Form DS-156E, Explained: E-1/E-2 Filing, Parts, and Submission

Form DS-156E is the supplemental treaty trader/investor application that every E-1 and E-2 visa applicant files at a U.S. consulate alongside the online DS-160.¹ It has three parts covering the sponsoring business, its U.S. staff, and your personal role, and you complete it before assembling the supporting documents a consular officer will want to see. Download the current PDF from the State Department’s eForms site at eforms.state.gov.

Who Files the Form

The principal treaty trader or investor files a DS-156E, and so does every employee the enterprise sends to the United States in E status. First-time applicants complete all three parts. On subsequent applications, the business-related sections (Parts I and II) need updating rather than a full rewrite.¹

Employees qualify only if they hold an executive or supervisory position, or have special qualifications essential to the enterprise’s efficient operation.² Ordinary staff roles do not qualify, and Part III of the form is where the officer confirms which category applies.

Two threshold facts govern whether you can file at all. First, you must be a national of a country that maintains a qualifying treaty of commerce or bilateral investment treaty with the United States; the State Department publishes the country list at travel.state.gov, and not every treaty country qualifies for both E-1 and E-2.³ Second, nationals of that treaty country must own at least 50 percent of the sponsoring enterprise. Green card holders from the country do not count toward the 50 percent, and if ownership slips below the threshold, any E visas tied to the enterprise become invalid.²

What the Enterprise Has to Show

Part I of the DS-156E is where the business proves it qualifies. The standards differ by category.

E-1 Treaty Trader

The enterprise must carry on substantial trade, meaning a continuous flow of sizable transactions between the United States and the treaty country. A single large deal will not do. The Foreign Affairs Manual tells consular officers to weigh both the volume and the frequency of transactions, with more numerous exchanges of larger value carrying greater weight.⁴ A smaller business can still qualify by showing a steady pattern of modest transactions, provided the income supports the trader and their family. Over 50 percent of the enterprise’s total international trade volume must be between the U.S. and the treaty country. Goods, services, technology, banking, insurance, and tourism all count.

E-2 Treaty Investor

The investor must commit a substantial amount of capital to a real, operating U.S. enterprise. There is no fixed dollar minimum. The State Department applies a proportionality test: the investment must be substantial relative to the total cost of the business.⁴ A $100,000 startup where the investor put up the full amount easily qualifies. A $100 million business might qualify with a $10 million investment based on sheer magnitude. The lower the overall cost, the higher the percentage the investor needs to have committed.

The enterprise cannot be marginal. It must have the present or future capacity to generate more than a minimal living for the investor’s family. A new business that has not yet reached profitability can still qualify if it can project significant economic contributions within roughly five years of starting operations.⁴

Completing the Three Parts

Answer every field on the form. Write “Not applicable” where a question does not apply, and use reasonable estimates and projections if the enterprise is not yet fully operational.¹

Part I: Business Profile

Part I asks for the U.S. business’s name, address, and date of establishment, along with the name and address of any foreign parent and the nationality of the foreign entity. Attach the most recent financial statement or auditor’s report. Expect to disclose gross income, net income, total inventory value, and physical assets. For E-2 applicants especially, these numbers have to demonstrate the enterprise is not marginal. Back up each figure with corporate tax returns, audited balance sheets, or comparable accounting records.

Part II: Staff

Part II uses a grid that classifies employees along two axes: role (managerial/executive, specialized/essential, or all other employees) and immigration status (treaty-country nationals on E, H, or L visas; U.S. citizens and lawful permanent residents; or third-country nationals). Fill in current-year and projected next-year headcounts for each cell.¹ Below the grid, list every executive, manager, and specialist by name, title, nationality, and visa type, and attach an organizational chart. This data lets the officer confirm the enterprise still meets the 50 percent nationality-of-ownership test and that its staffing pattern is reasonable.

Part III: Individual Applicant

Part III is your section. Write a detailed description of the specific duties you will perform daily and make clear how the role is executive, supervisory, or specialized. Generic job descriptions are one of the most common triggers for requests for evidence and denials. Spell out decision-making authority, the teams you manage, or the technical processes only you can operate. Also disclose your projected annual salary and benefits, your education, and your prior experience with the firm or in the industry. Every answer here should match your DS-160. Contradictions between the two forms invite scrutiny at the interview.

Supporting Documents to Attach

The form’s instructions list categories of evidence you should include. Not every category applies to every case, and the officer can request more. Organize everything in a tabbed binder with a table of contents.¹

Nationality of owners: passports of individual owners, articles of incorporation of the parent company, or stock exchange listings showing ownership.
Establishment of the U.S. business: articles of incorporation, partnership agreements, organizational charts, share certificates, contracts, licenses, and lease agreements.
Investment funds (E-2): bank records, financial statements, loan documents, promissory notes, and proof funds were transferred to the U.S. (bank drafts, wire transfer receipts, exchange permits).
Trade volume (E-1): commercial invoices, bills of lading, customs clearances, warehouse receipts, shipping documents, and sales contracts.
Substantiality: financial statements, audit reports, and U.S. corporate or business tax returns.
Non-marginal enterprise: payroll records, IRS Form 941 quarterly employment tax returns, personal tax returns, and evidence of other personal assets and income.
Active operations: annual reports, catalogs, sales literature, and news articles showing the business is real and operating.
Applicant qualifications: a curriculum vitae is optional but strongly recommended.

Fees and How to Submit

Before the consulate will schedule your interview, pay the nonrefundable Machine Readable Visa (MRV) application fee. For E-category visas, that fee is $315 per applicant.⁵ Most consulates collect payment through an online portal and require you to keep the receipt for verification at the interview. Some posts also charge a visa issuance fee based on reciprocity with your country, which you can check on the State Department’s reciprocity schedule.

Package the completed DS-156E with your DS-160 confirmation page, financial documents, and evidence binder. Submission procedures vary by consulate. Most posts require you to upload documents through an online portal or email them to the visa unit before the interview; some still accept or require a hard-copy packet mailed to the consulate. Check your specific consulate’s website for its current instructions, because misrouting the packet can delay your case by weeks.

At the Interview

Bring a printed, signed copy of the DS-156E to the interview along with originals of anything you submitted electronically. The consular officer will review the form in person and ask questions about the enterprise’s operations, your role, and the financials. Processing times vary from a few weeks to several months depending on the post and whether administrative processing is needed. After a successful interview, most consulates issue the visa within a few business days.

Denials most often trace back to incomplete documentation, financials that fail to show a non-marginal enterprise, a job description too vague to confirm the position is executive, supervisory, or specialized, or an enterprise that misses the 50 percent nationality-of-ownership threshold. If your application is denied, the officer should give you the reason, and in many cases you can reapply with stronger evidence.

If You Are Already in the United States

Form DS-156E is only for consular processing abroad. If you are already in the U.S. on another valid nonimmigrant status and want to change to E-1 or E-2, or if you already hold E status and want to extend without leaving the country, your employer files Form I-129 (Petition for a Nonimmigrant Worker) with USCIS instead.⁶ Much of the same supporting evidence carries over, but the paperwork goes to USCIS, and no DS-156E is required. One catch: an approved I-129 extends your authorized stay but does not give you a visa stamp, so if you leave the country you will still need to apply at a consulate abroad, DS-156E included, before you can re-enter in E status.

1
U.S. Department of State. DS-156E Treaty Trader/Investor Visa Application
2
eCFR. 22 CFR 41.51 – Treaty Trader, Treaty Investor, or Treaty Alien in a Specialty Occupation
3
U.S. Department of State. Treaty Countries
4
U.S. Department of State. 9 FAM 402.9 – Treaty Traders, Investors, and Specialty Occupation
5
U.S. Department of State. Fees for Visa Services
6
U.S. Citizenship and Immigration Services. I-129, Petition for a Nonimmigrant Worker