Proposed Rule2026-09158
Firearms Electronic Record-Keeping
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
May 8, 2026
Issuing agencies
Justice DepartmentAlcohol, Tobacco, Firearms, and Explosives Bureau
Abstract
The Bureau of Alcohol, Tobacco, Firearms, and Explosives ("ATF") proposes amending Department of Justice ("Department") regulations to authorize federal firearms licensees ("FFLs" or "licensees") to generate, maintain, and store records in an electronic record-keeping system.
Full Text
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<title>Federal Register, Volume 91 Issue 89 (Friday, May 8, 2026)</title>
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[Federal Register Volume 91, Number 89 (Friday, May 8, 2026)]
[Proposed Rules]
[Pages 25210-25216]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2026-09158]
[[Page 25210]]
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DEPARTMENT OF JUSTICE
Bureau of Alcohol, Tobacco, Firearms, and Explosives
27 CFR Part 478
[Docket No. ATF-2026-0002; ATF 2025R-07P]
RIN 1140-AA94
Firearms Electronic Record-Keeping
AGENCY: Bureau of Alcohol, Tobacco, Firearms, and Explosives,
Department of Justice.
ACTION: Notice of proposed rulemaking.
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SUMMARY: The Bureau of Alcohol, Tobacco, Firearms, and Explosives
(``ATF'') proposes amending Department of Justice (``Department'')
regulations to authorize federal firearms licensees (``FFLs'' or
``licensees'') to generate, maintain, and store records in an
electronic record-keeping system.
DATES: Comments must be submitted in writing, and must be submitted on
or before (or, if mailed, must be postmarked on or before) August 6,
2026. Commenters should be aware that the federal e-rulemaking portal
comment system will not accept comments after midnight Eastern Time on
the last day of the comment period.
ADDRESSES: You may submit comments, identified by RIN 1140-AA94, by
either of the following methods--
<bullet> Federal e-rulemaking portal: <a href="https://www.regulations.gov">https://www.regulations.gov</a>.
Follow the instructions for submitting comments.
<bullet> Mail: ATF Rulemaking Comments; Mail Stop 6N-518, Office of
Regulatory Affairs; Enforcement Programs and Services; Bureau of
Alcohol, Tobacco, Firearms, and Explosives; 99 New York Ave. NE;
Washington, DC 20226; ATTN: RIN 1140-AA94.
Instructions: All submissions must include the agency name and
number (RIN 1140-AA94) for this notice of proposed rulemaking (``NPRM''
or ``proposed rule''). ATF may post all properly completed comments it
receives from either of the methods described above, without change, to
the federal e-rulemaking portal, <a href="https://www.regulations.gov">https://www.regulations.gov</a>. This
includes any personally identifying information (``PII'') or business
proprietary information (``PROPIN'') submitted in the body of the
comment or as part of a related attachment they want posted. Commenters
who submit through the federal e-rulemaking portal and do not want any
of their PII posted on the internet should omit it from the body of
their comment and any uploaded attachments that they want posted. If
online commenters wish to submit PII with their comment, they should
place it in a separate attachment and mark it at the top with the
marking ``CUI//PRVCY.'' Commenters who submit through mail should
likewise omit their PII or PROPIN from the body of the comment and
provide any such information on the cover sheet only, marking it at the
top as ``CUI//PRVCY'' for PII, or as ``CUI//PROPIN'' for PROPIN. For
detailed instructions on submitting comments and additional information
on the rulemaking process, see the ``Public Participation'' heading of
the SUPPLEMENTARY INFORMATION section of this document. In accordance
with 5 U.S.C. 553(b)(4), a summary of this rule may be found at <a href="https://www.regulations.gov">https://www.regulations.gov</a>. Commenters must submit comments by using one of
the methods described above, not by emailing the address set forth in
the following paragraph.
FOR FURTHER INFORMATION CONTACT: Office of Regulatory Affairs, by email
at <a href="/cdn-cgi/l/email-protection#165944575677627038717960"><span class="__cf_email__" data-cfemail="90dfc2d1d0f1e4f6bef7ffe6">[email protected]</span></a>, by mail at Office of Regulatory Affairs; Enforcement
Programs and Services; Bureau of Alcohol, Tobacco, Firearms, and
Explosives; 99 New York Ave. NE; Washington, DC 20226, or by telephone
at 202-648-7070 (this is not a toll-free number).
SUPPLEMENTARY INFORMATION:
I. Background
The Attorney General is responsible for enforcing the Gun Control
Act (``GCA''), as amended, and the National Firearms Act (``NFA''), as
amended. This responsibility includes the authority to promulgate
regulations necessary to enforce the provisions of the GCA and NFA.\1\
See 18 U.S.C. 926(a); 26 U.S.C. 7801(a)(2)(A)(ii), 7805(a). Congress
and the Attorney General have delegated the responsibility for
administering and enforcing the GCA and NFA to the Director of ATF
(``Director''), subject to the direction of the Attorney General and
the Deputy Attorney General. See 28 U.S.C. 599A(b)(1), (c)(1); 28 CFR
0.130(a)(1)-(2); Treas. Order No. 221(2)(a), (d), 37 FR 11696-97 (June
10, 1972); 26 U.S.C. 7801(a)(2).\2\ Accordingly, the Department and ATF
have promulgated regulations implementing both the GCA and the NFA in
27 CFR parts 478 and 479.
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\1\ Some NFA and GCA provisions still refer to the ``Secretary
of the Treasury.'' However, the Homeland Security Act of 2002,
Public Law 107-296, 116 Stat. 2135, transferred the functions of ATF
from the Department of the Treasury to the Department of Justice,
under the general authority of the Attorney General. 26 U.S.C.
7801(a)(2); 28 U.S.C. 599A(c)(1). Thus, for ease of reference, this
notice of proposed rulemaking refers to the Attorney General where
relevant.
\2\ In Attorney General Order Number 6353-2025, the Attorney
General delegated authority to the Director to issue regulations
pertaining to matters within ATF's jurisdiction, including under the
NFA, GCA and Title XI of the Organized Crime Control Act. ATF's
jurisdiction also includes those portions of sec. 38 of the Arms
Export Control Act pertaining to permanently importing defense
articles and services and the Contraband Cigarette Trafficking Act.
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FFLs are subject to record-keeping requirements under the GCA and
NFA and their implementing regulations. See, e.g., 18 U.S.C. 923(g); 27
CFR 478.121, 479.131. ATF regulations require that FFLs maintain these
records as a bound paper record. See, e.g., 27 CFR 478.125. However,
over the years, ATF has authorized individual variances for electronic
record-keeping for ``good cause,'' in accordance with the regulation.
27 CFR 478.22(a)(1). As electronic record-keeping became more prevalent
within industry business practices during the past 15 years, ATF issued
blanket rulings to permit licensees to generate and store some required
records in electronic form, including acquisition and disposition
records (``A&D records''), and ATF Forms 5300.9, Firearm Transaction
Records (``Form 4473'').\3\ ATF also issued rulings that permitted
licensees to file ATF Forms 5320.1, 5320.2, 5320.3, 5320.4, 5320.5,
5320.9, and 5320.10, related to NFA firearms, ATF Forms 5330.3A and
5330.3C, related to importing firearms, and ATF Form 5300.11, related
to firearms manufacturing and exporting, electronically using the ATF
eForms system.\4\
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\3\ See ATF Ruling 2016-1, Requirements to Keep Firearms Records
Electronically (Apr. 29, 2016), <a href="https://www.atf.gov/firearms/docs/ruling/2016-1-requirements-keep-firearms-records-electronically/download">https://www.atf.gov/firearms/docs/ruling/2016-1-requirements-keep-firearms-records-electronically/download</a> [<a href="https://perma.cc/4SZJ-SVXM">https://perma.cc/4SZJ-SVXM</a>]; ATF Ruling 2016-2, Electronic
ATF Form 4473 (Apr. 29, 2016), <a href="https://www.atf.gov/firearms/docs/ruling/2016-2-%E2%80%93-electronic-atf-form-4473/download">https://www.atf.gov/firearms/docs/ruling/2016-2-%E2%80%93-electronic-atf-form-4473/download</a> [<a href="https://perma.cc/8JP3-2FN5">https://perma.cc/8JP3-2FN5</a>]; ATF Ruling 2022-01, Electronic Storage of Forms
4473 (Aug. 17, 2022), <a href="https://www.atf.gov/firearms/docs/ruling/2022-01-electronic-storage-forms-4473pdf/download">https://www.atf.gov/firearms/docs/ruling/2022-01-electronic-storage-forms-4473pdf/download</a> [<a href="https://perma.cc/7GXS-724Q">https://perma.cc/7GXS-724Q</a>].
\4\ See ATF Ruling 2013-1, Electronic Form 6 and 6A (Jul. 10,
2013), <a href="https://www.atf.gov/firearms/docs/ruling/2013-1-electronic-form-6-and-6a/download">https://www.atf.gov/firearms/docs/ruling/2013-1-electronic-form-6-and-6a/download</a> [<a href="https://perma.cc/H82Z-CZRH">https://perma.cc/H82Z-CZRH</a>]; ATF Ruling
2013-2, ATF Procedure 2013-2 (Jul. 10, 2013), <a href="https://www.atf.gov/resource-center/docs/guide/atf-procedure-2013-2/download">https://www.atf.gov/resource-center/docs/guide/atf-procedure-2013-2/download</a> [<a href="https://perma.cc/Z9EW-2B5S">https://perma.cc/Z9EW-2B5S</a>]; ATF Ruling 2012-3, AFMER Electronic Form (Jun.
14, 2012), <a href="https://www.atf.gov/firearms/docs/ruling/2012-3-afmer-electronic-form/download">https://www.atf.gov/firearms/docs/ruling/2012-3-afmer-electronic-form/download</a> [<a href="https://perma.cc/85ZZ-HN69">https://perma.cc/85ZZ-HN69</a>].
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II. Proposed Rule
In response to the need to incorporate existing rulings into ATF's
regulations, ATF is proposing to revise its regulations to specifically
authorize
[[Page 25211]]
electronic records for firearms transactions. As ATF codifies these
rulings, ATF also proposes to simplify and modernize the requirements
and establish a set of common standards. This rule proposes to allow
FFLs to electronically generate, maintain, and store all records
required by the GCA, the NFA, and their implementing regulations, and
to identify minimum requirements for electronic record-keeping systems
so that records are readily accessible and securely maintained. The
rule's proposed revisions would also consolidate ATF's policies for
electronically generating, maintaining, and storing records, simplify
minimum standards for such electronic record-keeping, and focus on
electronic record-keeping goals--easily accessing and reviewing
required information; ensuring sufficient data integrity; and securely
storing information over time to combat loss, theft, and accidental
destruction--while providing more clarity and choice for the licensee.
The proposed rule would allow licensees more flexibility in
choosing a record-keeping system, particularly as it relates to storing
electronic records. This flexibility would give licensees freedom to
modernize business practices, reduce costs, repurpose space previously
used for storing hard-copy records, and create data-driven business
decisions based on analyses of their electronic records. The proposed
rule would create efficiencies for licensees and for ATF, as compliance
inspections utilizing electronic records are faster. And if licensees
use an electronic record-keeping program that flags missing information
or potential regulatory violations, licensees would have fewer
compliance issues and reduced risk of prohibited sales.
The proposed rule would permit licensees to remotely store their
electronic data at a site they own or contracted/leased by the licensee
through a host facility (e.g., remote server or cloud storage
provider), provided that the licensee's server is located within the
United States or its territories, or if a host facility is used, that
facility must have a business premises within the United States or its
territories, and must be subject to U.S. legal process.
Finally, ATF has not included in this proposed rule certain
detailed requirements that were in earlier ATF rulings, such as the
number of terminals needed for compliance inspections based on the
volume of firearms records the licensee generates. Previous ATF rulings
enacted this requirement to alleviate concerns regarding access to
records during the inspection process.\5\ ATF wanted to avoid
inconveniencing licensees during the inspection process and thus
required a specific number of terminals based on the volume of
transactions to ensure each FFL could access terminals to conduct
business during the course of an inspection. While the proposed rule
requires only one terminal for inspectors to use, ATF notes it could
still be useful for high-volume dealers to have multiple terminals
available to both ensure their ability to assist customers and increase
the speed and efficiency of inspections. ATF therefore still recommends
that FFLs provide multiple terminals to ease any impact of an ATF
inspection.
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\5\ This proposed rule would incorporate (and would rescind) ATF
Rulings 2012-3, 2013-1, 2016-1, 2016-2, and 2022-1. Ruling 2013-2
was previously superseded by Ruling 2020-1, which now primarily
covers non-over-the-counter (NOTC) transactions, with a brief
records section. 2020-1 would be rescinded by another rulemaking ATF
is proposing on NOTC transactions, if finalized as proposed. If that
does not occur as proposed, then ATF would revise 2020-1 to rescind
the records section due to this proposed electronic record-keeping
rule.
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As a result of these considerations, ATF proposes to create a new
regulatory section in 27 CFR part 478 specifically on electronic
record-keeping. This new Sec. 478.130 would authorize licensees to
electronically create, maintain, and store all records required under
the GCA, NFA, and implementing regulations, provided the electronic
record-keeping system meets the minimum requirements of this section.
As noted above, the proposed minimum requirements relate to the key
goals of electronic record-keeping--easily accessing and reviewing
required information; ensuring sufficient data integrity; and securely
storing information over time to combat loss, theft, and accidental
destruction--while providing more clarity and choice for licensees. The
proposed requirements are divided into categories to make it easier for
licensees to find information on specific topics. These categories are:
records content, format, and searchability; automatically capturing and
populating data; data integrity and audit trails; storing electronic
records; data back-ups, temporary unavailability of electronic record-
keeping system; ATF access and licensee responsibilities; discontinuing
business operations; record-keeping in a single medium (i.e., not
mixing paper and electronic record-keeping); old records in paper form;
and in accord with law and regulation. Specifically, pursuant to the
proposed rule:
Records format, content, and searchability. An electronic record-
keeping system maintained in conformity with the proposed regulations
would contain all information required by applicable law, be formatted
to ensure printouts are identical to paper copies of the relevant ATF
forms, and not be freely alterable without using a separate entry to
log the alteration. If a record requires supplemental documentation,
such documentation would be maintained in the same file as the primary
record. The records would be searchable by key terms; sortable either
alphabetically (by name of purchaser), chronologically (by date of
disposition), or numerically (by transaction number); and have the
capacity to toggle between at least two types of records. For example,
they would have the capacity to toggle between and to view the
acquisition and disposition records and a specific Form 4473 for a
given firearm. The sortable and searchable requirements mirror current
paper storage standards at Sec. 478.124.
Auto-populating data. The regulation permits software that allows
most data to populate automatically. ATF is concurrently publishing a
proposed rule that proposes amendments to 27 CFR 478.124(c)(2) to
permit persons and licensees to auto-populate information for the Form
4473, Firearms Transaction Record. These amendments to Sec.
478.124(c)(2) would also apply to all required licensee records.
Data integrity and audit trails. Data integrity is essential to
electronic record-keeping, and audit trails support data integrity. A
compliant electronic record-keeping system would generate audit trails,
retain error corrections and other record modifications as new log
entries, and document when and by whom each modification was made. This
is necessary to ensure that forms cannot be improperly or accidentally
altered during the course of business. Audit trails capture details
like who accessed the system, from where, when, and what actions they
performed (e.g., viewing, modifying, deleting).
Storing electronic records. Records would be stored securely to
prevent data loss and breaches. Records for each license cannot be
intermingled with records for any other license. Electronic records
would be stored at the business location or remotely at a host storage
facility. If stored remotely, the licensee would notify ATF of the
storage location within 30 days of storing one or more records at the
remote facility. The host facility would have to be subject to U.S.
legal process as discussed above. If licensees change the host facility
at which they store records, and the new host facility is incapable of
storing prior
[[Page 25212]]
records, the licensees must download and maintain a digital copy of the
old records at their licensed premises and maintain it in accordance
with these regulations.
Data back-ups. Licensees would perform incremental back-ups of
changes to the system at least once every 24 hours, and a full system
back-up at least once per month, in a manner selected by the licensee,
except for Forms 4473, which would require daily back-ups, including
pending and incomplete forms (this requirement for Forms 4473 is
included in the corresponding proposed rule on revisions to the Form
4473 regulations at Sec. 478.124). These recurring back-ups could be
overwritten by the subsequent back-up of the same kind. In addition,
licensees would be required to perform a single, full annual back-up to
a physical storage medium, such as an external hard drive. Such annual
back-ups would not be overwritten and would be kept for the records
retention period specified in Sec. 478.129 to ensure that records are
available in the event of an outage or a dispute with the storage
provider. Certain licensees (i.e., those with a large volume of
transactions, and who maintain a sophisticated, secure electronic
record-keeping system employing redundant data storage mechanisms)
could request a variance from the annual download requirement. The
proposed rule does not contain a requirement to print records.
Temporary unavailability of electronic record-keeping system.
Licensees would use paper forms if the electronic record-keeping system
were unavailable for ten or fewer calendar days. In such a situation,
the paper records would be maintained according to existing ATF
regulations on record-keeping, and the licensee would document and
maintain paper records of the service disruption. If the system is down
for more than ten calendar days, the licensee would contact the ATF
area office for guidance. Licensees would also use paper records if the
electronic system will not permit them to properly complete a document.
For example, the software may have a bug preventing them from properly
completing the document. Or there might be some unusual transactions
for which the electronic system is not configured to accept the user
inputs as complete and correct, even though they are. If the electronic
system will not permit the document to be completed as required,
licensees would revert to paper forms for those transactions. Licensees
would note that the form could not be completed electronically. If
reasonably feasible, licensees would contact the software developer or
vendor to report the problem. This will put developers on notice of
errors that require FFLs to fill out paper forms, with the expectation
that the developers will fix such problems in future iterations of the
program. But the ``if reasonably feasible'' language also makes clear
that FFLs are not required to report bugs if they would incur
significant burdens (whether cost or time) in doing so or if the
developer has gone out of business.
ATF access and licensee responsibilities. The electronic records
would have to be made available to ATF officers for compliance
inspection or law enforcement purposes as required by the GCA, 18
U.S.C. 923(g)(1)(B)-(C). Licensees would have to be able to download or
print the electronic records at their business premises and have a
computer terminal available during a compliance inspection. As noted
above, ATF would not require a specific number of terminals, but ATF
does recommend that licensees with high-volume records have multiple
computer terminals to avoid interruptions and delays during the
inspection.
Discontinuing business operations. Before submitting records to
ATF's National Tracing Center (``NTC'') Out-of-Business Records Center
(``OOBRC''), the licensee would do a full system back-up of all
electronically stored firearms records. Records would then be
downloaded to a physical storage medium (such as a hard drive or a USB
device) and labeled with the FFL number and the records' date range.
Records would be submitted to the OOBRC in an imageable format with the
search feature disabled to facilitate NTC's ability to convert these
records into static image files not searchable by name. Records would
be submitted within 30 calendar days from the end of operations, as
required by 18 U.S.C. 923(g)(4).
Record-keeping in a single medium. Licensees would not be required
to maintain records in an electronic format. However, if the licensee
chose to maintain electronic records, all records would be kept
electronically, except for those produced during a temporary system
outage or because of a software problem. Persons with multiple federal
firearms licenses may choose whether one or more licenses maintain
electronic records. However, the medium chosen for each license must be
consistent. For example, an FFL with two licenses may maintain
electronic records for license 1 while maintaining paper records for
license 2. The FFL would need to maintain electronic records for all of
license 1's records while maintaining all paper records for license 2.
Older records in paper form. Licensees would be permitted to scan
older paper records to incorporate into their electronic record-keeping
system. However, they would have to verify that the records are
complete (including all supplemental documents and pages) and are exact
images of the originals and would have to retain the records in
accordance with the other requirements of Sec. 478.130. Once verified
in those ways, the licensee could destroy the original paper versions.
In accord with law and regulation. This section would not apply to
records for which any law or regulation expressly disallows electronic
records.
III. Statutory and Executive Order Review
A. Executive Orders 12866 and 13563
Executive Order 12866 (Regulatory Planning and Review) directs
agencies to assess the costs and benefits of available regulatory
alternatives and, if regulation is necessary, to select regulatory
approaches that maximize net benefits.
Executive Order 13563 (Improving Regulation and Regulatory Review)
emphasizes the importance of agencies quantifying both costs and
benefits, reducing costs, harmonizing rules, and promoting public
flexibility.
This proposed rule would amend 27 CFR part 478 to allow electronic
record-keeping for all records that licensees must generate, maintain,
and store under the GCA, NFA, and implementing regulations. This
proposed rule would incorporate (and would rescind) Rulings 2012-3,
2013-1, 2016-1, 2016-2, and 2022-1, thereby allowing licensees to
electronically complete and store Forms 4473 and A&D records.
The Office of Management and Budget (``OMB'') has determined that
this proposed rule would not be a ``significant regulatory action''
under Executive Order 12866 as it would not impose any costs or
savings. This proposed rule would only incorporate electronic records
options that ATF has permitted for several years and that align with
standard business operations in the industry. The proposed rule also
does not require persons to maintain records electronically; it just
allows that option.
This proposed rule incorporates Ruling 2016-1 and Ruling 2022-1,
which currently allow FFLs to maintain electronic Forms 4473 and A&D
records. Since these options have been available to the industry since
2016 and 2022, and because savings calculated in the
[[Page 25213]]
final rule titled ``Definition of Frame or Receiver and Identification
of Firearms'' accounted for the costs and savings generated from
allowing electronic records for both A&D records and Forms 4473,\6\
this proposed rule does not identify savings since this is
incorporating existing industry standards.
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\6\ 87 FR 24652, 24731 (Apr. 26, 2022), <a href="https://www.regulations.gov/document/ATF-2021-0001-249302">https://www.regulations.gov/document/ATF-2021-0001-249302</a>.
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ATF acknowledges that some of the anticipated cost savings may be
offset should a licensee need to purchase a new electronic records
system, but licensees are able to meet the requirements with
inexpensive versions of existing modifiable software. And, again, this
is purely optional.
B. Executive Order 14192
Executive Order 14192 (Unleashing Prosperity Through Deregulation)
requires an agency, unless prohibited by law, to identify at least ten
existing regulations to be repealed or revised when the agency publicly
proposes for notice and comment or otherwise promulgates a new
regulation that qualifies as an Executive Order 14192 regulatory action
(defined in OMB Memorandum M-25-20 as a final significant regulatory
action under section 3(f) of Executive Order 12866 that imposes total
costs greater than zero). In furtherance of this requirement, section
3(c) of Executive Order 14192 requires that any new incremental costs
associated with such new regulations must, to the extent permitted by
law, also be offset by eliminating existing costs associated with at
least ten prior regulations. However, this proposed rule would not be
an Executive Order 14192 regulatory action because it is not a
significant regulatory action as defined by Executive Order 12866 and
because it would not impose total costs greater than zero. ATF
therefore expects this rule, if finalized as proposed, to qualify as an
Executive Order 14192 deregulatory action (defined in OMB Memorandum M-
25-20 as a final action that imposes total costs less than zero).
C. Executive Order 14294
Executive Order 14294 (Fighting Overcriminalization in Federal
Regulations) requires agencies promulgating regulations with criminal
regulatory offenses potentially subject to criminal enforcement to
explicitly describe the conduct subject to criminal enforcement, the
authorizing statutes, and the mens rea standard applicable to each
element of those offenses. This proposed rule would not create a
criminal regulatory offense and is thus exempt from Executive Order
14294 requirements.
D. Executive Order 13132
This proposed rule would not have substantial direct effects on the
states, the relationship between the federal government and the states,
or the distribution of power and responsibilities among the various
levels of government. Therefore, in accordance with section 6 of
Executive Order 13132 (Federalism), the Director has determined that
this proposed rule would not impose substantial direct compliance costs
on state and local governments, preempt state law, or meaningfully
implicate federalism. It thus does not warrant preparing a federalism
summary impact statement.
E. Executive Order 12988
This proposed rule meets the applicable standards set forth in
sections 3(a) and 3(b)(2) of Executive Order 12988 (Civil Justice
Reform).
F. Regulatory Flexibility Act
Under the Regulatory Flexibility Act, 5 U.S.C. 601-612, agencies
are required to conduct a regulatory flexibility analysis of any
proposed rule subject to notice-and-comment rulemaking requirements
unless the agency head certifies, including a statement of the factual
basis, that the proposed rule would not have a significant economic
impact on a substantial number of small entities. Small entities
include certain small businesses, small not-for-profit organizations
that are independently owned and operated and are not dominant in their
fields, and governmental jurisdictions with populations of less than
50,000.
The Director certifies, after consideration, that this proposed
rule would not have a significant economic impact on a substantial
number of small entities. This proposed rule would allow businesses the
option of creating and maintaining records electronically, which could
represent significant savings in paper printing, mailing,
transportation, and storage costs, and is likely to increase
convenience and operating efficiency, even if offset in some
circumstances and to some degree by the decision to purchase a new
records management system. This proposed rule therefore would not
impose a significant economic impact on small businesses or the
industry as a whole.
G. Unfunded Mandates Reform Act of 1995
This proposed rule does not include a federal mandate that might
result in the expenditure by state, local, and tribal governments, in
the aggregate, or by the private sector, of $100 million or more in any
one year, and it would not significantly or uniquely affect small
governments. Therefore, ATF has determined that no actions are
necessary for purposes of the Unfunded Mandates Reform Act of 1995.
H. Paperwork Reduction Act of 1995
Under the Paperwork Reduction Act (``PRA''), 44 U.S.C. 3501-3521,
agencies are required to submit to OMB, for review and approval, any
information collection requirements a rule creates or any impacts it
has on existing information collections. An information collection
includes any reporting, record-keeping, monitoring, posting, labeling,
or other similar actions an agency requires of the public. See 5 CFR
1320.3(c). This proposed rule would not create any new information
collection requirements, or impact any existing ones, covered by the
PRA.
I. Congressional Review Act
This proposed rule would not be a major rule as defined by the
Congressional Review Act, 5 U.S.C. 804.
IV. Public Participation
A. Comments Sought
ATF requests comments on the proposed rule from all interested
persons. ATF specifically requests comments on the clarity of this
proposed rule and how it may be made easier to understand. In addition,
ATF requests comments on the costs or benefits of the proposed rule and
on the appropriate methodology and data for calculating those costs and
benefits.
All comments must reference this document's RIN 1140-AA94 and, if
handwritten, must be legible. If submitting by mail, you must also
include your complete first and last name and contact information. If
submitting a comment through the federal e-rulemaking portal, as
described in section IV.C of this preamble, you should carefully review
and follow the website's instructions on submitting comments. Whether
you submit comments online or by mail, ATF will post them online. If
submitting online as an individual, any information you provide in the
online fields for city, state, zip code, and phone will not be publicly
viewable when ATF publishes the comment on <a href="https://www.regulations.gov">https://www.regulations.gov</a>.
However, if you
[[Page 25214]]
include such personally identifying information (``PII'') in the body
of your online comment, it may be posted and viewable online.
Similarly, if you submit a written comment with PII in the body of the
comment, it may be posted and viewable online. Therefore, all
commenters should review section IV.B of this preamble,
``Confidentiality,'' regarding how to submit PII if you do not want it
published online. ATF may not consider, or respond to, comments that do
not meet these requirements or comments containing excessive profanity.
ATF will retain comments containing excessive profanity as part of this
rulemaking's administrative record but will not publish such documents
on <a href="https://www.regulations.gov">https://www.regulations.gov</a>. ATF will treat all comments as
originals and will not acknowledge receipt of comments. In addition, if
ATF cannot read your comment due to handwriting or technical
difficulties and cannot contact you for clarification, ATF may not be
able to consider your comment.
ATF will carefully consider all comments, as appropriate, received
on or before the closing date.
B. Confidentiality
ATF will make all comments meeting the requirements of this
section, whether submitted electronically or on paper, and except as
provided below, available for public viewing on the internet through
the federal e-rulemaking portal, and subject to the Freedom of
Information Act (5 U.S.C. 552). Commenters who submit by mail and who
do not want their name or other PII posted on the internet should
submit their comments with a separate cover sheet containing their PII.
The separate cover sheet should be marked with ``CUI//PRVCY'' at the
top to identify it as protected PII under the Privacy Act. Both the
cover sheet and comment must reference this RIN 1140-AA94. For comments
submitted by mail, information contained on the cover sheet will not
appear when posted on the internet but any PII that appears within the
body of a comment will not be redacted by ATF and may appear on the
internet. Similarly, commenters who submit through the federal e-
rulemaking portal and who do not want any of their PII posted on the
internet should omit such PII from the body of their comment and any
uploaded attachments. However, PII entered into the online fields
designated for name, email, and other contact information will not be
posted or viewable online.
A commenter may submit to ATF information identified as proprietary
or confidential business information by mail. To request that ATF
handle this information as controlled unclassified information
(``CUI''), the commenter must place any portion of a comment that is
proprietary or confidential business information under law or
regulation on pages separate from the balance of the comment, with each
page prominently marked ``CUI//PROPIN'' at the top of the page.
ATF will not make proprietary or confidential business information
submitted in compliance with these instructions available when
disclosing the comments that it receives, but will disclose that the
commenter provided proprietary or confidential business information
that ATF is holding in a separate file to which the public does not
have access. If ATF receives a request to examine or copy this
information, it will treat it as any other request under the Freedom of
Information Act (5 U.S.C. 552). In addition, ATF will disclose such
proprietary or confidential business information to the extent required
by other legal process.
C. Submitting Comments
Submit comments using either of the two methods described below
(but do not submit the same comment multiple times or by more than one
method). Hand-delivered comments will not be accepted.
<bullet> Federal e-rulemaking portal: ATF recommends that you
submit your comments to ATF via the federal e-rulemaking portal at
<a href="https://www.regulations.gov">https://www.regulations.gov</a> and follow the instructions. Comments will
be posted within a few days of being submitted. However, if large
volumes of comments are being processed simultaneously, your comment
may not be viewable for up to several weeks. Please keep the comment
tracking number that is provided after you have successfully uploaded
your comment.
<bullet> Mail: Send written comments to the address listed in the
ADDRESSES section of this document. Written comments must appear in
minimum 12-point font size, include the commenter's first and last name
and full mailing address, and may be of any length. See also section
IV.B of this preamble, ``Confidentiality.''
D. Request for Hearing
Any interested person who desires an opportunity to comment orally
at a public hearing should submit his or her request, in writing, to
the Director within the 90-day comment period. The Director, however,
reserves the right to determine, in light of all circumstances, whether
a public hearing is necessary.
Disclosure
Copies of this proposed rule and the comments received in response
to it are available through the federal e-rulemaking portal, at <a href="https://www.regulations.gov">https://www.regulations.gov</a> (search for RIN 1140-AA94).
Severability
Consistent with the Administrative Procedure Act, the issues raised
in this proposed rule may be finalized, or not, independently of each
other, after consideration of comments received. ATF has determined
that this proposed rule implements and is fully consistent with
governing law. However, in the event this proposed rule is finalized,
if any provision of that final rule, an amendment or revision made by
that rule, or the application of such provision or amendment or
revision to any person or circumstance, is held to be invalid or
unenforceable by its terms, the remainder of that final rule, the
amendments or revisions made by that rule, and application of the
provisions of the rule to any person or circumstance shall not be
affected and shall be construed so as to give them the maximum effect
permitted by law.
List of Subjects in 27 CFR Part 478
Administrative practice and procedure, Arms and munitions, Exports,
Freight, Imports, Intergovernmental relations, Law enforcement
officers, Military personnel, Penalties, Reporting and record-keeping
requirements, Research, Seizures and forfeitures, Transportation.
For the reasons discussed in the preamble, ATF proposes to amend 27
CFR part 478 as follows:
PART 478--COMMERCE IN FIREARMS AND AMMUNITION
0
1. The authority citation for 27 CFR part 478 continues to read as
follows:
Authority: 5 U.S.C. 552(a); 18 U.S.C. 847, 921-931; 44 U.S.C.
3504(h).
0
2. Add a new Sec. 478.130 to read as follows:
Sec. 478.130 Electronic records.
Notwithstanding any regulation requiring information to be kept on
paper or in a bound volume, licensees under this part may create,
maintain, and store electronically all records required under the Gun
Control Act, as amended, the National Firearms Act, as amended, and
their implementing regulations, provided licensees meet the following
minimum conditions.
(a) Records content, format, and searchability. Licensees must use
an
[[Page 25215]]
electronic record-keeping system that ensures all records they
generate, maintain, or store in the system are:
(1) complete, containing all information required under applicable
laws and regulations;
(2) formatted so that electronic and printed copies are identical
to physical copies of ATF forms (as applicable) and include all
instructions and comments;
(3) unalterable (i.e., cannot be deleted or manipulated once
created);
(4) inclusive, including or attaching supplemental documents in the
same electronic file;
(5) searchable by key terms, including transferee name, transfer
date, serial number, firearm type, model, manufacturer/importer,
caliber, and size or gauge;
(6) sortable in one of the following ways: alphabetically (by
purchaser name), chronologically (by disposition date), or numerically
(by transaction number); and
(7) navigable, permitting viewing and toggling between at least two
types of records.
(b) Auto-populating data. For all records required to be kept by
licensees under this part, licensees and their customers may enter data
manually or may have that data automatically populate. When
automatically populating data, licensees must comply with the
provisions of Sec. 478.124(c)(2) of this part.
(c) Data integrity and audit trails. The electronic record-keeping
system must:
(1) Retain any error correction as an entirely new entry, without
deleting or modifying the original entry. Any correction entry must
contain the date, time, reason for the correction, and name of the
person who made the correction; and
(2) Automatically generate audit trails, which are comprehensive,
user-authenticated, date- and time-stamped records of all actions
performed within a system containing electronic data.
(d) Storing electronic records. Licensees must store their
electronic records securely to prevent data loss and breaches for the
same records retention period as paper records. See Sec. 478.129 of
this part.
(1) If a licensee has more than one license, they must make the
records for each license readily identifiable and must not commingle
them with records for any other license.
(2) Licensees may store electronic records on their business
premises or remotely using a domestic host facility if the server is
located within the United States or its territories, or if a host
facility is used, that facility must have a business premises within
the United States or its territories, and must be subject to U.S. legal
process. If the records are stored remotely, licensees must provide ATF
with the name, address, and phone number of the host facility within 30
calendar days of engaging or transferring service. If licensees change
the host facility at which they store records, and the new host
facility is incapable of storing prior records, the licensees must
download and maintain a digital copy of the old records at their
licensed premises and maintain it in accordance with these regulations.
(e) Data back-ups. Licensees must create a data back-up (i.e.,
digital copy) to protect against their electronic records being lost,
stolen, or corrupted. ATF does not require licensees to print the
records as part of the back-up process. Licensees:
(1) May determine a back-up schedule for records other than Forms
4473, depending on their volume of data, but must complete:
(i) an incremental back-up (i.e., a back-up of new or changed data)
within 24 hours of any data entry or change; and
(ii) a full back-up of the entire system no less than once per
month. See Sec. 478.124(h) of this part for back-up requirements for
Forms 4473.
(2) May choose the format of their data back-ups (e.g., remote
``cloud'' data storage, download to USB drive), but must:
(i) at the end of each year, download that year's complete
electronic records for each license to a physical storage medium
(including, for example, an external hard drive or tapes);
(ii) label that medium with the license number and date range of
records contained on that medium;
(iii) ensure the back-up files are:
(A) openable and readable on devices other than any proprietary or
specially designed licensee system;
(B) complete, including any supplemental documents and all pages of
documents with multiple pages (including instructions);
(C) in a format specified by ATF in current guidance at the time;
and
(iv) retain the physical storage media with annual back-ups for the
records retention period specified in Sec. 478.129 of this part.
(3) Who have an exceptionally large volume of transactions, and who
maintain a sophisticated, secure electronic record-keeping system
employing redundant data storage mechanisms, may request from ATF a
variance for the annual download requirement.
(f) Temporary unavailability of electronic record-keeping system.
(1) If the electronic record-keeping system is unavailable,
licensees using such a system may instead use paper forms and keep
paper records. The paper forms and records must:
(i) be kept in accordance with ATF regulations; and
(ii) be accompanied by a copy of the system audit log identifying
the temporary disruption in service.
(2) If the licensee's electronic record-keeping system is
unavailable for more than ten calendar days, the licensee must contact
its local ATF office and follow directions from the industry operations
area supervisor on continued record-keeping.
(3) If the electronic record-keeping system will not permit a
licensee to properly complete a form, the licensee may complete a paper
form. The licensee must note on the form the reason the form could not
be completed electronically and must, if reasonably feasible, report
the problem to the software developer or vendor.
(g) ATF access and licensee responsibilities.
(1) Nothing in this regulation changes a licensee's responsibility,
within the required timeframe(s), to make records available for ATF
compliance inspections and to respond to trace requests and other law
enforcement inquiries.
(2) Any electronic record-keeping system must permit records to be
downloaded and printed at the licensed business premises.
(3) Licensees must have at least one computer terminal available
for use during the compliance inspection.
(h) Discontinuing business operations. If a licensee ends
operations without a successor and surrenders the related valid federal
firearms license(s), the licensee must:
(1) Conduct a full system back-up of all firearms records
electronically generated and stored for each license. Those records
must be downloaded to a physical storage medium (such as a hard drive
or USB device) and labeled with the license number and records' date
range;
(2) Extract from the full system back-up all required documents and
provide them to the ATF National Tracing Center's (NTC) Out-of-Business
Records Center (OOBRC) within 30 calendar days of the end of operations
(e.g., license, Forms 4473, Forms 6/6A, and acquisition and disposition
records), in accordance with Sec. 478.127 of this part;
(3) Provide the required records to the OOBRC on the physical
storage medium in an electronic format suitable for
[[Page 25216]]
imaging (e.g., .pdf, .tiff, .jpeg), with search functions disabled to
permit NTC to convert these records into static image files not
searchable by name; and
(4) Not submit electronic records in a non-commercial, proprietary
file format.
(i) Record-keeping in a single medium. Nothing in this regulation
should be construed to require federal firearms licensees to create,
maintain, and store required records electronically, except that--
(1) If a licensee chooses to create, maintain, and store required
records electronically, the licensee must generate and keep all such
records in that medium, unless otherwise provided in paragraph (2).
(2) The requirement in paragraph (1) does not apply to paper
records resulting from temporary system unavailability that are
required by subsection (f).
(j) Older records in paper or scanned form.
(1) Licensees who have paper records completed prior to [EFFECTIVE
DATE OF FINAL RULE], may elect to digitally scan these older records,
including supplemental forms or documents that are part of a
transaction. However, any such scans created after this date must
comply with this section's requirements. Only after meeting and
verifying these conditions may the licensee destroy the original paper
records.
(2) A completed record is one in which the firearm transfer has
occurred or a transaction in which the transfer was denied or
cancelled, the licensee made a final entry and closed the transaction,
or the transferee abandoned the transaction--and no firearm was
transferred or delivered.
(3) Licensees who scanned older paper records before [EFFECTIVE
DATE OF FINAL RULE] in accordance with previous ATF rulings may retain
those records as scanned. Such licensees may elect to continue
generating paper records for future transactions or may elect to
generate electronic records going forward.
(i) If you elect to proceed with electronic record-keeping, records
generated after the date above must comply with the requirements in
this section for other electronic records.
(ii) If you elect to generate paper records after the date above,
you may scan such records, but records scanned after the date above
must comply with the requirements in this section for other electronic
records. Only after meeting and verifying these conditions may you
destroy the original paper records.
(k) In accord with law and regulation. This section does not extend
to any records for which federal law or regulation expressly disallows
electronic record-keeping.
Robert Cekada,
Director.
[FR Doc. 2026-09158 Filed 5-7-26; 8:45 am]
BILLING CODE 4410-FY-P
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This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.