
REF'ERRED TO:
Page

Number

457

Exemption (b)(1)
Exemption (bX2)
Exemption (b)(3)

Applicable Statute
Exemption
Exemption

(b)(a)
(b)(s) I
Deliberative Process Privilege

Applicable Privilege:

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Attorney Work Product
Exemption

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Exemption (b)(7)@)
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Duplicate

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String E-Mail
f nr.ofal in Tlr.manf

f,f
53

b X6 )

(
Dear

:n:fn:@[

10.

@reD

This refers to your J.etter of June 25, L992 in which

you request additonal infornation regarding the
classificaton of gyrojet ammunition.
Annuniton capabe of being used in a handgun and
having the projectIe or proJectile core composed of
plastc, aluminum, or a combination thereof, would not
consttute rrarmor piercing anmunitionrr as defined in 19
U.S.C. Chapter 44 sect,on gzL(a) (17 ) (B). It ould
constitrte trams\rrtitionrr as OefLne I n 19 U.S.C. Chapter
44 secton e2L(a) (rz) ().

utilizing gl-ding netal

(predominantly copper wth a small amount of zinc,
hence brass) for the projectile or projectile core
rould be classified as armor piercinq ammunition as
Handgun anrmunition

defined in the above cited statute.

Annuntion not capable of being used n a handgun and
having a projectile core composed. of steeI, such as
your proposed 14rnm ammunition, would not constitute
armor piercing annunition as defined in the above cited
statute.
We trust that the foregoing has been responsive to your
inquiry. If re can be of any further assistance,
please contact us.
Sincerely yours,

Edward !1. Owen

Chief, Firearms Technology Branch
REVIE:TYEB

CODE

SUB.
NAME

( tc

REVIEWER

REVIEWEB

REVIEWEFI

X eilxE

DATE

ATF FI3:IE.EA (4.f4

neir.a

EJaTiui

l;;

ESPONDENCE APPROVAL AND CLEARAI{CE

ASOLT;

DPARTMENT OF

IHE IFEAEURY

'Ut,Oililrrr ht| qh trl - eL?4lttt0

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ry
Hon.

Robert

Dounar

U.S. Courthouse
Norfolk, VA

: _Str-aw Pp_r-chass:s_
Change to Forn 4473 re straw purchases
FIREARMS

Feb. 1-5,

1991

2448

t-

Re the modlficatlon of TF Fom 4473 to facflftate the prosecution of persons

uaking lllegal rrstr purehasestt of fireams fron Federal firearns Lfcensees.
You suggest that the person aequrng the firearm be asked the questfon, "Are
you buying this weapon for your orn use?rl

lfhle the question you suggest rouLd faclftate the prosecutfon of persons
fvolved :ln straw purchases, lt could also mpede the lavrfuL purchase of a firear:m
by a person inending to nake a bona fide gift of a fiream to another petson.

to ctarify the rrWarningtt in the lnstructions

r the reverse side of the form relatlog to strar purchases. The revlsed warning
r111 read as follos: * * t *
The Bureau recently decded

Seel FIREARMS: Strar Purchases

FORMS: Forn 4473
t8 IIsc 922(a)(6)

468

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Subject:
RuJ-ing:
Date:

OOO2378

2,1481. O
19910215

uth: @

Keylord's:

Clrange to Fo:ur 4473 re stranr purctrase

Iiaw-Regs:

Firears:

Straw Purchases

ReLated' OSrinions:

18 usc

922

(al (6)

Srrmary:
Re the morification of IEF Fo:m 4473 to faci].itate the
prosecution of persons making iJ-I.egaf istras purcltases" of
firea:urs fron Federal. firear:ms J.icensees - Iou srrggest that, the
person acquiring the firea:nr be asked the question' r'.te yott

brrying ttris weaporr for yorrt owt tlse? rt

fhe Burealr recently

rrIarningr
on the
in
tle
instnrctions
to
cl.arify
ttre
decided
lrerse side of the fo:ut reJ-ating to straw purcfrases. rhe
revised. warning wilJ- read. as folJ.ovrs ' * * *

469

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'V)
2448

F$ rs Fg,

cc-39,425 rS:@

Honorable Robert G. Doumar

Unitedl tates Courthouse
600 Granby Street

NorfoIk, Virgina

23510

Dear .Tudge Doumr:

f)

This is in response to your letter suggesting the modification of ATF -^E-'or-g:{423*.to f acilitate the prosecution of
persons making LLegal "slf.qE_purchases"
of firearms from
eaerar f reaims I ensef,s . -**FireeitiC1fy, y=*lest that
the person acquiring the firearm be asked the queston, "Are
you buying this weapon for your o+n use?"
Because of the favotable body of case Lar that has developed
with respect to these illega1 frearms purchases. we have
been reluctant to actd such a question to the form. As you
knor the courts have affirmed. convictons of straw
purchasets for maklng false statments to licensees on Forms
4473 relative to the clentty of bhe brue purchasers of the
firearms n violaton of tg U.S.C. S 9?2_(a)(61 , as welL as
convictions of the actual purchasetTTiffifg antl abettng
the making of the false statements. S_e Untd tates v.
ortiz-Lova, 777 F.2cl 9?3 (5th Cr. L985).
flowever, ve have recognzed the need to modify the form to
make t more clear to the partes to the transaction tbat
the use of straw purchasers to acuire firearms violates the
l-aw. AccordngLy, the Bureau recently dlecided to clarify
the "Warning" in the instructions on he reverse sitle of the
form relating to straw purchases. The revised "tlarning"
wilL read as follows
licensee who knowingly sells or delivers a
frearm to a straw purchaser volates FederaL
frearms laws. A "straw purchase' ogcurs when
the actual buyer uses another person (the straw
purchaser) to execute an TF Form 4473 purporting
to show that the sraw purchaser is the actual

i
470

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"T*

I
24481

{D

-2Honorable Robert G. Doumar

buyer. Straw purchases also place the straw

purchaser and the actual buyet in vioLation of
Iaw. Although the actual buyer may be eIgbIe
to receive firearms, a straw purchase results n
the falsificatoa of the licenseeis records wth
respect to the identty of the actual buyer.
$Ie agree with your observation that the most dlirect approach
n ctealing wth the matter would be to include on the form a
queston to which the purchaser vould respond "Yes" or "No."
However, such a guestion could create further confusion or
impede lawful sales of firearms. While the question you
suggest ("Are you buying this r^repon for your own use?")
would facltate the prosecuton of perons nvolved in
straw Burchases, it could aLso impeile the lawful purchase of
a frearm by a person intending to make a bona fide gift of
the firearm to another person. Since the buyer is the true
purchaser of the firearm, his compLeton of Form 4473 wouLd
not volate section 922(a)(6) or otherwise result in the
falsification of the Icensee's records. In this regard,
the Congress recognized tht the law which bars dealers frorn
selling firearms to minors or juveniles would not BrecLude a
minor or juvenile from owning a firearm, since any frearm
r.vhich his parent or guardian desired him to have could be
obtained for the minor or juvenile by the parent or guardian.
S. Rep. No. 150L, 90th Cong., 2d Sess. 23-?4 (1968).
You may be interested ln knowing that some menbers of the
Congress have expressed an interest in arnendling the Gun
Control Act of 1968 to make t a specfc offense for a
person to acquire a firearm from a licensee on behalf of
another person.

apprecate your interest n this matter. Please contact

us if we can be of further assistance.
Sincerely yours,

We

lFs"c)

stophu

gr Erggtns

irector
:yky
#F..,
2/L3/9r

.1)

471

RIP

PAGE(S) WTTHHELD rN FULL (WrF)

46

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fwm
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Number

472-517

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Applicable Statute

(b)(a)

I
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Exemption

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Attorney WorkProduct
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Page

I of 113 DOCUMENTS
BRUCE JAMES ABRAMSKI, JR., Petitioner v. UNITED STATES
No. 12-1493
SUPREME COURT OF THE UNITED STATES
134 S. Ct. 2259t 189 L. Ed" 2d 262;2014 U.S. LEXIS 4170;82 U.S.L.W.
4495;24 Fla. L. Weekly Fed. S 859

January 22r2014, Argued

June 16,20l4,Decided

NOTICE:
The LEXIS pagination of this document is
subject to change pending release of the final
published version.

PRIOR HISTORY: [***l]

ON WRIT OF CERTIORARI TO THE
UNITED STATES COURT OF APPEALS
FOR THE FOURTH CIRCUIT
United States v. Abramski, 706 F.3d 307, 2013
U.S. App. LEXIS 1881 (4thCir. Va., 2013)

DISPOSITION: Affirmed.
DECISION:

I**262] Accused's misrepresentation--by

indicating, on federally required form, that accused was actual buyer of handgun--held (1)
material to sale's lawfulness under 18 U.^S.C.^S.
$ 922(a)(6); and (2) to concern information required to be kept by federally licensed hrearm
dealerunder I8 U.S.C.S. S 92a@)(1)(A).
SUMMARY:

Procedural posture: Defendant entered a

conditional guilty plea to violating /8 IS.C.,S.
$$922(a)(6) and 924(a)(t)(A) by making a
false statement on a frearms purchase form.
The United States Court of Appeals for the
Fourth Circuit affirmed defendant's convictions. The Supreme Court granted certiorari.

Overview: Defendant was accused of

falsely claiming on the gun purchase form that
he was the actual transferee/buyer of the handgun he was purchasing, when in fact he purchased the gun for his uncle. Defendant argued
that the misrepresentation was not material to
the lawfulness of the sale within the meaning of
$ 922(a)(6) not only because his uncle was legally eligible to own a gun, but also because
straw purchases were not illegal. The Supreme
Court granted certiorari in light of a split
among the circuits over the materiality requirement of $ 922()(6). The Court held that $
922, in regulating gun sales, looked through the
straw purchaser to the actual buyer. If the statute permitted straw purchases, identification
and background check provisions would evaluate mere conduits, and restrictions on sales to
hrrrrprc .rhn r{ir{ nnf anncor in nercnn nrl hp

519

RIF

Page 2
134 S. Ct. 2259,*;189 L. Ed. 2d262,**;
2014 U.S. LEXIS 4170,*x*;82 U.S.L.W. 4495

defeated. The misstatement was material even

though the uncle was eligible to own a gun, as
the sale could not have lawfully proceeded if
defendant had revealed he was a straw buyer.
Defendant also was properly convicted under $
92a@)(1)(A) because his false statement was
made on a form that the dealer was required to
retain in its records.

Outcome: The Fourth Circuit's judgment

was affirmed.5-4 Decision; 1 Dissent.
LA\ryYERS'
I**2631

EDITION

HEADNOTES:

Federal law has for over 40 years regulated

sales by licensed firearms dealers, principally
to prevent guns from falling into the wrong
hands. Gun Control Act of 1968, /8 U.^S.C.S. S
921 et seq. Under 18 US.C.^S. S 922(g), certain
classes ofpeople--felons, drug addicts, and the
mentally ill, to list a few--may not purchase or
possess any firearm. And to ensure they do not,
S 922(d) forbids a licensed dealer from selling
a gun to anyone it knows, or has reasonable
cause to believe, is such a prohibited buyer.
The focus of the federal schemeo in controlling
access to weapons, is the federally licensed
flrrearms dealer. (Kagan, J., joined by Kennedy,
Ginsburg, Breyer, and Sotomayor, JJ.)

WEAPONS AND FTREARMS $1.7

LICENSED DEALER -- BACKGROUND

CHECK -- FALSE STATEMENTS
Headnote:[1]

WEAPONS AND FTREARMS $1.7

Headnote:[2]

LICENSED DEALER -- LAWFULNESS

OF PURCHASE -- BACKGROUND CHECK

Before a federally licensed flrrearms dealer

may sell a gun, the would-be purchaser must
provide certain personal information, show
photo identification, and pass a background
check. To ensure the accuracy of those submissions, a federal statute imposes criminal penalties on any person who, in connection with a
firearm's acquisition, makes false statements
about any factmaterial to the lawfulness of the
sale. 18 tlS.C.S. S 922(a)(6). Regarding how
that law applies to a so-called straw purchaser--namely, a person who buys a gun on someone else's behalf while falsely claiming that it is
for himself--such a misrepresentation is punishable under the statute, whether or not the
true buyer could have purchased the gun without the straw. (Kagan, J., joined by Kennedy,
Ginsburg, Breyer, and Sotomayor, JJ.)

LICENSED DEALERS
BUYERS

WEAPONS AND FTREARMS $1.7

-- PROHIBITED

Headnote:[3]

The Gun Control Act of 1968 establishes a

detailed scheme to enable a dealer to veriff, at
the point of sale, whether a potential buyer may
lawfully own a gun. 18 U.,S.C.,S. $ 922(c)
brings the would-be purchaser onto the dealer's
"business premises" by prohibiting, except in
limited circumstances, the sale of a firearm to a
person who does not appear in person at that
location. Other provisions then require the
dealer to check and make use of certain identiffing information received from the buyer. Before completing any sale, the dealer must veriff
the identity of the transferee by examining a
valid identification document bearing a photograph. S 922(t)(1)(C). In addition, the dealer
must procure the buyer's name, age, and place
of residence. $. 922(b)(5). And finally, the
dealer must (with limited exceptions) submit
that information to the National Instant Background Check System to determine whether the
potential purchaser is for any reason disqualified from owning a firearm. S 922(t)(1)(A)-(B).
(Kagan, J., joined by Kennedy, Ginsburg,
Flrcrer and Snfnmarrnr TT \

520

RIF

Page 3
134 S. Ct. 2259,*;189 L. Ed.

2d262,**;

2014 U.S. LEXIS 4170,x**;82 U.S.L.\M.4495

I**2641
WEAPONS AND FTREARMS $1.7

DEALER -- SALES RECORDS -- IDENTIFICATION OF BUYER

not the actual buyer if you are acquiring the

firearm(s) on behalf of another person. If you
are not the actual buyer, the dealer cannot
transfer the firearm(s) to you. (Kagan, J., joined
by Kennedy, Ginsburg, Breyer, and Sotomayor,
JJ.)

Headnote:[4]
The Gun Control Act of 1968 insists that a
dealer keep certain records, to enable federal
authorities both to enforce the law's veriflrcation
measures and to trace firearms used in crimes.
A dealer must maintain a buyer's identiffing
information (i.e., name, age, and residence) in
its permanent files. 18 IS.C.S. $ 922)(5).ln
addition, the dealer must keep such records of
sale or other disposition of firearms as the Attorney General may by regulations prescribe.
18 U.S.C.S. S 923(g)(1)(A). And the Attorney
General (or his designee) may obtain and inspect any of those records, in the course of a
bona fide criminal investigation, to determine

the disposition of I or more firearms. $

923(g)(7). (Kagan, J., joined by Kennedy,
Ginsburg, Breyer, and Sotomayor, JJ.)
WEAPONS AND FTREARMS $1.7

SALE -- INFORMATION FROM BUYER

Headnote:[5]

To implement the statutory requirements of

the Gun Control Act of 1968, 18 I,S.C.,S. S 921
et seq., the Bureau of Alcohol, Tobacco, Firearms and Explosives has developedForm 4473
for gun sales. The part of that form to be completed by the buyer requests his name, birth
date, and address, as well as certain other identifring information (for example, his height,
weight, and race). The form further lists all the
factors disqualiffing a person from gun ownership, and asks the would-be buyer whether
any of them apply (e.g., "have you ever been
convicted of a felony?"). Question ll.a. asks:
Are you the actual transferee/buyer of the firearmls) listed on this form? Warnins: You are

WEAPONS AND FTREARMS $1.7

PURCHASE ACTUAL

TRANSFER-

EE/BUYER
Headnote:[6]

The accompanying instructions for Question 1l.a on the Bureau of Alcohol, Tobacco,
Firearms and Explosives' Form 4473 provide:
Question ll.a. Actual Transferee/Buyer: For
purposes of this form, you are the actual transferee/buyer if you are purchasing the firearm
for yourself or otherwise acquiring the firearm
for yourself. You are also the actual transfereelbuyer if you are legitimately purchasing the
firearm as a gift for a third party.ACTUAL

TRANSFEREE/BUYER EXAMPLES: MT.

Smith asks Mr. Jones to purchase a firearm for
Mr. Smith. Mr. Smith gives Mr. Jones the
money for the flrrearm. Mr. Jones is NOT THE
ACTUAL TRANSFEREE/BUYER of the fiTearm and must answer "NO" to question 11.a.
(Kagan, J., joined by Kennedy, Ginsburg,
Breyer, and Sotomyor, JJ.)

[**2651
WEAPONS AND FIREARMS $1.7

PURCHASE -- FALSE STATEMENT BY

CUSTOMER
Headnote:[7]

After responding to the questions on the

Bureau of Alcohol, Tobacco, Firearms and Explosives' Form 4473 for gun sales, a customer
must sign a certification declaring his answers
true, correct and complete. That certification
provides that the signator understands that
makins anv false statement resnectins the

521

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Page 4

134 S. Ct. 2259, *; 189 L. 8d. 2d 262, **;

2014 U.S. LEXIS 4170,***;82 U.S.L.W.4495

transaction--and, particularlyo answering "yes"

to question I 1.a. if he is not the actual buyer--is
a crime punishable as a felony under federal
law. (Kagan, J., joined by Kennedy, Ginsburg,
Breyer, and Sotomayor, JJ.)
WEAPONS AND FTREARMS $1.7

FALSE STATEMENTS BY CUSTOMER

-- CRIMINAL LIABILITY
Headnote:[8]

Two statutory provisions, each designed to

ensure that the dealer can rely on the truthfulness of the buyer's disclosures in carrying out
its obligations, criminalize certain false statements about firearms transactions. First and
foremost, 18 IS.C.^S. S 922(a)(6), provides as
follows: It shall be unlawful for any person in
connection with the acquisition or attempted
acquisition of any firearm or ammunition from
a licensed dealer knowingly to make any false
or fictitious oral or written statement, intended
or likely to deceive such dealer with respect to
any fact material to the lawfulness of the sale or
other disposition of such firearm or ammunition under the provisions of this chapter. That
provision helps make certain that a dealer will
receive truthful information as to any matter
relevant to a gun sale's legality. In addition, 18
U.^SC.S. S 92a)(I)(A) prohibits knowingly
making any false statement or representation
with respect to the information required by this
chapter to be kept in the records of a federally
licensed gun dealer. (Kagan, J., joined by Kennedy, Ginsburg, Breyer, and Sotomayor, JJ.)
WEAPONS AND FTREARMS $1.7

LICENSED DEALERS

-- PROHIBITED

PURCHASERS
Headnote:[9]
Federal gun law regulates licensed dealers'
transactions with "persons" or "transferees,"
without specifically referencing straw purchas-

ers. /8 U.^S.C.^S. S 922(d), for example, bars a

dealer from selling or otherwise disposing of a
firearm to any "person" who falls within a prohibited category--felons, drug addicts, the
mentally ill, and so forth. Section 922(b)(5)
provides that, before selling a gun to a "person," the dealer must take down his name, age,
and residence; S 922(t)(1) provides that, before
selling a gun to a "person," the dealer must run
a background check. Similarly, S 922(t)(l)(C)
requires the dealer to veri$r the identity of the
"transferee" by checking a valid photo ID. Section 922(c) spells out circumstances in which a
"transferee" may buy a gun without appearing
at the dealer's premises. (Kagan, J., joined by
Kennedy, Ginsburg, Breyer, and Sotomayor,
JJ.)

l**2661

STATUTES $80 STATUTES

$103.s

STATUTES $113 STATUTES $144.7

FIREARMS CONTEXT

STRUC-

TURE -- HISTORY -- PURPOSE

Headnote:[10]

The language of 18 tlS.C.^S. 922 merely

raises, rather than answers, the critical question: In a straw purchase, who is the "person"
or "transferee" whom federal gun law addresses? Is that "person" the middleman buying a
firearm on someone else's behalf (often because
the ultimate recipient could not buy it himselfl,
or wants to camouflage the transaction)? Or is
that "person" instead the individual really paying for the gun and meant to take possession of
it upon completion of the purchase? Is it the
conduit at the counter, or the gun's intended
owner? In answering that inquiry, a court must
(as usual) interpret the relevant words not in a
vacuum, but with reference to the statutory
context, structure, history, and purpose. All
those tools of divining meaning--not to mention
common sense, which is a fortunate (though
not inevitable) side-benefit of construing statufnrr fcn,rq feirk--dernnncfrafe +hc+ E Q)) in

522

RIF

Page

*; 189 L. Ed. 2d262, **;

2014 U.S. LEXIS 4170,***;82 U.S.L.W. 4495

134 S. Ct. 2259,

regulating licensed dealers' gun sales, looks

through the straw to the actual buyer. (Kagan,
J., joined by Kennedy, Ginsburg, Breyer, and

IDENTIFICATION

OF

BUYER

BACKGROTIND CF{ECK
Headnote:[13]

Sotomayor, JJ.)

The task under 18 U,S.C.,S. S 922 of verify-

STATUTES $113
CONTEXT
Headnote:[ 1]

A court should not interpret each word in a

statute with blinders on, refusing to look at the
word's function within the broader statutory
context. A provision that may seem ambiguous
in isolation is often clarified by the remainder
of the statutory scheme because only one of the
permissible meanings produces a substantive
effect that is compatible with the rest of the
law. (Kagan, J., joined by Kennedy, Ginsburg,
Breyer, and Sotomayor, JJ.)

JJ.)

WEAPONS AND FTREARMS $1.7

CUSTOMER'S

IDENTITY

ing whether a buyer is legally eligible to own a

firearm begins with identification--requesting
the name, address, and age of the potential
purchaser and checking his photo ID. $
922 (b) (5), (t) (1) (C). And that identiflrcation in
turn permits a background check: The dealer
runs the purchaser's name through the National
Instant Background Check System database to
discover whether he is, for example, a felon,
drug addict, or mentally ill person. S 922(d),
(t)(1). All those provisions are designed to accomplish Congress's principal purpose in enacting the statute--to curb crime by keeping
firearms out of the hands of those not legally
entitled to possess them. (Kagan, J., joined by
Kennedy, Ginsburg, Breyer, and Sotomayor,

BACK-

GROUND -- STRAW PURCHASES

l**2671
WEAPONS AND FTREARMS $1.7

Headnote:[12]

The Gun Control Act of 1968, 18 U,S.C.S.

S 921 et seq., establishes an elaborate system to
veriff a would-be gun purchaser's identity and
check on his background. It also requires that
the information so gathered go into a dealer's
permanent records. The twin goals of this comprehensive scheme are to keep guns out of the
hands of criminals and others who should not
have them, and to assist law enforcement authorities in investigating serious crimes. And no
part of that scheme would work if the statute
turned a blind eye to straw purchases--if in
other words, the law addressed not the substance of a transaction, but only empty formalities. (Kagan, J., joined by Kennedy, Ginsburg,
Breyer, and Sotomayor, JJ.)
WEAPONS AND FTREARMS $1.7

PURCHASE FROM AFAR -- ELIGIBIL-

ITY
Headnote:[14]

18 U.^S.C.S. $ 922(c) tightly restricts the

sale of guns to a person who does not appear in
person at the licensee's business premises. Only
a naffow class of prospective buyers may ever
purchase a gun from afar--primarily, individu-

als who have already had their eligibility to

own a firearm verified by state law enforcement officials with access to the National Instant Background Check System dafabase. 27
c.F.R. S 478.96(b) (2014), 18 u,S.C.,S. $
922(t)(3). And even when an individual fts
within that categov, he still must submit to the
dealer a sworn statement that he can lawfully
own a gun, as well as provide the name and
address of the principal law enforcement officer in his communitv I 9)7ft"1(lI The dealer

s23

RIF

Page 6
134 S. Ct. 2259,*;189 L. Ed. 2d262,**;
2014 U.S. LEXIS 4170,***i 82 U.S.L.W.4495

then has to forward notice of the sale to that

officer, in order to allow law enforcement authorities to investigate the legality of the sale
and, if necessary, call a stop to it. $.
922(c)(2)-(3). The provision thus prevents remote sales except to a small class of buyers
subject to extraordinary procedures--again, to
ensure effective verification of a potential purchaser's eligibility. (Kagan, J., joined by Kennedy, Ginsburg, Breyer, and Sotomayor, JJ.)
WEAPONS AND FTREARMS $1.7

DEALERS RECORD KEEPING

IDENTITY OF BUYER

All

the prerequisites for buying a gun under

the Gun Control Act of 1968, 18 U.S.C.^S. S 921
et seq., refer to a "person" or "transferee." Read
as "the man at the counter," those terms deny

effect to the regulatory scheme, as criminals

could always use straw purchasers to evade the
law. Read as "the man getting, and always
meant to get, the firearm," those terms give effect to the statutory provisions, allowing them
to accomplish their manifest objects. That alone
provides more than sufficient reason to understand "person" and "transferee" as referring not
to the fictitious but to the real buyer. (Kagan, J.,
joined by Kennedy, Ginsburg, Breyer, and Sotomayor, JJ.)

Headnote:[15]

The Gun Control Act

of

1968's record-keeping provisions would serve little purpose if the records kept were of nominal rather
than real buyers. Dealers must store, and law
enforcement officers may obtain, information

about

a gun buyer's identity. 18 U.,S.C.^S.

55922(b)(5), 923(g). That information helps to

fight serious crime. When police officers retrieve a gun at a crime scene, they can trace it
to the buyer and consider him as a suspect.
Too, the required records enable dealers to
identiff certain suspicious purchasing trends,
which they then must report to federal authorities. $ 923(9)(3) imposes a reporting obligation
when a person buys multiple handguns within
flrve days. But once again, those provisions can
serve their objective only if the records point to
the person who took actual control of the
gun(s). Otherwise, the police will at most learn
the identity of an intermediary, who could not
have been responsible for the gun's use and
might know next to nothing about the actual
buyer. (Kagan, J., joined by Kennedy, Ginsburg, Breyer, and Sotomayor, JJ.)
WEAPONS AND FTREARMS $1.7

REAL BUYER
TT^^-^+^.r1

a^vsv^rv!r.Lrvl

[**268]
WEAPONS AND FTREARMS $1.7

ACQUISITION

-- ACTUAL BUYER --

STRAW PURCHASER
Headnote:[17]

Language in 18 U.S.C.S.
922 evinces
Congress's concern with the practical realities,
rather than the legal niceties, of firearms trans-

actions. For example, $ 922(a)() itself bars

material misrepresentations in connection with
the acquisition, and not just the purchase, of a
firearm. That broader word does not focus on
"legal title"--let alone legal title for a few short
moments, until another, always intended transfer occurs. Instead, the term signifies coming
into possession, control, or power of disposal,
as the actual buyer in a straw purchase does.
Similarly, such a substance-over-form approach
draws support from the statute's repeated references to "the sale or other disposition" of a
firearm. $ 922(a)(6). Section 922(d) makes it
unlawful to "sell or otherwise dispose of' a gun
to a prohibited person. That term is aimed at
providing maximum coverage. Such expansive
language is inconsistent with a view of the statute that would stare myopically at the nominal
buyer while remaining blind to the person exitins the transaction with control of the sun.

524

RIF

Page 7
134 S. Ct. 2259,*;189 L. Ed.

2d262,**;

2014 U.S. LEXIS 4170,***;82 U.S.L.W. 4495

(Kagan, J., joined

by

Kennedy, Ginsburg,

Breyer, and Sotomayor, JJ.)

STATUTES $113

CONTEXT

-- CRIMINAL AND CIVI

PENALTIES
Headnote:[18]

The U.S. Supreme Court has emphasized

the need in contexts involving both criminal
and civil penalties to look through a transaction's nominal parties to its true participants.
The Court does no more than that in holding,
consistent with 18 tl,S.C..S. $ 922's text, structureo and pufpose, that using a straw does not
enable evasion of the firearms law. (Kagan, J.,
joined by Kennedy, Ginsburg, Breyer, and So-

tomayor, JJ.)
WEAPONS AND FTREARMS $1.7

DEALERS'

SALES

SECONDARY

For purposes of the Gun Control Act of

1968, 18 tlS.C.^S. S 921 et seq., the individual
who sends a straw to a gun store to buy a firearm is transacting with the dealer,.in every way
but the most formal; and that distinguishes such
a person from one who buys a gun, or receives
a gun as a gift, from a private party.The line
Congress drew between those who acquire
guns from dealers and those who get them as
gifts or on the secondary market, the U.S. Supreme Court suspects, reflects a host of things,
including administrative simplicity and a view
about where the most problematic firearm
transactions--like criminal organizations' bulk
gun purchases--typically occur. But whatever
the reason, the scarcity of controls in the secondary market provides no reason to gut the
robust measures Congress enacted at the point
of sale. (Kagan, J., joined by Kennedy, Ginsburg, Breyer, and Sotomayor, JJ.)
l*t2691
WEAPONS AND FIREARMS $1.7

MARKET
Headnote:[19]

Under the Gun Control Act of 1968, 18

tlS.C.S. S 921 et seq., Congress decided to
regulate dealers' sales, while leaving the secondary market for guns largely untouched.
Congress chose to make the dealer the principal
agent of federal enforcement in restricting
criminals' access to firearms. And that choice
(like pretty much everything Congress does)
was surely a result of compromise. But straw
arrangements are not a part of the secondary
market, separate and apart from the dealer's
sale. (Kagan, J., joined by Kennedy, Ginsburg,
Breyer, and Sotomayor, JJ.)
WEAPONS AND FTREARMS $1.7

DEALER

STRAW PLIRCFIASER

SECONDARY MARKET

CONTROLLED ACCESS
DEALER

--

LICENSED

Headnote:[21]
Whether a purchaser has transacted with a
licensed dealer is integral to the Gun Control
Act of 1968, 18 U.S.C.^S. S 921 et seq, because
the federal scheme controls access to weapons
through the federally licensed firearms dealer,
who is the principal agent of federal enforcement. In so designing the statute, Congress
chose not to pursue the goal of controlling access to guns to the nth degree; buyers can avoid
the statute's background check and record-keeping requirements by getting a gun
second-hand. But that possibil provides no
justification for limiting the statute's considered
regulation of dealer sales. (Kagan, J.,joined by
Kennedy, Ginsburg, Breyer, and Sotomayor,
JJ.)

Headnote:[20]
IIM
tt!ru

525

A DAT

vr\J

IIA

^rtv

FYNF
A DI
r nwattuvlJ

fO

c1

y1.,t
RIF

Page 8
134 S. Ct. 2259,*;189 L. Ed.

2d262,**;

2014 U.S. LEXIS 4170,***;82 U.S.L.W.4495

STRAW PURCHASERS -- SECONDARY

MARKET

test. (Kagan, J., joined by Kennedy, Ginsburg,

Breyer, and Sotomayor, JJ.)

Headnote:1221

Congress's amendment of 18 U.^S.C.S. $

922(d) says nothing about $ 922(a)(6)'s application to straw purchasers. In enacting that
amendment, Congress left $ 922(a)(/ just as it
was, undercutting any suggestion that Congress
somehow intended to contract that provision's
reach. The amendment instead performed a
different function: Rather than ensuring that a
licensed dealer receives truthful information, it
extended a minimal form of regulation to the
secondary market. The revised $ 922(d) prevents a private person from knowingly selling a
gun to an ineligible owner no matter when or
how he acquired the weapon: It thus applies not
just to a straw purchaser, but to an individual
who bought a gun for himself and later decided
to resell it. At the same time, $ 922(d) has
nothing to say about a raft ofcases $ 922(a)(6)
covers, including all the (many) straw purchases in which the frontman does not know that
the actual buyer is ineligible. Thus, S 922(d)
could not serve as an effective substitute for $

922(a)(6). And the mere potential for some

transactions to run afoul of both prohibitions

gives no cause to read S 922(d) as limiting $
922(a)(6) (or vice versa). (Kagan, J., joined by
Kennedy, Ginsburg, Breyer, and Sotomayor,

WEAPONS AND FIREARMS $1.7

LAWFTILNESS OF SALE

.. IDENTITY

OF PURCHASER

Headnote:[24]

The information Question 11.a on the Bureau of Alcohol, Tobacco, Firearms and Explosives'Form 4473 rcquests--"are you the actual
transferee/buyer?" or, put conversely, "are you
acquiring the firearm(s) on behalf of another
person?"--is relevant to the lawfulness of a gun
sale. That is because the firearms law contemplates that the dealer will check not the fictitious purchaser's but instead the true purchaser's identity and eligibility for gun ownership.
By concealing that another person is the actual
buyer, a straw purchaser prevents the dealer
from transacting with the other person
face-to-face, l8 U.S.C.S. $ 922(c), recording
his name, age, and residence, $ 922)(5), inspecting his photo ID, $ 922(t)(1)(C), submitting his identiffing information to the background check system, S 922(t)(1)(B), and determining whether he was prohibited from receiving a flrrearm, S 922(d). (Kagan, J., joined
by Kennedy, Ginsburg, Breyer, and Sotomayor,
JJ.)

JJ.)

**2701
WEAPONS AND FIREARMS $1.7

STATUTES $183

DEALER

CONSTRUCTION -- LENITY
Headnote:[23]
The rule of lenity applies only if, after considering text, structure, history and purpose,
there remains a grievous ambiguity or uncertainty in the statute such that the court must
simply guess as to what Congress intended.
Whether the statute's text, taken alone, permits
a naffower construction is not the appropriate

RECORD KEEPING

IDENTITY OF PURCHASER
Headnote:[25]

The federal gun law makes the dealer the

principal agent of federal enforcement. It is
that highly regulated, legally knowledgeable
entity, possessing access to the expansive National Instant Background Check System database, which has the responsibility to ensure
that. in the course of sales or other disnositions.

526

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Page 9
134 S. Ct. 2259,*;189 L. Ed. 2d262,**;
2014 U.S. LEXIS 4170,***;82 U.S.L.W. 4495

weapons are not obtained by individuals whose

possession of them would be contrary to the
public interest. Nothing could be less consonant
with the statutory scheme than placing that inquiry in the hands of an unlicensed straw purchaser, who is unlikely to be familiar with federal firearms law and has no ability to use the
database to check whether the true buyer may
own a gun. And in any event, keeping firearms
out of the hands of criminals is not 18 U,S.C.,S.
$ 922's only goal: The statute's record-keeping
provisions are also designed to aid law enforcement in the investigation of crime. A limitation on $ 922(a)(6) when a straw purchase
was made on behalf of someone who could legally own a firearm would undercut that purpose because many would-be criminals remain
legally eligible to buy firearmso and thus could
use straws to purchase an endless stream of
guns off-the-books. (Kagan, J., joined by Kennedy, Ginsburg, Breyer, and Sotomayor, JJ.)

STATUTES $162.7

CONSTRUCTION -- CRIMINAL STATUTE -- GOVERNMENT'S READING

Headnote:[26]

Criminal laws are for courts, not for the

government, to construe. The U.S. Supreme
Court has never held that the government's
reading of a criminal statute is entitled to any
deference. Whether the government interprets a
criminal statute too broadly or too narrowly, a

court has an obligation to correct its error.

(Kagan, J., joined by Kennedy, Ginsburg,
Breyer, and Sotomayor, JJ.)
WEAPONS AND FTREARMS $1.7

PURCHASE FROM DEALER -- FALSE

STATEMENT

to the information required by the chapter to be

kept in the records of a federally licensed dealer. That provision is broader than 18 tlS.C.^S. $
922(a)(6) in one respect: It does not require
that the false statement at issue be "material" in
any way. At the same time, S 92a@)(1)(A) includes an element absent from $ 922(a)(6): The
false statement must relate to information required by the chapter to be kept in a dealer's
records. (Kagan, J., joined by Kennedy, Ginsburg, Breyer, and Sotomayor, JJ.)

l**27r7
WEAPONS AND FTREARMS $1.7

LICENSED DEALER
DISPOSITION

RECORDS OF

Headnote:[28]
For purposes of 18 IS.C.S. $ 92a)(1)(A),
included in "this chapter" --Chapter 44 of Title
18--is a provision requiring a dealer to maintain
such records of sale, or other disposition of
firearms at his place of business for such period, and in such form, as the Attorney General
may by regulations prescribe. 18 tl,S.C.,S. $.
923(g)(1)(A). Because of that statutory section,

the information that the Attorney General's

regulations compel a dealer to keep is information "required by this chapter." And those
regulations demand that every licensed dealer
retain as a part of its required records, each
Bureau of Alcohol, Tobacco, Firearms and Explosives Form 4473 obtained in the course of
selling or otherwise disposing of a firearm. 27
C.F.R. S 478.124(b). Accordingly, a false answer on that form pertains to information a
dealer is statutorily required to maintain. (Kagan, J.,joined by Kennedy, Ginsburg, Breyer,
and Sotomayor, JJ.)

WEAPONS AND FTREARMS $1.7

Headnote:[27]

18 U.S.C.S. S 92a)(1)(A) prohibits knowingly making any false statement with respect

--

DEALER

IDENTIFICATION

OF

BUYER

527

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Page l0
134 S. Ct. 2259,*;189 L. Ed.

2d262,**;

2014 U.S. LEXIS 4170,***;82 U.S.L.W. 4495

Question 11.a. on the Bureau of Alcohol,

Tobacco, Firearms and Explosives' Form 4473
is not ultra vires, but instead fundamental to the
lawfulness of a gun sale. It is, indeed, part and
parcel of the dealer's determination of the (true)
buyer's name, age, and place of residence,
which 18 I,S.C.^S. S 922(b)(5) requires the
dealer to keep. (Kagan, J., joined by Kennedy,
Ginsburg, Breyer, and Sotomayor, JJ.)
WEAPONS AND FTREARMS $1.7

LICENSED DEALER

-- IDENTITY OF

PIJRCHASER
Headnote:[30]

No piece of information is more important

under federal firearms law than the identity of a
gun's purchaser--the person who acquires a gun
as a result of a transaction with a licensed deal-

er. (Kagan, J., joined by Kennedy, Ginsburg,

Breyer, and Sotomayor, JJ.)

SYLLABUS

l**2721 [*22611 Petitioner

Bruce

Abramski offered to purchase a handgun for his

uncle. The form that federal regulations required Abramski to fill out (Form 4473) asked
whether he was the "actual transferee/buyer" of
the gun, and clearly warned that a straw purchaser (namely, someone buying a gun on behalf of another) was not the actual buyer.
Abramski falsely answered that he was the actual buyer. Abramski was convicted for knowingly making false statements "with respect to
any fa material to the lawfulness of the sale"
of a gun, 18 U. S. C. $922(a)(6), and for making a false statement "with respect to the information required . . . to be kept" in the gun
dealer's records, S92a@)(1)(A). The Fourth
Circuit affirmed.

Held:
1. Abramski's misrepresentation is material

::1":.s:3?@@.Pp.

tle

---,

L. Ed- 2d'

(a) Abramski contends that federal gun

laws are entirely unconcerned with straw arrangements: So long as the person at the counter is eligible to own a gun, the sale to him is
legal under the statute. To be sure, federal law
regulates licensed dealer's transactions with
"persons" or "transferees" without lt'<x{'2]
specifuing whether that language refers to the
straw buyer or the actual purchaser. But when
read in light of the statute's context, structure,
and purpose, it is clear this language refers to
the true buyer rather than the straw. Federal
gun law establishes an elaborate system of
in-person identification and background checks
to ensure that l*22621 guns are kept out of the
hands of felons and other prohibited purchasers. S$922(c), 922(t). It also imposes record-keeping requirements to assist law enforcement authorities in investigating serious
crimes through the tracing of guns to their buyers. 922(b)(5), 923(g). These provisions
would mean little if a would-be gun buyer
could evade them all simply by enlisting the aid
of an intermediary to execute the paperwork on
his behalf. The statute's language is thus best
read in context to refer to the actual rather than
nominal buyer. This conclusion is reinforced by
this Court's standard practice of focusing on
practical realities rather than legal formalities
when identifying the parties to a transaction.
Pp. _
/89 L. Ed.2d, at 276-284.
(b) Abramski argues more naffowly that his
false response was not material because his uncle could have legally bought a gun for himself.
[*x*3] But Abramski's false statement prevented the dealer from insisting that the true
buyer (Alvarez) appear in person, provide identi$ing information, show a photo ID, and submit to a background check. 55922(b), (c), (t).
Nothing in the statute suggests that these legal
duties may be wiped away merely because the
actual buyer turns out to be legally eligible to
own a gun. Because the dealer could not have
lawfully sold the gun had it known that
Abramski was not the true buyer, the misstate-

s28

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Page 1l
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2d262,**;

2014 U.S. LEXIS 4170,***;82 U.S.L.W.4495

ment was material to the lawfulness of the sale.

Pp.
, 189 L. Ed. 2d, at 284-285.

_-

2. Abramski's misrepresentation about the

identity of the actual buyer concerned "information required by [Chapter 44 of Title 18 of
the United States Codel to be kept" in the dealer's records. Sg2a(d(l)(A). Chapter 44 contains
a provision requiring a I**273] dealer to
as the Attorney
"maintain such records .
General may . . . prescribe." S923((I)(A). The
Attomey General requires every licensed dealer
to retain in its records a completed copy of
Form 4473, see 27 CFR 5478.124(b), and that
form in turn includes the "actual buyer" question that Abramski answered falsely. Therefore,
falsely answering a question on Form 4473 violates $92a@(1)(A). [*{'*4] Pp. _ ,
189 L. Ed. 2d, at 285-286.
706

D. Dietz argued

how that law applies to a so-called straw purchaser--namely, a person who buys a gun on
someone else's behalf while falsely claiming
that it is for himself. We hold that such a misrepresentation is punishable under the statute,
whether or not the true buyer could have purchased the gun without the straw.

I
A

[**LEdI.2] [2] Federal law has for over

40 years regulated sales by licensed firearms
dealers, principally to prevent guns from

into the

F. 3d 307, affirmed.

COUNSEL: Richard

any person who, in connection with a firearm's

acquisition, makes false statements about "any
fact material to the lar,vfulness of the sale." 18
U. S. C. $922(a)(6).In this case, we consider

wrong [{'{'*5]

falling

hands. See Gun Control

Act of 1968, 18 U. S. C. $921 et seq. Under

the

cause for petitioner.

Joseph R. Palmore argued the cause for respondent.

JUDGES: Kagan, J., delivered the opinion of

the Court, in which Kennedy, Ginsburg, Breyer, and Sotomayor, JJ., joined. Scalia, J., filed a
dissenting opinion, in which Roberts, C. J., and
Thomas and Alito, JJ., joined.
OPINION BY: KAGAN
OPINION
Justice Kagan delivered the opinion of the
Court.

[**LEdHRl] [1] Before a federally li-

censed flrrearms dealer may sell a gun, the

would-be purchaser must provide certain personal information, I*22631 show photo identification, and pass a background check. To
ensure the accuracy of those submissions, a
ferferal sfahrte imnoces c.riminal nenalties on

5922(g), certain classes of people--felons, drug

addicts, and the mentally ill, to list a few--may
not purchase or possess any flrrearm. And to
ensure they do not, $922(d) forbids a licensed
dealer from selling a gun to anyone it knows, or
has reasonable cause to believe, is such a prohibited buyer. See Huddleston v. United States,
415 U.5.814,825,94 S. Ct. 1262,39 L. Ed.2d
782 (1974) ("[T]he focus of the federal
scheme," in controlling access to weapons, "is
the federally licensed firearms dealer").

[**LEdF.3] t3l The statute establishes a

detailed scheme to enable the dealer to veriff,
at the point of sale, whether a potential buyer
may lawfully own a gun. Section 922(c) brings
the would-be purchaser onto the dealer's "business premises" by prohibiting, except in limited
circumstances, the sale of a firearm "to a person who does not appear in person" at that location. Other provisions then require the dealer
to check and make use of certain identiffing
information received from the buyer. Before
completing any sale, the dealer must "verifly]
the identity of the transferee by examining a
f'lliC idgntifiCltl3l r{norrmcntrr hoo.ino o nhn529

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Page 12
134 S. Ct. 2259,*;189 L. Ed. 2d262,**;
2014 u.s. LEXrs 4170,**x. 82 u.s.L.w.4495

tograph. 5922(t)(1)(C). In addition, [{*'r'<6] the

dealer must procure the buyer's "name, age, and
place of residence." 922(b)(5). And finally,
the dealer must (with limited exceptions
I**2741 not at issue here ') submit that information to the National Instant Background
Check System (NICS) to determine whether the
potential purchaser is for any reason disquali-

fied from owning a firearm.

any of them apply (e.g., "[h]ave you ever been

convicted . . . of a felony?"). Id., at l. Most
important here, Question 1 1.a. asks (with
bolded emphasis appearing on the form itself):

"Are you the actual transfereelbuyer of the firearm(s) listed on

this form? Warning: You are not
the actual buyer if you are ac-

See

quiring the firearm(s) on behalf

ofanother person. Ifyou are not

sse22(t)(1)(A)-(B).

I The principal exception is for any

buyer who has a state permit that has
been "issued only after an authorized
government official has verified" the
buyer's eligibility to own a gun under
both federal and state law.5922(t)(3).
[x*LEdHR4] [a] The statute further insists
that the dealer keep certain records, to enable
federal authorities both to enforce the law's
veriflrcation measures and to trace firearms used
in crimes. See H. R. Rep. No. 1577, 90th
Cong., 2d Sess., 14 (1968). A dealer must
maintain the identiffing information mentioned
above (i.e., name, Ea, and residence) in its
permanent files. See 5922(b)(5). In addition,
the dealer must keep "such records of . . . sale[
] or other disposition of firearms . . . as the Attorney General may by regulations prescribe."
5923(g)(1)(A). And the Attorney General (or
his designee) may obtain and [*{<x7] inspect
any of those records, "in the course of a bona
fide criminal investigation," to "determin[e] the
disposition of I or more fltrearms." $923(9)(7).

[**LEdHR5] t5l To implement all those

statutory requirements, the Bureau of Alcohol,
Tobacco, Firearms and Explosives (ATF) developed Form 4473 for gun sales. See Supp.
I*22641 App. 1-6. The part of that form to be
completed by the buyer requests his name, birth
date, and address, as well as certain other identifying information (for example, his height,
weight, and race). The form further lists all the
factors disqualiffing a person from gun owna.oLin

.nrl

^clo tho..'ntrl.l-ko

htt.tor

r'hcther

the actual buyer, the

dealer
cannot transfer the firearm(s) to
yoa." Ibid.

[**LEdHR6] [6] The accompanying instructions for that question provide:

"Question 11.a. Actual TransfereelBuyer: For purposes of this
form, you [{'{'{<8] are the actual
transferee/ buyer if you are purchasing the firearm for yourself or
otherwise acquiring the firearm for
yourself . . . . You are also the actual transfleree/buyer if you are legitimately purchasing the firearm
as a gift for a third party. ACTU-

AL

TRANSFEREE/BUYER
EXAMPLES: Mr. Smith asks Mr.
Jones to purchase a ftrearm for Mr.
Smith. Mr. Smith gives Mr. Jones
the money for the firearm. Mr.
Jones is NOT THE ACTUAL
TRANSFEREE/BUYER of the
firearm and must answer "NOtt to
question 11.a." Id., aI4.

[**LEdHRT] [7] After responding to this

and other questions, the customer must sign a
certification declaring his answers "true, correct
and complete." Id., at 2. That certiflrcation provides that the signator "understand[s] that
rnalring ln;' f:rlse . . . st:tenent" respecting the
530

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Page 13

2259,*i 189 L. Ed. 2d262,**;

2014 U.S. LEXIS 4170,***) 82 U.S.L.\M. 4495
134 S. Ct.

transaction--and, particularly, "answering'yes'

to question 11.a. if [he is] not the actual buyer"--is a lt*2751 crime "punishable as a felony under Federal law." Ibid. (bold typeface
deleted).

[**LEdHRS] [8] Two statutory provisions,

each designed to ensure that the dealer can rely
on the truthfulness of the buyer's disclosures in
carrying out its obligations, cminalize certain
false statements about firearms transactions.
First and foremost, $922(a)(6), [***9] provides as follows:
"It shall be unlawful . . . for any
person in connection with the acquisition or attempted acquisition
of any hrearm or ammunition from
[a licensed dealer] knowingly to
make any false or fictitious oral or
written statement . . ., intended or
likely to deceive such [dealer] with
respect to any fact material to the
lawfulness of the sale or other disposition of such firearm or ammunition under the provisions of this
chapter."

That provision helps make certain that a

dealer will receive truthful information as to
any matter relevant to a gun sale's legality. In
addition, S92a@)(1)(A) prohibits "knowingly
mak[ing] any false statement or representation
with respect to the information required by this
chapter to be kept in the records" ofa federally
licensed gun dealer. The question in this case is
whether, as the ATF declares in Form 4473's
certification, those statutory provisions criminalize a false ansver to Question 11.a.--that is,
a customer's statement that he is the "actual
transferee/buyer," purchasing a firearm for
himself, when in fact he is a straw purchaser,
buying the gun on someone else's behalf.
B

The petitioner here is Bruce Abramski, a

former police [***10] officer who offered to
buy a Glock 19 handgun for his uncle, Angel
Alvarez. (Abramski thought he could get the
gun for a discount by showing his old l*22651
police identification, though the Government
contends that because he had been fired from
his job two years earlier, he was no longer authorized to use that card.) Accepting his nephew's offer, Alvarez sent Abramski a check for
$400 with "Glock 19 handgun" written on the
memo line. Two days later, Abramski went to
Town Police Supply, a federally licensed firearms dealer, to make the purchase. There, he
filled out Form 4473, falsely checking "Yes" in
reply to Question ll.a.--that is, asserting he
was the "actual transferee/ buyer" when, according to the form's clear definition, he was
not. He also signed the requisite certification,
acknowledging his understanding that a false
answer to Question 11.a. is a federal crime.
After Abramski's name cleared the NICS background check, the dealer sold him the Glock.
Abramski then deposited the $400 check in his
bank account, transferred the gun to Alvarez,
and got back a receipt. Federal agents found
that receipt while executing a search warrant at
Abramski's home after he became a suspect in a

different [*t*l 1] crime.

A grand jury indicted Abramski for violating $$922(o)(6) and 92a@)(1)(A) by falsely
affirming in his response to Question

ll.a. that

he was the Glock's actual buyer. Abramski

moved to dismiss both charges. He argued that
his misrepresentation on Question I l.a. was not
"material to the lawfulness of the sale" under
$ 9 2 2 (a) (6) because Alv ar ez was legally eli gible
to own a gun. And he claimed that the false
statement did not violate S92a@(1)(A) because
a buyer's response to Question I 1.a. is not "re-

quired

to be kept in the records" of

l**2761 a gun dealer. After the District Court

denied those motions, see 778 F. Supp. 2d 678
(WD Va. 2011), Abramski entered a conditional
guilty plea, reserving his right to challenge the
ruiilgs. Tirc Disrrisr Cuurt rcl scnrcnued iliul
53r

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2014 U.S. LEXIS 4170,***;82 U.S.L.W. 4495

to five years of probation on each count, running concurrently.

The Court of Appeals for the Fourth Circuit
affirmed the convictions. 706 F. 3d 307 (2013).
It noted a division among appellate courts on
the question Abramski raised about
5922(a)(6)'s materiality requirement: Of three
courts to have addressed the issue, one agreed
with Abramski that a misrepresentation on
Question I 1.a. is immaterial if "the true purchaser [**x12] [here, Alvarcz] can lawfully
purchase a firearm directly." Id., at 315 (quoting United States v. Polk, 118 F. 3d 286, 295
(CAs 1997)). ' The Fourth Circuit, however,
thought the majority position correct: "[T]he
identity of the actual purchaser of a firearm is a
constant that is always material to the lawfulness of a firearm acquisition under $922(a)(6)."
706 F. 3d, at 316. The court also held that
Abramski's conviction under $92a@)(1)(A) was
valid, finding that the statute required a dealer
to maintain the information at issue in its records.Id., at 317.

Compare Polk, 118 F. 3d, at

294-295, with United States v. Morales,
687 F. 3d 697, 700-701 (CA6 2012) (a
misrepresentation about the true purchaser's identity is material even when he
can legally own a gun); United States v.
Frazier, 605 F. 3d 1271, 1279-1280
(CAL12010) (same).
We granted certiorari, 571 U. S._, 134 S.
Ct. 421, 187 L. Ed. 2d 278 (2013), principally
to resolve the Circuit split about $922(a)(6).In
this Court, Abramski renews his claim that a
false answer to Question 11.a. is immaterial if
the true buyer is legally eligible to purchase a
firearm. But Abramski now focuses on a new
and more ambitious argument, which he concedes no court has previously [t<ti'13] accepted. See Brief for Petitioner i. ' In brief, he
I*22661 alleges that a false response to Question 1 l.a. is never material to a gun sale's legalitv" whether or not the actual buyer is elisible

to own a gun. We begin with that fundamental

question, next turn to what has become

Abramski's back-up argument

under

$922(a)(6), and finally consider the relatively

easy question pertaining to $92a@)(1)(A)'s
separate false-statement prohibition. On each
score, we affirm Abramski's conviction.

3 Reflecting that prior consensus, neither of Abramski's principal amici--the

National Rifle Association and a group
of 26 States--joins Abramski in making
this broader argument. They confine
themselves to supporting the more limited claim about straw purchases made
on behalf of eligible gun owners, addressed infra, at
, 189 L. Ed.
2d, at 284-285.

il
Abramski's broad theory (mostly echoed by
the dissent) is that federal gun law simply does
not care about arrangements involving straw
purchasers: So long as the person at the counter
is eligible to own a gun, the sale to him is legal
under the statute. That is true, Abramski contends, irrespective of any agreement that person
has made to purchase the firearm on behalf of
someone else--including [*{'{'14] someone
who cannot lawfully buy or own a gun himself.
Accordingly, Abramski concludes, his "false
statement that he was the [Glock 19's] 'actual
buyer,"' as that term was "defined in Question
1 1.a., was not material" --indeed, was utterly
irrelevant--"to the lawfulness of the sale." Id.,
at 31 (emphasis deleted); see also post, at
,
189 L. Ed. 2d, at 288 (opinion of Scalia, J.). In
essence, he l**2771 claims, Town Police
Supply could legally have sold the gun to him
even if he had truthfully answered Question

11.a. by disclosing that he was

straw--because, again, all the federal firearms

law cares about is whether the individual
standing at the dealer's counter meets the requirements to buy a gun.4

s32

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2014 U.S. LEXIS 4170,***;82 U.S.L.V/.4495

The dissent reserves the question

whether the false statement would be
material if the straw purchaser knew that
the true buyer was not eligible to own a
firearm. Post, at
, n. 2, 189 L. Ed. 2d,
at 289. But first, that reservation is of
quite limited scope: Unlike Abramski's
back-up argument, which imposes liability whenever the true purchaser cannot
legally buy a gun, the dissent's reservation applies only when the straw has
knowledge of (or at least reasonable
cause to believe) that fact. And as we
will later noteo straws often do not have
[***15] such knowledge. See infra, at
, 189 L. Ed. 2d, at 279-280.
Second, the reservation (fairly enough
for a reservation) rests on an uncertain
legal theory. According to the dissent, a

straw buyer might violate $922(a)(6) if a

dealer's sale to him aids and abets his violation of $922(d)--a provision barring
knowingly transferring a gun to an ineligible person, see infra, at
189 L. Ed. 2d, at 276, 282-283. But that
reasoning presupposes that a firearms
dealer acting in the ordinary course of
business can ever have the intent needed
to aid and abet a crime--a question this
Court reserved not six months ago. See
Rosemond v. United States, 572 U. S.
, 134 S. Ct. 1240, 188 L. Ed. 2d 248,
262 n. I (2014).

At its core, that argument relies on one true

fact: [**LEdHR9] t9l Federal gun law regu-

lates licensed dealers' transactions with "persons" or "transferees," without specifically referencing straw purchasers. Section 922(d), for
example, bars a dealer from "sell[ing] or otherwise dispos[ing] of' a firearm to any "person"
who falls within a prohibited category-- felons,
drug addicts, the mentally ill, and so forth. See
189 L. Ed.2d, at 273-274;
supra, at _
see also 5922(b)(5) (before selling a gun to a
"person," the dealer must take down his name,
age, arrd rcsiciclr;c); $922(l(i) (ircitrre sciiing

[{'.**16] a gun to a "person," the dealer must

run a background check). Similarly,
922(t)(I)(C) requires the dealer to verif,i the
identity of the "transferee" by checking a valid
photo ID. See supra, ot
, 189 L. Ed. 2d, at
273; see also $922(c) (spelling out circumstances in which a "transferee" may buy a gun
without appearing at the dealer's premises).
Abramski [*22671 contends that Congress's

use of such language alone, sans any mention

of "straw purchasers" or "actual buyers," shows
that "[i]t is not illegal to buy a gun for someone
else." Brief for Petitioner l5-16; Reply Brief 1;
189 L. Ed. 2d, at
see also post,
287-289.

at

But

[**LEdHR1O] [10] that language

merely raises, rather than answers, the critical

question: In a straw purchase, who s the "person" or "transferee" whom federal gun law addresses? Is that "person" the middleman buying
a firearm on someone else's behalf (often because the ultimate recipient could not buy it
himself, or wants to camouflage the transaction)? Or is that "person" instead the individual
really paying for the gun and meant to take
possession of it upon completion of the purchase? Is it the conduit at the counter, or the
gun's intended owner? ' In answering that inquiry, we must (as usual) interpret the relevant
l**2781 words not [{'{'*17] in a vacuum, but
with reference to the statutory context, "structure, history, and purpose." Maracich v. Spears,
570 U. ^S. ,
, 133 S. Ct. 2191, 186 L. Ed.
2d 275, 298 (2013). All those tools of divining
meaning--not to mention common sense, which
is a fortunate (though not inevitable)
side-benefit of construing statutory terms fairly--demonsfrate that 5922, in regulating licensed dealers' gun sales, looks through the
straw to the actual buyer. u

5 The dissent claims the answer is easy

because "if I give my son $10 and tell
him to pick up milk and eggs at the store,
no English speaker would say that the
srurc 'sciis' riro rniik and cggs ro II.
533

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2014 U.S. LEXIS 4170,***;82 U.S.L.W. 4495

Post,

at ,

/89 L. Ed.2d, at 288.But

try a question more similar to the one the

gun law's text raises: If I send my brother

to the Apple Store with money and instructions to purchase an iPhone, and
then take immediate and sole possession
of that device, am I the "person" (or
"transferee") who has bought the phone
or is he? Nothing in ordinary English
usage compels an answer either way.
6 Contrary to the dissent's view, our
analysis does not rest on mere "purpose-based arguments." Post. at
, 189
L. Ed. 2d, at 290. We simply recognize
thaf [*tLEdHRll] [11] a court should
not interpret each word in a statute with
blinders on, refusing [t**18] to look at
the word's function within the broader
statutory context. As we have previously
put the point, a "provision that may seem
ambiguous in isolation is often clarified
by the remainder of the statutory scheme
. . . because only one of the permissible
meanings produces a substantive effect
that is compatible with the rest of the
law." Unted Sav. Assn. of Tex. v. Timbers of Inwood Forest Associates, Ltd.,
484 U. S. 365, 371, 108 S. Ct.626,98 L.
Ed. 2d 740 (1988).

The overarching reason is that Abramski's

reading would undermine--indeed, for all important purposes, would virtually repeal--the
gun law's core provisions. ' As noted earlier,
[**LEdI.I?] Il2l the statute establishes an
elaborate system to veriff a would-be gun purchaser's identity and check on his background.
See supra, at
, 189 L. Ed. 2d, at 273. It also
requires that the information so gathered go
into a dealer's permanent records. See supra, at
L. Ed. 2d, at 274. The twin
_________, 189
goals of this comprehensive scheme are to keep
guns out of the hands of criminals and others
who should not have them, and to assist law
enforcement authorities in investigating serious
crimes. See Huddleston, 415 U. 5., at 824, 94
S. Cr. i2u2,39 L. Ed. 2 762; supru, ut _-

189

L. Ed. 2d, at 273-274.

no part of that scheme would work

[xttl9]

And

if the statute

tumed a blind eye to straw purchases--if, in

other words, the law addressed not the substance of a transaction, but only empty formalities.

That reading would also, at a stroke,

declare unlawful a large part of what the
ATF does to combat gun trafficking by
criminals. See Dept. of Treasury, Bureau
of Alcohol, Tobacco & Firearms, Following the Gun: Enforcing Federal Laws
Against Firearms Traffickers, p. xi (June
2000) (noting that in several prior years
"[a]lmost half of all [ATF firearm] trafficking investigations involved straw
purchasers").

To see why, consider what happens in a

typical straw purchase. A felon or other
*2268] person who cannot buy or own a gun
still wants to obtain one. (Or, alternatively, a
person who could legally buy a firearm wants
to conceal his purchase, maybe so he can use
the gun for criminal purposes without fear that
police officers will later trace it to him.) Accordingly, the prospective buyer enlists an intermediary to help him accomplish his illegal
aim. Perhaps he conscripts a loyal friend or
family member; perhaps more often, he hires a
stranger to purchase the gun for a price. The
actual purchaser might [{'*{'20] even accompany the straw to the gun shop, instruct him
which firearm to buy, give him the money to
pay at the counter, and take possession as they
walk out the door. See, e.g., United States v.
Bowen, 207 Fed. Appx. 727, 729 (CA7 2006)
(describing a straw purchase along those lines);
United States v. Paye, 129 Fed. Appx. 567, 570
(CAIL 2005) (ter curiam) (same). What the
true buyer would not do--what he would leave
to the straw, who possesses the gun for all of a
minute--is give his identi$ing information
l**2791 to the dealer and submit himself to a
background check. How many of the statute's
pruvisions does riur sucnariu--rirc iawiui rcsuir
534

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2014 U.S. LEXIS 4170,***;82 U.S.L.W. 4495

of Abramski's (and the dissent's) reading of

"transferee" and "person"--render meaningless?
Start with [**LEdHRl3] [13] the parts of
$922 enabling a dealer to veriff whether a
buyer is legally eligible to own a firearm. That
task, as noted earlier, begins with identification--requesting the name, address, and age of
the potential purchaser and checking his photo
ID. See 55922(b)(5), (t)(I)(C); supra, at ,
189 L. Ed. 2d, at 273. And that identification in
turn permits a background check: The dealer
runs the purchaser's name through the NICS
database to discover whether he is, for example, a felon, [***217 drug addict, or mentally
ill person. See $$922(d), (t)(1); supra, at ,
189 L. Ed. 2d, at 273. All those provisions are
designed to accomplish what this Court has
previously termed Congress's "principal purposerr in enacting the statute--"to curb crime by
keeping 'firearms out of the hands of those not
legally entitled to possess them."' Huddleston,
415 U. 5., at 824, 94 S. Ct. 1262, 39 L. Ed. 2d
782 (quoting S. Rep. No. 1501, 90th Cong., 2d
Sess. 22 (1968). But under Abramski's reading, the statutory terms would be utterly ine
fectual, because the identification and background check would be of the wrong person.
The provisions would evaluate the eligibility of
mere conduits, while allowing every criminal
(and drug addict and so forth) to escape that
assessment and walk away with a weapon.

Similarly, Abramski's view would defeat

the point

of

[**LEdHRl4] [14] $922(c),

which tightly restricts the sale of guns "to a

person who does not appear in person at the
licensee's business premises." See supra, at

, 189 L. Ed. 2d, at 273. Only a narrow class

of prospective buyers may ever purchase a gun
from afar--primarily, individuals who have already had their eligibility to own a firearm verified by state law enforcement officials with
access to the NICS database. See 27 CFR
s478.96(b) (2014), l***22f 18 U. S. C.
5922(t)(3); n. I, supra. And even when an individual fits within that category" he still must

submit to the dealer a sworn statement that he

can lawfully own a gun, as well as provide the
name and address of the principal law en-

forcement officer in his commun. See

f922(c)(1). The dealer then has to forward notice of the sale to that officer, in order to allow
law enforcement authorities to investigate the
legal of the sale and, if necessary, call a stop
to it. See 55922(c)(2)-(3). The provision thus
prevents remote sales except to a small class of
buyers subject to extraordinary procedures--again, to ensure effective verification of
a potential purchaser's eligibility. Yet on
Abramski's view, a person could easily bypass
the scheme, purchasing a gun without ever
leaving his home by [*2269] dispatching to a
gun store a hired deliveryman. Indeed, if
Abramski were right, we see no reason why
anyone (and certainly anyone with
less-than-pure motives) would put himself
through the procedures laid out in $922(c):Deliverymen, after all, are not so hard to come by.

And likewise, [**LEdHR15] [15] the statute's record-keeping provisions would serve
little purpose if the records kept were of nominal rather [*{<*23] than real buyers. As noted
earlier, dealers must store, and law enforcement
officers may obtain, information about a gun
buyer's identity. See $$922 (b)(5), [**280]
923(9); supra, et
, 189 L. Ed. 2d, at 274.
That information helps to fight serious crime.
\Mhen police officers retrieve a gun at a crime
scene, they can trace it to the buyer and consider him as a suspect. See National Shooting
Sports Foundation, Inc. v. Jones, 716 F. 3d
200, 204,405 U.S. App. D.C. 18 (CADC 2013)
(describing law enforcement's use of firearm
tracing). Too, the required records enable dealers to identify certain suspicious purchasing
trends, which they then must report to federal
authorities. See $923(9)(3) (imposing a reporting obligation when a person buys multiple
handguns within five days). But once again,.
those provisions can serve their objective only
if the records point to the person who took acruai cunu'ui oi rc gul(s). drcrwise, rire poiice
535

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2014 U.S. LEXIS 4170,***;82 U.S.L.W. 4495

testimony to suggest that ATF once

briefly held that extreme view of the
statute, it agrees that by at least 1979
(well over three decades ago), ATF recognized the unlawfulness of straw pur-

will at most leam the identity of an intermediary, who could not have been responsible for
the gun's use and might know next to nothing
about the actual buyer. See, e.9., United States
v. Juarez, 626 F. 3d 246, 249 (CAS 2010)
(straw purchaser bought military-style assault

rifles, later found among Mexican

gang

I***24f members, for a buyer known "only as

'El Mano"'). Abramski's view would thus render the required records close to useless for
aiding law enforcement: Putting true numbskulls to one side, anyone purchasing a gun for
criminal purposes would avoid leaving a paper
trail by the simple expedient of hiring a straw.

To sum up so far: [**LEdHRl6] [16] All

the prerequisites for buying a gun described
above refer to a "person" or "transferee." Read
Abramski's way ("the man at the counter"),
those terms deny effect to the regulatory
scheme, as criminals could always use straw
purchasers to evade the law. * Read the other
way ("the man getting, and always meant to
get, the firearm"), those terms give effect to the
statutory provisions, allowing them to accomplish their manifest objects. That alone provides more than sufficient reason to understand
"person" and "transferee" as referring not to the
fictitious but to the real buyer.

The dissent is mistaken when

it

says

that the ATF's own former view of the

statute refutes this proposition. See posf,
at - 189 L. Ed.2d, at 292-293.
As we will later discuss, see nfra, at _
189 L. Ed. 2d, at 285, the ATF for
a time thought that $922(a)(6) did not
cover cases in which the true purchaser
could have legally purchased l***251 a
gun himself. But Abramski's principal
argument extends much further, to cases
in which straws buy weapons for criminals, drug addicts, and other prohibited
purchasers. For the reasons just stated,
that interpretation would render the statute all but useless. And although the dissenr appcais ro a snipper oi colgrcssiulai

chases on behalf of prohibited persons.

And other [**LEdHRLT] llTl language in

$922 conftms that construction, by evincing
Congress's concem with the practical realities,
rather than the legal niceties, of firearms transactions. For example, $922(a)() itself bars
material misrepresentations "in connection with
the acquisition," and not just the purchase, of a
firearm. That broader word, we have previously
held, does not focus on "legal title"--let alone
legal title for a few short moments, until another, always intended transfer occurs. l*22701
Huddleston, 415 U. 5., at 820, 94 S. Ct. 1262,
39 L. Ed. 2d 782. Instead, the term signifies
"com[ing] into possession, control, or power of
disposal," as the actual buyer in a straw purchase does. [***267 lbid. Similarly, we have
reasoned that such a substance-over-form approach draws support from the stafute's repeated [**281] references to "the sale or other
disposition" of a firearm. $922(a)(6); see
5922(d) (making it unlawful to "sell or otherwise dispose of' a gun to a prohibited person)..
That term, we have stated, "was aimed at
providing maximum coverage." Id., at 826-827,
94 S. Ct. 1262, 39 L. Ed. 2d 782. 'We think such
expansive language inconsistent with
Abramski's view of the statute, which would
stare myopically at the nominal buyer while
remaining blind to the person exiting the transaction with control of the gun.

Finally, our reading of $922 comports with

courts' standard practice, evident in many legal
spheres and presumably known to Congress, of
ignoring artiflrce when identifying the parties to
a transaction. In United States v. One 1936
Model Ford V-8 Delwe Cosch, Commercial
Credit Co., 307 U. S. 219, 59 S. Ct. 861, 83 L.
Ed. 1249 (1939), for example, we considered
the operation ofa statute requiring forfeiture of

s36

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2014 U.S. LEXIS 4170,***;82 U.S.L.W. 4495
134 S. Ct.

any interest in property that was used to violate

if acquired in good
faith. There, a straw purchaser had bought a car
in his name but with his brother's money, and
transferred it to the brother--a known I***271
bootlegger--right after driving it off the lot. See
id., at 222-223, 59 S. Ct. 861, 83 L. Ed. 1249.
The Court held the finance company's lien on
the car non-forfeitable because the company
had no hint that the straw was a straw--that his
brother would in fact be the owner. See d., at
224, 59 S. Ct. 861, 83 L. Ed. I249.But had the
company known, the Court made clear, a different result would have obtained: The company could not have relied on the formalities of
the sale to the "'straw'purchaser" when it knew
that the "real owner and purchaser" of the car
was someone different. Id., at 223-224, 59 S.
ct. 861, 83 L. Ed. 1249. [**LEdHRl8] [18]
We have similarly emphasized the need in other contexts, involving both criminal and civil
penalties, to look through a transaction's nominal parties to its true participants. See, e.g.,
American Needle, Inc. v. National Football
League, 560 U. S. 183, i,93, 130 S. Ct. 2201,
176 L. Ed. 2d 947 (2010) (focusing on "substance rather than form" in assessing when entities are distinct enough to be capable of conspiring to violate the antitrust laws); Gregory v.
Helverng, 293 U. S. 465, 470, 55 S. Ct 266, 79
L. Ed. 596 (1935) (disregarding an intermediary shell corporation created to avoid taxes because doing otherwise would "exalt artifice
above reality"). We do no more than that here
in holding, consistent with $922's text,
[{<**'28] structureo and purpose, that using a
straw does not enable evasion of the firearms
law.

prohibition laws, except

Abramski, along with the dissent, objects

that such action is no circumvention--that Congress made an intentional choice, born of "political compromise," to limit the gun law's
compass to the person at the counter, even if
merely acting on another's behalf. Reply Brief
Il; post, at _
189 L. Ed. 2d, at
291-292. s cvidencc, abrarruki stas riur rc

statute does not regulate beyond the initial

point of sale. Because the law mostly addresses
sales made by licensed dealers, a purchaser can
(within wide limits) subsequently decide to resell his gun to another private pafty.See Reply
Brief 11. And similarly, Abramski says, a purchaser can buy a gun for someone else as a gift.
See Brief for Petitioner 26-27, n. 3. Abramski
lumps in the same category the transfer of a
gun from a nominal to a real buyer--as something, like a later resale or gift, meant l**282]
to fall outside the statute's urported) standing-in-front-othe-gun-dealer [*227 I] scope.
See Reply Brief 13; see alsopost, at _
189 L. Ed.2d, at 290-291.

But Abramski and the dissent draw the

wrong conclusion from their observations about
resales and gifts. Yes, [*tLEdHRlg] [19]
Congress decided to regulate dealers' sales,
***291while leaving the secondary market for
guns largely untouched. As we noted in Huddleston, Congress chose to make the dealer the
"principal agent of federal enforcement" in "restricting [criminals'] access to flrrearms." 415 U.
5., at 824, 94 S. Ct. 1262, 39 L. Ed. 2d 782.
And yes, that choice (like pretty much everything Congress does) was surely a result of
compromise. But no, straw arrangements are
not a part of the secondary market, separate and
apart from the dealer's sale. In claiming as
much, Abramski merely repeats his mistaken
assumption that the "person" who acquires a
gun from a dealer in a case like this one is the
strawo rather than the individual who has made
a prior arrangement to pay for, take possession
of, own, and use thatpart of the dealer's stock.
For all the reasons we have already given, that
is not a plausible construction of a statute
mandating that the dealer identify and run a
background check on the person to whom it is
(really, not fictitious selling a gun. See szpra, at
_, 189 L. Ed. 2d, at 277-281.
[**LEdHR2O] [20] The individual who sends a
straw to a gun store to buy a firearm is transacting with the dealer, in every way but the
rlust iunnai; arrd rirar riisrirrguisiles suuir a pcr537

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2014 U.S. LEXIS 4170,***;82 U.S.L.W.4495

son from one who buys a gun, or receives a gun

[{'{'*30] as a gift, from a private party. ' The

line Congress drew between those who acquire
guns from dealers and those who get them as
gifts or on the secondary market, we suspect,
reflects a host of things, including administrative simplicity and a view about where the most
problematic firearm transactions--like criminal
organizations' bulk gun purchases--typically
occur. But whatever the reason, the scarcity of
controls in the secondary market provides no
reason to gut the robust measures Congress enacted at the point of sale.

The dissent responds: "That certainly

distinguishes" the individual transacting
with a dealer through a straw from an individual receiving a gun from a private
partyt "so would the fact that [the former] has orange hait." Post, at
, i,89
L. Ed. 2d, at 29I.But that is an example
of wit gone wrong. Whether the purchaser has orange hair, we can all agree, is
immaterial to the statutory scheme. By
contrast, [**LEdHR2l] [21] whether
the purchaser has transacted with a licensed dealer is integral to the statute--because, as previously noted, "the
federal scheme controls access to
weapons" through the federally licensed
firearms dealer, who is "the principal
agent of federal enforcement.u Huddlestonv. United States, 415 U. S. 814, 824,
825, 94 S. Ct. 1262, 39 L. Ed. 2d 782
(197a); [*{'<*31] see supra, at , 189
L. Ed. 2d, at 282. In so designing the
statute, Congress chose not to pursue the
goal of "controll[ing] access" to guns to
the nth degree; buyers can, as the dissent
says, avoid the statute's background
check and record-keeping requirements
by getting a gun second-hand. But that
possibility provides no justification for
limiting the statute's considered regulation of dealer sales.

Abramski claims further support for his argument from Congress's decision in 1986 to
amend 922(d) to prohibit a private party (and
not just, as originally enacted, a licensed dealer) from selling a gun to someone he knows or
reasonably should know cannot legally possess
one. See Firearm Owners' Protection Act,
$102(5XA), 100 Stat. 451-452. According to
Abramski, the revised 5922(d) should be understood as Congress's exclusive response to
the potential [**283] dangers arising from
straw purchases. See Brief for Petitioner 26-27.
The amendment shows, he claims, that "Congress chose to address this perceived problem
in a way other than" by imposing liabil under
5922(a)(6) on a straw who tells a licensed
dealer that he is the flrrearm's actual buyer. Reply Brief 14,n.2.

l*22721 But [**LEdHR22] [22] Congress's amendment of $922(d) says nothing

[xx*32] about $922(a)(6)s application to straw
purchasers. In enacting that amendment, Congress left 5922(a)(6) just as it was, undercutting
any suggestion that Congress some-how intended to contract that provision's reach. The
amendment instead performed a different function: Rather than ensuring that a licensed dealer
receives truthful information, it extended a
minimal form of regulation to the secondary
market. The revised 5922(d) prevents a private
person from knowingly selling a gun to an ineligible owner no matter when or how he acquired the weapon: It thus applies not just to a
straw purchaser, but to an individual who
bought a gun for himself and later decided to
resell it. At the same time, 5922(d) has nothing
to say about a raft of cases $922(a)(6) covers,
including all the (many) straw purchases in
which the frontman does not know that the actual buyer is ineligible. See supra, at , 189
L. Ed. 2d, at 280. Thus, 5922(d) could not
serve as an effective substitute for $922(a)(6).
And the mere potential for some transactions to
run afoul of both prohibitions gives no cause to
read $922(d) as limiting $922(a)(6) (or vice
vcrsa). See, e.g., JniLed Srurcs v. Butcheider,
538

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2l

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2014 U.S. LEXIS 4170,***;82 U.S.L.W.4495

442 U. S. ll4, 118-126,99 S. Ct.2198,60 L.

Ed. 2d 755 (1979).,

10 Nor [x**33] do we agree with the

dissent's argument (not urged by
Abramski himself) that the rule of lenity
_

defeats our construction. See posf, at

189
Ed. 2d, at 293-294.
[**LEdHR23] l23l That rule, as we have

L.

repeatedly emphasized, applies only if,

"after considering text, structure, history
and purpose, there remains a grievous
ambiguity or uncertainty in the statute
such that the Court must simply guess as
to what Congress intended." Maracich v.
Spears, 570 U. ,S ,
, 133 S. Ct.
2191, 186 L. Ed. 2d 275, 298 (2013))
(quoting Bai,ber v. Thomas, 560 U.S.
474,488, 130 S. Ct.2499, 177 L. Ed.2d
I (2010)). We are not in that position
here: Although the text creates some ambiguity, the context, structure, history,
and purpose resolve it. The dissent would
apply the rule of lenity here because the
stafute's text, taken alone, permits a narrower construction, but we have repeatedly emphasized that is not the appropriate test. See, e.g., Muscarello v. United
States, 524 U. S. 125, 138, 118 S. Ct.
I9II, l4I L. Ed. 2d 111 (1998); Smithv.
United States, 508 U. S. 223, 239, I13 S.
cL 2050, 124 L. Ed.2d 138 (1993).

Abramski's principal attack

on

his
$922(a)(6) conviction therefore fails. Contrary
to his contention, [**LEdHR24] 241the information Question 11.a. requests--"[a]re you
the actual transferee/buyer[?]" or, put conversely, "are [you] acquiring the firearm(s) on
behalf [*{'*34] of another person[?]"--is relevant to the lawfulness of a gun sale. That is because, for all the reasons we have given, the
firearms law contemplates that the dealer will
check not the fictitious purchaser's but instead
the true purchaser's identity and eligibil for
gun ownership. By concealing that Alvarez was
ritc auruai buyer, brarnski prcvcurcci rire ciaier

from transacting with Alvarcz face-to-face, see

$922(c), recording his name, age, and residence, see $922)(5/, inspecting his photo ID,
see $922(t)(l)(C), submitting his identifying
information to the background check system,
see $922(t)(1)(B), and determining whether he
was prohibited from receiving a firearm, see
5922(d). In sum, Abramski thwarted application of essentially all of the [**284] firearms
law's requirements. We can hardly think of a
misrepresentation any more material to a sale's
legality.

ilI
Abramski also challenges his 9922(a)(6)
conviction on a narrower ground. For purposes
of this argument, he assumes that the Government can make its case when a straw hides the
name of an underlying purchaser who is legally
ineligible to own a gun. But, Abramski reminds
us, that is not true here, because Alvarcz
l*22731 could have bought [*{'<*35] a gun for
himself. In such circumstances, Abramski
claims that a false response to Question 11.a. is
not material. See Brief for Petitioner 28-30.
Essentially, Abramski contends, when the hidden purchaser is eligible anyway to own a gun,
all's well that ends well, and all should be forgiven.

But we think what we have already said

shows the fallacy of that claim: Abramski's
false statement was material because had he
revealed that he was purchasing the gun on

Al-

varez's behalf, the sale could not have proceeded under the law--even though Alvarcz
turned out to be an eligible gun owner. The
sale, as an initial matter, would not have complied with $922(c)'s restrictions on absentee
purchases. See supra, at _
189 L. Ed.
2d, at 279. If the dealer here, Town Police
Supply, had realized it was in fact selling a gun
to Alvarez, it would have had to stop the transaction for failure to comply with those conditions. Yet more, the sale could not have gone
forward because the dealer would have lacked

539

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Page 22

134 S. Ct. 2259,

the information needed to verit/ and record

Alvarez's identity and check his background.

be less consonant with the statutory scheme

than placing that inquiry in the hands of an un-

$$922)(s), (t)(I)(B)-(C); supra, ot _ , 189 L. Ed. 2d, at 278-279. Those require-

licensed straw purchaser, who is unlikely to be

familiar with federal firearms law and has no
ability to use the database to check whether the
true buyer may own a gun. And in any event,
keeping firearms out of the hands of criminals
is not $922's only goal: The statute's record-keeping provisions, as we have said, are
also designed to aid law enforcement in the investigation of crime. See supra, at _
189 L. Ed. 2d, at 273-274, 279-280.
Abramski's proposed limitation on $922(a)(6)
would undercut that purpose because many
would-be criminals remain legally eligible to
buy firearms, and thus could use straws to purchase an endless stream of guns off-the-books.
See, e.g., Polk, 118 F. 3d, at 289 (eligible gun
buyer used straw purchasers [*x*38] to secretly accumulate an "arsenal of l*2274]
weapons" for a "massive offensive" against the

See

ments, as we have explained, pertain to the real

buyer; and the after-the-fact [**{'36] discovery that Alvarez would have passed the background check cannot somehow wipe them
away. Accordingly, had Town Police Supply
known Abramski was a straw, it could not have
certiflred, as Form 4473 demands, its belief that
the transfer was "not unlawful." Supp.App. 3.

An analogy may help show the weakness of

Abramski's argument. Suppose a would-be
purchaser, Smith, lawfully could own a gun.
But fuither suppose that, for reasons of his
own, Smith uses an alias (let's say Jones) to
make the purchase. Would anyone say "no
harm, no foul," just because Smith is not in fact
a prohibited person under 5922(d)? We think
not. Smith would in any event have made a
false statement about who will own the gun,
impeding the dealer's ability to carry out its legal responsibilities. So too here.

Abramski objects that because Alvarcz

could own a gun, the statute's core purpose--"keeping guns out of the hands" of criminals and other prohibited persons--"is not even
implicated." Brief for Petitioner 29. But that
argument (which would apply no less to the
alias scenario) misunderstands the way the
statute works. As earlier noted, [**LEdHR25]
[25] the federal gun law makes the dealer "[t]he
principal agent of federal enforcement."
[t**37] Huddleston, 415 U. 5., at 824, 94 S.
Ct. 1262, 39 L. Ed. 2d 782, see supra, et -_____189 L. Ed. 2d, at 282.It is that highly regulated, legally knowledgeable ent, possessing
access to the expansive NICS database, which
has the responsibility to "[e]nsure that, in the
course of sales or other dispositions . . ., weapons [are not] obtained by individuals whose
possession of them would be contrary to the
public [**285] interest." 415 U. 5., at 825,
94 S. Ct. 1262, 39 L. Ed. 2d 782. Nothine could

Federal Government).

In addition, Abramski briefly notes that un1995, the ATF took the view that a straw
purchaser's misrepresentation counted as material only if the true buyer could not legally
possess a gun. See Brief for Petitioner 7-8; n. 8,
supro. We may put aside that ATF has for almost two decades now taken the opposite position, after reflecting on both appellate case law
and changes in the statute. See Tr. of Oral Arg.
4l; Brady Handgun Violence Prevention Act of
1993, $103, 107 Stat. 1541 (codified at 18 U. S.
C. 5922(t)). The critical point is that
[**LEdHR26][26] criminal laws are for courts,
not for the Government, to construe. See, e.g.,
United Stotes v. Apel, 571 U. S. _, 134 S. Ct.
1144, 188 L. Ed. 2d 75, 83 (2014) ("[V]e have
never held that the Government's reading of a
criminal statute is entitled to any deference").
We think ATF's old position no more relevant
than its current one--which is to say, not relevant at all. Whether the Government interprets
a criminal statute too broadly (as it sometimes
does) or too narrowly (as the ATF used to in
uutrsuuirrg 5922(u)(o)), a sourL ius al uiriiga-

til

540

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tion to coffect its error. [{'*{'39] Here, nothing

suggests that Congress--the entity whose voice
does matter--limited its prohibition of a straw
purchaser's misrepresentation in the way
Abramski proposes.

ry

censed dealer "retain. . as apaft of[its] required records, each Form 4473 obtained in the

course of' selling or otherwise disposing of a

firearm. 27 CFR 5478.124(b). Accordingly, a
false answer on that form, such as the one
Abramski made, pertains to information a dealer is statutorily required to maintain. "

Finally, Abramski challenges his conviction

[**LEdHR27] 271 $92a@)(1)(A),
which prohibits "knowingly mak[ing] any false
statement . . . with respect to the information
required by this chapter to be kept in the records" of a federally licensed dealer. That provision is broader than $922(a)(6) in one respect:
It does not require that the false statement at
issue be "material" in any way. At the same
Iime, 5924(a)(1)(A) includes an element absent
ftom $922(a)(6): The false statement must relate to "information required by this chapter to
be kept in [a dealer's] records." Abramski notes
that the indictment in this case charged him
with only one misrepresentation: his statement
in response to Question ll.a. that he was buying the Glock on his own behalf rather than on
someone else's. And, he argues, that information (unlike the transferee's "name, age, and
place of residence," which he plausibly reads
the indictment as not mentioning) was not required "by this chapter"--but only by Form
4473 itself--to be kept in the dealer's permanent
[x{<*40] records. Brief for Petitioner 32.

11

under

[**286] We disagree.

[xxLEdHR2S]

[28] Included in "this chapter"--Chapter 44 of

Title 18--is a provision, noted earlier, requiring
a dealer to "maintain such records of . . . sale,
or other disposition of firearms at his place of
business for such period, and in such form, as
the Attorney General may by regulations prescribe." 5923(g)(1)(A); supra, qt
, i,89 L.
Ed. 2d, at 274. Because of that statutory section, the information that the Attorney General's regulations compel a dealer to keep is information "required by this chapter." And those
regulations (the validity of which Abramski
does not here contest) demand that every li-

The dissent argues that our view

would impose criminal liability for

false answer even to an "ultra vires question," such as "the buyer's favorite color."
Post, at
, 189 L. Ed. 2d, at 295. We
need not, and do not, opine on that hypothetical, because it is miles away from
this case. [***411 As we have explained, see supra at _
189 L.
Ed. 2d, at 277-284, [**LEdHR29l129]
Question 11.a. is not ultra vires, but instead fundamental to the lawfulness of a
gun sale. It is, indeed, part and parcel of
the dealer's determination of the (true)
buyer's "name, age, and place of residence," which 5922(b)(5) requires the
dealer to keep. That section alone would
justiff Abramski's conviction under
S92a)(1)(A) if the indictment here had
clearly alleged that, in addition to answering Question 11.a. falsely, he lied
about that buyer's "name, age, and place
of residence."

[*2275] V
[**LEdHR30] [30] No piece of information is more important under federal firearms law than the ident of a gun's purchaser--the person who acquires a gun as a result of

a transaction with a licensed dealer. Had

Abramski admified that he was not that purchaser, but merely a straw--that he was asking
the dealer to veriS the identity of, and run a
background check on, the \/rong individual--the sale here could not have gone forward.
That makes Abramski's misrepresentation on
Question 11.a. material under $922(a)(6). And
bc!,ausc rar sLarcurcnl peruainer,i ur ilionnaliorr
s4t

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that a dealer must keep in its permanent records

under the firearms law, Abramski's answer to
Question 11.a. also l***42f violated

S92a)(1)(A). Accordingly,

we affirm the

judgment of the Fourth Circuit.

It

is so ordered.

DISSENT BY: SCALIA

DISSENT
Justice Scalia, with whom The Chief Justice, Justice Thomas, and Justice Alito join,
dissenting.

Bruce Abramski bought a gun for his uncle

from a federally licensed gun dealer, using

money his uncle gave him for that purpose.
Both men were legally eligible to receive and
possess firearms, and Abramski transferred the

gun to his uncle at a federally licensed gun

dealership in compliance with state law. When
buying the gun, Abramski had to fill out Form
4473 issued by the Bureau of Alcohol, Tobacco, Firearms, and Explosives (ATF). In response to a question on the form, Abramski affirmed that he was the "actual/transferee buyer"
ofthe gun, even though the form stated that he
was not the "actual transferee/buyer" if he was
purchasing the gun for a third party at l**2871
that person's request and with funds provided
by that person.

The Government charged Abramski with

two federal crimes under the Gun Control Act
of 1968, as amended, 18 U.,S. C. $$921-931:
making a false statement "material to the lawfulness of the sale," in violation of $922(a)(6),
and making a false statement "with respect to
[**{'.43] information required by [the Act] to be

kept" by the dealer, in violation of

S92a@Q)(A). On both counts the Govemment
interprets this criminal statute to punish conduct that its plain language simply does not
reach. I respectfully dissent from the Court's
holding to the contrary.

l. Section 922(a)(6)

A
Under $922(a)(6), it is a crime to make a
"false . . . statement" to a licensed gun dealer
about a "fact material to the lawfulness of' a
flrrearms sale. Abramski made a false statement
when he claimed to be the gun's "acfual transferee/buyer" as Form 4473 deftned that term.
But that false statement was not "material to the
lawfulness of the sale" since the truth'--that
Abramski was buying the gun for his uncle
with his uncle's money--would not have made
the sale unlawful. See Kungts v. Unted Stqtes,
485 U. S.759,775, 108 S. Ct. 1537,99 L. Ed.
2d 839 (1988) (plurality opinion) (materiality is
determined by asking "what would have ensued
from official knowledge of the misrepresented
fact"); accord id., qt 787, 108 S. Ct. 1537, 99 L.
Ed. 2d 839 (Stevens, J., concurring in judgment). Therefore, l*22761 Abramski's conviction on this count cannot stand.
Several provisions of the Act limit the circumstances in which a licensed gun dealer may

lawfully sell a firearm. [***44] Most prominently, the Act provides that no one may "sell
or otherwise dispose of' a firearm to a person
who he knows or has reasonable cause to believe falls within one of nine prohibited categories (such as felons, fugitives, illegal-drug users, and the mentally ill). 5922(d). But the
Government does not contend that either
Abramski or his uncle fell into one of those
prohibited categories. And no provision of the
Act prohibits one person who is eligible to receive and possess firearms (e.g., Abramski)
from buying a gun for another person who is
eligible to receive and possess firearms (e.g.,
Abramski's uncle), even at the other's request
and with the other's money.

The Government's contention that

Abramski's false statement was material to the
lawfulness of the sale depends on a strained
interpretation of provisions that mention the
rllrcrqnnrt fn rrhntn a dcalcr tlselllqlll /nr ltfrans542

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2259,*i

189 L. Ed. 2d262,**;

2014 U.S. LEXIS 4170, *x*; 82 U.S.L.W.4495
134 S. Ct.

fer[s]," or "deliver[s]") a gun. A dealer may not

"sell or deliver" a firearm to a "person" without
recording "the name, age, and place of residence of such person." 5922(b)(5). He may not,
without following special procedures, "sell" a
firearm to a "person" who does not appear in
person at the dealer's business. [{'**45]
$922(c). He may not "transfer" a frearm to a
"person" without verifying that person's identity and running a background check. 5922(t)(1).
And he may not "sell or deliver" a firearm to a
"person" who he knows or has reasonable cause

to

believe resides

in a

different

another *22771 State, as Abramski's uncle

did. That is of no moment, however, because
Abramski's uncle was not the "person" to
whom the gun was "s[old]."

I Sections 922)(5), (c), and (t)(1)

require the dealer to follow certain procedures with respect to that "person,"
such as recording his name, dealing with
him in person, and checking his background. I doubt whether a falsehood that
causes the dealer to neglect those procedures (here, by applying them to the
wrong person) is materiql to the lawfulness of the sale within the meaning of
$922(a)(6) if the sale could have been
executed lawfully had the truth been disclosed. Moreovero if that were so--if a
falsehood that introduced procedural error into a gun sale were always material

State.

se22(b)(3).
The Government maintains that in this case
Abramski's uncle was the "person" to whom the
dealer "s[old]" the gun, and that the sale consequently violated those provisions. It [**288]
bases that assertion on the claim that the Gun
Control Act implicitly incorporates "principles
of agency law." Brief for United States 17.
Under those principles, it contends, the individual who walks into a dealer's store, fills out
the requisite forms, pays the dealer, and takes
possession of the gun is not necessarily the
"person" to whom the dealer "sell[s]" the gun.
Instead, it says, we must ask whether that individual bought the gun as a third party's common-law agent; if so, then the third party is the
"person".to whom the dealer "sell[s]" the gun
within the meaning of the relevant statutory
provisions. The majority agrees: Although it
never explicitly mentions agency law, it declares that if an individual is "buying a firearm
[x*{<46] on someone else's behalf" the "someone else" is the "person" to whom the dealer
"sell[s]" the gun within the meaning of the statute.Ante, ot , /89 L, Ed.2d, at 277.

doubt that three of the four provisions at

issue here would establish the materiality of
Abramski's falsehood even if Abramski's uncle
were deemed the "person" to whom the dealer
"s[old]" the gun. ' But 5922(b)(3) would unquestionably do so, since it prohibits a dealer
from sellins a gun to a person who resides in

to

lawfulness--then

$92a@(1)(A) (discussed in Part

l***471
II of this

opinion), which prohibits making false

statements with respect to information
required to be recorded in a dealer's records, would be superfluous.

The contrary interpretation provided by the

Government and the majority founders on the
plain language of the Act. We interpret criminal statutes, like other statutes, in a manner
consistent with ordinary English usage. Flores-Figueroa v. United States, 556 U. S. 646,
650-652, 129 S. Ct. 1886, 173 L. Ed. 2d 853
(2009); Jones v. United States, 529 U. S. 848,
855, 120 S. Ct. 1904, 146 L, Ed. 2d 902 (2000);
Bailey v. United States, 516 U. S. 137, 144-145,
116 S. Ct. 501, 133 L. Ed. 2d 472 (1995).rn
ordinary usage, a vendor sells (or delivers, or
transfers) an item of merchandise to the person
who physically appears in his store, selects the
item, pays for it, and takes possession of it. So
if I give my son $10 and tell him to pick up
milk and eggs at the store, no English speaker
would say that the store "sells" the milk and
eggs to me. , And even if we were prepared to
ier "prilcipies oi agnoy iaw" rurnp orciinary
543

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Page 26
134 S. Ct. 2259,*;189 L. Ed. 2d262,**;
2014 U.S. LEXIS 4170,***i 82 U.S.L.W. 4495

in the interpretation of this

criminal statute, those principles would not require a different result. See, e.g., Restatement
(Second) of Agency 5366, Illustration I (1957)

English usage

("On

[{'{'*'48] behalf of P, his disclosed

[*t289] principal, A makes a written contract
with T wherein A promises to buy fromT, and
T agrees to sell to A, certain machinery for
$1000. . . . [If there is fraud in the inducement
and A has already paid], A can maintain an action against T for the thousand dollars" (emphasis added)).

The majority makes the puzzling

suggestion that the answer would be different if the sale involved consumer electronics instead of groceries. Ante, at
,
n. 5, 189 L. Ed. 2d, at 277.But whether
the item sold is a carton of milk, an iPhone, or anything else under the sun, an
ordinary English speaker would say that
an over-the-counter merchant "sells" the
item to the person who pays for and takes
possession of it, not the individual to
whom that person later transfers the item.

nor because everything in the Act must be assumed to provide maximum coverage, but because "[t]he word 'acquire' is defined to mean
simply 'to come into possession, control, or
power of disposal of"' which gives "no intimation . . . that title or ownership would be necessary." Id., at 820, 94 S. Ct. 1262, 39 L. Ed. 2d
782.

Contrary to the majority's assertion that the

statute "merely raises, rather than answers, the
critical question" of whether Abramski or his
uncle was the "person" to whom the dealer
"s[old]" the gun, ante, at , 189 L. Ed. 2d, at
277, the statute speaks to that question directly.
Giving the text its plain, ordinary meaning,
Abramski, not his uncle, was that "person."
That being so, the Govemment has identified
no reason why the arrangement between
Abramski and his uncle, both of whom were
eligible to l*22781 receive and possess fireanns, was "material to the lawfulness [***50]

of'the

sale.

The facts of this case provide no oc-

casion

to

address whether--as ATF

maintained for many years before adopting its current position--a misrepresentation in response to Form 4473's "actual
buyer/transferee" question would be
"material to the lawfulness of the sale" if
the customer intended to transfer the gun
to a person who he knew or had reasonable cause to believe was prohibited by
the Act from receiving or possessing
firearms. A falsehood that conceals an
intention of that sort may be material because a dealer who sold the gun knowing
of that intention might be "unlawfully
aiding" the customer's violation of
5924(d) (and the prohibited person's violation of $92aG)). Cf. ATF, Industry
Circular 79-10 (1979), in (Your Guide

Huddlestonv. United States, 415 U. S. 814,

94 S. Ct. 1262, 39 L. Ed. 2d 782 (1974), on
which the majority relies, ante, at
, 189 L.
Ed. 2d, at 280, does not suggest otherwise.
There we addressed the types of transactions
covered by the statutory term "acquisition" in
$922(a)(6) (a term whose meaning is not at issue here), holding that they were not limited to
"sale-like transaction[s]" but included a
"pawnshop redemption of a firearm." 415 U. 5.,
at 819, 94 S. Ct. 1262, 39 L. Ed. 2d 782. We
said nothing about the distinct [***49] question of to whom a dealer "sell[s]," "transfer[s]0"
or "deliver[s]" a firearm in a given transaction.
Nor does the case stand, as the majority believes, for "a substance-over-form approach,"
ante, ot
189 L. Ed. 2d, at 280.We saidthe
term "acquisition" was "'aimed at providing
maximum coverage,"' bid. (quoting 415 U. 5.,
at 826-827, 94 S. Ct. 1262, 39 L. Ed. 2d 782),
lror bccause subsnuc ovcr iunn dcrnalcis ra
_________,

To) Federal Firearms Regulation

1988-89 (1988), p.78; infra, at

, 189 L. Ed. 2d, at 291-292. I need
not cieuir.ie drar qucsriou irerc.
s44

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The majority contends, however, that the

Gun Control Act's "principal purpose" of

"curb[ing] crime by keeping firearms out of the
hands of those not legally entitled to possess
them" demands the conclusion that Abramski's
uncle was the "person" to whom the dealer
"s[old]" the gun. Ante, at , 189 L. Ed. 2d, qt
279 (internal quotation marks omitted). But "no
law [***51] pursues its purpose at all costs,"
and the "textual limitations upon a law's scope"
are equally "a part of its 'purpose."' Rapanos v.
United States, 547 U. S. 715, 752, 126 S. Ct
2208, 165 L. Ed. 2d 159 (2006) (plurality
[**290] opinion). The majority's purpose-based arguments describe a statute Congress reasonably might have written, but not
the statute it wrote.

That the Act's focus on the "man at the

counter" in this situation does not render its
requirements "meaningless" is confirmed by
the Government's concession that the Act has a
similar focus in many comparable situations
where the gun's immediate purchaser is--to use
the major's phrase--a "mere condui[t]" for a
contemplated transfer of the gun to a different
person who will "take possession of, own, and
189 L. Ed. 2d, at 279,
use" it. Ante, at
282. Consider the following scenarios in which
even the Government regards the man at the
counter as the "person" to whom the dealer
"sell[s]" the gun:

. Guns Intended as Gifts.In the

Government's view, an individual
who buys a gun "with the intent of
making a gift of the firearm to another person" is the gun's "true
purchaser." ATF, Federal Firearms
Regulations Reference Guide 165
(2005) (hereinafter 2005 ATF

The heart of the majority's argument is its

claim that unless Abramski's uncle is deemed
the "person" to whom the gun was "s[old]," the
Act's identification, background-check, and
record-keeping requirements would be "render[ed] meaningless." Ante, at
, 189 L. Ed.
2d, at 279. That vastly overstates the consequences. Perhaps the statute would serve the
purpose of crime prevention more effective if
the requirements at issue looked past the "man
at the counter" to the person "getting, and always meant to get, the fire-arm." Ante, at
,
189 L. Ed. 2d, at 280. But ensuring that the
person taking possession of the firearm from
the dealer is eligible to receive and possess a
frrearm, and recording information about that
person for later reference, are by no means
worthless functions. On the contrary, they indisputably advance the purpose of crime prevention by making it harder for ineligible persons to acquire guns [***52] and easier for
the Government to locate those guns in the future; they simply do not advance that purpose
to the same degree as a more exacting law
might have done.

Guide). The Government's position

makes no exception for situations
where the gift is specifically requested by the recipient (as gifts
sometimes are). So long as no
money l*22791 changes hands,
and no [{'i{<*53] agency relationship is formed, between gifter and
giftee, the Act is concerned only
with the man at the counter.

. Guns Intended for Resale. Introducing money into the equation

does not automatically change the
outcome. The Government admits
that the man at the counter is the
true purchaser even if he immediately sells the gun to someone else.
Tr. of Oral Arg. 34-35. And it appears the Government's position
would be the same even if the man
at the counter purchased the gun
with the intent to sell it to a particuiar tirird parLy, su iung as rc rwo
545

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2014 U.S. LEXIS 4170,***;82 U.S.L.\ry. 4495

did not enter into a common-law

agency relationship.

. Guns Intended as Rffie Prizes. The Government considers the

man at the counter the true purchaser even if he is buying the gun
"for the purpose of raffling [it] at
an event"--in which case he can
provide his own information on
Form 4473 and "transfer the firearm to the raffle winner without a
Form **2911 4473 being completed or a [background] check
being conducted" on the winner.
2005 ATF Guide 195.

If the statute's requirements were "render[ed] meaningless" by treating Abramski rather than his uncle as the true purchaser, then
they would be every bit as meaningless in the
scenarios just described. [***54] The Government's concession that the statute is operating appropriately in each of those scenarios
should cause the majority to reevaluate its assumptions about the type and degree of regulation that the statute regards as "meaningful."
The majority, it is clear, regards Abramski's
interpretation as creating a loophole in the law;
but even if that were a fair characterization,
why is the majority convinced that a statute
with so many admitted loopholes does not contain this p ar t i c ul ar loophole ?
The majority's answer to this argument is
that "the individual who sends a straw to a gun
store to buy a firearm is transacting with the
dealer, in every way but the most formal."
Ante, at
, 189 L. Ed. 2d, at 282 (emphasis
deleted). That certainly distinguishes that individual from the intended subsequent donee or
purchaser; so would the fact that he has orange
hair. But it does not establish why that individual, any more than the others, should be
thought to be covered by statutory language
(i.l,o "1.,or."r1" l, *l.utl a .loolcr. "o"ll["j" o 6utr)

that does not naturally apply. The only thing

which can justiff that leap is the false imperative to make the statute as effective as possible,

rather than as effective as the

[***55] indicates Congress desired.

language

The majority's claim that its analysis

"does not rest on mere 'purpose-based
arguments,"' ente, q.t , n. 6, 189 L. Ed.
2d, at 278, rings hollow. The majority
says it is relying on the principle that
when a statutory provision is "ambiguous" but "only one of the permissible
meanings produces a substantive effect
that is compatible with the rest of the
law," we should adopt that meaning.
Ibid. (intemal quotation marks omiued).
But even if the text at issue here were
ambiguous, it is clear that the "substantive effect" of the narrower interpretation
is "compatible with"--indeed, it is downright congenial to--"the rest of' the Gun
Control Act. The majority's contrary
conclusion rests, not on anything in the
text or structure of the Act, but on the
majority's guess about how far Congress

meant

to go in pursuit of

its

crime-prevention "purpose. "

\Mhat the scenarios described above show is
that the statute typically s concemed only with
the man at the countero even where that man is
in a practical sense a "conduit't [x{'{'56] who
will promptly transfer the gun to someone else.
Perhaps that is because Congress wanted a rule
that would be easy to understand and to administer, which the Government's proposed
*22801 agency test--and the majority's apparent adoption of that test sns any mention of
agency law--certainly is not. (When counsel for
the Government was pressed about hypothetical
situations not gift-wrapped as neatly as this
case, he said, frankly but unhelpfully, that they

would furn on the "facfual question" of

"[w]hether the purchase was made on behalf of
someone else." Tr. of Oral Arg. a9-50.)

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Or perhaps Congress drew the line where it

did because the Gun Control Act, like many
contentious pieces of legislation, was a "compromise" among "highly interested parties attempting to pull the provisions in different directions." Barnhart v. Sigmon Coal Co., 534 U.
S. 438,461, 122 S. Ct. 941, 151 L. Ed. 2d 908
(2002); see Director, Office of l4/orkers' Compensation Programs v. Newport News Ship-

& Dry Dock

Co., 514 U. S. 122,

135-136, 115 S. Ct. 1278, I3I L. Ed. 2d 160

building

(1995). Perhaps those whose votes were needed

for l**2921 passage of the statute wanted a

lawful purchaser to be able to use an agent. A

statute shaped by political tradeoffs in a controversial atea may appeat "imperfect"
[x*t57] from some perspectives, but "our ability to imagine ways of redesigning the statute
to advance one ofCongress'ends does not render it irrational." Preseault v. ICC, 494 U. S. l,
19, It0 s. ct.9t4, 108 L. Ed. 2d 1 (1990).We
must accept that Congress, balancing the conflicting demands of a divided citizenry, "'wrote
the statute it wrote'--meaning, a statute going so
far and no further." Michigan v. Bay Mills Indian Community, 572 U. S. _______. , 134 S. Ct.
2024, 188 L. Ed. 2d 1071, 1086 (2014).
That Abramski's reading does not render
the Act's requirements "meaningless" is further
evidenced by the fact that, for decades, even
ATF itself did not read the statute to criminalize conduct like Abramski's. After Congress
passed the Act in 1968, ATF's initial position
was that the Act did not prohibit the sale of a
gun to an eligible buyer acting on behalf of a
third party (even an ineligible one). See Hearings Before the Subcommittee To Investigate
Juvenile Delinquency of the Senate Committee
on the Judiciary, 94th Cong., lst Sess., pt. 1,
118 (1975). A few years later, ATF modified
its position and asserted that the Act did not
"prohibit a dealer from making a sale to a person who is actually purchasing the firearm for
another person" unless the [{'{'{'58] other person was "prohibited from receiving or possessitrg a irrcanrt," in wiricir casc drc dcaicr

could be guilty of "unlawfully aiding the prohibited person's own violation." ATF, Industry
Circular 79-10 (1979), in (Your Guide To)
Federal Firearms Regulation 1988-89 (1988), p.
78. The agency appears not to have adopted its
current position until the early 1990's. See
United States v. Polk, 118 F. 3d 286, 295, n. 7
(cA5 1ee7).

The majority deems this enforcement history "not relevant" because the Government's
reading of a criminal statute is not entitled to
deference. Ante, at
, 189 L. Ed. 2d, at 285.
But the fact that the agency charged with enforcing the Act read it, over a period of roughly
25 years, not to apply to the type of conduct at
issue here is powerful evidence that interpreting the Act in that way is natural and reasonable and does not make its requirements "meaningless."
C

Even if the statute were wrongly thought to

be ambiguous on this point, the rule of lenity
would defeat the Government's construction. It
is a "familiar principle" that "'ambiguity conceming the ambit of criminal statutes should be
resolved in favor of lenity."' Skilling v. United
States, 561 U. S. 358, 410, 130 S. Ct.2896, 177
L. Ed. 2d 619 (2010). That principle [***59]
prevents us from giving the words of a
*22811 criminal statute "a meaning that is
different from [their] ordinary, accepted meaning, and that disfavors the defendant." Burrage
v. United States, 571 U. S. __,
, 134 S. Ct.
881, 187 L. Ed. 2d 715, 726 (2014). And it
means that when a criminal statute has two
possible readings, we do not "'choose the
harsher alternative"' unless Congress has
"'spoken in language that is clear and definite."'
United States v. Boss, 404 U. S. 336, 347-349,
92 S. Ct. 5i/5, 30 L. Ed. 2d 488 (1971). For the
reasons given above, it cannot be said that the
statute unambiguously commands the Government's current reading. It is especially contrary
to sound practice l**2931 to give this crimi-

547

RIF

Page 30

Ct.2259,*;189L. Ed. 2d262,**;

2014 U.S. LEXIS 4170,***;82 U.S.L.W. 4495
134 S.

nal statute a meaning that the Government itself

rejected for years.

The majority does not mention the rule of

lenity apart from a footnote, ante, at .______- n. 10,
189 L. Ed. 2d, at 283, responding to this
dis-sent. The footnote concedes that "the text
creates some ambiguity" but says that "context,
strucfure, history, and purpose resolve it." Ibid.
But for the reasons given above, context and
structure do not support the majority's interpretation, history refutes it by showing that the
Govemment itself interpreted the statute more

for many years, and "purpose"

supports
it only if one imputes to the
[*{<{'{60]
statute a crime-fighting purpose broader than
the text discloses (a practice that would nullify
the rule of lenity in all cases). See Partl-B, supra.'If lenity has no role to play in a clear case
such as this one, we ought to stop pretending it
is a genuine part ofourjurisprudence.
leniently

5 The majority is thus entirely wrong

to charge that I would apply the rule of
lenity "because the statute's text, taken
alone, permits a naffower construction,"
et , n. 10, 189 L. Ed. 2d, at 283.

ante,

Contrary to the majority's miserly approach,

the rule of lenity applies whenever, after all legitimate tools of interpretation have been exhausted, "a reasonable doubt persists" regarding
whether Congress has made the defendant's
conduct a federal crimeo Moskal v. United
States,498 U. S. 103, 108, llI S. Ct.461, l12
L. Ed, 2d 449 (1990)--in other words, whenever
those tools do not decisively dispel the statute's
ambiguity. Skilling, supra, at 410, 130 S. Ct.
2896, 177 L. Ed. 2d 619; see, e.9., Scheidler v.
Natonal Organizationfor Women, Inc., 537 U.
S. 393,409, 123 S. Ct. 1057, 154 L. Ed. 2d 991
(2003); Cleveland v. United States, 531 U. S.
12, 25, I2I S. Ct. 365, 148 L. Ed. 2d 221
(2000); Crandon v. United States, 494 U. S.
152,158,110 S. Ct.997, 108 L. Ed.2d 132
(1990). "[V]here text, structure, and history
fail to establish that the Government's oosition

[*t*61] is unambiguously correct. . . we apply

the rule of lenity and resolve the ambiguity in

[the defendant]'s favor." United States v.

Granderson, 5lI U. S. 39, 54, 114 S. Ct. 1259,

127 L. Ed. 2d 611 (1994). It cannot honestly be
said that the text, structure, and history of the
Gun Control Act establish as "unambiguously
correct" that the Act makes Abramski's conduct
a federal crime.

By refusing to apply lenity here, the major-

ity tums its back on a liberty-protecting

and

democracy-promoting rule that is "perhaps not

much less old than construction itself." United
States v. Wiltberger, 18 U.S. 76, 5 Wheat. 76,
95, 5 L. Ed. 37 (1820) (Marshall, C. J.); see,
.9., 1 W. Blackstone, Commentaries on the
Laws of England 88 (1765) ("Penal statutes
must be construed strictly"). As Chief Justice
Marshall wrote, the rule is "founded on the
tendemess of the law for the rights of individuals; and on the plain principle that the power of
punishment is vested in the legislative, not in
the judicial department." Wiltberger, supra, at
95, 5 Wheat. 76, 95, 5 L. Ed. 37.It forbids a
court to criminalize an act simply because the
court deems that act "of equal atrocity, or
[*2282] of kindred character, with those
which are enumerated." Id., at 96, 5 Wheat. 76,
95, 5 L. Ed. 37. Today's l***621majority disregards that foundational principle.

II.

Se

ction

9 2 a @)

( I ) (A)

Under $92a@)(1)(A), it is a crime to make a

"false statement . . . with l**2941 respect to
the information requred by this chapter to be
kept in the records of' a federally licensed gun
dealer (emphasis added). "[T]his chapter" refers
to chapter 44 of fitle 18 of the United States
Code, which contains the Gun Control Act.
sse2l-e31.

The question Abramski answered falsely

was whether he was buying the gun for someone else. Did the Act itself require the dealer to
record this information? It did not; it simply
,.v.1uiroi Liur i,u ro,.r..l "i.Lc uaurs, o6v, aruJ
548

RIF

134 S. Ct. 2259, *; 189 L. Ed. 2d 262, **;

2014 U.S. LEXIS 4170,***;82 U.S.L.W. 4495

Page

3l

place of residence" of the "person" to whom the

2d, at 286 (quoting 27 CFR $a78.12a).

firearm was "s[old] or deliver[ed]." 5922(b)(5).

explained above, that "person" was
Abramski, not his uncle. See Part l, supra.

Therefore, according to the majority, any "false

answer on that Form"--even an answer to a
question that is not among those enumerated in
the regulation--necessarily "pertains to information [{<**64] a dealer is statutorily required
to maintain." Ante, at , 189 L. Ed. 2d, at
286.

As

But, the majority says, the Act also directs

dealers to "'maintain such records . . . as the
Attorney General may by regulations prescribe."' Ante, at
, 189 L. Ed. 2d, at 286
(quoting 5923(g)(l)(A)). So did a regulation
require this information to be recorded? Again,
no. The relevant regulation provides thaf a
dealer shall

"obtain a Form 4473 from the

transferee showing the transferee's
name, sex, residence address (including [x:r'*63] county or similar
political subdivision), date and
place of birth; height, weight and
race of the transferee; the transferee's country of citizenship; the
transferee's lNS-issued alien number or admission number; the
transferee's State of residence; and
certification by the transferee that
the transferee is not prohibited by
the Act from transporting or shipping a firearm in interstate or foreign commerce or receiving a ftrearm which has been shipped or
transported in interstate or foreign
commerce or possessing a firearm
in or affecting commerce." 27 CFR
$a78.12a)(1) (2014).

The long list of information that this regulation requires to be kept in the dealer's records
does not include whether the transferee is buying the gun for an eligible third party.

That carries the text of the statute a bridge

too far. On the majority's view, if the bureaucrats responsible for creating Form 4473 decided to ask about the buyer's favorite color, a
false response would be a federal crime. That is
not what the statute says. The statute punishes
misstatements "with respect to inrmation required to be kept," $92a@(l)(A) (emphasis
added), not with respect to "information contained in forms required to be kept." Because
neither the Act nor any regulation requires a
dealer to keep a record of whether a customer is
purchasing a gun for himself or for an eligible
third party, that question had no place on Form
4473--any more than would the question
whether the customer was purchasing the gun
as a gift for a particular individual and, if so,
who that individual was. And the statute no
more criminalizes a false answer to an ultra
vires question on Form 4473 than it criminalizes the purchaser's volunteering l**2951 of a
false e-mail address on *22831 that form.
Information regarding Abramski's status as a
"straw purchaser" was not "information required to be kept," and that is an end of the
matter. In my view, [{<{{'65] that is the
best--indeed, the only plausible--interpretation
of $92a)(1)(A).But at a minimum, the statute
is ambiguous, and len does the rest. See Part
I-C, supra.u

The major professes that it "need

not, and do[es] not, opine on" whether it
would impose liabil for "a false answer even to an 'ultra vires question"'
because, given its reasoning on Count
One, the question at issue here was "part
ald pan:ci ui rc deaier's dcrcrurinariun

But wait! the major says: Another provision of the regulation requires a dealer to "'retain . .. as part of [its] required records, each
Forcn 4473 obtined in the course of " selling or
-l:-.-^^:..^
utl/vrrr

f?..-^...-.
-f (l^ r[v4rlrL
vr

.t.-4ttt9,

uL

-______)

7o^ T Tl
au/ L. L.

549

RIF

Page 32

2259,*i 189 L. Ed. 2d262,**;

2014 U.S. LEXIS 4170,***i 82 U.S.L.W.4495
134 S. Ct.

of the (true) buyer's 'nme, age, and place

requires
the dealer to keep." Ante, at
, n. lI,
189 L. Ed. 2d, at 286. But if that is really
all the majority means to decide, then
why bother to invoke the requirement
that the dealer keep such records as the
regulations prescribe and the regulation
requiring the dealer to keep Form 4473?
See ante, at _t 189 L. Ed. 2d, at
285-286. If the majority's ruling is as
limited as it claims, it ought to cite
5922(b)(5) and be done.

of residence,' which 5922(b)(5)

REFERENCES

/8

U.,s.C.s. $$e22 (a) (6), e2a) (I) (A)

Crminal Law Deskbook

P 3.II

(Matthew

Bender)

L Ed Digest, Weapons and Firearms $ 1.7

L Ed Index, Weapons and Firearms
Supreme Court's views as to the "rule of lenity"
in the construction of criminal statutes. 62 L.
Ed. 2d 827.

x*{<

The Court makes it a federal crime for one

lawful gun owner to buy a gun for another
lawful gun owner. Whether or not that is a sensible result, the statutes Congress enacted do
not support it--especially when, as is appropriate, we resolve ambiguity in those statutes in
favor of the accused. [*{<*66] I respectfully
dissent.

Supreme Court's views as to meaning of term

"person," as used in statutory or constitutional
provision. 56 L. Ed. 2d 895.
Supreme Court's view as to weight and effect to
be given, on subsequent judicial construction,
to prior administrative construction of statute.
39 L. Ed. 2d 942.

550

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108V{7Q

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vrAsHrNGTON, DC 20226-000a

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A
FT=T_

1992 VOLUME

newslelfer

Federal Firearrns Licensees lnformation Service provided by the Department of

Washington, D. C.
theTreasury, Bureau of Alcohol, Tobacco and Firearms

,,STRAW

false statements. The licensee selling the firearm

under these circumstances also violates Federal
law, if the licensee is aware of the false statements on the form. lt is immaterial that the actual
purchaser and the straw purchaser are residents
of the State in which lhe licensee's business
premises is located, are not prohibited from
receiving or possessing firearms, and could have
lawfully purchased firearms from the licensee-

PURCHASES'' OF
FIREARMS
Questions have arisen concerning the lawfulness
of firearrns purchases frorn licensees by persons

This article does not purport to cover sales to

persons who purchase firearms with the intent of
making gifts of such firearms to other persons. ln
instances such as ths, the person making the
purchase is indeed the true purchaser. There is
no straw purchaser in these instances. The use
of gift certificates would also not fall within the
category ol straw purchases. The person redeeming the gift certificate would be the actual
purchaser of the firearm and would be properly
reflected as such in the deale/s records.

who use lstraw purchasers" (another person) to

acquire the firearms. Specifically, the actual
buyer uses the straw purchaser to execute the
Form 4473 purporting to show that the straw
purchaser is the actualpurchaser of the firearm.
ln some instances, a straw purchaser is used
because the actualpurchaser is prohibited from
acquiring the firearm- That is to say, the actual
purchaser is a felon or is within one of the other
prohibited categories of persons who may not
lawfully acquire.firearms or.is a resident of a
State otherthan that in which the licensee's
business premises is located. Because of his or
her disabilig, the person uses a straw purchaser,
who is not prohibited from purchasing a firearm
from the licensee. ln other instances, neither the
straw purcaser nor the actual purchaser is
prohibited from acquiring the firearm.

FIREARMS AND AMMUNITION

EXCISE TAX HISTORY OF THE PITTIT,IAN.
ROBERTSON ACT

ln both instances, the straw purchaser violates

Federal faw by making false slatements on Form
4473to the licensee vyilh respect to the identity of
the actual purchaser of the firearm, as well as the
actual purchasgr's residence address and date of
birth. The actual purchaser who utilized the straw
purchaser to acquire a firearm has unlawfully
aided and abetted or caused the riraking of the

The FederalAid in Wildlife Restoration Act

observes its 55th birthday on September 2,1992
amid ample evidence that America's wild birds
and animals, after a long era of scarc, are
prospering again and their numbers growing.

558

RIF

This happy outcome was by no means assured

when the landmark FederaState cooperative
program began. Deer, wild turkeys, and many
waterfowl species were only some of the creatures that had vanished from great parts of the
country. The legendary abundance of wild game
in earlier times was gone, potentally forever,
while, money and skills to reverse the downward
trend were scarce.

The projects include State acquisition of acreage

needed to brng wildlife back, research into
wildlife requirements and problems, active
management of habitats, and developrnent of
scientific ways to enable wildlife and people to
share our land in harmony. The program has
strengthened State governments and built wildlife
management into a respected profession. For
the past 20 years it also has been training some
700,000 hunters annually in safety and sportsmansh, substantially lowering the hunting
accident rate and promoting sound conservation
ethics. lt has stimulated the economy of rural
communities all across the land and given
healthful outdoor recreation to millions.

The conservaton leaders who addressed this

wildlife crisis recognized that no one could offer a
quick fix or a free ride. Human distress was
severe in 1937 atter years of economic depression and drought, putting heavy pressure on all
financial and natural resources.

But most of all, Pittman-Robertson has restored

to abundance many of America's most beloved
wild mammals and birds which are so much a
part of our national heritage. And the beneficiaries include not only the game species but also
many which are not hunted, from songbirds to
bald eagles, from sea otters to prarie dogs.

Looking for an answer, conservationists united

behind two basic principles drawn frorn the
earliest days of the Republic. Let those who
stand to benefit the most be the ones to shoulder
as much of the cost as possible, and give the
States authority to do the needed work with just
enough Federal monitoring to assure high standards of quality.

All this has been accomplished without resorting

to the use of general tax revenues. Those who

An existing Federal excise tax on sporting arms

and amrnunition ryas before Congress for renewal
that year. Wildlife advocates, nearly allof them
hunters and supported strongly by the taxed
industry, proposed that the levy be continued.
Provided, that all recepts be earmarked for
wildlife restoration projects to be designed and
conducted by the states, nstead of the money
being deposited in the Treasury general fund,
with the States sharing the costs of wildlife
restoration projects, using funds from their
hunting license fees.

purchase firearrns, ammunition, and in recent

years, archery equipment, are responsible for
these achievements through the payment of the
Federal manufacturers excise tax on those

From a modest beginning, the Pittman-Robertson

program has grown with the economy and the
human population of our country. lt has channeled in excess of $1.7 billion in Federal excise
tax receipts, augmented by some $600 million
from the Stales, into activities to restore wildlife.

The Bureau of Alcohol, Tobacco and Firearms

(ATF) has recefued a number of inquiries from
gunsmiths regarding the Federal manufacturers
excise tax on firearms, shells and cartridges.
This aicle is intended to piovde lnformation
regarding requirements for payment of such
excise tax by persons engaged in gunsmithing

ailicles.

PAYMENT OF EXCISE
TAXES BY
GUNSMITHS

operations.

FFL NEWSLETER

It pubilstt by thc

Bu/,'.au

Some persons may believe that ATF is collecting

a new tax on custom firearms, or lb not following
previously established guidelines in collecting the
tax. .The Federal manufacturers excise tax on
firearms, shells and cartridges is not new; how-

ol Atcohot,

and Flrrma, FE ml' end Explostvoa Oporettont

ar,nch, P.O. aox 50239, W',shlnglonr DC 20t1. Pullshed
scmlannually. L.ttots lo lho cdltor aro oncowaEed.

obrcco

Edrlor .......,..., Bobd, Trlnor

559

RIF

ing in refinishing an existing firearm also would

not change the form of a firearm and would
generally not amount to manufacture.

ever, t is a new responsibility for ATF to collect

the tax which was assumed from the lnternal
Revenue Service (lRS) on January 1, 1991. The
IRS previously had responsibility for this excise
tax and still has responsibility for many other
manufacturers excise taxes.

The IRS has issued a number of excise tax

rulings concerning alterations made to frearms
and whether the alterations amount 10 manufacture. Overall, the rulings contrast manufacture
with repair or replacement of exiting parts. lf
existing parts of a firearm are replaced, refinished, or repaired, no manufacture takes place.
However, if parts are added to a lrame, receiver,
or action so as to make a complete firearm, this
would generally be manufacture. Additionally,
when custom firearms are produced from new or
used firearms and the custorn frearms are a new
and different firearm, then manufacture has taken
place. An example of custom firearms is when
surplus military firearms are "sporterized."
The second part of determining whether the
firearms excise tax applies concerns whether the
person who is responsible for the act of manufacture has sold or used the firearm. Let us assume
that a gunsmith's alteratins to a firearm for a
customer amount to manufacture. ln a situation
where a customer supplies a firearm to a gunsmith for modification, the customer is usually
consdered to be the manufacturer for excise tax
purposes. The customer is considered to be the
manufacturer because he directs what type of
modification is to be done to the firearm and he
retains title to the firearrn while it is being modified. Even though the gunsrnith performs the
physical modifications to the firearrn, he would
not usually be considered the manufacturer for
excise tax purposes in this situation.

lf the manufacturers excise tax sounds new to

some taxpayers, this is probably due to lhe fact
that ATF has more direct lines of communication
with the firearms industry than did lRS. ATF will
continue to follow the interpretations of the IRS
concerning this excise tax. ATF positions with
regard to gunsmiths are all based on
longstanding IRS rulings and regulations. ln fact,
one condition to ATF assuming responsiblity for
the firearms excise tax was that ATF would
adhere to previously issued IRS rulings in this
area. The Secretary of the Treasury imposed this
requirement to ensure that all the manufacturers
excise taxes would be administered in a consistent manner.
We believe that an overall view of how the
firearms excise tax applies to gunsmiths will
address many of the questions raised by gunsmiths. ln general, two events must occur for the
excise tax, imposed by section 4181 of the
lnternal Revenue Code, to apply to the alteration
or modification of any firearm. First, an act of
manufacture involving a firearm must occur.
Second, the person who is responsible for the act
of manufacture must sell the firearm or use it for
business use.

The regulations in 27 CFR Part 53.11 define what

is manufacturing through the definition of inanufacturer. The term manufacturer is defined to
include "any person who produces a taxable
aicle from scrap, salvage, or junk material, or
from new or raw materal, by processing, manipulating, or changing the form of an article or by
combining or assembling two or more artcles."
Therefore, work by a gunsmith on an existing
firearm will generally be considered to be manufacture f the alteratons materially change the
firearm so that a different article results. Modifications to an article that change the form of the
article or significantlymprove or significantly
change the function of an article also amount to
manufacture. Modification of a firearm by repairing or replacing existing parts would not generally
chang the form of the article and would not
amount to manufacture. Bluing or black anodiz-

A ditferent result occurs where the alterations are

made in connection with the sale of the firearm by
the gunsmth. Where the gunsmith is selling the
firearm to the customer, and in connection wilh
the sale, the gunsmith performs alterations that
constitute manufacture, the sale of the altered
firearm results in tax liability. The clearest
example of this situation is where the gunsmith
offers to customize a firearm to the custome/s
specifications prior to sale. However, it has been
the longstandng position of the IRS in excise tax
matters that tax liability cannot be avoided by
merely breaking the transaction into two parts, LC,
by sellirg the firearm and subsequeny pedorming the

manufacture.

560

RIF

lf the manufacture is done in connection with the

sale of a firearrn, the gunsmith is liable for tax,
whether he perfoffns the acts of manufacture
before or after the sale. ln the latter instance,
ATF will adhere to IRS rulings in this area and
blend the sale and'the subsequent manufacture
into one lransaction. The substance of the
transaction will control, not the form.

whether the component parts of the firearm are

sold in one transacton or a series of separately
invoiced transactions.

Pursuant to 26 U.S.C- 4181, tax is calculated on

the specified percent of the price for which the
article is sold. The tax rate is 10 percent for
pistols and revolvers, and 11 percent for all other
firearms and ammunition.

Where the gunsmith is not selling the firearm to

the customer, or in circumstances where the sale
and subsequent alterations are truly separate
transactions, the customer is deemed to be the
rnanufaclurer. ln these situations, tax liability, if
any, would fall on the customer.

lf a gunsrnith acquires title to a firearm, performs

modifications on the firearm which amount to
manufacture, and then sells the firearm, tax
would be calculated on the price for which he sold
the frearm. lf the gunsmith previously sold the
firearm to the customer and subsequently further
manufactures the firearm at the custome/s
request, the gurismith will be liable for excise tax
on his manufacture, if the manufacture is performed in conneclion wth the original sale.
Under these circumstances, the. tax will be based
on the pr'rce charged to the customer for the
original sale of .the firearm plus the charges for
the subsequent modif ications.

After it has been deterrnined that manufacturing

has occurred and who is.the manufacturer for
firearms excise tax purposes, does the manufacturer owe firearms excise tax? The answer to
this question depends upon what the manufacturer does with the firearm after the gunsmith has
compleled his work
lf the manufacturer slls the firearm before using
it, he is liable for the excise tax. lf the manufacturer uses the liiearm for personal, not business,
use after delivery from the gunsmith, no tax
liability is incurred. The regulations specifically
provide that the tax dos not apply lo a firearm
that has been manufactured for personal use.
(27 CFR s3.112).

Secticjn 4216(a) of the lnternal Revenue Code

and the regulations issued thereunder also
provide for certain inclusions and exclusions from
the price whieh must be taken into account when
determining the tax basis. See 26 U.S.C. 4216(a)
and 27 CFR 53.91 and 53.92 for the inclusions
and exclusions which must be applied to the price
to determine an adjusted sale price.

lf the manufacturer uses the firearm in the

operation of any business in which he is engaged,
tax liability would be incuned. (26 U.S.C. 4218
and27 CFR 53.112(a)). Taxable use includes
the use of firearms as sales samples.

Ordinarily, the tax rate is applied to the adjusted

sale price to determine the amount of a
manufacture/s tax liability on each firearm
manufactured. However, if an article is sold only
at retail (i,e,, directty to consumers), section
4216(bxlXC) of the lnternal Bevenue Code
requires that a constructve sale price be determined. The constructive sale price for firearms
sold at retail by manufacturers who do not sell
like articles to wholesale distributors is 75 percent
of the actual selling price, after taking into
account the inclusions and exclusions set forth

It should be noted that firearms excise tax is

applied on the sales of complete firearms. The
term.firearrn is defined s "any portable weapons,
such as rifles, carbines, machineguns, shotguns,
or fowling pieces, from which a shot or bullet, or
other proectile may be discharged by an explosive." (27 CFR 53.11). A receiver for a firearm is
not a complete firearrn and is not subject to tax.

above.
Most gunsmiths sell directly to consumers, with
no sales to wholesale distributors. Assuming this
is the case in the examples provided above, the
tax rate of l0 or l1 percent would be applied to

However, a manufacturer who sells a firearm or

ammunition in a knockdown condition, which is
complete as to all component parts, will be liable
for the tax. Liability for tax will be incured

561

RIF

1. For use by the purchaser for further manufacture, or for resale by'the purchaser to a
second purchaser for use by such second
purchaser in fufther manrfaclure.

75 percent of the adjusted sle prce to determine

the arnount of the gunsmith's liability for each'gun
manufactured.
lf any person, such as the manufacturer, importer
or producer, had previously paid excise tax on a
firearrn that a gunsmith subsequently customizes
and sells, the gunsmith may be eligible to claim a
refgnd, or take a credit on th'e excise tax return
for the tax previously paid. (See 27 CFR 53.180 53.182, and 53.185 for details on how to claim a
refund, or take a credit.)

2. For export, or for resale by the purchaser to

a second purchaser for

eport.

3. For use by the purchaser as supplies for

vessels or aircraft.
4. To a State or loial government forthe
ercluslve rce of a State or bcal governrner.

A gunsmith who intends to purchase firearms for

funher manufacture may want to register as a
tax-free purchaser to recbive the firearms without
payment of tax. ATF Form 5300-28 is used as
the applcation to regster. This will eliminate the
gunsmith's payrnent of the excise tax when
purchasing the firearm from the original manufacturer and the need to claim refunds or take tax

5. To a nonprofit educational organization for

its exclusive use..
Sec{ion 4222 o lhe lnternal Revenue Code
provides tht tax-free sales may not be made
under section 4221 unless the mandacturer, the
frst purchaser, and the second purchaser (if any)
are allregistered. However, secton 4222(bl
provides that State and local governments are not
required to regisler if such governments comply
with regultions relating to the use of exemption
cerlifcates. The regulations at 27 C.F.R. S
53.141 address the use of exemption certificates
by State and local governments purchasing
articles direci from the manufacturer for their
exclusive use.

credits.
ln general, the excise taxes for firearms and
ammunition are paid to the Bureau of Alcohol,
Tobacco and Firearns wth a quarterly tax retum
(ATF F 5300.26), and, if the taxpayer incurs
specified amounts of tax liabil, wth a monthly
or semi-monthly deposit coupon (ATF F 5300.27)
The addresses for mailing tax returns and deposits are listed in the instructions on the tax r'eturn
(ATF F 5300.26). Allfirearms and ammunition
excise taxpayers, even if no liability is incured,
must file quanerly tax returns. Deposit.requirements are explained in the instructioqs on the tax
return (ATF F 5300.26).

Manufacturers and importers who sell firearms

and ammunition tax-free without registering or
otheruise complying with the requirements of the
law and regulations are liable for excise tax,
applicable penalties; and interest on the sale of
the afticles.

Please contact your nearest ATF office if you

have any further questions.

Also, the Certificate of Registry issued by the IRS

or ATF is not lransferable to another person.
Such a transfer could occur as a result of a
hange in the contiol in the business of a CehiRcate holder. Any changes in business control
should be reported within 30 days to your Re1
gional Director (Compliance). Other requirements
to be met for tax-free sales are found in the
regulations, Subpart K o 27 CFR Part 53.

REGISTRATION FOR
TAX-FREE SALES
Persons who pay the rnanufacturers excise tax
on firearms or ammunition must have valid

Certificates of Registry prior to making sales taxfree under Section 422)o the lnternal Revenue
Code. Tax-free sale of firearms and ammunition
by the manufacturer, importer or producer under
Section 4221(al, is permitted under the following
circurnstances:

562

RIF

Section 12001(e). Specifically, these firearns are

exempt for the purposes of dealer licensing
requirements for their sale, lease, or transfer;
requirernent for submission of reporting forms
and waiting periods by dealers; and requirements
for private party sales.

CUSTOMER'S TAX
LIABILITY FOR
RELOADED AMMUNITION
Under certain circumstances the excise tax
liabili for reloaded amminition falls upon the
qstomer, not the rebader. Section 27 CFR 53.11
states, in part:

Therefore, licensed collectors (who are not also

licensed dealers) cannot receive curio & relic
handguns directly. The collector must have the
handgun delivered to a licensed dealer. The
collector would then have to complete the Dealer
Record of Sale form and wait 15 days before
obtaining the firearm from the dealer.

"A person who reloads used shells and

cartridge casings is a manufacturer of shells
or cadridges within the meaning of section
4181 f such reloaded shells or cartridges are
sold by the reloader. However, the reloader
is not the manufacturer of shells or cartridges
if, in return for a fee and expenses, he
reloads casings or shells or cartridges
submitted by a customer and returns the
reloaded shells or cartridges with the identical
casings provided by the customer to that
custorner. Under such circumstances, the
customer would be the manufacturer of the
shells and cartridges and may be liable for
tax on the sale of articles. See section 4218
of the Code and 53-112."

California law is also nterpreted to require

licensed dealers who transfer a lirearm to ther
personal collection to complete a Dealer Record
of Sale form and wait 15 days before cornpleting
the transfer.
For further information, contact the California
Department of Justice, Sacramento, California
(916) 739-3510-

TRANSFER OR DUPLICATION
OF SERIAL NUMBERS ON
NATIONAL FIREARMS ACT
FIREARMS

Section 53.1 12(b) of the regulations provides that

tax shall not attach where an individual manufactures an aiticle for personal use- Thus, if an
indMdual has a rebader marufacture amrnunition

from casings provided by the individual, the

individual will not incur tax if the reloaded ammunition is manufactured for his personal use.
However, a person will be liable for the tax if he
selfs the reoaded shells or cartridges or uses
them for other than personal use. For example,
the use of the reloaded arnmunition in a business
operated by the indvdual (e.9., shooting range)
would result in excise tax lhbility under Section
4181 ofthe lnternal Revenue Code.

ATF has received a number of questions about

the transfer of a serial number from one National
Firearms Act (NFA) firearm to another. Some of
these questions also involved the duplcaton of
serial numbers.
A misunderstanding apparently exists that the
serial number of a registered NFA firearm may be
transferred to another NFA firearm without any
additional registration or lax. The usualjustification is that the originalfirearm is damaged beyond
repair and is being replaced.

CALIFORNIA - LAW CHANGE

ADVISORY

This scenario is not accurate. The originally

registered firearm is the one that appears in the
National Firearms Registration and Trahsfer
Record (NFRTR). The fact that a firearm has
been damaged does not effect its registration
status unless the damage has iesulted in the

Effective January 1, 1992, all firearms designated

as antiques, and only rif and shotguns designated as curos or relics by the Bureau of Alcohol,
Tobacco and Firearms (ATF), retained the
exemptons for these firearms which have been
provided under California State Penal Code

563

RIF

other required markings (manufacture/s name,

city and state, model, caliber or gauge) on the
frame, receiver, or barrel. These markings must
be engraved, cast, stamped (impressed) or
othenryise placed in a manner not susceptible of
being readily obliterated, altered or removed.

destruction of the firearm. The NFA Branch must

then be notified of the destruction so that the
NFRTR may be annotated.
The creation of any replacement would constitute
the makng of a new NFA firearm and approval
must be granted before the act could occur or, if
being done by a qualified manufacturer, a Form 2
notice must be filed to effect the registration of
the new firearm. Any making or transfer tax
lability incurred must be satisfied.

The required markings must be placed so that

they are conspicuous regardless of the stage of
completion of the firearrn, that is, they must be
conSpicuous from the initial stage as a frame or
receiver through the manufacturng process to
completion and must be conspicuor,s on an
assembled firearrn. The markings cannot be
hidden by the assembly of the firearm.

ln addition, any machinegun manufactured after

May 19, 1986 would be subject to the restrictions
of 18 U.S.C. 922(o), which precludes private
possession.

Whle these requirements apply to any firearrns

manufactured or imported, including National
Firearrns Act (NFA) firearms (machineguns,
silencers, etc.), 27 CFR 179.102 also prescribes
marking requirements for NFA firearms.

We have also encountered situations where the

serial number and other identification markings
are transfened to another firearm because the
original type of machinegun may have had little
value and another type may be worth much more.

With respect to NFA weapons, Federal law in 26

U.S.C. 58f ft) provides that it shallbe unlawful
to oblterate, remove, change, or alter the serial
number or other identification required, and it
shall be unlawful to receive or possess a firearm
having the serial number or other required
information obliterated, removed, changed, or

ln these situations, ATF may pursue criminal

investigation and prosecution for the following

violations of the National Firearms Act: recet or
possession of a firearm made in violation of the
Act; making a firearm in violation of the Act; and
the making of a false entry on an application,
return or record. ln addition, if a machinegun is
involved, there would be a violation of Title 18,
United States Code, seclion 922(o). The firearms
involved in the violation are subject to seizure and
forfeiture.

altered.

\Mth respect to all firearms, the Gun Control Act,

specifically 18 U.S.C. 922(k) makes it unlawfulto
receive or possess a firearm which has had the
serial number removed, altered, or obliterated.
We suggest that an improperly marked firearm (1)
be returned to the manufacturer or mporter
(subsequent to approved application for NFA
firearms) so that the required markings may be
properly placed on the firearm , gI (2) the licensee
possessing the firearm should restamp the proper
markings on the firearm in a visible location, but
only after the licensee contacts the local ATF
office for approval.

MARKINGS ON
FIREARMS
ATF has recently encountered situations involving
problems with identifying firearms on which the
manufacture/s markings are non-exstent or
hidden. We have found that the problems with
hidden markings primarily exist with firearms
rnanufactured in a cnde form and later assembled to

Should you have any questions about the mar

ing requirements for firearms, please contact your
local ATF (Compliance Operations) office.

a finished form by a subsequent manufacturer.

The regulations in 27 CFR178.92, require each

licensed manufacturer or importer to legibly
identify each firearm manufactured or imported by
conspicuously pfacing a serial number on the
frame or receiver and by conspicuously placing

564

RIF

STORAGE OF NFA
FIREARMS

FIREARMS & EXPLOSIVES

TELEPHONE NUMBERS
Firearms & Expl'osives
Divisiqn
Firearrns & Explosives
Operations Branch
Firearms & Explosives
lmports Branch
National Firearms
Act Branch
Firearms & Explosives
Licensing Center

This is a reminder that licensed firearms dealers

may not take in NFA firearms registered to other
penions for ether temporary storage or consignment sale purposes. Such unapproved possession violates 26 USC 581, and subjects the
weapon to selzure and forfeiture.
lf the lawful possessor of a registered NFA
weapon needs to temporarily store the weapon
(99. for security purposes during a ternporary
absence, such as a vacation), he should store the
weapon in such manner that only the registered
owner has access to the weapon. For example,
in a safe depositbox at a bank The weapon
should not be left in the custody of anolher
person since this would constitute a transfer of
the weapon. For more information, conlact the
NFA Branch at Bureau of Alcohol, Tobacco and
Firearms, NFA Branch, Washington, DC20226,
or (202) 927-8330.

(202) 927-8300
(202) 927-8310
(202) e27-8320
(202) 927-8330
1-(800) 36-s423

SALES OF FIREARMS
TO LAW
ENFORCEMENT
OFFICERS
Section 925(a)(1) of the Gun ControlAct of 1968
exempts law enforcement agencies from the
transportation, shment, recet, or importation
controls of the Act when firearms are to be used
for the official business of the agency.

REMINDER TO NFA
WEAPONS LICENSEES

lf a law enforcement officer is issued a certification letter on the agency's letterhead signeb Uy a

Those who manufacture, import or deal in NFA

weapons must pay Special Occupational Tax
(SOT). Please be sure that the information'
(narne, address, etc.) shown on your firearms
license is the same as that shown on your SOT
return. For example, if your license reflects a
trade name, your SOT return should include that
trade name.

person in authority within his agency stating that

the officer will use the firearms in performance of
his official duties, then that otficer specified in the
certification may purchase a firearm from an FFL
regardless of the State in whch he resides or in
which the agency is located. The seller is not
required to prepare a Form 4473 covering such a
sale; however, the transaction must be entered in
the permanent record. The certification letter
from the officer rnust be kept in your files.

Examiners in the NFA branch must verify both

SOT and licensed status before processing
weapons transfer applications. Therefore, having
the same information on both documents will
expedite the process.

ATF considers the following as persons having

the authority to make certfications that the law
enforcement oflicer purchasing the firearms will
use the firearms in performance of his official
duties.
ln a c or coun police department, the
director of public safe, or th chief or commissioner of police.

2. In a sheriff's office, the sheriff

565

RIF

DELEGATIONS OF AUTHORITIES

3. ln a State police or highway patrol department,

the superntendent or the supervisor in charge
of the office to which the State officer or

The Regional Directors (Compliance) of the North

Atlantc, Southeast, Midwest, Southwest and
Western Regions have delegated their authorities
to deny an applicant a Federal firearms license
and t revoke a Federal firearms license under 27
CFR 178.71 and 178.73, respectively, tothe
Chiefs, Technical Services.

employee is assigned.

4. ln Federal law enforcement offices, the super

visor in charge of the otfice to which the
Federal officer or employee is assigned.

ATF would also recognize someone signing on

behalf of a person of authorty provided there is a
proper delegation of authority and overall responsibility has not changed in any way.

SUPREME COURT RULES ON

THOMPSON/CENTER
ARMS CASE

Further, sales to individual law enforcement

officers are nqt exernpt from the Federal excise
tax on the sale of firearms and ammunition.

On June 8, 1992, the Supreme Court held in

United States v. Thompson/Center Arms Co., that
a pistol combined with a kit for converting the
pistol into a rifle was not a weapon regulated by
the National Firearms Act (NFA). Thompsory'
Center manufactured the "Contende/'pistol and a
kit with a shoulder stock and a 21-inch barrel that
could be used to convert the pistol into a rifle.
The Federal Circuit had held that the pistoland kit
were not subject to the Act because they had
never been assembled as a regulated shortbarreled rifle. The Supreme Court atfirmed the
decision of the lower courl, brt on much narrower
grounds. The Supreme Court Held that since all
of the parts in the Contender pistol kit could be
used in the assembly of either an unregulated
p'stol or unreguhted dfle, he ctnrbired packaging of
the pistol and kit did not result in the "making'of
an NFA weapon. Therefore, such a combination
of parts was rnt subjed to the t( and regSalion
provisions of the Natonal Firearms Act.

Manufacturers arrtlor importers may make tax-fri:e

sales to State and local government agencies,
plglded, the requirements fortax-free sales wer 27
CFR 53.135(c) have been met.

ATF HOTLINE
ln March of 1992, ATF established a new national
toll-free hotline to report criminals in possession
of firearrns, trafficking in firearms, and to provide
information about armed drug traffickers. By
calling 1-800-ATF-GUNS, citizens can (anonymously, if they so choose) report suspected
illegal gun violations, inbluding armed gan and
drug activity. Calls are routed by area code to the
nearest ATF law enforcement field division.

ATF WESTERN REGION

While affirming the Court of Appeals decision, the

Supreme Court was careful to distinguish the
Thompsory'Center weapon from other combinations of unassembled parts which could only
result in a short-barreled rifle or other regulated
firearm. Since the latter weapons are still subject
to the National Firearms Act, this decision will
have a limited impact on the enforcement of the

REORGANIZATION
The Western Region of Compliance Operations
has consolidated and reorganized their field
offices. The Santa Rosa Office has become a
Post of Duty under the San Francisco Area
Office, and the Fresno Area Office has become a
Post of Duty under th San Jos Area Office.
The State of Utah is now the responsiblity of the
Sacramento Area Office, and the Los Angeles
Area Office now has responsibility for the entire
county of Los Angeles. fretailed listing of the
changes may be obtained by contacting the
Western Regional office at (4151744-9425 ard
requesting a copy of lrdusy Menorardum
w-g't-13.

Act.
ln summary, what this means is that any person
who possesses a Contender pistol kit and who
assembles the parts into a short-barreled rifle (i.e.
with 10 inch barreland stock) has made an NFA

wpon, sjed to the making tax ard regisati:n.

s66

RIF

As further examples, any rifle possessed together

Pursuant to a couft ordered settlement oJ littion

behveen Gun Soulh, lnc., and ATF, tlrese weapons

with pafts that could only be used to convert the

weapon into a machinegun would be covered by
the NFA. A pistol with an attachable shoulder
stockr,vouH be nskJered an NFA weapon. Also, a
semiautomatic Uzi with a 16-inch barrel, together
with a short barrel, would be covered by the NFA-

may only be sold directly to governmental entities

or to individual law enforcement officers for use in
their official duties. Each individual purchaser
must certify to ATF that the weapon is being
purchased for official use and not for the purpose
of transfer or resale. A supervisory otficial must
also provide the same certification.

Finally, th court decision has no impact on the

Bureau's position that the possession of a collection of parts from which one can assemble other
types of NFA weapons (such as a machinegun or
a destructive device or an "any other weapon")
still constitutes the possession of an NFA weapon
requiring registration, subject to the appropriate
making and transfer taxes, whether or not assembled.

Between.June of 1 990 and August of 1991 , the

defendants submitted orders through the mails for
the weapons containing false certifications by
numerorls National Guardsmen The certifi:atirns
falsely attested that the weapons were to be used
in the course of the guardsmen's otficial duties
and were not being purchased for the purpose of
transfer or resale. However, upon receipt of the
weapons, generally at an lllinois National Guard
armory, the rifles were immediately transported in
their original shipping containers to F.J. Vollmer
and Company's premises. ln turn, F.J. Vollmer
and Company offered the rfles for sale to the

lf you have any questions on this matter, please

addressthem to the National Firearms Acl Branch,
650 Massachusetts Ave., N.W,, Washington, DC
2A226.

public.

SCHEME TO CIRCUMVENT THE

SEMIAUTOMATIC ASSAULT RIFLE

REQUEST FOR
ASSISTANCE
NEW CASTLE INDIANA
POLICE
DEPARTMENT

IMPORT BAN RESULTS IN

CONVICTIONS FOR
CONSPIRACY TO DEFRAUD THE
UNITED STATES AND MAIL FRAUD
On March 25,1992, in U.njted States v. Nevius. et
gl, a Federaljury in Oh'n

oonvtfed Federal firearms

licensee F.J. Vollmer and Company, lnc. of
Bloomington, lllinois, of one.count of conspiracy
to.defraud the United States and three counts of
mail fraud for its role in a scheme to acqure over
70 Steyr AUG'SA semi-automatic assault rifles
and receivers in circumvention of the import ban
on such weapons.

The New Castle lndiana Police Department and

the Henry County Prosecuto/s office are requesting information on any firearms sold to Wesley W.
Crandall Jr., D.O. B. 4127 150, SSN 309-56-5864.
Mr. Crandall was the victirn of a homicide and
several firearms were ston during the commission of the crime.

F.J. Vollmer and Company were charged with

conspiring with an officer of the lllinois National
Guard and others to obtain the semiautomatic
assault rifles frorr Gun South, lnc., a licensed
importer n Trussville, Alabama.

Please report any firearm sales to Mr. Crandall

from 1986 through February 1991 to Captain

Bttch Baker, New Castle Police Departmenl,22T
North Main Street, New Castle, lndiana 47362,
(31 7) 52e-4890.

10

567

RIF

PAGE(S) \ilTTTIHELD IN FULL (WIF')

OR REF'ERRED TO AIOTHER AGENCY

fwm
REFERRED TO:
Page

Exemption

Number

568-574

(bxl)

Exemption (b)(2)
Exemption (bX3)

Applicable Statute

(b)(a)

I
Exemption (b)(s)
Exemption

Applicable Privilege:

Deliberative Process Privilege

Attorney Client Privilege

Attorney \Mork Product
Exemption

(b)(6)

Exemption (b)(7)(A)
Exemption (bX7XB)
Exemption (b)(7)(C)
Exemption (b)(7)(D)
Exemption (b)(7)(E)
Exemption (b)(7)$)

Duplicate

l_l

Non-Responsive

Of Pages

'[_l

Outside of Scope of Request

String E-Mail
f nr..fad in Tln.rrrnon

PAGE(S) WITHHELD IN FULL (WIF')

34

OR REFERRED TO ANOTHER AGENCY

f,wm
REFERRED TO:
Page

Number 575-608

Exemption (b)(1)
Exemption (bxz)
Exemption (bX3)

Applicable Statute
Exemption (b)(a)
Exemption (b)(5)

Applicable Privilege:

Deliberative Process Privilege

Attorney Client Privilege

Attorney Work Product
Exemption

(b)(6)

t]

Exemption (b)(7)(A)
Exemption (b)(7)@)
Exemption (bX7XC)
Exemption (b)(7)@)
Exemption (b)(7)(E)
Exemption (b)(7)(F)

Duplicate

OfPages 235-268

Non-Responsive

l_l

Outside of Scope of Request

String E-Mail
T nn.rarl in fnn

tr

U.S. Deparbnent of Justlce

Bureau of Alcohol, Tobcco'
Fireurms and Explosives

1155 Bretitery Park B3.vd, *300

Eletrol, MI

1820?

Bwrt$f,Bov

esRtrFxED ur,

B z,s

774tAA
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Iil@E
etri mmo Company,

Lf.rC

30305 Schoolcraft Road

Iivona, MI
oear

48150

@[:

On February ?, 2tL4, lhe Bureau of ALcohol, fobacco' Firearms

and Explosives (ATF) ssued a NoLice of enia1 of pp}ication
for LicenEe, ATF Form 4498 (5300.131, capy atached. The u.8.
FgEEal Senice reeorded receipt af lhe Nollce on FebruarT 11,
2014. The document gave note that the ATF Fo:n 7, Appliction
for license, which you signed on behalf of Detroit Ammo Company
LLC and subsequencly aubniELed for a Federal FirearmE License ae
a Manufacturer of mmunilion, tlas being denied because you did
not qualify for licensing under the provisons of secEion 923 (dl

of TiEle 19. lt.S.C.

ccording to the nclrucions on tbe Notice and pureuant, Eo
secton 923{f}{2} of litle 18, U.S,C,, you }tere afforded the
opportunfly t reglert a hearing. Since you have not requested
a hearng nd mcre than fifEeen {15} deys hae elapsed ince your
recelp af he lilolice, your application for a Federal Firearms
Leense ie nob belng approved and the denial is final.
ATF's Federal Firearms Licensing Center {FFLC} will begin Ehe
Froeess of iseuing a fu1l refund of the $200 appJ"ication fee
Ehat was sbmitBed with your ATF Form 7 application. ny refund
queslians should be dlrecEed to the FFIC at 304-616-4600.

609

RIP

rf

you heve any questions concernl4ggr:i.E_naryeI, you mry

or Xndustry

::i"::':i:

"ll

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5X6
etroE Field

, 50.

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Detroit v Fo
Division Counsel,

FedEral 'irearms liceneing Canter

610

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U.$. Deprlntertt of Justice

Bureu of,{tcohol, Tobacc. Firerms and xplosives

Final Notice of Denial of Application or

Revocation af Firearms License

mstler

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f*l

Liccnse Number

, filed by: or

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Nne nd Address olpplicorrt or Liccnsec fslov nnntber, sh'eel, ci\ sl4te ar

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Jrck's SuperPnvn
2319 Firfie}l Drive
Pensrcola, Flolida 3250f

Noticc Is Hertb ivsn That:

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&er due considemtiol following a hcuing held pui:susrt to section 923(fl(?)

oltached copy ofltc findinge and conclusions, ycur

El

applicrtion for liecnsa dcscibcd abovt is denied.

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hav

t2) _

Since a mquost for hearing punuant to secton 9?3{lX2l ofTitla I 8, U.S,C., tas not rccoived, or tas not linrely received,
ar based ou rlre fndhrgs set ool in lhe attchd copy of fndirrgs and conclusions, your licesc described abovc is
rcvoked effectve

(3)

Recorrtsprescibcdunrler2TCFRl,al4TSforthelicensedescribcdabvcshallbedelvercdtoTFrvithin30daysofthcdatc
ls usi5s ls requircd ro bc discorrtnucd or shll bc documented to reflect delivery lo guccsssor, Sce 27 CFR 4?8,l2?.

I I

;4

[l

[m

Pfi 0 s ?t3
ontl

l-l

Delirrring

rpy f e notice folhE addruss stronn

belor
slt

APR rl g

U.S.C.,

your princpel plme ofbusincss,

fi]

Certified mail lo llrc address shorm belo$.

pattt,cr

?013

Jack'r Super ?arvn

2319

Sir lild Drive

Floriil 3251i5

Pensneola,

APR

*,,,r,*"

TOI3

#**
{Tf Fntn 300'll
R!T*

tult

zBJ

-t"': 1 ---

611

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J
MENI}ED ORIGINAL
Dcprrfnrnt of Jurlic

U.S.

9uru oflcobol, Tobacco, Firearms

EJ

thc ppliction for lictruc

U."o*b

Final Notice of llenial of pplication or

Revocation of Firems License

and Exptosiv

Mnufctrr

107l

f Flrraror fXhr Thl Dcstructfue

$84-041-0?-2H-02849

nd Addrcs! ofppcmtorLicenree lshatr

ftsd by; or

, issued

Hac

Dcrrlc-cc

,rrober, tFeel, cifi, state

andaP

to:

Cd)

Lct'Mrke r DrlPnu & Loan, LLC

{8l}

Vrrrdlu Dn

Colorrdo Springr, CO

Noticc ft
r r
\'

8lIll8

lIarby ivo Tat

Afrr duc cosiilcralon following

anached copy

ofths findingr d

a hcoring held pursut to stion 923$)p) of Tilla IE, U,S.C., aad on ihe basie of firiliogs sct out in thc
conclusioos, your

El

pplicio fcrlicmedesribedbovekdcniEd.

csnsescfltredrbove sv*cd,effcctivc

Ifyouadisrtsedwlththisrctionyouoawlhin60daysacrceiptoflhinotico,lilcaptitonptrsuutosctionA3$!3)ofTitlclS,

U.S.C.

forjudicial rcvir witl tlc U.S. Ditrist Court for the d*icr in ruhich you reeide or hevc yorr princal ptrca ofbusiness.

(2) _

| |
-

(3)

1
L-l

Sinccarcqutforhearingpureualosector923t(l)ofitlelS,US,C,,wasaoleeived.orvnottmclyrctvd,
and boscd on the

frrdhg rct out h

lhc aachcd copy of

6dingr

and comfusioau, your liccose describcd Ebovc ic

rwokcd cffectivc
Rccor& prescribcd uod 27 CFR lt 4?E for lhe licoc dcribd abovc thall bc delivcrd to ,{TF
ths brsisss b qutrtd o ta dbthucd or shll bc dgrartcd to clkct dctivcry to a ssor,

wib
S

30 days of tba datc

?? CFR {78,12?.

E
(

?ftt013

o X6 )

TF

tm

fl

ctivcling

copy oflhe nolicc !o

ttc

El
stle

Cedllcd

rdl

to sddress sown belo\.r,.

anHfinar

Let'rMkc Dtrl3wn
4t6llYurdiumDr.
Cahndo Sprlegr' C0 [09f8

7Altltt
Nolc Rclou Edtdm l Obdac

b X6
612

Erutlvc

Alrtl
rlIFE-FmtSlO.ll

[qirdr!1005

RIP

U.S. Ilepartmcnt of Justlce

Burcau of.{lcohol, Tobacco, Firearmr and Explosives

Final Nstice of Denial of Application or

Revocatiou of Firearms License

In the matteof:

The application for license

License Number

as

filed by; or

5-83-02$01.3-03850

ras

,{ Derler, Including Pwnbmkcr io Fircms Other Tba Detnelivc Dovices

, issued to:

Namc and Address of Applicalt or Licensee (Show number, street, cty, stte and ZIP ode)

(rc]
Demy's
1328 Besk Avsue

cody,1iy

8?414

Noticc Is Hereby GivenThat:

[7]

Ifyou
Tirle

(l)

enerueconsiderationfollowrgahearingheldpursuanttossction923((2)ofTitlelS,U.S.C.,ardonthebasisoffinrling$
set out the attachcd copy ofthe frndings ad coclusions, you

I
[l

application for license describod above is denied.

license describcd above is revoked, effective

30 days

iom

the da ofreceipt

within 60 days afcrreccipt of this noticc, file a petirionpursuart to secton 923(f)(3)

judioial review with the U.S. District Court for thc disict in which you reside or have your principal place of

are dissatisfied rvith this action you may,

18, U,S.C., for

of

business.

Since a requast for hearing pursuant to section 923(fl(2) ofitle I 8, U.S.C., was aot rcceived, or was nof timely received, and
basd on the tudings set out ia the attached copy offindings and concluisrs, your liccnse described absve is evoked

cfisctve

f]

(J)

Rccors prescribedunder2? cFR Pqrt 478 for the licene described absve shall hc delivercd o ATF within 30 days
to
to a successor.
date lhe busiaess is required io be discontinued or shall
See 2? CFR 478.127

Date

09nsfi013

I certiS that, on the datc bclow, I servcd tbe

b X6 )
f]

net;vcring a copy ofthe notice to th

below.

ofthc

Fircarms and Explosives

Co*nr *ul to tho address show beloy,

addr,ess shown

Name of Peson Scrved Please slale

DEteNotice Served

lf seled

on parmer or

oficer of corporaton)

,4ddresg Whcre Notice Served

Dale

09n5l2a
Nolc: PEviour

Edion

Ob,soltc

[re

Assistanl to thaSpeeil AgcJ

Chge (SAC)

ATF Fom J3l0.1

Rcviral July 2fl15

6t3

RIP

US

Dsprtilrht sfJrtic

Final Notice of Denial of Application or

Revocation of Firearms Llcense

Burau oflcohol lobco, Fircarm and Explosivcr

as

Ilrc rppttcation fo licnse

Ej

l;seNurnr -2]t]39-01-4C-34I93

. 8ed byi or

as Ilelcr ln Firctrms

tthct lhrn

Drsh ucdv! DtYfcr

, issucd te:

@rr,

(s'llsw fit',ner,

tiiry.

state nd ZIP Codq

RIPSBMWTNC,

NOLSATOCRFT
2?{ EROD SIREET

suMMII,

NEIry

Nt s Hlby

,,\
V

tERSy

t901

tjvc-l'hl:

due eonsidartion following a hcrring held pursurnt to srction

Aftct

9(fJ{2} oI

Iillc

18, U S C , and on the basis of findlngs 3ct oul n th

anachcd copy ofrc findngr and conclusiong your

[I

ppllcatio fo liccncc

fl

lecns" cribd abavc ls rvokd, cffbtivc

desostbd bove ls dnicd

Iiyourrcdissnisficdrryiththicactionyoumay,within60drysaflerroociptoflhisnoticc,filcapetilonp{uanttosection923$J{3)of
for judlcrl rcviax with rh. U S i$rct Coud fr rhc disrict n 'rhich ycu ridt or ha{9 your principel plc ol'bssinEs

(z)

(3)

litlclS' USC,

sTnccrroquestforhispursuaottossctiong23(fX2)oflitct8,usc*w*$&l4,H**,efqrrl[*oiqt*t

*lXl

nd bascd on tha findiogs sct out in lhe attchcd copy of ndings and couoluEir I'our liccnc doscibcd abovc

ir

rcvokcatcrcotiv APAL19't0t4

r- Rccords orcscibcd undcl 2 f CfR Pst 4I8 for ihc liccnsc dccribed bova shall bc dti.,,Gd to If within 30 day oI tlc ilt
lJ tcUusircssisrcquicdbdlsooatinrcdorshillbcdocumaicdttdtsetdcivsyloastccs!r Ses2?CFR4?8t2?'

4
0n

tc X 6 )

Dctivcrlng a copy ol theott lo

fil

tho$'n botoi',
(Pleasc traft

R1ryS

RWS BM1V

t{c, OLF

ctin*

arail to lho ddn6 shwn blow

onparttter or

(IGD)

BMlt' r{C,ndl,rs

AUIOCRF

2i4 BNOADSTREEI

suMMIr,

tglry JERSEY o?9ol

5X6)
Slto

Na: P*lor liriu f Obohc

^ItEFon
R6eb.dJuly t00t

614

RIP

r
ILS. Dep*tmcut of Jusce
urau ofAlcobol, lobacc, Fbcarml rnd Exglosves

F'inal Notiee of Ilbnid of Application or

Rey.ocrtion of f,'lrearm License

In tho m8ttr o.

[-] fnsapirlicationforliccoses . '

[J

r-ircnruiii*o

&.1+093-01-5F-00814

r8

'
s dcgla in ftgrsr other

, ssued

Nrms andAddle* ofpplicant or

(how wulier, tet,'cty,

-.
tb ductiv

,filealbyior
daicps

to:

state

gndWP Cad)

targct Sports, Inc ;

I?2 SrntcpRlrd
Ohnvillc, Ncw Yott 1212

Notiol Is Hereby iren Tht:

fl](t)

Afferdueconsidcraiionfollowingehcaringheldrrrsuenttsstiscg23(f)(2)ofitlcls,tts.C,andonthebrsircffindiogs
yuu

set out ir the attached copy of the findings and conclurioor,

f,l

appllcation fo licsnse dersibsd bovc is denicd

ticcnre Ucroibcd abvc i ievoked, effective

If yuu ue didified with thir action you mar, withir 60 days ofter recc of tbis ncticc, filc r petitcr purruaut to Bection 923tfX3) of
f itl lS; IJ S C., for judielal reviw wit the U.S istrict Court for the dishict in r*hich you rosido or havc your prircql pls! of
busiscss,

[t

z sia.a

s.c,#ffiffi4unonooaapciai

request for hcarLg purqot b 'saeriot 923(f](2] ot'Iittel , u

set out in rc attachod copy of'ffndings aod conclurions;

bcil "or tc fbdings

cfutive

[J p

$ttdv.tufsv

ynu

license described

a,i

bovr is revokcd

12. ?014

necm0e prcsribed rlnder 27 CFR Part 4t8 for thc lieenso dcrbcd aove shall bc delivcred b ,{TF rvi*ri 39 day of tbe
datc tho bueicss lo rcquired to bc diseordnud sr ohsll b dscumefsd to eflt dclively to a sscccsscr

8ee21 fP-478.127.

IlaF

( t
I ervod thc

on

X6 )
m

cliverng s copy of tle uotic to

rd&eq shotn beloua.

of Pror Servcd (?lease $ate

DtcNoticc

by
oeil to thc ad&* shtrt6b1orr'-

tf

setveil anpazer

orofic

of rporcan)

4.t/,'
NoticcSorved

Adilcss

t22 SatogpRo4 Gtoavill, Nr

DT

./F-H

t: Fnvioru

Edition

2302

b X6 )

'r'l
ir.or t,
nv&td'n 2001

Obrotcc

6r5

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f

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ef

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Bruru of Lolsl. Tobcro. Fitmr rn

fl

nr

tpcrrtan

fr

ticrr

Flnsl Nolise sf llenirl of Applicatlon

Revoctlon of Firelrms License

lo,rirtr

. tltrrl

E Llnsc Hntq t S.0tl.Sl.5C{.U55

Doltl rf Flrcrmr O&:r lbrr ltclnrtr

or

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U.5. Oiurlt Corlr forttl dilct h ttLhfou llddcolruwylst prhdpl plrr of blr'rrsr.

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fffinllfrfr::tiitthcrttxlrcdtapyoflirdhsu'!!ttteqllrllrarlrrniHi*l

Shrl r nqgcl

for

tcrrg

tl, rcl Xod rr*hcd tndcr 1? CFR fn .f18 lor e [t*rsc &rgitcd ! lnll tc dllrcq !r F ritlln 3tl drr of h tl
lJ r* ut rsqrlrd to c dkcouGd st !tt!f lc &crilrtsd to rlhct drllvcty o $o. Sc It Cm rl ll?.

tar

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Vlrf. C.l llt{T

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616

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Flnl Nofice of llcnid of pplicetion or

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rto

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ptt*r-

for

llcas

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dEdrcd copy ofthc fudinp ond conchslonr, your

fl

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rcr{bd &lYs

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lr*.

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(ll- _
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Slnt Notlco of llenisl of Appllcatlon or

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Tobxqlhrlnn ad

I'tnrl Nodes ofDprlal of pp.llctlon or

lsYocrfon of Flrcarms Llcenes

gS&it

"

no.ptrotn ltr llctnn

El

l&aaatuurhr etnfr.lJ{19,10

,6 r dclch rrlrf,

olftor

ltfi

,tlledby;o

drlncllw drrlg

.hqdloi

t;*

6mEdrdVffl!lorlpcflll or&HE rltrfiFaaitrtt J

DPLlnno'flhr fn.
y'alhfEon t

Li?tft!?ldor aollr
Colcnburg Poroylrrnh ll16

rr\
t'/

AlkrdrorrsldcrtlontbllowingohlsllHpmttorccl&nfl3($ploflilht US,C,.ndttrdrofflnrfin*ltosthlhs
rnrlud cop)' of tb fludnr ord cotrla yur

.fpXc*o trllcr dorslhd bow l delcd.

f]

fcqnoctorncovr hrovksrt,rfroln
9:(fxt) of Tlth t8,

u.s.c'

tlpUS.

*,7

brB

.ltt

mr
ygoa

not

tlnrly rcrld,

furlbcdeov! tr

sn

oll

naodprlbcdudcr2?

-r1 {uhlm$bnstFbo
lJ

ICI

Dq*clg r .o

oll db!

fil

b o rd! ,eom bllotr'

CaenA rnrn o nn rddsstn tohnr,

frr

ll?t$hrldr $rnd
Coonrurg lrnryhnd

drhlrlhc lrglorl Irhta

3
la}

hrl61..r

,t'FE.ttrrL0.t
n dr}l.1$0,

621

RIP

rl
' u.S. Dtruo.nl

OUPLICATE
Notice sf Denirl of Application
ORIG
of Firerrms License

ofJrlk

Euru ofAlcohol Tobcco, Fl:n

nnd Erploslvce

Tfrcrplicarionfoticos

Liccnc Nrmbcr

,lilcdbyior

t-l&l5t{lt.3l0'069t

r Dcdtr, ln Flrcrmr
,

Hqar

ard Arldcar

rshrl Amno

0ll

N.

of Appliont or Linscc fgrru nnn c?,

or

ttfttr. clr,

rlaG

Olbcr

Thr llcrlrsclfuc Dsvlcr

lsurd tol

ad UF Cdc)

ll rnr' la'

trlrSrrl

rchdrlq North Crrotl 1716l

Nslcc t 9fEy ttvcn lE$

rr
'

,
1r

a hcuig hcld prrurl to scctlon 923(fXl) of Titlc

frnding lnd conclrsiorl* yotr

.Alh duc consftlcrdon follorving

had copy of

lk

il

ppllcqtton for

s|

l.:*c cgEribcd bsve i rrvokc{

llnc dcscibed

t, U.$.C" lnd cn tic baris of linilingr rct ost in l

ovc r dcttic

cffcctivc

tS

d}r fotn rtcpr of lbk otlsG

,

U,S,C,,

lfyoutdisstifcdwiththisoctionyoumay,rvthin60drysrflcrhlofthismlicc,flcrpctitionpursustlos*loagl3(Q(3)ofTitlc3,
forudicd rcvb.v rrith thc U.S. Digict Cout for thc distict in nich yu sidc or hrvl your piacipl phcc of btsincrs
(2)

t3)

forh*rhg porsuoa to$ction 913(fX2) ofTltlc lE, U.s.C., rmmt rccclw{ or wus norlnely rc!rd,
nd bcl on ths findingr sct olt in thc uachcd copy of linding d cltlios, tour lccnc &scritrd lbovc ir

il

Slncc a qucst

rwokrd cflcctlvc

r--r

ll

Rcordr rcibcd un&r ?7 CFR Prt 471 for lhc llcsns dcscrlbcd ovc hsll bc dclivctcd lo ATF wilbi 30 dy cf fln datc
brrslnis ir nquid fo bc diseontinrd o shtl bc hcumntd lo raflccl dclivcry to succcsstr. S 27 CF 4?S,2?.

rho

l-ll-f{

ircfor
FC'3n

Octivdng r coy olthc notlcc

to thc ddss down

belo*,, frl

Ccrtifca mlll

tolo

sltla

Ammo

ll

Arnr

lt

tl)8tl N.Ilhlrad
Archdlc' Norlh

Crtll

-/74
ld: fErlor Edld b Olb

2?l6il

b X6
622

larllrtry Orntlr flagrrm +lrrhtrlt

E

fctlt!00.1t

fldrsd rCff00t
^TT

RIP

V
U.S. D3p.rlmnl of

Js$

Buc, ofAlctltol, Tatccc,

Fiurl Hotice of llenil of Application or

Ficurr md Erploriv*r

Rcvocation of Frerrms License

, lilcd by; or

oppti*onfcrlicsnc

,rs r Dc*lcrin Fiunns,

Licrrgc Nurc l-5&18342-SE4lrll

DrtlY Dvlc.t

Nc rd ddtct olp$lidnt or Lcctscie f.tol

dvrn*\ tft,

etty, tlate at

Plwbrokcr.

otrlhn

ir*ed to

L:rtcl

nrrJcn Pnr-Fos, l.

$lt Vllniros Strcat

Rklgt, HC t?f03

l,Llll

,r
1r'

tlyor

All$

duc consktcration followng E hcaeing hcl{ plr:rusrl to

copy oftlrc lndings md cooctusiors, your

i*clio 923{f[:)

of

Titk l3'

U.S.C.' lnd ort thc blsis of

fidin$

5t[ o$t n ihc

lttrchul

sppli*tq for lice*c dscibcd aovc dcnieI.

ticear *crcrthd bovc is rwoksd, cftlc{lvc

am

dir*tisfird o,ith tlis rrtion you moy, witlrln 60 ys allcr rcccipl of this nolicc, {lc a pctltbnununntto**ion 92}{fX3} olTiltc lS, U;S,C,,
rcvlerv rrilr lhe {,S, Blricl Cortrr for thc dilri* in whish ou ruidc or hlvc your principal plact of busincx.

foirdtcfd

(2)

lXi
-.
-

(3) rt:;t

!l

Shcc r rc$crl for heein puaoul ls {ctio 923(fX2} ofT{c I $. U.5-C, rlls nr tl"seved or rms nu triocl ccivcd,
d bscd on rhc findingr la out ln tlc tlgched copy of findirqgs lnrl conclusions, your liccnsc dcgcribcd lbove is

rsvoldelfsglvc Fcbrurry2lr2lll4
Rccord escribcd under x? CSR Ft 4?t for r tirore dcscdbcd bovr all c dclivrscd lo ATF *itlin 30 dy of ths dc
thsbrrlncslsrcqulrcdtocdicondnrcdorhllblcdocrnnetdtolhudcliveryloricsest{tr $cc2?tl:R,|?El2?.

Frtnrryll'

f]

201l

Odtvcrtng

Frhnrr11,l0lC

o copy of thc notlcc

rhc rddrf:s shawrr

brlow.

fi}

(lx(

:GDIGD)

l4t0 Soutft lYllnln8lr Str.[ Fllgh, fiC, 276$3

frrrryll,2lll;l

( bX6 )

lolf rrlo Anid lro*ol{c

Oirmlor

f lndrry Opcnolr
foi ttF.l3
Frl*Jrlytt
T? E

623

RIP

U.$ Dpff s[( of Julkl

Fllnl

smsu irthdoLrorceo. tltornri ordlrgldwr

El

lrooppllclonor Ilclnr

fI

unuurrrbcr

Notlce of Dmlnl ofApplicetio*

Incldfi8 rokrrr l Elnrnr Olrr tffi lhrlrilllv.

Bcnlar,

or

Rovocflon of Flrtrrm License

-tz : OLyS1

I.rl8rl

'

llGd

t:

,tt
,

l$rd

ls

&ylor'r Trrdld !o1, L,LC.

?30 Uirprr Tonrplc lonit
llglorvllla, Prnrsyler l

llt

.r\
1'/

ABcrdrpcoldcollolfollor+lgatrtlhcldpgurtuetlon9I3$Xl)ofTal8,ItJS.qdollbuhoflindlt8!to*ltlo
rtholtrd copy of tlltndlur urdcmchubol,

tur

El

rrorfo"fotlbqi6drlibdorl&t!

*or**"rt*otorobrgkd' !frrtet

lltouillsotllhdnlhrlllroth'oury,l{llltr0rfranueloftldrmtkssfdqrF.uBnlbllb92t(t{3}olItlat8'
thsU.S, Dhflct Cour &r0dlt{si h xl&hyou ru[dootbrwurglndpal plsolhts.

US,C,,

hrlrdlbl $vtowwl[r

(l)
r

Slc o

n$!*

for tc0rltB ursrrlt rdot 9t0{ ofIlb lS. U.$C. nu not cs?lvcd, ot not rlrndy r:mtwd,
rot ort ln tlro attctrd c@y olfldlng urd orsludoo{ you ltcto dalbcd otow l

- ffi:#Atnrllngr
U
n
u

Rcordrprurclbcd$ldcriTcFRprd.t?irrlkrcdcrthdbvrllo&llvdlor$slrh3odoyrofrodtc
Sci?rCFt.?8.|U?.
thobukrarbrcqr{rdtotcdlsrondurcdnbr[bo&rntdrdkct&Srcrytoltf.

Dl:actor

ocurrrloaegy

trole? b

tddrrtom

hhu.

fil

odneo nott

d&{ll

Jorn

hlow.

llp*Trodrord
illonlPculrkmh iIJQ

?3iL

Ailmlnlrlrnlln grryorl Arblfnf

1lttmr!.13

tl. hrlru ldtlr l Olcktr

ln.dJUtt

624

RIP

UJ$

Dr!rLnl ofJlrlk

Flnrl Notlce of Ilenhl ofAppllcrtion or

of
Llcense

.8umu of Ahol, Tocco, Finormr rnd Exploclvcr

ln ths mtlEr ofi

gs

fl

Thc rppticrtion for tlccnc

El

LiccnrcNrmcr 548.t0?.{il-tE{rt8l

, fitcd by

t5

o$cr tl! d$gr dcvlc

I'Irms rnd Addrct

or

dcalcrin liunr

i:rucd tol

ppliconl or Liccscc lt$'t ltile stltet,

cill, tlalc ,n ZIP

Code)

rvcrlrlumb*. lm.

4tMsSutt
Md City, Ksn!.t 660t

Nolicc ls

ll*cby Glvcn Thol:

f-l(l)
I
f]

\tcrducconidcrrionfollowingohuringhcldpunurnttosc.riong23(ffi?)ofTilletE,U.S,C.,andonlhcbisoffindingr
!t out i lh tlaehd copy of thc lirdlog and concltslonr, ycur
rpplicltion lar liccnc dcscibcd lbovc is dcnisd.

li*'re dccribcd rbove ir rcvokcd, ctlecti*c

tfyou sn dirsorlicd wlrl tils lon you mly, withln 60 doys lflr recciptflhir noticc. lile ctition Fnnl to rcclon 923(fXt) of
Tirl l& U.S.C.. forjudicill cvicw rvith thc U.S. Dhtricl Couil for lhc ii:trfut ln which you ridr orhavr your prlnciprl plrcc of
buslnc.

E ( Sioce o gr.sl for hcod$g plruoil lo !lon 921{0(2}

of Tih 18, U,S,C., nss nol Gccivcd, or ws nol timly $clvc4 snd
bsd on rhc llndngs rrt out r th lttlchrd copy of findingr ud ronclurlons, yoor liccnrc dcrcibd bovc ls,cvokcd
cffcctivc t 5 dw boon nctiut oftlrir Flnl aicc

f7l )
gr,

pcscribcd undcr 2? CFR Pdrt 4?8 for lhr liccne decrlbcd obow hll bc dctlwrcd lo ATF within 30 dlys of
Rcords
1o bc diconliucd or shll c documcnlcd to rcllcct dclivrry lo r ruccc,ssor.

thr

dlc lhe burnc! ir rcquircd

ft:2?

CFR {?8.11?.

of

Dlc

dtc

I cerri$ rrt, on

I crrsd lhc bova

on lhc pemon

[l

Dcliverlag r cqy of the noticc to thc

bown blorv.

lilmc olPcrson

Dat Noticc Scrvc

IIIGD)

lnd Errlorivlr Oflicirl

c*d

Ccrtilicd rnall to lhc nddr bo*n bslory,

(Plcase statc dsened

ta

partrer or atftccr of crporalion)

FrcrHcnt Avcry Lurnbcr, tac,

Arldrst

{l MirSrtt

Motnd

Cty,l(llt! f056

Drlc

,r

SotV

ltt

b X6 )

Tf F.{ t!ro.

trlat: Pcuisur Ertlli tr Obrllc

ll

tctrd ld f!a,

625

RIP

1/

U,g llsprrtrl of Jll

Burcru ofAlcohol. Ioacco, Fircrrmr

Finil

ud Erglosivcr

Notice of Denlal of Appllcation

of Fireln Llcsns

or

ln tha mt o[,

f] Ihcryph'crtionforliccn

[f

,lilcdbye

LicenreNumtcr 5-41.{14?{7.6S10763
of bsr th

drtdlrc deccr

, irsucd to;

HmcndAddrarsof,{pplicailorLccnxa (Sorrannrlritrrlt}'.rrtrdaelZlPCdct

IEIIGIIYA*torllu
It9E,frfttrd.

tdspcndauq MO fi055

?ol' C.r/7 at/

rf^f

lby irtn Tht:

Notira Ir

f-lll)

Afrduccoqldcrlonfollorvfngaharinhcldpursuontla*etiongttfiX2lofTi{lE,U.S,C.,donthabaloffindings
st our i tc sttachcd copy ofrhc findlnr lnil corclusions. your

I rpplcrtion fo tccns deeribd rbovc i dnicd,

E liecnr Ccscribcd rbort i rrr'okcit, ctfectir,e
lfyou rrc d:ratirlid rvith thi retio you may, within 60 dayr alcr r*sipt ofhis notioq filc a ttiton punuanl to r.clion 92(fX3) of
I E, U.S.t,, forjudcid eviru rrit hE U.S. Drict Coun for hc dirtcl i rrich you rrsidc or h*r your prnciprl phcc of

Title

bui*s.

fl)

So.c r r.qucrr for hariug prrurl to rrcon 9:l((l) oftik 18, U,S.t" t nor nrcivcd. or *rs rtot limcly nrcrrd, rnd
bgcd on tbe frndings srt out n thc ttchd crpy cffndilgr rnd conclusionl your licrnsa dscibtd rtov i ravokd
rfctiv: t I ds or ior of $b nnrf XC

l7l F] kcordr

pccribcd under 2? CF
rhs busincsr ir rrqtlrcd to be
Scc 2? CFR l?t.l 27.

dlc

P* 4?8 for thc ticsnc dribil abovc shrll be delvtrcd TF nirbin

dieoilirucd or stelt bt dcrmrtcd to rcllact dclhtry to i ucc.slor,

30 dnys of tba

Ollicil

Dtc

-'
I scrti,Y

ritt,

r lc

I crvd

E.

l{btt

(m

''l

[l
flrulc

Carrica rnrlt lo th ddcc ho*n belov.

state tJstnod

aa

lnrn*

or o;lfcer utcatpat'alon)

Swd

ktridts lttdcnda*r,

MO 105t

D.

lilr

lcilo

Nmc of Pcoo errcd

D*eNric* Ssrvcd

Adtc

Dclivcring r copy ofthc notir ro thr

rddrr ho*n bslow,

a^

( bt X 6 )

i?f

Ecr'eJ ddo tt trkr

ll

t tlff.

nld telr l{0t

'

626

RIP

U.S. Icp.r{m!Dt of Jqtcc

Buru oflcohol, Tobcco, Fims and Exploaives

f]

rhc

El

Li.rs"Nurber 641lll9-lll'3t-3304!

Final Notice of Denil of Application or

Revocstion of Firerms License

, filed

appliction for liccrrsc as

e dcder in lr.rmr, othir thrn dtrutive

or

deyiccs.

, Issucd to:

Nme ard ddnss ofpplicant or Linxe (Sht number, strsel, cty, slate and ZIP Codc)

llc,

Currler'r Qurli Mrrkr

Clovlrs$.t
Glovqr, Yrtmoot llf839
2984

Nolicc Ir Hercby Oiven That

{t}

Aerdue considratioo following a bearing hcld punuanl to scctior 923((2) ofTitle lE, U.S.C., and on the bgir of{ndigs ret out in thc
ettrchcd copy ofthc ndings rnd ccelusios, you

fl

application for linsc dccribcd abov is deied.

liccns dcsclib,ed above is rcvokcd,

cffcc$vc

15 dayr

Fals re*lptofths

n*t

Ifyou ffe dissrtisfied with thig rctior you cray, witbin 60 dys lls rccipt of this noticg le a ptition psrsurnt to scLio 923(fr{3} ofThle 18, U,S.C.,
forjudicirl ravcw*ith thc .S. Disrigtcorr frr th district in wlriehyou reside orbave yourpriucipal plarc of busincss,
(2)

Sinc r qucst for hdng Frsart t section 9?3i) of Tlle lt, U,S,C., ws at rrive4 o: wrs no limcly ccived,
and bsed on thc findngs set tut in the attached copy offrndilgs and concl*ions, your liecnse describsd bovc is
revakcd cffectiva

t3)

Rccordr prrscibcd undcr 2? CFR Pad 4?8 for tlrc liccnc dscribcd alovc shll be deli!red to ,TF within 30 days ofthe dte
the bsincss is requd to bc discontinutd or shtl bc documnEd to rcfhct dclivcry to succlssor, Scc 2? CFR 4?8.12?.

l4J

(ICI

tB6n4

tn

[l

on tlre plrson

clivaing

ccpy of thc noticc to thc ddnss shown

law.

fif

C.*n rn*l to b ddrcs

on pnrtttar

(Pleese stte

ot

shorr'n bclorv,

otcorporaton)

cilCI)

rjrodf?014
Scrvsd

Clrricr'r Qurlig Markct Inc.

2ti{ Glovlrsfca
GlovrrVcrmont

115839

[xq)

B3lrf201
Nora

Frviru &llti

b Ob:olao

Ilircctor, Indrrlry Opretlous

ATF

E-fffi

J00.1t

Rai*dJl?005

627

RIP

/
:

U.5, lIc:r rlmcnl of Julisc

Bureu of lcohcl Tocco. Firl.to$ nd

f*nppttcarhntbrlc{n$s

Liccas Humbcr 5-?6ltt"o1-{C-35l&

Olh

Tlr

Final Natice of Dcnial of Applicatin or

Revocation of Firearms License

irploii

lilcdby;or
,

* I llcelcr, insluding fln'lbroklr, h Firc*mr

ll!5lrucllra Dcvicl*

, irsucrt to:

Nmc ond ddfi:s5 of pplirant or Licensec .1llr nralrca ,lrEt, cily, slale nd ZIP Codc)
lll Pw Ic.

ll Prvn
259f1? I 45 Torh

tiprhg.'l"crnl flJt0

(tl

llcr rtuc considrrotion fotlorvog a l*orng lrcld pursuml lo suclion 9!3tfJ(Z)

oruchcrt copy oftc findings nnd conclurions, your

plilion for

El

l.*ro d.odbcrt bov is rcvokcd, clcct'e

olTitlc

18, U.S,C., rnrl on dre baci of lindirgs scl out in lhc

tiesns dc-r*rib:d abcvr ls dcnicd.

fl dnls

lftcr

rceelp!

tt

COB

lfyouorcdirsatlstedrrhrhlscrionyournly,r*ithin60doysrlterercfptofllrisnoticc,filcurtltionpurruantts*-tion*lJ(f){3}olTitlclS.
foijudicial rulicu niil thc U5. istiet Cou*
{2}

(3)

Sncc

for

thl ditria in nhich 5ou

rcside

orhrte

U-S.C-

;our princlprl lacu of busincs.

tn isston 923t(2) of 'l'itlu I , U.S.C., *us nrt ruccit'cd, or rrts nol tily rrcci'ld,
sct tt in ths lttachcd,cory of ndingr rnd cancluson, ycur lccnsc rltccrihd sbvc lc

I rr.qlcst fbr hcving unuont

e findingr
nirLrdclfcgth'c

l^l

ll busncls is rcquircd ro

nrt bsed on

ftcconls prescrlhcd urxlcr 2?

CfR Pc

l?E for lhe licnrc dxcritxd ttbove shsll be dcllri.sd lo ,\T $n 3ll da'*ufths dtttc
lhrll be documcrrlcd to rcfcct rhlvcry lo succss{rr, 5c ?? CFR 4?ff.llU

be rlhcontinuerl or

Dslc

f]

Diector of Industry Operations

[r@)

Itlay30, ?lJ
on

uclrcdng a cr of thc no:icc to thc oltrtress shotn

JUil

Zg

IOICI

llor'. lXl cnificd rnatl to

o,

2.f?0? f .15 liurlh

lipringTcr*r ??Jtl0

lUty

10,

Indu*tr (lprrutions

3{llJ

:lnrrl
.l I ,l r ar
RrnolJ lll{f

tcadc ltarct I l&il 11lrltgBla

628

RIP

/
1

U.9 llrnrrnrrnl of
Burrou of

Jullcl

i{loholTobreq Flrcsm

fi|

Final Noticc of cnhl of Applicetlon or

Revocrlion of tr'irenrms Licene

rd rplo.lvrg

Tlspplconfolc$ssr dsshlnfrcrlothrthrtFtnclh'cdltlcr,llccnrl$?J-ltl?-t-lC-!4li?l

I lkucNumb.r-

,ltled6or

rat
. isncd to:

s.tt, cltl,

Nnc rd ddrs of pplElnt or .icsnrs ffrrar ,1116!.

tltd ar

aP c)

Gqumcnt

2lprcbc trord NE
Pdrooh Oklpbsrus

?.]l!?E

HoUs r lJ Culn Tali

.,,
\
"

Aflcrduoconslderarhnfolbnlngllninglrldprnuontloscclo$t13{f(2ofTitlc13,U,S.C,,ndontleblroffndi4sscguthlh
ollhcd copy of lhc lrdingr 6nd conduloru, nur

El

rpplicorion

E]

n***r.bcd

forliccr

dcrrbcd obor l

&krl
15

bons l rcrt&od,cffcstirt

dsl nftr rc*l of l&k lYrthc

lfru

fle n pdithn F5rt ro r.crion 9LX(3! of Tltl

orc dicstirficd vth thi lion
nrry, rvithin 60 dcl/! 0rr rlpt of L
'lollc!,
forJrdlclal rlelv nl c U.S. Dlrdcl
'oCourt fsr $ dfdct h ryhlc{r }u nsldc or hnrc your pdrr{pal plo of bushsr.

{2}

Slncs nqucst fbr lxndng purllt l rqhn

n3{fi2) ofitk lt,

U..$.C"

$rr

nol reh'cd or rvrs nfl timcll

- g|ffi#iiirfindlogr r out l rhr r$hcd copy of liullnss d condushru. your lltltt. ssibcd
U

tl)

ll

nbovc

lt,

U,S.C.,

nlvc4
b

Rccotrpreritcrlundcr2?Ct[tkr{,{?Elilrthclccnscdcrcribrdabotrhdlbc&llr*dtoATFrvlthS0doylofdrcdlc

tlnbucinehnirdtobcrlisortlnrcdorlullkdocrsntcdtcnllcrtdsllrtryrrclsrr.Sco2?CfR{?tl1?.

f]

ocuvig

copy of tls rotlc o tfu lrtds rhorn

lalol.

fil

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U.S.

Drpsrtmrt

of Jutlce

Final Notice of Denial of pplication or

Revocation of Firearms License

Burrau oflcohol, Tobcco, Finarms rnd Explosivcs

6rttrr

Tha ppltcio for liccnsc as

Ucsc NDbcr 601007.81-9D{0276

, filcd by; or

, as s deler

l llrrms

othsr thn dctnetive dcvlc

,isucd tol
sltzct, city, ttate

or
tloxreD
d/b/a

?olieDtpot

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,
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flcr due conslderadon followiog a lcaing held pqrsum lo

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fl

rypncaron for llccnsc described above is denied.

f]

$scnsc dcscribed bovc i* rgvo}ed,

sEson 923((2) of

Titlc

18, U.S,C., nd on thc brsis

offirdings

st

out n lhe

effcgt
l'iloapetltionpunuan!toslcto923X3)ofTitlElE, U.$.C,,

lfyou$cdissatisficdwitithisaaionyoumawithln0daysaercciptoffhlsnotice,

foijudicial reviewwith thc U.S. Dstrct Cort for th distrigtl$ ,rhiehyou riito or havelourprinoipal plrce of buiness.
(2)

lXl
.-

F) wr
lllJ

Sinec a request for hccing pusuant t scclion 923(fX2) ofTid+ 18, U,S,C,, ,,ras not received, or uas *ot timety rcived,
ad bcd on tha findings sct out in thc etlactrcd py offindings and conclusionr, yorr ticcrse dsbd sbcvc is
revokcd etreclive 60 drys rtr raccipt ofthis linl noticc

Rccords prescribcd uder 2? CFR Par 478 for the liesso describcd abovc shll bc dstivccd to TF wirin 30 days of tlrs date
thc busncss is requird to bc dlscontinusd or shll bc documentcdto rcflcct delivcry lo a succror. S 27 CFR 4?8,127.

J/
on

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Davcring a copy of ttre

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thc addra* shorvn bclow.

stsle

ffi

Ccrti{icd mail o tbc address stroun belorv,

gt

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Drprrlnrnl

of Jrs6ec

Finrl Notice of Denil

Burcru ol.{lcohol. Tobrrto, Fiorms rnd Explortvcs

of Applieatlon

or

Revoction of Firearms License

In thc msttcr of;

il
t7!

no

rpplication for licn as

.lilcd by: or

-_**-*---:.--

LicanreNumbcr 5*?5415.lll4O{}{l9t

rs

dstr n Frenns

othcs th! dcltntr"

ddic.3

, issucd te:

llanrc and .Adds :rf pplicant or Licctscc f.ffiorr umb*,

$eer,

cl,,

suleaul

Z,lF Cade|

Sill'Gun fndr, LLC

dl Eitl! 8u Tndr
5t sou Chrstut Stst

Lltin. Tsr

?5901

Noticc ls llcrcby Cvcn Tlratr

f7l (lJ

Aftcr duc considsnro$ following

a hccring kcld pursurnt lo eclon 923f)1?)

ofittc

18, U.S.C,, nd on thc

bir offlnding

s out in thc attchcd ropy ofthc findings rnd conclusionr. ycur

f,

application for liccnsc dcscrbcd bsvs i dcnicd'

lZl

liccnEc dacribcd abovc is rcvokcd, cfcclivc

ll

darr Eom coir of Frrul lrlotice

lfyou arc dirsarisficd rvirh this redoo you mry, withn 50 dayr aflcr rcccigt ofthir noticr, filc o pctition pu$rnt to ection 9?3(fX3)
Tiil t8, U.E,C,, for judicial rviaw *ith tbc U.S. Disrict Courr for ths dstrict in wlrct yog rcsidc or havctour prilctpalplacc of

of

busincss.

f!

r.qucr for sarig pusunr lo cclion 923(fr{2) o_f Ttk 18, U.S.C,, n's not rcccivcd, or wa ngr limtty ccivcd* and
bsrcrt "on thc firdings sct out in hc rtchcd copy of findiags and conclisions, your liccrut dcrcrlbcd abov i rcvohd

{Z} Sinc*

cffc.ctvc
l/l f

'

nccorde prrscribed lndar 2? tFR Prt 4?8 for tlc liccnc dscribcd bovc h.ll b dclivrrrd to A.TF within 3 dye of thc
date thc bueincss is rcquircd o t o drolinucd or hrll bc docucnd l rtlltcl dclivcry 1o r sccrsot,
Scc Z? CFR4?.I27

tr

ccriry thst" oa t{rc datc bale*.

l--l
-

Dclivering

a copy

b X6
[l

oi thc nlic lo lhc

Ccrricd mail o tbc aitdns shown bclsw.

addrccs shor,r bslol,v.

Dtc Noticc Scn cd

Nama ofPron Scrvcd

fPlqr srat. lfren rl on partrcr ar aficer ocorpartlon)

Mnbc
ddrcr $lberc Nolicc Scrvcd
Jl4 1f,h Ch6ut S!r, Lufidr, Tcsr

Dtc

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t{ot6

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Fcvlos Slio fr obrolac

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UJI Drdnrot

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Flnl Notice of llenirl of Application

Revocatioa of Firerms License

ofhott,Tobocto, Fircuur l E*pit*

Tudlcrooforlk*r
E f.*n

.lilcd5r

f*ttc i.?5-$t{l.sf41?55

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gmcd cW of lhc fhdtn nd rurclusiml yon

fl odi** fo.ccdcitcdtocsi5
fl

firlncotrttov

ekd.

irnvolr4clTcctir

f p dlgklinl rrlth rhir aaloa rl rnry, rr{rlh 6O &: oflcr cc ofthk mticC lh pallon nrrl to rcchtt 9lt{f[3] sflltlc E
ftjdldl k$ wi rc US. Dklc cotrr fo lbc dltb b ft uu rrddc or hlw c rrinclpl plms of uhcr.
I

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ffitrJnffiii#Jf

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\f
U.S, Dcpu'lmcnt of Juslice

Final Notice of Denial of Application o

Revocation of Firearms License

Burcu oflcohol, TolEcco, Fiarms and Explosivcs

the nlallr

fl ncapptieationforlscnsss

,{tedby;or

E LiccnseNumbsr 9-86-lt-t1-lF-0t889

s delcr ln

fircrrn othcr lhn cstrucllvs drtlta

, iscd to:

Name nd Arldres: of Applcant orlicensee (Sjtots nwrber, sttt, clly, stal and ilIP Co&)

d/b/r Gun FX
82$ S. Crlllornl Avcnur, No. 109
Prrkcr' rizon 85344

Notc Is llsby Civn Tht:

rr
\'

Aftr duc conridertiqn followg r hcaring hcld pursucot

nchcd copy oflhe findings and conclusions, your

f,

rpplic*ion for liensc dcsaribrd bovc

in descricd bove is rwkcd, cllcctive

tt

scction 923(f(2)

ofTitlc

18, U.S.C,, nd on lhe

buis of tndings sot ol

n th

is dud.

c dissatirfiad rvitb tbis action you may, xithin 60 days efter rocalpt oflhis aoflcc, filc a pctition pursuant to roolion 923${3) ofTitlc 18, U.S.C,,
forjudicial rcview wiih lh U.S. Dilict Caurt for th district in whieh you residc or lave yolr princlpll placc ofbusincss.

Ifyou

wLlhrr{

(?i

(3)

E
4

!l

silccarcqucstforhcrrlngpursuanttoscction923ff}(2)ofTillclE,US.C.,1vasW,
d

bacd on ths firrdirrgs rct

vokcd

eflctivc

outin tl ttacbed

copy offindings and conclurionq you llcnsc dcscribed above

Mere& 31' 2014.

Racordrprccibcdundc27CFRfart4?&forl&clic*cdc*ibcdrbwcshllbedcliycndtoTFwithinS0dstseflhedat
s6u3inEsrisrequircdtobediscontlnucdorshallbdoqrmentedtotefectdlivgrttoiuccessor.

z zafi/

"T

-/
Bdivcrinr

a c.opy

See2?CFR478.127.

of tho notice to lhe-sildres slorm

bctory. I

CutifieU raril lo lhc addtecs hown bclsrv.

I@

ffi

Eo
IF forn53013

Hol$

Rcvi*d lu 2005

633

RIP

U.S. Deprrtment rf Juticc

Burcsu of lcohol, Tobrroco, Frenrms and xplosives

Final Notice of enisl of .Application or

Revocation af Firearms License

ths mrt

fl

Th rpplication for licnse

ffi

ticenoltu*bcr
as

, filcd bv; or

sr r Mnufrctur.r

9-86029d9 rndg{6-02918

Manufscturcrof mmuition

sf Fir4rms Othcr Thn Dccfrurtiv Dcviccs ad

, issucd to:

Name and ddress ofpplicant ur Licanff,e (:;haw number, street, eity, slale and ZtP Code)

Ct Ssr*'icls LLC

d/I/

C3

rm

Iftll Norlb 35th

vnue #3

Plrornir, rizona

85{153

Notice Is Here Giver Tht:

After due considerrior following a hearing held pursunt !o seetiori 923(tX?) of Title
rtched copy ofthe fndings and conclusions, your

\'.
,

[l

applicrion fsr liccnsc dcscribcd above is dcnd.

fl

lio*"

d"r.ribcd above

is revokcd,

I E,

U.S.C., d on lhe basis of findings st ut in tht

clfcctive

If you arc dissadsfred with rhis ction you may, within 0 dys aer ree of thir r:ctice, file petitio pursuant lo section 923(f){3)
forjudicial review rvirh thc tl.S. DisFict Cou* fbr e distict in which you rcside or have your principal place ofbusinxs.
(2"1

(3)

_
ffi
-

Sincc a rcquest for hearing pursuant to sectin 923(fI2) ofitle 18, U-S.C., wts nol rccivcd, or rlts not tirncl,v received,
ond cd on th findings set ut i the aflchd copy offdjngs nd conclusions, your lcense descrbcd nbov is

4
ll

Rccords prcscribcd under 27 CFR Part 478 fur the linsc dcscribcd bove shll be dclivercd to ATF within 30 days of thc datc

revokedeffective JrnurryT'20t4

thebusincssisrcquiredtobediscontindorshailbedoumcedrorcflcotdeliverytoasuccesso.

f scrved

ufiuring

abovc

eopy of the notice

on

the ddress shown blorry'

ste

d(

flil6

(
litim lr b*le

i X 6 )

address shotYfi below.

Drc

Noto:

See27CFR4?8.127.

Yo

of Tftle 18, U.S.C..

bX6)
634

TF .fon 530{l 13
RGlird ily 200f

RIP

tf
US. llcptnent of .turtlc.
Bunlu oflcohol Tobcco, Firearms

Finl Notice sf enial ol'Application or

and Explosi','es

Revocafion of Firearms Lirense

In the matter of:

Theapptictionforlicenseas

fl

.LiccnreNumber 6-r{-02r4r4K-1438

r$

filcd

or

Dclsr in Finarns othcr tha Dsr&uelive Dcvics

issued to:

Nmc and ,4ddress of pplicant o L.iccnscc ($ho* anather strcet, cily,

statz

aul ZP Code)

Goods, lnc

Shrotcr Spoling
3067 Mai Scc

Vlatic, Hcw York 12184

lrloticc Ic llereby 6iven Tht:

(l)
u

Aflclducconsideratioufollowingahearingcldpursusnttosction923{f}t2)ofTitlel8,US,C.ndonthebasisolfindings
set out in the a$ched copy of the findings and conclusions, yout

applisation for licese descibed abovc is delied

f,

"*ru

descibcd above is revoked, effective

Ifyou are dissatisled with thi otioo y$ ny! within 60 days aller reccpt fthis notiec, file petitisn pursultt o sccton 923{f(3} of
Title 18, U.S C" for judicial reyiew with thc U S District Curt ft th di$trict in wtrich you reside or havc your princl pkce of
busincss

ffi

rqucst for heng pursunt ro sefion 9?3()(2] ol l itle ts, U s C., was not received or r,vrs ilot tmcly received, and
bed "on ths fndings set out in lhe aftached copy of findings and conclusions, your license dcscribed abovc ie evokcd

1e Sinru

effactive Octubc lll ?lr1

fi

{3}

ecords prcscribed under 27 CFR Prt 478 for the license describcd above shatl bo deliveed to ATF rviin 30 days of thc
dare th business is quired to bc diseondnued or shall bs documcutcd to rcflect delivery !0 a sccssor
Scc 27 CFR4?8 127

I'

( t5

t93Jr203

certif

taT, on the date below,

I scrvad

Defivering * copy of the notice

X6 )
fl

thc

addrcss shorvr below

Catified mnl ts the artdss honn bela'-

of Person Scrreil fPleare rtate

DateNotice Served

Ofticial

and

dvnetl

on

partnet or ofic ofcotporaton)

(ilt

9/J/r0r3
ddrss lffhere Noticc Scrvcd
3{,6? MnStse

Vsltic. Nw

Da

9An
Ithtcr Pevou! dilion

tzlg4

tc X 6 )

'-f
ATF Fom 5!00.11
Jub X,05

ls Obsoh.c

Ra"l$d

635

RIP

L/

IlS. Ilcprrlmclr of Jutlrc

Brcor of Alcotol.

Final Notice of Denirl of Applicatian or

Revocation of f irearms License

Tcco, Fitotrs d Erplosivst

c ppliorto

E]

LicenscNumbcr,l-'.dl.8l-lJ.t4t7

fcr licrc

, lilcd by;

ss Dlslcr (0f) r Fi!rms Othlr Tbrn Dclndv Dsvics

.

Nnc nd Addar of ,4ppliccnt or Licenrce /5o* nrn,

skt.l,

or

city' stt? nd zIP

irurd

to:

Cr)

tlre
dlHl Parrr ltlttll*y Firrmr
llOt Otlo flvcr otl
lYirdcrtburg. OII 45694

(t)

,{llcrdccraldertion fcllorving uhcaringlrld purrrrtlo!do y3(f[2}

tuclrd copy oltltc findings

qffitlc

18, U.S.C., nd on thc bb

of lindngs3cl out in rc

and conclusionr, your

spplicttion for licsttsc dftctibrd

c*se cs.ribed bovc i rgtoked, effcclvc

*svsis dcnlc4

lfyou ur dirsarblied rvith thlr oion yur mo rvirln 60 drys dler cdpt ofthls noticc, lilc o pctition purflnt to rceon 923(f{3)
frjrdlcll rccdv wirh thc U,5, District Cort forc dbicr in wlictousior have yourprincal ph*oftusher

{2) _

lxl
-

(3)

ca

lAl

of

Tith 18, U.5.C,.

Slnce u nqucrr for hcarng pursumt to scction 923((l} of Titlo 18, U.S.C, was not nccived, o wt hol mely ncclvcd,
!d based rr rhc tildinr t out in rle uocbed copy of lnding nd concluslons, yow liccn dsscribcd bovc 'rs

vokcd

cfIcctivc tmu*dirtcly

Rccds pregcribcd undm 2? CF* ur ,l?t for lhe licc dcsibcd rbovs hll bc ddivcd to TF tvlhio 30 dryr of thc dcc

rhcbrsngisrcquircdtobcdicootindorhllbctloqmntcdtmllccdclivcrytornrccsor,Stc2?CFR{78,127.

Jrly 30,I0t.l
0

Octivcring

X6 )

capy of thc notcc to thc ldcs horm

bclorv. fi]
lata

to trc addss so*n belarv,

(tf

(ICI

Jnlytll'?tll.l

Js30,201{
llqc: Frdo &li

C"nin nutl

rs

t Qltdll!

b X6 )
636

'fmr$0"11
R:vlrdlr{yl00t

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U,S. Daprrtnrd of Jutiee

Fuau of lsohol, Tobcso, Fircsts and Explosivos

ORIGINAL
Finrl Notice of Denial of Application or
Revocation of Firetrms License

kr

rhc apptication for liccosc

, lcd by; or

LccnseNumber,34..0'13-01-3I}{)2060

as r Ilealer (01) lr Flrlrms Othr Th[ De,strucdve Dcvlecg

, issucdto:

Namc and Addrcss of ,tpplicant or Licemcc

mrn br| street, city, slale and

aP

ode)

b X6 )

Notic ls Hereby

/rr
.'

pr

ulYc'If:

duc cosidffation followig a lrcaring hcld pursuant to scction 923(f)(2) of Tido 18, U.S.C., and on the asis of findbgs set out a thc
atucbcd copy ofthe findings and conclusions, your

Afta

plicslion for lisetlrc dscribcd

EI

r*r,

d..ribed abovc

bove is dsoied.

is revoked,

eective ImmtdirtrlY

e dissetisd with ths action yo$ my, wiia 60 days aer rece of this rotice, lc apettior prr$ant lo segtion 921{fl{3} of Titlt
forjudicial rcvicw rrith thc U,S. Distict gourt fo tbc district in which you residc or havc yout principal place ofbrsicss,

Ifyou

(2) _
*| |
(3)

Since

l&

U.S,C.,

r requcst for hearbg pursuant to scctotr 923((2) ofTitlc lE, U.S.C.,

d bascd on tbc fadings

set out

rvas not rcceived, or was aot timely reccivc{

the asched eopy of ndings d conclusions, your licensc ilcsoribed bov fu

revokedcffectivc

Rccrrds prcscrited uoder 2? CFR Pt 4?8 for thc licess lessibcil bove shll ba delivered to ,{TF wit}rin 30 days ofthc dale
the busincss ls rcquirrd to be discontinucd or shll be documrted lo flect delivery to t soccessor. ee 2? CFR 4?8. I 2?,

lov I

?013

pcrtm

Ociiverilg

"

copy of thc loticc to the addrcs rhosvn

bclow.
slie

l.lov

ffi

CcrtifeU mail to fhc addass show below

onptnet

o?

2013

tI

o X6 )
Nlr:

[rc

Senior Opcralio Ofcer

.{TFE Fm 5300.13
!i--{ .h,dnt

637

RIP

U.S. I}lFr1ent of lrlrc

Surou sflcohol, Tcbscco, firetrns and Explosivcs

Final Notice af Denial of Application or

Rcvocation of Fil'ttrms License

ln thc tnatlor of:

rs

fl

tho applicntior for licenso

[l

Liccnrc Nnmbcr 4.38.0 ?.0t-3r.03896

rE

' -

filed by; or

Dclcr in Ficm, OtlTl slructivc Dcvlces

. i$ned lo:

Nnte rtd ddress ofApplieanl or Licetsce (Sh.r$, ntmbr,r, $rc& city, stt$s

lP Coie)

fllCIr
20? S. Henry

sl,

BnyCity, MI 4&70('

Nolicc Is Her*by 6ivcn'l'hl:

[7]
.-

(l)

After duc cosiderntiorr follorving a hcaring hild pursrt$nl to scetion 923((2) of Titlc 18, U.S.C., nnd on the hrsis of firtdings
set ort irt the attuched copy ofthe fiudings aird conehsiotts, yout

plieotion for lieensc desctibed atove is denied.

El l.rn*.

de$rbed abov is revokc{, cffcctlv*

15 deys

flei r$aigl of Flnl Noticc

lfyou lrc dissrris{icd rvith this ction you ma rvithln 0 deys oflcr rcceipt ofthis notict, file rr pelilion pursuarl t$ sctin 923(0{3) of
Tiile lB, U.S.C., for judiciat cvicrv rvith thc U.S. Dislricl Caurt for lhc disticl irr which yol rcsde or bave your princlpnl plncc of
businss.

Title 18, U.S.C., wt$ tot rtcived, or rva not limoly received, and
cf tndings nntl conchsious, your licenre dascribcd abole i revoked

Since a rqel for h$rrg prrsrsrrt to scclior 923(lX2] of

basgd

o the lindings

srrt out ir the ansched copy

effcstivc

[7] (3)

Reeords prcscriberl under 2? CFR Pnrt 4?8 hr lha licese dcscriled above slmll bc delivcrcd lo TF rvithi
tlulc thc business is rcgurcd to bc disconlhrrcrl o hrll be docuntcnted lo reflecl dclivcty to stlccessor

3O days

of the

see 27 CFR 47*.1?7.

Finrurnrs *nrl Explosivcs

n9tt3

flng

I
Dne

Dclivcring

o copy

0
by

ot

I ccrtify lhat, on drc date bclorv, I scrvcd

fl

ofthe nolic to thc

uddrcss shorvn bclorv.

Certilcd rroil to tho nddrcs sholn belorv,

of Poron Serverl fPlra.r* st!*

Scrvcd

Ofllcirl

if *cwed

an

parlwr r a.ffcr*,f car?orston)

(m

\drless Whe Notice Ser*ed

ate
08nglt$13
Nt: ltvot gdlion It Obrohte

Noticc

Signoturc ofPcrson

( bX

lndustry

6)

tpcr*lors Spcclallst
ATf forn sllro.lJ
rrid ,cy 00,

638

RIP

U.$ Ihprrtur:d cf Jtlss

Duru of Akohol, Tobco. Fircm and Erploaiv

ln

Finl Notiee of Denirl ofAppllcation or

Rwocaon of tr'lrearmr Licenie

t[cnrttcrofi

f]$crppticadoaforlic!u ,

[l

Llccn*cNuobcr

l-3t$75.{11I'{}1t3t

rt

'lilcdor
DalrinFleru Ollrfiun Dcrrdiv
, issued

Nuncs3dAddrt&tof Applicr*

or Liccnscc 3ow agrl bc?,

8.4

Dctlcc

to:

elry, ttte ar,d lPCodc)

IOICI
tlt

+rt9

ntlL!,

Notira

M4C2,10

lr Hcnby Girc Tht:

E] {l}

I
[l

r{f,ctdueconiilarrionfollowinrhcriogftcldprrsuttoracion923(fX2}ofitlst8,U.S,C.,lonttcsoflindinga
rct ort in thc tlrchcd copy of thc

frndi4r rnd conclrsionr, your

rpplicrtion for lccnrc dceritcd abovs i! dcicd.

tir"n*

dcrcriled bovc is rcyohd clfccivc It dryt.fur n!t

of

Fiql Noti

lf you a disgtiscd rritb this rctioa yu rny, within 0 dryr acr rcc.cipt of this noticr, le r pctition pur:rail to ccton 913(fX3)

of

Tiilc t8, U.S.C., for judiciat rcvie rrith thc U.S. Dilbist Court frr tbc ditic't in wblch you ridc or havc your principrl plrcc of
busigr,

[ ]

So* rcqurst for hoaritg prrutrt to tction 923((2) of Titlc I 8, U.S.C- wsr nt teccivcd. or rrr* not timely ccivcd, nd
tsed "on thc findiagr ct oul in ltc sltched ropy of findiugl rnd conclurionr, your liccnrc dcribcd bovc ic voLcd
flcctvc

l7l )

nccorgs prcrcrbed undcr 27 CFR

drtc thc busincn ir rcquiad lo
$cc17 CFR 4?8.t27.

D!

l2/1212013

ccrti* tbrE

fl

on

478 for thc liccuc dccrbd abovc shll bc dclivrd lo ATF rvithin 30 day:
to ! lucac8or.

tlc dac

hlon, I crvcd

b X6
[J

Oclivcring a copy oitlrc nolicc lo thc

ddcrs shown bclow.
NEmc of Pcon

Dt Noticc Scrvcd

ofthc

nd Exglosivs

Corritcl tnil to thc dls horm clow

$cw {Pleast tlate iltcrw

r, pstf'tar r atfieer

of corVoration)

ddrr Whcc Horc Strvcil

,tllg Wolfl Gntte,

Ml192,10

D.!c

wr?no
Nots:

*iorn Ation I Otrohtc

bX6)

Imy Oqcrrlior Spirlb

A:lfor!t,!
r.$$d

639

,rly001

RIP

U,S. Deputment of Jutir

Brrcar ofAJcohol, Toboco, Ficrlts nd E (plosivs

I'inal Notice of Denisl of.Application or

Revocaon of Firearps ticense.

In thc matte-r of,

Theapplicatiolforliccnscss ,

fi

LiccnscNrinbcr

,filcdby;or

,l-61-I I t{'-0C-01568

rgs

dealrin nas d&{r th

, isuucd

Namc nd Addses of Apiliaat $r

(Show

desEtctivc dc$icis

to:

rwnber, stret, eily,' stat ZI? Cada)

'

rEI6T
thnRpsfu

ny's
390l Biebop fun' S-tc' a
Louirvilla, Kcaarc 4021

That:

Noticc Is

Aftcr due cosdration following a hearg hc$pur$&t to setiE 923()Q, ofTill lE, U.$.C., and on tlc basis of fipdings
ofthe findirys aadconlusols, you

m0)

If you

sst ourio the attarhed copy

ap'plitioo.fol'licc*c descdbed iove is dhid-

ti*oto *t.*

above

isrelokdefrectivc lvfteh25,

disutisfid with this actionyou ma 'ithin 6tl dye aftcr ncet of this gotiee, file a periti Prsunt to sectioa 923{X3)
U,S.C., forjudicia! revipwwith the IJ.S. stict Cot forthc diskipt in xhich 'ou re$lc or hrve your printeI place cT

ara

Tite tg,

of

tiueiaess.

ad

[J ta
l;R
*

{f)
''

Rcors prescribed under 2? CFR Part 4?8 for tls lic.nsc ibrcribeil above sha be delivercd to TF ,ithin 30 days of the
d"t" rh. usinces is re4uired to be discontinue{ or shalt be docwnand to rcllect ilclivery !o a succssor.
Sec2? CFR 478.12?.

I cc*ify thaq o thc datj belo\r, I

f]

scrvd lhe abov noticc on ?he col

idcntifiedtelow by

[J

D.etivering a ccpy of the notice to thc

addrcss shown bclow.

CenifreA rnail to

ofPcrson Scrvcd (?Ieae ste rfserved

Del'loticc Servd

ssd

Alcohot,

CM

at3120

an

lto

addess sho'rn below.

prtter or

af corporatir)

Add$ss WheeNotice Ser{cd

3994 Bsbop

lc, 5c. 4 luisvllc,

of Persom Sening Notice

Dalc

Not:

Kthsky l$?t 8

A'lF FsE 5!0{i13

treir.d tt i06

Psvious3dltion ! bolcrc

640

RIP

t/

l'.1i. lkp$rlmrl uf Jurliec

llurcr uf 1lghol. I olxtctn, l:iutnrr rrnd F.rpllsir cs

Final Notice of Denial of Application or

Revocation of Firearms Liccnse

Irrllcl

lU., r,pptic*irn lir liccnsc

irs

. lilcd hl rrr

-:rs dc.llcr. hrelnrllnp pl*nbroftcr, h lirrrnrts othcr t&n:t

I icn!c Ntultr {..r5'{125.0!-31.{l}rll

. i!snc'd tr:

rhstrurlisc lctec

ii*rc
'tuJ

t,inil-,lffiri" i

@fll**City(ilc
dln

]ltrtc.tft'II' {-u.lt:t

,r/rcf^

& fru.n

\lldland'l r*il
('hrnr*o, lYct 'irginie
?1J?

1558

Notirr' ls llcrcby {'ircn-lllirl

I

(l

xttrclrd op-t ol'lhc linrlirrgs

:rrrrl sortcltrtitttts.

'otn

nplixrti.u lir

lXl

li.eur*,Jrsgrilxtt lhtr'c is *okcrl. slleclitc

url brs'rxl tn thc lindirrgs stt orrt

cvalcd ellbctirc

liccu$c {ttsctibsd $horc is rteiert.

it

Ortsl$r

1S,

?lll

tftc ltf*chud ropy tflrrdings lrrrl canclnsintts,

*ur litclsu rl:rcilud thr'c

ic

tl! r--r l{ticor nrc$rilur, uud{r ?.? ('SR I'at .t?ll lix tlx licr:nx d',rcihetl uhovc shrll be dslirtrcd lo 'l F rvithin J0 dat* *f lu dltc
llll rh*busirussisrurrirrdrohcrlislorlinedcshlllhedocotr:nlc{rrortllcctdelitcrytolsuce,cssor.5w??('R478-l!?.

$lcr ll,

illlJ

I (srllj'thrt. ort h {lls

fJ

luktrr.

@K

tXth*;ug,rcopol'thcnrxiectilthlhtr:rsss$hrutlr:lrr,
Srss{ ItI.'/$!' r'lrr.

l)alc Notist licrtcd

?3{?

Iltrectrlr, Induslry

llirllud'l'rll. {'hlrntrl lfcl f irpiok

llnr'

perat ions

pcr.!on

fil

t'crrilcdntriltrthutrdr,,isrlurtlttbghu.

i! sctt'ttl ttt wrltar pr ollictr a*ttl},rctltttl

3195S

Sigrurnrfc ol ltri{xr i}ijflB l.{ftctl

1ll I lranrl,t:rl'.
Itcq{tJlf r$l

lot lr$irrBr lrlilr l llhxrlre

641

RIP

U,S.

cprrtmclt of Jrtler

Brreau oflcohol. Tobcco,

Final Notice of Ilenial of

Revocation of X'iresrms License

Ficrm rnd Explosivce

or

the mtt of:

fJ

Ttre application for licensc as

[l

8{l
LicenseNumber +6t-09-0t-5-

filcd b$ or
s

dcl

ir m

ot&c

lhn dsErctive dviccs

Namc and ddss of Applicant o Licccsep (Show numher, streer' cily,3lzlz ndZIP Cade)

b X6 )

Noticc Is llucby 0ivell That:

f7l (l)

Afrcr duc cosidertion following a hcaring hcld purslant to scction 923(fX2) of Title 18, U.S.C., and on
st ort in lhe a$schd copy ofthe lindings aad conclusions, your

I
fi

applioation

18,

offindings

fsr liccnsc dcscribed abovc is dcnied'

ficcnse described above

ir rcvoked, effectivc

Mrch 2?, 2014

aotion you ma within f0 days rcr rcccipt of thie notice, filc r petilion purruant to
judicial
rsvie* with ttr U.S. Distict Cout for drc disrict in which you rcsidc or have your
U.S.C., fcr

lf you rrc dirsrtisfcd wih lhir

Titl

basis

of
placc

of

busiacss.

tr (2)

$inoe a request for hcaring pursuant to scction 923($(2) cf Titlc 18, U.S.C., ws not rcciveq orw n6t
bascd on the findinge et out in thc ttsched copy offindings and conclusions, your licncc dcscribcd

cscived, and
revoked

cfcctivc
psclibed
l7l
- - Rccords
* 13)
g\.

udr 2? CFR Prt 4?8 for thc licssc dcscribed above shall bc delived to tTF within

dayr ofthe

date the busincs is rcquircd to bc discontinued o shll be docu$tcntcd to rcflect delivcry o a succc3or.

See2? CFR478.12?.

( b X 6)

Dt
031101204

I sify thL on e dto bclcw, t

l-l
-

Tobacco, Fircarms and

Official

l"ons

rerued lbc abovc noticc on the perron idettified bctow by

fi

Detivering a copy of thc noticc to tha

addrossshownbetow'

cenfca mril

to lhe addrss shosn

of Pcrson Serued (Plcase stale f sefled onPartner or otliaer

Datc Noticc Scrved

Addrcs lVhce l'lotice Scrvcd

IOIGD)

titlc

Siglaar: of Pcnon SewingNotice

Dsts

tm.tt
Noa: Fnviou

Erlidon

Joly

Obolctc

642

200t

RIP

U"s. DaprrtEdt of Jurtic4

Erreau ofAlcohol, Tobacso, Firesrms and Explosives

Final Notice of Denial of Application or

Revocatiou of Firearms Lieerse.

h the ugttgr of:

as

,--

fl

fhe appticatioq for liccnsc

[]

LioenseNumber 4-61-ll t.0t;0c-02568

,gg

dcalor in

flcil by; or

ficos othcr tha destuctivc dcviccs

, iszucd to:

ofAipliant rir Licensec (Sow nrmber,

Nam and

3904

Louiwillc,

Code)

S'rc.4
402E

Tht:

Noti Is Hereby

17

steel cily,"slate and

(l)

Afterdueconsiderafionfollovingaheariqheldpursuanttosectiong23(fJt2)ofTitle18,U,S.C.,*ndonthebasisoffiadings
Eet aut i the attchcd copy oflhe fmdings and conclusions, your

.X

application fo licmo decribed boie is rteidp

E] ce

aeicribed above is revoke4 affeotive

2013

If you are di*arisfisd u,itl this sction you ma within 60 day* after receipt of this otice, filc a pctition pursunt to sectio 923({3} of
Tid t8, U.S.C., for judieial revislv *ith the UiS. District Cor$ for rhe disict in which you rc$idc or have your principrl place of
bugilcss.

fltzl

ro-ccived,
'revql<sd

ad

presc,ribcd tnder 27 eFR Prt 4?8 fs the licese escribed bovc shall be delivered to ATF ryithin 30 days of lhe
datc the busines is rqquitd to be discontinued or shall bc documcntcd ro reflect dclivery to a succesnor.

{S) n

-rdr

See2? CFR 4?t.12?.

.Sicanp aud Eiplosivtg Official

Alcohol,.

Date

8jn3na
I rtfy thal.on the da below, I scrved the above notice

Adess llhce Notice

gQ4 Bishop

fl

O.etive*ng a copy of the noticc to th

ddrcss sbown below.

CertieA mail to the ddcss shown bclow-

Naoe of Person Served (Piease slate

DatsNotce Scrved

or thc persor ideort'tlied below by

{ med

on

paruer or otSeer of corporalian)

Selcd

hne, Str. 4, Louisvinc, Keohr@ 402

Dte

of Penon Scrving

F F065300,13
Rri!d ol, ?005

Norcr Pcvious&tilion Ir obola

643

RIP

U.S. Drprlmart of Justlcc

Burcu ofAlcohol, Tobrcco, Fircarms and Explosivcs

fi applic*ion for licen

Liccnsc

Number

4{f

Final Notice of Denial of Application or

trlevoction of X'iresrms License

, filcd by or

as

rs Mrfrcturcr

-15?4?-5G44?56

of Flrcrms lher Thn Dsifnetiv

flcvitc

, issued to:
-lP
Cade)
Name ad ddrss of Applicant or Lieeosee (Ehaw nzmbe4 street, city, slte and

Lock & Lod Fireerms, LLC

1323

IeBurd Rod

Bnto,

Krtutky

{2{125

Notic ls Hercby Civen That:

It

,|

After due considcrstion follwig e hearing hcld punu&t to sction 923(fX2) of Titlc lS, U.S.C.,
a$oehcd copy oflhc findings aod conclusions, yow

fl

spptcton for liccass dxcribd bovc is denied.

f]

lisc described abovo

is voke4

on ihc barir of findlngs sl ou! iD

cffcclivc

lt,

lfyouaredissarisfiedwiththisastonyrumsytwithinl0dnysa$crrccciptoftlrisnoticr,flcapetitionpusurnltoscction92l(f{3)ofTitle
foiudicial rcviaw vith ttre U., islict Court for lhc distsict

(2) _

U.S'C.'

which you r+sidc or hrvc your principrl placc ofbusnsss.

Since a rcqucst for hearing pursualt to sector 923($(2) ofTittc 18, U.S.C., ws not receivcd, or uras not lime received'
nd bscd on thc lindings sct out in tht attrchcd copy offindings and conclorionq your liccn* des*ibd above is

lxl
-

{3}

lht

rcvokcdcffcctivc Novtmar6r2013

n
Ll

Records oescribed undcr 2? CFR Part 4?$ for lfte licens descibtd above ghali bc delivesd to ATF +rithin 30 days ofrhe datc
the businiss is required to be discsntnud or shall be dccumened to llcct dcliycry to succcslir. Sec 2? CFR 4?8.12?.

Norrembar

l4 i013

oll

on

Tobg.co,

( t5 X 6

De]iverng a copry of thc noticc to the addcss show

Namc

{rector, Indust.ry

Opera1ons

palso

bclow.
state

[l

Cceificd nail to tte address shown below.

on

prhcr or o$cer of corpration)

Seved
1923 Lcc Eurd Road, Scntoa, Kcntucky 42025

Titlc

,{Tf D-Fm

Notc: Prout Ed!: ls Obsolslc

1100. 13

Rc*d July 1005

644

RIP

US.

O.grr*.rt lJrde

fn tho

trInalNotice of Denl ofpplicadon or

Rcvocation of Firesrm Llcssc

of Alcchol, Tobcco, Flrsralr atd Ergloriva

mdtcr

ofi

fl

fbc applicrtion for liatc

fl

LcurNumbcr

Ocrla, ldrdg

Phob' h Ftns

Or Tlu Dehg

lt'Ytc

, , filcd by: or

18
,

isucd tol

Nmc rnd ddr of pPlicalt or Liscncc ($how numbar, stael, W $stc aid

Zlf

Code)

WbEhdl Plre Coh0sl' il.C

6toE*CoSr.

whlt hrl,MI49ltl

Ncicc I Hcrcby Givco Thtl:

l7l (l) A*

duc aonidantion following r herring iolil pucurnt to ction

6cl out n lhc cbd copy ofthe fiadlngr lnd coaslruionr, your

[l
fl

f23(0Fl

of

Titlc l8r U,S.., nrl

on thc

bnis of llndings

rpplicerion for licnt dccribcd bove is dcnicd.

ticnrc dcscibcrt bvc i rcvobd cffceivc

Ifyou rrc diurtised *it thi cton you mry, wilhin 0 dryr rffcr rccci of thir noticc, filc a pctition punurnt to ttctioa 923{fJ(3) of
Tiilc lt. U.S.C., forjudicirl rwiaw r+ith tlc U.S, itriet Court for tfic ditri in uhich you r*idc orharc yotuprlrripd plrcc of
buincs.
to dlot 913{fX2} ofTitlc t, U,S,C., * not rucelvcd. or wr not limcty cciyd,
[ () Sncc " rcqucst for hcaringoulptfirustt
ia ttc rttrchrd cogy oflladinp rnd conclwionr. your liccs dcaribcd rbove i volsd
I

bd oa rha findingr rc(

cffeetivc

(31 Rcconhprtscribcdund$Z? CFR P 4?t for thc liccnc dcscribcd bc I bc dElivcrd to ATF within 30 dy of ths
to raflcct dclivcry to cuslror.
datc tl buincs ir nquircd tc

Ssc 27 CFR 4?8.127.

Dstc

tartttt
I ccrtify

thrt

on th dtc bclow.

r.l

I crvcd tho

X6 )
[l

lctivag r copy

of thc notice lo to
ddrcs shom bclow.

rd

Officll

w
CcrtiAAlnit ro thc ddr bow belo*.

Pcson $crrcd (Plea statc ltsenc ail part ttr ot acct af coryorallott)

D Noticc Scwsd
Addrtg rrt/hct Noticc Scrvcd
6t0 Elt Coy

s1.

itiEtdt M 49{l

DTO

tafino
Hots: Pvi$u Edltiol

( bt
l!

In*l0pcrw

X6

Eplddf
Tl Fmn tt0o.ll

crlrd

645

tuly

il'

RIP

II

ILS

ORICINA'J

llcprmattdJudcr

t. of.{toohl

Fircn d xplotvcr

?oceo,

Notiee of Denial of .{pplication forLleese

latha maraof4pllcrdon brllcrscr

,

Iedr

sFcc

Nroc rod

dlh
l,K2$

($tatnrrrl}r.r,
s',

1.

@g.rL!! Lld

rldnsr of
pptignt

dtl,

rflrtrrp lord

'lVllllm,

StatcandZlP

rio 9?tfi

fd)

llothcborlbl fucaTbrc
I

'

' lvl
E

O)
' ' lVt

rh! iElldotr drfu

U.S.i,,

pursur

o,d

ro

ba

ib6r brr bt! tlmld b!*5! $n do ot $'di& &r dg

ou thc *ll ittrod trr*o uA uadc r put of lbir

rd

io;

prrolly prdficd

rs

gtvhiot of 'cd

fiJ

f4)
''

ft
l-l

rtc

18,

g23(f)t4 sfTltt 18, US,, yor rut fi ! t!q{c.t fr ! hcisg vt vr t dil oftor applic'to. Tir nqr*
drpliidb c Dicclr of lsry oFcrrton (DIO), Bucu of Alcol. Tobaceq Eircs ad Exlodvcr,

rilr

*or,

in

t5 dryr

{3}

923(d) of

If you rcquct rldng, it ttl bl hdd rs ptovdaal

i!

?7

Cl'

1781

rlcr

cat of lhi!

ots

od

lfyorrrcquesrfurrtcuo,1lllcdotiorrdlftcqplicaoodcrdbodboYcitfotnoe$dofrarrmyvrlidliccnrc,yurmry
opcnf rcr ybur prccot licts p6.r1g wlcw of thc rldrl of pur maml qpplction"

o-ruo t

r6014

b X6 )
e Cri$cdtilrs

lr Hivah5 copy oflhc arlicc o

LJ thcddrcstroqnbcltv.

ddts s$belor.

ir
ttt6tlt4

u6nt{

b X6 )
.$T

Fmtail

(0,1

iddrutyF!

646

RIP

U,S,

Drorllrlcnl

Juil!

Butu f Alcohol. Tobacco, Fftrms rrd Explosiv

Flnal Notlce ofllenil of Applicetion or

Revocrtion of X'lrearms Lisenre

il rhospplcionfotloon*

,filcdb$or
s r dahr

Liccnc Nunbcr 1-5946941-5G'll9?g

ln

flcrl olir thr drlrctks dcvlc

,isucdto

Hncsrldrlrssof.{pf,iorlJe*m{6thwwnber,ttrul.clliltlarandaf ct}
Aduaccd lYcrporqrr

luu

t0l8.trtghrry5ll
ClsmonlFlorlih

Notic

34?11

Ii Hrrby {irvrr 'llr8l:

,,,
1' Aerduccsldtratinfollo$lngahcaringbctdpurnrrnttostclion923(qptoffltlclt,U.S,C,andontlcblsholfldlgctoutlnthc
rtucJcd @y f lhc flndlng end conolusorr, your
[

fpltton trlicsndesctlM

fl

licgr ctr rbovc lr pvoked, cfoc{vc

sbovs i dnlerl

lfyousdisntilicdwiththlsaionyoumry,rriihin60dryrrnrncciptoftblsao{t,filoapcttionplnumtlortdionft{ffi}ofitlolS.
fdjdicl viwwittr tl U-s. Dfuticr Court fbrthc dlslct lnn lyollcrldcorhalc yourprinoal phceofbueincrs,

(2) _

8) rll

U.S.C'

Shcrrcquesforhctlngpurittosccrioo.g2il(f[2)ofllflcI&U.S.C,wmtnivcd,orvrrnottlnalyrccivcd,

*F"Lff;|r"ln{l:S:itraurcrcdcyorf,ndingrardconrltuls,yocllccnrodcqribrdatm,olr
kcordspcslbcdudc2?CFRPT4?8forllpllnsEdessrbdttovoslutbcdcltwrcdloIFwlthla30&yaoftlrcdatc
ttcUuln*"lrrcquircdtobcdiscontlnuoilorrbtlbcdocmgtoillorllcctdolivayoesrcccor. &27CFR,?8,|?.

[c

2013

fi\)

clivrringrcoryotnodtotddslronxlow,

ffi

CarifcdrUttolhoarldc$drornbclow.

slale

[XED)
?01 81Y Eccond

t{d

Strtri

$t 10lr

Advrned WcaonrX, Inc,

xo)

Ocrlr' BlonTr 3{4?t

PFrtl,!!

lErlrl fOH.l

Xrldry100t

647

RIP

iffi'lfiffi:+HiiFi*orn:and&proriv*
In

Finrl Notlce of Denisl

of Applicetion or
Revoctlon of Flrearms Liecnse

tic mtt*ofi

[l

mc appliutlcn fo licns as

ff

Licsnsc Humbcr

dcrtcr ln lrormr, ilrllrdrg porvn, olhc isn dcdrclivc dcvicr

ar

, tilcd byt

oS

issucd tol

(hovaunc4strecr,ct!,tatcndaPCodc)

NedAdrlrcxolApplic*torliscnce

IEI[Gllrulrnmic F[wlt
ltoQHxRstr
Pold.l&nr Gt?l

-,
Noricc ls

(l)

ll*cby

Oivcn Thatl

Alirducconsidcrotionfollorvingahearinghaldpursumtlorccriongtt((:)ofTillct8,US.C.,aldotbsbsiroffindingr
rcr oul

[J

ir

the rttachcd copy

applicltion

For

oflh! frding

rnd,conclusioos, your

liccnre dcsribcd obov is drnicd.

D'csnrc dcribcd,bovp l nvolc4 cffcliYc

lf you rrc.dirutirlied rylth hi ciol you,my, withln 6{l dnys lflcr rclpt of tlrb nolitc, flc r pctition puntt!l lo cEtion 913(f}(3) of
Tlp,lE, U.S,C. fojudiciul cvicr.v ryth ttc U.S, Dlrtir Coun,forlhs di$rit n,r'fich you rcidc'orhr'c your rlacol placr of

blnc:r,

f] p Sin o r"qucf for hcoring purnlnt lo clon

92!(0{l) of Tillc 18, U.$,C., n' ol nctiv?d or wt noi tinly rccvd. nd

trcd on ttc lrrdin.sa our fn'thc sttltrd cory offtndlngs nd roncluions, your liccnsr dcrcribed bovc l rcvotcd

rfllctivc

G)
''

Rords prcsrribcd undcr 27 CFR Prrr 4?t far br llense dncribed bsve shnll be delivcll to TF *lthln
dot. th ssines i nqutred to be discontinud or hll bc documentcd lo rcflcct delivcry lo I sucslsisr.
5e 2? CFR {78.127.

Iltc

s l>,
t

!0

days

oltht

rnd Erplosivcs

/tr

ccttify that, on tlrc dlc,bdov, I srvld lhc

f]

[l

Dclivcring u sopy ottha noticc lo thc

dd*sr lprvn bctorv.

Nmc

of

Ccrtilicd malt to thc addr* sho*n bclol,

(Phasastatt

porlncr or a.lJcer of corporalan)

(TreD]
{ddcs Whc Nollsc
31600ld KCRod Froh

t&sg 60tl

Drl

J
llc,

t#

[IO)

fm tno
lla dt !t
fF

Fcciur Edihn l (ol:u

648

RIP


U.S, I!.pgrtment of Jutlcr
Buru of,{lcohol. Tobacco, Fircarms and Explosives

In

th

E
I

Final Notice of llenial of Application or

I{evocatlo of Flrearnrs

mtfer ofi

ffrr

application for license s

dclc in liramr, including pawn, othcr than dcslructivc dovig

, tiled

b$ or

as

License Number

, issucd to:

Name and ddcss ofpplicant o Liccnses (9haw number, sft'eel,

clt, stalc and ZIP Code)

ABC Paw & Gun Inc.

9l{ Bmadway
irYcst

Burlinglon, fow 52655

-,
Noticc ls Hrrcby Givc Tht:

l-l (t)
[l
fl

due consideration following r hearing held putsut to scction 923((2) of

sel out in the attachcd copy ofthc findings rnd conclusicns, your

Aihr

Title

18, U.S.C., and otr thc basis

of findings

opplieation for liccnsc dsibed above is dcnied.

limnrc dccribed above is revoked,

effcctive

If you arc dissntisfied with this gction you myr within 60 days after receipt of this notice, file a petition pursunt to section 9?3(t3) of
Titlc 18,U.$,C., for judicial review with the U.S. District Court forthc dsht ir which you reside ot hnve your principol place of
busincss.

fl

(Z) Sn.r .

requcst for hearing pursuant to eccticn 923(fi(2) of Title 8, U.S,C,, wa not rcceivcd, or ryas ot timsly rcceived, *nd
bsed on thc findings ret out ia the ttched copy offindings and conclusions, your license ilescribedbovc is ruvoked

effectivc

f]

t3)

Records prcscribcd under 2? CFR Psrt 478 for the license d*cribcd ove shll bs deliverd to TF $ithin 30 days
dste th brsiness is requircd to be dicontinucd or shall be documented to reflct dlivery tt rtccc$or.
$ec 27

Cf

4?8,127.

Dtc

S{za'/
I certfy that, on the dale below, I servcd tbs

ofthe

( b X6 )
[J

Delivering a copy of thc noticc to thc

address sbsr,n below,
Name

Dste Notcc Servcd

ond Explosives Ofricial

to

Certificd mail to the addrers sho betow.

Person Servcd (Plea state dsamed ott portner ar atlcer afearporotiau)

Addrcss Wherc Notioc Scrved

914 BroEdy

Wql Burlirgton, lowa 52655

Date

Signaturc of Person Sering Notice

lTF Fdm t00,1

frtorc: Pcvio8 Edili h Obsolt

Rrlnd J*

649

1005

RIP

U.S. Daprrfincnt of Judeg

tr'inal Notice of Denial ofAppllcafion or

Brsau of tEohol, Tobacco, Ficme rnd Bxplosives

Revocrtion of Firerms Liceuse

In tc mattcrofi

fJ

tttc

[J

LiccnecNumbc +61-093-0?dG{4?82

applioation for license ae

,
a dcalcr including

as

liled by; or

prwrbmkcr in rearms olhr tb dcructivc dcviccs

, issucd to:

Namc and Addrass ofp'pleant

orlicgnsee

(Show number, slrael, eity, state nZlP Code)

Louirvillctcwc & Ir4 LLC

rP*mtcrs
9138Noth IfilsE ord
Rrdclif f, Kaucky 40 I 60

Noticc Is Hcreby Givcn Tht:

l7l (1)

ffer duc consideratio following a hcaring held pursurnt to section 923({2) of Titlc 18, U.S.C., nd on tho brir of ndiugs
set ort n the attached copy oflhc findings and conclusions, your

fl

application for licerse dcsibcd bove is dricd.

cenc dcscribed bovc ie rcvked, effective lvly

1,

?014

If you uc dissatisfsd rv*r this action you ma withio 60 days rfter rcccipt of this notice, filc a petition pursurnt to sotion 923${3)
Titte 18, U.S.C., for judieial rcvie, r+ith lh U.S. Dirfict Court far the disict ia wlich you rcridc or bavc your principal placc of

of

buincs.

a eqrcst frr hearing pursusat to scctio 923((2i of Titla 18, U.S.., uas not rcecivd or was not timcly rcccived, and
based oa ihe findioge sct olt in the attsched copy offindings aad coaclurions, your license dcscribcd bovc is rcvoked

qZ Sincc

effcctive

(3)

nccors prcscribed undcr 27 CFR Par! 4?8 for the licensc darsribd bovo ehall be dctivcred to rTF within 30 doys
ttflect delivcry to a $rcresor.
Scc 2? CFR 478.127.

ofthe

de lhe brsincss is rtquired to be discoatinued or ahnll be documsnted to

Dtc
a4d1214

f ocd&tht, otl thc dato bclorl'

(bX

6)

ofAlcohol,

Dlreetor, Indstry

OperatJ.one

identified bclor* by

fl

nelivcring a copy of thc noticc to tbp

addcs hown bclow.

Dst Hoticc Sorvcd

Fircarmc and Explosivcs

C.rtin"a rnail

o the sddrcss shown

bclow.

Namc of Pcon Servcd 1Plase state ifserved an partner or oScer otcorporatlon)

Addrcss l#hcrc Notice Scrvcd

9l3E Nodh Vilon Bo4 Rddif, Khcly 4010

Dstr

Signature of Pcrson ScnringNoticc

,t?F Fom 5t0.ll

nwlrd Jrly 2{105

Not: Praiou Edition b Obtoltt

650

RIP

Ileprrtamt of Jrstfu
Brca ofAJcohol, Tobacco, Fircarms

tr'inl Notice of llenil ofApplication or

Revocation of Firearris ticense

IJ.S.

aatt Eagloeires

Inthe matlctof:

fl

rc

f]

LiccnscNumlr

appticatioa for lis!so

ss

a dcalc,t, including paumbmkcc,

il

liled by; or

e{
,

Nrpo

marnr 6'hn {ftuctiv dcaices

and ddross of Agplicant or

Liceuea (Xow

isruc{ to:

street, cty,

std andZIP Code)

MSW Sporrie Goodq IltC

59 PoiatMBorRoad
Lfrgator, 1{tst Virgjlria 2505

-
Notic.o & Ilcreby Given Tbat:

[7]

If

0)

AfterduccosidcratiotfollowiogahetingheldFursustrttoectiou923(fX2)ofTitle18, IJ.S.C.,andoathebasisoffirdingr

El

ryplicatioo

ljcense descrbed above is revold elfeclive

*r,r**rt

*sribed abovc ig dsnid-

g2ltilp)
you are issati-tfed rviththis actioayou may, witlin60 days efter rccct of thls nolicc, filc apctitioupursuatrt to scstigtr
18, U.S.C., for;iudicial review with the U.S. Disrrict Co fo tb diefic in whicb you residc orhavc your principal placc of

Titlc

buic*s.

fl

p. Sioo a requet for

bearing purnnd to scctioo 923(${2} of Title 18, IJ.S.C., s?Bs not received, or vas npt timIy recve4 ad
bsed oa ttre findings get out in the ttschcd copy cf fisrings ard couclwons, yur licclsc desEibcd bova is rwokd

effcctive

G)

necors pree cribcd uado 27 em Psrt 478 for e Iise dcsclibcd ove shll b dclivered to TF vrithin 30 days of the
date lhc business is reguired to be {iscasfiucd or shall b docrnd to eflect deliver:t t suscessor.
$tc 27 CFR 4?8"12?.

ate

ta5n*n
I crrtifi tbat on the datc bclaq

fl

Tobacco, Famor and F.xplo*ivcs Official

( - X 6 )
on

lreeEor, Induetry Operations

balou, by

9St60r

[l

netivng a copy of

the rotice to tl
ddess sho$'n bclosr.

Cerri*ea mail to the addss sbown below

Namc of Persorn Scwcd {.Pleas state

I)tcNoticc Scrted

tf wed

on

psrtnet or ofrcel of corporation)

ddrc$ Wher Notce Ssrvcd

659 PoiurMaiorRod. MorSntorv,'\tct Vrgini 2655

ScrviagNoticc

Nolc: Icviql5 Edtio

15

Tf Fmiloo.13
Rilcd Ju2ooj

Ot*olb

651

RIP

U.$. DcArrtnrcnt of Justlcc

Final Notice of llenial of Application or

Revocation of Firerrms License

BurcEu ofAlcobol, Tobacco, Fircarms and Explosivcs

mstr

me

ffi

Uccnrcr*umbe,F6t-15?-7-5G-{14?5{

, filod by;

appltcarion for licens s

s Manufrcturerof Fircrm

Othcr

lirn

or

Destrslive lhviccs

. issued to:
Nane and Addrcsr of Appticnnt or Llcensce f.rr w,mben street, cty, state attd ZIP Code)

Lolk & Lod Fircrmr, LtC

l9lll L;cBurd Rord
3rlllo, Xiltrcky 421]21

NOICC l3 HfDy

(l)

t'Urll

I nC

Aflcr due considation follo*in a hcing held pur*uart to rcction 923(f(2) ofTitlc l& U.S.C., nd on thc baris offindllgs sct out in rc
ettachld copy cfthc lindiags rnd conclusions, yow

applicrtion for liccnss dcscribcd bovc ir denicd.

fl

lccnsc escrcd abcvc is tcvok{ cffectivc

Ifyouadissatisficdwithrhisctionyoumay,within60daysaflerrccciptofthisnoticc,lilcapetitionpursuanttoscctioa923(fX3)ofTitlelS,
forjudical rrvhw with thc U.S. Diskict Cout for thc dirid i which you rcsidc or havc your priacipal plrce ofbrsilss.

A) _
lXl
-

Since a rcquest for hearing pursuant to sction 923((2) ofTitlc 18, U.S.C., was not rcccvcd, or w not timcly reccivad
srd bscd on thr findings srt {rt n thc ttchsd copy of fudings nd conclurions, your licsnse dscribd rbovc is

(3)

Rccods prcscribed undcr 2? CFR PE* 4?8 for thc lioenc dcscribd bove shll bc dclivercd to :F within 30 days ofthc datc
rc busns is rcquired to be diseontiued o shsll bc documcntd to cflcct drlivcry tr: s gtcclssor, S! 2? CFR 4?8.12?.

n
LJ

U.S.C.'

rcvokcdcflcctivc Novcm&cr6r20l3

[X 6 )

Novtm* l{,201t

Explosivas

Df.rectrr Industry Operatlans

ol

st lhc

f]

obacco,

clvcrine a copy of the noticc tc thc addess shcwrt

bclow
state

ffl

Ccrtifiad

*l

lf sened

oa partner

or

to thc addresc shgwn bclovr.

Whrc

t923 Lcr Burd Rod,

8.nlo' Kclucky

42025

ofPenon

.Ior

?F -Frm !30o,lt

eviru tlitor ls Odclc

R*is iulyl00J

652

RIP

t...L Dprrlrsfl t sf Juttsc

grrr:ar of ,\llohol. Tobocco, Fnnrns td Erplasivcl

Ffnsl Noti.t of llenrl ofpplica$or Revocation,

Suspenshn audlor Fine of Firesrms ljcense

n rt mllcrol':

Thc rrpplicaliun for licr:nsc as

Licr:nsc Numbcr

ot

an

--

3-37.163-$l -5EJl098

n/n

, flcd b1':

dclcr in lirrrms othcr hnn dcstnctivc dcvicr*

issucd to:

$r Licensse /JTrrt' nunrher. stn:e,

licst

Narne antl Adrlress of

e'ry*.

stutc nd ZIP Code

Finrms & Sportig Supplics, lnc.

Rn & Jo.s
rcnurgc Rotl
t' t'rllan. I llinos 6339

tfll

ilrics l Htr*by Glvcn Tbat:

fl

Anq$rforlrr,zringpursurrntroll{U.S.C.g923{f!f}lor922ttX5}rasnotilslyfiedtssr{orrdrcfidingss:rforfrinrllr:arachd
dumcnl your

fi

licensr: dcscribr.rJ rbovc i* rcokcd pursuant

I
I

Allrr

cllcn&rr dirl's afictar.tipt olhi noricq or

15

ti..ns. i.ssuspcntled lor

l--l $r"nr..

is tncd

rtuc eorrimtion

attirch,,tl

crpy ot

rir

to l8 U.S,C. 923{e}. 9l2itXi) or 924tp}, eifective:

Scpr:rnbcr

I,Itll5

cnl,:nrlarr]r1t.cffrrtirc
. pa-nrcnt

--

lbllo*ing

lndings

EI

ud

a hearing

*luc'

Fursunt to
. prrst

hcltlpur*lnt t{ ltt U.S.L'. $ 93fl} tl/og3t{tx5lndon

xndudes fu* 'ou

lll

nppticarion

ft

ryflirnrionlirrr:ncrraloflc*n*rrl'scrihdrborsisrlcniedfnrs{tnltol8U,S.C.9!31t}l,effcctire

f]
[

ccrrsc rLteribrrJ

f]

ts

licsnsc dcseibcd hovc is denir'|. p$rsuant o

currrrtar 3's aler rucr:r oftlris notire. ar

lrvs

Lt

n]roked pun;rsnt

lor

cultndar days.

Slt{S)o9la).

to l8 U.S.C. iitl2{tJr9!4{p}
hsis pf fidingsst{ ost nthc

U'S.C. 923{tl).

f]

rr llt US.C. 93ttt]. 932tlt5l o 9fa{p). cfltc'til'c:

*c,**tlrr'suftrueipt ofthisnoricq nr

I li*.ns* is sosptndcd
l-l t,..n*r* is lrnerl S

U.S.C. $

conclusions, the DinCor or his;lrer desigrct

fr

tle

l8

cffeeile

paymcnt ducl

. pu.unr

ro l8 u.s.c.

, pursurn:

to fi u.s.c" { 92?{r){5) or9l4lp}.

92!(r'lt5) or 914{p}.

wilh dris aetion you my, rvithin 0 rlir's rtler recuipt ofthis notice.
lf. uftcr rhs hcuring tnd reccit ofthcsu lindtngs, you tre rlisratslied -,
lilc u pr..ririon pursuur l8 U,S.C. \ 923{ n(31. l'or judicrl revisu n'ith he U.S. Dislrict Coun far $s dislict in nhich you csdt or hurt
our rir:cipal plircc ofburincsr. ll'you rntrnl to c$ntinue opcrtio$$ afler thc clTcctivc dutc of this action u hile yu Fursrc filing for
3urlciirl rcvo or oth!'nvisu. ou nrust ruqucstil sta.r'ol'c actiott frum thc Dictorot'lndEtry Opcntions {Dl). Burenu ol',{lcohul,

60?

Trbcco. Flreym* nnd E.tplusir cs. o 53i . I'ur Birea Surr:. Suitc 600. Chicueo' lllinois
ellbcire dtc ot'thc ucriun sc lorth ubor,c. \'ou nrcy nor ontinuc liccnsed oxrations u$les snd until

. pror ta thc

stay is groorcd by thc

Retunbruicnhd urder l? CFR P't? fartlu lsLar: drxrrihd bort shrll eithcr h,'hliren*l to TF rvitlrin 30duy* of the datc
ntndtotrdixontimcrrorshilllbcdoeunrcnrdtun:flectrklit'crytosuu:ein SclSUS,C.933(gt({}otxt17CfR|i'178.17.

re

DlO.

hsincts

it

..\ftcr rhc ell'rcrrve datc nf licnc dcnisl of rcnoal, n:{ttir, orsusprttsion, }ou lnJr nol lowfully englgc irt tle bsin:rs of dealing
rn lrcrlr- An1 rJirasition of .rrrur lrelrmr busincss ir,snlory mssl compl.v with ell uppliclblc hvs and regulations, \'our locsl .ATF
olec s ble t$ {ssi$t yua in undersunding nnd implcmenting lhc optiors avuilble to lorrfully dispcsc o[ J'our lirearns businscs

ir'cnro*.

lll3T..lji;T
653

-"..

RIF

D4rrtncnt of Jutlcc
Bucu ofAlcohol, Tobacco, Fireerms and Explosives
U.S.

Final Notice of ltenirl of Application or

Revoeation of Firearms License

mBtr

lXl

The rppticntion fo lieensc

LsrnsrNumb.,

s drhr,

lr.rmt

icluding pawnbrokcrr ln

, filcd by

othcr lhn dcstruclivc dcvlct

or

'ts
, issucd to:

Nrmc rd ddrcca of lpicnt or Lisenseg f.lole nmer. slreet, cily, slale at

tf csae)

dDl Doncrn's Gur Rcrtorrtiong

1303

Rnsf

14

lVrt
6ll12

B:ntoa, llliois

HotiEr
, \
tU
r

Ii Hcnby

Gvn Thf

Afer due consideration follouing a hcaring h:ld punuant t sestion 913(l)(?) of Titls 18, U.S.C., rd on t$e brsis of fndings r.t ort n thi
adached copy ofthc findings rnd conclusions, your

Fl

pplicaton for licensc dcscribcd aovr is dcnicd,

il

lon

*.ribed

abovs ls revked,

ff.tivt

tf you arc dissotisfied wirh this crion you may, within 0 deys l0er rcccip! of this ntic!, file a p:tition pursuat to srcticn 923(f{3}
forjudicial rcvierv lr'th thc U.S, District Caurt fc the disaict in rvhieh you reside orhove your principal pl.of buinEss.

olfitb tt,

(2)

Sincc a rcquest for hearing pursuant to sscrion 923{f}(2} ofTitle lt, U.S.C., wus not relved, or wss n tmly rceivc{
nd bscd on the findings set out in tha attachrd copy offndines and conglusins, or liccnsr dlrcribed bcve is
vokcd clfeclive

{3)

Rrcordr prcrcribcrt undcr 2? CFR Pst *78 for rhe liccnsc dcscribEd above shall bc delirccd to ,{TF rrlthin 3 days oflhc
lhbuiacssrequindtobediscontinuedorshll iedocumentedtoreflsctdclivrrytorsnceessor. See2?CFR4?t.12?,

sr29tt13

b X6 )

U.S.C.,

dete

- C,f.T>

0n

fl

tfivering a copy of the notiee ts thc ddrcss shown

belon'.

ffi

Ccrtilld mail lo thc adds shorrn bclorv.

onWlncr

Ssrvcd

IIO
t30l Roulr

14 IY.rf

Siglr'tu' orPerson 5rvng Holict

Dst

I'un
t{rc

Il

PBElidm l$broftrr

654

fo

5100.

Rst*d

July

100t

ll

RIP

U,S, Deorrtmrnt

ofJutlcc

gwru rAlcohol.

Tobao, Flrcgms

Notlee ofllenirl of Applieation or

Revocstion of ['lrearms Licene

f'lnl

d Explosiv

mrllrf

Ths sppticttor for licorssss

Liegtsr Nurnbr

rgl * ddr ln lleror o$rr rht dctrcrtbt drvttt

f'9494l'sc'09?fl

, iescdlio:
Nrm rnrl Addtsr of

{pdicilt r Les. {S|tstt tf,ttiltt,s4,

aidZIP

ltr, ttate

W)

lcronry, lno
Elgh*ry 50
Clcrnot' Flodil 34?11

Advraced

l0l

Notioc
, ,
tr'
,

k Xelt$y Givcn that:

Acr &c cnldcnon fotlorylg r hcaring hrl prrsucrt to

!cr{

923(fX} of Tltlc

tt.

U.S,C', urd on tlc

trlr of llndlg

st

Jn

thc

tuched copy of lhe flndlnge md conolulons, ycur

il

apptlcatlon forticcdse dcsiM tbovo dnid.

ftcnsc dcscrbcd abor is vokd, oileslvo

tfyoucdistillcdrrithrlactioyoug|ay,within@deyrrlhrcaoft!lsolcc,loapslionpnmrnttosecton9t3X3)officf8. U.g.C'

fo;jdicitl

rsvicw wttr lhr u.s, Dslicl cburt tbrc di$rle ln rvfrlclryou rc+ldc orlravo yow pincipal phcoof burincr.

{?)
" _

Sincc r ques for hclng turant to cction 923f(2} of

m
-

filb

lt, U.S.C,' ot nivcd, or w nA ncty nivrd,

ndbrscdneflndlngr-rctourlnt[crrtrchcdcopyoffirdirgrrndconolulonr,yourllnrodcc{tibdrbowl

*vokcdsfglve Jenur?31'2lll{

0) .--t Rccodsorcclbcdrudcr2?CFRPi{?*forlllcsnlcdcsibcdnlowllbdcllwdtoTFwlt}rln30deyeoflhcdetc
lJ

thob*n'""rirrcquircdtobedisonusdqCrrllbcdoannentcilloflcddolivcf toancpcssor. Soc2?CFR4?8.1U?.

I]t 1 s

( t5 X 6 )

?13

on

ndivcrng

a cqry of ahc

no{rc te{ro ddrsc boxn

[m
lgl

81Y Stcond

Slrrct, $lll! 10lr

l{r.!: wlu fi or l orolt

O'\>

$rh' ?lorilr

bulow. fr] Crrtiti tnall to thc ddrs rlrsvnr bclow.

N,'l,rcf

Crungl for Adtrlcd Yc*lonryt Inc.

(m

3,1l?l

bX6
655

AftF!!ttl.tt

&dt

ddy2ot

RIP

U.s. Ocprrlrncnt $f Jsrlcs

Burgru orllcohol, Tobasco. Frnurms and Explosivcs

Final Noticc of llenial ofApplicatior Revocation,

Suspension and/or Fine ofFircarms Llcense

hc mattcr of:

Dcl* in Fircrmo Ollcr Tftn Dctttivr cvics (5-?P4..o46{}l})

El f. aplicltion lor tircnss as s/n

f] Liecnrc Numb*

,
Nanc ad ddrcss of

'{pplcant

or Liccnscc (Sltott, nuwher, tirxet. ct', stalc

(re

cc.Sltb Gunsmitiing, LLC,

2681 I Clnyon l,Volk Lnnc
Cypus, Tcxrs 7I-{33

Nollc* Is llcrcby Clv*n

Mcmbcr

Us.t tc t?](fl?]

snrt/or

5 calcr*rdays alicr rccsipr of rhis oricq

glqtI5] *rr

nor timcly

filat.

Eascd on ttc lndings sct forth n

purcnrt ts l8 U.S.C, $92:ttx5or9:4(p).

ptymenr

, Frrfton

ta

U.S.C.

rr duc eomidcrtion follmving a trcaring l*ltl pursumt to I U.S.C. $ t]3{fX2} slor 922{tX5}, and on lrc bsis of
auach*l copy of thc &rdings and corrhsiong tlrc Drcctor hl9lnrdcsce mnclurles lhat yor

[t

applicarion for liccns rlcscribcd rbovc is rtcnicd, Frnrrt ro t8 U"$.C.923(rl].

f]

applicaron for nc*tl of liccnse describcrt obovs l &ricd prr:unt to lS U.S.C 9t3{d}. cffective:

f]
nonsc

tf

cutc,or,tuys acr ltceipt cf this norict,

,l(5oi*,t abow ir

Tlchcd

.1

f,

elcrxlrrdat,eftlniw

liccrsc is surpeadcd fa

l.tno. is l*ed S

issued lo:

unl ZIP Cadc)

liccnsc rlcscibcd absvc is revokcd punusnt ro l8 U.S.C. 921(c), 922{t}(5} or 914(}}, cfective;

f]
f]

lOn

Tatl

n rcqucsr for hcaring pur*ran to I l

documcnl, yoor

f]

llcd by:

voked pur:u.rff !o

or

icensc" is lacd 5

xt

out in thc

il
, psrsunt

pymcnt duc:

r pursunt

lf, ccrthc lrcnrirrg and rccclpt of thcsc lindings, you arc dis:alisficl vih

lt

findfurgs

lcndar rloys, *ffectivc

9:2ttX5) or9?.1).

US.C, 923{c}, 9l?{X5} or 924(p}. cftctilr:

t: *lrrdu"&yraft*rcccipolrh'rs norsc,ry

ticensc i suspcndcd lbr

fi

thi.s cction you

to l8 U.S.C.

912tt){5} or92l{f}.

lo I I U.S.C. $ 9t2{tX5} s 924{p).

mly, within 60 doys nflct rcceipt of ths aodce,

forjudicitl rcvicrv with hc U.S. Disrict Coufl for thc dislrct in rvhich you sidc orhvc
yourprincipalplaccofbusilcss, Ifyouintcnltocontinueoponsflcrlhecffcctivcdtcofltisnctionrvhilcyoupunucfilingfor
jurlicial rcvicw or othcv$c, you musl regucst t $toy of thc action from thc ircctoraf lndustry Opcntios {DlO}. Burcu oflcohsl,
-,
filc a pctition pursunt

U.S.C, $ 9?3tnt3),

nt

Tobircco, Fircarms and Explosivcs,

c{Tcctivc dntc of the ation $cl farth bsvc. You may not continuc liccns*l opcrafon rnlsss

d until

a stry

pri tc lhc

ir grantcrl by tlrs DlO.

Rrtords rrescribid undrr ?7 CFft Prt 4?S for tlu liccnsc dcribcd sbole 3lall cithcr bc rklvrrxl lo ATF whln l0 days of thc rhtc
Scc tgU.S.C.9ll{eX4)orxl?7CfR$478,1f7.
qlrttlrodiscsntnucdorstullbcrhcumEntdtolcllcddclivcrytoosuccsor.

lhc brsimss is

tlcr tlrc eficcriec dts of liccnsc denil ofrcnqwal. rcvocrion, or suspcnsion, you my not hwfully cngogc in thc busincss ofdelling
ir firearns. ny disposirion of your lircrns busin*s invcnlory musr comply rvith nll npplicablc lanrs and rcgulatio*, You local ATF
oflicc is le to ossist you in undcrstnding ard implcmctirg lhc opo avolale to lavltlly disposc of your fircrrms busioc

invcnrory.

*:imofr*r,_

6s6

RIP

llcrrlntrnl

U.S.

of

Jullc

lursu of leohol. Tobn*co. l'-rcrs und li.rpkrsitcs

ff]
I

ln thc

tlcrof pplicntion

frr liccnse

Noticc to Deny Applicaion for Licensc

ulun

Ilclcr in Ficarms Othc Thn f,lcsrictivc Dwle {5-7SP-04600}

or
us

In thc ailter ofapplication for crvol olligenr numbcr

,l'rled by:

l/ol
, filud

l.lmc nnd dlrcss ofptieunt (Shon' nvatr,sttr'4

tJ'.

by:

srn c awl ZlP Cailc)

ccu-Smith 6unsmithinc. LLC

vt'rwt

.,a@lYt.tgrt

28ll Canyon\alkLsnc
Cypnrs, Tcx ??433

Nalicrl lr

lltre Gitcn I'hf:

aplcarion rlsnibcrt abore may bc deaicd bcanrsc lhc arplicurt rhes nol quuli$ tbr licrnsing unlcr the provigions of l8 U,S.C. $ 923(tl), s scr
forthinr}cpqcsatuclrcxlndrrudr.apnofrisfonn, Prsrtto18U,S.C.!i921(?),youmaylilcarcquertfcrl}cadrgtor{r.rvthe:nial
ofyour opplicarion. Thb rcquc* nnst bc nccird in drrylicrle, try $c Direclor of lndusty Opcntiors {DlO), Bunar ofl\lcohol, Tohcco, Fircanns

Tlr

orrte*dlt'es, ltcdat 525N.SmHgu.tFnPrlcwEvWtst"suic3{.Hol5ton,Tcxs?.?iP6,.

,-

your rcceipt olthis notice.

, ",,

,.

,,nithin15doysof

iVhcsc u limely quest for hcoring is.matle, ond the npplicatisn dcscribcd ubovc is for reewtl af a cunully valid license, yuu tnay contintte to
of,cmrc mdcr your prr,scnr lccnsc pcndlng thc ortconrc ol the hearing. The hearing will bc hcld as grovidcd in 2? CFR Psrt 478.

lf a ilmcty

[l

rc.luc$t for a hearing is no{ reccivcd, thc opplie,rtion shnll bc dlruppmvcd, and a copy so marked

rill

bc retumcd to ths IrFli*nL

Fhasc scc inclutlct brochure

ale

of

Nnnc

( bX

ircto of ld$stry Opcntionr

tc3l?0
I

lcohol, Tobacco, Firearms

on thc dntc

sholn bclot I serced this

y:

on thc pcruon

Ccrtified mnil to
Tracking Humber:

Or

lnvcstigltivc nolyst
trint Nmr und Titlc

- Dulivcring o copy of thc noticc lo

- heddrcssshonn belorv.

of lcrson Scrring Noticc

DrNotia:

of

fcrrsan

6)

II

o X6)

of

Sentd

tddress
268 I I Clnyoa l{:rlk Llnc, Cypss, Tcsas ?7433

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I l.m'l'9ft {511'0'}'

llvild tiE rlttlher llt'l

6s7

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llS. Drplrhcnt

of

Jurthc

Bunu oflcolol, Tobcco, Firuts

ln

tlr nattr

ond Exlosiver

of qrplicuion for licedsa s

Notice of Denial of Applicrfion for License

Drlr l Flrcra tltlerTbn

Dlrrtit'c Do lctr {9,?Gtt}0!-|F{}S'H) (Anplcllon

la rnrnd llcnc

(Bcg,, llplttg one J'g btltr

Nomc rd
{ddtcss

of

, tilcrl by:

(SIvnbca

Alicut

polloArrre LLC
Jll?l0 Lqcnrtr trlrlgt

sttcct, tlt',

Sprlng,

Stnte

fr hcc ofbincrlallofil

dolt)

Srltr

Tcsr 7?!6

atIIP

Cada)

Notlec b
{

l} H
ll

(2t t
s

llcrtby ircn Tblt:

Thc opplicarion dcscribcd sbovc hs tcen rlcnicd bcre ,ou dD nol Eralif! for linsing unrtcr tfte pmtirons fssction 92{d) ofTitlc 18,
U.S,C., us portleulorly spccificd on lhc slcqtl5) ltrslrd hcrtr rd nd pn of&s fotm;

f\rsult ro sccton 913(fX2) of Tiile 18, U.S.{.. t'su m lc rcqcrt for s hdring lo r/icrv tl d:nial of 'orn apglicttion. Thls
should bc scx, in duplicatc, to tftr ircttor cf lrdustry Opcntions {DI}, turssu olttlcohol Tobco, Frcormr ond Explosircq

Stll

N.

$rm lleulo P*ftwsy lYcit, Sltc

lfosslon- Tcrc

08

*qut

rvithin l5 doys allcrrcccipt of this noticr

(ddesj
bc beld ss povidcd in ? CFR Pst 4?&

{3} El

lftu rqucst r hcing il rvill

(41

I fyour gucsl for ! hcriog is lilcd on tinc nd thc aglicron describcd bavc is for reud ofo cuncnt vlld liccnsc, ,'ou
sotinucloopctllcundcryourpcscntliccn"rcpcndinrcvicrvofthcdcrllofyourrncnalrpplieotion,

f-l
u

utd

sf Industry Operations

Fcbrulry 4' 2Sl{

nat

Deliucring a cqy of ths oll.c to

ths ddr:ss shot blow.

m*:fli*

?00s-050-000r-e?6a.see4

t{ilCIt
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Rir.drqly:toit

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US. D.prl!!nt of Jutlc

Ousno ofAlcohol, Tobteco, Firrmr and Explosivcs

Final Notice of Denial of Application or

Revocetion of Firearms License

mlltcr

El

Thc prlcton for liccnsc

lXl

LiccnscNumbgr 5.?6-339-0t-5F{t3ld

s Dslcr

ln Flruern Ot}cr

lrn Dalrutlvc Dvlcs .Ancd

s D*ls

{ppllctlo to fifid lccns! for I chlotc of bucat lctll)

Nmc rd ddres of ppllcaator Llcensec l.tlt't ttr, slrret, clr'

stcte swt

chlngr of

lecetion

'

lilcd by; or

ln Fircrnrs Othcr Thn Eestrucllve Devlcr

, issued tol

Z{f

Code}

ApolloArrnr' LLC
oo@trutrEvr
Lockhvcn Drlve' Soltc
Houlon, Trs ?707J

{t0t

Ht
100

Noticc Is l'lercy YttTh[l:

lt,

U,S.C,, and on tl is of lindin&s sct out in

you arc dissadslisd rvith this ctionyou moy, tvithin 60 doys rllcr rcccip of tlris nolcc, f lc a pctilion ptsoltr! to sction 9!3{lX3} of Tith
forjudicial re*lew rvitlr thc U,S, Oltrlct Cour for lhc dlstrict in whicb you rcsidc or hrrc your pdncipal plcc cfbuincss.

l8'

r
"

ftcr duc considcrstion follorrhg I hcaring held punuont to scctio 9!3{fX2} af Tillc
attlchcd copy ol'the findings anrl conclusions, your

,r
t

El

udicoton for llccnc deseibcd bovc

l-l

ficcn* d*cibcd rbovc

ic votcd,

is dcnicd.

cllcctivc

lf

_
| |
-

{2)

{3)

;1

t4l

U.S.C.,

Sincc o qct for hcrng prlnt 10 rcclion 923{fX2t of Tillc I E, U,S.C, rvas nst rcv!4 r $t5 ttot lmtly rccrlvcd,
nd bscd o the findlngs scr ol ln thc ottchcd copy of lindings ond concluslons, your ticssc dcscrib{:l sbovc is

rcvohcdcffcctivc
Rccordr prcscribcd undcr 27 CFR Prt 478 for thc liccnss dcscribcd bovc stull be dclivered ta ATF tyithin 30 dnys of lhc rtute

thcbuslcssisrr:quirultobcrllscortinuc.lordllbcdocumcnt:dtcrcllcctdelivcrylosucccssor, Sce2?C?RC7t.127.
nd

( bX6 )

l,ltl,f

Jrly

Ocliv*ing I copy of

the otr o the sddresr shoryn

bclr$r'. fr] C.nlti*d rnuil to thc drtrcss shorvn bslorv.

ttate

4201

lckbrvcn lvr' Suitc lfi), lloloa. Trn

July 2'
Itor

t6lt

Prrios r!ioo lr oltc

on partner

or

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( bX6)

Arrlyl
5t00.lt
^TFFonr

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U.S, Dcpfl$ert l'f Jttlce

Brrfiru nf lcohl, Tohctc,

Flr*rns lnr rplo:hr.'r

Noticc to llctry Applicrtion for Lhensc

fl ln thc nraucr of$Itplicsli for llcesc as aln Derle , inludlng Pr*r,

of
fJ l mrtlcrof applir,rtion for n:$e1rl of lrcnsc nuntbct
N{ lnd /\rldatft ul/uplc8nl

rni't' antt,tf. ttt|t:t:'

in Fireunnn OlhsrThn c$tructirc

Dctkct

, lilcd by:

aln
filcd

bl

r* :tttn: rrtr '1F

Ll.C
ll Prrn
Ptigln

!59{17 145 Nol

SprhgTX ??3o

Natlct k llcrch filvcnThst:

ofr.ou anniicati

*,Ef,i*to.

n, This rqquru nrst bc rrrcirtrl, indulirsrq by tlt l'Lrtxrf IndusE OrrdionstDl). Bun'iru ofi.kthol,Iidxtcr:o, Fin'ram*
.
,rrithin15datof
loracr,5Ull9j$rnltosloilt'nil{irTuti.5ui,9,L00. llostott.,litJ??08 *, .

your rr:ucipt of tlrs noirr.

) ontntlc lo
lthrrc a rirncl-r- rcqucr for l4uring is udc. ant the aplction dd$crbed bovc is fcr rcnc*ol of a cunotll-v ulid licensc.
orr.nru urulg your prc$:nt liceurc r,ending hc outsrtc of lhc hearing. Thr: hcirrng wilt bc hekl *r rovided in 27 CFR Fn
'oud?ll.

[l

Plcusc s.e includ':d brrr:lttlrr.'

nd lilc of lJuructt

Dtc
?.?,2{ilJ

dus lr)' 0pcrrltts

I ccrtify lhirt $ lhc duc lortn bthrrt I scn'crl

turtificrl

acd

lht

p:r5rtn id'rl

nrrl tn

Trtckng

rf

lj,ltc *crScn'crl

{J;

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Stning l{irticu

ttf

@K

1 l)clivcring n coy oftlrc noticc trr

- lhc udtlc.ss shonn hulo*.

uCI

n:rlst
l,rhrt Ncnru$nd Titb

bclon'h1:

S*n'ul

\ldrcl \Vh{:rc N{llii:c S.:rted

35{r$? l-15 l*turth

lipdng,'fli

?73t10

|tlr{dtt
tlaral tcturth* lUl!
,\1. tdrEr tr,1

660

RIP

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of J;t ic
U.S.
Bu'ou ofAlrrohol, Tc*co. Fircm md

ln tllc mtt$f ryglctior for linss

Exliver

Notice of Denial of Application for License

Dclcr ln lrcrrlt Otbcr

lttn

Drlrctlvc Dctk;s ('?6.15T-0l.fDl2E5l (AFpll(.t.0 lo rmcnd liccc for

tlrtr

of bul

lotlol)

, fihd byr

legta lyprg odc tpc DcIo\' trtnJ

Addcsg

Nc nd

cl

pplieaat

( bt

(&nvnunbcr,
traet, c,t1
Statc

a*dZlP

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Nollcc b llcrtbX Gh'c

Tltll:

(l) f1.|
q Thcopplicotiondcrcribcdrbovchsbccndcnisdbcsuscoldonotqualiforllcerungudcrlhcpovisiorrfsestion923(dlolTitlclS,
U,S,C' os portlcularly ccilird otl thc skrt{t ttldrcd hcrcto nrd mdc s prt of thls forn;
(l) ll
s

Thi:grcri
Purunt}scson91(fX2)ofTltlclE,U.s.C.,yaunTlilcrqrcstforhcngtrvvthcduiatofourspplicalioo,
ollndrlry OF$to (DlO), Burou of Alcohot. Tabo. Fircumr ud Explosivcs,

should bc scilL drylicllc, ro the Dlnctor

!815N.$lllstprhr$erylVcalsultctmrllillonrTc?70$6
(Addrcts)

(3)

ffi

(4)

n
u

lfyou qulst

lsrig

rvill bc hrld ls pmvlfu in

CFR Pri 478i

-,rvltlrin

lSduysrflcrrcccofihirnorice;

lfyourrcqucsforoheuinirflcdootincurdthclpplicatioadescrlbrdovcisforscrvlloflcun*llyvrlidliccnsc,yosmy
c-ontinuc to opcnte und*ourprcsant liccnse prading rcvrv

Itlrrci.l.

qf dciEl ofyour

rcncrval applical';on,

trSl4

tr

tclivering
the ddtss

copy oflc noti to

sholn blor

Ccrtilhd nil to t$c

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belorv-

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slat

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tOXCI
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UI$tncll rfJlrlL
It!n of itelll, loboc. Firlt

Flnol Notice of Denirl of Appliertion or

Revocstlou of Firetrm License

lld rphrirtr

Itu oprrnrba lq tlerc o

Llslrc Hrcbr

. {llcl h .

.u

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fhcgflictionfarlicncsla

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F3t.tTl.0t-J{!tz
uccnscNurrl*

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t{ras anrl Addr of Appliconr or

rs

fn

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Lctnrcc l5iarc ttGt, Fnr t, cly, tter. rnil ZIP Cadc)

CrUbdr PofrccEryncot

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n
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bow i rcvold $rsnt l l8 U.S.C. 921{r}' 9?2(rX5} ar 924$1, cFrsirc

rscouor,royrlftrccciprofrl&o{eqq

il licncsurpc*dcdforr

alcadrrdrpc6liw

fl

t$m$l

llernccr nnds

l{ovubtt0lf

prnunr
.

l8 u,s.c. ! 922{x5}s9a{p}

pnuurto

l US.C. ! 92f{(5} a91{p).

$rdEcomlmdmloghtlrgkUFrsffito 8US.C.f 92{tNZ}rdlrgA4'},ordatcbadrofEn$gr.rouiBlh

drrdcopyofttr trdl8r od clrciou,D&drrhcr dcsgrrlndcratyar

S
fl

-r

appticarion for lts$sc dcrctird ovo

dcnlerl.

punrnnt ra l8 U.$.C. 113{dt.

epsratooerrardofticascdribdovcbdlndFrsllolttS.gtltd,bcrlvt:

fl

rs-frar*ysflrrciFofrlrhnac,o

n -.

il ** rrU bon ir rt'olcd Fsr b lt US.C 9f{o}. 92{tIt}

fJ rs*uarc.yrrfanaipofrhLdcqr U

E
fl

ccnrc ic stspardcd for

nr*roRncdtr

It rfir

,
or92l{p} clairc

crhndor dryr, cffcclit.

gaymcnldrc:

prnrrl

h I t US,C.

purssdrto

923(tX5l or 9?,lf1.

tt u.s.c 9l1{tx5}

or934(p}.

thr trceting rnd rcccipt of {rcsc frndlngr. you n distfrcd witlr thb thn lou mnn withh 60 dryr rlla r:cclp of tlir otfua.
frlc cpai$on purntoot 8 U.S.C, f 923{fltl}, fs juJicil rcricurryith th? U.S. Drr*Court forc dircia ln *hhtr you rcddcorhv
yorr prtnclgol plsea of buiscsr. ff you lntcnd to continuo opcratio nflr ths ffticc dnc of this ion rrtllc you punr* lrg for
judlcirl rcvicw or otbcnrbc, ylu rnr$( re$rert i tlyofthcrgtian frtrrt thc l]isctqof tndrET QpcttiolDl0l,BtrB of l{lsohol

lobrcc, Fisamr uld

--,

Erplosivcs..l

cffccirc dqte of thc cio sct

prior to tltc

fort bov. You rmy not cortinuc lilsnd ogerrtionr uderr urd uatil a suy ir gsnld bl llt

R:orprcrlcudcrl?CFRPut4?f &r&lher!lcctibodorCull cillacddivrdtoATFnihl0d'EofdsthhC&ltt b

raqurdobcdicsritnqlrslulliedsrncntdtonllcadcliltosEsq$Dr. Scc lE US.C.9I(f4)rd2?CFR.S{?t ll?.
flar e cffcev dc of o liccac dcnlrl of rcnslvd, rsvoqrtion, or lusprnrior, y6r mry not lttrfully cnpgc in tlrc busn$ ofdcllirg
in rm. Aoy diryarition of your lirconar burincss ia*ntory rnu* comply with dl ryplicrble hrvr ud rcgulatiurs. Yu locol ATF
oflcc i blc to nslsl you in undcnlandiq md iraphmrnling thc oponr vilbls to lowfirtly rlmc of yor ficrt bmlncs

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of Brcou of Ahotolr

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on tlrc pcGon ldcntillcd

( b X6 )

orn

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664

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Notice of Denhl ofAppllcrtion for Licsnse

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Final Notice ol' Denil rf,.lppticatinn, Reroctiott,

Suspension antUor Fine *f Firearnts l.iccrse

Iu the nt.tttcr rl':

'Z

rtt*

lirr liucnrr's

applrr-atrun

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rf

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42 lludgins Roarl. Suic 109

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t{r}lict ls !h:r*b' (itcn'f hat:

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l- ]

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Ll
[lf

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tltat

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re

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dtlrcr lVhr:rc Noticc Scrrcd

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668

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U.S. Deprtmsltt of Jwlce

Bucou ofleahol. Tobncco, Firems rnd xpfositts

Final Notice sf Denial ofAppcaton, Revocation,

Suspension and/or F'ine of

Flrsrms Licenst

ln th matter of;

ffi

The applicalion for licens rs alan

fl

Lcenl.lumber

Dcl i fiarms ot$cr th drstuctivc dcvicls nding 54.12993)

filcd byl

ot

ss

issuedto:

or Licensec {Show xunben stret, cty, slot and ZIP Coe)

of

Name nd Addec

dan

( bX6)
ilolicc Ir Hlreby Gh'en Tbt:

A requcst for hring pstr fo

U.S.C. g 913,{2) anor 922{X5} rvns not tirnely filed. Based on *rc findings set fonb in lhc asache{.

licenrc descrbcd abovc ir revckcd pursuont o l8 U.S.C. 923{ci, 922(tX5) or 924{p). ffectivc:

f]
I
I

drxument your

lS

"ulcnt

ys aficrreeipofrlris to.t, or

licenseirruspendcd lor

li"unr..

is fined

, prsunt

caler&rdays,cfrcrtivc

lo l8 U.S.C. $924flo924{p).

, pursuant

paytent

Affrrdrconsidrrrionfoltowinga hearing hcldput$nt

18 U.S.C" $

to

lt

u.S.C. $922{t[5] ot924{p}.

92{fX2) and/s912(tX,ord onrehsiscflindingssetoutnhe

arachcd copy ofdw ndings ond conchsions, llls Drecbr or high designee corrtudes thrt ycnu

[t

application lor licens doscribed atrovc is rleric4 prrsuaril to l8 U.S.C' 923{d}.

fl

agplicationforerwaloflilsnscdesnibdabovchdenirdFutrttttol8ttS.C.923(d),e'cctive:

fl
I

tic.r*

tS

cAen&rthysafi*rceiptofihis

noticc,

or

Oetalbcd abov is rcvoked pursrunt to l8 U;SC, 923(4 9?2(tXi) or9l4{p),

ls

*t*,uruyraftcrn:ceofthisnofic,ot

fl

liccne is suspcnrled f6

liccnssc is fied g

calendardays, efreetive

payrhent{uel

dcajvc:

--.

pursuantts 8 U.S.C. $ 9?!{tX5) or924{p}.

, p!rsiant

to

I E U.S.C. g

922{r)(5) or 92.{p).

ll, Efler thc esring rnd rcccipt cftftesc ndings. you arr dissafisficd with thi aeron y{ru myr uithn 60 days afler *ccipt ofthis notiee.
tilc o petirion pursuant l 8 U.S.C, $ 9?3(fxl), forjudicil rcvicw rvith lhc U.S- District Court for the districl in rvltich you rcsidc or huve
your prinopal place of busincss, If you intcnd to continu oprrations after the effective dalc of this action while you pur:le filing for
judicial rcvic* oroth$wiee, you must rcquest s 5ty ofhe cio from thc ircctor of lndustry Opcradons (DIO), Burcau of Alcohot,
, pror lo e
Tabacco, lirenms and Explosivcs,
cffcctivc drc of the acdc sr forth abgve, Yor r$ay not cotinue licensed opcrations untess and until ty is lfanted by the Dlo,

-,

at

ove dnll eitler be dclivstd ATF wiin t0 days rf tle dan tl b$incss is
requidrobcdiscontinuetlorshllbcdoclentqtoflLtddivcrytolnrccsor. Secl8U.S.C.923(g[a]aul27C"R$478'l??'
F,rcords p{escribed un&r 2? CFR Put 478 for re license dcscribd

frsr the effserive datc of liccnse denial olrencrval, nvocation, or suspension. you may not lwfully ongoge in thc busaess ofdelling
in ficrms, Any disposition of your fircarnrs business iaventory mustcomply witb oll applicablc law and regulaticns. Your locol ATF
oflice is uble lo arsist you in undcretantling and implernenting thc options available to lawfully disposc cf your firearms businss

invontorY'

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669

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670

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tts. ttrn.flm.lt tfJrdlc.

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671

RIP

U.S. Deprlrntnl of Jusliee

urcau sfAlcohol, Tobacco, Flrearns and Bxplosivcs

Final Natice of Denial of A.pplication or

ReYocation of tr'irearms License

mtltr

rrrc applicarionfor liccnso

ticcse

Numbr

as

9-68-005"01-SE-lll216

as

llcd by; o

derler in rcrms other ln dqtructive deicc,

, bsued to:

Nm! nd l\ddes of Applicant or Licenscc ($ltov rr ber, slet,

aity, statc and ZIP Cailc)

flIreD)
d/by' Rcndezvous

Prlmilive Alnr

?81V. MrlnStnt
lone, Cellfornh 9t,l8

Hoticc ls llareby
/
\

rl
"

tivc Tht:

duc consideration follorving a hearing hetd pursu$! to section 923f){2}

atbchcd cop ofthe lindings and conclusions, your

All

applieton for ticensc dcscribed above s dricd.

EJ

c.nsc derbed abovc ls revoked, affcctivc June42014

tf'ou

arc dissatisffcd lryth

(3)

E, U.S.C,,

rnd on tbc brcis offindings set out in thc

{ris action yo$ mB}', rvifhn 6t days tcr celpt olthis notlec, Iilc

forjsdfusl virv n'ifi lhe

(?')

ofTillc

a petition pursua$t to section 923($(3)

U.S. Distrcf Cud fo fhc dishict in rvhich you rcsidc or havc your ptfucipal plaec ofbusincss.

offtlc I A

_
I I
-

$inccarcqucstforhcsrirgpursusntloscslion9lS{4{4sJTitlclS,U.S,C,,rvtsnstcccvrd,orvsrotlimeyrcccived,
bsed on the findings set ut ir c attachcd copy ofliadirgs rnd couclusonr, your licnse descibcd borc is
"n
rclokcdsfrecliv

Rccords pscribcd rrnder 2? CFX. Prt 4?8 for the liccnsc dcibed abor.c shall bc dclivcrcd la ATF rvilhir 3 days of lbe
thc busnrss h rrqulrcd to bs discottlnued or shall bc documented lo rcflect dclivery to r nccsor. $ce 2? CFR 478,127.

df

rOYreD]

Ir'kytl'201{

U.S.C,,

nefivuing

a copy

ofthe rotce to

addrs shosr

belorv. ffil Certitca rnail to he addrcss shonn betorv.

sk le

Illnytrl,2014

ort

Farltct

no

lVhcc

2i lY. Mdn ttrcea

lontl Crllforni* 95648

Itlay 11' 214

Hotc rdorr

Erlo Is Obohte

r4

( bX6 )

lFE Fm

f3OO.lJ

Ri!.d.|lt 005

672

RIP

U.S, Dapnrtmcnt of Justice

Burcau of Alcoltol, Tobacco, Fkcarms nnd Explosives

te 0r
I

Thc applioation for license as

El

Hc.rsc Ntmbcr 9-8405-0?-6F-03610

Fial Notice of Denial of ,{.pplication or

Revoeation of 'irearms Lieense

nal

os

monufacfurer of

llrflrmc olher thnn dertruct

dei'lces

, issucd to:

l.imc rnd ddrcss of Applicant or ticensee (S7ron l uilber, street, clty, state anil ZIP Code)

b X6 )

Notic Is Hcrby tiiven

\'
.r

-t

hal:

er due considcratlon follorving a hearing held pursunt to seelioo 923(fX2) of

aached copy ofthc findings and conclusions, your

appcation forticense dcscribed above is dcnied.

.rnr" docribed bovc

s rcvokcd,

Tttlt lt,

U,S.C,, aad oa thc bass of findirgr sst ot i lh

efcctivc

ore disatis0ed vith ihis ction yor nay, rvirhin 60 iiays afur rcceipt of lhis ootice, fiir apetition pursusnt to scction 923(f(3) of Titlc
forJudicial rovicn rvith thc U,S. isbict Court for thr district in rvhich you rcrldc or have your princlpal plrceofbuslness.

If you

(2)

(3)

_
lXl
-

8. U.S.g,

Slocc a rcqucst for hearing pusua$t. to section }23(0{2} ofTitle 18, U.S.C., rvas not reccived. or rvar not timoly reccived
and bed on thc findings set out to tle attrched copy offindfugs and conclusions, your liconsc dcscribed abovc is

vokedeffectivc Fobrunry10r20ll
Rccords prcribcd under 2? CFR Prt 4?8 for the liccnsc d$cribed abovc shall be delleted to ATF rvithin 30 dayc ofthc datc
the blslncss Is required tc bc diontinued cr rhsll be docurncntcd to reflcct delivery to a successor. See 27 CFR 4?8.12?,

Fcbrrart?8,2014

no
bclon,

f!

Dcllverkrg a co1 ofthc notice to

sddr$ horm

bdorv. fil

ortiA.d

*til

to thc addre$ ihovn botorv.

( t5 X 6 )

b X6
t(
Notcr ftrit lai Ir Ot,eolclG

b X6 )

"

r...

ATF Frt ,300,1X

e*irdJd72S05

673

RIP

U.S, Drpartmcnt of Jusllce

Buau of Alcohol, Tobco, Fircarms and Explosivcs

In thc mucr ofapplicatlon for liccnse as

Notice of llenial of Application forLicense

Dclrr l Flrrms ott.r thsn Drstiuctlvc

lrvces

fl
, filed by:

(&egx t1plng oru space below ots)

ll

Namcsnd

Addrssof
pplicart

($haw nanher,
slrsct, cW

&t atdZlP

t5 X 6 )

Code)

Note

l! H*eby Given Thatr

(t) lll
Ig

Thcapplicuiondcscrbdabovchsbcendcnicdbecauscyoudonotqualifyforlicensingunderthcprovieionsofsrclion923(d)ofTitlelS,
U.S,C,, as particular spccifisd on the skct(s) atteched hcrctc nd modc a prrt of this fsr;

) fil
-

Prsul$t to scclion 9?3tf)t2) of Titlc lE, U,S.C., you may file a requcst for a lrcaring lo rcvierv thc denial ofyour application. thls rcqucrt
should be senl in duplicaQ to the ircctor of lndusuy Opcrations {DlO}, Bucau of Alcahol, Tobco, Firers ad Explosivcs,
5601 rnold Rod, Sult 40;

Ilublin, CA 9456/i-1729

within

15 days

afrcr rccclpt of this noticc;

{Addrex)

{3i E

lfyou rcqucst

(4)

If your requcst for a hcarkg ir fflcd on timc ud thc applicstion dcscribcd bovc is for cn*wsl of a curntly vlid liccnsq you may
continue to opsetc utdsryorprescnt licrrsc pnding rcvicw of thc dcnial ofyow rcncwal applicallon.

n
u

a haaring,

it will

bc hcld ss providd ln 27 CFR Part 478: and

Dat
16 Dcmblr

2$Il

on

1
| |

Dclivcring scopyoflhcnoticc to
thc ddross showo below.

Cc*ifisd mail to the

addrcss hout bclow.

ttal

12118 2413

bX6 )
I

oidwr

8r

@IreDr

Notics

( b X6 )
12

213

I
0.i

X6

riograrn sslstant

ATF E"F tit9E ($0.{3}

XYilEdJuy?q!5

674

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Deplrtmnt of Jultlc!
Buu oflcohol. Tobrcco, Firssms and Explosive
U.S.

Finl Notice of Deniel ofApplicaton or

Revoction of Firearms License

ln the

nnatter

of:

fJ

rnu applicrtion for license

[l

LiecnscNurnbcr t.5&t19.0r-5A.0281x

,trS

filcd by; or

r Dcala i FLerm Othtr'Ihn stnctirc Dvicc

, issucd tor

Name

ud

ddress of pplieant or Licensee (Shaw number, slreel. c4,' stute aa ZIP Code)

limberghost ltunling &, Flshing, lnc.

58$ Fichon Rcd
Cathoun,Ceorgia 30701

Notice ls Hcrcby Givcn I'hat:

[-l (l)
f,
n

Allcr due consideration following a hearing held pursuml to scctitn 923((2) sf Titlc t8, U.S.C.. nd on the bsis of findings
set oul in tho attached copy

ofthe ndings

and conclusiols, your

application far license dcscribadabove is dcnicd,

li.onr" dcscribed

abov{ is rcvoked,

cffectiv{:

are dissrtisfed wih tbis retion you may, within 60 days aficr receipt of this notice, filc a pctilion punuant to scction 9X3{fl{3}
judicial review with thc U.E, District Corrt for lh ditrict in which you reside or have your principrl placo of
buslness,

Ifyou

Titlg

of

18, U.S.C., for

El (

not rccvcd, or was not timcly receivcd,

rcqust for hearirg purs$nt to section 923{0t2) of Titlc 18, U.S.C,,
based o thc I'indings sei out in lhe attached copy oflndings and conclusions, your license desribed above is evoked
effeclive lunc 3.214

[l tf)

nccoras prcseribed udsr 27 CFR Fa* 478 fo thc iiccnse dcscribcd abovc rhll bc dclivcred to ATF within 30 dryr of thc
date thc buiness is rtquireil to be liccontinucd or shsll bc dsumented to reflect delivery to r succcssor.
Sec 27 CF 47fi. I 27,

Slncc

nrl

txte
Iune X,2014

[IreD

I certify that, on the datc below, I served the bovc noticc on the pcnon identified

Delivering

[J

copy of tbe notice to the

ddress shown bclow,

by

Certfied mail to the addrss show below.

f*rnoolfotronserved lPfesisiateilseiedottparnteroiotuiororpo,ott

Dtc Notice Served

g6tg3f10I4

surrn

n *o".,

ddres* Whcre Notice $erved

Ssmc sbove,

Dtc

t)6103$4

No: Pr.riou Edtio l

Obolt

b X6
675

Srnior Opcratiom OIIcer

F6nn 5100.t

^F
"lld ulf otj

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US.

fprrtmut

Jlrtlcc

of

Buru ortcohd. T6cso. Fim d

F'lnl No$cg of llenll of Appllcrtion or

Eptosivcs

I
:

ln rhc mttcr of:

'ire e'pbirrion fo licc

[l

LicannHumt 5{t{{?4?.68-t0t65
olhar

. lileil by

r5

dc*nairl davicc

or

r naufrtrin firnn
, isucd o:

Nrmc anil Adlrcs of itpplicrrt Liccnrce (S/rorr aura rtftr, cltl, trae an ZIP Codc)

f[6if,b' Acton?lu
r19&Pttrdt

lndryadoaeaff0 ffi1t

"'k4,etl
Notiec

lr Hcrrby Girtn 1lt:

ll'l (l)

f]

An.r duc eogsldcnrion follorvingr larin hcll punuonl to raction t?3ff|F)

rt oul i te ruchcd copy oltbt findiugr rnd cmclurione, your

oftk

lE, U.S.C., rad on lha trsls of fndings

rpplctlon for tcsc dtibcd rbo' i &nic

EI f.*c o*obcd rbor'a is rcr'olicel, llfcstivc

f

yol rrr dir:rtblicd with this rstion yur nny, wittin 6 dryr rftcr ncr af tbil notcc lilc r pcttior pwunr to rccion !?3(f)(3) of
lt. US.C,, forjudcirl rwcw r+fth llr U,S.DffistCo f6rthr druct ln wi:h you rcrdc orh*'rrourp'rcrl plecc of

Titlc

buec.

EJ (2, Slo.. . tqucrr for hcrrlry ursusnr cr{on t:J(fKI} of Tile 18. U.S,C, r not rcccir,;d or *ts n tirncly ccrtd, trd
ad on tbc:lindingr rct out in dr? {lrghd copy oflirdicgr rnd conelusionl your liea dcrctd rtorr i cvoked
cffcclivs

pl

lldtnonrchtoftlFrndr{odcc

Q nrcordr picribd
dru

tlc

undcr 2? CFR Prrr 4?8 for tb lcn dcribd abcvc shdl bc illivrcd to rtTf *irhn 3g dnyr of
bc dicon{inucd or hlt bo docurneltcd to fccr dclirtty r recrs:or.

rtc

iuincr r rcqulrcd to

5c t? CFR 4?8.1t7.

I)c

cartif rt, on

f!

drta tlorv,

Dc$rcting r copy otthe notlc lo

ddnsr sho*rrbclow.

rd

( L X 6 )
tt!

[f

Canlfcd rarit to hr rdrtcir rbo*n baloy.

Scrvrd fPlorc.rra tc lJtc*I an artncr or

Dr Noticc Scrvcd

atfi*r

otcotporaton)

.dlsr Wbr llotigG Srvd

llt

hrtridc ltlpcndacc, Mo

Dtc

r*ot: Prcriqs

6{053

(bX
Edi?on

ti

6)

a
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ir* ,{9f!

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676

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.S. Itcprrtmcnt of Jultltc

Eurcu of.{lsafiol. Tobrsco. Firesrms rnd Explosivcr

Finrl Notlce of Denial of Applicadon or

ln th mtcr

El

m.

l-J

l.icense Nunbr

applitior for lieenc

Es

r dclcr in fircrrmr,

including pw, ocr lhll dcsuclvc dlvig

. filc.d by;

or

, as

, issucd to:

Nnre and ddrcsr of Applicant or Licenscc (Shou, aumer, ,tt'|, clly, sltle aad ZIP Codo)
Ersr.rn tskEo county Prrr rad ritlc Lsn, LLC
sffifldft/.
{flol E.itoHighwey

Blrc Springr, Misrcuri 64015

Notice l Hercby Git'cn Thal:

f7l

(I

fter due consilcrtion following a hearing held pumunnt to scrio 923(f}{2} of Ttt I fi. U.S,C., and on th* basis of frndings
$t oul the tttnchd ropy of the finding nnd conclasions. your
application for liccnse dcscribcd aboYe is dcniert,

[l
ll

liuensc dcscribecl bove is revokcd, cfrcctivc

lfy1 are dissutisficd lrrih this actiot yo my, within 60 days afterrcccipt ofthis notir. lc r pcltion pununt to scton 923{f}t3) of
rtlc l$. U,S.C., for judicisl rcvicry with lhe tJ.S. istrict Csurl for th dishist in whicb yau rtridc or have your principol placc of

buslncr.

a .rqucsr for he$drg prrrrsrt to scton 923tfl{2) of Titlc 18, U.S.C., rws t rccrcd, or tvai not tr$ly rrccivcd, and
bcd on hc findings Et ort ia re allrclcd copy oflindigs nd coacllsions, your licenre dcscribed obove ii revohud

Sinr.

tffsclit'e

l3J

f)ac

Rcords prescribcd under 2? fFR Part 478 for thc license dcscrlbcl bove shslt be dclircd to ATF rvithin 30 days of
dte the buincss is rcquired to bg discontinucd or chll bo documcntrd lo roflcct delivcry lo a Euccsssor.
Scc 27 CfR ,t?8. I 27.

Firerns qnd

q/ft /t'/

I rriry thrt. n lhe datt bclow, I servd tltc

[-l
._

Ot.
notc on lhc pcrson

balow

[J

Dclivcring a copy of thc notice to the

rddresshownbelorv.

Datt liotee Scrvcd

thl

C"rtili.a *nit to thc rddrs shou bclorv,

of Person Scrvrd (Plcasa state lf seruetl

ou

gartder or ollccr of carporatiotq

Counly Prn nd Trlc Loan,

Estcn

ttC

'!rl(on
ddrc5 whe Notice Scrvsd
{tlOl

E.

{ll }tighwa, Bluc Sprins, Microuri 64t15

llrl

\il..

,tTF

Plc{ir rdrtir lt Obrd.la

fm

lri.d

677

ll

,10t,
Jlt l(ll,.l

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lls. DrDlnrt olJulhr

lurrlu oflcthol, Tobcco, Frelnr

n th? mllr

Flnql Notlcc of Denlal of ppllcrtion or

Revocation of Flrearms f,lcense

on:l Erploslvc:

of:

f] fttorppticationforticcncrs

,litcdLyor
dralsr in

LiccnrcNumtcr 5.ls.t0ill'584188

fi

orlr.tbl dc$nlgvc dcvloc

llrarnr

lssucd lol

Nme nd Addc$ of ppliclnl or Lccncs f,llror nrrarer,

lrcct, cilj', tttl ant zIP ode)

,\rJUr$br llr.
4l I Msin $rcrl
Mornd Ciy,

66056

l l{ercby Givco That:

Notice

Knti

(U

Acr duc conidcrtion follo*ing l trri hcld punurnl lo ssction g2l(fX2) of Titlc IS,.U.S.C., nil on lhE bi of lindingr
t out i fhc ltuchcd eopy of lhc findingr aad concluslonr, your

I
[

rpplicalion for liccnsc dsssrbcd lovc i dcnicd.

ccsctccribcd bor i rcvohtd, cfc{lve

lfyou trr dissorlsfled wlrh rhi rctlon ycu mly, witbln,60 dlys lllrr rcctpl ftbi5 noliec, ll s plilion p,utsrril| lo tctio 923(fJ(3) of
Tirl l& U,S.C., for judicial nvicw rvlth lhc U.S. Dirtirt f;out for hc dirrit in *hich you rld: or havc your princigll lecc of
buslncs.

pursurt ro rrctn 9tl{f)t2} of Tirtc 18, U.S.C,, rvrs nol rccclvri, or ry! nfrt timly:clvcd, ond
bed on hc:llndirEs tit out in lhc stlchcd copy of findingrro conclutionl, yow llcanrc dcreribd sbovc i rvoked
N.t
ellcctivc J dr! 6tr rlcrlBt

El (2) Sncc rrqtst for hrng

prcricd undcr ? CFR Pdrt 4?S for thc liccnc dtribcd abov lll bc dctivcrcd lg ATF r+ilbin 30 dys of ths
dtlr lbc brrin?r:ir rrquirrd ls bc dircntiaurd,ar sll bc docmctcd lc rcllcct dclivcr 16 s rcsor.

El {3) nor*

S 2? CFR4?8.t2?.

Dlc

I ccall

fl

gn

rrt, on thr datc bclorv, I servcd lhe

4 I

$lct!

Scrrd

ccrrlficd mall to
stole

the

dd

ho'n

brloy,

llsened an patluer or otlccr ofcarparatlau)

r{vry Lubr. !c,

{otiec Scrcd

t Ml glliL Mund Clly,

66{t56

Drlc

Erplosiv* Ollicial

PCSOn

[l

IIIGD)
Addrcs

flICI

Dclivcrlng s copy ofhc notir lg rh

ddcss hown bllow.

DrtcNoics Srvd

and

il olt{

b X6 )

A
ATf Fm tl}.11

l,tots Prvll! Ejltlm lr obrok

icrd lsb l!01

678

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U5. Dcpnct of Jqrtlrt

Srnu o f A lcslrol..T,qtifg, f i-r.tn(!$!F

Finl Notlce of llenll of Appllcrtcn or

Revertirin'of Firearms

ln lh mn:r of;

El

Thc opplication for licans

LiclncNtnblr

!6

5.13.t [3.3t-:J.021fl

othcr thrn dctrucvr dcvicr

.Irne nd ddrcs of Applicmt or Liscnscc

, fitcit

byi or

dcrhrin fmqnn

ls*cd toi

Iorr,bc srce!, clty,

slate and

lP Codo)

l!i Sporrg LLC

5?6 &! Fry In
'Fllon, Miouti 6336

l7l
H (l) l'rcrducconidcmtionfollowlngahcorlnghcldpunuonllorcclion92S(f$2)ofTillcl8.U.S.C.,ndcnthcbosisoflindingr
t out n lhc

I
[l

!u[ch!d copy of c fndh$ und conclsios, yotr

application for license dcscribed above is dcnlcd,

liccruc dcscribcd bovc

i revoksd, .trc"ivc

@'

moy, nlthin'60 days ollcr rcs.ipt of th! rolics, filc tr pthion,puuuut lo ccrlsn 923{fl(3}
judicinl,rcvcw vth the U.S. Dislricl Coul fir ln distrlt in'u'hic{r you ridc cr ltrtvc your principrl place of

lf you orc dirsrtisficd rvith ttis lction you

Tirlc lE, U,S.C.,

for

of

business.

ltzl

Sincc

lJl r)-

rcqucst forhcing.Puunt to rcctisn 923((2) of Titlc 18,.U,5.C-, ws nal rcccivcd, or wts rol ticly received, n*d
ladiogr sct out in the *ttachcd copy of firdingr and coneturions, yotr licens! drseribld rbovc i rr'okad

nccords prcscribed undsr 2? CFR Prrt {? I for thc

l ruquircd ts bc discontinued or
Sca 27 CF-R 47.127,

drte thc buiocss

DEtr

( 5 X6 )

tr!, on lt

f]

llcu dcrcricd obovc hll bc dcllvcrcd'lo ATF $lhin 30 doys of thc

*nll bc documntd l rtflcct dclitcry to succcs$r,

coFy

[l

otthc noticq o thc

(Plca

te llodc

C*rrinoa mil o thc ddrcs slrornbclorv.

ofl prtner

p*or fclleenrc!
Scwd
HlrrlsSoing I,LC 15?6 Tr

?y Lne O'Flloq Minrlli 63t6

Dlc

(
$ac:

Prcviott Eltlo

X6 )

lflbmiJ ll

l rlor

rrYt ,!ry:00t

679

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ATF National Academy

IOIBT guidance related to the review of ATF Form 4473s GOIA Inquiry)
DAD - FO (IO) Andrew Graham

Tasking:
From:
Tasking Date:
Completion:

Thursday, December 2, 2475

Wednesday, December 9, 2Al5

The following IOI Basic Training (IOIBT) information is in regards to guidance provided to the
"IOI trainees" (trainees) in the review of ATF Form 4473 - Firearm Transaction Record Part I Over-the-Counter - Revised April2012 (F 4473).
The IOIBT Firearms Instructors Guide (Guide), dated September 2015, has lessons which
provide guidance to the trainees in the review of F 4473 during firearms inspections. The
lessons, to include Firearms lnspections and Firearms Trafficking, instruct the trainees in the
core competencies to revierry fheF 4473s during inspections.
The core competencies in the F 4473 review include ensuring: the proper completion of the form,
prohibited questions are properly anslvered, the transferee meets age and residency requirements,
errors or omissions are identified, identification of techniques used to disguise illegal sales,
proper government identifcation is used, a NICS check is performed, and identiflrcation of form
falsification indicators are identified.
The following listing are the specifc core competencies identiflred in the IOIBT Firearms
Instructors Guide, along with the Guide reference.

1.

FIREARMS INSPECTIONS COURSE MODULE.

L.

Firearms Inspections

Title I Dealers

- Field Inspection

Techniques

Examining ATF Form 4473 for completeness and legal transactions.

I;*f'gt:r*: r;:;lrUcl;_ir :"itti'J*" ?,,1.r:r"rng z:,r,:':+ii,..t*S: 1ll" T?r. ?-. t\. >\1

1.

Are sections A (and C, if applicable) properly completed by

transferee?

2. Are sections B and D properly completed by licensee?

3. Are prohibiting questions properly answered?
4. Does transferee meet age and residency requirements?
5. Is licensee obtaining and recording proper identification

from the
purchaser- Government issued photo ID is required and must
establish name, DOB or age, residence address, and photograph.

6.

Using the NICS FFL Audit Log, verify that the licensee is
complying with the requirements to perform NICS checks. Also
ensure that NICS is not being used improperly.

'f'1ze;rr:ais'iz1'u.t:rsIi+,x1l21t'r'1t:1"1T:lanl;

Page

I of4
680

RIF

ATF National Academy

IOIBT guidance related to the review of ATF Form 4473s (FOIA Inquiry)
DAD - FO (IO) Andrew Graham

Tasking:
From:
Tasking Date:
Completion:

Thursday, December 2, 201 5

Wednesday, December 9, 2015

Perform Cross Checks to Verify Accuracy of Records.

i.-121i:-i,t- \:i7:.;,;:-:"i{ii, l;l'':7;<t:Iit:zt:t;: lit'.
i:'r,::zz;:::l:zt:.:: ,',rtttt;;;l{.if

.:-.
""'>.

ti.li i- ;i

l.

Cross-check selected ATF Forms 4473 to

2.

Conduct checks on firearms sold on ATF Forms 4473 andin

inventory to look for stolen firearms, suspicious purchasers, theft
reports and patterns of firearms recoveries.

A&D records

X X
2.

FIREARMS TRAFFICKING COURSE MODULE.

Page2 of 4
681

RIP

ATF National Academy

IOIBT guidance related to the review of ATF Fotm 4473s (FOIA Inquiry)
DAD - FO (IO) Andrew Graham

Tasking:
From:

Thursday, December 2, 201 5

Wednesday, December 9, 2AI5

Tasking Date
Completion:

b.

1 1)11,, i;ii':..1;.1

t:,, iZ':-.::;z.i.t;Z':,t:: ..: lo:'ztt 1 ,i=t;'t':.,

Page 3

of4
682

RIP

ATF National Academy

IOIBT guidance related to the review of ATF Form 4473s (FOIA Inquiry)
DAD - FO (IO) Andrew Graham

Tasking:

From:
Tasking Date:
Completion:

Thursday, December 2, 201 5

Wednesday, December 9, 2015

Diversion Emphasis during firearms inspection.

-l'r:rllck
r: g: l X.
i ;=ir'*;rce : l*slnrcli;r i.r icle. l:kcarr';zs

l "l

i.

ATF Forms 4473 by weapons of choice. Look for sales over the
last 12 months of commonly recovered crime guns and known weapons of
choice in the local area and patterns or indicators associated with
trafficking or diversion.

ii.

Organize Forms 4473 alphabetically by purchaser. Look for multiple

sales, repeat purchases of interest, obvious attempts to avoid multiple sales
reporting, names of suspected traffickers identified in pre-inspection,
similar names to those recently denied and different handwriting styles
used by the same purchaser.

iii.

Organize Forms 4473 by purchaser address. Look for patterns of

purchases in previously identified addresses of interest, such as high crime
areas. Additionally, look for similar address as those of persons recently
denied.

Separate

'l'his *'ei is inte::i**er'

i*li bl*k

Iend]
Page 4

of4
683

RIF