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Five Compliance Tips for FFL/SOT Manufacturers

In today’s world with a proliferation of guns and almost instant transmission of significant gun crimes on virtually every news and social media platforms, manufacturers are expected to have perfect compliance, not substantial compliance. This is in accordance with their duty to fully assist with law enforcement needs at the local, state and federal level.

This blog focuses on four simple compliance tips for manufacturers to stay in complete compliance with the GCA and NFA based on current enforcement trends. First, the A&D book should be complete and accurate at all times. In the ideal world, it should be in electronic format as approved by BATFE under the variance for a written A&D Book.

Second, manufacturers should mark manufactured items in accordance with the law. Where there is a marking variance approved by BATFE in that it does not impair or impeded law enforcement, it must be strictly followed. Mismarking or failure to mark in a timely fashion is a potential basis for revocation of a license and criminal action.

Third, manufacturers should timely and completely make loss/theft reports and comply with the law to report to law enforcement. And make sure they keep complete copies of such reports. This is the same for destruction reports for Q&A issues or manufacturing errors. Together, these two reports and sets of records with the bound book should account for all manufactured items.

Fourth, where manufacturers are having employees do demos, the NFA items should be accompanied by the approved form, along with a copy of the FFL/SOT and identification that the person is an employee of the manufacturer, not an independent contractor.

Fifth, if the manufacturer is making firearms or NFA items subject to ITAR, they must register or be ITAR compliant and be aware of the significant civil fines for failure to do so and the criminal risk of exporting advanced military technology. Failure to do so can result in rapid closure of the business, extraordinary civil money penalties, and criminal charge.

These simple steps make the difference between non-compliance and risk of loss of a license and potential exposure for impeding law enforcement and strict compliance expected by BATFE. We hope this blog post provides you with useful information to understand the duties and responsibilities imposed upon by manufacturers to avoid running afoul of compliance during a BATFE compliance audit or complaint investigation.

This blog post was written by attorneys at Dixon & Moseley, P.C., whose attorneys consult with manufacturers and FFLs on compliance, BAFTE issues, and otherwise throughout the United States, as well as and their corporate counsels and represent such entities in Indiana and throughout the United States. This blog post is written for general education purposes and is not a solicitation for legal services. It is an advertisement.


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Dixon & Moseley, P.C., is a law firm located in Indianapolis, Indiana. We serve clients in six core practice areas: family lawappellate practicefirearms lawgeneral practicepersonal injury and criminal law.

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