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Sean Cody

15. Provide number or Responsible Persons
16. Provide names of Responsible Persons

5. only answer if applicable
6a & 6b. only answer if applicable
7. Sign form
8. Print name
9. Date form
Do not fill out anything else on page 1

11. leave blank
12. leave blank (the photo will be handled with the 5320.23)
13a-c. leave blank
14. leave blank

1. Check box (a) for Tax Paid
2. Check box for TRUST or LEGAL ENTITY
3a. Enter Trade Name, if applicable
3b. Applicant’s name and address. This is not you as an individual, it's the name of the trust, corporation, LLC, etc. The address is the location within the particular state where the firearm will primarily be stored.
3c. If PO Box entered in 3b, a physical address needs to be provided here, otherwise leave blank
3d. County
3e. Telephone number (including area code)
3f. Email address

17. Check appropriate box for method of payment, and fill out necessary info (if paying by check, I always recommend writing the serial number on the Memo line of the check). Sign and date.

Actions to take:
1. Mail the CLEO Copy (the third one I mentioned at the beginning) of the F1 and a completed 5320.23 to the CLEO you listed in section 10. There is no action required on their part. (No FP cards are sent to CLEO)
2. Each remaining responsible person must send the CLEO Copy (no photo) of the completed RPQ to their respective CLEO, with photo affixed. No fingerprint cards are sent with these CLEO Notifications, and no copy of the F1.
3. Mail the two ATF Copies of the F1, including payment, to the address at the top of the form. For each responsible person, including the person filing the form, you must also include the ATF Copy of the completed RPQ (with affixed photo) and two completed FD-258 fingerprint cards.
NOTE: The ATF is saying that two fingerprint cards are required for each serial number, even when multiple forms are submitted at the same time. This is different from how it used to work, but we won’t know for sure until somebody that submits one set for multiple forms in the 41F era reports back.

4a. Name and city, state engraved on firearm if modifying existing firearm. Your entity’s name and the city, state where firearm will be made if starting from scratch (for example, a Form 1 suppressor or an SBR using an 80% lower)
4b. SBR/SBS/DD/AOW/Silencer, or the fully spelled out version of those items
4c. Caliber or gauge you’re initially building, regardless of what’s already engraved
4d. Model, as engraved on the firearm
4e. Length of barrel in inches (N/A if item is a suppressor)
4f. Overall length in inches
4g. Serial number
4h. Historically, most people have left this blank. However, the current version of the form and the new 41F version are different from previous forms in the fact they specifically mention the maker’s name and city, state. No harm done in providing that information as you’ll have to engrave it anyway.
4i. State the reason you’re building the fiream. Lots of people use a generic “all lawful reasons”, and your state may have specific wording required
4j. Only answer if item is a Destructive Device
4k. Answer Yes/No (usually “No”)
NOTES: (1) barrel and overall lengths do not include muzzle device unless it’s permanently attached via approved methods such as pin & weld or 1100F silver solder and (2) if there is a folding or collapsible stock, overall length is measured with stock fully extended

10. Provide CLEO Notification info for the address listed in 3b. Note that state-level CLEO personnel are still acceptable if you don’t want to notify a local Sheriff or Chief of Police. Instruction (2)(g) says: Law Enforcement Notification. The applicant must provide a copy of the Form 1 to the chief law enforcement officer who has jurisdiction over the area of the applicant’s address shown in item 3b of the Form 1. In addition, if the applicant is other than an individual, a copy of the Form 5320.23, National Firearms Act (NFA) Responsible Person Questionnaire, for each responsible person must be provided to their respective chief law enforcement officer. The chief law enforcement officer is considered to be the Chief of Police; the Sheriff; the Head of the State Police; or a State or local district attorney or prosecutor.

How to fill out a Form 1 as an Entity

You’ll need to submit two identical copies of this form, printed double-sided. Sending in the instructions is not necessary, so most people will have pages 1 & 2 on one sheet, and then page 3 with a blank back side. You’ll also need a 3rd copy to send to the CLEO whose jurisdiction is shown in 3b (the forms have ATF Copy or CLEO Copy in the footer).

Big Waylon on 68forums wrote this:  It is used with his permission.


How to fill out a Form 1 or 4, effective 7/13/16

In an effort for this to be a one-stop shop, I’ll still cover all sections.

I am not going to get too deep into some topics, rather just present the data in black and white.  For example, I’ll address three things here and then simply mention them later:

1. Fingerprints. The new wording is identical to the old wording.  It simply says the person must be “properly” equipped to take the fingerprints.  It does not say certified, trained, qualified, or any other word.  Therefore, the assumption is if you could roll your own prints before these new forms existed, you should be able to roll them afterwards.  Time will tell, or maybe the ATF publishes an answer.  

2. Photos. The wording again stays the same. Simply a 2”x2” passport-style photo.  In the past, many people have submitted their own, some even printing the pic directly onto the form. I even know people that print them out on normal paper and duct tape them to the form. Others obviously use a service as your local pharmacy, USPS, etc…anywhere that does official passport photos.

3. Responsible persons. This is a term that has had a lot of discussions trying to decide who fits the definition.  Concerning a trust, the general explanation is that anyone who is a trustee is an RP, while those that are only successor trustees or beneficiaries are not. Corporations and LLCs will have different rules. I’m sure plenty of lawyers will play games with the legalese and try to minimize the number of people that qualify.  All I can say is that the ATF’s definition from the F1/F4 reads as follows:

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


In the case of a trust, those persons with the power or authority to direct the management and policies of the trust includes any person who has

1.  the capability to exercise such power

and

2.  possesses, directly or indirectly, the power or authority under any trust instrument, or under State law, to receive, possess, ship, transport, deliver, transfer, or otherwise dispose of a firearm for, or on behalf of the trust.


Examples of who may be considered a responsible person include settlors/grantors, trustees, partners, members, officers, directors, board members, or owners. An example of who may be excluded from this definition of responsible person is the beneficiary of a trust, if the beneficiary does not have the capability to exercise the enumerated powers or authorities.

Layout, as you’ll see, will be one section of the form followed by instructions. May end up doing the screenshots with words on them at some point, but I think they may be too busy at this point.

The following info is directly from ATF.gov https://www.atf.gov/rules-and-regulations/final-rule-41f-background-checks-responsible-persons-effective-july-13

FINAL Rule 41F – Background Checks for Responsible Persons – Effective July 13 2016
On January 4, 2016, the Attorney General signed ATF Final Rule 41F, Machineguns, Destructive Devices and Certain Other Firearms; Background Checks for Responsible Persons of a Trust or Legal Entity With Respect To Making or Transferring a Firearm, amending the regulations regarding the making or transferring of a firearm under the National Firearms Act (NFA).  The goal of the final rule is to ensure that the identification and background check requirements apply equally to individuals, trusts, and legal entities who apply to make or receive NFA firearms.

Please note, the forms in PDF format below are not fully Section 508 compliant.  We are working quickly to ensure they are accessible for all users of our site.

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:
1.  defining the term “responsible person,” as used in reference to a trust, partnership, association, company, or corporation;
2.  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;
3.  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
4.  eliminating the requirement for certification signed by the CLEO.
5.  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

1.  has the capability to exercise such power


and


2.  possesses, directly or indirectly, the power or authority under any trust instrument, or under State law, to receive, possess, ship, transport, deliver, transfer, or otherwise dispose of a firearm for, or on behalf of, the trust. 

Examples of who may be considered a responsible person 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:
1.  applying as a trust or legal entity to make and register an NFA firearm on a Form 1, or
2.  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, [b]all applications[/b] 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 [b]prior to the effective date of July 13, 2016[/b] will be processed according to the current regulations. 
---- all applications post marked [b]on or after the effective date of July 13, 2016[/b] will be processed according to the new regulations set forth by 41F.

Related Resources
Final Rule 41F   h
ttps://www.gpo.gov/fdsys/pkg/FR-2016-01-15/pdf/2016-00192.pdf

Machineguns, Destructive Devices and Certain Other Firearms; Background Checks for Responsible Persons of a Trust or Legal Entity With Respect To Making or Transferring a Firearm
General 41F Questions and Answers:   

Forms related to Final Rule 41F
All previous editions of the forms are obsolete and will not be accepted.
ATF Form 5320.23 - National Firearms Act Responsible Person Questionnaire (I may refer to this as the RPQ)

https://www.atf.gov/firearms/docs/form/national-firearms-act-nfa-responsible-person-questionnaire-532023/download


ATF Form 5320.1 - Form 1 - Application to Make and Register a Firearm[/url] (I may refer to this as the F1)

https://www.atf.gov/resource-center/docs/f53201applicationtomakeandregisterafirearmpdf/download


ATF Form 5320.4 - Form 4 - Application for Tax Paid Transfer and Registration of Firearm  (I may refer to this as the F4)

https://www.atf.gov/resource-center/docs/f53204applicationfortaxpaidtransferandregistrationoffirearmpdf/download


ATF Form 5320.5 - Form 5 - Application for Tax Exempt Transfer and Registration of Firearm (I am not covering this in the write-up)

https://www.atf.gov/resource-center/docs/f53205applicationfortaxexempttransferandregistrationoffirearmpdf/download


Order Forms and Fingerprint Cards:   https://www.atf.gov/distribution-center-order-form]Order Forms and Fingerprint Cards

Related Research and Background Information   

National Firearms Act:  https://www.atf.gov/rules-and-regulations/national-firearms-act]National Firearms Act
Regulations and Rulings:   https://www.atf.gov/rules-and-regulations

Contact Information
Please direct 41F related questions to 41F@atf.gov.
All applications must be mailed to the address below:

Mailing Address
NFA Branch
P.O. Box 530298
Atlanta, GA 30353-0298

Phone
Phone: (304) 616-4500
Fax:     (304) 616-4501

CERTIFICATION. Sign and Date. This is different than the previous process for entities, and signature is required per Instruction (2)(d)(3)