New ATF Forms Released Ahead Of July 13th Deadline

In what should not be a surprise to anyone by now, the Bureau of Alcohol, Tobacco, Firearms and Explosives (BATFE) released the new National Firearms Act (NFA) forms that will be used to apply to make and transfer registered firearms as required by law. We have included links to the new forms as well as additional information on the definition of responsible parties below. Of note is the below listed deadline: forms submitted on or after July 13, 2016 must use the new forms and procedures. We hope to bring you additional details on the post-41F process in the days to come.


PLEASE NOTE: Final Rule 41F becomes effective JULY 13, 2016. Applications received with a post-mark of July 13, 2016 and after will be processed according to the specifications of 41F.

How Does Final Rule 41F Change Current NFA Regulations?

The final rule affects the NFA regulations by:

  • defining the term “responsible person,” as used in reference to a trust, partnership, association, company, or corporation;
  • requiring responsible persons of such trusts or legal entities to complete ATF form 5320.23, National Firearms Act Responsible Person Questionnaire and to submit photographs and fingerprints when the trust or legal entity files an application to make an NFA firearm or is listed as the transferee on an application to transfer an NFA firearm;
  • requiring that a copy of all applications to make or transfer a firearm, and the specified form for responsible persons (5320.23), be forwarded to the chief law enforcement officer (CLEO) of the locality in which the applicant/transferee or responsible person resides; and
    eliminating the requirement for certification signed by the CLEO.
  • In addition, the final rule adds a new section to ATF’s regulations to address the possession and transfer of firearms registered to a decedent.

Who is a Responsible Person?

In the case of an unlicensed entity, including any trust, partnership, association, company (including any Limited Liability Company (LLC)), or corporation, any individual who possesses, directly or indirectly, the power or authority to direct the management and polices of the trust or entity to receive, possess, ship, transport, deliver, transfer, or otherwise dispose of a firearm for, or on behalf of, the trust or legal entity.

In the case of a TRUST, those persons with the power or authority to direct the management and policies of the trust include any person who has the capability to exercise such power and possesses, directly or indirectly, the power or authority under any trust instrument, or under State law, to receive, possess, ship, transport, deliver, transfer, or otherwise dispose of a firearm for, or on behalf of, the trust.

Image of a gun with a supressor
Examples of who may be considered a responsible person of a trust or legal entity include:

  • Settlors/Grantors
  • Trustees
  • Partners
  • Members
  • Officers
  • Board members
  • Owners
  • Beneficiaries – if said beneficiary has the capability to exercise any of the powers or authorities enumerated above.

What Do NFA Trust or Legal Entity Applicants Affected by the Change Need to Know?

If you are:

applying as a trust or legal entity to make and register an NFA firearm on a Form 1, or receiving an NFA firearm in the name of a trust or other legal entity as the transferee on a Form 4, or Form 5, the following information is applicable to your applications:

  • all responsible persons named in the trust or legal entity are required to undergo a background check.
  • all responsible persons must complete the Form 5320.23 with photo attached and provide two FD-258 fingerprint cards in order to initiate the required background check. Fingerprint cards may be ordered from the ATF Distribution Center through the online Distribution Center Order Form, or by calling (703) 870-7525 or (703) 870-7528.
  • Chief Law Enforcement Officer (CLEO) certification has been replaced with CLEO notification. The applicant on the Form 1 and the transferee on the Forms 4 and 5 shall forward a completed copy of the application to the chief law enforcement officer of the locality in which the applicant or transferee is located. In addition, all responsible persons must also submit a completed copy of Form 5320.23, to the chief law enforcement officer of the locality in which the responsible person resides.
  • after July 12, 2016, all applications to make or transfer NFA firearms must be submitted on the new Form 1, Form 4 or Form 5 and a Form 5320.23 must be completed by each responsible person of a trust or legal entity.
  • after July 12, 2016, CLEO certification is no longer required but applicants must send a copy of the application to make or transfer NFA firearms to their chief law enforcement officer notifying them of the application.
  • all applications post marked prior to the effective date of July 13, 2016 will be processed according to the current regulations.
  • all applications post marked on or after the effective date of July 13, 2016 will be processed according to the new regulations set forth by 41F.

NEW Responsible Person Questionnaire:

NEW 5320.4 (Form 4):

NEW 5320.1 (Form 1)


LE – Science – OSINT.
On a mission to make all of my guns as quiet as possible.
Twitter: @gunboxready
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  • TennTexan

    I don’t know about anyone else, but post-41F whenever I send the paperwork to my CLEO, I’m going to respectfully request that the paperwork be shredded. My understanding of the new rule is that we are required to notify CLEOs of NFA transfers, but CLEOs are not required to retain the paperwork we send them…

    • truthsayer

      Since it regards a tax transaction, you might invoke the associated privacy for your shred request… as if they care 🙁

  • AJ187

    Thank you NFATCA for taking a giant dump on trusts.

    • HSR47

      With “friends” like them, who needs enemies?

  • Kyle

    Does this new ruling change anything for filing a form 1 as an individual?

    • Sianmink

      It changes the ‘get CLEO authorization’ to ‘notify CLEO’. So it’s a net gain for individual filing.

      • Holdfast_II

        . . . true, but at the cost of a much more significant loss for folks using a trust.

  • Joe Schmo

    The fact that Americans have to do this at all is just aggravating.

  • Cymond

    From what I’ve read, ATF is going to disregard part of 41F, specifically the bit about trustees only needing to get fingerprints and photographs once every year or two.

    I find that very, very strange considering they’re the ones who made the rule.

  • Some Dude

    I just e-filed on a 300 blackout AR15 lower and a 9mm Quarer Circel 10 lower. The e-file webpage is really slow now. Anyhow I made it. Muhuhuhuhhahaha!!

    • Some Dude

      Darn typo due to my excitement. Quarter Circle 10 not Quarer Circel 10.

    • Bill Jordan

      In fact it has crashed.
      I went back to download a copy of my form 1 from this morning and got a 404 error with a “we are sorry blah blah blah”

  • Bill Jordan

    I just became one of the luckiest guys around.
    My Form 1 trust was denied today (misspelled Texas in it (IDIOT))
    I got the new one filled out and emailed Ted. Hopefully he will approve it in the next few days.

    • TennTexan

      I’ve heard it through the grapevine that “Uncle Ted” isn’t expediting corrected forms anymore… Please let us know if he responds and helps you out. Thanks!

      • Bill Jordan

        Oh man that is not good news… Submitting on the last day, Im sure it will be 8 months wait.
        Ive heard that you can call and get the email address of the person that denied it letting them know the corrected control #, but that maybe old info like emailing Ted. Ill try that if I do not get a response in a few days.

        • janklow

          8 months seems … optimistic

          • Bill Jordan

            Janklow don’t kick a man while hes down!
            I submitted a couple of F1’s over 4th of july weekend for suppressor builds. We started a pool at the local club betting on return date for some fun.
            Someone asked why we only made the chart go out one year. I wanted to kick him in the shin.

          • janklow

            i guess i’m a little negative because i’m at 5+ months on a couple of F1/F4s and i was really hoping to see ONE of them return before we hit the deadline. but… it is what it is.

  • Gabriel Chavez

    Apparently we won’t be able to efile form 1s anymore as the efile system isn’t designed to take the fingerprints or photos.

  • Tim

    So the procedure for a normal NICS check firearm purchase haven’t changed? Normally, the CLEO isn’t involved unless there are special circumstances,e.g. a large buy, and the paperwork stays with the dealer. Last thing I need is my info on permanent file with my CLEO.

    • Jim Jones

      Do we have clarification as to what “notification” needs to be sent to the CLEO. Does it involve the serial number? I assume that procedures will vary, and many shops may just send a copy of the purchase paperwork to the CLEO

  • benjamin gardiner

    I understand that this was the only way to get new machine guns as citizens, but it’s still asking permission and paying a tax that never was meant to be. After reading the one modern machine gun case, where the judge for Illinois said that the Act was constitutional because of a tax, but no longer as taxes weren’t being collected anymore, where Roberts got his justification for Obamacare.