NOTE:  Much of what is written here will likely change drastically when 41P takes effect, which I believe is in early July, 2016.  This includes requirements for photographs and fingerprints for trustees.

Revised 3/3/16 to provide ATF address (revision dated 2014) upon request.  I have not gone through the rest of the thread to verify accuracy in some time.  
Revised 10/17/09 to provide hot links.

I have seen a lot of posts about how to "Form 1" a SBR or silencer. This is how you do it....at least this is my quick and dirty method, which has worked for me. I had originally written this using an old form and not the current revision (revision dated September 2007 on the bottom of the form), so if anyone notices errors or something that is outright wrong, please let me know so I can fix it. I did do a quick edit so it should be up to date for the current revision. I have edited the original version of this post to include some additional information based on questions asked in this thread.  If you're registering your first Form 1 NFA item, reading the entire thread will likely be of help and should answer most of the common questions.  

Feedback to improve this writeup is appreciated.

Disclaimer: I am not an authority on this subject. If you have questions, I suggest you contact an attorney or the ATF directly with your questions.  Here is the website of a lawyer who apparently specializes is NFA trusts...I have no affiliation, but thought I'd point it out.  There are also some examples of how to complete the paperwork:

http://www.guntrustlawyer.com/form1.html

Before we get started, here are a couple of "definitions" and a short Q&A:

"Form 1" refers to the ATF application to make and register a firearm, specifically one that requires registration per the National Firearms Act.  This is the form you would fill out and submit to the ATF if you are "making" an NFA item.  In many cases, all you're really doing is registering a receiver made by a firearms manufacturer with the ATF and not really 'making' anything at all, but rather assembling.  This thread is written assuming you're registering an AR15 lower receiver as a SBR.  Other guns or silencers would follow the process though.    

"Form 4" is the ATF form used when a registered item is transferred, such as a silencer, SBR, machine gun, etc. from an individual or dealer to an individual.  This is the form used when you buy a NFA item from someone else, as opposed to making and registering something.  A Form 4 transfer does not require any engraving since the item has already been engraved with the manufacturers information.  

Both of the above forms require a $200 tax to be paid.  

Q1:  If I get a class 3 license, can the ATF come to my house anytime?  
A1:  First off, you're not getting a "Class 3 License".  You're registering a rifle or silencer, paying a tax and receiving your tax stamp, and can therefore legally have it in your possession.  The $200 tax is required for EACH NFA item that you have.  Finally, simply owning NFA toys does not give the ATF carte blanche to come into your home unannounced.  To do so, they must have probable cause that you're breaking the law and have a warrant....just like the regular cops.  Some people must be getting confused in that the ATF does periodically audit licensed dealers and manufacturers during normal business hours.  There is a difference in that and them coming to the home of a private citizen.  

Q2:  What is a Trust?  
A2:  For those who do not know what a trust is, it’s simply a legal entity that is able to own property, kinda like a corporation, and is used for estate planning. Quicken Willmaker, available from amazon.com for about $35 is an easy way to set one up. You may also desire to consult an attorney, which will cost you more but may provide you more peace of mind. Most folks suggest having one trust dedicated to NFA items, and another trust for other property that you might want to be owned by a trust. A trust may be the only way for some to obtain NFA toys since some Chief Law Enforcement Officers (CLEO’s) refuse to sign the application. With a trust, the CLEO signature, fingerprint cards, and pictures are not required. These last items are required if you register the NFA item as an individual. I suggest that if your CLEO will sign your paperwork, to register the NFA item that way. While initially, more is involved in obtaining NFA as an individual, in the long run it may be simpler.

How to Form 1 a SBR (note that a silencer would follow a similar process):

1) Determine what method you're going to use to Form 1 your SBR or silencer, ie. Individual, Corporation, or Trust. This will determine to a certain degree what is engraved on your NFA item. A phone call or visit to your Chief Law Enforcement Officer (CLEO) to make sure he'll sign the Form 1 is advisable.  My CLEO found this to be an unusual request, but after sitting down with me for 5 minutes and talking a bit, did sign it.  Your Sheriff, Chief of Police, District Attorney, and possibly others normally qualify as the CLEO.  If he refuses to sign, you're most likely going the trust route if you're set on obtaining NFA stuff.  I suggest going the Individual route if your CLEO will sign your paperwork.  If you decide to use the trust method, now is the time to find a lawyer or purchase Quicken Willmaker and set up your trust.  This should be the first step because it will determine what will be engraved on your NFA item.  If you set up a trust, I would use a short name since the ATF is now requiring the entire trust name be engraved.

2) Obtain lower receiver and send it off to have it engraved. Any number of places can do the engraving, but it must meet certain requirements. Someone suggested to me that it's better to do the engraving first in case the lower is damaged or lost in the mail. This way you are not out your $200 tax stamp on a damaged/lost receiver. Often the engraving is done on the front or side of the magwell,   but the barrel and other locations may also be acceptable.  Orion Arms has some examples of engraving on their website:

Orion Arms

Engraving of the NFA item with your name and location as maker is required if registering the item via a Form 1 since it makes you the original manufactuer.  It's my understanding that the ATF now requires the entire name as it appears on the Form 1 to be engraved. So it might benefit you to have a short Trust or Corporate name if you go that route.  For example, your engraving could look something like one of the following examples:

Mickey Mouse, Disney World, FL (as an individual)
Mickey Mouse Trust, Disney World, FL (if using a trust)
M. Mouse, Disney World, FL
M. Mouse Trust, Disney World, FL

Someone pointed out to me that RLT (Revocable Living Trust) is not an abbreviation that is accepted by the ATF, and that the word "Trust" should be used in lieu of RLT. For example:
M. Mouse Trust and not M. Mouse RLT.  I have seen the RLT used, so I'm unsure what to say here. If in doubt, you can always call the ATF and ask.  Again, what is engraved on the NFA item should match what you name your trust, so if you use an initial in your trust name, that's how your NFA item should be engraved.  I seem to recall someone saying that they named their trust "In God We" and had "In God We Trust" engraved.  I wasn't that original, but I like the idea.

One common question people have is that if they move, do they need to have the item re-engraved.  The answer is no.  The engraving only needs to be done once, and that's when the NFA item is 'made'.  Should you move, you'll need to notify the ATF, but you will not need to have your NFA items engravings changed.  The place of manufacture is your city and state when the item was originally made and registered with the ATF....it only has to be engraved once.

3) Once you have the lower receiver back in your possession with the proper engravings, complete the Form 1 Application. Note that you will need the receiver in hand prior to filling out the paperwork since you need to know the serial number on the receiver to complete the paperwork.  This is not true if you are physically making a silencer for example, as opposed to merely assembling a SBR.  In the case where you actually manufacture a silencer, you would assign a unique serial number, model number, etc.  Form 1 applications are available from the ATF here:

http://www.atf.gov/forms/5000.htm#general

and the Form 1 in a format that you can type in your information and print it out from the above website:

http://www.atf.gov/forms/pdfs/f53201.pdf
ATF Form 1 in fillable PDF:  Form 1

Fill out the form as completely as you can and make sure everything is accurate. Some of it is obvious and I won’t go into great detail about each box. Here is how I filled mine out:

a. Item 1, check the tax paid box.

b. Item 2, if registering the item via a trust or a corporation, check the "Corporation or Other Business Entity" box. Otherwise, you’re most likely an individual.

c. I left 3a blank (this box would be used for a corporation).
In box 3b, put your name and address, or the name of your trust and the address. It should look something like:
Mickey Mouse Trust
123 Magic Kingdom Rd.
Walt Disney World, FL 12345

3c, 3d, and 3e are self explanatory.

d.  Section 4:

Box 4a, the name & location as inscribed on the gun of the original manufacturer of the gun, such as Colt, LMT, Bushmaster….whomever.  My latest one was:  Anvil Arms, Lakeland, FL.

4b, describe what your making…in this example, it’s a short barreled rifle. I abbreviated and stated “Short Bbl Rifle”.

4c: Caliber…what is the primary caliber. You must pick something....I put 5.56 mm.  In the past, people have been able to put "Multi" or something to that effect, and if you tried it now, you still might get approved.  My understanding is the ATF is now requiring you to be more specific.  Should you decide to permanently change the caliber at a later time, you may do so by notifying the ATF in writing.  You may temporarily alter the caliber provided you can restore it to the original configuration (meaning you can put a 22 conversion on your 5.56 SBR for a cheap range trip), but you should still keep the 5.56 upper.  

4d: I have used AR-15 as the model and been approved. If you have an LMT, "Defender 2000" might also be acceptable. With the "fillalbe pdf" available on the ATF website, the range is long enough to put something like "Defender 2000; AR-15" To me, this would be the most correct way of completing this box since it does provide the specific model and the general type of rifle. Edit:  Do NOT put "Defender 2000; AR-15" because the ATF will return the Form 1 to you to correct.  Only ONE model should be specified.  

Edit:  The model listed in this box should be the same as what is engraved on the original lower.  In the past I had been approved for using the generic "AR-15" but was recently forced to correct a Form 1 for a SBR so that the model was as engraved on the lower.

4e: State the barrel length in inches.  Again, choose your barrel length and complete the form.  It can also be temporarily changed provided you can restore the original configuration.  Should you desire to permanently change the barrel length, you can notify the ATF in writing of the change.

4f: State the overall length in inches.  Obviously this will depend on barrel length and the type of stock you have.  The measurement is made with the collapsible stock fully extended.

4g: State the serial number of the weapon. You will not have a new serial number if you SBR an existing gun…you simply use what’s already on it. If you are truely manufacturing something, such as a silencer, then you will need to assign a unique serial number. This can be as simple as Mickey Mouse, Model A, Serial Number 1.

4h: I have always left this one blank, but you can put whatever you had inscribed onto your lower here as an additional description. You may also wish to list other calibers and barrel lengths that you plan on using with the SBR.  As an alternative to listing each barrel length and caliber in this box, attaching a letter to the form to notify the ATF of your intentions would also be okay.  That said, you are not required to notify the ATF of temporary changes of this nature.

4i: I stated, “To enhance collection and all lawful purposes.”  I have read stories of people putting humorous reasons, such as "To fight off the zombie hordes", and being approved.  Again, I'm not that original nor would I recommend this.  

4j: is likely No.

Items 5 and 6, I left blank. I’m neither an FFL nor a business owner.  If you are obtaining your NFA item as an individual and you have a C&R FFL, I'd probably go ahead and provide my FFL number.  Who knows, it may speed up the process?  If you're using the trust route, do not provide your C&R FFL number.  To my knowledge, the ATF does not issue FFL's to trusts, so this would be like having two entities trying to register the NFA item, and it would likely be kicked back.  

Items 7 and 8, sign your complete name in line 7 (I suggest waiting to sign until you make sure the form is accurate, and to wait until after you’ve made some blank copies). If using a trust, print “grantor” after your signature.  Type your name in box 8 and again, if using a trust, type "grantor" after your name.

Item 9, put in the date.

Items 10 and 11, Check No in each box (but answer honestly).

4) If you went the trust route, you’re pretty much done with this form. Otherwise you’ll need to complete items 12 and 13. This includes having your picture made (you'll need two passport type photos) and getting the CLEO signature. The CLEO can be the Chief of Police, Sheriff, DA, etc. While you’re at the police dept, go ahead and get your fingerprints taken. Again, you’ll need two complete sets. My experience is that there are certain days the police like to do fingerprints, so find out what day that is. Also, it’s usually good to at least call ahead and make sure your CLEO will sign the form. If you live in the city limits and the Chief of Police won’t sign the form, you might be able to get the County Sheriff to sign it, or vice/versa.
That's pretty much it for completing the Form 1, but you're not quite done yet.

5). The ATF requires that double sided paperwork be submitted. There are a couple of ways to do this. The first is to print one page, then when the ink dries, turn the paper over and let your printer print on the other side. You could also do what I did and take the forms to work, put them on the photocopier, and let it copy them and print them front and back. To me, this was the easier option. Also, any copy shop should be able to make double sided copies.  Note that all forms should have original signatures, so after you print out your Form 1, make multiple copies, then obtain signatures.  

6) You will also be required to fill out a Certification of Compliance (ATF Form 5330.20), available at the same website provided earlier. Both the Form 1 and the Form 5330.20 will need to be completed in duplicate for each firearm you are submitting paperwork for. If you are using a trust, you will also need to include a certified true copy of the declaration of trust and Schedule A. In the past you could get by with just a “certification of trust” but it’s my understanding that a complete copy of the declaration of trust is now required. Be sure to send a “Certified True Copy” of the trust, which is a notarized COPY. Do NOT send the original trust document since it will not be returned to you. You should keep the original in a safe location, such as gun safe or safe deposit box. My SBR to be was already owned by my trust before I sent in the Form 1 paperwork. If it’s not owned by the trust when you send it in, be certain to show ownership of the item in the trust after you get the ATF approval.

7) Once you have all of this stuff done, write a check in the amount of $200 payable to the Department of Justice, and attach your form 1’s, form 5330.20’s, fingerprint cards, pictures, and copies of your trust as applicable.  The government will also accept Post Office Money Orders, but I prefer to write a check. You can tell when they cash it (be sure to write the SN of the NFA item on the check), which at least lets you know they received your application. I personally have experienced one transfer where the check was cashed, but the form 4 had to be submitted three times due to the ATF losing the application. I typically include a cover letter with my applications, asking that the ATF examiner contact me if they have any questions or need additional information. Be sure to include your phone number(s).

8) Now mail the required documents to:

NFA Branch
BATFE
PO Box 530298
Atlanta, GA  30353-0298

The address is also printed on the top of the Form 1.  

9) Begin waiting….patience is a virtue with NFA items. A three month wait is typical, though it can be faster or take longer. You can call the ATF to check on the status of your application. Before calling, make sure the check you sent has cleared the bank. Your NFA item will not be in the system prior to your check clearing. There is also no need to call every day, it will not speed up the process. Once your check has cleared the bank, I suggest waiting one month, and then call once every couple of weeks to verify that your NFA item is in the system, and to find out the status of the item.  There are generally three stages of getting an item approved.  The first is the ATF doesn't have anything in their system, and they won't till well after your check is cashed.  The second stage is "Pending", which means the item is in the system and has been assigned to an examiner.  The final stage is "Approved" which is what you're waiting for.  

The phone number to the ATF NFA branch is 304-616-4500.  When you call, they'll ask you for the serial number of the item you're inquiring about, so have it available.  

10) Hurrah!!! You’ve been approved, have the Form 1 and stamp in your possession, and can now assemble your SBR or silencer.


Lastly, you can click here for all the forms you'll ever need for NFA stuff that are available in a pdf format that you can fill in and print.  This includes the paperwork to take a SBR out of state.  The link is to the ATF website so all the forms should be current.  The Form 1, Form 4, and others are near the middle of the page.
ATF Forms

Thats what I thought just wanted to be sure, Thanks for the help guys.

I have a question filling out form 5330.20 using a trust.

I understand this form needs to be sent along with 2 copies of form 1.

Exactly what do I write on line 1 ?
Mickey Mouse Trust (in the right side of form where it says Name of corp, partnership or assoc?

On line 2 do I write my name as Mickey Mouse ?

At the bottom on line 7 do I sign my name as Mickey Mouse trustee??

Thanks!

I'm using Livng Trust Maker and its not giving me the option of naming my trust. Instead it asks for my full name. Once its completed it refers to it as the "Joe John Smith Revokable Living Trust". Is anyone familier with this program that can help? Im trying to avoid having my entire long name engraved on my lower.
Also, on the "Certification of Compliance" Form 5330.20, am I also the name that goes in #2?

I used my "last name" revocable trust.

I also believe I'm correct on that other form (1 post up). So yes (to your other question). Write in "trustee" next to your name.

Cool, thanks

Do you glue the pictures to the Form 1 or just paperclip them with the package when you mail it?

I stuck mine on with some double-sided tape.

Its been years since I send the ATF a form.  After reading the original post I see I can no longer just send a "Certification of Trust" that is signed and notarized.  It says I need a "true copy".  Can someone better explain this to me?

You need to send the entire trust document.  Not just a notarized piece of paper saying you have a trust.

Hello Guys, (& a few gals I'm sure). New here & to AR15, especially SBRs. Pretty cool stuff. I've been a pistol guy for quite awhile.
Anyway, sending in my Form 1. After a few hours of reading here everything I read is not to put anything in 14B which states it's for 'Additional Description'. All of the advise from  forum members say leave it blank. Wouldn't the engraving be an additional engraving?? You are adding information to the receiver @ name & address. That is the only confussion on this newbie's part.
Thank in advance!

Tony has covered this numerous times in this very thread.  Leave 4h blank.  If you're SBRing an imported Title I firearm, then you'd use 4h to put the importer's info.

Thank you Josh & also, more so to you Tony. Your explanation makes all the sense in the world. The form itself isn't very clear, (as with most of it). This morning I went to the police and dropped off my forms for the chief to sign. Hopefully this won't be a drawn out process. And in my city even for a resident a $10.00 charge for each set of prints. Wish me luck!

I never really saw where these 3 parts were answered fully.  Thanks for any clarification in advance.  

After reading all of this thread....and going cross eyed. Just to infinitely clarify the contents to be sent to the BATF to SBR a lower receiver, so as to not protract the process.

1. Two (2) original copies of the Form 1 (signed by my local CLEO, not a problem where i live)
2. Two (2) passport sized photos affixed to the Form 1
3. Two (2) finger print cards
3. One completed BATF Form 5330.20

And just to clarify, so as to not make any error, in the signature block and the name block. No other additional connotation is required i.e; Trustee, Grantor,etc...... attached printed after the name, since the form is being submitted with the CLEO section filled in.

I know that the topic get beat into the ground, just want to make sure, since time, seems to be the biggest adversary in the process.

Thanks for those who respond.

Correct.  You're filing as an individual, so no titles necessary.

Copy that, thanks

I mailed my forms in a 12 X 12 envelope and did certified mail.  Did I f up?

I didn't see a lot of commentary about how I implemented lawful purchase of NFA stuff. I see a lot of guys are going through a lot for a trust with a lawyer. Much of that stuff pertains to inheritance and whatnot. I personally just started an LLC. This required merely an online state-level tax ID application (had it printed out in15 minutes literally) and then a written and mailed Federal EIN number (Employers Identification Number) application using the name from the state application.  This is the requirement to have a govt. recognized business, not only if you are going to hire employees. Anyways, I started an LLC strictly for buying stuff like this. I have already gone through a form III and it went smooth. Anyways, going through the trust stuff with a lawyer is unnecessary IMHO. Likewise you cannot have a registered business name with the word "trust" in it since that is reserved for bank names. I hope this helps.
I guess my request is to revise the OP to mention an LLC as a quicker DIY alternative to a lawyer-initiated trust. I had lots of assistance from a dealer in recognizing that it works just fine. Ultimately the goober-ment just wants a way to keep track of you. That, and more loot in their war chest.

You should be able to edit the final versoin in word before printing it. Just go in and find all instances of the long name assigned by the software and replace it with the new shortened name. Then save this file as it will be the same version as what you print and send in with your forms. If you make any revisions and or  amendments, the program will still use the original name, so you will need to edit it again after every revsion/ammendment. A pain in the butt, but it gets the job done.

ok . I have my Form 1 prefilled out but I live where we dont have counties . we have "municipality" should i put that in line 3d?

I have a question, when sending in my paperwork for my sbr, what do I have to put on the assignment sheet?

I have seen a similar question asked on this thread and it never got answered. I have created my trust, and I already own the lower that I will make into a SBR. Do I need to include the lower on my schedule A or just put $1 and wait until I get approved to transfer it to the trust. If it is better to already have the lower on the Schedule A, is there anything I need to do to transfer the lower to the trust? or is it as easy as listing it on the Schedule A. Also, if I send in my paperwork with only $1 listed on my Schedule A and I get approved, is there anything that I need to do then to show the trusts ownership of the firearm other than simply listing it on schedule A? I guess what I'm asking is this- In order to transfer ownership of the firearm from "Joe Smith" to "Joe Smith Revocable Living Trust"(regardless of when it is done) Do you have to do anything other than listing it on a Schedule A?

For a Form 1: You can put the Title I firearm that you will be re-manufacturing (i.e. converting) into a Title II firearm on the Schedule A. You might want to include a seperate note stating that the firearm is currently Title I and is owned by the trust and currently in the trust's possession.  



For a Form 4: Do not put the Title II firearm that you just bought but is in your dealer's possession on your Schedule A. Until the transfer is approved and complete, the firearm does not belong to the trust. Put whatever you want on there, as long as it's something that is currently owned by and in the possession of the trust. It can be a dollar bill, Title I firearm, previously approved Title II firearm, whatever.

So, if I am going to make my Noveske lower into a sbr, I just put Noveske as the make, the model of the lower and the serial number on the schedule of assignments? I appreciate all the info you have shared.

I keep finding conflicting info, so I want to be very sure as I trust this place above all others.  I've created my trust and will obviously going that route... do I...

1) need fingerprint cards
2) need a photo
3) need the form 5330.20

I just want to make sure nothing has changed from prior older posts until now.  Beyond this... I'm all set.

Yes, Noveske N4, serial #xxxxxx












 





 

I'd like to file a form1 under my LLC that is located in Connecticut, where a SBR is allowed....But the official mailing address for the LLC is in NY, where a SBR is not allowed...is this a problem??? The weapon will live at the Connecticut address.

anyone.....do I need to call the BATF????

Well five calls to two atf offices couldn't tell me about the 5330.2 form. While a prior newsletter they put out says it wasn't needed any longer, they could not confirm and told me to send it in.  They did say to sign the forms as trustee, not grantor.

If you do the 5330.2,  trust name on 1 and just your name on 2

First, I wanted to say thanks to everyone for all the great information.  Y'all have saved me some major headaches in the NFA process.

However, I have two questions:
1. Is a cell phone number ok for 3e? I'm assuming this is just contact info and not a phone number at the applicant's mailing address.
2. My handguard will be longer than the barrel. Do I use the handguard or barrel for 4f, overall length?

Oops, 3rd question:
I'm sending two Form 1s - I assume I need to print them both, then sign each of them, correct?

Ok, 4th also:
Signature - My normal signature, as on the trust, is sort of a scribble and only includes first and last name. Sometimes a "full" signature is required with middle name.  Which is required on the Form 1 - normal sig like on my trust, or "full" sig includingmiddle name?

Posted Via AR15.Com Mobile

It's been a while since my last NFA item ... just to be sure I'm sending off the following:

Roger, thanks tony

 

On the declaration of trust I send in, I assume I would not include the SBR I'm intending on adding to the property of the trust, since it doesn't exist yet? I just send them the trust as is, and add the SBR after?

Is it a current Title I lower?  If so you can include it as property of the trust now.  If it's already an SBR and is being transferred to you on a Form 4, then leave it out of the trust until approved.

I'd be putting a stock on a HK53 pistol.

Since the stock can't be put on it until the stamp comes in, I just figured I shouldn't include it?

You can include it because you're already in possession of it.  It's just not a Title II weapon yet, it's Title I until the approved Form 1 comes back.

Thinking about doing a class 3 in the near future.

A revocable trust can include other assets?  Real estate, vehicles, etc. on individual form A's? As that is the main reason for the trust.

So the ATF will look at that? I should just put the gun as is, then mention it's an SBR after I make it as such? I guess I'm just confused if the ATF will deny something because it was "included" in the property of the declaration.

Thank you, Sir. That's what I was afraid of.

Point taken. The problem was I had the opportunity to get the receiver

I'm filling out my first Form 1 for an SBR AR15 that I want to build and had a few questions that I couldn't find answers to.

1.  Block 4b. "Type of Firearm to be made" -  Should I put "(3) a rifle having a barrel or barrels of less than 16 inches in length" or "(4) a weapon made from a rifle if such weapon as modified has an overall length of less than 26 inches or a barrel or barrels of less than 16 inches in length" or something else?

2.  For block 4e, I've read that you can put "less than 16 inches" but for block 4f Overall, you need to have a specific length.  I'm planning on using a 7.5 inch barrel, but I have no idea what else I'm using such as flash suppressor or stock.  Should I just guess?  

3.  For block 4i "State Why You Intend To Make Firearm", should I put home defense, target practice, all legal purposes, other?