medium · Certified Financial Planner Estate Planning

Fenwick owns a non-qualified deferred annuity with a current value of 210,000 and a cost basis of140,000. He wishes to exchange this contract for a new whole life insurance policy to provide for his heirs.

What is the tax result of this exchange under Section 1035?

  1. $70,000 of ordinary income is recognized immediately.
  2. $70,000 of long-term capital gain is recognized.
  3. The gain is deferred as long as the new policy is not a Modified Endowment Contract (MEC).
  4. The exchange is tax-free because both are insurance contracts.

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