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Textbook
1. General Insurance Concepts
2. Producer Roles and Receipt Types
3. Principles of Life Insurance
4. Underwriting
5. Term Life Insurance
6. Whole Life Insurance
6.1 Navigating Cash Value and Risk
6.2 Life Policies, Flexibility, and Tax Implications
7. Variable Insurance Products
8. Group Life Insurance
9. Life Insurance Provisions
10. Annuities
11. Taxation of Life Insurance Products
12. Qualified Retirement Plans
Wrapping up
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6.2 Life Policies, Flexibility, and Tax Implications
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6. Whole Life Insurance

Life Policies, Flexibility, and Tax Implications

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Life insurance policies can be designed to meet different needs. Some policies cover more than one person, while others are used to protect a child’s future insurability. Some policies also offer flexible premium options, letting the owner adjust payments and benefits over time.

Be aware that special tax rules can apply when a policy is funded too aggressively in the early years. If those rules are triggered, the policy’s tax treatment can change going forward.

Joint life

Joint life insurance may be issued as term or whole life. A joint life policy covers two or more lives and pays the death benefit when the first insured person dies.

Survivor life

In contrast to a joint life policy, a survivor life policy pays the death benefit when the last insured person dies. This is often called a “last to die” (or “second to die”) policy.

Juvenile insurance

Juvenile life insurance is typically purchased by a parent or grandparent and later assigned to the child at the age of majority. The main goal is to protect the child’s future insurability by securing coverage while the child is young and healthy.

A popular variation is the jumping juvenile policy. It starts with a low face amount and level premiums. At age 21, the face amount automatically increases - often by a factor of five - without any change in premium. This built-in increase provides a larger amount of permanent coverage at an affordable rate and locks in the child’s insurability regardless of future health conditions.

Flexible premium policies

Life insurance companies developed flexible premium policies in response to demand for more customizable coverage. These policies let you adjust the amount and timing of premium payments, as long as the policy has enough cash value to cover required charges. This flexibility gives the owner more control over the policy’s cost and structure over time.

Adjustable life

Adjustable life insurance is a type of permanent life insurance that lets you change key elements of the policy - such as the premium amount, face value, and length of coverage - without canceling or replacing the policy. These changes apply only going forward and don’t affect past payments or coverage.

If the policy has built up enough cash value, the owner may reduce premium payments or temporarily stop paying premiums, as long as the policy charges are covered.

Universal life

Universal life insurance is a flexible premium, permanent life insurance policy with an interest-sensitive cash value component. Each month, the accumulated cash value is credited with interest based on two parts:

  • a minimum guaranteed interest rate stated in the policy
  • an additional excess interest rate determined by the insurer

The minimum rate is contractually guaranteed. The excess interest rate can change and may be adjusted by the insurer periodically - often monthly or quarterly - based on current economic conditions.

Many policyholders choose to maximize premium payments into adjustable or universal life policies to build cash value efficiently. These policies allow flexible funding and offer tax-deferred growth, which can make them useful for long-term planning. Depending on the policy and market conditions, the interest credited to cash value may include both the guaranteed minimum and an additional amount declared by the insurer.

At one time, investors used the rapid tax-deferred accumulation of cash values in these policies as a place to put money and then borrow out the cash values income tax free. This created a highly tax-favored investment with tax-deferred growth and tax-free withdrawals (loans) at will.

In 1988, the IRS established the “seven pay” test. The Technical and Miscellaneous Revenue Act (TAMRA) created special rules for life insurance policies that fail this test. A policy fails the seven pay test if the premiums paid during the first seven contract years exceed the total of the seven level annual premiums required to pay up the policy. If too much money is “invested” in a whole life policy in the first seven years, it becomes a modified endowment contract (MEC) and loses its tax advantages.

Distributions from an MEC, including loans, are taxable as income when received to the extent that the cash value exceeds the premiums paid. In addition, a 10% IRS penalty applies to distributions from an MEC unless the owner is disabled or past age 59½.

Sidenote
Know this...

If any material change (i.e., death benefit increase) is made to a policy that was purchased prior to 1988, it will lose its “grandfathered” status and become an MEC.

Lesson summary

Joint life pays when the first person dies. Survivor life pays when the last person dies. Juvenile insurance protects a child’s future insurability. A jumping juvenile policy uses level premiums and automatically increases the face amount at age 21 - without raising the cost.

  • Joint life covers more than one person

  • Survivor life pays on the last death

  • Juvenile insurance locks in insurability

  • Jumping juvenile keeps the cost fixed but boosts coverage later

Flexible premium policies let the owner adjust payments, as long as there’s enough cash value to cover charges. Adjustable life allows changes to premium, death benefit, and protection period within the same policy. Universal life also allows premium and face amount adjustments and builds cash value based on a minimum rate plus extra interest the insurer declares.

  • Flexible policies allow premium changes

  • Adjustable life adjusts premium and coverage

  • Universal life adds interest-based cash value

Many owners pay as much as they can into these policies to grow tax-deferred cash value. But if premiums in the first seven years are too high, the policy becomes a Modified Endowment Contract (MEC). MECs lose some tax advantages. Loans and withdrawals from a MEC may be taxed - and penalized if the owner is under age 59½. Even policies issued before 1988 can become MECs if major changes are made.

Chapter vocabulary

Definitions
Jumping juvenile
Juvenile insurance on which the face amount increases by a multiple, usually five, of the original face amount when the insured reaches age 21.
Modified endowment contract
An insurance policy will fail to meet the seven pay test if the amount paid in premiums during the first seven contract years exceeds the sum of the seven level annual premiums required to pay up the policy. If too much money was “invested” in a whole life policy in the first seven years, it becomes a modified endowment contract (MEC) and loses its tax advantages.
Universal life insurance
Universal life insurance is a permanent policy that lets the policyholder adjust both the premium and the death benefit, within certain limits. It builds cash value over time, earning interest at a rate set by the insurer. Unlike whole life insurance, universal life is more transparent. Each year, the insurer provides a report showing how much was paid in, how much went toward insurance costs and fees, and how the cash value changed

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