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E. Nonforfeiture Options

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Educational Objective
  • II.E.8. Be able to differentiate the three Nonforfeiture Options: cash surrender, reduced paid-up, and extended term.

Because permanent life insurance policies build cash value, state law requires that certain guarantees connected to that cash value be built into the policy — guarantees the policyowner can never forfeit. These guarantees, known as nonforfeiture values, must be illustrated in a table covering a minimum of 20 years within the policy. If a cash-value policy lapses or is surrendered, the policyowner chooses one of three nonforfeiture options: cash surrender value, reduced paid-up insurance, or extended term insurance.

Know This

Nonforfeiture options are triggered when a policy is surrendered or lapses.

1. Reduced Paid-Up Insurance

Under this option, the insurer applies the policy's existing cash value as a single premium to purchase a fully paid-up permanent policy — but with a smaller face amount than the original policy had. This new, reduced policy builds its own cash value going forward and stays in force until the insured's death or the policy's maturity, whichever comes first.

2. Extended Term Insurance

Under the extended-term option, the insurer instead uses the policy's cash value to buy term insurance for the same face amount as the original permanent policy — the coverage simply lasts only as long as that cash value is able to purchase term coverage for that amount. If a policyowner never elects one of the three nonforfeiture options, the insurer will automatically apply the extended-term option when the original policy terminates.

Know This

Extended term is the automatic default nonforfeiture option: it keeps the original face amount but shortens the length of coverage.

3. Cash Surrender Value

A policyowner may simply surrender the policy in exchange for its current cash value. If the cash value received is greater than the total premiums the policyowner has paid, that excess is taxed as ordinary income. Once cash surrender value has been taken, coverage on the insured ends, and — unlike a policy that has merely lapsed — a policy that has been surrendered for cash cannot later be reinstated.

End of Policy YearCash or Loan ValueReduced Paid-UpExtended Term
5$2,300$7,9006 yrs, 40 days
10$7,100$18,60013 yrs, 210 days
15$9,200$19,80016 yrs, 40 days
20$14,600$28,90017 yrs, 300 days

Example: $75,000 Whole Life — Nonforfeiture Values

Using the illustration above, a policyowner who surrenders this policy after 15 years could use the $9,200 cash value as a single premium to purchase $19,800 of fully paid-up whole life insurance under the reduced paid-up option, with no further premiums ever due. Choosing extended term instead would use that same $9,200 to purchase $75,000 of term coverage — the original face amount — for as long as that amount of protection can be funded, in this case 16 years and 40 days.


Key Takeaways
  • Nonforfeiture values are guarantees connected to cash value that the policyowner cannot lose; they must be illustrated for a minimum of 20 years
  • Reduced paid-up insurance uses the cash value as a single premium to buy a fully paid-up policy with a smaller face amount
  • Extended term uses the cash value to buy term insurance for the same face amount, for as long as it will last; it is the automatic default if no option is elected
  • Cash surrender value pays out the current cash value; any excess over premiums paid is taxable, and a surrendered policy can never be reinstated