Treaty Traders and Treaty Investors Visas

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Overview

Treaty Trader (E-1) and Treaty Investor (E-2) visas are for citizens of countries with which the United States maintains treaties of commerce and navigation. Germany is one of these countries. For a list of all treaty countries, click here.

To qualify for Treaty Trader (E-1) and Treaty Investor (E-2) visas applicants must be coming to the United States either to engage in substantial trade, including trade in service or technology, in qualifying activities, which is principally between the United States and the treaty country, or to develop and direct the operation of an enterprise in which the applicant has invested a substantial amount of capital. Holders of E visas must intend to depart the United States upon the termination of their E status.

The spouse and unmarried children (under 21 years of age) of treaty traders, treaty investors, or employees of enterprises may receive dependent E visas in order to accompany or follow to join their spouse or parent. They are not required to have the same nationality as the principal applicant to obtain an E visa.

E visas permit the investor/trader and his or her family to live in the United States during the period of stay authorized by the Department of Homeland Security (DHS). E visas are nonimmigrant visas; consequently, visa holders are allowed to live in the United States only so long as the conditions under which the visa was granted remain valid. Dependents are not authorized to work in the U.S. unless they receive explicit authorization to do so from DHS-USCIS in the United States. Dependents of treaty traders/investors may apply for work authorization after their arrival in the United States.

It currently takes the Consulate approximately 60 days to process a company registration or renewal of the registration and schedule an interview. Please note, however, that visa processing times vary according to the time of year and our workload. We cannot guarantee that a visa will be processed in time to meet your travel schedule. We always suggest that you apply well ahead of any planned travel date, allowing extra time for any unforeseen delay.

Please choose the type of Evisa that applies to you:

Treaty Trader (E-1)

Procedures for Initial Registration of a Company – or – Renewal of the Registration of a Company with fewer than 25 permanent employees.

  • If you are an applicant from a treaty country, such as Germany, the enterprise itself possesses treaty country nationality, and the enterprise’s activities constitute trade within the meaning of the Immigration and Nationality Act, you may qualify for an E-1 visa. The trade involved must be substantial and must take place principally between the United States and the treaty country [See 9 FAM 402.9-5].
  • If you believe you qualify for an E-1 visa, you must first register and pay the application fee(s) through this wenb site.Please follow the instructions and submit your application by mail. After your application has been received and processed, you will be contacted to schedule an interview.

Required Format for E-1 Company Registration or Renewal

As of August 1, 2015, the U.S. Consulate General in Frankfurt will not be accepting E-visa applications exceeding 90 pages (maximum). These pages may not be double-sided or include several miniature pages pasted on one page.

Please adhere to the following format in submitting your application. Applications not complying with the format below may not be accepted by the E-visa unit.  For specific examples of documentation that could satisfy many of the elements below, please see 9 FAM 402.9-11.

Tab 1a

The following documents:
Tab 1b Form DS-156E on behalf of the principal applicant with Form G-28 (if represented by an attorney) signed by applicant/company representative.
Tab 1c

Cover letter describing company, position and beneficiary. This letter must address all requirements for E visa eligibility as defined by the Foreign Affairs Manual and U.S. law. It should address the following in detail:

  • that the trade is substantial, as defined in 9 FAM 402.9-5(C);
  • that the trade is occurring principally between the United States and the treaty country, 9 FAM 402.9-5(D);
  • that the applicant will fill an executive/supervisory role or possesses skills that are essential to the firm’s effective operation, 9 FAM 402.9-7.
Tab 2a A business plan including a 5-year forecast in a Profit/Loss format (one page), tax returns for the past 2 years (if an existing company), and a one page Year-to-date profit/loss statement.
Tab 2b

Proof of treaty country ownership and controlling interest in the enterprise.

At least 50% of the ultimate owners must be citizens of the treaty nation as evidenced by: Certificates of Incorporation, Articles of Incorporation/Formation/Organization, Stock ledger, plus other documents to establish ownership including Commercial Register, list of shareholders, and copies of owners’ national IDs. If the foreign parent company is owned by other entities, please provide these documents for each company in the ownership chain.

  • In the case of publicly-traded companies, the Consular Officer may presume that the nationality of the corporation is that of the location of the exchange where the company’s stock is exclusively traded. The applicant must provide evidence to support the presumption that citizens of the treaty nation most likely hold the ownership of the firm (e.g. Report of investors per region).

Note: A permanent resident alien does not qualify to bring in employees under INA 101(a)(15)(E). Moreover, shares of a corporation or other business organization owned by permanent resident aliens cannot be considered in determining majority ownership by nationals of the treaty country to qualify the company for bringing in alien employees under INA 101(a)(15)(E).
Tab 2c Evidence of substantial trade as defined by 9 FAM 402.9-5(C) and evidence that trade is principally between the U.S. and the treaty country 9 FAM 402.9-5(D).e.g. Summary of Imports and Exports between the treaty country and the U.S and their percentage in relation to company’s Gross International Trade. 
Tab 3a Evidence of ongoing trade in the last/current operational period: Monthly summaries, invoices, shipping receipts, custom clearances, warehouse receipts, contracts, sales receipts, etc.
Tab 3b Purchase contract for office/ property or lease agreement.
Tab 4 Applicant’s resume and, if an essential employee, evidence that employee has essential skills that the enterprise urgently needs, as well as the projected duration of this essentiality. Please include an organizational chart showing the line-management relationship. You may also wish to explain why the enterprise was unable to find a qualified U.S. citizen or Legal Permanent Resident to fill the position.

SUBMISSION:
Companies applying for Initial Registration or Renewal of the Registration must simultaneously submit a paper application and an additional PDF copy of the paper version.

Original paper application not exceeding 90 pages please mail to:

U.S Consulate General Frankfurt
NIV Section
Attention: E VISA UNIT
Gießener Straße 30
60435 Frankfurt am Main, Germany

Please verify on shorturl.at/mzHJZ how to send per email the scanned copy of the paper application as a PDF file not exceeding 5MB.

Treaty Investor(E-2)

Procedures for Initial Registration of a Company – or – Renewal of the Registration of a Company with fewer than 25 permanent employees

If you are an applicant from a treaty country, the enterprise itself possesses treaty country nationality, and you or the enterprise’s owner has invested or is actively in the process of investing in the US, you may qualify for an E-2 visa. 9 FAM 402.9-6(B). The enterprise must be real and operating. See 9 FAM 402.9-6(C) and the investment must be substantial. See 9 FAM 402.9-6(D).

If you believe you qualify for an E-2 visa, you must first register and pay the application fee(s) through this web site.Follow the instructions and submit your application by mail. After your application has been received and processed, you will be contacted to schedule an interview.

Required Format for E-2 Visa Applications

As of August 1, 2015, the U.S. Consulate General in Frankfurt will not be accepting E-visa applications exceeding 90 pages (maximum). These pages may not be double-sided or include several miniature pages pasted on one page.

Please adhere to the following format in submitting your application. Applications not complying with the format below may not be accepted by the E visa Unit.  For specific examples of documentation that could satisfy many of the elements below, please see 9 FAM 402.9-11.

Tab 1a
Tab 1b A fully completed Form DS-156E on behalf of the principal applicant with Form G-28 (if represented by an attorney) signed by applicant/company representative
Tab 1c

Cover letter describing company, position and beneficiary. This letter must address all requirements for E visa eligibility as defined by the Foreign Affairs Manual and U.S. law. It should address the following in detail:

  • that the investor has invested or is actively in the process of investing, as per 9 FAM 402.9-6(B);
  • that the enterprise is currently running or will imminently open its doors, 9 FAM 402.9-6(C);
  • that the investment is substantial, 9 FAM 402.9-6(D);
  • that the investment is more than a marginal one solely for earning a living, 9 FAM 402.9-6(E);
  • that the applicant will fill an executive/supervisory role or possesses skills that are essential to the firm's effective operation, 9 FAM 402.9-7(A). If the company has previously qualified for E visa status, please include the date and location of the initial qualification. Also, please include a paragraph concerning the applicant's unequivocal intent to depart U.S. when E status ends.
Tab 2a Business plan including a five-year forecast in a Profit/Loss format (one page), tax returns for the past 2 years (if an existing company) and a year-to-date profit/loss statement. The plan must verify the capacity of the enterprise to realize a profit within a maximum of five years. **This is only a requirement for newly created enterprises or those in existence for 2 years or less. **
Tab 2b

Proof of treaty country ownership and controlling interest in the enterprise.

  • At least 50% of the ultimate owners must be citizens of the treaty nation as evidenced by: Certificates of Incorporation, Articles of Incorporation/Formation/Organization, Stock ledger, plus other documents to establish ownership including Commercial Register, list of shareholders, and copies of owners’ national IDs. If the foreign parent company is owned by other entities, please provide these documents for each company in the ownership chain. 
  • In the case of publicly-traded companies, the Consular Officer may presume that the nationality of the corporation is that of the location of the exchange where the company’s stock is exclusively traded. The applicant must provide evidence to support the presumption that citizens of the treaty nation most likely hold the ownership of the firm (e.g. Report of investors per region).

Note: A permanent resident alien does not qualify to bring in employees under INA 101(a)(15)(E). Moreover, shares of a corporation or other business organization owned by permanent resident aliens cannot be considered in determining majority ownership by nationals of the treaty country to qualify the company for bringing in alien employees under INA 101(a)(15)(E).
Tab 2c Demonstrate the applicant has invested or is in the process of investing. See 9 FAM 402.9-6(B). The applicant must demonstrate that the enterprise is a real and operating commercial enterprise, and not a passive investment.
Tab 3a Evidence that investment is substantial as defined by 9 FAM 402.9-6(D). Any evidence of employment should only consider employees on payroll.
Tab 3b Evidence that the enterprise is more than marginal as defined by 9 FAM 402.9-6(E). An applicant is ineligible for E-2 status if the investment in the United States will only return enough income to provide a living for the applicant and his or her family. Outside sources of income do NOT count.

Tab 4

 

 Applicant’s resume and, if an essential employee, evidence that employee has essential skills that the enterprise urgently needs, as well as the projected duration of this essentiality. Please include an organizational chart showing the line-management relationship. You may also wish to explain why the enterprise was unable to find a qualified U.S. citizen or Legal Permanent Resident to fill the position.

 

SUBMISSION:
Companies applying for Initial Registration or Renewal of the Registration must simultaneously submit a paper application and an additional PDF copy of the paper version.

Original paper application not exceeding 90 pages please mail to:

U.S Consulate General Frankfurt
NIV Section
Attention: E VISA UNIT
Gießener Straße 30
60435 Frankfurt am Main, Germany

 

Please verify on shorturl.at/mzHJZ how to send per email the scanned copy of the paper application as a PDF file not exceeding 5MB.

Re-Registration of Companies with more than 25 Employees

Applying for Re-Registration of Companies with more than 25 Direct Employees

Those companies renewing their E visa registration AND which have 25 or more full time Employees at their U.S. Company may use the following streamlined process for renewing their visa registration. (Those companies renewing their E visa registration AND which have fewer than 25 employees should use the procedures and guidelines described in the sections above.

Please verify on shorturl.at/mzHJZ how to send per email the following documents to the E-Visa Unit:

  • DS156-E parts I and II;
  • Cover letter describing company and addressing all requirements for E-visa eligibility as defined by the Foreign Affairs Manual and U.S. law. It should address the following in detail:

E1:

    • That the trade is substantial, as defined in 9 FAM 402.9-5(C)
    • That the trade is occurring principally between the United States and the treaty country, 9 FAM 402.9-5(D)

E2:

  • Up to date Consolidated DS156-E (Pdf) parts I and II
  • Last 3 available U.S tax returns (First 10 pages of each are sufficient)
  • For holdings filing Consolidated tax returns: Include schedule showing subsidiaries e.g. form 851 Affiliations Schedule
  • Last available W-3 report. If Company is a Holding, then submit W-3 forms for each entity
  • Group chart
  • Proof of treaty country ownership and controlling interest in the enterprise. At least 50% of the ultimate owners must be citizens of the treaty nation as evidenced by: Certificates of Incorporation, Articles of Incorporation/Formation/Organization, Stock ledger, plus other documents to establish ownership including Commercial Register, list of shareholders, and copies of owners’ national IDs. If the foreign parent company is owned by other entities, please provide these documents for each company in the ownership chain. 
  • In the case of publicly-traded companies, the Consular Officer may presume that the nationality of the corporation is that of the location of the exchange where the company’s stock is exclusively traded. The applicant must provide evidence to support the presumption that citizens of the treaty nation most likely hold the ownership of the firm (e.g. Report of investors per region).
  • Form G-28 (if represented by an attorney) signed by applicant/company representative.

Only after the E-Visa team confirms to the designated point of contact (Company/Lawyer) that the entity has been successfully updated in records, then employees with assignments in the U.S. will be able to schedule their appointments online as “Employees of Registered Companies”.

E Visas for Employees of Registered Companies

Companies who have registered their firms at the Consulate may apply to have their supervisory and essential employees transferred to the United States. The Foreign Affairs Manual, which dictates the regulations by which Consular Officers must abide, stipulates the definitions of these two groups:

  • Supervisory Employee: This is for Managers, Executives, and Supervisors of the U.S. Company. To be determined a Supervisory Employee within the U.S. company, the Consular Officer will examine the position within the firm’s organizational structure, the duties of the position, the degree to which the applicant will have ultimate control and responsibility for the firm’s overall operations, the number and skill levels of the employees the applicant will supervise, the level of pay, and whether the applicant possesses qualifying executive or supervisory experience.
  • Essential Employee: The Consular Officer will evaluate whether the employees possess special qualifications that make the service to be rendered essential to the efficient operation of the U.S. enterprise. The employee must, therefore, possess specialized skills and, similarly, such skills must be needed by the enterprise.

 Applicants should bring the following required supporting documentation on the day of their interview:

  1. Confirmation of appointment.
  2. DS-160 confirmation page for all applicants and dependents.
  3. Updated DS-156E part I, II, and III (pdf) signed by an officer legally empowered to act in the company's name.
  4. One 5X5cm passport-style photograph for each applicant, taken on plain white background within the last six months (if the photograph could not be uploaded to the online DS-160).
  5. Letter from the company specifying the name of the Subsidiary where the applicant will work and the reasons for his/her assignment to the U.S.
  6. A copy of the applicant’s resume or CV.
  7. A signed contract as proof of employment with company (for new employees of the company).
  8. For any dependents – please see information below.

E Visas for Family Members of Current E-Visa Holders

Application Procedures for Family Members of Treaty Trader/Investors

If you are the legally married spouse or unmarried child under the age of 21 of an E visa holder, you may schedule your appointment for a derivative visa on-line, even if the U.S. business is not registered with the Consulate. This visa is based on the validity of the principal applicant’s visa and/or E visa status; thus he/she must obtain their visa and/or E-visa status first or you must all obtain your visas simultaneously.

Applicants should bring the following required supporting documentation on the day of their interview:

  1. Confirmation of appointment.
  2. DS-160 confirmation page for all applicants and dependents.
  3. One 5x5 cm passport-style photograph for each applicant, taken on plain white background within the last six months (if your photograph could not be uploaded to your online DS-160).
  4. A photocopy of the principal applicant’s E Visa, as well as a copy of the marriage certificate (Heiratsurkunde) or birth certificate (Geburtsurkunde) showing proof of the relationship between the principal applicant and the derivative family member(s).
  5. Applicable fees. 

Please be aware that all E-visa applicants above the age of 14 must appear at the embassy for a personal interview.
Children under 14, of individuals already in possession of valid E-visas, are generally eligible to mail-in their applications and not schedule an interview.

How to Apply

Step 1

Complete the Nonimmigrant Visa Electronic Application (DS-160) form.

Step 2

Pay the visa application fee.

Step 3

Schedule/Request your appointment on this web page. You will need the following information in order to schedule your appointment:

  • Your passport number
  • The CGI reference number from your Visa Fee receipt. Click here if you need help finding this number.
  • The ten (10) digit barcode number from your DS-160 confirmation page
Step 4

Visit the U.S. Embassy or Consulate on the date and time of your visa interview. You must bring a printed copy of your appointment letter, your DS-160 confirmation page, one photograph taken within the last six months and your current and all old passports. Applications without all of these items will not be accepted.

NEW
E-Visas applicants renewing their E-visas are now qualified for a waiver of the interview requirement, eliminating the need to come to the Consular Section in person. Please read the requirements carefully and make sure you qualify for one of the four Interview Waiver Programs (IWP) before you submit your application by mail: https://ustraveldocs.com/de/de-niv-visarenew.asp

Supporting Documents

In addition to the items listed above, you must present an interview appointment letter confirming that you booked an appointment through this service. You may also bring other documents you believe support the information provided to the consular officer.

Caution: Do not present false documents. Fraud or misrepresentation can result in permanent visa ineligibility. If confidentiality is a concern, you should bring your documents to the U.S. Embassy or Consulate in a sealed envelope. The U.S. Embassy or Consulate will not make your information available to anyone and will respect the confidentiality of your information.

More Information

For more information about E visas, visit the Department of State's Treaty Trader and Investor Visa webpage.