A personal defense weapon could be pepper spray, a knife, baseball bat, or any object used to protect oneself from physical harm. The term is also used to describe a specific category of firearms, the focus of this issue of the magazine.

Military and law enforcement weapons continually evolve to meet new threats and situations. During World War II, the U.S. military adopted the lightweight .30 caliber (7.62x33mm) M1 carbine as a personal weapon to replace revolvers and pistols of troops whose primary duties did not require a full-power infantry weapon like the 30-06 caliber M1 Garand. The M1 carbine was more accurate and had a longer range than a handgun. The carbine was also much easier, and took less time, to teach recruits to shoot accurately. The carbine’s original role was that of a defensive weapon. Prior to the adoption of the M1 carbine, there were basically two cartridges in the U.S. and most foreign armies, the short-range pistol and submachine gun cartridge and the full-power battle rifle round. Although the U.S. M1 carbine could (arguably) be considered the first mid-range military weapon, that distinction is usually bestowed upon the German Sturmgewehr and its 7.92x33mm round.  

After World War II ended, the Soviets followed the German’s lead and introduced their select-fire AK-47 and its intermediate 7.62x39mm round. The United States Army resisted the mid-range concept and adopted the 7.62x51mm caliber M14 full power battle rifle, which was very close to the same length and weight as the World War II M1 Garand it replaced. Although the M14 was a select-fire weapon, most were issued with selector locks limiting its operation to semi-automatic only. During the Vietnam War the Army discovered a GI carrying a semi-auto M14 rifle with a 20-round magazine was being outgunned by the enemy when he was carrying a lightweight, select-fire AK with a 30-round magazine and a larger ammunition load.

During the Vietnam War, the U.S. military began phasing out the M14 rifle in favor of the new M16 rifle and its 5.56x45mm small caliber, high velocity cartridge. The M16 was a revolutionary design made primarily of aluminum and plastic, making it very light in weight. Its small caliber ammunition made it easy to control in full-automatic fire and allowed the infantryman to carry a larger ammunition load. However, the M16 was not fully developed when it was adopted, and it experienced a number of problems in the field. After the initial problems were solved, the M16 became a capable infantry weapon.

The XM177 Carbine

The Colt 5.56mm XM177 was an early personal weapon, developed during the war in Vietnam, it was basically an M16 rifle with a 10-inch, and later a 11.5-inch barrel, a two-position telescoping buttstock, and a muzzle moderator, which was designed to reduce muzzle flash, and it reduced (only slightly) the weapon’s audible report. The XM177 evolved into the XM177E1, and eventually into the XM177E2. The short weapon was also known as the CAR-15, the Colt Commando and others including the U.S. Airforce’s GAU-5/A which has been issued as a defensive weapon for aircrews. Specs (XM177E2 model) length 32.5 inches with stock extended, 29.8 inches with stock retracted, barrel length 11.5-inches, approximate weight 5.35 pounds. During Vietnam, the weapon was primarily issued to U.S. Army Special Forces, recon, and other similar units, who wanted a handier, more compact weapon than the M16.

The AKS-74U

The Soviets followed the U.S. military’s lead, and during the mid-1970s adopted a small caliber, high velocity cartridge of their own, the 5.45x39mm, and the AK-74 rifle. Another early weapon, based on the AK-74 infantry rifle, that could be considered a PDW was the 5.45x39mm Soviet AKS-74U. The compact AK has an 8.1-inch barrel and an overall length of 28.7-inches with its side-folding stock extended and 19.3-inches folded. A booster is fitted to the barrel to ensure reliable cycling of the action. The weapon was primarily issued to Soviet special forces, paratroopers, and tank crewmen. In the U.S. the AKS-74U is often referred to as the “Krinkov.”   

The short versions of infantry rifles were not as accurate, had reduced muzzle velocity, excessive muzzle flash, and noise, compared to their full-size counterparts. Their advantage was compact size and less weight.

Submachine Guns

During the years following World War II, the military pistol-cartridge submachine gun and the full-power battle rifle were both rendered obsolete by the widespread adoption of the midrange assault rifle, which offered both a reasonable effective range and the controllable automatic fire of the submachine gun. One big advantage over a pistol caliber submachine gun was a more powerful cartridge. But the compact submachine gun still had a place in a law enforcement and security service role. However, as criminals and terrorists became better armed, and the proliferation of cheap, yet effective soft body armor had begun to make weapons firing pistol ammunition ineffective. A weapon the size of a submachine gun, but with a more effective cartridge was needed.

Modern PDWs

The Personal Defense Weapon (PDW) concept was created during the 1980s in response to a NATO request as a replacement for current issue 9×19mm Parabellum submachine guns, like the UZI, MP5 and the Colt 9mm M16, popular with agencies like the U.S. Secret Service and others in similar roles. A more powerful weapon was needed because of an increased activity by well-armed terrorist organizations wearing bullet resistant vests. By definition, the PDW is a compact automatic weapon that can defeat enemy body armor, can be used conveniently by non-combatant and support troops and as a close quarters battle weapon for special operations and counter-terrorist organizations.

Personal defense weapon, or PDW is a term used to cover a broad category of weapons. The PDW covers a spectrum of specialized roles where there is a clear priority in addition to effectiveness in a fight, usually concealability, portability, or both. These weapons are also specifically designed to be used in a defensive role. Responding to an attack against troops behind enemy lines, an assault against a small, low-profile security element, an attack against undercover officers, and use by officers or troops in a limited space environment.

Today, the personal defense weapon, is desirable mainly because of its small size and its improved accuracy when fighting at traditional pistol engagement distances. Their small caliber, high velocity cartridges offer manageable recoil.

Some modern production and prototype PDWs use a proprietary high-velocity centerfire bottleneck cartridge which is often a scaled-down intermediate rifle cartridge. Examples include the 5.7×28mm cartridge for the FN P90 and the 4.6×30mm round for the Heckler and Koch MP7. Other, more conventional cartridges are also used in production and prototype PDWs, including the 5.56mm NATO, .300 AAC  Blackout, the 6.8mm Remington SPC, Colt’s prototype 5.56×30mm MARS, and the Swedish 6.5×25mm CBJ. Large scale procurement of PDWs by the military and law enforcement has been limited. However, personal defense weapons have become very popular with civilian enthusiasts, many of the firearms look like their military and police counterparts, although most are semiautomatic-only; most are available with short barrels in a pistol configuration. Manufacturers are continually introducing new and revolutionary PDW-type firearms for civilian and law enforcement use. Some of these newer weapons include the Maxim Defense PDX, Barrett Firearms REC7 DI, Beretta USA’s PMX and CMMG’s Banshee 300 to name just a few. Civilian models are primarily used for recreational shooting but can also serve as a home defense weapon, if needed.

Sightmark

Wraith 4K Max 3-24×50 Digital Riflescope

The trusted folks at Sightmark are thrilled to announce the Wraith 4K Max digital riflescope is back! This powerful scope enables hunters to view their quarry at night from an astounding 300 yards, and its 4000×3000 enhanced sensor resolution guarantees every image will appear crystal-clear. With daytime color mode, 3x-24x magnification, night vision mode, and built-in ultra high-definition video recording, the Wraith 4K Max is among the most versatile and advanced digital riflescopes in the world.

The Sightmark Wraith 4K Max also boasts 8x digital zoom, 10 reticle options with nine colors and an additional weaver rail for accessories. The Wraith 4K Max can be recharged internally by a 5-volt USB cable, and the IR illuminator uses 2 CR123A batteries. The Wraith 4K’s sleek design and durable aluminum body come with an IPX5 water-resistant rating, to serve users reliably in adverse weather conditions.

MSRP: $1150 sightmark.com

Mid-Evil Industries

The Overwatch Commander

Mid-Evil Industries newest addition, the Overwatch Commander, is a modular adjustable quick detach monopod/tripod system. It is an extremely stable shooting platform that’s quickly and easily deployed in tight spaces. This new lightweight, compact system is more than capable of what many heavier, larger tripods on the market can do and allows for widespread accessibility because of its smaller footprint. Our platform goes from prone, sitting and kneeling, to standing in seconds and fits into one bag, weighing in at only six pounds!

The Overwatch Commander is our premier monopod/tripod system. This set-up has height adjustment on the fly, quick detach capabilities and interchangeable components. Not only can it adjust in height, it can also maneuver forward and backwards and side to side on a 360-degree radius. Modular capabilities also allow the shooter to quickly detach the top mini tripod and go prone on another surface.

MSRP: $1265 mid-evil.com

Axeon Optics

MPL1 Compact Tactical Pistol Light

The Axeon Optics MPL1 Compact Tactical pistol light mini self defense light is a svelte option for a powerful weapon light on your accessory rail equipped handgun. The MPL1 fits most popular handgun models and features a master on/off switch just below the rail that is used to prevent accidentally turning the light on. With that switch engaged, the shooter can ambidextrously activate the instant on/off button located on the rear of the hands free flashlight assembly. The MPL1 is powered by a single AAA battery and produces 300 lumens for a run time of 30 minutes ideal for self-defense handgun applications.

• Compact, Bright Tactical LED Light
• Fits a Wide Variety of Handgun Rails
• Runs on a Single AAA Battery
• Master On/Off Switch
• Ambidextrous On/Off Switch on Back of Light
• 300 Lumen Light Output
• 30 Minute Run Time
• MSRP: $40
• axeonoptics.com

Hornady

Security RAPiD Vehicle Safe

The RAPiD Vehicle Safe keeps a handgun or other valuables safe and secure inside any vehicle. The patent-pending mounting system of the RAPiD Vehicle Safe features an inflatable bladder that conforms to a vehicle interior’s shape. It makes the RAPiD Vehicle Safe’s installation quick and easy without any vehicle modifications.

In an emergency, the Vehicle Safe’s RFID-activated spring-assist lid opens instantly using an RFID watchband, key fob or sticker, providing quick access to a firearm. The safe recognizes up to five programmed RFID tags, giving shared access to others or backup entry options. At the same time, its keypad further boosts the safe’s secondary access options with a four- to six-digit security code. A barrel key provides a failsafe way of entry in the event of a power loss.

• Exceeds ASTM Safety Standards
• Fast And Dependable Touch-Free Entry
• Convenient Keypad Access
• Heavy-Duty, Tamper Proof Construction
• 12 volt or battery operated
• Includes 12V Car Adaptor, RFID Watchband, 2 RFID Stickers, RFID Key Fob, 2 Circular Barrel Keys, Security Cable.
• Fits many 4-inch barrel pistols and 2-inch revolvers
• Features: inflatable mounting system
• Exterior dimensions: 12″ x 6.4″ x 2.2″
• Interior dimensions: 7.5″ x 5.6″ x 1.7″
• MSRP: $307
• hornady.com

Trailblazer Firearms

Pack9

Trailblazer Firearms, a US-manufacturer of innovative firearms, including the ground-breaking, folding, single-shot discreet carry .22 LifeCard, is proud to announce the newest product to their portfolio. The Pack9 is a dynamic rifle chambered in 9mm that uses Glock compatible magazines and features Trailblazer Firearms’ newest innovation, The Pivot, creating a slim and portable rifle.

Designed to maximize portability, the Pack9 is less than 21” long when folded. A collapsible stock gives the Pack9 a full length of pull when the rifle is unfolded with the stock fully extended. Weighing approximately 5 pounds., the Pack9 is 5.9” inches tall and as thin as many modern handguns, with a width of only 1.15 inches. The aluminum upper features an integral mil-spec Picatinny rail that is optics ready. A second magazine stores securely in the glass-filled nylon stock. The 16-inch button-rifled, threaded steel barrel with a 1/10-inch twist comes standard.

MSRP: $TBA trailblazerfirearms.com

Maxim Defense Industries

PDX

Part of Maxim’s MDX line of firearms, the PDX was born from the SOCOM PDW solicitation and designed to fulfill a broad spectrum of needs by today’s law enforcement and military operations. At just 18.75in in overall length, the PDX delivers groundbreaking power and performance. At the heart of the award-winning PDX is Maxim’s SCW system. This patent-pending system dramatically decreases length by integrating interchangeable buffer weights directly into the BCG, giving you maximum performance and versatility without sacrificing form and functionality.

• Model: PDX
• Species: Semi-Automatic or Select Fire
• Caliber: 5.56 NATO, .300 BLK and 7.62x39mm
• Overall Length: 18.75in
• Barrel Lengths Available: 5.5in
• Weight (standard model, empty magazine, no optic or bipod): 5lbs 11oz
• Feed System: Magazine, 20rd
• MSRP:  $2,295.00
• maximdefense.com

Armalite

AR-19

The AR-19 is a lightweight, compact 9mm pistol designed for ultra-maneuverability. It’s supplied with flip-up sights, M-LOK handguard, and an adjustable pistol brace for enhanced stability. Additional features include ambidextrous charging handle and safety selector.

• Action: Semi-Auto
• Caliber: 9X19MM Luger
• Overall Length: 27.5 inches (24.5 inches collapsed)
• Barrel Lengths Available: 8.5 inches
• Weight: 5.2 pounds w/empty mag
• Feed System: Magazine-fed, Glock-pattern
• MSRP: $1,113
• armalite.com

Armalite

M153GN13

Purpose-built for three-gun and practical rifle competition, the M153GN13 is ready to dominate right out of the box. The lightweight MBA-1 buttstock features an adjustable cheek height and length-of-pull adjustments. This rifle is highly customizable, with an adjusting gas block and tunable muzzle brake to give the user the opportunity to tune the rifle for a specific purpose or ammunition.

• Action: Semi-Auto
• Caliber: .223 Wylde
• Overall Length: 35.5 inches
• Barrel Lengths Available: 13.5 inches
• Weight: 6.5 pounds w/empty mag
• Feed System: Magazine-fed, AR-pattern
• MSRP: $1,727
• armalite.com

B&T AG – Switzerland

SPC9 SD PDW

The B&T SPC9 SD PDW is unique as it comes complete with an integrated compact suppressor. The barrel is ported to reduce the velocity of the standard FMJ loads to subsonic velocity, thus not breaking the speed of sound. The PDW can be ordered to accept B&T, Glock, SIG 320, Walther P99, or HKSPF9 magazines. The product exists in semi-automatic only. B&T produces other products with the ability for select fire.

• Action: Semi-Auto
• Caliber: 9X19MM
• Overall Length: 21.25 inches (16.1 inches closed)              
• Barrel Lengths Available: 4.5 inches
• Weight: 6.38 pounds w/empty mag
• Feed System: Lower receiver options for B&T, Glock, SIG 320, Walther P99, or HKSPF9 mags
• MSRP: Contact Dealer
• bt-arms.com

B&T AG – Switzerland

APC9 PRO K

The APC9K was adopted in 2019 by the U.S. Army as its next-generation Subcompact Weapon (SCW). The weapon performed extremely well during the official Picatinny Arsenal trials. It had the most noticeable performance by having only two stoppages over an 18,000-round torture test and accuracy that far exceeded the required 100mm group at 35 meters. The APC9 Pro K can be ordered with a corresponding lower to accept B&T, Glock, SIG 320, Walther P99 or HKSPF9 magazines.

• Action: Select-Fire
• Caliber: 9x19mm, .40 S&W, 10mm, ,45 ACP
• Overall Length: 21.7 inches (14.7 inches closed)        
• Barrel Lengths Available: 5.4 inches
• Weight: 5.94 pounds w/empty mag
• Feed System: Lower receiver options for B&T, Glock, SIG 320, Walther P99, or HKSPF9 mags
• MSRP: Contact Dealer
• bt-arms.com

Beretta USA

PMX

Beretta’s next generation PMX PDW was developed specifically for the demanding needs of defense professionals around the world. The extensive use of polymer materials and light alloy metals allowed the design of a compact, lightweight, yet rugged design, one which is versatile and easy to deploy in combat. The operation of the PMX is based on a blow-back system design with closed-bolt firing mode. Reliability, accuracy, and safety are the highlights of the Beretta PMX.

• Action: Select Fire (Auto and Semi-Automatic)
• Caliber: 9x19mm NATO
• Overall Length: 25.2 inches (16.5 inches folded)
• Barrel Lengths Available: 6.89 inches
• Weight: 5.5 pounds w/empty mag
• Feed System: 30rd box magazine, translucent polymer
• MSRP: LE/MIL only; Price available upon request
• berettadefensetechnologies.com

CMMG

FourSix

The CMMG FourSix is the first-ever AR to hit the civilian market that’s chambered in 4.6x30mm. With an impressive 40-round magazine capacity, light recoil, and great penetration at close distances, CMMG’s FourSix is here to reimagine the personal defense weapon. CMMG’s FourSix is built on the company’s BANSHEE, Mk4 platform which features AR-15 controls and modularity. Best of all, the patented CMMG 40RD 4.6x30mm magazine will seat into a standard AR-15 magwell, which means users can pair their existing AR-15 lower receiver with a CMMG FourSix upper receiver and magazine.

• Action: Semi-Auto
• Caliber: 4.6x30mm
• Overall Length: 26.9 in
• Barrel Lengths Available: 8 in.
• Weight: 5.4 pounds w/empty mag
• Feed System: Proprietary, AR-style magazine
• MSRP: $1,400
• cmmg.com

Heckler & Koch

SP5K-PDW

Who wants a copy when you can own the real thing? The SP5K-PDW is a semi-automatic, civilian-friendly version of the ultimate close quarters weapon – the HK MP5K. It’s loaded with authentic features, like a 4.5-inch barrel with a navy-style threaded tri-lug adaptor, paddle magazine release, and fluted chamber.

• Action: Semi-Auto, roller-delayed blowback
• Caliber: 9x19mm
• Overall Length: 13.8 inches
• Barrel Lengths Available: 5.83 inches
• Weight: 4.2 pounds w/empty mag
• Feed System: Magazine-fed, HK MP5-pattern mags
• MSRP: $2,799
• Hk-usa.com

Mossberg

590S Shockwave

Mossberg 590S-series 12-gauge pump-actions are capable of cycling 1.75, 2.75 and 3-inch shotshells interchangeably without the use of an adaptor. The series includes two full-length stock and two Shockwave versions, the shortest of which is featured here. Key changes include redesigned elevator, bolt slide and an energy-absorbing bumper. This patent-pending platform allows the user to load their choice of shotshell length/type for their specific needs, and in any combination. Use of shorter shell lengths will also increase the overall capacity of the 590S.

• Action: Pump-Action
• Caliber: 12-gauge
• Overall Length: 26.37 inches
• Barrel Lengths Available: 14.375 inches
• Weight: 5.3 pounds w/empty mag
• Feed System: Tubular magazine
• MSRP: $623
• mossberg.com

Q

Honey Badger SD

The OG Honey Badger was developed at AAC by previous owner and Q founder Kevin Brittingham and his R&D team at the request of an elite U.S. Special Operations group looking to replace their MP5-SD’s with an upgraded platform. Requirements included the ability to shoot a rifle caliber round while maintaining low visibility and excellent signature suppression. Developed in conjunction with 300 AAC Blackout, the Honey Badger was born, exceeded expectations, but never made it to the commercial market.

Enter the Honey Badger SD by Q. At first glance, this Honey Badger appears to be the same as the original. Q focused on taking the iconic Badger to the next level and improved upon every technical aspect of the first-generation design. From the proprietary, under-handguard suppressor, custom gas system, custom AR trigger, and its telescoping stock – HB 2.0 does not disappoint.

Want a Honey Badger, but don’t want to deal with the hassle of a two-stamp gun? Q offers the Honey Badger SBR with a short handguard and no can making it 6 inches shorter, overall, as shown below.

• Action: Semi-Auto
• Caliber: 300 BLK
• Overall Length: 31 inches (26 inches collapsed)
• Barrel Length: 7 inches
• Weight: 5.4 pounds w/empty mag
• Feed System: AR-15 magazines
• MSRP: $3,499 ($2,999 SBR version)
• Liveqordie.com

Estate transfers of firearms controlled under the National Firearms Act can be a maddening process, especially if the decedent’s family is unfamiliar with the federal controls over the transfer and possession of NFA firearms. In 2016, the Bureau of Alcohol, Tobacco, Firearms and Explosives attempted to clarify this process by amending its regulations in Part 479 of Title 27 of the Code of Federal Regulations. In Final Rule 41F, ATF added a new section specifying what executors or administrators of a decedent’s estate must do to lawfully dispose of an NFA-registered firearm. In this month’s column I’ll review the regulations governing estate transfers and common pitfalls to avoid when filing an application to transfer NFA firearms from an estate.

At this point I must highlight the importance of state law in estate transfers of NFA weapons. Central issues, such as whether a person has authority to act on behalf of an estate, or who are the beneficiaries entitled to a decedent’s property, are dependent on the laws of the state where the decedent resided. The laws vary among jurisdictions, so it’s well advised to consult with legal counsel who specializes in estate law in the state governing the estate.

Further, a person authorized under state law to dispose of property on behalf of an estate may have different titles, depending on the applicable law. Such a person may be referred to as “executor,” “administrator,” “representative,” or another title. For ease, this article uses the term “executor” but remember, the actual title of the authorized representative may be different, depending on the governing state law.

I. Background

         A.      NFA Controls

The NFA, Title 26 of the U.S. Code, Chapter 53, regulates machineguns, short barrel rifles, short barrel shotguns, silencers, destructive devices, and certain other concealable firearms known as “any other weapon.” The NFA requires such firearms to be registered by their respective manufacturer, maker, or importer within a specified time frame (e.g., non-licensees must obtain ATF approval in advance of making an NFA firearm on a Form 1 application; qualified manufacturers must register NFA firearms manufactured by submitting a Form 2 notification to ATF by the close of the next business day following the date of manufacture; and qualified importers must register NFA firearms imported by submitting a Form 2 notification to ATF within 15 days of the date of import). Only registered NFA firearms may be transferred, and ATF will not approve late registrations.

         B.      ATF Rulemaking Governing Estate Transfers

As evidenced by long-standing public guidance, ATF historically has treated estate transfers of NFA firearms registered to a decedent differently from other transfers. Because of the temporary legal nature of estates and the fact that state probate laws govern the distribution of estate property, ATF has allowed executors to temporarily possess NFA firearms to effectuate lawful transfers on behalf of the estate. ATF does not register the firearm to the executor and allows the executor to sign the transfer applications as the Transferor on behalf of the decedent’s estate. Examples of ATF’s guidance on estate transfers include “Transfers of National Firearms Act Firearms in Decedents’ Estates” (Sept. 5, 1999, revised Feb. 23, 2006) and the National Firearms Act Handbook, ATF E-Publication 5320.8 (April 2009). Both are available at atf.gov.

On September 9, 2013, ATF proposed a rulemaking (ATF 41P) to codify its public guidance on the possession and transfer of firearms registered to a decedent. Specifically, ATF proposed adding a new section to the NFA implementing regulations at 27 CFR Part 479 to clarify that an executor may lawfully possess a firearm registered to a decedent during probate without ATF treating such possession as a “transfer” under the NFA. Further, the proposed rulemaking also specified that an estate transfer of a firearm to a beneficiary, such as an heir (named in the decedent’s will) or, absent a will, anyone entitled under state law to inherit the firearm would qualify for tax exempt status.

ATF finalized this rule on January 4, 2016 with no notable changes from the 2013 proposal. Interestingly, ATF declined to accept a comment requesting the rule governing estate transfers be extended to other involuntary transfers, such as with dissolution of a corporation, liquidation in bankruptcy, or forced transfers during divorce proceedings. The stated reason for rejecting the comment was purely discretion. “The Department has exercised its discretion to decline to expand the scope of the rulemaking to encompass involuntary transfers not addressed in the proposed rule. Should the Department determine that its position with regard to estates should be extended to other involuntary transfers, it will do so in a separate rulemaking.” 81 Fed. Reg. 2665 (Jan. 15, 2016). To date there have been no further efforts to expand the scope of the rulemaking.

The new rules, codified at 27 CFR § 479.90a, took effect on July 13, 2016. Even though they codify ATF’s policies toward estate transfers and clarify an executor’s ability to possess and transfer NFA firearms on behalf of a decedent’s estate, these dispositions can still be challenging.

II. The Transfer Application

There is never a guaranty ATF will approve an application to transfer an NFA weapon. But estate transfer applications can be even more complicated because of the myriad state law issues present in these transactions. To increase the likelihood ATF will approve an estate transfer application for an NFA firearm, it’s important to know the elements of the prospective transfer, namely the who, the what, and the where. Then, when it comes time to prepare the transfer application and assemble the submission package, care must be taken to include the necessary support documents.

         A.     Confirming the Elements of the Transfer

1.      The Who – Is the Person Authorized to Act on Behalf of the Estate?

Whether ATF will approve an application to transfer an NFA firearm from an estate depends on the state law governing the estate. The burden is on the person signing the transfer application on behalf of the decedent to establish that he or she is legally authorized to dispose of the estate property.

The regulations specify the executor must identify the estate as the transferor and sign the application form on behalf of the decedent. The application packet must include documentation of the person’s appointment as executor, administrator, personal representative, or another authorized person.

In addition, the transfer application must be timely; the person signing the form must be authorized to represent an estate at the time the application is submitted. The regulations at section 479.09a(a) specify the executor must submit the transfer application “no later than the close of probate.” Estates are temporary legal entities created to dispose of a decedent’s property. The term during which an estate exists typically is defined by the laws of the state in which the decedent resided. But what if the NFA firearm is not discovered until after probate has closed? Such a scenario is not out of the realm of possibility, but then it’s incumbent on the executor to produce evidence, such as a court document, confirming the executor still has legal authority to dispose of property on behalf of the estate.

2.      The What – Is the Firearm Transferrable?

The first challenge the executor faces is determining whether the subject firearm is registered to the decedent. If an NFA firearm is not registered to the decedent, the executor cannot register or transfer that firearm. Consequently, it is important at the outset to confirm the status of each NFA firearm belonging to a decedent. Sometimes, however, the executor may not be able to locate the decedent’s registration documents. Luckily, this does not mean that all hope is lost, but certain steps must be followed to confirm whether a firearm is registered to a decedent.

The NFA is part of the Internal Revenue Code. As such, a firearm’s registration information is considered tax information which the government is generally prohibited from disclosing except to the registrant or someone with legal authority to represent the registrant. In cases of an estate, ATF is permitted to confirm registration status to the executor. However, the request must include documents showing the executor’s authority under state law to represent the decedent’s estate and dispose of the decedent’s property (see below for more information).

Be forewarned, ATF will consider any unregistered NFA firearm as contraband. If an NFA firearm is not registered to the decedent, this status cannot be cured, and ATF will require such unregistered firearms to be abandoned to ATF.

In addition to the registration status, it is also important to know whether the subject firearm is unserviceable. ATF defines an unserviceable firearm in 479.11 as “[a] firearm which is incapable of discharging a shot by means of an explosive and incapable of being readily restored to a firing condition.” This is an important question because ATF regulations allow an unserviceable firearm to be transferred as a curio or ornament without payment of the transfer tax. This may affect the appropriate transfer application form to use. More on this shortly.

3.      The Who – Who is the Transferee?

Recall that the NFA is part of the Internal Revenue Code and controls possession and transfer of the subject firearms through registration and tax requirements. Certain transfers qualify as tax exempt and are completed on the Form 5 application. If, however, the transfer is subject to the tax, the Form 4 application must be used. Using the wrong form will result in a return without action, so it is important to know whether the transfer is tax exempt or if it triggers the tax.

Beneficiaries of an estate qualify for a tax-exempt transfer and should be documented on the Form 5 application. Examples of a beneficiary include an “heir” (named in the decedent’s will), or someone entitled to inherit the property under the governing state laws. NFA firearms may be transferred interstate directly to a beneficiary of an estate. The beneficiary’s fingerprints must accompany the application form. If federal, state, or local law prohibits the beneficiary from receiving or possessing the firearm, ATF will not approve the application.

Transfers to unlicensed individuals outside the estate (i.e., not beneficiaries) are considered voluntary transfers and will require tax be paid on the Form 4 application ($5 for AOWs, $200 for all other NFA firearms). However, if the firearm is unserviceable, the Form 5 should be used and include an explanation of how the firearm was made unserviceable.

In addition, if the transfer is to be to a person outside the estate, the executor must show either that there are no beneficiaries of the estate or that the beneficiaries relinquish their rights to the firearm. This can be in the form of a signed and dated statement from each beneficiary.

D.     The Where – Does the Transferee’s Jurisdiction Allow Receipt and Possession of the Firearm?

The location of the transferee is important because if state or local law prohibits the receipt or possession of the firearm in question, ATF will not approve the transfer. This rule applies to both beneficiaries and non-beneficiaries alike. For example, if the NFA firearm in question is a machinegun, it would behoove the executor to confirm whether the transferee is a resident of a locale that prohibits receipt or possession of machineguns.

In addition, when the transferee is a non-licensed individual outside the estate, ATF will not approve a Form 4 for interstate transfers, so the transferee must reside in the same state as the estate.

         B.      Checklist for Preparing the Transfer Application

• Identify the firearms subject to NFA controls. Are the firearms registered to the decedent?
• Are the subject firearms unserviceable? If so, gather documentation explaining how the firearm was rendered unserviceable.
• Is the person who will be signing the transfer form on behalf of the estate duly authorized to act in this capacity? Gather the documentation showing the person’s appointment as executor, administrator, personal representative, etc.
• Is probate still open? If not, obtain documentation showing the transfer is permissible under state law governing estates.
• Identify the transferee and determine whether the transferee is a beneficiary or is outside the estate:
  • If the transferee is a beneficiary (the transferee is identified in the decedent’s will or entitled to inherit under state laws), obtain a copy of the will or other documentation showing the beneficiary status.
  • If the transferee is outside the estate (i.e., not a beneficiary), obtain documentation showing either no beneficiaries or that the beneficiaries relinquish rights to the firearms.
• Prepare the transfer application form applicable for the type of transfer:
  • Form 5 tax exempt (to beneficiaries, or of an unserviceable firearm). Interstate transfers permitted. Transferee’s fingerprints required.
  • Form 4 tax paid (to non-licensed individuals outside the estate). Interstate transfers not permitted; transfer must go through FFL in transferee’s state. Transferee’s fingerprints and law enforcement certification required.
• Include the support documentation required under 27 CFR § 479.90a:
  • Documentation of the person’s appointment as executor, administrator, personal representative, or as an authorized person;
  • Copy of the decedent’s death certificate;
  • Copy of the will (if any);
  • Other evidence of the person’s authority to dispose of property in the estate (especially important if probate is closed); and
  • Documentation relating to or affecting the disposition of firearms from the estate (e.g., a beneficiary’s relinquishment of rights).

***The information contained in this article is for general informational and educational purposes only and is not intended to be construed or used as legal advice or as legal opinion. You should not rely or act on any information contained in this article without first seeking the advice of an attorney.

ABOUT THE AUTHOR

Johanna Reeves is the founding partner of the law firm Reeves & Dola, LLP in Washington, DC. For more than 17 years she has dedicated her law practice to advising and representing U.S. companies on compliance matters arising under the federal firearms laws and U.S. export controls. Since 2016, Johanna has served as a member of the U.S. Department of State’s Defense Trade Advisory Group. From 2011 through 2020, Johanna served as executive director for the Firearms and Ammunition Import/Export Roundtable Trade Group and she continues to serve in an advisory role. Johanna can be reached at jreeves@reevesdola.com or 202-715-9941.

 “Let’s go Brandon!” By now, you almost certainly have heard this cheer. If you’re unfamiliar, this cheer/meme started when a crowd was heard during a live news presentation screaming out a vulgar epithet about our president. The reporter decided to portray the vulgar cheer as “let’s go Brandon!” instead of what was really said, despite what was really being said being very clearly understandable. Queue the meme factory. Social media posts, shirts, stickers, opinion pieces, arguments… all conspired to make “let’s go Brandon” famous. Yet another example of a variant on the Streisand Effect, which promotes the idea that you cannot make something go away by suppressing it. Doing so tends to have the opposite effect.

We are at an interesting time, politically. We are polarized. We are divided. Many of us are vocal. And many of us are unhappy with the current state of political affairs. Brandon does not appear to be bringing us together. More importantly, Brandon appears to be widening the divide, albeit with a different approach than its predecessors. Where are we at, as a National Firearms Act community?

From my perspective, we are in a precarious place. Many of us are getting older and have lost some of our zest for politics and doing something about those politics. Many of us have grown weary of the political shouting that never seems to get anywhere. Many of us don’t even bother to vote anymore. These are factual statements, and the accuracy of those facts imperils our ability to affect change. We must get out and vote. We must engage in civil discourse. We must try and win hearts and minds. We must find ways to work with the regulators to correct mistakes and make progress. Giving up is simply not part of the program. And it’s time to reengage.

An example of an engagement opportunity involves a news item that was circulating at the time this column was written. A great turmoil was caused when noted actor Alec Baldwin negligently shot and killed a cinematographer on a movie set. Many took the incident as an opportunity to create a divide: us versus them, liberal versus conservative, Second Amendment supporter versus gun grabber. There was and is a better way. It was a time for us to educate with civility. It was time to take the high ground by calmly explaining the four rules of gun safety instead of creating even more conflict:

• Treat every gun as if it was loaded, until you determine that it isn’t
• Never point a gun at anything you do not intend to shoot
• Keep your finger off the trigger until you are ready to shoot
• Know your target and what’s behind it

We are all aware how important these safety rules are. Each one is a reinforcement of the other and provides a redundant failsafe in case one gets overlooked or ignored. The Alec Baldwin incident was an opportunity to demonstrate that the issue was not a gun issue, it was a gun safety issue. Anyone who ignores all the rules of gun safety is going to encounter calamity. Alec Baldwin did not have a major problem because he was a liberal. He had a problem because he was untrained and had a cavalier attitude to a specialized tool. It’s an opportunity for civil discourse.

The NFATCA has spent almost two decades engaging in civil discourse with our community, our regulators, and our legislators. We believe there’s more productivity in discussion than there is in shouting. We are patient in working towards results that benefit the entire NFA community. If you would like to join us and support us, we would be honored! www.nfatca.org