Penalty on early withdrawal on savings IRS revenue ruling 61-201

On NON-IRA assets if an investor incurs a surrender penalty and an IRS 10% early with drawal penalty when surrendering a non-qualified annuity, can it be written off against their gross income on line 30 on a 1040. According to rev ruling 61-201, a friend of mine in the business contends it can be.

I’m just not sure. Even after I’ve read some of the stuff online that says the aforementioned is ok



  • I don’t possibly see how. Rev. Rul. 61-201 is about actual losses in the value of a non-qualified annuity. Not about any assessed penalty.
  • Form Line 30 is for a penalty on early withdrawal of savings reported on Forms 1099-INT and 1099-OID.

No, line 30 was never for early distribution penalties from tax deferred accounts or surrender penalties. It is only for CD early distribution penalties shown on Form 1099 INT. To write off the early distribution penalty for a NQ annuity, Form 5329 must be filed and code entered for the reason the penalty can be waived. If not 59.5, good chance that the penalty cannot be waived due to not having a qualified exception.  Of course, a surrender penalty is totally different from an IRS early distribution penalty as the taxpayer receives less money back and if there were gains in the account, the gains are reduced and not subject to tax or penalty since the taxpayer did not receive those fees.

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