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  • May 16, 2026

How to Fill Out USCIS Form I-956H (w/Examples) + FAQs

Filling out USCIS Form I-956H means disclosing the personal background of every person involved with an EB-5 Regional Center, New Commercial Enterprise (NCE), Job-Creating Entity (JCE), affiliated job-creating entity, issuer, or migration agent so USCIS can decide if each person is fit to participate in the EB-5 Regional Center Program. The form is required by the EB-5 Reform and Integrity Act of 2022 (RIA), and you must file a separate I-956H for each covered person.

The stakes are real: filing a false statement on Form I-956H can lead to permanent debarment from the EB-5 program, criminal prosecution under 18 U.S.C. §1001, and SEC enforcement under the Securities Act of 1933. According to IIUSA industry data, more than 600 Regional Centers were active before the RIA, and USCIS has since terminated dozens for compliance failures tied directly to bad-actor disclosures.

  • 📋 How to complete every Part of Form I-956H line by line
  • ⚖️ Which criminal, civil, and securities disclosures trigger automatic bars
  • 🧑‍💼 Three named real-world scenarios showing right and wrong answers
  • 🚨 Seven costly mistakes that get filings rejected or Regional Centers terminated
  • ❓ Ten plain-English FAQs covering edition dates, fees, and signature rules

What Form I-956H Is and Why It Exists

Form I-956H is the Bona Fides of Persons Involved with Regional Center Program disclosure form created by the USCIS Immigrant Investor Program Office (IPO) to enforce Section 203(b)(5)(H) of the Immigration and Nationality Act, as amended by the RIA. The purpose is simple: keep people with disqualifying criminal, civil, or securities histories out of the EB-5 Regional Center pipeline. Congress passed this rule after years of fraud cases, including the well-known SEC v. Path America case where investors lost millions.

The form replaces the old, informal “principal disclosure” letters Regional Centers used before March 2022. Now, every person who is in a position of substantive authority must file their own I-956H. The form runs with companion filings such as Form I-956 (Regional Center Designation), Form I-956F (Project Application), and Form I-956G (Annual Statement).

The plain-English rule is that if you touch the money, the marketing, or the management, USCIS wants your background on file. The consequence of skipping a required filer is that the entire Regional Center application can be denied or terminated under 8 CFR §204.6. A common misconception is that only the Regional Center principal must file; in reality, agents, promoters, and similar parties must each file their own form.

Who Must File Form I-956H

The RIA at INA §203(b)(5)(H)(i) lists the covered persons. These include any person involved with a Regional Center, NCE, JCE, affiliated JCE, issuer, or migration agent who is in a position of substantive authority over the operation, management, or promotion of the entity. That covers principals, board members, directors, managers, general partners, fund managers, attorneys-in-fact, and any promoter who finds investors. The consequence of leaving one of these people off is automatic: USCIS can issue a Notice of Intent to Deny (NOID) or Notice of Intent to Terminate (NOIT).

A real example helps. Maria Chen is the managing member of a California NCE. She also hired her cousin, Daniel, as an outside marketing agent who pitches the project to investors in Taipei. Both Maria and Daniel must file Form I-956H, because Daniel is a migration agent under the statute. A common misconception is that foreign-based promoters are exempt; they are not.

When the Form Is Filed

You file Form I-956H whenever a covered person joins a Regional Center or related entity, when you submit Form I-956, when you submit Form I-956F, and on the annual Form I-956G filing. The USCIS Policy Manual, Volume 6, Part G confirms the form must be current at the time of each filing. The consequence of filing a stale I-956H is a Request for Evidence (RFE) that delays the Regional Center’s project approvals by months.

Step-by-Step: Filling Out Each Part of Form I-956H

The current edition of Form I-956H is dated and posted on the official Form I-956H page. USCIS updates editions regularly, so always download a fresh PDF before signing. There is currently no filing fee for Form I-956H itself when it is filed with Form I-956 or I-956F, because the fee is built into the parent form’s fee, per the USCIS Fee Schedule.

The form has nine parts. Each line item carries its own consequence if answered wrong. Below, every Part gets a plain-English explanation, the consequence of getting it wrong, and a real-world example.

Part 1: Information About You

Part 1 collects the filer’s full legal name, other names used, date of birth, country of birth, country of citizenship, and Alien Registration Number (A-Number) if any. The plain-English rule is to match the spelling on your passport exactly. The consequence of a mismatch is an RFE that can delay the related I-956 or I-956F filing by 60 to 120 days.

A real example: James O’Brien, an Irish citizen serving as fund manager of a Florida NCE, must list “James Patrick O’Brien” exactly as written on his Irish passport, including the apostrophe. He must also list his prior married name “James Murphy” in the “Other Names Used” field. A common misconception is that maiden names or anglicized spellings are optional; the USCIS instructions require all prior names.

Part 2: Contact Information

Part 2 asks for your physical address, mailing address, daytime phone, mobile phone, and email. USCIS uses these to send notices and to run identity checks against LexisNexis and federal databases. The consequence of using a stale address is missed notices, which can be treated as constructive receipt under 8 CFR §103.2(b)(19).

Part 3: Role and Position

Part 3 asks you to describe your exact role: principal, agent, employee, attorney, promoter, board member, manager, or other. You also describe your duties, decision-making authority, and ownership percentage. The plain-English rule is to be specific. The consequence of vague answers like “consultant” is an RFE asking for clarification of substantive authority.

A real example: Priya Patel is listed as “consultant” to a Texas Regional Center but in fact has check-signing authority on the NCE escrow account. She must disclose that signing authority in Part 3 because it qualifies as substantive authority. A common misconception is that 1099 contractors do not need to disclose; if they exercise authority, they do.

Part 4: Other Affiliations

Part 4 asks whether you have served, in the last 10 years, with any other Regional Center, NCE, JCE, issuer, or migration agent. You must list every entity by name, EIN, your role, and the dates of service. The consequence of omitting a prior affiliation is treated as material misrepresentation under INA §212(a)(6)(C)(i).

Part 5: Criminal History Disclosures

Part 5 is the most-litigated section. You must answer Yes or No to each of the following:

  • Have you ever been convicted of any criminal offense, other than a minor traffic violation?
  • Are you currently the subject of any criminal investigation, indictment, or charge?
  • Have you ever been the subject of an arrest that did not lead to a conviction?
  • Have you ever served a sentence of imprisonment?

The plain-English rule is that expunged and sealed convictions still count for federal immigration purposes under Matter of Roldan, 22 I&N Dec. 512. The consequence of saying No when the answer is Yes is permanent debarment under INA §203(b)(5)(H)(iii). A common misconception is that DUIs are “minor traffic violations”; they are not — they are misdemeanors and must be disclosed.

A real example: Robert Sinclair, a Regional Center principal in New York, had a 2014 DUI conviction expunged in 2020. He must still answer Yes in Part 5 and attach a written explanation, certified court disposition, and police report. If he answers No, USCIS can refer the file to HSI for prosecution under 18 U.S.C. §1001.

Part 6: Civil and Administrative Actions

Part 6 asks about civil judgments, administrative fines, and regulatory orders. You must disclose any final civil judgment involving fraud, deceit, or misrepresentation; any state or federal administrative action; and any restraining order or injunction. The consequence of nondisclosure is the same as Part 5: permanent debarment and possible criminal referral.

A real example: Linda Park, an NCE manager in Illinois, settled a FINRA arbitration in 2019 for unauthorized trading. The settlement carried no admission of liability, but the order itself is a regulatory action and must be disclosed. A common misconception is that “no admission” settlements do not count; FINRA orders absolutely count under INA §203(b)(5)(H)(ii).

Part 7: Securities-Related Disclosures

Part 7 is the securities-bar section. You must disclose any:

The RIA imposes a 10-year look-back bar: anyone barred from securities for fraud cannot be involved with a Regional Center for 10 years from the date of the bar. The consequence of trying to participate during the bar is automatic Regional Center termination.

A real example: Marcus Webb, a former broker-dealer, accepted a 5-year SEC associational bar in 2022. Marcus cannot serve as principal, agent, or promoter for any Regional Center until 2032 at the earliest. A common misconception is that the bar runs from the violation date; it runs from the order date.

Part 8: Source of Funds and Compensation

Part 8 asks how you are paid by the Regional Center, NCE, or related entity, and whether your compensation depends on investor recruitment. This ties directly to SEC Rule 3a4-1 on broker-dealer registration. The consequence of accepting transaction-based compensation without registration is an SEC enforcement action and an automatic bar under Part 7.

Part 9: Certification, Signature, and Penalties

Part 9 requires the filer’s original signature under penalty of perjury, citing 18 U.S.C. §1001 and 18 U.S.C. §1546. Electronic or stamped signatures are not accepted under the USCIS Signature Policy. The consequence of a defective signature is rejection at the lockbox, which restarts the clock on related I-956 or I-956F filings.

Three Real-World Scenarios

The three fact patterns below show how Part 5, Part 6, and Part 7 disclosures play out in practice.

Scenario 1: The Forgotten DUI

Filer’s Choice What Happens Next
Robert says No to Part 5 because the DUI was expunged USCIS cross-checks FBI rap sheet, finds the conviction, denies I-956, refers to HSI for §1001 prosecution
Robert says Yes, attaches court disposition and explanation USCIS reviews, finds DUI not a fraud crime, approves Regional Center filing

Scenario 2: The Quiet FINRA Settlement

Filer’s Choice What Happens Next
Linda omits the 2019 FINRA order in Part 6 USCIS pulls BrokerCheck, finds the order, terminates the Regional Center
Linda discloses the order, explains no admission, attaches AWC USCIS reviews, finds no fraud finding, allows continued participation

Scenario 3: The Active SEC Bar

Filer’s Choice What Happens Next
Marcus signs as “marketing advisor” without disclosing 2022 SEC bar USCIS denies I-956F, SEC opens new enforcement action, criminal referral follows
Marcus declines the role until 2032 and another principal takes over Regional Center filing proceeds without securities-bar problem

Three Named Examples in More Depth

Example 1: Maria Chen and the Migration Agent Trap

Maria Chen runs a California NCE focused on hotel construction in San Diego. She hires her cousin Daniel Chen in Taipei to recruit investors for a 10% commission. Maria files I-956H for herself but not Daniel because she thinks foreign agents are exempt. Under INA §203(b)(5)(H)(i)(IV), Daniel is a migration agent and must file. The consequence is a NOID, and Maria must amend within 33 days under 8 CFR §103.2(b)(8).

Example 2: Robert Sinclair and the Expunged Record

Robert Sinclair, a New York Regional Center principal, had a 2014 DUI expunged in 2020 under N.Y. CPL §160.59. For state law, the record is sealed. For federal immigration law, the conviction still exists under Matter of Roldan. Robert must answer Yes in Part 5, attach the certified disposition, and explain the rehabilitation. The consequence of saying No is permanent debarment.

Example 3: Priya Patel and the “Consultant” Label

Priya Patel signs a 1099 consulting agreement with a Texas Regional Center. The agreement says she has “no authority,” but she actually signs escrow checks. Priya files I-956H listing herself as “consultant” with no authority. USCIS subpoenas the bank records, finds her signature, and treats the misstatement as material under INA §212(a)(6)(C)(i). The consequence is denial and a 10-year inadmissibility finding.

Mistakes to Avoid on Form I-956H

The seven mistakes below trigger most rejections, RFEs, and terminations seen by IIUSA member counsel.

  • Omitting prior names. Missing a maiden name or anglicized name causes a database mismatch and an RFE delay of 60 to 120 days.
  • Treating DUIs as traffic offenses. DUIs are misdemeanors; failing to disclose triggers permanent debarment under INA §203(b)(5)(H)(iii).
  • Hiding sealed or expunged records. Federal immigration law ignores state expungement; nondisclosure leads to §1001 prosecution.
  • Forgetting FINRA arbitration orders. “No admission” settlements are still regulatory actions and must be disclosed in Part 6.
  • Mislabeling promoters as “consultants.” Substantive authority is functional, not titular; mislabeling is material misrepresentation.
  • Using electronic signatures. USCIS rejects e-signatures on I-956H; only original wet-ink signatures are accepted.
  • Filing a stale edition. USCIS rejects superseded editions at the lockbox, causing the parent I-956 or I-956F to be rejected too.

Do’s and Don’ts

The do’s and don’ts below come from the USCIS Policy Manual, Volume 6, Part G, Chapter 2 and from common RFE patterns.

  • Do download a fresh form from the USCIS website each time, because the edition date changes often and outdated forms get rejected.
  • Do disclose every prior affiliation in the last 10 years, because USCIS cross-checks against SEC EDGAR and state corporate records.
  • Do attach certified court dispositions for every criminal disclosure, because uncertified printouts trigger automatic RFEs.
  • Do sign in blue ink, because black ink is sometimes flagged as a photocopy at the lockbox.

  • Do keep a complete copy of the filed form for 7 years, because USCIS can request audit copies during annual I-956G review.

  • Don’t rely on an attorney’s signature, because the filer must personally certify under penalty of perjury.

  • Don’t assume foreign convictions are excluded, because INA §101(a)(48) defines conviction broadly to include foreign judgments.
  • Don’t leave Part 7 blank if you have any FINRA history, because BrokerCheck is publicly searchable in seconds.
  • Don’t combine multiple filers on one form, because each covered person needs a separate I-956H.
  • Don’t forget to check the I-956H mailing address against the latest USCIS Direct Filing Addresses page, because addresses change without much notice.

Pros and Cons of Filing Form I-956H

The pros and cons below help filers weigh transparency against exposure.

  • Pro: Filing creates a federal record of bona fides that protects future investors and reduces fraud claims under Rule 10b-5.
  • Pro: A clean I-956H can be reused for related I-956F project filings, saving time and legal fees.
  • Pro: The form forces a real compliance check, which often catches issues before SEC or state regulators do.
  • Pro: Filing creates a date-certain start point for the 10-year look-back, giving filers a clear timeline.

  • Pro: Approved I-956H filings strengthen the marketability of the Regional Center to investors abroad.

  • Con: Disclosures are subject to FOIA-style scrutiny by competitors and plaintiffs’ lawyers, which can be embarrassing.

  • Con: Material misstatements expose filers to permanent debarment and criminal prosecution under 18 U.S.C. §1001.
  • Con: Each covered person must file separately, increasing legal cost for large Regional Centers.
  • Con: Annual updates are required with each I-956G, which adds ongoing compliance burden.
  • Con: A single bad-actor filer can taint the entire Regional Center, leading to termination under 8 CFR §204.6.

Federal Law First, Then State Nuances

Federal law in INA §203(b)(5)(H), the RIA Public Law 117-103, and the USCIS Policy Manual control the I-956H disclosures. State law overlays apply when securities or criminal disclosures are involved.

In California, the Department of Financial Protection and Innovation (DFPI) enforces the Corporate Securities Law of 1968. Any DFPI desist-and-refrain order must be disclosed in Part 6. The consequence of nondisclosure is parallel state action that often triggers federal review. A real example: a 2023 DFPI cease-and-desist against a Bay Area EB-5 promoter must appear in Part 6 even though it was a state action.

In Florida, the Office of Financial Regulation enforces the Florida Securities and Investor Protection Act. Florida is the second-largest EB-5 market, and many Regional Centers operate hotel and condo projects there. Any Florida administrative fine must be disclosed in Part 6.

In New York, the Martin Act gives the New York Attorney General broad civil fraud authority. Martin Act subpoenas, even without a final order, can amount to “subject of an investigation” under Part 5 and Part 6 and may need disclosure.

Court Rulings and Precedents That Shape I-956H Answers

Several rulings define how filers must answer.

Matter of Izummi, 22 I&N Dec. 169 (Assoc. Comm’r 1998) sets the rule that material misrepresentation in EB-5 filings is grounds for denial. The court held that even immaterial-seeming omissions can be material if they relate to bona fides.

Matter of Roldan, 22 I&N Dec. 512 (BIA 1999) holds that state expungements do not erase federal immigration consequences. Filers must still disclose expunged records in Part 5.

SEC v. Path America, No. 2:15-cv-01350 (W.D. Wash. 2015) prompted Congress to require I-956H. The case showed how undisclosed promoter bars led to investor losses of more than $125 million.

Padilla v. Kentucky, 559 U.S. 356 (2010) requires criminal-defense lawyers to advise about immigration consequences, which now extends in practice to I-956H disclosure planning.

Filing Logistics, Fees, and Edition Dates

There is currently no separate fee for Form I-956H when filed with Form I-956 or I-956F, because the parent fee on the USCIS Fee Schedule covers it. The form is filed at the USCIS Immigrant Investor Program Office in Washington, DC, via the lockbox listed on the Direct Filing Addresses page. Always confirm the current edition date on the USCIS Form I-956H page before mailing.

USCIS expects original wet-ink signatures, certified translations of any non-English documents under 8 CFR §103.2(b)(3), and clear photocopies of identity documents. The consequence of missing translations is an RFE that delays the filing by 60 to 90 days. A common misconception is that translations can be done by the filer; they must be done by a competent third party who certifies the translation.

Key Entities You Need to Know

The entities below all play a role in I-956H compliance, and naming the right one in the right place matters.

  • USCIS Immigrant Investor Program Office (IPO): adjudicates the form.
  • SEC Division of Enforcement: brings federal securities cases that trigger Part 7 bars.
  • FINRA: issues broker-dealer disciplinary orders disclosed in Part 6.
  • State securities regulators (e.g., DFPI, FL OFR, NY AG): issue Blue Sky orders disclosed in Part 6.
  • HSI and DOJ: prosecute false-statement cases under 18 U.S.C. §1001 and §1546.
  • IIUSA: the trade association that publishes compliance guidance.
  • Regional Center, NCE, JCE, Issuer, Migration Agent: the five entity types whose covered persons must each file.

FAQs

Is there a filing fee for Form I-956H?

No. There is no standalone fee for Form I-956H, because the fee is bundled into the parent Form I-956 or I-956F filing under the current USCIS fee schedule.

Do I need to disclose an expunged DUI?

Yes. Federal immigration law treats expunged convictions as convictions under Matter of Roldan, so Part 5 must show the DUI even if state law has sealed the record.

Are foreign migration agents required to file?

Yes. Migration agents abroad who recruit EB-5 investors are covered persons under INA §203(b)(5)(H)(i)(IV) and must each submit a separate Form I-956H.

Can I sign Form I-956H electronically?

No. USCIS requires an original wet-ink signature on Form I-956H, and electronic or stamped signatures are rejected at the lockbox under current USCIS signature policy.

Does a FINRA settlement with no admission count?

Yes. A FINRA Acceptance, Waiver and Consent (AWC) is still a regulatory order and must be disclosed in Part 6 even when the broker did not admit liability.

Is a 5-year SEC associational bar a permanent disqualifier?

No. The bar runs only for its stated term plus any RIA 10-year look-back, so participation can resume after the bar expires and the look-back ends.

Do I need to file a new I-956H every year?

Yes. A current Form I-956H must accompany each annual Form I-956G filing and any new Form I-956F project application to keep disclosures current.

Are minor traffic tickets reportable in Part 5?

No. Routine traffic infractions like parking tickets and speeding citations are excluded, but DUIs, reckless driving, and any misdemeanor or felony must be disclosed.

Can my immigration attorney sign the form for me?

No. Only the covered person can sign under penalty of perjury, because the certification in Part 9 attaches personal liability under 18 U.S.C. §1001.

Will a clean Form I-956H guarantee Regional Center approval?

No. A clean I-956H is necessary but not sufficient, because USCIS still reviews the project’s economic methodology, source of funds, and job-creation plan separately.

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