S T A T E   O F   N E W   Y O R K
 ________________________________________________________________________
 
                                    837
 
                        2021-2022 Regular Sessions
 
                           I N  A S S E M B L Y
 
                                (PREFILED)
 
                              January 6, 2021
                                ___________
 
 Introduced by M. of A. PAULIN, RAMOS, ENGLEBRIGHT, L. ROSENTHAL, ABINAN-
   TI,  COLTON, DINOWITZ, STECK, SEAWRIGHT, FAHY -- Multi-Sponsored by --
   M. of A.   GOTTFRIED, MAGNARELLI -- read  once  and  referred  to  the
   Committee on Economic Development

 AN  ACT to amend the general business law and the penal law, in relation
   to preventing the sale of firearms, rifles, and shotguns to criminals
 
   THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND  ASSEM-
 BLY, DO ENACT AS FOLLOWS:
 
   Section 1. Legislative findings and declaration. The legislature here-
 by finds and declares as follows:
   1. Firearms, rifles and shotguns are used to kill over 30,000 individ-
 uals in the United States every year, including 1,000 individuals in New
 York  state  alone.  Additionally,  there are 100,000 non-fatal injuries
 across the country. The federal  government  has  largely  ignored  this
 public  health  crisis and has left it up to state and local governments
 to protect its citizens. Firearm violence also costs billions of dollars
 and causes  incalculable  emotional  damage,  devastating  families  and
 communities  throughout  the country.   Therefore, the state of New York
 has a strong interest in reducing violence and crimes that  involve  the
 use  of  firearms  and the illegal trafficking of firearms. Illegal guns
 obtained throughout the state end up in the hands  of  criminals,  youth
 and violent individuals who use them to threaten, maim and kill.
   2. There is a thriving underground market for illegal firearms, large-
 ly  driven by demand from drug gangs and other criminals. A highly effi-
 cient and continuous business practice  exists  in  which  firearms  are
 moved  from  legal manufacture and sale to prohibited purchasers, making
 them illegal firearms.  According to a recent report  of  the  New  York
 state attorney general, 52,915 crime guns were recovered by law enforce-
 ment  in  New  York  between  2010-2015. Target on Trafficking, New York
 Crime Gun Analysis, October 2016 ("2016  AG  Report").  Of  these  crime
 
  EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
              

                       [ ] is old law to be omitted.
                                                            LBD01985-01-1

 A. 837                              2
 
 guns,  13,188  or 24.9% were long guns. Outside New York City, long guns
 are sold without a permit. The 2016 AG Report further found that 90%  of
 the  crime  guns recovered were recovered in seven distinct markets: New
 York  City,  the  lower  Hudson Valley (including the cities of Yonkers,
 White Plains, Newburgh and Poughkeepsie), the Capital Region  (including
 Albany,  Troy  and Schenectady), Syracuse, Rochester and Buffalo. 74% of
 the crime guns recovered were from  out  of  state.  Yet  a  significant
 portion  of  guns involved in crimes upstate originate within the state.
 For example, according to the 2016 AG Report, 41% of crime guns  in  the
 Buffalo  area  and  56%  of  crime guns in the Rochester area originated
 within New York state.
   3. Youth are particularly at risk of being killed with guns.   Accord-
 ing  to  the  Centers for Disease Control and Prevention, in 2010 alone,
 116 children and teens (under the age of 19) died from gun  violence  in
 New York state.
   4. A substantial portion of illegal firearms are diverted to the ille-
 gal  market  through  licensed gun dealers. Rogue gun dealers play a key
 role in this market. These rogue dealers  funnel  guns  to  the  illegal
 market through a variety of channels. One of the most common means is to
 allow "straw purchases". A straw purchase occurs when a person purchases
 a gun on behalf of a prohibited person.  In 2000, the Bureau of Alcohol,
 Tobacco,  Firearms,  and  Explosives (ATF) conducted an investigation of
 gun trafficking from July 1996 to December 1998 and  found  that  almost
 26,000  trafficked firearms were associated with investigations in which
 there was a straw purchaser. Almost  50%  of  all  trafficking  investi-
 gations  involved straw purchasers, with an average of 37 firearms traf-
 ficked per investigation.  Another issue, according to a 2008 report  by
 Mayors  Against Illegal Guns, Inside Straw Purchasing: How Criminals Get
 Guns Illegally, is that many traffickers return to the same store  again
 and  again  once  they  have identified it as one in which they can make
 straw purchases easily.  According to the ATF, 1% of gun dealers are the
 source of almost 60% of crime guns.
   5.  Although most gun dealers operate  their  businesses  legally  and
 responsibly, some gun dealers who are corrupt or maintain shoddy record-
 keeping  practices flood the streets with illegal weapons as a result of
 their unrestricted access to new gun inventory and the unwillingness  of
 gun  manufacturers  to  terminate  their  supply to these rogue dealers.
 Current federal and state regulation has not curbed the  business  prac-
 tice  of illegal gun dealers. According to a 2004 study by Americans for
 Gun Safety, of the 120 worst gun dealers in the  country,  namely  those
 dealers  with an average of 500 crime guns traced to them, 96 were still
 in operation.
   6. Moreover, this problem is not limited to  unlicensed  sellers,  and
 clearly  includes  federal  firearms  licensees (FFLs). Indeed, although
 FFLs were involved in under 10% of the trafficking investigations under-
 taken by ATF, they were associated with the largest number  of  diverted
 firearms--over  40,000 guns, which is nearly half of the total number of
 trafficked firearms documented during the two-year period of  the  ATF's
 investigation.    Additionally,  a 2010 report by Mayors Against Illegal
 Guns indicated that several states  which  allow  state  authorities  to
 supplement  the  federal ATF inspection with routine inspections provide
 law enforcement with more opportunities to uncover dealers in  violation
 of  the law.   These inspections also help identify dealers who exercise
 lax oversight over their inventory and may lead to  improved  compliance
 with federal, state, and local laws.

 A. 837                              3
 
   7.  Current  state  law  governing  firearm  dealers  is inadequate to
 prevent the diversion of firearms to the  illegal  marketplace.    Addi-
 tional  protections  that  are  needed  include, but are not limited to,
 better gun dealer internal compliance procedures, programs to  eliminate
 straw  purchases, improved security measures, reducing youth access, and
 mandatory training for gun dealer employees.  The additional protections
 set forth in this act will greatly enhance the state's efforts to reduce
 criminal activity in the state.
   § 2. The general business law is amended by adding a new article 39-BB
 to read as follows:
                                ARTICLE 39-BB
                     PREVENTING THE SALE OF FIREARMS,
                     RIFLES, AND SHOTGUNS TO CRIMINALS
 SECTION 875-A. DEFINITIONS.
         875-B. REASONABLE MEASURES TO PREVENT SALES AND
                 TRANSFERS TO CRIMINALS.
         875-C. SECURITY.
         875-D. ACCESS TO FIREARMS, RIFLES, AND SHOTGUNS.
         875-E. LOCATION OF FIREARM, RIFLE, AND SHOTGUN SALES.
         875-F. EMPLOYEE TRAINING.
         875-G. MAINTENANCE OF RECORDS.
         875-H. INTERNAL COMPLIANCE AND CERTIFICATION.
         875-I. RULES AND REGULATIONS.
         875-J. VIOLATIONS.
   § 875-A. DEFINITIONS. FOR THE PURPOSES OF THIS ARTICLE:
   1. "DEALER" MEANS  ANY  PERSON,  FIRM,  PARTNERSHIP,  CORPORATION,  OR
 COMPANY  WHO ENGAGES IN THE BUSINESS OF PURCHASING, SELLING, KEEPING FOR
 SALE, LENDING, LEASING, OR IN ANY  MANNER  DISPOSING  OF,  ANY  FIREARM,
 RIFLE, OR SHOTGUN.
   2.  "DISPOSE  OF"  MEANS  TO DISPOSE OF, GIVE, GIVE AWAY, LEASE, LEND,
 KEEP FOR SALE, OFFER, OFFER  FOR  SALE,  SELL,  TRANSFER,  OR  OTHERWISE
 DISPOSE OF.
   3.  "FIREARM" HAS THE SAME MEANING AS THAT TERM IS DEFINED IN SUBDIVI-
 SION THREE OF SECTION 265.00 OF THE PENAL LAW.
   4. "FIREARM EXHIBITOR" MEANS ANY  PERSON,  FIRM,  PARTNERSHIP,  CORPO-
 RATION,  OR COMPANY THAT EXHIBITS, SELLS, OFFERS FOR SALE, TRANSFERS, OR
 EXCHANGES FIREARMS, RIFLES, OR SHOTGUNS AT A GUN SHOW.
   5. "RETAIL DEALER" MEANS ANY DEALER ENGAGED IN THE RETAIL BUSINESS  OF
 SELLING FIREARMS, RIFLES, OR SHOTGUNS.
   6. "RIFLE" HAS THE SAME MEANING AS THAT TERM IS DEFINED IN SUBDIVISION
 ELEVEN OF SECTION 265.00 OF THE PENAL LAW.
   7.  "SHOTGUN" HAS THE SAME MEANING AS THAT TERM IS DEFINED IN SUBDIVI-
 SION TWELVE OF SECTION 265.00 OF THE PENAL LAW.
   8. "STRAW PURCHASE" MEANS THE PURCHASE, OR ATTEMPT TO PURCHASE,  BY  A
 PERSON  OF A FIREARM, RIFLE, SHOTGUN OR AMMUNITION FOR, ON BEHALF OF, OR
 FOR THE USE OF ANOTHER PERSON, KNOWING THAT IT  WOULD  BE  UNLAWFUL  FOR
 SUCH OTHER PERSON TO POSSESS SUCH FIREARM, RIFLE, SHOTGUN OR AMMUNITION,
 OR AN ATTEMPT TO MAKE SUCH A PURCHASE.
   9.  "STRAW  PURCHASER"  MEANS  A  PERSON WHO, KNOWING THAT IT WOULD BE
 UNLAWFUL FOR ANOTHER PERSON TO POSSESS  A  FIREARM,  RIFLE,  SHOTGUN  OR
 AMMUNITION,  PURCHASES OR ATTEMPTS TO PURCHASE A FIREARM, RIFLE, SHOTGUN
 OR AMMUNITION FOR, ON BEHALF OF, OR FOR THE USE OF SUCH OTHER PERSON.
   10. "SUPERINTENDENT" MEANS THE SUPERINTENDENT OF STATE POLICE.
   § 875-B. REASONABLE MEASURES TO PREVENT SALES AND TRANSFERS TO  CRIMI-
 NALS.  EVERY DEALER SHALL ADOPT REASONABLE MEASURES TO PREVENT FIREARMS,
 RIFLES,  AND  SHOTGUNS  FROM  BEING  DIVERTED  FROM  THE LEGAL STREAM OF

 A. 837                              4
 
 COMMERCE, INTENTIONALLY OR  OTHERWISE,  FOR  LATER  SALE,  TRANSFER,  OR
 DISPOSAL TO INDIVIDUALS NOT LEGALLY ENTITLED TO PURCHASE OR POSSESS SUCH
 WEAPONS.  SUCH  MEASURES  SHALL  INCLUDE,  BUT  NEED  NOT BE LIMITED TO,
 PROGRAMS  TO ELIMINATE SALES TO STRAW PURCHASERS AND TO OTHERWISE THWART
 ILLEGAL GUN  TRAFFICKING.  THE  SUPERINTENDENT  SHALL  DEVELOP  PROGRAMS
 DESIGNED  TO ELIMINATE SALES TO STRAW PURCHASERS AND TO OTHERWISE THWART
 ILLEGAL GUN TRAFFICKING. WITHIN SIX MONTHS OF THE EFFECTIVE DATE OF THIS
 ARTICLE, THE SUPERINTENDENT SHALL SUBMIT A  REPORT  TO  THE  LEGISLATURE
 DETAILING SUCH PROGRAMS, INCLUDING ESTABLISHING MINIMUM REQUIREMENTS FOR
 SUCH PROGRAMS.
   §  875-C.  SECURITY. 1.   EVERY DEALER SHALL IMPLEMENT A SECURITY PLAN
 FOR SECURING FIREARMS, RIFLES AND SHOTGUNS, INCLUDING  FIREARMS,  RIFLES
 AND  SHOTGUNS  IN SHIPMENT. THE PLAN MUST SATISFY AT LEAST THE FOLLOWING
 REQUIREMENTS:
   (A) DISPLAY CASES SHALL BE LOCKED AT ALL TIMES EXCEPT WHEN REMOVING  A
 SINGLE FIREARM, RIFLE OR SHOTGUN TO SHOW A CUSTOMER, AND CUSTOMERS SHALL
 HANDLE FIREARMS, RIFLES OR SHOTGUNS ONLY UNDER THE DIRECT SUPERVISION OF
 AN EMPLOYEE;
   (B)  ALL  FIREARMS,  RIFLES  AND SHOTGUNS SHALL BE SECURED, OTHER THAN
 DURING BUSINESS HOURS, IN A  LOCKED  FIREPROOF  SAFE  OR  VAULT  IN  THE
 LICENSEE'S  BUSINESS  PREMISES  OR IN A SIMILAR SECURED AND LOCKED AREA;
 AND
   (C) AMMUNITION SHALL BE STORED SEPARATELY FROM  THE  FIREARMS,  RIFLES
 AND SHOTGUNS AND OUT OF REACH OF THE CUSTOMERS.
   2.  (A)  THE  PERMITTED BUSINESS LOCATION SHALL BE SECURED BY AN ALARM
 SYSTEM THAT IS INSTALLED AND MAINTAINED BY  AN  ALARM  COMPANY  OPERATOR
 PROPERLY  LICENSED PURSUANT TO STATE LAW. THE ALARM SYSTEM MUST BE MONI-
 TORED BY A CENTRAL STATION LISTED BY  UNDERWRITERS  LABORATORIES,  INC.,
 AND  COVERED  BY  AN ACTIVE UNDERWRITERS LABORATORIES, INC. ALARM SYSTEM
 CERTIFICATE WITH A #3 EXTENT OF PROTECTION.
   (B)  UNDERWRITERS  LABORATORIES,  INC.  USES  THE  TERM   "EXTENT   OF
 PROTECTION"  TO  REFER  TO  THE  AMOUNT OF ALARM PROTECTION INSTALLED TO
 PROTECT A PARTICULAR AREA, ROOM OR CONTAINER. SYSTEMS WITH A  #3  EXTENT
 OF  PROTECTION  INCLUDE COMPLETE PROTECTION FOR ALL ACCESSIBLE OPENINGS,
 AND PARTIAL MOTION AND SOUND DETECTION AT CERTAIN  OTHER  AREAS  OF  THE
 PREMISES.  MORE INFORMATION MAY BE FOUND IN: CENTRAL STATION ALARM ASSO-
 CIATION, A PRACTICAL GUIDE TO CENTRAL STATION BURGLAR ALARM SYSTEMS (3RD
 ED. 2005).
   § 875-D. ACCESS TO FIREARMS, RIFLES, AND SHOTGUNS. EVERY RETAIL DEALER
 SHALL EXCLUDE ALL  PERSONS  UNDER  EIGHTEEN  YEARS  OF  AGE  FROM  THOSE
 PORTIONS OF ITS PREMISES WHERE FIREARMS, RIFLES, SHOTGUNS, OR AMMUNITION
 ARE  STOCKED  OR  SOLD, UNLESS SUCH PERSON IS ACCOMPANIED BY A PARENT OR
 GUARDIAN.
   § 875-E. LOCATION OF FIREARM, RIFLE, AND SHOTGUN SALES.  EVERY  DEALER
 SHALL  SELL  OR OTHERWISE DISPOSE OF FIREARMS, RIFLES, AND SHOTGUNS ONLY
 AT THE LOCATION LISTED ON THE DEALER'S FEDERAL FIREARMS  LICENSE  OR  AT
 GUN SHOWS.
   § 875-F. EMPLOYEE TRAINING. EVERY RETAIL DEALER SHALL PROVIDE TRAINING
 TO  ALL  EMPLOYEES  AND  OTHER  PERSONNEL  ENGAGED IN THE RETAIL SALE OF
 FIREARMS, RIFLES, AND SHOTGUNS RELATING TO:
   1. THE LAW GOVERNING FIREARM, RIFLE, AND SHOTGUN TRANSFERS BY  FEDERAL
 FIREARMS LICENSEES AND INDIVIDUALS;
   2.  HOW  TO  RECOGNIZE  STRAW PURCHASES AND OTHER ATTEMPTS TO PURCHASE
 FIREARMS, RIFLES, SHOTGUNS OR AMMUNITION ILLEGALLY; AND

 A. 837                              5
 
   3. HOW TO TEACH CONSUMERS RULES  OF  GUN  SAFETY,  INCLUDING  BUT  NOT
 LIMITED  TO THE SAFE HANDLING AND STORAGE OF FIREARMS, RIFLES, AND SHOT-
 GUNS.
   NO  EMPLOYEE  OR  AGENT  OF ANY RETAIL DEALER SHALL PARTICIPATE IN THE
 SALE OR DISPOSITION OF FIREARMS, RIFLES, OR SHOTGUNS UNLESS SUCH  PERSON
 IS  AT LEAST TWENTY-ONE YEARS OF AGE AND HAS FIRST RECEIVED THE TRAINING
 REQUIRED BY THIS SECTION.  THE  SUPERINTENDENT  SHALL  PROMULGATE  REGU-
 LATIONS  SETTING  FORTH  MINIMUM  REQUIREMENTS  FOR  THE  MAINTENANCE OF
 RECORDS OF SUCH TRAINING.
   § 875-G.  MAINTENANCE OF RECORDS. EVERY  DEALER  SHALL  ESTABLISH  AND
 MAINTAIN  SUCH PURCHASE, SALE, INVENTORY, AND OTHER RECORDS AT THE DEAL-
 ER'S PLACE OF BUSINESS IN SUCH FORM AND FOR SUCH PERIOD  AS  THE  SUPER-
 INTENDENT  SHALL  REQUIRE, AND SHALL SUBMIT SUCH RECORDS TO THE NEW YORK
 STATE POLICE EVERY APRIL AND OCTOBER. SUCH RECORDS SHALL  AT  A  MINIMUM
 INCLUDE THE FOLLOWING:
   1.  EVERY  DEALER  SHALL RECORD THE MAKE, MODEL, CALIBER OR GAUGE, AND
 SERIAL NUMBER OF ALL RIFLES AND SHOTGUNS THAT ARE ACQUIRED  OR  DISPOSED
 OF  NOT  LATER THAN ONE BUSINESS DAY AFTER THEIR ACQUISITION OR DISPOSI-
 TION. MONTHLY BACKUPS OF THESE RECORDS SHALL BE MAINTAINED IN  A  SECURE
 CONTAINER DESIGNED TO PREVENT  LOSS BY FIRE, THEFT, OR OTHER MISHAP;
   2.  ALL  RIFLES  AND SHOTGUNS ACQUIRED BUT NOT YET DISPOSED OF MUST BE
 ACCOUNTED FOR THROUGH AN INVENTORY CHECK PREPARED ONCE  EACH  MONTH  AND
 MAINTAINED IN A SECURE LOCATION;
   3.  RIFLE  AND SHOTGUN SALES INFORMATION, INCLUDING THE SERIAL NUMBERS
 OF RIFLES AND SHOTGUNS SOLD, DATES OF SALE, AND IDENTITY OF  PURCHASERS,
 SHALL  BE  MAINTAINED  AND  MADE AVAILABLE TO GOVERNMENT LAW ENFORCEMENT
 AGENCIES AND TO THE MANUFACTURER OF THE WEAPON OR ITS DESIGNEE; AND
   4. EVERY DEALER SHALL MAINTAIN RECORDS OF CRIMINAL RIFLE  AND  SHOTGUN
 TRACES INITIATED BY THE FEDERAL BUREAU OF ALCOHOL, TOBACCO, FIREARMS AND
 EXPLOSIVES  ("ATF").  ALL  ATF  FORM  4473  TRANSACTION RECORDS SHALL BE
 RETAINED ON  THE  DEALER'S  BUSINESS  PREMISES  IN  A  SECURE  CONTAINER
 DESIGNED TO PREVENT LOSS BY FIRE, THEFT, OR OTHER MISHAP.
   § 875-H. INTERNAL COMPLIANCE AND CERTIFICATION. 1. EVERY DEALER SHALL:
   (A)  IMPLEMENT  AND MAINTAIN SUFFICIENT INTERNAL COMPLIANCE PROCEDURES
 TO ENSURE COMPLIANCE WITH THE  REQUIREMENTS  OF  THIS  ARTICLE  AND  ALL
 APPLICABLE  FEDERAL, STATE, AND LOCAL LAWS AND REGULATIONS GOVERNING THE
 SALE, TRANSFER, AND DISPOSAL OF FIREARMS, RIFLES, AND SHOTGUNS; AND
   (B) ANNUALLY CERTIFY  TO  THE  SUPERINTENDENT  THAT  SUCH  DEALER  HAS
 COMPLIED  WITH  ALL OF THE REQUIREMENTS OF THIS ARTICLE. THE SUPERINTEN-
 DENT SHALL BY REGULATION DETERMINE THE FORM AND CONTENT OF  SUCH  ANNUAL
 CERTIFICATION.
   2.  THE SUPERINTENDENT SHALL PROMULGATE REGULATIONS ESTABLISHING PERI-
 ODIC INSPECTIONS, DURING REGULAR AND USUAL BUSINESS HOURS, BY THE  DIVI-
 SION  OF  STATE  POLICE  OF  THE  PREMISES  OF EVERY DEALER TO DETERMINE
 COMPLIANCE BY SUCH DEALER WITH THE REQUIREMENTS OF THIS  ARTICLE.  EVERY
 DEALER  SHALL  PROVIDE  THE DIVISION OF STATE POLICE WITH FULL ACCESS TO
 SUCH DEALER'S PREMISES FOR SUCH INSPECTIONS.
   § 875-I. RULES AND REGULATIONS. THE SUPERINTENDENT MAY PROMULGATE SUCH
 ADDITIONAL RULES AND REGULATIONS AS THE SUPERINTENDENT SHALL DEEM NECES-
 SARY TO PREVENT FIREARMS, RIFLES, AND SHOTGUNS FROM BEING DIVERTED  FROM
 THE LEGAL STREAM OF COMMERCE.
   §  875-J.  VIOLATIONS.  ANY PERSON, FIRM, OR CORPORATION WHO KNOWINGLY
 VIOLATES ANY PROVISION OF THIS ARTICLE SHALL BE  GUILTY  OF  A  CLASS  A
 MISDEMEANOR PUNISHABLE AS PROVIDED FOR IN THE PENAL LAW.

 A. 837                              6
 
   §  3.  Subdivision 1 of section 400.00 of the penal law, as amended by
 chapter 1 of the laws of 2013, paragraph (c) as amended by chapter 60 of
 the laws of 2018, is amended to read as follows:
   1. Eligibility. No license shall be issued or renewed pursuant to this
 section  except  by  the licensing officer, and then only after investi-
 gation and finding that all statements in a  proper  application  for  a
 license  are  true.  No license shall be issued or renewed except for an
 applicant (a) twenty-one years of age or older, provided, however,  that
 where  such  applicant  has  been  honorably  discharged from the United
 States army, navy, marine corps,  air  force  or  coast  guard,  or  the
 national  guard  of the state of New York, no such age restriction shall
 apply; (b) of good moral character;  (c)  who  has  not  been  convicted
 anywhere  of  a felony or a serious offense or who is not the subject of
 an outstanding warrant of arrest issued upon the alleged commission of a
 felony or serious offense; (d) who is not a fugitive from  justice;  (e)
 who  is  not an unlawful user of or addicted to any controlled substance
 as defined in section 21 U.S.C. 802; (f) who being an alien (i)  is  not
 illegally or unlawfully in the United States or (ii) has not been admit-
 ted to the United States under a nonimmigrant visa subject to the excep-
 tion  in  18  U.S.C. 922(y)(2); (g) who has not been discharged from the
 Armed Forces under dishonorable conditions; (h) who, having been a citi-
 zen of the United States, has not renounced his or her citizenship;  (i)
 who  has  stated whether he or she has ever suffered any mental illness;
 (j) who has not been involuntarily committed to  a  facility  under  the
 jurisdiction  of  an office of the department of mental hygiene pursuant
 to article nine or fifteen of the  mental  hygiene  law,  article  seven
 hundred  thirty or section 330.20 of the criminal procedure law, section
 four hundred two or five hundred eight of the  correction  law,  section
 322.2 or 353.4 of the family court act, or has not been civilly confined
 in  a  secure  treatment  facility pursuant to article ten of the mental
 hygiene law; (k) who has not had a license revoked or who is not under a
 suspension or ineligibility order issued pursuant to the  provisions  of
 section  530.14  of  the criminal procedure law or section eight hundred
 forty-two-a of the family court act; (l) in the county  of  Westchester,
 who  has  successfully  completed  a  firearms safety course and test as
 evidenced by a certificate of completion issued in his or her  name  and
 endorsed  and  affirmed under the penalties of perjury by a duly author-
 ized instructor, except that: (i) persons who are  honorably  discharged
 from  the  United  States army, navy, marine corps or coast guard, or of
 the national guard of the state of New York,  and  produce  evidence  of
 official  qualification  in  firearms during the term of service are not
 required to have completed those  hours  of  a  firearms  safety  course
 pertaining  to the safe use, carrying, possession, maintenance and stor-
 age of a firearm; and (ii) persons who were licensed to possess a pistol
 or revolver prior to the  effective  date  of  this  paragraph  are  not
 required  to  have  completed a firearms safety course and test; (m) who
 has not had a  guardian  appointed  for  him  or  her  pursuant  to  any
 provision  of  state  law,  based on a determination that as a result of
 marked subnormal intelligence, mental illness, incapacity, condition  or
 disease,  he  or she lacks the mental capacity to contract or manage his
 or her own affairs; and (n) concerning whom no good cause exists for the
 denial of the license.  No  person  shall  engage  in  the  business  of
 gunsmith or dealer in firearms unless licensed pursuant to this section,
 AND  NO PERSON SHALL ENGAGE IN THE BUSINESS OF DEALER IN FIREARMS UNLESS
 SUCH PERSON COMPLIES WITH THE PROVISIONS OF  ARTICLE  THIRTY-NINE-BB  OF
 THE GENERAL BUSINESS LAW.  An applicant to engage in such business shall

 A. 837                              7
 
 also  be  a  citizen of the United States, more than twenty-one years of
 age and maintain a place of business in the city  or  county  where  the
 license  is  issued.  For  such  business, if the applicant is a firm or
 partnership,  each  member thereof shall comply with all of the require-
 ments set forth in this subdivision and if the  applicant  is  a  corpo-
 ration, each officer thereof shall so comply.
   § 4. Subdivisions 11 and 12 of section 400.00 of the penal law, subdi-
 vision 11 as amended by chapter 1 of the laws of 2013 and subdivision 12
 as  amended  by  chapter 129 of the laws of 2019, are amended to read as
 follows:
   11. License: revocation and suspension. (a) The conviction of a licen-
 see anywhere of a felony or serious offense or a licensee  at  any  time
 becoming ineligible to obtain a license under this section shall operate
 as a revocation of the license. A license may be revoked or suspended as
 provided  for in section 530.14 of the criminal procedure law or section
 eight hundred forty-two-a of the family court act. Except for a  license
 issued  pursuant  to  section  400.01  of this article, a license may be
 revoked and cancelled at any time in the city of New York,  and  in  the
 counties  of Nassau and Suffolk, by the licensing officer, and elsewhere
 than in the city of New York by any judge  or  justice  of  a  court  of
 record;  a license issued pursuant to section 400.01 of this article may
 be revoked and cancelled at any time by the  licensing  officer  or  any
 judge  or justice of a court of record. A LICENSE TO ENGAGE IN THE BUSI-
 NESS OF DEALER MAY BE REVOKED OR SUSPENDED  FOR  ANY  VIOLATION  OF  THE
 PROVISIONS  OF  ARTICLE  THIRTY-NINE-BB OF THE GENERAL BUSINESS LAW. The
 official revoking a license shall give written  notice  thereof  without
 unnecessary delay to the executive department, division of state police,
 Albany,  and  shall  also notify immediately the duly constituted police
 authorities of the locality.
   (b) Whenever the director of community services or his or her designee
 makes a report pursuant to section 9.46 of the mental hygiene  law,  the
 division  of  criminal  justice  services shall convey such information,
 whenever it determines that the person named in the report  possesses  a
 license  issued  pursuant  to this section, to the appropriate licensing
 official, who shall issue an order suspending or revoking such license.
   (c) In any instance in  which  a  person's  license  is  suspended  or
 revoked  under  paragraph  (a)  or  (b) of this subdivision, such person
 shall surrender such license to the appropriate licensing  official  and
 any  and  all  firearms,  rifles, or shotguns owned or possessed by such
 person shall be surrendered to an appropriate law enforcement agency  as
 provided  in  subparagraph  (f)  of  paragraph  one  of subdivision a of
 section 265.20 of this chapter. In  the  event  such  license,  firearm,
 shotgun,  or  rifle  is not surrendered, such items shall be removed and
 declared a nuisance and any  police  officer  or  peace  officer  acting
 pursuant  to  his  or her special duties is authorized to remove any and
 all such weapons.
   12. Records required of gunsmiths and dealers in  firearms.  [Any]  IN
 ADDITION  TO THE REQUIREMENTS SET FORTH IN ARTICLE THIRTY-NINE-BB OF THE
 GENERAL BUSINESS LAW, ANY person  licensed  as  gunsmith  or  dealer  in
 firearms  shall  keep  a  record book approved as to form, except in the
 city of New York, by the superintendent of state police. In  the  record
 book  shall  be  entered  at  the  time of every transaction involving a
 firearm the date, name, age, occupation and residence of any person from
 whom a firearm is received or to whom a firearm is  delivered,  and  the
 calibre, make, model, manufacturer's name and serial number, or if none,
 any  other distinguishing number or identification mark on such firearm.

 A. 837                              8

 Before delivering a firearm to any person, the  licensee  shall  require
 him  to  produce  either  a license valid under this section to carry or
 possess the same, or proof of  lawful  authority  as  an  exempt  person
 pursuant  to  section 265.20 of this chapter and either (a) the National
 Instant Criminal Background Check System (NICS)  or  its  successor  has
 issued a "proceed" response to the licensee, or (b) thirty calendar days
 have  elapsed  since  the date the licensee contacted NICS to initiate a
 national instant criminal background check and NICS has not notified the
 licensee that the transfer of the  firearm  to  such  person  should  be
 denied. In addition, before delivering a firearm to a peace officer, the
 licensee  shall  verify that person's status as a peace officer with the
 division of state police. After completing the foregoing,  the  licensee
 shall remove and retain the attached coupon and enter in the record book
 the  date  of  such  license,  number, if any, and name of the licensing
 officer, in the case of the holder of a license to carry or possess,  or
 the  shield  or other number, if any, assignment and department, unit or
 agency, in the case of an exempt person. The original transaction report
 shall be forwarded to the division of state police within  ten  days  of
 delivering  a  firearm to any person, and a duplicate copy shall be kept
 by the licensee. The superintendent of state police may  designate  that
 such  record  shall  be  completed and transmitted in electronic form. A
 dealer may be granted a waiver from transmitting such records  in  elec-
 tronic form if the superintendent determines that such dealer is incapa-
 ble  of  such transmission due to technological limitations that are not
 reasonably within the  control  of  the  dealer,  or  other  exceptional
 circumstances  demonstrated  by the dealer, pursuant to a process estab-
 lished in regulation, and  at  the  discretion  of  the  superintendent.
 Records assembled or collected for purposes of inclusion in the database
 created  pursuant to section 400.02 of this article shall not be subject
 to disclosure pursuant to article six of the public  officers  law.  The
 record  book shall be maintained on the premises mentioned and described
 in the license and shall be open at all reasonable hours for  inspection
 by  any  peace officer, acting pursuant to his special duties, or police
 officer. In the event of cancellation or revocation of the  license  for
 gunsmith  or  dealer  in  firearms,  or  discontinuance of business by a
 licensee, such record book  shall  be  immediately  surrendered  to  the
 licensing officer in the city of New York, and in the counties of Nassau
 and  Suffolk,  and  elsewhere  in the state to the executive department,
 division of state police.
   § 5. Severability. If any clause, sentence, paragraph, section or part
 of this act shall be adjudged by any court of competent jurisdiction  to
 be  invalid,  such  judgment  shall not affect, impair or invalidate the
 remainder thereof, but shall be confined in its operation to the clause,
 sentence, paragraph, section or part thereof directly  involved  in  the
 controversy in which such judgment shall have been rendered.
   §  6.  This  act shall take effect on the ninetieth day after it shall
 have become a law. Effective immediately, the addition, amendment and/or
 repeal of any rule or regulation for the implementation of  section  two
 of this act on its effective date are authorized to be made on or before
 such effective date.

                             
                     S T A T E   O F   N E W   Y O R K
 ________________________________________________________________________
 
                                  837--A
 
                        2021-2022 Regular Sessions
 
                           I N  A S S E M B L Y
 
                                (PREFILED)
 
                              January 6, 2021
                                ___________
 
 Introduced by M. of A. PAULIN, RAMOS, ENGLEBRIGHT, L. ROSENTHAL, ABINAN-
   TI,  COLTON, DINOWITZ, STECK, SEAWRIGHT, FAHY -- Multi-Sponsored by --
   M. of A.   GOTTFRIED, MAGNARELLI -- read  once  and  referred  to  the
   Committee  on  Economic Development -- recommitted to the Committee on
   Economic Development in accordance with Assembly Rule  3,  sec.  2  --
   committee  discharged,  bill amended, ordered reprinted as amended and
   recommitted to said committee
 
 AN ACT to amend the general business law and the penal law, in  relation
   to  preventing  the unlawful sale of firearms, rifles, and shotguns to
   individuals with a criminal record
 
   THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND  ASSEM-
 BLY, DO ENACT AS FOLLOWS:
 
   Section 1. Legislative findings and declaration. The legislature here-
 by finds and declares as follows:
   1.  Firearms, rifles and shotguns are used to kill almost 40,000 indi-
 viduals in the United States every year, including  800  individuals  in
 New York state alone. Additionally, there are 115,000 non-fatal injuries
 across  the  country.  The  federal  government has largely ignored this
 public health crisis and has left it up to state and  local  governments
 to protect its citizens. Firearm violence also costs billions of dollars
 and  causes  incalculable  emotional  damage,  devastating  families and
 communities throughout the country.  Therefore, the state  of  New  York
 has  a  strong interest in reducing violence and crimes that involve the
 use of firearms and the illegal trafficking of  firearms.  Illegal  guns
 obtained  throughout the state end up in the hands of individuals with a
 criminal record, youth and individuals with a history  of  violence  who
 use them to threaten, maim and kill.
   2.  There is a thriving underground market for illegal firearms, which
 is leading to shootings that are disproportionately impacting  under-re-
 sourced  Black  and Brown communities. A highly efficient and continuous
 
  EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                       [ ] is old law to be omitted.
              

                                                            LBD01985-05-2
 A. 837--A                           2
 
 business practice exists in which firearms are moved from legal manufac-
 ture and sale to prohibited purchasers, making  them  illegal  firearms.
 According  to  a  recent  report of the New York state attorney general,
 52,915  crime guns were recovered by law enforcement in New York between
 2010-2015. Target on Trafficking, New York Crime Gun  Analysis,  October
 2016  ("2016 AG Report"). Of these crime guns, 13,188 or 24.9% were long
 guns. Outside New York City, long guns are sold without  a  permit.  The
 2016  AG  Report further found that 90% of the crime guns recovered were
 recovered in seven distinct markets: New York  City,  the  lower  Hudson
 Valley  (including  the  cities  of  Yonkers, White Plains, Newburgh and
 Poughkeepsie), the Capital Region (including Albany, Troy and Schenecta-
 dy), Syracuse, Rochester and Buffalo. 74% of the  crime  guns  recovered
 were  from  out  of state. Yet a significant portion of guns involved in
 crimes upstate originate within the state. For example, according to the
 2016 AG Report, 41% of crime guns in the Buffalo area and 56%  of  crime
 guns in the Rochester area originated within New York state.
   3.  Youth are particularly at risk of being killed with guns.  Accord-
 ing to the Centers for Disease Control and Prevention, in 2019 alone, 40
 children and teens (under the age of 19) died from gun violence  in  New
 York state.
   4. A substantial portion of illegal firearms are diverted to the ille-
 gal  market  through  licensed gun dealers. Rogue gun dealers play a key
 role in this market. These rogue dealers  funnel  guns  to  the  illegal
 market through a variety of channels. One of the most common means is to
 allow "straw purchases". A straw purchase occurs when a person purchases
 a gun on behalf of a prohibited person.  In 2000, the Bureau of Alcohol,
 Tobacco,  Firearms,  and  Explosives (ATF) conducted an investigation of
 gun trafficking from July 1996 to December 1998 and  found  that  almost
 26,000  trafficked firearms were associated with investigations in which
 there was a straw purchaser. Almost  50%  of  all  trafficking  investi-
 gations  involved straw purchasers, with an average of 37 firearms traf-
 ficked per investigation.  Another issue, according to a 2008 report  by
 Mayors  Against Illegal Guns, Inside Straw Purchasing: How Criminals Get
 Guns Illegally, is that many traffickers return to the same store  again
 and  again  once  they  have identified it as one in which they can make
 straw purchases easily.  According to the ATF, 1% of gun dealers are the
 source of almost 60% of crime guns.  Although ATF has not since released
 an updated report on straw purchases, a 2019 University of Chicago study
 found that, of those incarcerated for a gun-related crime, 58%  acquired
 their gun from a friend or acquaintance.
   5.    Although  most  gun dealers operate their businesses legally and
 responsibly, some gun dealers who are corrupt or maintain shoddy record-
 keeping practices flood the streets with illegal weapons as a result  of
 their  unrestricted access to new gun inventory and the unwillingness of
 gun manufacturers to terminate their  supply  to  these  rogue  dealers.
 Current  federal  and state regulation has not curbed the business prac-
 tice of illegal gun dealers. According to a 2004 study by Americans  for
 Gun  Safety,  of  the 120 worst gun dealers in the country, namely those
 dealers with an average of 500 crime guns traced to them, 96 were  still
 in operation.
   6.  Moreover,  this  problem is not limited to unlicensed sellers, and
 clearly includes federal firearms  licensees  (FFLs).  Indeed,  although
 FFLs were involved in under 10% of the trafficking investigations under-
 taken  by  ATF, they were associated with the largest number of diverted
 firearms--over 40,000 guns, which is nearly half of the total number  of
 trafficked  firearms  documented during the two-year period of the ATF's
 A. 837--A                           3

 investigation.  Additionally, a 2010 report by  Mayors  Against  Illegal
 Guns  indicated  that  several  states  which allow state authorities to
 supplement the federal ATF inspection with routine  inspections  provide
 law  enforcement with more opportunities to uncover dealers in violation
 of the law.  These inspections also help identify dealers  who  exercise
 lax  oversight  over their inventory and may lead to improved compliance
 with federal, state, and local laws.
   7. Current state  law  governing  firearm  dealers  is  inadequate  to
 prevent  the  diversion  of  firearms to the illegal marketplace.  Addi-
 tional protections that are needed include,  but  are  not  limited  to,
 better  gun dealer internal compliance procedures, programs to eliminate
 straw purchases, improved security measures, reducing youth access,  and
 mandatory training for gun dealer employees.  The additional protections
 set forth in this act will greatly enhance the state's efforts to reduce
 criminal activity in the state.
   § 2. The general business law is amended by adding a new article 39-BB
 to read as follows:
                               ARTICLE 39-BB
                 PREVENTING THE UNLAWFUL SALE OF FIREARMS,
        RIFLES, AND SHOTGUNS TO INDIVIDUALS WITH A CRIMINAL RECORD
 SECTION 875-A. DEFINITIONS.
         875-B. REASONABLE  MEASURES TO PREVENT UNLAWFUL SALES AND TRANS-
                  FERS TO INDIVIDUALS WITH A CRIMINAL RECORD.
         875-C. SECURITY.
         875-D. ACCESS TO FIREARMS, RIFLES, AND SHOTGUNS.
         875-E. LOCATION OF FIREARM, RIFLE, AND SHOTGUN SALES.
         875-F. EMPLOYEE TRAINING.
         875-G. MAINTENANCE OF RECORDS.
         875-H. INTERNAL COMPLIANCE AND CERTIFICATION.
         875-I. RULES AND REGULATIONS.
         875-J. VIOLATIONS.
   § 875-A. DEFINITIONS. FOR THE PURPOSES OF THIS ARTICLE:
   1. "DEALER" MEANS A GUNSMITH OR DEALERS IN FIREARMS LICENSED  PURSUANT
 TO SECTION 400.00 OF THE PENAL LAW.
   2.  "DISPOSE  OF"  MEANS  TO DISPOSE OF, GIVE, GIVE AWAY, LEASE, LEND,
 KEEP FOR SALE, OFFER, OFFER  FOR  SALE,  SELL,  TRANSFER,  OR  OTHERWISE
 DISPOSE OF.
   3.  "FIREARM" HAS THE SAME MEANING AS THAT TERM IS DEFINED IN SUBDIVI-
 SION THREE OF SECTION 265.00 OF THE PENAL LAW.
   4. "FIREARM EXHIBITOR" MEANS ANY  PERSON,  FIRM,  PARTNERSHIP,  CORPO-
 RATION,  OR COMPANY THAT EXHIBITS, SELLS, OFFERS FOR SALE, TRANSFERS, OR
 EXCHANGES FIREARMS, RIFLES, OR SHOTGUNS AT A GUN SHOW.
   5. "RIFLE" HAS THE SAME MEANING AS THAT TERM IS DEFINED IN SUBDIVISION
 ELEVEN OF SECTION 265.00 OF THE PENAL LAW.
   6. "SHOTGUN" HAS THE SAME MEANING AS THAT TERM IS DEFINED IN  SUBDIVI-
 SION TWELVE OF SECTION 265.00 OF THE PENAL LAW.
   7.  "STRAW  PURCHASE" MEANS THE PURCHASE, OR ATTEMPT TO PURCHASE, BY A
 PERSON OF A FIREARM, RIFLE, SHOTGUN OR AMMUNITION FOR, ON BEHALF OF,  OR
 FOR  THE  USE  OF  ANOTHER  PERSON  KNOWN OR UNKNOWN. THE TERM SHALL NOT
 INCLUDE A BONA FIDE GIFT TO A PERSON WHO IS NOT PROHIBITED FROM POSSESS-
 ING OR RECEIVING SUCH A FIREARM. FOR PURPOSES OF THE PRECEDING SENTENCE,
 A GIFT TO A PERSON IS NOT A BONA FIDE GIFT IF THE PERSON HAS OFFERED  OR
 GIVEN  THE  PURCHASER A SERVICE OR THING OF VALUE TO ACQUIRE THE FIREARM
 FOR THE PERSON.
   8. "STRAW PURCHASER" MEANS A  PERSON  WHO  PURCHASES  OR  ATTEMPTS  TO
 PURCHASE  A  FIREARM, RIFLE, SHOTGUN OR AMMUNITION FOR, ON BEHALF OF, OR
 A. 837--A                           4
 
 FOR THE USE OF SUCH OTHER PERSON KNOWN OR UNKNOWN, OTHER THAN AS A  BONA
 FIDE GIFT.
   9. "SUPERINTENDENT" MEANS THE SUPERINTENDENT OF STATE POLICE.
   §  875-B.  REASONABLE MEASURES TO PREVENT UNLAWFUL SALES AND TRANSFERS
 TO INDIVIDUALS WITH A CRIMINAL RECORD.   1.  EVERY  DEALER  SHALL  ADOPT
 REASONABLE MEASURES TO PREVENT FIREARMS, RIFLES, AND SHOTGUNS FROM BEING
 DIVERTED  FROM THE LEGAL STREAM OF COMMERCE, INTENTIONALLY OR OTHERWISE,
 FOR LATER SALE, TRANSFER, OR DISPOSAL TO INDIVIDUALS NOT  LEGALLY  ENTI-
 TLED  TO  PURCHASE OR POSSESS SUCH WEAPONS. SUCH MEASURES SHALL INCLUDE,
 BUT NEED NOT BE  LIMITED  TO,  PROGRAMS  TO  ELIMINATE  SALES  TO  STRAW
 PURCHASERS  AND  TO OTHERWISE THWART ILLEGAL GUN TRAFFICKING. THE SUPER-
 INTENDENT SHALL DEVELOP PROGRAMS DESIGNED TO ELIMINATE  SALES  TO  STRAW
 PURCHASERS  AND  TO OTHERWISE THWART ILLEGAL GUN TRAFFICKING. WITHIN SIX
 MONTHS OF THE EFFECTIVE DATE OF THIS ARTICLE, THE  SUPERINTENDENT  SHALL
 SUBMIT  A  REPORT  TO THE LEGISLATURE DETAILING SUCH PROGRAMS, INCLUDING
 ESTABLISHING MINIMUM REQUIREMENTS FOR SUCH PROGRAMS.
   2. EVERY DEALER SHALL CARRY INSURANCE COVERAGE AGAINST  LIABILITY  FOR
 DAMAGE  TO PROPERTY AND FOR INJURY TO OR DEATH OF ANY PERSON AS A RESULT
 OF THE SALE, DELIVERY, LEASE, OR TRANSFER OF A FIREARM, RIFLE, OR  SHOT-
 GUN  IN  AMOUNTS APPROPRIATE TO ITS LEVEL OF SALES, BUT NO LESS THAN ONE
 MILLION DOLLARS FOR EACH INCIDENT OF DAMAGE, INJURY, OR DEATH.
   § 875-C. SECURITY. 1.  EVERY DEALER SHALL IMPLEMENT  A  SECURITY  PLAN
 FOR  SECURING  FIREARMS, RIFLES AND SHOTGUNS, INCLUDING FIREARMS, RIFLES
 AND SHOTGUNS IN SHIPMENT. THE PLAN MUST SATISFY AT LEAST  THE  FOLLOWING
 REQUIREMENTS:
   (A)  DISPLAY CASES SHALL BE LOCKED AT ALL TIMES EXCEPT WHEN REMOVING A
 SINGLE FIREARM, RIFLE OR SHOTGUN TO SHOW A CUSTOMER, AND CUSTOMERS SHALL
 HANDLE FIREARMS, RIFLES OR SHOTGUNS ONLY UNDER THE DIRECT SUPERVISION OF
 AN EMPLOYEE;
   (B) ALL FIREARMS, RIFLES AND SHOTGUNS SHALL  BE  SECURED,  OTHER  THAN
 DURING  BUSINESS  HOURS,  IN  A  LOCKED  FIREPROOF  SAFE OR VAULT IN THE
 LICENSEE'S BUSINESS PREMISES OR IN A SIMILAR SECURED  AND  LOCKED  AREA;
 AND
   (C)  AMMUNITION  SHALL  BE STORED SEPARATELY FROM THE FIREARMS, RIFLES
 AND SHOTGUNS AND OUT OF REACH OF THE CUSTOMERS.
   2. (A) THE PERMITTED BUSINESS LOCATION SHALL BE SECURED  BY  AN  ALARM
 SYSTEM  THAT  IS  INSTALLED  AND MAINTAINED BY AN ALARM COMPANY OPERATOR
 PROPERLY LICENSED PURSUANT TO STATE LAW. THE ALARM SYSTEM MUST BE  MONI-
 TORED  BY  A  CENTRAL STATION LISTED BY UNDERWRITERS LABORATORIES, INC.,
 AND COVERED BY AN ACTIVE UNDERWRITERS LABORATORIES,  INC.  ALARM  SYSTEM
 CERTIFICATE  WITH  A  #3  EXTENT OF PROTECTION.   THE PERMITTED BUSINESS
 SHALL BE EQUIPPED WITH A VIDEO RECORDING DEVICE AT EACH  POINT  OF  SALE
 AND  ENTRANCE  AND  EXITS  TO THE PREMISES, WHICH SHALL BE RECORDED FROM
 BOTH THE INDOOR AND  OUTDOOR  VANTAGE  POINT  AND  SHALL  MAINTAIN  SUCH
 RECORDINGS FOR A PERIOD OF NOT LESS THAN TWO YEARS.
   (B)   UNDERWRITERS   LABORATORIES,  INC.  USES  THE  TERM  "EXTENT  OF
 PROTECTION" TO REFER TO THE AMOUNT  OF  ALARM  PROTECTION  INSTALLED  TO
 PROTECT  A  PARTICULAR AREA, ROOM OR CONTAINER. SYSTEMS WITH A #3 EXTENT
 OF PROTECTION INCLUDE COMPLETE PROTECTION FOR ALL  ACCESSIBLE  OPENINGS,
 AND  PARTIAL  MOTION  AND  SOUND DETECTION AT CERTAIN OTHER AREAS OF THE
 PREMISES. MORE INFORMATION MAY BE FOUND IN: CENTRAL STATION ALARM  ASSO-
 CIATION, A PRACTICAL GUIDE TO CENTRAL STATION BURGLAR ALARM SYSTEMS (3RD
 ED. 2005).
   § 875-D. ACCESS TO FIREARMS, RIFLES, AND SHOTGUNS. EVERY RETAIL DEALER
 SHALL  EXCLUDE  ALL  PERSONS  UNDER  EIGHTEEN  YEARS  OF  AGE FROM THOSE
 PORTIONS OF ITS PREMISES WHERE FIREARMS, RIFLES, SHOTGUNS, OR AMMUNITION
 A. 837--A                           5
 
 ARE STOCKED OR SOLD, UNLESS SUCH PERSON IS ACCOMPANIED BY  A  PARENT  OR
 GUARDIAN.
   §  875-E.  LOCATION OF FIREARM, RIFLE, AND SHOTGUN SALES. EVERY DEALER
 SHALL SELL OR OTHERWISE DISPOSE OF FIREARMS, RIFLES, AND  SHOTGUNS  ONLY
 AT  THE  LOCATION  LISTED ON THE DEALER'S FEDERAL FIREARMS LICENSE OR AT
 GUN SHOWS.
   § 875-F. EMPLOYEE TRAINING. 1.   EVERY DEALER SHALL  ANNUALLY  PROVIDE
 THE  TRAINING OUTLINED BY THE SUPERINTENDENT PURSUANT TO SUBDIVISION TWO
 OF THIS SECTION TO ALL NEW AND CURRENT  EMPLOYEES  AND  OTHER  PERSONNEL
 ENGAGED  IN  THE RETAIL SALE OF FIREARMS, RIFLES, AND SHOTGUNS.  DEALERS
 SHALL KEEP A RECORD OF THE COMPLETION OF  THIS  TRAINING  WHICH  MAY  BE
 REQUESTED AS PART OF THE CERTIFICATION PROCESS OUTLINED IN PARAGRAPH (B)
 OF SUBDIVISION ONE OF SECTION EIGHT HUNDRED SEVENTY-FIVE-H OF THIS ARTI-
 CLE.
   2.  THE  SUPERINTENDENT  SHALL  DEVELOP  AND  MAKE  AVAILABLE  TO EACH
 LICENSED DEALER, A TRAINING COURSE IN THE CONDUCT OF  FIREARM  TRANSFERS
 INCLUDING AT A MINIMUM THE FOLLOWING:
   (A)  FEDERAL  AND  STATE  LAWS  GOVERNING  FIREARM, RIFLE, AND SHOTGUN
 TRANSFERS.
   (B) HOW TO RECOGNIZE, IDENTIFY, RESPOND, AND REPORT  STRAW  PURCHASES,
 ILLEGAL PURCHASES, AND FRAUDULENT ACTIVITY.
   (C) HOW TO RECOGNIZE, IDENTIFY, RESPOND, AND REPORT AN INDIVIDUAL THAT
 INTENDS TO USE A FIREARM FOR UNLAWFUL PURPOSES, INCLUDING SELF-HARM.
   (D)  HOW TO PREVENT, RESPOND, AND REPORT THEFT OR BURGLARY OF FIREARMS
 AND AMMUNITION.
   (E) HOW TO EDUCATE CUSTOMERS ON RULES OF GUN SAFETY, INCLUDING BUT NOT
 LIMITED TO THE SAFE HANDLING AND STORAGE OF FIREARMS, RIFLES, AND  SHOT-
 GUNS.
   (F) SUCH OTHER TOPICS THE SUPERINTENDENT DEEMS NECESSARY AND APPROPRI-
 ATE.
   3.  NO EMPLOYEE OR AGENT OF ANY RETAIL DEALER SHALL PARTICIPATE IN THE
 SALE OR DISPOSITION OF FIREARMS, RIFLES, OR SHOTGUNS UNLESS SUCH  PERSON
 IS  AT LEAST TWENTY-ONE YEARS OF AGE AND HAS FIRST RECEIVED THE TRAINING
 REQUIRED BY THIS SECTION.  THE  SUPERINTENDENT  SHALL  PROMULGATE  REGU-
 LATIONS  SETTING  FORTH  MINIMUM  REQUIREMENTS  FOR  THE  MAINTENANCE OF
 RECORDS OF SUCH TRAINING.
   § 875-G.  MAINTENANCE OF RECORDS. EVERY  DEALER  SHALL  ESTABLISH  AND
 MAINTAIN A BOOK, OR IF THE DEALER SHOULD CHOOSE, ELECTRONIC-BASED RECORD
 OF  SUCH  PURCHASE,  SALE,  INVENTORY, AND OTHER RECORDS AT THE DEALER'S
 PLACE OF BUSINESS IN SUCH FORM AND FOR SUCH PERIOD AS THE SUPERINTENDENT
 SHALL REQUIRE, AND SHALL SUBMIT A COPY OF SUCH RECORDS TO THE  NEW  YORK
 STATE  POLICE  EVERY  APRIL AND OCTOBER. SUCH RECORDS SHALL AT A MINIMUM
 INCLUDE THE FOLLOWING:
   1. THE MAKE, MODEL, CALIBER OR GAUGE, MANUFACTURER'S NAME, AND  SERIAL
 NUMBER  OF  ALL RIFLES AND SHOTGUNS THAT ARE ACQUIRED OR DISPOSED OF NOT
 LATER THAN ONE BUSINESS DAY  AFTER  THEIR  ACQUISITION  OR  DISPOSITION.
 MONTHLY BACKUPS OF THESE RECORDS KEPT IN A BOOK SHALL BE MAINTAINED IN A
 SECURE CONTAINER DESIGNED TO PREVENT LOSS BY FIRE, THEFT, OR OTHER MISH-
 AP.    IF  THE  DEALER  CHOOSES  TO  MAINTAIN AN ELECTRONIC-BASED RECORD
 SYSTEM, THOSE RECORDS MUST BE BACKED UP ON AN EXTERNAL  SERVER  OR  OVER
 THE INTERNET AT THE CLOSE OF EACH BUSINESS DAY;
   2.  ALL  RIFLES  AND SHOTGUNS ACQUIRED BUT NOT YET DISPOSED OF MUST BE
 ACCOUNTED FOR THROUGH AN INVENTORY CHECK PREPARED ONCE  EACH  MONTH  AND
 MAINTAINED IN A SECURE LOCATION;
   3.  RIFLE  AND  SHOTGUN  DISPOSITION INFORMATION, INCLUDING THE SERIAL
 NUMBERS OF RIFLES AND SHOTGUNS SOLD, DATES  OF  SALE,  AND  IDENTITY  OF
 A. 837--A                           6
 
 PURCHASERS,  SHALL  BE  MAINTAINED  AND  MADE  AVAILABLE  AT ANY TIME TO
 GOVERNMENT LAW ENFORCEMENT AGENCIES AND TO THE MANUFACTURER OF THE WEAP-
 ON OR ITS DESIGNEE; AND
   4.  EVERY  DEALER SHALL MAINTAIN RECORDS OF CRIMINAL RIFLE AND SHOTGUN
 TRACES INITIATED BY THE FEDERAL BUREAU OF ALCOHOL, TOBACCO, FIREARMS AND
 EXPLOSIVES ("ATF"). ALL ATF  FORM  4473  TRANSACTION  RECORDS  SHALL  BE
 RETAINED  ON  THE  DEALER'S  BUSINESS  PREMISES  IN  A  SECURE CONTAINER
 DESIGNED TO PREVENT LOSS BY FIRE, THEFT, OR OTHER MISHAP.
   § 875-H. INTERNAL COMPLIANCE AND CERTIFICATION. 1. EVERY DEALER SHALL:
   (A) IMPLEMENT AND MAINTAIN SUFFICIENT INTERNAL  COMPLIANCE  PROCEDURES
 TO  ENSURE  COMPLIANCE  WITH  THE  REQUIREMENTS  OF THIS ARTICLE AND ALL
 APPLICABLE FEDERAL, STATE, AND LOCAL LAWS AND REGULATIONS GOVERNING  THE
 SALE, TRANSFER, AND DISPOSAL OF FIREARMS, RIFLES, AND SHOTGUNS; AND
   (B)  ANNUALLY  CERTIFY  TO  THE  SUPERINTENDENT  THAT  SUCH DEALER HAS
 COMPLIED WITH ALL OF THE REQUIREMENTS OF THIS ARTICLE.  THE  SUPERINTEN-
 DENT  SHALL  BY REGULATION DETERMINE THE FORM AND CONTENT OF SUCH ANNUAL
 CERTIFICATION.
   2. THE SUPERINTENDENT SHALL PROMULGATE REGULATIONS ESTABLISHING  PERI-
 ODIC  INSPECTIONS  OF NOT LESS THAN ONE INSPECTION OF EVERY DEALER EVERY
 THREE YEARS, DURING REGULAR AND USUAL BUSINESS HOURS, BY THE DIVISION OF
 STATE POLICE OF THE PREMISES OF EVERY DEALER TO DETERMINE COMPLIANCE  BY
 SUCH  DEALER  WITH  THE REQUIREMENTS OF THIS ARTICLE. EVERY DEALER SHALL
 PROVIDE THE DIVISION OF STATE POLICE WITH FULL ACCESS TO  SUCH  DEALER'S
 PREMISES FOR SUCH INSPECTIONS.
   § 875-I. RULES AND REGULATIONS. THE SUPERINTENDENT MAY PROMULGATE SUCH
 ADDITIONAL RULES AND REGULATIONS AS THE SUPERINTENDENT SHALL DEEM NECES-
 SARY  TO PREVENT FIREARMS, RIFLES, AND SHOTGUNS FROM BEING DIVERTED FROM
 THE LEGAL STREAM OF COMMERCE.
   § 875-J. VIOLATIONS. ANY PERSON, FIRM, OR  CORPORATION  WHO  KNOWINGLY
 VIOLATES  ANY  PROVISION  OF  THIS  ARTICLE SHALL BE GUILTY OF A CLASS A
 MISDEMEANOR PUNISHABLE AS PROVIDED FOR IN THE PENAL LAW.
   § 3. Subdivision 1 of section 400.00 of the penal law, as  amended  by
 chapter 1 of the laws of 2013, paragraph (c) as amended by chapter 60 of
 the laws of 2018, is amended to read as follows:
   1. Eligibility. No license shall be issued or renewed pursuant to this
 section  except  by  the licensing officer, and then only after investi-
 gation and finding that all statements in a  proper  application  for  a
 license  are  true.  No license shall be issued or renewed except for an
 applicant (a) twenty-one years of age or older, provided, however,  that
 where  such  applicant  has  been  honorably  discharged from the United
 States army, navy, marine corps,  air  force  or  coast  guard,  or  the
 national  guard  of the state of New York, no such age restriction shall
 apply; (b) of good moral character;  (c)  who  has  not  been  convicted
 anywhere  of  a felony or a serious offense or who is not the subject of
 an outstanding warrant of arrest issued upon the alleged commission of a
 felony or serious offense; (d) who is not a fugitive from  justice;  (e)
 who  is  not an unlawful user of or addicted to any controlled substance
 as defined in section 21 U.S.C. 802; (f) who being an alien (i)  is  not
 illegally or unlawfully in the United States or (ii) has not been admit-
 ted to the United States under a nonimmigrant visa subject to the excep-
 tion  in  18  U.S.C. 922(y)(2); (g) who has not been discharged from the
 Armed Forces under dishonorable conditions; (h) who, having been a citi-
 zen of the United States, has not renounced his or her citizenship;  (i)
 who  has  stated whether he or she has ever suffered any mental illness;
 (j) who has not been involuntarily committed to  a  facility  under  the
 jurisdiction  of  an office of the department of mental hygiene pursuant
 A. 837--A                           7
 
 to article nine or fifteen of the  mental  hygiene  law,  article  seven
 hundred  thirty or section 330.20 of the criminal procedure law, section
 four hundred two or five hundred eight of the  correction  law,  section
 322.2 or 353.4 of the family court act, or has not been civilly confined
 in  a  secure  treatment  facility pursuant to article ten of the mental
 hygiene law; (k) who has not had a license revoked or who is not under a
 suspension or ineligibility order issued pursuant to the  provisions  of
 section  530.14  of  the criminal procedure law or section eight hundred
 forty-two-a of the family court act; (l) in the county  of  Westchester,
 who  has  successfully  completed  a  firearms safety course and test as
 evidenced by a certificate of completion issued in his or her  name  and
 endorsed  and  affirmed under the penalties of perjury by a duly author-
 ized instructor, except that: (i) persons who are  honorably  discharged
 from  the  United  States army, navy, marine corps or coast guard, or of
 the national guard of the state of New York,  and  produce  evidence  of
 official  qualification  in  firearms during the term of service are not
 required to have completed those  hours  of  a  firearms  safety  course
 pertaining  to the safe use, carrying, possession, maintenance and stor-
 age of a firearm; and (ii) persons who were licensed to possess a pistol
 or revolver prior to the  effective  date  of  this  paragraph  are  not
 required  to  have  completed a firearms safety course and test; (m) who
 has not had a  guardian  appointed  for  him  or  her  pursuant  to  any
 provision  of  state  law,  based on a determination that as a result of
 marked subnormal intelligence, mental illness, incapacity, condition  or
 disease,  he  or she lacks the mental capacity to contract or manage his
 or her own affairs; and (n) concerning whom no good cause exists for the
 denial of the license.  No  person  shall  engage  in  the  business  of
 gunsmith or dealer in firearms unless licensed pursuant to this section,
 AND  NO PERSON SHALL ENGAGE IN THE BUSINESS OF DEALER IN FIREARMS UNLESS
 SUCH PERSON COMPLIES WITH THE PROVISIONS OF  ARTICLE  THIRTY-NINE-BB  OF
 THE GENERAL BUSINESS LAW.  An applicant to engage in such business shall
 also  be  a  citizen of the United States, more than twenty-one years of
 age and maintain a place of business in the city  or  county  where  the
 license  is  issued.  For  such  business, if the applicant is a firm or
 partnership, each member thereof shall comply with all of  the  require-
 ments  set  forth  in  this subdivision and if the applicant is a corpo-
 ration, each officer thereof shall so comply.
   § 4. Subdivisions 11 and 12 of section 400.00 of the penal law, subdi-
 vision 11 as amended by chapter 1 of the laws of 2013 and subdivision 12
 as amended by chapter 129 of the laws of 2019, are amended  to  read  as
 follows:
   11. License: revocation and suspension. (a) The conviction of a licen-
 see  anywhere  of  a felony or serious offense or a licensee at any time
 becoming ineligible to obtain a license under this section shall operate
 as a revocation of the license. A license may be revoked or suspended as
 provided for in section 530.14 of the criminal procedure law or  section
 eight  hundred forty-two-a of the family court act. Except for a license
 issued pursuant to section 400.01 of this  article,  a  license  may  be
 revoked  and  cancelled  at any time in the city of New York, and in the
 counties of Nassau and Suffolk, by the licensing officer, and  elsewhere
 than  in  the  city  of  New  York by any judge or justice of a court of
 record; a license issued pursuant to section 400.01 of this article  may
 be  revoked  and  cancelled  at any time by the licensing officer or any
 judge or justice of a court of record. A LICENSE TO ENGAGE IN THE  BUSI-
 NESS  OF  DEALER  MAY  BE  REVOKED OR SUSPENDED FOR ANY VIOLATION OF THE
 PROVISIONS OF ARTICLE THIRTY-NINE-BB OF THE GENERAL  BUSINESS  LAW.  The
 A. 837--A                           8
 
 official  revoking  a  license shall give written notice thereof without
 unnecessary delay to the executive department, division of state police,
 Albany, and shall also notify immediately the  duly  constituted  police
 authorities of the locality.
   (b) Whenever the director of community services or his or her designee
 makes  a  report pursuant to section 9.46 of the mental hygiene law, the
 division of criminal justice services  shall  convey  such  information,
 whenever  it  determines that the person named in the report possesses a
 license issued pursuant to this section, to  the  appropriate  licensing
 official, who shall issue an order suspending or revoking such license.
   (c)  In  any  instance  in  which  a  person's license is suspended or
 revoked under paragraph (a) or (b)  of  this  subdivision,  such  person
 shall  surrender  such license to the appropriate licensing official and
 any and all firearms, rifles, or shotguns owned  or  possessed  by  such
 person  shall be surrendered to an appropriate law enforcement agency as
 provided in subparagraph (f)  of  paragraph  one  of  subdivision  a  of
 section  265.20  of  this  chapter.  In the event such license, firearm,
 shotgun, or rifle is not surrendered, such items shall  be  removed  and
 declared  a  nuisance  and  any  police  officer or peace officer acting
 pursuant to his or her special duties is authorized to  remove  any  and
 all such weapons.
   12.  Records  required  of gunsmiths and dealers in firearms. [Any] IN
 ADDITION TO THE REQUIREMENTS SET FORTH IN ARTICLE THIRTY-NINE-BB OF  THE
 GENERAL  BUSINESS  LAW,  ANY  person  licensed  as gunsmith or dealer in
 firearms shall keep a record book approved as to  form,  except  in  the
 city  of  New York, by the superintendent of state police. In the record
 book shall be entered at the  time  of  every  transaction  involving  a
 firearm the date, name, age, occupation and residence of any person from
 whom  a  firearm  is received or to whom a firearm is delivered, and the
 calibre, make, model, manufacturer's name and serial number, or if none,
 any other distinguishing number or identification mark on such  firearm.
 Before  delivering  a  firearm to any person, the licensee shall require
 him to produce either a license valid under this  section  to  carry  or
 possess  the  same,  or  proof  of  lawful authority as an exempt person
 pursuant to section 265.20 of this chapter and either (a)  the  National
 Instant  Criminal  Background  Check  System (NICS) or its successor has
 issued a "proceed" response to the licensee, or (b) thirty calendar days
 have elapsed since the date the licensee contacted NICS  to  initiate  a
 national instant criminal background check and NICS has not notified the
 licensee  that  the  transfer  of  the  firearm to such person should be
 denied. In addition, before delivering a firearm to a peace officer, the
 licensee shall verify that person's status as a peace officer  with  the
 division  of  state police. After completing the foregoing, the licensee
 shall remove and retain the attached coupon and enter in the record book
 the date of such license, number, if any,  and  name  of  the  licensing
 officer,  in the case of the holder of a license to carry or possess, or
 the shield or other number, if any, assignment and department,  unit  or
 agency, in the case of an exempt person. The original transaction report
 shall  be  forwarded  to the division of state police within ten days of
 delivering a firearm to any person, and a duplicate copy shall  be  kept
 by  the  licensee. The superintendent of state police may designate that
 such record shall be completed and transmitted  in  electronic  form.  A
 dealer  may  be granted a waiver from transmitting such records in elec-
 tronic form if the superintendent determines that such dealer is incapa-
 ble of such transmission due to technological limitations that  are  not
 reasonably  within  the  control  of  the  dealer,  or other exceptional
 A. 837--A                           9
 
 circumstances demonstrated by the dealer, pursuant to a  process  estab-
 lished  in  regulation,  and  at  the  discretion of the superintendent.
 Records assembled or collected for purposes of inclusion in the database
 created  pursuant to section 400.02 of this article shall not be subject
 to disclosure pursuant to article six of the public  officers  law.  The
 record  book shall be maintained on the premises mentioned and described
 in the license and shall be open at all reasonable hours for  inspection
 by  any  peace officer, acting pursuant to his special duties, or police
 officer. In the event of cancellation or revocation of the  license  for
 gunsmith  or  dealer  in  firearms,  or  discontinuance of business by a
 licensee, such record book  shall  be  immediately  surrendered  to  the
 licensing officer in the city of New York, and in the counties of Nassau
 and  Suffolk,  and  elsewhere  in the state to the executive department,
 division of state police.
   § 5. Severability. If any clause, sentence, paragraph, section or part
 of this act shall be adjudged by any court of competent jurisdiction  to
 be  invalid,  such  judgment  shall not affect, impair or invalidate the
 remainder thereof, but shall be confined in its operation to the clause,
 sentence, paragraph, section or part thereof directly  involved  in  the
 controversy in which such judgment shall have been rendered.
   § 6. This act shall take effect on the one hundred eightieth day after
 it  shall have become a law. Effective immediately, the addition, amend-
 ment and/or repeal of any rule or regulation for the  implementation  of
 section  two of this act on its effective date are authorized to be made
 on or before such effective date.

                             
                     S T A T E   O F   N E W   Y O R K
 ________________________________________________________________________
 
                                  837--B
 
                        2021-2022 Regular Sessions
 
                           I N  A S S E M B L Y
 
                                (PREFILED)
 
                              January 6, 2021
                                ___________
 
 Introduced by M. of A. PAULIN, RAMOS, ENGLEBRIGHT, L. ROSENTHAL, ABINAN-
   TI,  COLTON,  DINOWITZ,  STECK,  SEAWRIGHT, FAHY, CYMBROWITZ -- Multi-
   Sponsored by -- M.   of A. GOTTFRIED,  MAGNARELLI  --  read  once  and
   referred  to  the  Committee on Economic Development -- recommitted to
   the Committee on Economic Development in accordance with Assembly Rule
   3, sec. 2 -- committee discharged, bill amended, ordered reprinted  as
   amended  and recommitted to said committee -- again reported from said
   committee with amendments, ordered reprinted as amended and  recommit-
   ted to said committee
 
 AN  ACT to amend the general business law and the penal law, in relation
   to preventing the unlawful sale of firearms, rifles, and  shotguns  to
   individuals with a criminal record
 
   THE  PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
 BLY, DO ENACT AS FOLLOWS:
 
   Section 1. Legislative findings and declaration. The legislature here-
 by finds and declares as follows:
   1. Guns--including firearms, rifles and  shotguns--are  used  to  kill
 almost 40,000 individuals in the United States every year, including 800
 individuals  in  New  York  state alone. Additionally, there are 115,000
 non-fatal injuries across the country.  Gun violence also costs billions
 of dollars and  causes   incalculable emotional   damage,    devastating
 families and communities throughout the country. In spite of the efforts
 of  many  individual  federal officials, the federal government has been
 unwilling to enact legislation to address this public health crisis  and
 has left it up to state and local governments to do so. The state of New
 York  has a strong interest in reducing violence and crimes that involve
 the use of guns and  the  illegal  trafficking  of  guns.  Illegal  guns
 obtained throughout the state end up in the hands of individuals who are
 prohibited  from possessing them because of their criminal record, their
 
  EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                       [ ] is old law to be omitted.
                                                            LBD01985-07-2
              

 A. 837--B                           2
 
 youth, their particular mental health, or a protective order. Such ille-
 gal guns are often used to threaten, maim and kill New Yorkers.
   2.  There  is a thriving underground market for illegal guns, which is
 leading to shootings that  are  disproportionately  impacting  under-re-
 sourced  Black  and brown communities. A highly efficient and continuous
 business practice exists in which guns are moved from legal  manufacture
 and  sale to prohibited purchasers, making them illegal guns.  According
 to a recent report of the New York state attorney general, 52,915  crime
 guns  were  recovered  by  law enforcement in New York between 2010-2015
 (Target on Trafficking, New York Crime Gun Analysis, October 2016, here-
 inafter the "2016 AG Report"). Of these crime guns, 13,188 or  25%  were
 long  guns.  Outside New York City, long guns are sold without a permit.
 The 2016 AG Report further found that 90% of the  crime  guns  recovered
 were  recovered  in  seven  distinct  markets:  New York City, the lower
 Hudson Valley (including the cities of Yonkers, White  Plains,  Newburgh
 and  Poughkeepsie), the Capital Region (including Albany, Troy and Sche-
 nectady), Syracuse, Rochester and Buffalo. Although  74%  of  the  crime
 guns  recovered  statewide were from out of state, a significant portion
 of guns involved in crimes upstate originate within the state. For exam-
 ple, according to the 2016 AG Report, 41% of crime guns in  the  Buffalo
 area  and  56% of crime guns in the Rochester area originated within New
 York state.
   3. Youth are particularly at risk of being killed with guns.   Accord-
 ing to the Centers for Disease Control and Prevention, in 2019 alone, 40
 children  and  teens (under the age of 19) died from gun violence in New
 York state.
   4. A substantial portion of illegal guns are diverted to  the  illegal
 market  through  licensed gun dealers. Rogue gun dealers play a key role
 in this market. These rogue dealers funnel guns to  the  illegal  market
 through  a variety of channels. One of the most common means is to allow
 "straw purchases". A straw purchase occurs when a person purchases a gun
 on behalf of a prohibited person.   In  2000,  the  Bureau  of  Alcohol,
 Tobacco,  Firearms,  and  Explosives (ATF) conducted an investigation of
 gun trafficking from July 1996 to December 1998 and  found  that  almost
 26,000  trafficked  guns  were  associated  with investigations in which
 there was a straw purchaser. Almost  50%  of  all  trafficking  investi-
 gations involved straw purchasers, with an average of 37 guns trafficked
 per  investigation.  Another issue, according to a 2008 report by Mayors
 Against Illegal Guns, Inside Straw Purchasing: How  Criminals  Get  Guns
 Illegally,  is  that many traffickers return to the same store again and
 again once they have identified it as one in which they can  make  straw
 purchases  easily.    According  to  the  ATF, 1% of gun dealers are the
 source of almost 60% of crime guns.  Although ATF has not since released
 an updated report on straw purchases, a 2019 University of Chicago study
 found that of those incarcerated for a gun-related crime,  58%  acquired
 their gun from a friend or acquaintance.
   5.    Although  most  gun dealers operate their businesses legally and
 responsibly, some gun dealers who are corrupt or maintain shoddy record-
 keeping practices flood the streets with illegal guns  as  a  result  of
 their  unrestricted access to new gun inventory and the unwillingness of
 gun manufacturers to terminate their  supply  to  these  rogue  dealers.
 Current  federal  and state regulation has not curbed the business prac-
 tice of illegal gun dealers. According to a 2004 study by Americans  for
 Gun  Safety,  of  the 120 worst gun dealers in the country, namely those
 dealers with an average of 500 crime guns traced to them, 96 were  still
 in operation.
 A. 837--B                           3
 
   6.  Moreover,  this  problem is not limited to unlicensed sellers, and
 clearly includes federal firearms  licensees  (FFLs).  Indeed,  although
 FFLs were involved in under 10% of the trafficking investigations under-
 taken by ATF, they were associated with 40,000 diverted guns nearly half
 of  the  total  number of trafficked guns documented during the two-year
 period of the ATF's investigation.    Additionally,  a  2010  report  by
 Mayors  Against  Illegal  Guns  indicated that several states that allow
 state authorities to supplement the federal ATF inspection with  routine
 inspections  provide  law enforcement with more opportunities to uncover
 dealers in violation of the law.  These inspections also  help  identify
 dealers  who exercise lax oversight over their inventory and may lead to
 improved compliance with federal, state, and local laws.
   7. Current state law governing gun dealers is  inadequate  to  prevent
 the   diversion   of  guns  to  the  illegal  marketplace.    Additional
 protections that are needed include better gun dealer  internal  compli-
 ance procedures, programs to eliminate straw purchases, improved securi-
 ty measures, reduced youth access, and mandatory training for gun dealer
 employees.  The additional protections set forth in this act will great-
 ly  enhance the state's efforts to stop gun violence and criminal activ-
 ity in New York.
   § 2. The general business law is amended by adding a new article 39-BB
 to read as follows:
                               ARTICLE 39-BB
                 PREVENTING THE UNLAWFUL SALE OF FIREARMS,
        RIFLES, AND SHOTGUNS TO INDIVIDUALS WITH A CRIMINAL RECORD
 SECTION 875-A. DEFINITIONS.
         875-B. REASONABLE MEASURES TO PREVENT UNLAWFUL SALES AND  TRANS-
                  FERS  TO INDIVIDUALS WHO ARE PROHIBITED FROM PURCHASING
                  OR POSSESSING FIREARMS, RIFLES, AND SHOTGUNS.
         875-C. SECURITY.
         875-D. ACCESS TO FIREARMS, RIFLES, AND SHOTGUNS.
         875-E. LOCATION OF FIREARM, RIFLE, AND SHOTGUN SALES.
         875-F. EMPLOYEE TRAINING.
         875-G. MAINTENANCE OF RECORDS.
         875-H. INTERNAL COMPLIANCE AND CERTIFICATION.
         875-I. RULES AND REGULATIONS.
         875-J. VIOLATIONS.
   § 875-A. DEFINITIONS. FOR THE PURPOSES OF THIS ARTICLE:
   1. "DEALER" MEANS A GUNSMITH OR DEALERS IN FIREARMS LICENSED  PURSUANT
 TO SECTION 400.00 OF THE PENAL LAW.
   2.  "DISPOSE  OF"  MEANS  TO DISPOSE OF, GIVE, GIVE AWAY, LEASE, LEND,
 KEEP FOR SALE, OFFER, OFFER  FOR  SALE,  SELL,  TRANSFER,  OR  OTHERWISE
 DISPOSE OF.
   3.  "FIREARM" HAS THE SAME MEANING AS THAT TERM IS DEFINED IN SUBDIVI-
 SION THREE OF SECTION 265.00 OF THE PENAL LAW.
   4. "FIREARM EXHIBITOR" MEANS ANY  PERSON,  FIRM,  PARTNERSHIP,  CORPO-
 RATION,  OR COMPANY THAT EXHIBITS, SELLS, OFFERS FOR SALE, TRANSFERS, OR
 EXCHANGES FIREARMS, RIFLES, OR SHOTGUNS AT A GUN SHOW.
   5. "RIFLE" HAS THE SAME MEANING AS THAT TERM IS DEFINED IN SUBDIVISION
 ELEVEN OF SECTION 265.00 OF THE PENAL LAW.
   6. "SHOTGUN" HAS THE SAME MEANING AS THAT TERM IS DEFINED IN  SUBDIVI-
 SION TWELVE OF SECTION 265.00 OF THE PENAL LAW.
   7.  "STRAW  PURCHASE" MEANS THE PURCHASE, OR ATTEMPT TO PURCHASE, BY A
 PERSON OF A FIREARM, RIFLE, SHOTGUN OR AMMUNITION FOR, ON BEHALF OF,  OR
 FOR  THE  USE  OF  ANOTHER  PERSON  KNOWN OR UNKNOWN. THE TERM SHALL NOT
 INCLUDE A BONA FIDE GIFT TO A PERSON WHO IS NOT PROHIBITED FROM POSSESS-
 A. 837--B                           4
 
 ING OR RECEIVING SUCH A FIREARM. FOR PURPOSES OF THE PRECEDING SENTENCE,
 A GIFT TO A PERSON IS NOT A BONA FIDE GIFT IF THE PERSON HAS OFFERED  OR
 GIVEN  THE  PURCHASER A SERVICE OR THING OF VALUE TO ACQUIRE THE FIREARM
 FOR THE PERSON.
   8.  "STRAW  PURCHASER"  MEANS  A  PERSON  WHO PURCHASES OR ATTEMPTS TO
 PURCHASE A FIREARM, RIFLE, SHOTGUN OR AMMUNITION FOR, ON BEHALF  OF,  OR
 FOR  THE USE OF SUCH OTHER PERSON KNOWN OR UNKNOWN, OTHER THAN AS A BONA
 FIDE GIFT.
   9. "SUPERINTENDENT" MEANS THE SUPERINTENDENT OF STATE POLICE.
   § 875-B. REASONABLE MEASURES TO PREVENT UNLAWFUL SALES  AND  TRANSFERS
 TO   INDIVIDUALS  WHO  ARE  PROHIBITED  FROM  PURCHASING  OR  POSSESSING
 FIREARMS, RIFLES, AND SHOTGUNS.  EVERY  DEALER  SHALL  ADOPT  REASONABLE
 MEASURES  TO  PREVENT FIREARMS, RIFLES, AND SHOTGUNS FROM BEING DIVERTED
 FROM THE LEGAL STREAM OF COMMERCE, INTENTIONALLY OR OTHERWISE, FOR LATER
 SALE, TRANSFER, OR DISPOSAL  TO  INDIVIDUALS  NOT  LEGALLY  ENTITLED  TO
 PURCHASE  OR POSSESS SUCH WEAPONS. SUCH MEASURES SHALL INCLUDE, BUT NEED
 NOT BE LIMITED TO, PROGRAMS TO ELIMINATE SALES TO STRAW  PURCHASERS  AND
 TO  OTHERWISE  THWART  ILLEGAL GUN TRAFFICKING. THE SUPERINTENDENT SHALL
 DEVELOP PROGRAMS DESIGNED TO ELIMINATE SALES TO STRAW PURCHASERS AND  TO
 OTHERWISE  THWART  ILLEGAL  GUN  TRAFFICKING.  WITHIN  SIX MONTHS OF THE
 EFFECTIVE DATE OF THIS ARTICLE, THE SUPERINTENDENT SHALL SUBMIT A REPORT
 TO THE LEGISLATURE DETAILING SUCH PROGRAMS, INCLUDING ESTABLISHING MINI-
 MUM REQUIREMENTS FOR SUCH PROGRAMS.
   § 875-C. SECURITY. 1.  EVERY DEALER SHALL IMPLEMENT  A  SECURITY  PLAN
 FOR  SECURING  FIREARMS, RIFLES AND SHOTGUNS, INCLUDING FIREARMS, RIFLES
 AND SHOTGUNS IN SHIPMENT. THE PLAN MUST SATISFY AT LEAST  THE  FOLLOWING
 REQUIREMENTS:
   (A)  DISPLAY CASES SHALL BE LOCKED AT ALL TIMES EXCEPT WHEN REMOVING A
 SINGLE FIREARM, RIFLE OR SHOTGUN TO SHOW A CUSTOMER, AND CUSTOMERS SHALL
 HANDLE FIREARMS, RIFLES OR SHOTGUNS ONLY UNDER THE DIRECT SUPERVISION OF
 AN EMPLOYEE;
   (B) ALL FIREARMS, RIFLES AND SHOTGUNS SHALL  BE  SECURED,  OTHER  THAN
 DURING  BUSINESS  HOURS,  IN  A  LOCKED  FIREPROOF  SAFE OR VAULT IN THE
 LICENSEE'S BUSINESS PREMISES OR IN A SIMILAR SECURED  AND  LOCKED  AREA;
 AND
   (C)  AMMUNITION  SHALL  BE STORED SEPARATELY FROM FIREARMS, RIFLES AND
 SHOTGUNS AND OUT OF REACH OF CUSTOMERS.
   2. (A) THE PERMITTED BUSINESS LOCATION SHALL BE SECURED  BY  AN  ALARM
 SYSTEM  THAT  IS  INSTALLED  AND MAINTAINED BY AN ALARM COMPANY OPERATOR
 PROPERLY LICENSED PURSUANT TO STATE LAW. THE ALARM SYSTEM MUST BE  MONI-
 TORED  BY  A  CENTRAL STATION LISTED BY UNDERWRITERS LABORATORIES, INC.,
 AND COVERED BY AN ACTIVE UNDERWRITERS LABORATORIES,  INC.  ALARM  SYSTEM
 CERTIFICATE  WITH  A  #3  EXTENT OF PROTECTION.   THE PERMITTED BUSINESS
 SHALL BE EQUIPPED WITH A VIDEO RECORDING DEVICE AT EACH  POINT  OF  SALE
 AND  ENTRANCE  AND  EXITS  TO THE PREMISES, WHICH SHALL BE RECORDED FROM
 BOTH THE INDOOR AND  OUTDOOR  VANTAGE  POINT  AND  SHALL  MAINTAIN  SUCH
 RECORDINGS FOR A PERIOD OF NOT LESS THAN TWO YEARS.
   (B)   UNDERWRITERS   LABORATORIES,  INC.  USES  THE  TERM  "EXTENT  OF
 PROTECTION" TO REFER TO THE AMOUNT  OF  ALARM  PROTECTION  INSTALLED  TO
 PROTECT  A  PARTICULAR AREA, ROOM OR CONTAINER. SYSTEMS WITH A #3 EXTENT
 OF PROTECTION INCLUDE COMPLETE PROTECTION FOR ALL  ACCESSIBLE  OPENINGS,
 AND  PARTIAL  MOTION  AND  SOUND DETECTION AT CERTAIN OTHER AREAS OF THE
 PREMISES. MORE INFORMATION MAY BE FOUND IN: CENTRAL STATION ALARM  ASSO-
 CIATION, A PRACTICAL GUIDE TO CENTRAL STATION BURGLAR ALARM SYSTEMS (3RD
 ED. 2005).
 A. 837--B                           5
 
   § 875-D. ACCESS TO FIREARMS, RIFLES, AND SHOTGUNS. EVERY RETAIL DEALER
 SHALL  EXCLUDE  ALL  PERSONS  UNDER  EIGHTEEN  YEARS  OF  AGE FROM THOSE
 PORTIONS OF ITS PREMISES WHERE FIREARMS, RIFLES, SHOTGUNS, OR AMMUNITION
 ARE STOCKED OR SOLD, UNLESS SUCH PERSON IS ACCOMPANIED BY  A  PARENT  OR
 GUARDIAN.
   §  875-E.  LOCATION OF FIREARM, RIFLE, AND SHOTGUN SALES. EVERY DEALER
 SHALL SELL OR OTHERWISE DISPOSE OF FIREARMS, RIFLES, AND  SHOTGUNS  ONLY
 AT  THE  LOCATION  LISTED ON THE DEALER'S FEDERAL FIREARMS LICENSE OR AT
 GUN SHOWS.
   § 875-F. EMPLOYEE TRAINING. 1.   EVERY DEALER SHALL  ANNUALLY  PROVIDE
 THE  TRAINING OUTLINED BY THE SUPERINTENDENT PURSUANT TO SUBDIVISION TWO
 OF THIS SECTION TO ALL NEW AND CURRENT  EMPLOYEES  AND  OTHER  PERSONNEL
 ENGAGED  IN  THE RETAIL SALE OF FIREARMS, RIFLES, AND SHOTGUNS.  DEALERS
 SHALL KEEP A RECORD OF THE COMPLETION OF  THIS  TRAINING  WHICH  MAY  BE
 REQUESTED AS PART OF THE CERTIFICATION PROCESS OUTLINED IN PARAGRAPH (B)
 OF SUBDIVISION ONE OF SECTION EIGHT HUNDRED SEVENTY-FIVE-H OF THIS ARTI-
 CLE.
   2.  THE  SUPERINTENDENT  SHALL  DEVELOP  AND  MAKE  AVAILABLE  TO EACH
 LICENSED DEALER, A TRAINING COURSE IN THE CONDUCT OF FIREARM, RIFLE, AND
 SHOTGUN TRANSFERS INCLUDING AT A MINIMUM THE FOLLOWING:
   (A) FEDERAL AND STATE  LAWS  GOVERNING  FIREARM,  RIFLE,  AND  SHOTGUN
 TRANSFERS.
   (B)  HOW  TO RECOGNIZE, IDENTIFY, RESPOND, AND REPORT STRAW PURCHASES,
 ILLEGAL PURCHASES, AND FRAUDULENT ACTIVITY.
   (C) HOW TO RECOGNIZE, IDENTIFY, RESPOND, AND REPORT AN INDIVIDUAL  WHO
 INTENDS  TO  USE  A  FIREARM,  RIFLE,  OR SHOTGUN FOR UNLAWFUL PURPOSES,
 INCLUDING SELF-HARM.
   (D) HOW TO PREVENT, RESPOND, AND REPORT THEFT OR BURGLARY OF FIREARMS,
 RIFLES, SHOTGUNS, AND AMMUNITION.
   (E) HOW TO EDUCATE CUSTOMERS ON RULES OF GUN SAFETY, INCLUDING BUT NOT
 LIMITED TO THE SAFE HANDLING AND STORAGE OF FIREARMS, RIFLES, AND  SHOT-
 GUNS.
   (F) SUCH OTHER TOPICS THE SUPERINTENDENT DEEMS NECESSARY AND APPROPRI-
 ATE.
   3.  NO EMPLOYEE OR AGENT OF ANY RETAIL DEALER SHALL PARTICIPATE IN THE
 SALE OR DISPOSITION OF FIREARMS, RIFLES, OR SHOTGUNS UNLESS SUCH  PERSON
 IS  AT LEAST TWENTY-ONE YEARS OF AGE AND HAS FIRST RECEIVED THE TRAINING
 REQUIRED BY THIS SECTION.  THE  SUPERINTENDENT  SHALL  PROMULGATE  REGU-
 LATIONS  SETTING  FORTH  MINIMUM  REQUIREMENTS  FOR  THE  MAINTENANCE OF
 RECORDS OF SUCH TRAINING.
   § 875-G.  MAINTENANCE OF RECORDS. EVERY  DEALER  SHALL  ESTABLISH  AND
 MAINTAIN A BOOK, OR IF THE DEALER SHOULD CHOOSE, ELECTRONIC-BASED RECORD
 OF  SUCH  PURCHASE,  SALE,  INVENTORY, AND OTHER RECORDS AT THE DEALER'S
 PLACE OF BUSINESS IN SUCH FORM AND FOR SUCH PERIOD AS THE SUPERINTENDENT
 SHALL REQUIRE, AND SHALL SUBMIT A COPY OF SUCH RECORDS TO THE  NEW  YORK
 STATE  POLICE  EVERY  APRIL AND OCTOBER. SUCH RECORDS SHALL AT A MINIMUM
 INCLUDE THE FOLLOWING:
   1. THE MAKE, MODEL, CALIBER OR GAUGE, MANUFACTURER'S NAME, AND  SERIAL
 NUMBER  OF  ALL RIFLES AND SHOTGUNS THAT ARE ACQUIRED OR DISPOSED OF NOT
 LATER THAN ONE BUSINESS DAY  AFTER  THEIR  ACQUISITION  OR  DISPOSITION.
 MONTHLY BACKUPS OF THESE RECORDS KEPT IN A BOOK SHALL BE MAINTAINED IN A
 SECURE CONTAINER DESIGNED TO PREVENT LOSS BY FIRE, THEFT, OR OTHER MISH-
 AP.    IF  THE  DEALER  CHOOSES  TO  MAINTAIN AN ELECTRONIC-BASED RECORD
 SYSTEM, THOSE RECORDS MUST BE BACKED UP ON AN EXTERNAL  SERVER  OR  OVER
 THE INTERNET AT THE CLOSE OF EACH BUSINESS DAY;
 A. 837--B                           6
 
   2.  ALL  RIFLES  AND SHOTGUNS ACQUIRED BUT NOT YET DISPOSED OF MUST BE
 ACCOUNTED FOR THROUGH AN INVENTORY CHECK PREPARED ONCE  EACH  MONTH  AND
 MAINTAINED IN A SECURE LOCATION;
   3.  RIFLE  AND  SHOTGUN  DISPOSITION INFORMATION, INCLUDING THE SERIAL
 NUMBERS OF RIFLES AND SHOTGUNS SOLD, DATES  OF  SALE,  AND  IDENTITY  OF
 PURCHASERS,  SHALL  BE  MAINTAINED  AND  MADE  AVAILABLE  AT ANY TIME TO
 GOVERNMENT LAW ENFORCEMENT AGENCIES AND TO THE MANUFACTURER OF THE WEAP-
 ON OR ITS DESIGNEE; AND
   4. EVERY DEALER SHALL MAINTAIN RECORDS OF CRIMINAL RIFLE  AND  SHOTGUN
 TRACES INITIATED BY THE FEDERAL BUREAU OF ALCOHOL, TOBACCO, FIREARMS AND
 EXPLOSIVES  ("ATF").  ALL  ATF  FORM  4473  TRANSACTION RECORDS SHALL BE
 RETAINED ON  THE  DEALER'S  BUSINESS  PREMISES  IN  A  SECURE  CONTAINER
 DESIGNED TO PREVENT LOSS BY FIRE, THEFT, OR OTHER MISHAP.
   § 875-H. INTERNAL COMPLIANCE AND CERTIFICATION. 1. EVERY DEALER SHALL:
   (A)  IMPLEMENT  AND MAINTAIN SUFFICIENT INTERNAL COMPLIANCE PROCEDURES
 TO ENSURE COMPLIANCE WITH THE  REQUIREMENTS  OF  THIS  ARTICLE  AND  ALL
 APPLICABLE  FEDERAL, STATE, AND LOCAL LAWS AND REGULATIONS GOVERNING THE
 SALE, TRANSFER, AND DISPOSAL OF FIREARMS, RIFLES, AND SHOTGUNS; AND
   (B) ANNUALLY CERTIFY  TO  THE  SUPERINTENDENT  THAT  SUCH  DEALER  HAS
 COMPLIED  WITH  ALL OF THE REQUIREMENTS OF THIS ARTICLE. THE SUPERINTEN-
 DENT SHALL BY REGULATION DETERMINE THE FORM AND CONTENT OF  SUCH  ANNUAL
 CERTIFICATION.
   2.  THE SUPERINTENDENT SHALL PROMULGATE REGULATIONS ESTABLISHING PERI-
 ODIC INSPECTIONS OF NOT LESS THAN ONE INSPECTION OF EVERY  DEALER  EVERY
 THREE YEARS, DURING REGULAR AND USUAL BUSINESS HOURS, BY THE DIVISION OF
 STATE  POLICE OF THE PREMISES OF EVERY DEALER TO DETERMINE COMPLIANCE BY
 SUCH DEALER WITH THE REQUIREMENTS OF THIS ARTICLE.  EVERY  DEALER  SHALL
 PROVIDE  THE  DIVISION OF STATE POLICE WITH FULL ACCESS TO SUCH DEALER'S
 PREMISES FOR SUCH INSPECTIONS.
   § 875-I. RULES AND REGULATIONS. THE SUPERINTENDENT MAY PROMULGATE SUCH
 ADDITIONAL RULES AND REGULATIONS AS THE SUPERINTENDENT SHALL DEEM NECES-
 SARY TO PREVENT FIREARMS, RIFLES, AND SHOTGUNS FROM BEING DIVERTED  FROM
 THE LEGAL STREAM OF COMMERCE.
   §  875-J.  VIOLATIONS.  ANY PERSON, FIRM, OR CORPORATION WHO KNOWINGLY
 VIOLATES ANY PROVISION OF THIS ARTICLE SHALL BE  GUILTY  OF  A  CLASS  A
 MISDEMEANOR PUNISHABLE AS PROVIDED FOR IN THE PENAL LAW.
   §  3.  Subdivision 1 of section 400.00 of the penal law, as amended by
 chapter 1 of the laws of 2013, paragraph (c) as amended by chapter 60 of
 the laws of 2018, is amended to read as follows:
   1. Eligibility. No license shall be issued or renewed pursuant to this
 section except by the licensing officer, and then  only  after  investi-
 gation  and  finding  that  all statements in a proper application for a
 license are true. No license shall be issued or renewed  except  for  an
 applicant  (a) twenty-one years of age or older, provided, however, that
 where such applicant has  been  honorably  discharged  from  the  United
 States  army,  navy,  marine  corps,  air  force  or coast guard, or the
 national guard of the state of New York, no such age  restriction  shall
 apply;  (b)  of  good  moral  character;  (c) who has not been convicted
 anywhere of a felony or a serious offense or who is not the  subject  of
 an outstanding warrant of arrest issued upon the alleged commission of a
 felony  or  serious offense; (d) who is not a fugitive from justice; (e)
 who is not an unlawful user of or addicted to any  controlled  substance
 as  defined  in section 21 U.S.C. 802; (f) who being an alien (i) is not
 illegally or unlawfully in the United States or (ii) has not been admit-
 ted to the United States under a nonimmigrant visa subject to the excep-
 tion in 18 U.S.C. 922(y)(2); (g) who has not been  discharged  from  the
 A. 837--B                           7
 
 Armed Forces under dishonorable conditions; (h) who, having been a citi-
 zen  of the United States, has not renounced his or her citizenship; (i)
 who has stated whether he or she has ever suffered any  mental  illness;
 (j)  who  has  not  been involuntarily committed to a facility under the
 jurisdiction of an office of the department of mental  hygiene  pursuant
 to  article  nine  or  fifteen  of the mental hygiene law, article seven
 hundred thirty or section 330.20 of the criminal procedure law,  section
 four  hundred  two  or five hundred eight of the correction law, section
 322.2 or 353.4 of the family court act, or has not been civilly confined
 in a secure treatment facility pursuant to article  ten  of  the  mental
 hygiene law; (k) who has not had a license revoked or who is not under a
 suspension  or  ineligibility order issued pursuant to the provisions of
 section 530.14 of the criminal procedure law or  section  eight  hundred
 forty-two-a  of  the family court act; (l) in the county of Westchester,
 who has successfully completed a firearms  safety  course  and  test  as
 evidenced  by  a certificate of completion issued in his or her name and
 endorsed and affirmed under the penalties of perjury by a  duly  author-
 ized  instructor,  except that: (i) persons who are honorably discharged
 from the United States army, navy, marine corps or coast  guard,  or  of
 the  national  guard  of  the state of New York, and produce evidence of
 official qualification in firearms during the term of  service  are  not
 required  to  have  completed  those  hours  of a firearms safety course
 pertaining to the safe use, carrying, possession, maintenance and  stor-
 age of a firearm; and (ii) persons who were licensed to possess a pistol
 or  revolver  prior  to  the  effective  date  of this paragraph are not
 required to have completed a firearms safety course and  test;  (m)  who
 has  not  had  a  guardian  appointed  for  him  or  her pursuant to any
 provision of state law, based on a determination that  as  a  result  of
 marked  subnormal intelligence, mental illness, incapacity, condition or
 disease, he or she lacks the mental capacity to contract or  manage  his
 or her own affairs; and (n) concerning whom no good cause exists for the
 denial  of  the  license.  No  person  shall  engage  in the business of
 gunsmith or dealer in firearms unless licensed pursuant to this section,
 AND NO PERSON SHALL ENGAGE IN THE BUSINESS OF DEALER IN FIREARMS  UNLESS
 SUCH  PERSON  COMPLIES  WITH THE PROVISIONS OF ARTICLE THIRTY-NINE-BB OF
 THE GENERAL BUSINESS LAW.  An applicant to engage in such business shall
 also be a citizen of the United States, more than  twenty-one  years  of
 age  and  maintain  a  place of business in the city or county where the
 license is issued. For such business, if the  applicant  is  a  firm  or
 partnership,  each  member thereof shall comply with all of the require-
 ments set forth in this subdivision and if the  applicant  is  a  corpo-
 ration, each officer thereof shall so comply.
   § 4. Subdivisions 11 and 12 of section 400.00 of the penal law, subdi-
 vision 11 as amended by chapter 1 of the laws of 2013 and subdivision 12
 as  amended  by  chapter 129 of the laws of 2019, are amended to read as
 follows:
   11. License: revocation and suspension. (a) The conviction of a licen-
 see anywhere of a felony or serious offense or a licensee  at  any  time
 becoming ineligible to obtain a license under this section shall operate
 as a revocation of the license. A license may be revoked or suspended as
 provided  for in section 530.14 of the criminal procedure law or section
 eight hundred forty-two-a of the family court act. Except for a  license
 issued  pursuant  to  section  400.01  of this article, a license may be
 revoked and cancelled at any time in the city of New York,  and  in  the
 counties  of Nassau and Suffolk, by the licensing officer, and elsewhere
 than in the city of New York by any judge  or  justice  of  a  court  of
 A. 837--B                           8
 
 record;  a license issued pursuant to section 400.01 of this article may
 be revoked and cancelled at any time by the  licensing  officer  or  any
 judge  or justice of a court of record. A LICENSE TO ENGAGE IN THE BUSI-
 NESS  OF  DEALER  MAY  BE  REVOKED OR SUSPENDED FOR ANY VIOLATION OF THE
 PROVISIONS OF ARTICLE THIRTY-NINE-BB OF THE GENERAL  BUSINESS  LAW.  The
 official  revoking  a  license shall give written notice thereof without
 unnecessary delay to the executive department, division of state police,
 Albany, and shall also notify immediately the  duly  constituted  police
 authorities of the locality.
   (b) Whenever the director of community services or his or her designee
 makes  a  report pursuant to section 9.46 of the mental hygiene law, the
 division of criminal justice services  shall  convey  such  information,
 whenever  it  determines that the person named in the report possesses a
 license issued pursuant to this section, to  the  appropriate  licensing
 official, who shall issue an order suspending or revoking such license.
   (c)  In  any  instance  in  which  a  person's license is suspended or
 revoked under paragraph (a) or (b)  of  this  subdivision,  such  person
 shall  surrender  such license to the appropriate licensing official and
 any and all firearms, rifles, or shotguns owned  or  possessed  by  such
 person  shall be surrendered to an appropriate law enforcement agency as
 provided in subparagraph (f)  of  paragraph  one  of  subdivision  a  of
 section  265.20  of  this  chapter.  In the event such license, firearm,
 shotgun, or rifle is not surrendered, such items shall  be  removed  and
 declared  a  nuisance  and  any  police  officer or peace officer acting
 pursuant to his or her special duties is authorized to  remove  any  and
 all such weapons.
   12.  Records  required  of gunsmiths and dealers in firearms. [Any] IN
 ADDITION TO THE REQUIREMENTS SET FORTH IN ARTICLE THIRTY-NINE-BB OF  THE
 GENERAL  BUSINESS  LAW,  ANY  person  licensed  as gunsmith or dealer in
 firearms shall keep a record book approved as to  form,  except  in  the
 city  of  New York, by the superintendent of state police. In the record
 book shall be entered at the  time  of  every  transaction  involving  a
 firearm the date, name, age, occupation and residence of any person from
 whom  a  firearm  is received or to whom a firearm is delivered, and the
 calibre, make, model, manufacturer's name and serial number, or if none,
 any other distinguishing number or identification mark on such  firearm.
 Before  delivering  a  firearm to any person, the licensee shall require
 him to produce either a license valid under this  section  to  carry  or
 possess  the  same,  or  proof  of  lawful authority as an exempt person
 pursuant to section 265.20 of this chapter and either (a)  the  National
 Instant  Criminal  Background  Check  System (NICS) or its successor has
 issued a "proceed" response to the licensee, or (b) thirty calendar days
 have elapsed since the date the licensee contacted NICS  to  initiate  a
 national instant criminal background check and NICS has not notified the
 licensee  that  the  transfer  of  the  firearm to such person should be
 denied. In addition, before delivering a firearm to a peace officer, the
 licensee shall verify that person's status as a peace officer  with  the
 division  of  state police. After completing the foregoing, the licensee
 shall remove and retain the attached coupon and enter in the record book
 the date of such license, number, if any,  and  name  of  the  licensing
 officer,  in the case of the holder of a license to carry or possess, or
 the shield or other number, if any, assignment and department,  unit  or
 agency, in the case of an exempt person. The original transaction report
 shall  be  forwarded  to the division of state police within ten days of
 delivering a firearm to any person, and a duplicate copy shall  be  kept
 by  the  licensee. The superintendent of state police may designate that
 A. 837--B                           9
 
 such record shall be completed and transmitted  in  electronic  form.  A
 dealer  may  be granted a waiver from transmitting such records in elec-
 tronic form if the superintendent determines that such dealer is incapa-
 ble  of  such transmission due to technological limitations that are not
 reasonably within the  control  of  the  dealer,  or  other  exceptional
 circumstances  demonstrated  by the dealer, pursuant to a process estab-
 lished in regulation, and  at  the  discretion  of  the  superintendent.
 Records assembled or collected for purposes of inclusion in the database
 created  pursuant to section 400.02 of this article shall not be subject
 to disclosure pursuant to article six of the public  officers  law.  The
 record  book shall be maintained on the premises mentioned and described
 in the license and shall be open at all reasonable hours for  inspection
 by  any  peace officer, acting pursuant to his special duties, or police
 officer. In the event of cancellation or revocation of the  license  for
 gunsmith  or  dealer  in  firearms,  or  discontinuance of business by a
 licensee, such record book  shall  be  immediately  surrendered  to  the
 licensing officer in the city of New York, and in the counties of Nassau
 and  Suffolk,  and  elsewhere  in the state to the executive department,
 division of state police.
   § 5. Severability. If any clause, sentence, paragraph, section or part
 of this act shall be adjudged by any court of competent jurisdiction  to
 be  invalid,  such  judgment  shall not affect, impair or invalidate the
 remainder thereof, but shall be confined in its operation to the clause,
 sentence, paragraph, section or part thereof directly  involved  in  the
 controversy in which such judgment shall have been rendered.
   § 6. This act shall take effect on the one hundred eightieth day after
 it  shall have become a law. Effective immediately, the addition, amend-
 ment and/or repeal of any rule or regulation for the  implementation  of
 section  two of this act on its effective date are authorized to be made
 on or before such effective date.

                             
                     S T A T E   O F   N E W   Y O R K
 ________________________________________________________________________
 
                                  837--C
 
                        2021-2022 Regular Sessions
 
                           I N  A S S E M B L Y
 
                                (PREFILED)
 
                              January 6, 2021
                                ___________
 
 Introduced by M. of A. PAULIN, RAMOS, ENGLEBRIGHT, L. ROSENTHAL, ABINAN-
   TI,  COLTON,  DINOWITZ, STECK, SEAWRIGHT, FAHY, CYMBROWITZ, ZEBROWSKI,
   CARROLL -- Multi-Sponsored by -- M. of  A.  GOTTFRIED,  MAGNARELLI  --
   read  once  and  referred  to the Committee on Economic Development --
   recommitted to the Committee on  Economic  Development  in  accordance
   with  Assembly  Rule  3, sec. 2 -- committee discharged, bill amended,
   ordered reprinted as amended and  recommitted  to  said  committee  --
   again  reported from said committee with amendments, ordered reprinted
   as amended and recommitted to said committee --  again  reported  from
   said  committee  with  amendments,  ordered  reprinted  as amended and
   recommitted to said committee
 
 AN ACT to amend the general business law and the penal law, in  relation
   to  preventing  the unlawful sale of firearms, rifles, and shotguns to
   individuals with a criminal record
 
   THE PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND  ASSEM-
 BLY, DO ENACT AS FOLLOWS:
 
   Section 1. Legislative findings and declaration. The legislature here-
 by finds and declares as follows:
   1.  Guns--including  firearms,  rifles  and shotguns--are used to kill
 almost 40,000 individuals in the United States every year, including 800
 individuals in New York state alone.  Additionally,  there  are  115,000
 non-fatal injuries across the country.  Gun violence also costs billions
 of  dollars  and   causes   incalculable emotional  damage,  devastating
 families and communities throughout the country. In spite of the efforts
 of many individual federal officials, the federal  government  has  been
 unwilling  to enact legislation to address this public health crisis and
 has left it up to state and local governments to do so. The state of New
 York has a strong interest in reducing violence and crimes that  involve
 the  use  of  guns  and  the  illegal  trafficking of guns. Illegal guns
 obtained throughout the state end up in the hands of individuals who are
 
  EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                       [ ] is old law to be omitted.
              

                                                            LBD01985-09-2
 A. 837--C                           2
 
 prohibited from possessing them because of their criminal record,  their
 youth, their particular mental health, or a protective order. Such ille-
 gal guns are often used to threaten, maim and kill New Yorkers.
   2.  There  is a thriving underground market for illegal guns, which is
 leading to shootings that  are  disproportionately  impacting  under-re-
 sourced  Black  and brown communities. A highly efficient and continuous
 business practice exists in which guns are moved from legal  manufacture
 and  sale to prohibited purchasers, making them illegal guns.  According
 to a recent report of the New York state attorney general, 52,915  crime
 guns  were  recovered  by  law enforcement in New York between 2010-2015
 (Target on Trafficking, New York Crime Gun Analysis, October 2016, here-
 inafter the "2016 AG Report"). Of these crime guns, 13,188 or  25%  were
 long  guns.  Outside New York City, long guns are sold without a permit.
 The 2016 AG Report further found that 90% of the  crime  guns  recovered
 were  recovered  in  seven  distinct  markets:  New York City, the lower
 Hudson Valley (including the cities of Yonkers, White  Plains,  Newburgh
 and  Poughkeepsie), the Capital Region (including Albany, Troy and Sche-
 nectady), Syracuse, Rochester and Buffalo. Although  74%  of  the  crime
 guns  recovered  statewide were from out of state, a significant portion
 of guns involved in crimes upstate originate within the state. For exam-
 ple, according to the 2016 AG Report, 41% of crime guns in  the  Buffalo
 area  and  56% of crime guns in the Rochester area originated within New
 York state.
   3. Youth are particularly at risk of being killed with guns.   Accord-
 ing to the Centers for Disease Control and Prevention, in 2019 alone, 40
 children  and  teens (under the age of 19) died from gun violence in New
 York state.
   4. A substantial portion of illegal guns are diverted to  the  illegal
 market  through  licensed gun dealers. Rogue gun dealers play a key role
 in this market. These rogue dealers funnel guns to  the  illegal  market
 through  a variety of channels. One of the most common means is to allow
 "straw purchases". A straw purchase occurs when a person purchases a gun
 on behalf of a prohibited person.   In  2000,  the  Bureau  of  Alcohol,
 Tobacco,  Firearms,  and  Explosives (ATF) conducted an investigation of
 gun trafficking from July 1996 to December 1998 and  found  that  almost
 26,000  trafficked  guns  were  associated  with investigations in which
 there was a straw purchaser. Almost  50%  of  all  trafficking  investi-
 gations involved straw purchasers, with an average of 37 guns trafficked
 per  investigation.  Another issue, according to a 2008 report by Mayors
 Against Illegal Guns, Inside Straw Purchasing: How  Criminals  Get  Guns
 Illegally,  is  that many traffickers return to the same store again and
 again once they have identified it as one in which they can  make  straw
 purchases  easily.    According  to  the  ATF, 1% of gun dealers are the
 source of almost 60% of crime guns.  Although ATF has not since released
 an updated report on straw purchases, a 2019 University of Chicago study
 found that of those incarcerated for a gun-related crime,  58%  acquired
 their gun from a friend or acquaintance.
   5.    Although  most  gun dealers operate their businesses legally and
 responsibly, some gun dealers who are corrupt or maintain shoddy record-
 keeping practices flood the streets with illegal guns  as  a  result  of
 their  unrestricted access to new gun inventory and the unwillingness of
 gun manufacturers to terminate their  supply  to  these  rogue  dealers.
 Current  federal  and state regulation has not curbed the business prac-
 tice of illegal gun dealers. According to a 2004 study by Americans  for
 Gun  Safety,  of  the 120 worst gun dealers in the country, namely those
 A. 837--C                           3

 dealers with an average of 500 crime guns traced to them, 96 were  still
 in operation.
   6.  Moreover,  this  problem is not limited to unlicensed sellers, and
 clearly includes federal firearms  licensees  (FFLs).  Indeed,  although
 FFLs were involved in under 10% of the trafficking investigations under-
 taken by ATF, they were associated with 40,000 diverted guns nearly half
 of  the  total  number of trafficked guns documented during the two-year
 period of the ATF's investigation.    Additionally,  a  2010  report  by
 Mayors  Against  Illegal  Guns  indicated that several states that allow
 state authorities to supplement the federal ATF inspection with  routine
 inspections  provide  law enforcement with more opportunities to uncover
 dealers in violation of the law.  These inspections also  help  identify
 dealers  who exercise lax oversight over their inventory and may lead to
 improved compliance with federal, state, and local laws.
   7. Current state law governing gun dealers is  inadequate  to  prevent
 the   diversion   of  guns  to  the  illegal  marketplace.    Additional
 protections that are needed include better gun dealer  internal  compli-
 ance procedures, programs to eliminate straw purchases, improved securi-
 ty measures, reduced youth access, and mandatory training for gun dealer
 employees.  The additional protections set forth in this act will great-
 ly  enhance the state's efforts to stop gun violence and criminal activ-
 ity in New York.
   § 2. The general business law is amended by adding a new article 39-BB
 to read as follows:
                               ARTICLE 39-BB
                 PREVENTING THE UNLAWFUL SALE OF FIREARMS,
        RIFLES, AND SHOTGUNS TO INDIVIDUALS WITH A CRIMINAL RECORD
 SECTION 875-A. DEFINITIONS.
         875-B. SECURITY.
         875-C. ACCESS TO FIREARMS, RIFLES, AND SHOTGUNS.
         875-D. LOCATION OF FIREARM, RIFLE, AND SHOTGUN SALES.
         875-E. EMPLOYEE TRAINING.
         875-F. MAINTENANCE OF RECORDS.
         875-G. INTERNAL COMPLIANCE AND CERTIFICATION.
         875-H. RULES AND REGULATIONS.
         875-I. VIOLATIONS.
   § 875-A. DEFINITIONS. FOR THE PURPOSES OF THIS ARTICLE:
   1. "DEALER" MEANS A GUNSMITH OR DEALERS IN FIREARMS LICENSED  PURSUANT
 TO SECTION 400.00 OF THE PENAL LAW.
   2.  "DISPOSE  OF"  MEANS  TO DISPOSE OF, GIVE, GIVE AWAY, LEASE, LEND,
 KEEP FOR SALE, OFFER, OFFER  FOR  SALE,  SELL,  TRANSFER,  OR  OTHERWISE
 DISPOSE OF.
   3.  "FIREARM" HAS THE SAME MEANING AS THAT TERM IS DEFINED IN SUBDIVI-
 SION THREE OF SECTION 265.00 OF THE PENAL LAW.
   4. "FIREARM EXHIBITOR" MEANS ANY  PERSON,  FIRM,  PARTNERSHIP,  CORPO-
 RATION,  OR COMPANY THAT EXHIBITS, SELLS, OFFERS FOR SALE, TRANSFERS, OR
 EXCHANGES FIREARMS, RIFLES, OR SHOTGUNS AT A GUN SHOW.
   5. "RIFLE" HAS THE SAME MEANING AS THAT TERM IS DEFINED IN SUBDIVISION
 ELEVEN OF SECTION 265.00 OF THE PENAL LAW.
   6. "SHOTGUN" HAS THE SAME MEANING AS THAT TERM IS DEFINED IN  SUBDIVI-
 SION TWELVE OF SECTION 265.00 OF THE PENAL LAW.
   7.  "STRAW  PURCHASE" MEANS THE PURCHASE, OR ATTEMPT TO PURCHASE, BY A
 PERSON OF A FIREARM, RIFLE, SHOTGUN OR AMMUNITION FOR, ON BEHALF OF,  OR
 FOR  THE  USE  OF  ANOTHER  PERSON  KNOWN OR UNKNOWN. THE TERM SHALL NOT
 INCLUDE A BONA FIDE GIFT TO A PERSON WHO IS NOT PROHIBITED FROM POSSESS-
 ING OR RECEIVING SUCH A FIREARM. FOR PURPOSES OF THE PRECEDING SENTENCE,
 A. 837--C                           4
 
 A GIFT TO A PERSON IS NOT A BONA FIDE GIFT IF THE PERSON HAS OFFERED  OR
 GIVEN  THE  PURCHASER A SERVICE OR THING OF VALUE TO ACQUIRE THE FIREARM
 FOR THE PERSON.
   8.  "STRAW  PURCHASER"  MEANS  A  PERSON  WHO PURCHASES OR ATTEMPTS TO
 PURCHASE A FIREARM, RIFLE, SHOTGUN OR AMMUNITION FOR, ON BEHALF  OF,  OR
 FOR  THE USE OF SUCH OTHER PERSON KNOWN OR UNKNOWN, OTHER THAN AS A BONA
 FIDE GIFT.
   9. "SUPERINTENDENT" MEANS THE SUPERINTENDENT OF STATE POLICE.
   § 875-B. SECURITY. 1.  EVERY DEALER SHALL IMPLEMENT  A  SECURITY  PLAN
 FOR  SECURING  FIREARMS, RIFLES AND SHOTGUNS, INCLUDING FIREARMS, RIFLES
 AND SHOTGUNS IN SHIPMENT. THE PLAN MUST SATISFY AT LEAST  THE  FOLLOWING
 REQUIREMENTS:
   (A)  DISPLAY CASES SHALL BE LOCKED AT ALL TIMES EXCEPT WHEN REMOVING A
 SINGLE FIREARM, RIFLE OR SHOTGUN TO SHOW A CUSTOMER, AND CUSTOMERS SHALL
 HANDLE FIREARMS, RIFLES OR SHOTGUNS ONLY UNDER THE DIRECT SUPERVISION OF
 AN EMPLOYEE;
   (B) ALL FIREARMS, RIFLES AND SHOTGUNS SHALL  BE  SECURED,  OTHER  THAN
 DURING  BUSINESS  HOURS,  IN  A  LOCKED  FIREPROOF  SAFE OR VAULT IN THE
 LICENSEE'S BUSINESS PREMISES OR IN A SIMILAR SECURED  AND  LOCKED  AREA;
 AND
   (C)  AMMUNITION  SHALL  BE STORED SEPARATELY FROM FIREARMS, RIFLES AND
 SHOTGUNS AND OUT OF REACH OF CUSTOMERS.
   2. (A) THE PERMITTED BUSINESS LOCATION SHALL BE SECURED  BY  AN  ALARM
 SYSTEM  THAT  IS  INSTALLED  AND MAINTAINED BY AN ALARM COMPANY OPERATOR
 PROPERLY LICENSED PURSUANT TO STATE LAW. THE ALARM SYSTEM MUST BE  MONI-
 TORED  BY  A  CENTRAL STATION LISTED BY UNDERWRITERS LABORATORIES, INC.,
 AND COVERED BY AN ACTIVE UNDERWRITERS LABORATORIES,  INC.  ALARM  SYSTEM
 CERTIFICATE  WITH  A  #3  EXTENT OF PROTECTION.   THE PERMITTED BUSINESS
 SHALL BE EQUIPPED WITH A VIDEO RECORDING DEVICE AT EACH  POINT  OF  SALE
 AND  ENTRANCE  AND  EXITS  TO THE PREMISES, WHICH SHALL BE RECORDED FROM
 BOTH THE INDOOR AND  OUTDOOR  VANTAGE  POINT  AND  SHALL  MAINTAIN  SUCH
 RECORDINGS FOR A PERIOD OF NOT LESS THAN TWO YEARS.
   (B)   UNDERWRITERS   LABORATORIES,  INC.  USES  THE  TERM  "EXTENT  OF
 PROTECTION" TO REFER TO THE AMOUNT  OF  ALARM  PROTECTION  INSTALLED  TO
 PROTECT  A  PARTICULAR AREA, ROOM OR CONTAINER. SYSTEMS WITH A #3 EXTENT
 OF PROTECTION INCLUDE COMPLETE PROTECTION FOR ALL  ACCESSIBLE  OPENINGS,
 AND  PARTIAL  MOTION  AND  SOUND DETECTION AT CERTAIN OTHER AREAS OF THE
 PREMISES. MORE INFORMATION MAY BE FOUND IN: CENTRAL STATION ALARM  ASSO-
 CIATION, A PRACTICAL GUIDE TO CENTRAL STATION BURGLAR ALARM SYSTEMS (3RD
 ED. 2005).
   § 875-C. ACCESS TO FIREARMS, RIFLES, AND SHOTGUNS. EVERY RETAIL DEALER
 SHALL  EXCLUDE  ALL  PERSONS  UNDER  EIGHTEEN  YEARS  OF  AGE FROM THOSE
 PORTIONS OF ITS PREMISES WHERE FIREARMS, RIFLES, SHOTGUNS, OR AMMUNITION
 ARE STOCKED OR SOLD, UNLESS SUCH PERSON IS ACCOMPANIED BY  A  PARENT  OR
 GUARDIAN.
   §  875-D.  LOCATION OF FIREARM, RIFLE, AND SHOTGUN SALES. EVERY DEALER
 SHALL SELL OR OTHERWISE DISPOSE OF FIREARMS, RIFLES, AND  SHOTGUNS  ONLY
 AT  THE  LOCATION  LISTED ON THE DEALER'S FEDERAL FIREARMS LICENSE OR AT
 GUN SHOWS.
   § 875-E. EMPLOYEE TRAINING. 1.   EVERY DEALER SHALL  ANNUALLY  PROVIDE
 THE  TRAINING OUTLINED BY THE SUPERINTENDENT PURSUANT TO SUBDIVISION TWO
 OF THIS SECTION TO ALL NEW AND CURRENT  EMPLOYEES  AND  OTHER  PERSONNEL
 ENGAGED  IN  THE RETAIL SALE OF FIREARMS, RIFLES, AND SHOTGUNS.  DEALERS
 SHALL KEEP A RECORD OF THE COMPLETION OF  THIS  TRAINING  WHICH  MAY  BE
 REQUESTED AS PART OF THE CERTIFICATION PROCESS OUTLINED IN PARAGRAPH (B)
 A. 837--C                           5
 
 OF SUBDIVISION ONE OF SECTION EIGHT HUNDRED SEVENTY-FIVE-G OF THIS ARTI-
 CLE.
   2.  THE  SUPERINTENDENT  SHALL  DEVELOP  AND  MAKE  AVAILABLE  TO EACH
 LICENSED DEALER, A TRAINING COURSE IN THE CONDUCT OF FIREARM, RIFLE, AND
 SHOTGUN TRANSFERS INCLUDING AT A MINIMUM THE FOLLOWING:
   (A) FEDERAL AND STATE  LAWS  GOVERNING  FIREARM,  RIFLE,  AND  SHOTGUN
 TRANSFERS.
   (B)  HOW  TO RECOGNIZE, IDENTIFY, RESPOND, AND REPORT STRAW PURCHASES,
 ILLEGAL PURCHASES, AND FRAUDULENT ACTIVITY.
   (C) HOW TO RECOGNIZE, IDENTIFY, RESPOND, AND REPORT AN INDIVIDUAL  WHO
 INTENDS  TO  USE  A  FIREARM,  RIFLE,  OR SHOTGUN FOR UNLAWFUL PURPOSES,
 INCLUDING SELF-HARM.
   (D) HOW TO PREVENT, RESPOND, AND REPORT THEFT OR BURGLARY OF FIREARMS,
 RIFLES, SHOTGUNS, AND AMMUNITION.
   (E) HOW TO EDUCATE CUSTOMERS ON RULES OF GUN SAFETY, INCLUDING BUT NOT
 LIMITED TO THE SAFE HANDLING AND STORAGE OF FIREARMS, RIFLES, AND  SHOT-
 GUNS.
   (F) SUCH OTHER TOPICS THE SUPERINTENDENT DEEMS NECESSARY AND APPROPRI-
 ATE.
   3.  NO EMPLOYEE OR AGENT OF ANY RETAIL DEALER SHALL PARTICIPATE IN THE
 SALE OR DISPOSITION OF FIREARMS, RIFLES, OR SHOTGUNS UNLESS SUCH  PERSON
 IS  AT LEAST TWENTY-ONE YEARS OF AGE AND HAS FIRST RECEIVED THE TRAINING
 REQUIRED BY THIS SECTION.  THE  SUPERINTENDENT  SHALL  PROMULGATE  REGU-
 LATIONS  SETTING  FORTH  MINIMUM  REQUIREMENTS  FOR  THE  MAINTENANCE OF
 RECORDS OF SUCH TRAINING.
   § 875-F.  MAINTENANCE OF RECORDS. EVERY  DEALER  SHALL  ESTABLISH  AND
 MAINTAIN A BOOK, OR IF THE DEALER SHOULD CHOOSE, ELECTRONIC-BASED RECORD
 OF  SUCH  PURCHASE,  SALE,  INVENTORY, AND OTHER RECORDS AT THE DEALER'S
 PLACE OF BUSINESS IN SUCH FORM AND FOR SUCH PERIOD AS THE SUPERINTENDENT
 SHALL REQUIRE, AND SHALL SUBMIT A COPY OF SUCH RECORDS TO THE  NEW  YORK
 STATE  POLICE  EVERY  APRIL AND OCTOBER. SUCH RECORDS SHALL AT A MINIMUM
 INCLUDE THE FOLLOWING:
   1. THE MAKE, MODEL, CALIBER OR GAUGE, MANUFACTURER'S NAME, AND  SERIAL
 NUMBER  OF  ALL RIFLES AND SHOTGUNS THAT ARE ACQUIRED OR DISPOSED OF NOT
 LATER THAN ONE BUSINESS DAY  AFTER  THEIR  ACQUISITION  OR  DISPOSITION.
 MONTHLY BACKUPS OF THESE RECORDS KEPT IN A BOOK SHALL BE MAINTAINED IN A
 SECURE CONTAINER DESIGNED TO PREVENT LOSS BY FIRE, THEFT, OR OTHER MISH-
 AP.    IF  THE  DEALER  CHOOSES  TO  MAINTAIN AN ELECTRONIC-BASED RECORD
 SYSTEM, THOSE RECORDS MUST BE BACKED UP ON AN EXTERNAL  SERVER  OR  OVER
 THE INTERNET AT THE CLOSE OF EACH BUSINESS DAY;
   2.  ALL  RIFLES  AND SHOTGUNS ACQUIRED BUT NOT YET DISPOSED OF MUST BE
 ACCOUNTED FOR THROUGH AN INVENTORY CHECK PREPARED ONCE  EACH  MONTH  AND
 MAINTAINED IN A SECURE LOCATION;
   3.  RIFLE  AND  SHOTGUN  DISPOSITION INFORMATION, INCLUDING THE SERIAL
 NUMBERS OF RIFLES AND SHOTGUNS SOLD, DATES  OF  SALE,  AND  IDENTITY  OF
 PURCHASERS,  SHALL  BE  MAINTAINED  AND  MADE  AVAILABLE  AT ANY TIME TO
 GOVERNMENT LAW ENFORCEMENT AGENCIES AND TO THE MANUFACTURER OF THE WEAP-
 ON OR ITS DESIGNEE; AND
   4. EVERY DEALER SHALL MAINTAIN RECORDS OF CRIMINAL RIFLE  AND  SHOTGUN
 TRACES INITIATED BY THE FEDERAL BUREAU OF ALCOHOL, TOBACCO, FIREARMS AND
 EXPLOSIVES  ("ATF").  ALL  ATF  FORM  4473  TRANSACTION RECORDS SHALL BE
 RETAINED ON  THE  DEALER'S  BUSINESS  PREMISES  IN  A  SECURE  CONTAINER
 DESIGNED TO PREVENT LOSS BY FIRE, THEFT, OR OTHER MISHAP.
   § 875-G. INTERNAL COMPLIANCE AND CERTIFICATION. 1. EVERY DEALER SHALL:
   (A)  IMPLEMENT  AND MAINTAIN SUFFICIENT INTERNAL COMPLIANCE PROCEDURES
 TO ENSURE COMPLIANCE WITH THE  REQUIREMENTS  OF  THIS  ARTICLE  AND  ALL
 A. 837--C                           6
 
 APPLICABLE  FEDERAL, STATE, AND LOCAL LAWS AND REGULATIONS GOVERNING THE
 SALE, TRANSFER, AND DISPOSAL OF FIREARMS, RIFLES, AND SHOTGUNS; AND
   (B)  ANNUALLY  CERTIFY  TO  THE  SUPERINTENDENT  THAT  SUCH DEALER HAS
 COMPLIED WITH ALL OF THE REQUIREMENTS OF THIS ARTICLE.  THE  SUPERINTEN-
 DENT  SHALL  BY REGULATION DETERMINE THE FORM AND CONTENT OF SUCH ANNUAL
 CERTIFICATION.
   2. THE SUPERINTENDENT SHALL PROMULGATE REGULATIONS ESTABLISHING  PERI-
 ODIC  INSPECTIONS  OF NOT LESS THAN ONE INSPECTION OF EVERY DEALER EVERY
 THREE YEARS, DURING REGULAR AND USUAL BUSINESS HOURS, BY THE DIVISION OF
 STATE POLICE OF THE PREMISES OF EVERY DEALER TO DETERMINE COMPLIANCE  BY
 SUCH  DEALER  WITH  THE REQUIREMENTS OF THIS ARTICLE. EVERY DEALER SHALL
 PROVIDE THE DIVISION OF STATE POLICE WITH FULL ACCESS TO  SUCH  DEALER'S
 PREMISES FOR SUCH INSPECTIONS.
   § 875-H. RULES AND REGULATIONS. THE SUPERINTENDENT MAY PROMULGATE SUCH
 ADDITIONAL RULES AND REGULATIONS AS THE SUPERINTENDENT SHALL DEEM NECES-
 SARY  TO PREVENT FIREARMS, RIFLES, AND SHOTGUNS FROM BEING DIVERTED FROM
 THE LEGAL STREAM OF COMMERCE.
   § 875-I. VIOLATIONS. ANY PERSON, FIRM, OR  CORPORATION  WHO  KNOWINGLY
 VIOLATES  ANY  PROVISION  OF  THIS  ARTICLE SHALL BE GUILTY OF A CLASS A
 MISDEMEANOR PUNISHABLE AS PROVIDED FOR IN THE PENAL LAW.
   § 3. Subdivision 1 of section 400.00 of the penal law, as  amended  by
 chapter 1 of the laws of 2013, paragraph (c) as amended by chapter 60 of
 the laws of 2018, is amended to read as follows:
   1. Eligibility. No license shall be issued or renewed pursuant to this
 section  except  by  the licensing officer, and then only after investi-
 gation and finding that all statements in a  proper  application  for  a
 license  are  true.  No license shall be issued or renewed except for an
 applicant (a) twenty-one years of age or older, provided, however,  that
 where  such  applicant  has  been  honorably  discharged from the United
 States army, navy, marine corps,  air  force  or  coast  guard,  or  the
 national  guard  of the state of New York, no such age restriction shall
 apply; (b) of good moral character;  (c)  who  has  not  been  convicted
 anywhere  of  a felony or a serious offense or who is not the subject of
 an outstanding warrant of arrest issued upon the alleged commission of a
 felony or serious offense; (d) who is not a fugitive from  justice;  (e)
 who  is  not an unlawful user of or addicted to any controlled substance
 as defined in section 21 U.S.C. 802; (f) who being an alien (i)  is  not
 illegally or unlawfully in the United States or (ii) has not been admit-
 ted to the United States under a nonimmigrant visa subject to the excep-
 tion  in  18  U.S.C. 922(y)(2); (g) who has not been discharged from the
 Armed Forces under dishonorable conditions; (h) who, having been a citi-
 zen of the United States, has not renounced his or her citizenship;  (i)
 who  has  stated whether he or she has ever suffered any mental illness;
 (j) who has not been involuntarily committed to  a  facility  under  the
 jurisdiction  of  an office of the department of mental hygiene pursuant
 to article nine or fifteen of the  mental  hygiene  law,  article  seven
 hundred  thirty or section 330.20 of the criminal procedure law, section
 four hundred two or five hundred eight of the  correction  law,  section
 322.2 or 353.4 of the family court act, or has not been civilly confined
 in  a  secure  treatment  facility pursuant to article ten of the mental
 hygiene law; (k) who has not had a license revoked or who is not under a
 suspension or ineligibility order issued pursuant to the  provisions  of
 section  530.14  of  the criminal procedure law or section eight hundred
 forty-two-a of the family court act; (l) in the county  of  Westchester,
 who  has  successfully  completed  a  firearms safety course and test as
 evidenced by a certificate of completion issued in his or her  name  and
 A. 837--C                           7
 
 endorsed  and  affirmed under the penalties of perjury by a duly author-
 ized instructor, except that: (i) persons who are  honorably  discharged
 from  the  United  States army, navy, marine corps or coast guard, or of
 the  national  guard  of  the state of New York, and produce evidence of
 official qualification in firearms during the term of  service  are  not
 required  to  have  completed  those  hours  of a firearms safety course
 pertaining to the safe use, carrying, possession, maintenance and  stor-
 age of a firearm; and (ii) persons who were licensed to possess a pistol
 or  revolver  prior  to  the  effective  date  of this paragraph are not
 required to have completed a firearms safety course and  test;  (m)  who
 has  not  had  a  guardian  appointed  for  him  or  her pursuant to any
 provision of state law, based on a determination that  as  a  result  of
 marked  subnormal intelligence, mental illness, incapacity, condition or
 disease, he or she lacks the mental capacity to contract or  manage  his
 or her own affairs; and (n) concerning whom no good cause exists for the
 denial  of  the  license.  No  person  shall  engage  in the business of
 gunsmith or dealer in firearms unless licensed pursuant to this section,
 AND NO PERSON SHALL ENGAGE IN THE BUSINESS OF DEALER IN FIREARMS  UNLESS
 SUCH  PERSON  COMPLIES  WITH THE PROVISIONS OF ARTICLE THIRTY-NINE-BB OF
 THE GENERAL BUSINESS LAW.  An applicant to engage in such business shall
 also be a citizen of the United States, more than  twenty-one  years  of
 age  and  maintain  a  place of business in the city or county where the
 license is issued. For such business, if the  applicant  is  a  firm  or
 partnership,  each  member thereof shall comply with all of the require-
 ments set forth in this subdivision and if the  applicant  is  a  corpo-
 ration, each officer thereof shall so comply.
   § 4. Subdivisions 11 and 12 of section 400.00 of the penal law, subdi-
 vision 11 as amended by chapter 1 of the laws of 2013 and subdivision 12
 as  amended  by  chapter 129 of the laws of 2019, are amended to read as
 follows:
   11. License: revocation and suspension. (a) The conviction of a licen-
 see anywhere of a felony or serious offense or a licensee  at  any  time
 becoming ineligible to obtain a license under this section shall operate
 as a revocation of the license. A license may be revoked or suspended as
 provided  for in section 530.14 of the criminal procedure law or section
 eight hundred forty-two-a of the family court act. Except for a  license
 issued  pursuant  to  section  400.01  of this article, a license may be
 revoked and cancelled at any time in the city of New York,  and  in  the
 counties  of Nassau and Suffolk, by the licensing officer, and elsewhere
 than in the city of New York by any judge  or  justice  of  a  court  of
 record;  a license issued pursuant to section 400.01 of this article may
 be revoked and cancelled at any time by the  licensing  officer  or  any
 judge  or justice of a court of record. A LICENSE TO ENGAGE IN THE BUSI-
 NESS OF DEALER MAY BE REVOKED OR SUSPENDED  FOR  ANY  VIOLATION  OF  THE
 PROVISIONS  OF  ARTICLE  THIRTY-NINE-BB OF THE GENERAL BUSINESS LAW. The
 official revoking a license shall give written  notice  thereof  without
 unnecessary delay to the executive department, division of state police,
 Albany,  and  shall  also notify immediately the duly constituted police
 authorities of the locality.
   (b) Whenever the director of community services or his or her designee
 makes a report pursuant to section 9.46 of the mental hygiene  law,  the
 division  of  criminal  justice  services shall convey such information,
 whenever it determines that the person named in the report  possesses  a
 license  issued  pursuant  to this section, to the appropriate licensing
 official, who shall issue an order suspending or revoking such license.
 A. 837--C                           8

   (c) In any instance in  which  a  person's  license  is  suspended  or
 revoked  under  paragraph  (a)  or  (b) of this subdivision, such person
 shall surrender such license to the appropriate licensing  official  and
 any  and  all  firearms,  rifles, or shotguns owned or possessed by such
 person  shall be surrendered to an appropriate law enforcement agency as
 provided in subparagraph (f)  of  paragraph  one  of  subdivision  a  of
 section  265.20  of  this  chapter.  In the event such license, firearm,
 shotgun, or rifle is not surrendered, such items shall  be  removed  and
 declared  a  nuisance  and  any  police  officer or peace officer acting
 pursuant to his or her special duties is authorized to  remove  any  and
 all such weapons.
   12.  Records  required  of gunsmiths and dealers in firearms. [Any] IN
 ADDITION TO THE REQUIREMENTS SET FORTH IN ARTICLE THIRTY-NINE-BB OF  THE
 GENERAL  BUSINESS  LAW,  ANY  person  licensed  as gunsmith or dealer in
 firearms shall keep a record book approved as to  form,  except  in  the
 city  of  New York, by the superintendent of state police. In the record
 book shall be entered at the  time  of  every  transaction  involving  a
 firearm the date, name, age, occupation and residence of any person from
 whom  a  firearm  is received or to whom a firearm is delivered, and the
 calibre, make, model, manufacturer's name and serial number, or if none,
 any other distinguishing number or identification mark on such  firearm.
 Before  delivering  a  firearm to any person, the licensee shall require
 him to produce either a license valid under this  section  to  carry  or
 possess  the  same,  or  proof  of  lawful authority as an exempt person
 pursuant to section 265.20 of this chapter and either (a)  the  National
 Instant  Criminal  Background  Check  System (NICS) or its successor has
 issued a "proceed" response to the licensee, or (b) thirty calendar days
 have elapsed since the date the licensee contacted NICS  to  initiate  a
 national instant criminal background check and NICS has not notified the
 licensee  that  the  transfer  of  the  firearm to such person should be
 denied. In addition, before delivering a firearm to a peace officer, the
 licensee shall verify that person's status as a peace officer  with  the
 division  of  state police. After completing the foregoing, the licensee
 shall remove and retain the attached coupon and enter in the record book
 the date of such license, number, if any,  and  name  of  the  licensing
 officer,  in the case of the holder of a license to carry or possess, or
 the shield or other number, if any, assignment and department,  unit  or
 agency, in the case of an exempt person. The original transaction report
 shall  be  forwarded  to the division of state police within ten days of
 delivering a firearm to any person, and a duplicate copy shall  be  kept
 by  the  licensee. The superintendent of state police may designate that
 such record shall be completed and transmitted  in  electronic  form.  A
 dealer  may  be granted a waiver from transmitting such records in elec-
 tronic form if the superintendent determines that such dealer is incapa-
 ble of such transmission due to technological limitations that  are  not
 reasonably  within  the  control  of  the  dealer,  or other exceptional
 circumstances demonstrated by the dealer, pursuant to a  process  estab-
 lished  in  regulation,  and  at  the  discretion of the superintendent.
 Records assembled or collected for purposes of inclusion in the database
 created pursuant to section 400.02 of this article shall not be  subject
 to  disclosure  pursuant  to article six of the public officers law. The
 record book shall be maintained on the premises mentioned and  described
 in  the license and shall be open at all reasonable hours for inspection
 by any peace officer, acting pursuant to his special duties,  or  police
 officer.  In  the event of cancellation or revocation of the license for
 gunsmith or dealer in firearms,  or  discontinuance  of  business  by  a
 A. 837--C                           9
 
 licensee,  such  record  book  shall  be  immediately surrendered to the
 licensing officer in the city of New York, and in the counties of Nassau
 and Suffolk, and elsewhere in the state  to  the  executive  department,
 division of state police.
   § 5. Severability. If any clause, sentence, paragraph, section or part
 of  this act shall be adjudged by any court of competent jurisdiction to
 be invalid, such judgment shall not affect,  impair  or  invalidate  the
 remainder thereof, but shall be confined in its operation to the clause,
 sentence,  paragraph,  section  or part thereof directly involved in the
 controversy in which such judgment shall have been rendered.
   § 6. This act shall take effect on the one hundred eightieth day after
 it shall have become a law. Effective immediately, the addition,  amend-
 ment  and/or  repeal of any rule or regulation for the implementation of
 section two of this act on its effective date are authorized to be  made
 on or before such effective date.

                             
                     S T A T E   O F   N E W   Y O R K
 ________________________________________________________________________
 
                                  837--D
 
                        2021-2022 Regular Sessions
 
                           I N  A S S E M B L Y
 
                                (PREFILED)
 
                              January 6, 2021
                                ___________
 
 Introduced by M. of A. PAULIN, RAMOS, ENGLEBRIGHT, L. ROSENTHAL, ABINAN-
   TI,  COLTON,  DINOWITZ, STECK, SEAWRIGHT, FAHY, CYMBROWITZ, ZEBROWSKI,
   CARROLL, BICHOTTE HERMELYN, GALEF, SIMON -- Multi-Sponsored by  --  M.
   of  A.  GOTTFRIED, MAGNARELLI -- read once and referred to the Commit-
   tee on Economic Development -- recommitted to the Committee on Econom-
   ic Development in accordance with Assembly Rule 3, sec. 2 -- committee
   discharged, bill amended, ordered reprinted as amended and recommitted
   to said committee -- again reported from said  committee  with  amend-
   ments,  ordered reprinted as amended and recommitted to said committee
   --  again  reported  from  said  committee  with  amendments,  ordered
   reprinted  as  amended  and  recommitted  to  said  committee -- again
   reported from said committee with  amendments,  ordered  reprinted  as
   amended and recommitted to said committee
 
 AN  ACT to amend the general business law and the penal law, in relation
   to preventing the unlawful sale of firearms, rifles, and  shotguns  to
   individuals with a criminal record

   THE  PEOPLE OF THE STATE OF NEW YORK, REPRESENTED IN SENATE AND ASSEM-
 BLY, DO ENACT AS FOLLOWS:
 
   Section 1. The general business law is amended by adding a new article
 39-BB to read as follows:
                               ARTICLE 39-BB
                 PREVENTING THE UNLAWFUL SALE OF FIREARMS,
        RIFLES, AND SHOTGUNS TO INDIVIDUALS WITH A CRIMINAL RECORD
 SECTION 875-A. DEFINITIONS.
         875-B. SECURITY.
         875-C. ACCESS TO FIREARMS, RIFLES, AND SHOTGUNS.
         875-D. LOCATION OF FIREARM, RIFLE, AND SHOTGUN SALES.
         875-E. EMPLOYEE TRAINING.
         875-F. MAINTENANCE OF RECORDS.
         875-G. INTERNAL COMPLIANCE AND CERTIFICATION.

  EXPLANATION--Matter in ITALICS (underscored) is new; matter in brackets
                       [ ] is old law to be omitted.
              

                                                            LBD01985-11-2
 A. 837--D                           2
 
         875-H. RULES AND REGULATIONS.
         875-I. VIOLATIONS.
   § 875-A. DEFINITIONS. FOR THE PURPOSES OF THIS ARTICLE:
   1.  "DEALER" MEANS A GUNSMITH OR DEALERS IN FIREARMS LICENSED PURSUANT
 TO SECTION 400.00 OF THE PENAL LAW.
   2. "DISPOSE OF" OR "DISPOSITION OF" MEANS TO GIVE, GIVE  AWAY,  LEASE,
 LEND, KEEP FOR SALE, OFFER, OFFER FOR SALE, SELL, OR TRANSFER.
   3.  "FIREARM" HAS THE SAME MEANING AS THAT TERM IS DEFINED IN SUBDIVI-
 SION THREE OF SECTION 265.00 OF THE PENAL LAW.
   4. "RIFLE" HAS THE SAME MEANING AS THAT TERM IS DEFINED IN SUBDIVISION
 ELEVEN OF SECTION 265.00 OF THE PENAL LAW.
   5. "SHOTGUN" HAS THE SAME MEANING AS THAT TERM IS DEFINED IN  SUBDIVI-
 SION TWELVE OF SECTION 265.00 OF THE PENAL LAW.
   6.  "STRAW  PURCHASE" MEANS THE PURCHASE, OR ATTEMPT TO PURCHASE, BY A
 PERSON OF A FIREARM, RIFLE, SHOTGUN OR AMMUNITION FOR, ON BEHALF OF,  OR
 FOR  THE  USE  OF  ANOTHER  PERSON  KNOWN OR UNKNOWN. THE TERM SHALL NOT
 INCLUDE A BONA FIDE GIFT TO A PERSON WHO IS NOT PROHIBITED FROM POSSESS-
 ING OR RECEIVING SUCH A FIREARM. FOR PURPOSES OF THE PRECEDING SENTENCE,
 A GIFT TO A PERSON IS NOT A BONA FIDE GIFT IF THE PERSON HAS OFFERED  OR
 GIVEN  THE  PURCHASER A SERVICE OR THING OF VALUE TO ACQUIRE THE FIREARM
 FOR THE PERSON.
   7. "SUPERINTENDENT" MEANS THE SUPERINTENDENT OF STATE POLICE.
   § 875-B. SECURITY. 1.  EVERY DEALER SHALL IMPLEMENT  A  SECURITY  PLAN
 FOR  SECURING  FIREARMS, RIFLES AND SHOTGUNS, INCLUDING FIREARMS, RIFLES
 AND SHOTGUNS IN SHIPMENT. THE PLAN MUST SATISFY AT LEAST  THE  FOLLOWING
 REQUIREMENTS:
   (A)  DISPLAY CASES SHALL BE LOCKED AT ALL TIMES EXCEPT WHEN REMOVING A
 SINGLE FIREARM, RIFLE OR SHOTGUN TO SHOW A CUSTOMER, AND CUSTOMERS SHALL
 HANDLE FIREARMS, RIFLES OR SHOTGUNS ONLY UNDER THE DIRECT SUPERVISION OF
 AN EMPLOYEE;
   (B) ALL FIREARMS, RIFLES AND SHOTGUNS SHALL  BE  SECURED,  OTHER  THAN
 DURING  BUSINESS  HOURS,  IN  A  LOCKED  FIREPROOF  SAFE OR VAULT IN THE
 LICENSEE'S BUSINESS PREMISES OR IN A SIMILAR SECURED  AND  LOCKED  AREA;
 AND
   (C)  AMMUNITION  SHALL  BE STORED SEPARATELY FROM FIREARMS, RIFLES AND
 SHOTGUNS AND OUT OF REACH OF CUSTOMERS.
   2. (A) THE PERMITTED BUSINESS LOCATION SHALL BE SECURED  BY  AN  ALARM
 SYSTEM  THAT  IS  INSTALLED  AND MAINTAINED BY AN ALARM COMPANY OPERATOR
 PROPERLY LICENSED PURSUANT TO STATE LAW. THE ALARM SYSTEM MUST BE  MONI-
 TORED  BY  A  CENTRAL STATION LISTED BY UNDERWRITERS LABORATORIES, INC.,
 AND COVERED BY AN ACTIVE UNDERWRITERS LABORATORIES,  INC.  ALARM  SYSTEM
 CERTIFICATE  WITH  A  #3  EXTENT OF PROTECTION.   THE PERMITTED BUSINESS
 SHALL BE EQUIPPED WITH A VIDEO RECORDING DEVICE AT EACH  POINT  OF  SALE
 AND  ENTRANCE  AND  EXITS  TO THE PREMISES, WHICH SHALL BE RECORDED FROM
 BOTH THE INDOOR AND  OUTDOOR  VANTAGE  POINT  AND  SHALL  MAINTAIN  SUCH
 RECORDINGS FOR A PERIOD OF NOT LESS THAN TWO YEARS.
   (B)   UNDERWRITERS   LABORATORIES,  INC.  USES  THE  TERM  "EXTENT  OF
 PROTECTION" TO REFER TO THE AMOUNT  OF  ALARM  PROTECTION  INSTALLED  TO
 PROTECT  A  PARTICULAR AREA, ROOM OR CONTAINER. SYSTEMS WITH A #3 EXTENT
 OF PROTECTION INCLUDE COMPLETE PROTECTION FOR ALL  ACCESSIBLE  OPENINGS,
 AND  PARTIAL  MOTION  AND  SOUND DETECTION AT CERTAIN OTHER AREAS OF THE
 PREMISES. MORE INFORMATION MAY BE FOUND IN: CENTRAL STATION ALARM  ASSO-
 CIATION, A PRACTICAL GUIDE TO CENTRAL STATION BURGLAR ALARM SYSTEMS (3RD
 ED. 2005).
   § 875-C. ACCESS TO FIREARMS, RIFLES, AND SHOTGUNS. EVERY RETAIL DEALER
 SHALL  EXCLUDE  ALL  PERSONS  UNDER  EIGHTEEN  YEARS  OF  AGE FROM THOSE
 A. 837--D                           3
 
 PORTIONS OF ITS PREMISES WHERE FIREARMS, RIFLES, SHOTGUNS, OR AMMUNITION
 ARE STOCKED OR SOLD, UNLESS SUCH PERSON IS ACCOMPANIED BY  A  PARENT  OR
 GUARDIAN.
   §  875-D.  LOCATION OF FIREARM, RIFLE, AND SHOTGUN SALES. EVERY DEALER
 SHALL SELL OR OTHERWISE DISPOSE OF FIREARMS, RIFLES, AND  SHOTGUNS  ONLY
 AT  THE  LOCATION  LISTED ON THE DEALER'S FEDERAL FIREARMS LICENSE OR AT
 GUN SHOWS.
   § 875-E. EMPLOYEE TRAINING. 1.   EVERY DEALER SHALL  ANNUALLY  PROVIDE
 THE  TRAINING OUTLINED BY THE SUPERINTENDENT PURSUANT TO SUBDIVISION TWO
 OF THIS SECTION TO ALL NEW AND CURRENT EMPLOYEES.
   2. THE  SUPERINTENDENT  SHALL  DEVELOP  AND  MAKE  AVAILABLE  TO  EACH
 LICENSED DEALER, A TRAINING COURSE IN THE CONDUCT OF FIREARM, RIFLE, AND
 SHOTGUN TRANSFERS INCLUDING AT A MINIMUM THE FOLLOWING:
   (A)  FEDERAL  AND  STATE  LAWS  GOVERNING  FIREARM, RIFLE, AND SHOTGUN
 TRANSFERS.
   (B) HOW TO RECOGNIZE, IDENTIFY, RESPOND, AND REPORT  STRAW  PURCHASES,
 ILLEGAL PURCHASES, AND FRAUDULENT ACTIVITY.
   (C)  HOW TO RECOGNIZE, IDENTIFY, RESPOND, AND REPORT AN INDIVIDUAL WHO
 INTENDS TO USE A FIREARM,  RIFLE,  OR  SHOTGUN  FOR  UNLAWFUL  PURPOSES,
 INCLUDING SELF-HARM.
   (D) HOW TO PREVENT, RESPOND, AND REPORT THEFT OR BURGLARY OF FIREARMS,
 RIFLES, SHOTGUNS, AND AMMUNITION.
   (E) HOW TO EDUCATE CUSTOMERS ON RULES OF GUN SAFETY, INCLUDING BUT NOT
 LIMITED  TO THE SAFE HANDLING AND STORAGE OF FIREARMS, RIFLES, AND SHOT-
 GUNS.
   (F) SUCH OTHER TOPICS THE SUPERINTENDENT DEEMS NECESSARY AND APPROPRI-
 ATE.
   3. NO EMPLOYEE OR AGENT OF ANY RETAIL DEALER SHALL PARTICIPATE IN  THE
 SALE  OR DISPOSITION OF FIREARMS, RIFLES, OR SHOTGUNS UNLESS SUCH PERSON
 IS AT LEAST TWENTY-ONE YEARS OF AGE AND HAS FIRST RECEIVED THE  TRAINING
 REQUIRED  BY  THIS  SECTION.  THE  SUPERINTENDENT SHALL PROMULGATE REGU-
 LATIONS SETTING  FORTH  MINIMUM  REQUIREMENTS  FOR  THE  MAINTENANCE  OF
 RECORDS OF SUCH TRAINING.
   §  875-F.    MAINTENANCE  OF RECORDS. EVERY DEALER SHALL ESTABLISH AND
 MAINTAIN A BOOK, OR IF THE DEALER SHOULD CHOOSE, ELECTRONIC-BASED RECORD
 OF SUCH PURCHASE, SALE, INVENTORY, AND OTHER  RECORDS  AT  THE  DEALER'S
 PLACE OF BUSINESS IN SUCH FORM AND FOR SUCH PERIOD AS THE SUPERINTENDENT
 SHALL  REQUIRE,  AND SHALL SUBMIT A COPY OF SUCH RECORDS TO THE NEW YORK
 STATE POLICE EVERY APRIL AND OCTOBER. SUCH RECORDS SHALL  AT  A  MINIMUM
 INCLUDE THE FOLLOWING:
   1.  THE MAKE, MODEL, CALIBER OR GAUGE, MANUFACTURER'S NAME, AND SERIAL
 NUMBER OF ALL RIFLES AND SHOTGUNS THAT ARE ACQUIRED OR DISPOSED  OF  NOT
 LATER  THAN  ONE  BUSINESS  DAY  AFTER THEIR ACQUISITION OR DISPOSITION.
 MONTHLY BACKUPS OF THESE RECORDS KEPT IN A BOOK SHALL BE MAINTAINED IN A
 SECURE CONTAINER DESIGNED TO PREVENT LOSS BY FIRE, THEFT, OR  FLOOD.  IF
 THE  DEALER CHOOSES TO MAINTAIN AN ELECTRONIC-BASED RECORD SYSTEM, THOSE
 RECORDS MUST BE BACKED UP ON AN EXTERNAL SERVER OR OVER THE INTERNET  AT
 THE CLOSE OF EACH BUSINESS DAY;
   2.  ALL  RIFLES  AND SHOTGUNS ACQUIRED BUT NOT YET DISPOSED OF MUST BE
 ACCOUNTED FOR THROUGH AN INVENTORY CHECK PREPARED ONCE  EACH  MONTH  AND
 MAINTAINED IN A SECURE LOCATION;
   3.  RIFLE  AND  SHOTGUN  DISPOSITION INFORMATION, INCLUDING THE SERIAL
 NUMBERS OF RIFLES AND SHOTGUNS SOLD, DATES  OF  SALE,  AND  IDENTITY  OF
 PURCHASERS,  SHALL  BE  MAINTAINED  AND  MADE  AVAILABLE  AT ANY TIME TO
 GOVERNMENT LAW ENFORCEMENT AGENCIES AND TO THE MANUFACTURER OF THE WEAP-
 ON OR ITS DESIGNEE; AND
 A. 837--D                           4
 
   4. EVERY DEALER SHALL MAINTAIN RECORDS OF CRIMINAL RIFLE  AND  SHOTGUN
 TRACES INITIATED BY THE FEDERAL BUREAU OF ALCOHOL, TOBACCO, FIREARMS AND
 EXPLOSIVES  ("ATF").  ALL  ATF  FORM  4473  TRANSACTION RECORDS SHALL BE
 RETAINED ON  THE  DEALER'S  BUSINESS  PREMISES  IN  A  SECURE  CONTAINER
 DESIGNED TO PREVENT LOSS BY FIRE, THEFT, OR FLOOD.
   § 875-G. INTERNAL COMPLIANCE AND CERTIFICATION. 1. EVERY DEALER SHALL:
   (A)  IMPLEMENT  AND MAINTAIN SUFFICIENT INTERNAL COMPLIANCE PROCEDURES
 TO ENSURE COMPLIANCE WITH THE REQUIREMENTS OF THIS ARTICLE; AND
   (B) ANNUALLY CERTIFY  TO  THE  SUPERINTENDENT  THAT  SUCH  DEALER  HAS
 COMPLIED  WITH  ALL OF THE REQUIREMENTS OF THIS ARTICLE. THE SUPERINTEN-
 DENT SHALL BY REGULATION DETERMINE THE FORM AND CONTENT OF  SUCH  ANNUAL
 CERTIFICATION.
   2.  THE SUPERINTENDENT SHALL PROMULGATE REGULATIONS ESTABLISHING PERI-
 ODIC INSPECTIONS OF NOT LESS THAN ONE INSPECTION OF EVERY  DEALER  EVERY
 THREE YEARS, DURING REGULAR AND USUAL BUSINESS HOURS, BY THE DIVISION OF
 STATE  POLICE OF THE PREMISES OF EVERY DEALER TO DETERMINE COMPLIANCE BY
 SUCH DEALER WITH THE REQUIREMENTS OF THIS ARTICLE.  EVERY  DEALER  SHALL
 PROVIDE  THE  DIVISION OF STATE POLICE WITH FULL ACCESS TO SUCH DEALER'S
 PREMISES FOR SUCH INSPECTIONS.
   § 875-H. RULES AND REGULATIONS. THE SUPERINTENDENT MAY PROMULGATE SUCH
 ADDITIONAL RULES AND REGULATIONS AS THE SUPERINTENDENT SHALL DEEM NECES-
 SARY TO PREVENT FIREARMS, RIFLES, AND SHOTGUNS FROM BEING DIVERTED  FROM
 THE LEGAL STREAM OF COMMERCE.
   §  875-I.  VIOLATIONS.  ANY PERSON, FIRM, OR CORPORATION WHO KNOWINGLY
 VIOLATES ANY PROVISION OF THIS ARTICLE SHALL BE  GUILTY  OF  A  CLASS  A
 MISDEMEANOR PUNISHABLE AS PROVIDED FOR IN THE PENAL LAW.
   § 2. Subdivisions 11 and 12 of section 400.00 of the penal law, subdi-
 vision 11 as amended by chapter 1 of the laws of 2013 and subdivision 12
 as  amended  by  chapter 129 of the laws of 2019, are amended to read as
 follows:
   11. License: revocation and suspension. (a) The conviction of a licen-
 see anywhere of a felony or serious offense or a licensee  at  any  time
 becoming ineligible to obtain a license under this section shall operate
 as a revocation of the license. A license may be revoked or suspended as
 provided  for in section 530.14 of the criminal procedure law or section
 eight hundred forty-two-a of the family court act. Except for a  license
 issued  pursuant  to  section  400.01  of this article, a license may be
 revoked and cancelled at any time in the city of New York,  and  in  the
 counties  of Nassau and Suffolk, by the licensing officer, and elsewhere
 than in the city of New York by any judge  or  justice  of  a  court  of
 record;  a license issued pursuant to section 400.01 of this article may
 be revoked and cancelled at any time by the  licensing  officer  or  any
 judge  or justice of a court of record. A LICENSE TO ENGAGE IN THE BUSI-
 NESS OF DEALER MAY BE REVOKED OR SUSPENDED  FOR  ANY  VIOLATION  OF  THE
 PROVISIONS  OF  ARTICLE  THIRTY-NINE-BB OF THE GENERAL BUSINESS LAW. The
 official revoking a license shall give written  notice  thereof  without
 unnecessary delay to the executive department, division of state police,
 Albany,  and  shall  also notify immediately the duly constituted police
 authorities of the locality.
   (b) Whenever the director of community services or his or her designee
 makes a report pursuant to section 9.46 of the mental hygiene  law,  the
 division  of  criminal  justice  services shall convey such information,
 whenever it determines that the person named in the report  possesses  a
 license  issued  pursuant  to this section, to the appropriate licensing
 official, who shall issue an order suspending or revoking such license.
 A. 837--D                           5
 
   (c) In any instance in  which  a  person's  license  is  suspended  or
 revoked  under  paragraph  (a)  or  (b) of this subdivision, such person
 shall surrender such license to the appropriate licensing  official  and
 any  and  all  firearms,  rifles, or shotguns owned or possessed by such
 person  shall be surrendered to an appropriate law enforcement agency as
 provided in subparagraph (f)  of  paragraph  one  of  subdivision  a  of
 section  265.20  of  this  chapter.  In the event such license, firearm,
 shotgun, or rifle is not surrendered, such items shall  be  removed  and
 declared  a  nuisance  and  any  police  officer or peace officer acting
 pursuant to his or her special duties is authorized to  remove  any  and
 all such weapons.
   12.  Records  required  of gunsmiths and dealers in firearms. [Any] IN
 ADDITION TO THE REQUIREMENTS SET FORTH IN ARTICLE THIRTY-NINE-BB OF  THE
 GENERAL  BUSINESS  LAW,  ANY  person  licensed  as gunsmith or dealer in
 firearms shall keep a record book approved as to  form,  except  in  the
 city  of  New York, by the superintendent of state police. In the record
 book shall be entered at the  time  of  every  transaction  involving  a
 firearm the date, name, age, occupation and residence of any person from
 whom  a  firearm  is received or to whom a firearm is delivered, and the
 calibre, make, model, manufacturer's name and serial number, or if none,
 any other distinguishing number or identification mark on such  firearm.
 Before  delivering  a  firearm to any person, the licensee shall require
 him to produce either a license valid under this  section  to  carry  or
 possess  the  same,  or  proof  of  lawful authority as an exempt person
 pursuant to section 265.20 of this chapter and either (a)  the  National
 Instant  Criminal  Background  Check  System (NICS) or its successor has
 issued a "proceed" response to the licensee, or (b) thirty calendar days
 have elapsed since the date the licensee contacted NICS  to  initiate  a
 national instant criminal background check and NICS has not notified the
 licensee  that  the  transfer  of  the  firearm to such person should be
 denied. In addition, before delivering a firearm to a peace officer, the
 licensee shall verify that person's status as a peace officer  with  the
 division  of  state police. After completing the foregoing, the licensee
 shall remove and retain the attached coupon and enter in the record book
 the date of such license, number, if any,  and  name  of  the  licensing
 officer,  in the case of the holder of a license to carry or possess, or
 the shield or other number, if any, assignment and department,  unit  or
 agency, in the case of an exempt person. The original transaction report
 shall  be  forwarded  to the division of state police within ten days of
 delivering a firearm to any person, and a duplicate copy shall  be  kept
 by  the  licensee. The superintendent of state police may designate that
 such record shall be completed and transmitted  in  electronic  form.  A
 dealer  may  be granted a waiver from transmitting such records in elec-
 tronic form if the superintendent determines that such dealer is incapa-
 ble of such transmission due to technological limitations that  are  not
 reasonably  within  the  control  of  the  dealer,  or other exceptional
 circumstances demonstrated by the dealer, pursuant to a  process  estab-
 lished  in  regulation,  and  at  the  discretion of the superintendent.
 Records assembled or collected for purposes of inclusion in the database
 created pursuant to section 400.02 of this article shall not be  subject
 to  disclosure  pursuant  to article six of the public officers law. The
 record book shall be maintained on the premises mentioned and  described
 in  the license and shall be open at all reasonable hours for inspection
 by any peace officer, acting pursuant to his special duties,  or  police
 officer.  In  the event of cancellation or revocation of the license for
 gunsmith or dealer in firearms,  or  discontinuance  of  business  by  a
 A. 837--D                           6

 licensee,  such  record  book  shall  be  immediately surrendered to the
 licensing officer in the city of New York, and in the counties of Nassau
 and Suffolk, and elsewhere in the state  to  the  executive  department,
 division of state police.
   § 3. Severability. If any clause, sentence, paragraph, section or part
 of  this act shall be adjudged by any court of competent jurisdiction to
 be invalid, such judgment shall not affect,  impair  or  invalidate  the
 remainder thereof, but shall be confined in its operation to the clause,
 sentence,  paragraph,  section  or part thereof directly involved in the
 controversy in which such judgment shall have been rendered.
   § 4. This act shall take effect on the one hundred eightieth day after
 it shall have become a law. Effective immediately, the addition,  amend-
 ment  and/or  repeal of any rule or regulation for the implementation of
 section two of this act on its effective date are authorized to be  made
 on or before such effective date.