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E. Variable Products

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Key Takeaways
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Fixed life insurance or annuities are contracts that offer guaranteed minimum or fixed benefits that are stated in the contract. Variable life insurance or annuities are contracts in which the cash values accumulate based upon a specific portfolio of stocks without guarantees of performance. Variable annuities keep pace with inflation, and are determined by the value of securities backing it.

1. Variable Life

Variable life insurance (sometimes referred to as variable whole life insurance) is a level, fixed premium, investment-based product. Like traditional forms of life insurance, these policies have fixed premiums and a guaranteed minimum death benefit. The cash value of the policy, however, is not guaranteed and fluctuates with the performance of the portfolio in which the premiums have been invested by the insurer. The policyowner bears the investment risk in variable contracts.

Know This

In variable contracts, the policyowner bears the investment risk (assets in a separate account).

Because the insurance company is not sustaining the investment risk of the contract, the underlying assets of the contract cannot be kept in the insurance company's general account. These assets must be held in a separate account, which invests in stocks, bonds, and other securities investment options. Any domestic insurer issuing variable contracts must establish one or more separate accounts. Each separate account must maintain assets with a value at least equal to the reserves and other contract liabilities. Assets in the separate account cannot be commingled with assets in the general account.

2. Variable Universal Life

Variable universal life insurance is a type of insurance that combines many features of the whole life with the flexible premium of universal life and the investment component of variable life, making it a securities version of the universal life insurance.

Variable universal life insurance, like universal life itself, has the following features and characteristics:

  • A flexible premium that can be increased, decreased or skipped as long as there is enough value in the policy to fund the death benefit;
  • Increasing and decreasing the amount of insurance; and
  • Cash withdrawals or policy loans.

Unlike universal life, most of the investment vehicles in variable universal life policies do not guarantee return.

3. Regulation of Variable Products (SEC, FINRA and State)

Variable life insurance products are dually regulated by the State and Federal Government. Due to the element of investment risk, the federal government has declared that variable contracts are securities, and are thus regulated by the Securities and Exchange Commission (SEC), and the Financial Industry Regulatory Authority (FINRA). Variable life insurance is also regulated by the Insurance Department as an insurance product.

Agents selling variable life insurance products must:

  • Be registered with FINRA;
  • Be licensed by the state to sell life insurance; and
  • Have received a securities license.
Adjustable LifeUniversal LifeVariable Life
Key FeaturesCan be Term or Whole Life; can convert from one to the otherPermanent insurance with renewable term protection componentPermanent insurance
PremiumCan be increased or decreased by policyownersFlexible; minimum or targetFixed (if Whole Life); flexible (if Universal Life)
Face AmountFlexible; set by policyowner with proof of insurabilityFlexible; set by policyowner with proof of insurabilityCan increase or decrease to a stated minimum
Cash ValueFixed rate of return; general accountGuaranteed at a minimum level; general accountNot guaranteed; separate account
Policy LoansCan borrow cash valueCan borrow cash valueCan borrow cash value

Policies Compared


Key Takeaways
  • Fixed products guarantee minimum/fixed benefits; variable products have cash values tied to an investment portfolio with no guarantee of performance
  • Variable life has a fixed premium and guaranteed minimum death benefit, but cash value fluctuates with investment performance — the policyowner bears the risk
  • Variable contract assets must be held in a separate account, not the insurer's general account
  • Variable universal life adds the flexible premium of universal life to the investment risk of variable life
  • Variable products are dually regulated: securities regulation (SEC, FINRA) plus state insurance regulation; selling agents need a life license, FINRA registration, and a securities license