Form DS-156E Nonimmigrant Treaty Trader/Investor Application

NONIMMIGRANT TREATY TRADER/INVESTOR VISA APPLICATION INSTRUCTIONS
This form, together with Form DS-156, Nonimmigrant Visa Application, constitutes the application for an E-1 Treaty Trader or E-2 Treaty Investor
Nonimmigrant Visa. See visa requirements below. Incomplete or undocumented applications will be returned.
All first-time applicants seeking Treaty Trader or Treaty Investor status must complete Parts I and II. Parts I and II must be updated periodically. All
individual applicants must complete Part III and Form DS-156. You must answer all relevant questions. Enter "Not applicable" where appropriate. If an
enterprise is not yet fully operational, estimates and projections should be made concerning potential income, job creation, volume of sales, etc.
Supporting documents should be submitted in a binder with a table of contents and tabs. The following are examples of supporting documentation which
should be attached to first-time applications (not every type of document is applicable in each case; the consular officer may request additional information
if required): Evidence of possession and control of investment funds (bank records, financial statements, loans, savings, promissory notes, etc.); evidence
of remittance to the United States (bank drafts, transfers, exchange permits, receipts, etc.); evidence of establishment of business in the United States
(articles of incorporation, partnership agreement, organization and staffing charts, shares, titles, contracts, receipts, licenses, leases, etc.); evidence of the
nationality of the investors/traders (passports, articles of incorporation of parent company, stock exchange listings, etc.); evidence of trade between the
United States and the treaty country (invoices, bills of lading, customs clearances, warehouse receipts, shipping receipts, sales receipts, contracts, etc.);
evidence of investment in the United States (titles, receipts, contracts, loans, bank statements, etc.); evidence of substantiality (financial statements,
audits, U.S. corporate or business tax returns, etc.); evidence that the enterprise is not marginal (payroll records, IRS Form 941, personal tax returns,
evidence of other personal assets and income); evidence that the business is a real, operating enterprise (annual reports, catalogs, sales literature, news
articles, and other evidence as appropriate); curriculum vitae of the proposed visa recipient (optional).
Use additional sheets of paper, as necessary, to complete responses.

TREATY TRADER AND TREATY INVESTOR VISA REQUIREMENTS
Section 101(a)(15)(E) of the Immigration and Nationality Act provides nonimmigrant visa status for a national of any of the countries with which the United
States maintains an appropriate treaty of commerce an d navigation, who is coming to the United States to carry on substantial trade, including trade in
services or technology, principally between the United States and the treaty country, or to develop and direct the operations of an enterprise in which the
national has invested, or is actively in the process of investing, a substantial amount of cap ital. The requirements for Treaty Trader and Treaty Investor
visas are further elaborated in 22 CFR Part 41.51. These requirements are summarized below:
Requirements for a Treaty Trader (E-1) nonimmigrant visa are:
1. The applicant must be a national of a treaty country.
2. The trading firm for which the applicant is coming to the United States must have the nationality of the treaty country.
3. The international trade must be "substantial" in the sense that there is a sizable and continuous volume of trade.
4. The trade must be principally between the U nited States and the treaty country, which means that more than 50 % of the intern ational trade
involved must be between the United States and the country of the applicant's nationality.
5. Trade means the intern ational exchange of goods, services and technology. The item of trade, and title of that item, must pass from one party to
the other in exchange for consideration.
6. The applicant must be employed in a supervisory or executive capacity, or possess highly specialized skills essential to the successful and efficient
operation of the commercial enterprise. Ordinarily skilled or unskilled workers generally do not qualify.
Requirements for a Treaty Investor (E-2) nonimmigrant visa are:
1. The investor, either a real or corporate person, must be a national of a treaty country.
2. The investment must be substantial. It must be sufficient to ensure the successful ope ration of the en terprise. The percentage in investment
required for a low-cost business enterprise is generally higher than the percentage of investment required for a high-cost enterprise.
The investment must be in a r eal operating commercial enterprise. Speculative or idle investment does not qualify. Uncommitted funds in a bank
3. account or similar security are not considered an investment.
The investment may not be marginal. It must have the capacity to generate significantly more income than just to provide a living to the investor
4. and family, or it must have a significant economic impact in the United States.
The investor must have control of the fund s, and the investment must be at risk in the commercial sense. Loans secured with the assets of the
5. investment enterprise are not considered to be at risk.
The investor must be coming to the United States solely to develop and direct the enterprise. If the applicant is not the principal investor, he or she
6. must be employed in a supervisory, executive, or highly specialized skills capacity. Ordinarily skilled and unskilled workers do not qualify.

CONFIDENTIALITY AND PAPERWORK REDUCTION ACT STATEMENTS
Confidentiality Statement - INA Section 222(f) provides that visa issuance and refusal records shall be considered confidential and shall be used only for
the formulation, amendment, administration, or enforcement of the immigration, nationa lity, and other laws of the U nited States. Certified copies of visa
records may be made available to a court which certifies that the information contained in such records is needed in a case pending before the court.
Paperwork Reduction Act Statement - *Public reporting burden for this collection of information is estimated to average 4 hours per response, including
time required for sear ching existing data sources, gathering the necessary documentation, providing the information and/or documents required, and
reviewing the final collection. You do not have to supply this information unless this collection displays a currently valid OMB control number. If you have
comments on the accuracy of this burden estimate and/or recommendations for reducing it, please send them to: PRA_BurdenComments@state.gov

DS-156E

Instruction Page 1 of 1

U.S. Department of State

NONIMMIGRANT TREATY TRADER/INVESTOR APPLICATION
USE WITH FORM DS-156/I-129
(USE ADDITIONAL SHEETS OF PAPER, AS NECESSARY, TO COMPLETE RESPONSES)

OMB APPROVAL NO. 1405-0101
EXPIRES: xx/xx/xxxx
ESTIMATED BURDEN: 4 HOURS*
(See Instruction Page)

PART I - BUSINESS PROFILE

1. Name of U.S. Enterprise, Business, or Company
2. Type of Business Enterprise:
Corporation

Branch/Liaison Office

Partnership

Privately owned

Joint Venture

Subsidiary

Other

3. Address of Headquarters, Subsidiaries and Branch Offices of U.S. Enterprise (Specify type of office)

Telephone Number:

FAX Number:

4. Date (mm-dd-yyyy) and Place Business Was Established or Incorporated in the United States (Attach appropriate documentation; e.g., corporate
papers, partnership agreement, etc.)

5. What is the nature of the business?
Other (Describe)

General Trade

Exports from U.S.

Retail Sales

Imports to U.S.

Manufacturing

Services/Technology

6. Describe fully the services, production, or other activity in No. 5 above.

7. Name and Address of Foreign Parent Business (If any)

Telephone Number:

FAX Number:

8. Nationality of Foreign Entity (Corporation, Partnership, etc.) or Foreign Individual Owner of U.S. Business (Attach documentation)
NAME

NATIONALITY

IF INDIVIDUAL INVESTOR,
IMMIGRATION STATUS/

PERCENT OF OWNERSHIP

Total - 100%

9. Financial Statement for year

Calendar Year

Total Assets of U.S. Business:

Fiscal Year (Attach most recent financial statement or auditor's report)
Current Cash

Total Liabilities:
Owner's Equity:*
Total Annual Operating Income:

DS-156E
06-2011

Before Taxes

After Taxes

PREVIOUS EDITIONS OBSOLETE

Historical Cost

* Owner's equity of a corporation refers
to paid-in capital plus retained
earnings; partner's capital accounts in
a partnership; and owner's capital
account in a sole proprietorship.
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10. To measure the amount of international trade with the United States, please complete the follow ing. (For trade in merchandise, exports and imports,
T
refer to shipment and sale of goods across international boundaries. For trade in services and technology, exports and imports, refer to the sale of
services by treaty-country nationals to nationals of the United States and other countries.)
Gross International Trade of the U.S. Enterprise in

(year)

Calendar Year

Fiscal Year

Imports from treaty country to U.S. business

Ending
PERCENT OF TOTAL TRADE

NO. OF TRANSACTIONS
(Optional)

DOLLAR VALUE

Exports from U.S. business to treaty country
Imports from third countries to U.S. business
Exports from United States to third countries
Domestic U.S. production/manufacturing

100%

Total:
11. Type of Investment (Check one)
Purchase of an existing business
Purchase Price:

Creation of a new business
Total Start-up Costs:

Continuation of an existing business
Fair Market Value of Business:

12. Total Investment from Abroad Made in the United States (Attach documentation)
FOR YEAR

Calendar

Fiscal
TOTAL CUMULATIVE INVESTMENT

INITIAL INVESTMENT

Cash
Inventory
Equipment
Premises
Other (describe)
TOTAL
13. Source of Investment Capital (personal funds, corporate funds, loans, stocks, debentures, bonds, etc.); Evidence of Possession and Control of
Funds in the United States (Attach full documentation)
PART II - STAFF
14. Type of Personnel in the United States (Attach staffing chart)
Specify:
Fiscal Year
Calendar Year
MANAGERIAL
EXECUTIVE
This Year

Next Year

SPECIALIZED
ESSENTIAL
This Year

Next Year

ALL OTHER
EMPLOYEES
This Year

Next Year

Nationals of Treaty Country on E, H, & L Visas:
U.S. Citizens and Legal Permanent Residents:
Other (Third-Country Nationals):
TOTAL:
15. List all personnel of U.S. business holding executive, managerial and/or specialist positions by subsidiary/branch office. If aliens, indicate
nonimmigrant visa status or lawful permanent resident (LPR) status.
U.S. VISA
NAME AND POSITION/TITLE/DIVISION

DS-156E

NATIONALITY

TYPE

DATE
(mm-dd-yyyy)

PLACE OF ISSUANCE

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PART III - APPLICANT
16. Name of Applicant
(Family Name)

(First Name)

17. Type of Applicant:
Principal owner/investor/trader

(Middle Name)

Specialist

Supervisor

Other

Executive

Manager
18. Present Position and Duties (Describe in detail)

19. Name and Address of Employer

20. Years with Present Employer

21. Highest Level of Education
School

Major/Subject

Degree

Year

22. Other Relevant Experience and Education (Attach Curriculum Vitae - Optional)

23. Position in the United States

Title

Description of duties (include names and titles of all immediate subordinates)

24. Annual U.S. Salary and Benefit Package

25. Name of Person in the United States Being Replaced

Salary
Allowances/Benefits
TOTAL

If NOT a replacement, is this:
a. An increase in staff?
Yes

Type of Visa
Date issued (mm-dd-yyyy)

No

b. Continuation of existing employment in the
United States?
No
Yes

Place issued

26. I do solemnly swear or affirm that all statements which appear in this application are true and complete to the best of my knowledge
and belief.

Signature of Responsible Officer

Printed Name and Position or Office

Date (mm-dd-yyyy)

27. Name and Address of Person Who May Be Contacted About This Application
Telephone:
FAX:

DS-156E

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